ViktorCapiStockThinkstockLearning Objectives After r.docx

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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.
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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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 development of a mature, normal sense of self. But this does
not occur in the absence of an
early stage during which mirroring provides an adequate
response to the child’s needs. It requires,
as well, the gradual replacement of self-objects with a more
mature, consistent, self-structure.
In his treatment of patients suffering from narcissistic
disorders, Kohut emphasized the impor-
tance of empathy on the part of the psychotherapist. He believed
that this was a key component
of the healing process, but that it was not sufficient in and of
itself. In other words, having some-
one respond to us with empathy will not necessarily change our
maladaptive behavior patterns.
Kohut emphasizes the central importance of emotional
attunement in healthy personality development. In
fact, this type of emotional responsiveness on the part
of the parent may be necessary for the development
of healthy brain functions. There is mounting evidence
to suggest that humiliation may actually damage the
brain, negatively influencing brain structure and func-
tion (Cozolino, 2006; Siegel, 1999). The explanation is
that the experience of humiliation can result in a state
of acute stress, leading to the release of the stress hor-
mone cortisol. Excessive production of cortisol over
an extended period of time can have negative effects
on the body (Dickerson & Kemeny (2004). As a result,

early shame experiences can impact brain develop-
ment (Schore, 1998).
Kohut also introduced the concept of transmut-
ing internalization, which refers to the growth-pro-
ducing process by which self-object relationships
become internalized, leading to a normal notion of
self in which the self-concept includes other objects,
yet remains distinct from those objects. In Kohut’s
Stockbyte/Thinkstock
Is this child suffering neurological damage?
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CHAPTER 33.2 Early Development of Contemporary
language, this results in normal, stable psychic structures.
Psychic structures refer to our inter-
nal object relations (simply put, our internalized notions about
what relationships with others
are or should be). The current terms schema and template are
used interchangeably with psy-
chic structure.
The process of transmuting internalization involves three steps:
1. The psychic structure is receptive to absorb introjects
(literally, internalizations of others’
ideas, or the turning of feelings for others toward oneself).
2. These internalizations are, to some extent, frustrating: They

don’t satisfy all the infant’s
needs, and this leads to a sense of loss in the infant. This
frustration and mourning is
considered essential for the development of normal personality
structure as it leads
the infant to replace some of the functions of the lost object.
Thus, according to Kohut,
minor parental absences, failures, and disappointments all play
a fundamental role in
the infant’s development of self.
3. Finally, minor losses and parental absences prevent total
identification with the object
(the parent), allowing for the development of a differentiated
self.
What Kohut is saying, basically, is that a child will gradually
take in the features of a parent. At
first, the entire parental matrix will be taken in either as “good”
or “bad,” and then slowly, over
time, the good and bad parts will be integrated into a coherent
picture of the parent. Through this
process, Kohut believes children develop their internal
structure. For some, especially those with
delayed emotional development or those with some personality
disorders (discussed in Chapter
10), this process is delayed well into adulthood or may never
occur.
Identity Development
Kohut believed that the mirroring process is, then, the first step
in the long journey of identity for-
mation. Once the infant begins to develop an internal structure,
that structure will be challenged
and revised continually according to what the child, and then
the adult, experiences across the

lifespan. This global perspective on self psychology brings us to
the work of Erik Erikson.
Erik Erikson as an educator, intellectual, and clinician who had
a vast influence on both theo-
retical and practical developments in contemporary
psychoanalysis (E. H. Erikson, 1970). Erikson
was analyzed and mentored by Anna Freud, who influenced his
decision to become a lay analyst.
Although he never received a doctoral degree in medicine or
psychology, he held teaching posi-
tions at prestigious universities, including Harvard, and made a
major contribution to psycho-
analysis in 1950 with the publication of his book, Childhood
and Society.
Erikson’s theory of psychosocial development rests on the
assumption that cultural forces are a
vital aspect of an individual’s growth and development. He
postulated the epigenetic principle—
the idea that how the biological origins of behavior manifest in
a particular individual is influenced
by the available environmental factors. Erikson states that
individuals develop through a series of
eight stages, each of which is defined by key developmental
tasks that need to be mastered before
proceeding to the next stage. For example, Erikson believed that
if the infant was unable to suc-
cessfully negotiate the early stage focusing on the discernment
of when to trust others and when
to be more cautious (i.e., trust vs. mistrust), then he or she
would likely struggle with properly
negotiating later stages, such as finding a lifelong romantic
partner (i.e., intimacy vs. isolation).
Importantly, he viewed personality development as occurring
over the entire lifespan, and each

stage as offering a different set of challenges. The stages of
life, as Erikson (1959) outlined them,
along with the corresponding Freudian psychosexual stages, are
shown in Table 3.1.
Lec81110_03_c03_069-096.indd 78 5/20/15 9:19 AM
CHAPTER 33.2 Early Development of Contemporary
Table 3.1: Erikson’s eight stages of personality development
and the
corresponding Freudian psychosexual stages
Erikson Freud
Infancy Trust versus mistrust
Autonomy versus shame/doubt
Oral stage
Anal stage
Childhood Initiative versus guilt
Industry versus inferiority
Phallic stage
Latency stage
Adolescence Identity versus confusion Early genital
Adulthood Intimacy versus isolation
Generativity versus stagnation
Ego integrity versus despair

Later genital
According to Erikson, success at one stage of development and
the manner in which the life crises
are resolved will necessarily affect the following stages, as the
number of positive versus nega-
tive outcomes at each stage will determine the long-term impact
of experiences. In each stage
are embedded developmental challenges, such as separating
from parents, establishing a career
path, leaving home, and selecting a mate. Progression to the
next stage requires overcoming the
challenges of the preceding stage, and there is some support for
the contention that successfully
negotiating earlier stages leaves one better able to manage
stressful adjustments in the future
(e.g., Marcia, 1966). It should be noted that there have been
some attempts to both realign and
even expand Erikson’s basic stages, especially the stages of
later life (e.g., Erikson & Erikson, 1997).
However, the original eight-stage theory remains as the most
commonly referenced and widely
used model.
The Significance of Identity and Identity Crisis
Identity is a central concept in Erikson’s (1968) theory. It
relates to individuals’ sense of self, of
who they are and who they can be. Erikson believed that
identity is characterized by a sense of
continuity and integrity, a notion that one’s meaning as an
individual is real, identifiable, and rec-
ognizable by significant others. Erikson is also the one who
coined the term “identity crisis.”
Erikson believed that the timing of the adolescent identity crisis
is driven by a number of dramatic

changes occurring at this stage in life, including sexual and
physical maturation, and becoming
more aware of how others view us. As a result, our sense of who
we are is challenged. Erikson
believed that the ease with which one navigates this identity
crisis is driven in large part by the
negotiation of the earlier stages. Thus, if one successfully
masters the discernment of when and
whom to trust and develops a sufficient degree of autonomy and
mastery, then they should have
a more coherent sense of self.
It appears that Erikson’s stages are strongly influenced by the
social-developmental opportunities
and expectations in our culture. For example, the age at which
one deals with intimacy versus isola-
tion has less to do with some invariant developmental
milestone, and more to do with social and
cultural norms of when people in a given culture or society
typically begin to date or get married.
For example, consider the average age at which people first
marry, which tends to be at a later age
in societies where a larger number of individuals attend college
(as with most first-world countries).
In contrast, in societies where higher education is a rare
occurrence, then the bulk of the population
Lec81110_03_c03_069-096.indd 79 5/20/15 9:19 AM
is likely to deal with intimacy and isolation (at least when
defined by marriage) at a much earlier age

(United Nations, Department of Economic and Social Affairs,
Population Division, 2000).
Perhaps the most noteworthy of Erikson’s contributions was the
suggestion that identity develop-
ment extends well into adulthood (notice that three of Erikson’s
stages are hypothesized to occur
post-adolescence, whereas Freud had only one stage during this
same period). For example, Erikson
noted that a central task of midlife is that of generativity versus
stagnation, where individuals are
focused on assessing their contributions to, and guidance of,
future generations. Erikson argued that
engaging in socially valued work is a direct expression of
generativity. He argued that generativity
could also be achieved through one’s family; however, having
children in and of itself does not neces-
sarily result in generativity. Thus, individuals who believe they
have productively contributed to the
next generation will emerge favorably from this stage, whereas
a person who has led a more self-
centered life will be unsatisfied with their lack of contributions
and experience stagnation.
The final stage of integrity versus despair also involves a life
review with a focus on one’s life
achievements. If the life review results in identifying many
disappointments and unachieved
goals, then the consequence is depression. Interestingly, a large
epidemiological study (Mirowsky
& Ross, 1992) indicates that depression reaches its peak levels
in older adults (aged 80 and up),
and the National Institute of Mental Health reports that suicide
rates among those aged 80–84
is twice that of the general population (National Institute of
Mental Health, n.d.). Although the

higher rates of depression and suicide are likely influenced by
factors such as declining health,
losses (e.g., death of spouse), and economic declines, Erikson
might argue that this finding
reflects a negative outcome in the integrity versus despair stage.
Regrets may be an inevitable part of life, but how we manage
our regrets can determine the
extent to which they influence us negatively (Wrosch, Bauer, &
Scheier, 2005). Erikson associated
the last stage of his theory with a life review, in which the
individual might compare unachieved
goals with achieved goals to assess integrity versus despair.
One approach to conceptualizing this
late life review is to consider regrets. Research suggests that
how we think about our regrets can
influence how available they are to us (i.e., how easily they are
remembered) and the emotional
pain associated with regrets (Gilovich & Medvec, 1995;
Gilovich, Medvec, & Kahneman, 1998;
Gilovich, Wang, Regan, & Nishina, 2003).
A study examining 155 older community college students (older
community college students
were explicitly targeted because they were reporting significant
life changes, such as divorce, job
change, or return to school) used regret and goal ratings to
predict psychological well-being (Lecci,
Okun, & Karoly, 1994). The most common regret reported was
educational/academic in nature
(nominated by approximately a third of the sample), and this
was likely influenced by the fact that
the data were collected in an academic environment. The other
two most common categories
were occupational regrets and leisure (i.e., hobby-related)
regrets. The relative frequencies of

these content categories were the same regardless of the age of
the respondents. The number of
listed regrets did relate positively to depression scores for all
participants, but they only related
to life satisfaction for the oldest subjects. That is, for older
individuals, the more regrets they had,
the lower their life satisfaction. Part of this can be explained by
the fact that as we age, we have
fewer opportunities to make amends for any regrets (i.e., they
are more permanent), and thus
they come with a higher cost.
These findings suggest that regrets in later life can be predictive
of psychological well-being (as
per Erikson’s theory). However, it is not how many regrets we
have, but rather how we think
about them and how they relate to our future goals that is more
influential to our level of adjust-
ment (see Wrosch et al., 2005). Importantly, this better reflects
the individual difference approach
Lec81110_03_c03_069-096.indd 80 5/20/15 9:19 AM
adopted in personality, as it highlights the importance of how
we interpret these events rather
than their mere occurrence (see also Chapter 6 for a discussion
of the cognitive approach and
idiosyncratic interpretations of events).
In the previous sections, we have discussed core aspects of
human development, such as mirroring

and identity formation. However, some individuals experience
less adaptive outcomes, whether
that be due to the absence of effective mirroring, difficulties
negotiating some of Erikson’s theo-
retical stages, or some other traumas in early identity formation.
The next section discusses one
area that has received considerable theoretical and research
attention.
Development of Narcissism
Kohut developed a model similar to Winnicott’s, in some
respects, especially in its emphasis on
the importance of early relationships in the development of self
and personality. Kohut’s primary
focus was on the development of the self from the fragile and
fragmented state of the infant to
the stable and cohesive adult self-structure. He did not agree
with the classical psychoanalytic
view that considered intrapsychic conflicts as the central cause
of psychopathology. Instead, Kohut
believed that most psychopathology resulted from deficiencies
in the structure of the self (Millon
& Davis, 1996b, p. 52). Kohut also rejected Freud’s
conceptualization of psychosexual develop-
ment as being the formative factor in personality development.
Instead, he believed that the drive
toward maturation was fueled by an innate potential that he
called narcissism.
Like Winnicott, he also believed that
attachment to the primary caretaker is
crucial for this aspect of development.
Kohut’s formulation, following Freud’s
early conceptualization, described narcis-
sism as the investment of libidinal energy
into the self. In pathological states, too

much libidinal energy is invested, result-
ing in an extreme form of self-love, which
limits the possibility of establishing other
loving relationships. He explains that the
child’s early experience is part of the
mother–infant dyad, undifferentiated
from it. It serves as a precursor to the
“I-you” differentiation that occurs in nor-
mal development, but does not occur in
pathological forms of narcissism (Kohut,
1986). When there is an appropriately
responsive caregiver, the self develops
optimally, but when there is a lack of empathic attunement,
which is the responsiveness of an
attentive and loving caregiver, the emerging self falters.
Kohut believed that exhibitionism, which is the act or practice
of deliberately behaving so as to
attract attention, was the narcissistic manifestation of all drives.
That’s because, in the narcissistic
individual, the drives for intimacy and sexual gratification are
directed toward the self instead of
toward others. The primary goal that drives exhibitionism is
that of re-creating the wished-for
parental response. Children’s normal exhibitionism is motivated
by their need to obtain paren-
tal approval. As development proceeds, this normal need is
increasingly frustrated, eventually
leading to more mature and socially acceptable behaviors. Yet,
the older child still looks for the
Glen Wilson/©Warner Bros./Courtesy Everett Collection
Is this man a narcissist? Kohut argues that for narcissists,
sexual gratification and intimacy comes from focusing
attention on oneself versus someone else.

Lec81110_03_c03_069-096.indd 81 5/20/15 9:19 AM
mother’s smile, her approval, to maintain the drive toward
mastery and more mature functioning.
Kohut (1971) believed that a healthy individual is autonomous
and possesses high self-esteem
and self-confidence. In contrast, individuals suffering from
narcissism have fluctuations in self-
esteem, often triggered by perceived slights or disapproval.
Thus, to maintain consistently high
evaluations of self, they need constant external validation (e.g.,
praise from others).
Among the hallmark signs of narcissism is that the individual
has a self-centered viewpoint,
which can undermine their ability to understand and appreciate
the views of others. Indeed, past
research suggests that narcissists often see themselves quite
positively (Clifton, Turkheimer, &
Oltmanns, 2004). This can be described as a narcissistic
ignorance view (i.e., they do not know the
views of others). Alternatively, it is possible that narcissistic
individuals are aware that those that
know them well hold negative views, and as a result, they would
see new acquaintances as having
a (relatively) more favorable view of them compared to people
who know them well. This can be
described as a narcissistic awareness view.
A study by Carlson, Vazire, and Oltmanns (2011) was designed

to compare the narcissistic aware-
ness and ignorance views by comparing how narcissists are seen
by others (referred to as others’
perception), to how they view themselves (self-perceptions), to
how they believe they are viewed
by others (meta-perceptions)—both those who know them well
and new acquaintances. Unac-
quainted participants came to the lab in pairs and completed a
self-perception measure and a
standardized narcissism measure: the 16-item Narcissistic
Personality Inventory (Ames, Rose, &
Anderson, 2006), which measures traits such as exhibiting a
grandiose sense of self, feelings of
entitlement, lack of empathy for others, and an exploitative
interpersonal style. Next, participants
were introduced and instructed to get to know each other by
talking for five minutes. Participants
were then taken back to their separate rooms where they
provided perceptions of their part-
ner’s personality (i.e., other-perceptions) and perceptions about
how they thought their partner
perceived their personality (i.e., meta-perceptions). Individuals
also identified three people who
knew them well and they were contacted via email for
personality ratings (there was a 67.7%
response rate from these nominated individuals, who were
mostly friends and parents).
Self-perceptions, meta-perceptions, and others’ perceptions
were all assessed with the same
questionnaire with only a minor change in instructions, and all
items were rated on a 7-point
Likert-type scale (1 5 strongly disagree to 7 5 strongly agree).
Some key findings indicate that nar-
cissism was associated with holding positive self-perceptions
and with being seen more positively

by new acquaintances than by well-acquainted others.
Moreover, narcissists’ meta-perceptions
for positive traits appeared to be less positive than their self-
perceptions of those traits. A second
study by Carlson and colleagues (Carlson et al., 2011) that was
longitudinal in nature also indi-
cated that the ratings changed, such that narcissists had some
awareness that their reputation
was deteriorating over time.
Understanding whether narcissists have some self-awareness is
important from a practical stand-
point, as poor self-insight makes it less likely that these
individuals would be motivated to seek
treatment or would try to effect any change, simply because
they would be unaware of the need
for any change. The current research suggests that they do
possess some insight, though they are
biased toward assuming that others’ view them somewhat
favorably.
Core Effects of Narcissism: Shame and Rage
Kohut’s formulation of narcissism emphasized the emotions of
shame and rage. These emotions,
he explains, result from disequilibrium of the intrapsychic
system. Shame arises when the paren-
tal figures—self-objects—do not provide the needed mirroring,
admiration, and approval of the
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Psychodynamic Approaches: Ego Psychology

emergent self of the child. Mirroring, as we saw, is the ability
to respond to the affective state of
another person. Through mirroring, children learn that they are
distinct from the parental fig-
ure. This allows them to form healthy relationships. Rage, the
other core emotion in narcissism,
is a reaction to a range of possible frustrations of the infant’s
narcissistic tendencies. It arises
from an unresolved psychic injury related to the infant’s early
narcissism. For example, if mothers
are continually unresponsive to their children’s need for
admiration, the result may be rage and
developmental fixation. This fixation can last into adulthood,
where what had been an age- and
phase-appropriate response—frustration and anger in response
to perceived injury—is no longer
appropriate. Kohut refers to this as narcissistic rage and likens
it to the fight component of the
flight-or-fight response. The importance of rage and shame
within the construct of narcissism is
reflected by the fact that a recently developed measure of
narcissism (e.g., the Pathological Nar-
cissism Inventory; Pincus et al., 2009) incorporates these as two
central components.
Most of us have experienced episodes of severe anger or rage
when we are injured or we are
prevented from reaching our goals. These can sometimes be
appropriate responses. But narcis-
sistic rage and anger are different. According to Kohut,
narcissistic rage results from injuries to a
person’s self-concept or sense of esteem. As an illustration:
When his wife did not serve dinner
at precisely 5:30 pm, a narcissistic male became enraged and
smashed his plate of food on the
floor—and then expected his wife to clean it up. He experienced

his wife’s failure to comply with
his demands as a major injury and responded with uncontrolled
narcissistic rage.
Approaches: Ego Psychology
Heinz Hartmann who trained as a physician and emigrated from
Austria before World War II, elaborated another important
development in contemporary psychodynamic theory: ego
psychology (1939/1958, 1964). As the label implies, Hartmann
attributed greater signifi-
cance to the ego than Freud did.
The ego, as defined by Freud, is the level of personality that
mediates between the instinctual
forces of the id and the value system and conscience of the
superego. Hartmann was concerned
with presenting a conceptualization that would describe not
only pathology but also healthy per-
sonality functioning. His was one of the earliest calls for a
psychology of healthy functioning as
opposed to a psychology preoccupied with neurotic adjustment.
(This trend has continued with
the current positive psychology movement.) The traditional
view had long been that the main cri-
terion of mental health is freedom from the symptoms of
abnormality. Hartmann (1964) objected
to this view.
Modes of Normal Functioning
Normal functioning, as opposed to neuroses, Hartmann
(1939/1958) explained, is a function of
adaptation. And normal, healthy adaptation is largely a function
of the ego. After all, the ego is
concerned with self-preservation. In other words, Hartmann was

suggesting that the ego is that
part of our internal operating system that adapts to the demands
of the world. It learns to adapt
more effectively as we grow and develop. In a sense, this is an
example of the gradual evolution of
more mature ways of functioning and solving problems. Clearly,
an adaptive solution at one phase
in development might not be adaptive later, as environmental
demands and social circumstances
change. For example, crying may be a very effective solution
for a frustrated 3-year-old whose
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Psychodynamic Approaches: Ego Psychology
parent will give her the coveted toy, but it is a far less adaptive
solution for the college student who
covets a new sports car or higher grades (though this hasn’t
stopped some from trying this method).
Ego functions are essentially what we would describe as coping
mechanisms, explained in terms
of what Hartmann called ego adaptive capacity. Someone with
good ego functions (high ego adap-
tive capacity) is able to maintain a balance between demands of
the outer world and internal
needs and desires. Good ego functions include the capacity to
tolerate frustration, disappoint-
ment, and other forms of stress. According to Hartmann
(1939/1958), those with strong ego adap-
tive capacity make limited use of defenses; they have a high
capacity to tolerate anxiety without

calling on defense mechanisms. This is in marked contrast to
Freud, who viewed the utilization of
a wide range of defenses as a sign of being adaptive.
Interpersonal Functioning
Harry Stack Sullivan, often considered the founder of ego
psychology, emphasized the role of
interpersonal factors in ego development. That is, the ego’s
primary role is to interpret and adapt
to social demands, expectations, and roles. In fact, his theory
was known as the Interpersonal
Theory of Psychiatry, and he launched a movement that later
became known as Sullivan’s school
of interpersonal relations (Rioch, 1985).
Like Erikson, Sullivan believed that personality changed
throughout our lives, but the impetus for
that change was seen as changing and new relationships with
others. Because the primacy of the
social self in ego development is defined in terms of the
presence of others, Sullivan believed that
we adopted new ego identities to meet the demands of different
social situations. Thus, in com-
ing to college, a student will establish a new identity for that set
of relationships. However, when
returning home to be with family and friends, those individuals
will engender the emergence of the
identity they knew. In this respect, there is no single or fixed
personality. (Consider the last time you
ran into friends from high school. Did an old self emerge that
was associated with those friends?)
Sullivan believed that interpersonal interactions drive the
development of what he termed
personifications of the self and others. Sullivan defined
personifications as mental images (similar

to the idea of object relations) that allow us to better understand
ourselves and our world. Sullivan
identified three personifications: (1) the bad-me (the aspects of
ourselves that are negative and
hidden), (2) the good-me (the aspects of our self that we like
and openly share with others), and
(3) the not-me (everything we consider not part of ourselves, in
theory because it would induce too
much anxiety to do so). Thus, focusing on the bad-me or the
not-me is one way to increase anxiety.
Interestingly, Sullivan himself published very little theoretical
or empirical work, but his ideas
spurred the work of others.
Making Sense of the World and Using Defenses
Jane Loevinger, whose work was based largely on that of
Sullivan, believed that the primary func-
tion of the ego is to help make sense of our world and
everything we experience (Loevinger, 1976,
1987). As was the case with Sullivan, the bulk of the ego’s
work is focused on object relations (i.e.,
it is grounded in interpersonal experiences). The ego helps
makes sense of early relationships and
both attachment and separation from one’s primary caregiver.
The ego then attempts to make
sense of interdependence and autonomy with respect to others
and even society as a whole (note
the overlap with many of the developmental themes outlined by
Erikson and other theorists). This
can also include gaining an understanding of societal rules, as
these rules typically address issues
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CHAPTER 3 3.4 Malan’s Psychodynamic Model of Integration
Theory
directly related to social interdependence. Thus, as we age, the
ego also increases in complexity
and in its ability to make sense of an increasingly complex
world.
Even the ego psychologists spoke at length about defenses, and
for the most part, they utilized
the same terms and definitions as those forwarded by Freud.
Indeed, Loevinger (1976) suggested
that a primary function of the ego in any interpersonal
interaction is to control impulses, and the
ego mechanisms of defense were one of the primary ways of
achieving this. Loevinger and more
recent interpretations by Cramer (1987) suggest that as part of
normal ego development, there is
a sequencing in the emergence of defenses. Denial is seen as an
immature defense that emerges
early in the developmental sequence (i.e., childhood), and
projection, which is also an imma-
ture defense, is seen to be prevalent in adolescence. In an
interesting study by Cramer (1999),
the author sought to examine a group of subjects in their early
20s to determine if their use
of defenses, such as denial and projection (both reflecting
defenses that would indicate devel-
opmental immaturity), could be predicted. Cramer hypothesized
that these lower-level defenses
would be associated with lower intellectual functioning (IQ)
and with weak impulse control.
The participants in the study were taken from a longitudinal
project that began tracking the par-

ticipants at age 3. The current study examined 89 individuals
(43 males and 46 females), who were
aged 23 at the time of data collection.
Ego development was assessed using two methods, including
the TAT, which is discussed in Chap-
ter 2 and in this chapter. Defense mechanism use was assessed
by trained coders using six of the
TAT picture cards. As a brief illustration, denial was coded if
the respondent omitted major char-
acters or objects or denied reality. Projection was coded if
respondents included magical thinking
in their stories, or if they attributed hostility to other characters.
Intelligence was assessed with
a standardized measure during one of the previous waves of
evaluation in the longitudinal study.
Results indicated that although IQ and defense mechanism use
was unrelated, both variables
predicted ego development. Importantly, the relation between
the use of defenses and ego level
varied as a function of IQ. When IQ was lower, use of denial
and projection was associated with
higher ego development. However, when IQ was lower, use of
denial was associated with lower
ego development.
Cramer (1999) concludes that ego development is influenced by
both intelligence and defense
mechanism use but in different ways. Intelligence resulted in a
simple linear association, such that
the higher intelligence the higher the ego development.
However, the use of defenses appears
to be more complex, with ego development characterized by
lower impulse control resulting in
greater use of defenses. This highlights the issue of

developmentally appropriate defense use. In
other words, while a young child who uses denial may be
developing normally, it is considerably
more problematic if denial is used extensively by an adult.
3.4 Malan’s Psychodynamic Model of Integrative Theory
Contemporary psychodynamic models of personality tend to be
increasingly integrative in that they have assimilated many
constructs from earlier theories. Psychoanalytic theorists were
the first to develop a theory of personality, and contemporary
formulations remain
strongly rooted in psychodynamic concepts. Psychodynamic
conceptualizations of personality
have emerged primarily from the study and treatment of
psychopathological adaptations and per-
sonality disorders. Therefore, the main body of literature
emphasizes personality disorders and
Lec81110_03_c03_069-096.indd 85 5/20/15 9:19 AM
Theory
treatment approaches (Clarkin & Lezenweger, 2004). However,
there are important constructs
that can be used to organize and depict how normal personality
functions. This section describes
some of those, along with the theoreticians who developed
them. David Malan (1979), a pioneer-
ing psychiatrist, theorist, and researcher, has contributed
important constructs for understanding
personality and the contemporary psychodynamic treatment
model. He developed two triangular

formulations to explain the psychodynamic process. He calls
them the triangle of conflict and the
triangle of persons.
Malan’s Triangle of Conflict
Malan’s triangle of conflict was borrowed from Ezriel (1952). It
is used to show the processes that
occur in the mind and body. This triangle depicts the interplay
among underlying emotions such
as anxiety (affective domain system) and the defensive
operations that serve to control emotions
and lessen anxiety. Malan (1979) combined these two
representations and applied them to a form
of clinical treatment called short-term dynamic psychotherapy
(STDP). The triangles are useful for
depicting the structure and process of many of the component
systems that make up personal-
ity. They describe the interrelationship between our
intrapsychic and interpersonal functions. In
other words, they show how our internal schema are expressed
in our relationships with others,
and the manner in which internal schema are expressed forms
the basis of our personality (Mag-
navita, 1997; McCullough Vaillant, 1997).
The triangle of conflict represents the intrapsychic functions (or
mental processes) related mainly
to affect-regulation (Westen & Blagov, 2007). The three corners
of the triangle are feelings in the
lower corner, anxiety in the upper-right corner, and defense in
the upper-left corner. These three
mental processes are hypothesized to be in constant motion
within all of us (see Figure 3.1).
The triangle of conflict is essentially a self-regulating feedback
system (a cybernetic model). For
example, an individual who has experienced a traumatic episode

resulting in painful feelings and
anxiety will tend to re-experience this affective complex in
similar situations. Thus, experiences
of physical or sexual abuse, typically associated with a range of
emotions such as anger, fear,
shame, and sadness, might result in the same emotions when the
individual is confronted with
stimuli that are reminiscent of the abuse. For example, when an
adult male who was physically
abused as a child sees another adult acting in a domineering
manner with a child, it may trigger
the same emotions he experienced as a child. (Note: These
conceptualizations will later be labeled
generalization in the behavioral perspective; see Chapter 5). As
this complex of feelings threatens
to surface into conscious awareness in a painful and possibly
disorganizing manner, anxiety is trig-
gered; the anxiety signals the intrapsychic system to call forth
defenses. The theory assumes that
defenses keep thoughts, images, and intolerable impulses out of
consciousness awareness.
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Theory
Figure 3.1: Malan’s triangle of conflict
The figure depicts the interplay among the underlying emotion
of anxiety (affective domain system),
and the defensive operations that serve to control emotions and
in turn lessen anxiety.

Triangle of Conflict, from Jeffrey Magnavita, Theories of
Personality: Contemporary Approaches to the Science of
Personality, John Wiley & Sons, 2002, Fig. 6.3, p. 216.
© Jeffrey Magnavita.
In this representation, we can place all the defense mechanisms
discussed in Chapter 2 in the
upper left corner of the triangle. In this way, we can begin to
illustrate both the individuality we
see in personality and some of the personality types that various
theoreticians and researchers
have documented. The array of defenses allows for infinite
variation, accounting for individual dif-
ferences. It is hypothesized that certain types of personality use
certain constellations or clusters
of defenses (Magnavita, 1997). For example, individuals
described as having obsessive personality
traits or, if extreme, an obsessive-compulsive personality
disorder will generally use defenses such
as intellectualization, isolation of affect, rumination, repression,
and compulsiveness. Of course,
there will be great variation in the specific combination of
defenses that individuals will employ,
and this can account for differences at a micro level of analysis.
At the same time, at the macro
level, the similarities will make overall obsessive-compulsive
traits recognizable.
Defense Categorization
Phoebe Cramer (1998) offers a more contemporary working
definition of a defense mechanism:
The term “defense mechanism” refers to a mental operation that
occurs outside
of awareness. The function of the defense mechanism is to

protect the individual
from experiencing excessive anxiety. According to the older,
classical psychoana-
lytic theory, such anxiety would occur if the individual became
aware of unaccept-
able thoughts, impulses, or wishes. In contemporary thinking
about defenses, an
additional function is seen to be the protection of the self—or
self-esteem and, in
more extreme cases, protection of the self. (p. 885)
This definition combines elements of both classical and
contemporary psychodynamic thinking.
Anxiety is seen as emerging from threats of perceived danger
from the external world. It can also
result from internal threats—conflicts deriving from our fear of
expressing our impulses. In addi-
tion, anxiety can be generated by a challenge to our internal
schema or object relations. This defi-
nition is in keeping with recent research characterized as Terror
Management Theory (TMT), which
Impulse/Feeling
AnxietyDefense
As anxiety
is mobilized,
defenses are
called into
operation to
contain the
anxiety.
When too much feeling
threatens to become
conscious, anxiety

is elicited.
When the anxiety
reaches a certain
threshold, the
defenses contain or
repress the feeling.
Lec81110_03_c03_069-096.indd 87 5/20/15 9:19 AM
Theory
suggests that anxiety and other negative reactions emerge as a
means of preserving one’s own
worldview and meaning of reality (e.g., Greenberg,
Pyszczynski, & Solomon, 1986; Pyszczynski, Sol-
omon, & Greenberg, 2002; Solomon, Greenberg, & Pyszczynski,
1991a). (Recall how the ego was
defined as playing a significant role in understanding the
world.) Interestingly, TMT research has
also identified self-esteem as a way to reduce anxiety
(Greenberg, Simon, Pyszczynski, Solomon, &
Chatel, 1992), and this too would be consistent with the
discussed theories on ego development.
Various authors have placed the defense mechanisms into
categories (Meissner, 1981; Perry,
1992; Vaillant, 1992). Doing so gives us another way to
understand and measure variability in
personality. Most authors place defenses along a continuum,
from psychotic, to immature, to neu-
rotic, to mature (see Figure 3.2). These categories of defenses
are not precisely defined, and there

is some overlap among them. However, the general schema does
have some empirical validation
(Vaillant, 1992) and can be useful for organizational purposes.
Figure 3.2 represents a compilation
of defenses from various sources (Magnavita, 1997).
Figure 3.2: Categories of defenses
A compilation of a number of defenses and their general
organization.
Adapted from Magnavita, J. J. (1997). Restructuring personality
disorders: A short-term dynamic approach. New York: Guilford
Press.
Psychotic
defenses
Immature Neurotic Mature
• Delusional projection
• Severe denial
• Distortion
(cognitive/perceptual)
• Projection
• Schizoid fantasy
• Hypochondriasis
• Passive-aggression
• Acting-out
• Dissociation
• Blocking
• Introjection
• Regression
• Externalization
• Splitting

• Projective Identification
• Devaluation
• Idealization
• Omnipotence
• Withdrawal
• Explosiveness of affect
• Weepiness
• Depression
• Repression
• Displacement
• Reaction formation
• Intellectualization
• Somatization
• Controlling
• Isolation of affect
• Rationalization
• Sexualization
• Undoing
• Detachment
• Avoidance
• Compartmentalization
• Complaining
• Altruism
• Humor
• Suppression
• Anticipation
• Sublimation
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Theory

Anxiety: A Common Aspect of Human Existence
Defenses are one corner of the triangle; anxiety is another. In
psychoanalytic theory, anxiety arises
from unacceptable id impulses that would present a serious
threat to the superego if they were
to break through to consciousness. In contemporary
psychodynamic theory, anxiety can result
from conflict and associated emotions that are not experienced
fully at the conscious level. The
individual may fear experiencing certain emotions that could
cause anxiety (McCullough, 2003).
Each of us has a different level of emotional tolerance,
depending on our ego adaptive capacity.
Anxiety is a universal emotion that is essential for our
adaptation. When you walk through a dan-
gerous neighborhood at night, you may experience fear because
of potential danger. Simply think-
ing about walking in that neighborhood may arouse the related
emotion, anxiety. You may also
experience anxiety when public speaking, even though there is
no threat of harm. Rather, there
is a psychological threat to the self, which could result in a
narcissistic injury—“I am not good
enough” might be the associated internal negative belief. Most
theorists assume that there is a
clear connection between the original manifestations of fear,
which are more directly linked to
situations where there is mortal danger, to the psychological
sense of fear that develops later in
life, which is focused on an injury to the psychological self,
broadly defined.
Anxiety includes both a subjective sense of distress and

physiological activation, reflected in
changes such as increased heart rate, palpitations, sweating,
need to urinate, sweaty palms, dry
mouth, muscle tension, nausea, tightness in the chest, and
restlessness (autonomic arousal).
Most of us can recognize when we are in a state of increased
anxiety; we are familiar with our
own constellation of physiological reactions. For many people,
imagining being asked to stand up
in front of a class to give an extemporaneous talk is sufficient
to bring about autonomic arousal
associated with anxiety.
Various types of anxiety have been described in psychodynamic
literature. They include (1) sepa-
ration anxiety—fear relating to loss of a significant other; (2)
castration anxiety—fear of damage
to the body, especially to the genitals; (3) moral anxiety—fear
of violating one’s values; (4) annihi-
lation anxiety—fear of being destroyed or overwhelmed; (5)
fragmentation anxiety—fear of disin-
tegration of the self; and (6) persecutory anxiety—irrational
fear of harm to loved ones (PDM Task
Force, 2006). Anxiety includes an emotional and physiological
experience as well as a cognitive
component. Over the course of development, anxiety tends to
shift from being mostly a somatic
(bodily) experience (e.g., physical symptoms, such as sweating,
tingling, heart palpitations, etc.) to
a psychic or mental phenomenon (e.g., thoughts of worry, low
sense of control over events, etc.).
Feelings/Affect/Emotions: Our Interpersonal Survival System
Anxiety and defenses are two of the corners of the triangle of
conflict; the third relates to feelings

(affect or emotion). Researchers in affective science have
identified six probable basic emotions
(anger, fear, sadness, disgust, happiness/joy, and surprise) and
three secondary or social emotions
(guilt, shame, and pride) (Davidson et al., 2003; Maine &
Bonanno, 2001). In keeping with the
contemporary psychoanalytic models, neuroscientific findings
support the belief that both feel-
ings and cognitions can exist at the unconscious level
(Anderson, Reznik, & Glassman, 2005; Lane
& Nadel, 2000).
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Theory
The purpose of emotions is to facilitate and guide our responses
to environmental circumstances,
and psychopathology reflects a deficit in emotional processing
(Newman & Lorenz, 2003). Feelings
orient us to what needs to be attended to in our life and give
meaning and importance to various
activities necessary for survival and growth. In this sense, they
are our personal navigational sys-
tem. When individuals are out of contact with their feelings, we
see them as emotionally flat or
wooden. Like Sheldon, the character from the television series
The Big Bang Theory, who seems
to only process his experiences at an intellectual level, these
people miss much of the meaning of
social interactions. Instead, emotions should be experienced as
bodily reactions and interpreted
through internal cognitive appraisal. They are communicated to

others through facial expression
(Ekman & Rosenberg, 2005), gestures, and vocal expression
(Davidson, et al. 2003).
The affective system and how it is managed by defenses is an
important component system of per-
sonality. All of us can be placed on an emotional continuum
with regard to how well our emotional
system functions. We might describe certain people as being
emotionally reactive, suggesting that
they have trouble regulating their emotional system. In fact,
extreme emotional dysregulation is
a central feature of some forms of severe personality disorders.
Other people appear emotionless
and in fact are emotionally inexpressive. And most display
emotional reactions that we consider
normal for their social and cultural circumstances.
Malan’s Triangle of Persons: The Interpersonal Matrix
Basing his work on what Karl Menninger (1958) had earlier
presented as the triangle of insight,
Malan renamed it the triangle of persons to better describe the
hypothesized interpersonal or
dyadic nature of these processes. The model shows how early
attachment relationships are
encoded (represented by means of internal schema), and how
past relationships (early attach-
ment or object relationships), current relationships
(relationships in our current life), and the ther-
apeutic relationship (transference that occurs in the therapeutic
process) parallel one another in
terms of core relational themes.
The triangle of persons represents interpersonal relationships.
At the lower corner of the triangle
are past relationships, as seen from the adult’s vantage point.

This represents core relational
experiences, starting with early attachments that shape the
individual’s ideas about trust, inti-
macy, and attachment to others. If an individual has positive,
growth-promoting attachments,
the emotional network will develop without the need for
excessive or restrictive defensive func-
tioning. Malan’s theory suggests that if the early relational
system is disturbed, defenses will be
developed in an attempt to protect the self in the most adaptive
way possible.
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Theory
Figure 3.3: Personality as expressed in the triangle of persons
Malan proposed that personality is created, maintained, and
expressed in the context of our mental
representations of interpersonal experiences.
From Jeffrey Magnavita, Theories of Personality: Contemporary
Approaches to the Science of Personality, John Wiley & Sons,
2002, Fig. 6.3, p. 216. © Jeffrey Magnavita.
The theory suggests that as individuals mature, the early
components of the relational matrix in
which they were immersed will be retained, internalized, and re-
created in relationships with oth-
ers (see Figure 3.3). These then become characteristic traits and
relational patterns that mark part
of our personality. Psychodynamic therapists also note that

these patterns of interpersonal rela-
tionships are brought to the therapeutic relationship and become
part of the therapist–patient
dynamic (Luborsky & Crits-Christoph, 1997).
Using the Triangles to Explain Personality Development and
Organization
Personality is shaped by our positive and negative experiences
in the interpersonal domain
(depicted by the triangle of persons). These interpersonal
experiences, interacting with tempera-
ment dispositions, lead to the building of an intrapsychic matrix
(depicted by the triangle of con-
flict). Thus, our personality is expressed in our interpersonal
patterns as well as in how our intra-
psychic matrix is organized and structured. For example, a
father who tends to be authoritarian
and controlling may create angry and hostile feelings in his son.
To protect himself, the son may
learn ways of expressing this hostility that are not open to
direct attack. For example, the son
might adopt a passive defense system, such as stubbornness,
forgetting, and withholding love.
Although he may appear to be compliant and pleasing on the
surface, he is expressing hostility
by resisting his father’s control in passive-aggressive ways. He
may forget to do something his
father has asked him to do or deliberately underperform in a
sport his father values. If this type
of personality pattern is consolidated over time, the son might
become an individual who uses
passive-aggressive traits to deal with conflict. This would leave
him ill-equipped to deal more
openly or constructively with his feelings of anger. (See
Chapter 10 for a complete description of
the personality disorders.)

Past Relationships
Current
Relationships
Transference
Relationship
Past relationship patterns are
re-created in current relationships,
expressing aspects of personality.
Past relationship patterns are
re-created in the relationship
with the therapist.
Personality is expressed in
all interpersonal contexts.
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CHAPTER 3 3.5 Assessment Strategies and Tools for
Contemporary Psychodynamic Models
3.5 Assessment Strategies and Tools for Contemporary
Psychodynamic Models
Contemporary models of psychodynamic personality theory
utilize a wide array of assessment strategies and tools, though
many are similar to the projective tests reviewed in Chapter 2,
with the key difference being that some of the assessment tools
have since been revised.
Thus, in this chapter, we will emphasize some of the revisions

to the Rorschach and TAT, as well as
the literature that evaluates the current status of psychodynamic
assessments. We will also review
the clinical interview and attempts to objectify that approach.
The Clinical Interview
Psychodiagnostic interviewing methods and techniques are a
mainstay of psychodynamic
approaches. Psychodynamic theory emerged and was later
expanded almost exclusively within
the context of clinical settings while working with patients.
Therefore, it is not surprising that one
of the most central assessment tools for the contemporary
psychodynamic theorists is the clinical
interview to facilitate diagnostic decisions and treatment
directions.
The structural interview, which was pioneered by Kernberg
(1984) and Davanloo (1980), is used
to assess the integrity and structure of the personality by
presenting anxiety-provoking questions
that serve to activate the defense system. This allows for
moment-to-moment observation of how
emotions are regulated, how defenses are mobilized when
anxiety increases, and how effective
the individual is with respect to interpersonal or object
relatedness. Although this approach effec-
tively maps on to contemporary object-relations theory as
espoused by Kernberg, it lacks suffi-
cient detail and standardization, thereby undermining some of
the basic psychometric properties
necessary to qualify as a formal test. Indeed, it might be argued
that it is better characterized as a
technique (see Dahlstrom’s 1993 criteria for what constitutes a
psychological test).

More recently, a semi-structured inter-
view was developed to capture Kernberg’s
theoretical formulations, the Structured
Interview of Personality Organization
(Stern et al., 2010), and the data suggest
that it has reasonable psychometric prop-
erties when assessed in a clinical sample.
Although not specifically designed to
capture the constructs forwarded by
object-relations theory, other struc-
tured diagnostic interviews have been
developed, most notably the Structured
Clinical Interview (SCID), described in
Chapter 1, which assesses personality
disorders outlined in the Diagnostic and
Statistical Manual (DSM) of Psychiatric
Disorders. There have been hundreds of
published studies using the SCID, and it
iStockphoto/Thinkstock
Clinical interviews are used to gather background
information on the client and guide the interpretation of
standardized tests.
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has been translated into many different languages, indicating its
broad acceptance in the field
and diagnostic success. The SCID was designed for use by

trained mental health professionals and
represents one of the more successful attempts at converting the
DSM’s nosological structure into
a usable diagnostic tool.
However, other attempts to standardize diagnostic interviews
have been decidedly less effec-
tive (e.g., Linden & Muschalla, 2012) with low to moderate
inter-rater reliability (Rettew, Lynch,
Achenbach, Dumenci, & Ivanova, 2009). One of the primary
factors undermining the adaptation
of clinical interviews into more standardized forms and tests is
that they are less regimented; they
rely heavily on the clinical skill of the diagnostician, as was
noted in Chapter 1. However, research
shows that a systematized assessment is superior to any test that
relies primarily on the skills of a
clinician (e.g., Dawes, Faust, & Meehl, 1989).
Projective Tests
Another important assessment approach developed by
psychodynamic innovators is a range of
projective techniques. These include projective drawings such
as the Draw-a-Person (DAP), House-
Tree-Person, and Kinetic Family Drawing, as well as sentence
completion forms such as the Rot-
ter Incomplete Sentences Blank (RISB) and the Washington
Sentence Completion Test (Weiner &
Greene, 2008). These methods are based on the assumption that
we tend to project our thoughts
and feelings onto ambiguous stimuli—such as when we look at
clouds and see fantastic worlds
in them. Survey research suggests that despite their problems,
projective tests remain somewhat
popular (Lubin, Larsen, & Matarazzo, 1984; Watkins, Campbell,
Nieberding, & Hallmark, 1995).

The Rorschach Test
Probably the most famous of the projective tests is the
Rorschach Inkblot Method, which, despite
considerable criticism, still holds an important position in both
psychodynamic assessment and
research. Indeed, this instrument continues to be used
extensively in the personality assessment
of both children and adults (Goode, 2001) and is the most
frequently used among the projective
tests (Lubin et al., 1984).
Developed in the 1920s by Swiss psychiatrist Hermann
Rorschach (1921/1942), the test was based
on a popular European parlor game that involved making
inkblots and then telling a story about
them. Rorschach devised the test by spilling ink on paper and
folding it in half, creating symmetri-
cal inkblots, 10 of which were selected for the test.
There are a variety of ways to score responses to Rorschach ink
blots. In Chapter 2 we referred
to the earlier scoring methods, but here we will describe one of
the more thorough attempts to
standardize the Rorschach. In 1986, John Exner devised a
comprehensive scoring system, includ-
ing a full standardization of the administration and scoring
criteria, and this is now a widely used
approach. Exner promoted four primary criteria for scoring:
1. The location of the response (i.e., the specific part of the card
that is being referred to by
the subject);
2. the rationale for why the subject had that particular

interpretation (i.e., did the shape,
color, etc. play a central role in the interpretation of the
stimulus), referred to as the
determinant;
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3. the extent to which the response reflects popular (i.e.,
commonly cited) responses; and
4. the content of the response (e.g., does it refer to human,
human-like, animal, human or
animal parts, blood, nature, etc.).
Exner also collected extensive norms and developed formulas to
facilitate standardized scoring. As
a consequence of these changes, Exner has taken what was a
psychometrically inferior test, and
developed an instrument with much improved reliability and
validity (Hiller, Rosenthal, Bornstein,
Berry, & Brunell-Neuleib, 1999).
Despite these apparent advances in the scoring, a debate
continues as to the best way to utilize
the Rorschach, with many practitioners still adhering to the
older methods that rely more on clini-
cal intuition (Moreland, Reznikoff, & Aronow, 1995; Ritzler,
1995).
The Thematic Apperception Test (TAT)

Another well-known and widely used projective test is the
Thematic Apperception Test (TAT) devel-
oped by Christine Morgan (who drew most of the pictures) and
Henry Murray (Weiner & Greene,
2008). As discussed in earlier chapters, the TAT uses a series of
ambiguous images and subjects
are asked to provide a “dramatic”
story that includes the events
leading up to the image, the
events occurring in the image,
and the outcome (i.e., what will
happen next). Most of those
using the TAT select approxi-
mately 10 cards and they rely
on their own judgment in decid-
ing which cards to use (Cramer,
2000). The rationale is that the
ambiguity of the images will facil-
itate a less defensive response
set because the respondent feels
less personally threatened about
the material (i.e., it is perceived
as a story about the picture, not
about oneself).
The original scoring system is
somewhat laborious and sub-
jective (Vane, 1981), and other
more recent clinical scoring sys-
tems have been developed (see
Holt, 2008). Like the Rorschach,
the TAT has also received con-
siderable criticism, most notable
for its subjective scoring and
questionable validity (Lilienfeld,
Wood, & Garb, 2000).

Beyond The Text: Classic Writings
“What if you were asked to describe images you saw in an
inkblot or to invent a story for an ambiguous illustration—
say, of a middle-aged man looking away from a woman who
was grabbing his arm? To comply, you would draw on your
own emotions, experiences, memories and imagination.
You would, in short, project yourself into the images. Once
you did that, many practicing psychologists would assert,
trained evaluators could mine your musings to reach con-
clusions about your personality traits, unconscious needs
and overall mental health. But how correct would they be?”
(Lilienfeld, Wood, & Garb, 2001, p. 82).
In this thought-provoking paper, Lilienfeld and colleagues
(2001) take a close look at the uses and misuses of projec-
tive tests. Read it at http://www.psychologicalscience.org
/newsresearch/publications/journals/sa1_2.pdf.
Hibbard’s 2003 paper provides an opposing view.
References: Lilienfeld, S. O., Wood, J. M., & Garb, H. N.
(2001). What’s wrong with this picture? Scientific American,
284, 80–97. http://www.psychologicalscience.org/news
research/publications/journals/sa1_2.pdf
Hibbard, S. (2003). A critique of Lilienfeld et al.’s (2000)
“The scientific status of projective techniques.” Journal of
Personality Assessment, 80(3), 260–271.
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http://www.psychologicalscience.org/newsresearch/publications
/journals/sa1_2.pdf

/journals/sa1_2.pdf
/journals/sa1_2.pdf
/journals/sa1_2.pdf
CHAPTER 3 Summary
The Sentence Completion Test
Sentence completion tests provide respondents with sentence
stems and ask them to complete
each sentence with whatever comes to mind. The assumption is
that the responses will reflect
internal experiences, including attitudes and affect, and that that
these responses can be scored
and analyzed to reveal psychological aspects of the respondent
(Loevinger, 1979, 1985). Relative
to other projective tests, the sentence completion tests tend to
have greater face validity. Like the
other projective approaches, both subjective, clinician-driven
scoring and more objective, quanti-
tative scoring methods have been developed.
Summary
This chapter presents a synopsis of contemporary
psychodynamic theory along with some of the important
developments that later psychodynamic theorists advanced in an
effort to expand on Freud’s psychoanalytic theory. Object
relations emerged as what is arguably the
strongest contemporary branch, and the primacy of attachment
was emphasized by a number of
researchers and theoreticians, most notably Winnicott. Object
relations describe the process by

which significant attachment figures are internalized and their
representation (objects) are carried
around inside each of us. This theoretical model converges with
one of the basic assumptions of
cognitive theory, as both emphasize internalized representations
of the outside world (see Chap-
ter 6). Winnicott developed the concept of the good-enough
mother to explain how most mother-
ing does not need to be perfect to produce satisfactory
adjustment—it simply needs to be good
enough. However, if it is not good enough, it may result in
psychopathology.
Self psychology was pioneered by Kohut, who suggested that
normal identity development
requires the mirroring of emotional experiences from others.
Other theorists, such as Erikson,
proposed that normal personality development extends into
adulthood. He describes various
stages that need to be mastered before progression to the next
stage, and suggested that iden-
tity crises may occur at various developmental transition points.
Narcissism is used to explain
how development is derailed when the caretaker’s insufficient
mirroring and lack of responsive-
ness causes narcissism. Kohut believed that this narcissism then
leads to the core emotions of
shame and rage. In contrast, when narcissistic needs are
satisfied, development of a healthy self
is more likely.
Ego psychology focuses on the role of the ego in adapting to the
world and the defenses used to
protect the personality. Two foundation constructs, the triangle
of conflict and the triangle of per-
sons, can be used to depict the dynamic processes that occur

among feelings, anxiety, and defense
mechanisms, as well as patterns of interpersonal relationships.
Additionally, this chapter reviewed some of the primary
assessment tools employed by contem-
porary psychodynamic theorists and researchers, including the
clinical interview and several pro-
jective tests, whose scoring has been revised to more closely
align with object-relations theory.
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CHAPTER 3 Key Terms
Key Terms
ego functions The mechanisms that allow an
individual to maintain a balance between the
demands of the outer world and internal needs
and desires, as well as tolerate various forms of
stress.
epigenetic principle The idea that how biologi-
cal aspects of behavior are expressed in a par-
ticular individual is influenced by the available
environmental factors.
exhibitionism The act or practice of deliber-
ately behaving so as to attract attention; the
narcissistic manifestation of all drives.
good-enough mother The idea that the
mother must be available at a critical level of
parental functioning in order to fulfill the basic

needs of uncomplicated developmental pro-
gression and healthy development.
individuation The process by which the infant
becomes increasingly separate from his/her
primary caretaker in terms of identity and
self-sufficiency.
mirroring The act of providing an accurate
response to the thoughts, mood, and feel-
ings of another, including both reflection and
affirmation.
narcissism A personality disorder character-
ized by extreme, pathological self-love.
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, that influence our later
relationships.
personifications Mental images (similar to the
idea of object relations) that allow us to better
understand ourselves and our world.
psychic structures Our internal object rela-
tions; our internalized ideas about what rela-
tionships with others are like or should be like.
Also known as a schema or template.
rage A core emotion in narcissism, that begins
as a reaction to frustrations of the infant’s nar-
cissistic tendencies.

shame A core emotion in narcissism, it rises
when the parental figures—self-objects—do
not provide the needed mirroring, admiration,
and approval of the emergent self of the child.
structural interview Tool used to assess the
integrity and structure of one’s personality by
asking anxiety-provoking questions that serve
to activate the defense system.
symbiosis The mother–infant unit, of which
the child is initially an undifferentiated part.
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John Foxx/Stockbyte/Thinkstock
Learning Objectives
able to:
• Identify the contributions of some of the early
contributors, such as Donald Hebb, to our
understanding of neuroscience.
• Describe how temperamental variation
reflects our neurobiological endowment.
• Discuss how various neurobiological models
of personality use neurotransmitter systems to
explain variations in personality.

• Characterize the role of serotonin in depres-
sion and the controversy associated with the
placebo effect.
• Explain how early trauma may impact
neurobiological functions and lead to
personality changes.
• Describe the degree to which research-
ers believe personality characteristics are
heritable.
• Explain how genes and the environment inter-
act to determine phenotypic expression.
Neurobiological Models
of Personality 4
Chapter Outline
Introduction
4.1 Neuroscience and Personality
4.2 An Overview of the Nervous System
• The Nervous System
• Neurons—The Building Blocks of the Brain
• Neurotransmitters
• Structural Organization of the Brain
• Specialization of the Brain
4.3 Using Neuroscience to Inform Our
Understanding of Human Behavior
• The Brain and Personality
• Dreaming
• The Unconscious
• The Fight or Flight Response

• Attachment and Separation
• Stress Response Syndrome and Emotional
Trauma
• Describe what we have learned from twin studies and how
recent work has begun to examine the contributing role of
the pre-birth environment (placenta/chorion).
• Describe the emerging field of epigenetics and explain how
epigenetic processes can impact the development of personality.
• Characterize how neuroscience has merged with other sub-
disciplines in psychology to further our understanding in
those areas.
• Identify some of the commonly employed methods of
assessment in the field of neuroscience.
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CHAPTER 4
Introduction
During the fall season, most of us will face the decision to
either get immunized for
the flu or not. Some are diligent about doing so every year,
despite the fact that
the flu shot will not protect them against all flu viruses (just
those estimated to
be most prevalent that year). Others opt against doing so,
sometimes for reasons
as simple as not perceiving themselves to have sufficient time
to stop by a phar-

macy or doctor’s office. Although this decision may appear
trivial, for someone
who is pregnant (especially in the early stages), the decision
may have tremen-
dous implications for the unborn child and his or her life
trajectory. During early
fetal development, neurogenesis (the creation of new neurons)
is near its peak,
with estimates of approximately three million new neurons
developing per min-
ute (Purves & Lichtman, 1985). Because this is such a critical
period of develop-
ment and tremendous growth, it is not surprising to find that
exposure to viruses
during this developmental period can be especially problematic
for the fetus. For
example, research suggests that women who contract influenza
during pregnancy
will have children with a significantly higher chance of
developing schizophrenia
later in life (e.g., Brown, 2006). Recent large-scale genetic
studies have uncovered
Introduction
4.4 Temperamental Substrate of
Personality
• Thomas and Chess’s Classification of
Temperament
4.5 Personality Neuroscience: An
Overview of the Theoretical
• Eysenck’s Three-Factor Model
• Buss and Plomin’s Model

• Depue’s Three-Factor Model
• Cloninger’s Unified Biosocial Theory of
Personality
• Siever’s Dimensional Model
• Application of Neurobiological Models
4.6 Studying the Genetic Basis of Human
Behavior and Personality
• Considering the Chorionic Status of
Monozygotic Twins
• Molecular Genetics and Personality
• Converging Branches of Neuroscience
• Emerging Branches of Neuroscience:
Epigenetics
• Contributions Beyond Psychology and
Future Directions
4.7 Assessment Methods in
Neurobiological Psychology
• Electrical Stimulation of the Brain
• Single-Cell Recording
• Neuroanatomical Studies
• Brain Lesioning and Functional
Neurosurgery
• Case Studies of Neurological Disorders
• Neuropsychological Testing
• Electroencephalography (EEG) and
Neuroimaging
• Current Challenges and Future Direc-

tions in Neurobiological Assessments
Summary
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CHAPTER 4 4.1 Neuroscience and Personality
strong evidence for numerous other neurobiological/genetic risk
factors for the
development of schizophrenia, all of which play an important
role in the mani-
festation of this disease (e.g., Bray, Leweke, Kapur, & Meyer-
Lindenberg, 2010).
What this illustration suggests is the potential dramatic impact
of neurobiological
factors on later life functioning.
Can we accurately predict the impact of neurobiological factors
through genetic
mapping or advanced imaging techniques? Are any of these
neurobiological fac-
tors alterable, and how are they expressed genetically? How
strong are the asso-
ciations between neurobiology and personality variables? The
current chapter
will consider these questions, after first introducing the field of
neuroscience and
some of the basic workings of the brain.
4.1 Neuroscience and Personality
Neuroscience emerged as a discipline in the 1960s and is now a
rapidly growing multidisci-plinary science. Neuroscience

evolved from anatomy, physiological psychology, medicine, and
neuropsychology. One of the earliest and most significant
contributors was Donald
Hebb, who published his landmark book, The Organization of
the Brain: A Neuropsychological
Theory, in 1949. Many current neurobiological models of
personality are based on this early work,
which effectively characterized how the brain learns and how it
changes when learning occurs
(i.e., “neuroplasticity”), with a focus on the strengthening of
neuronal connections. Neuroscience
offers new approaches to personality, using recent technological
advances that focus on how the
brain functions at the neurobiological level. As one of the later
arrivals on the scientific landscape,
neuroscience strives to understand how the brain, with its
biochemical messengers and complex
tangle of neurons, gives rise to consciousness and behavior.
Like psychology, it explores the many factors that shape our
behavior, but the focus is clearly on
the contribution of the nervous system (Weiner & Craighead,
2010). Recent research also sug-
gests that neuroscience may shed light on central themes that
have arisen in the field of per-
sonality, such as the nature of human consciousness and
existence, the continuum of emotions
that we experience, temperamental variations, our biological
response to attachment, and the
consequences of other social interactions, as well. For example,
evidence now suggests that part
of the reason teenagers are sometimes impulsive and thrill-
seeking may be related to the fact
that their brains are not fully developed until about age 23
(Dobbs, 2011). Because the sheath
that surrounds the nerves in teenage brains is not fully

developed, their cognitive and emotional
processing may be less effective. Thus, while a psychodynamic
account might look to the parental
relationships to explain impulsivity, neuroscientific models
might focus on the brain’s structure or
brain chemistry to explain the outcomes.
The human brain is a phenomenal evolutionary development
whose complexity is just beginning
to be understood in and of itself, let alone in relation to
personality. When we consider our own
personality and the major factors that have influenced it, it’s
easy to conceive of how our social,
familial, and other environmental factors may have impacted us.
For example, if we experienced
abuse of some kind, that may stand out as a salient experience
and we may remember how it
impacted our character (i.e., either in an adverse manner or in
how we adaptively coped). Or
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CHAPTER 4 4.2 An Overview of the Nervous System
perhaps we can easily recall how we seem to mimic a parent’s
behavior and approach at handling
stress. However, we are less likely to think about the influential
factors that were present even
before we were born, stamped into our DNA, and sending us on
a trajectory that we played no role
in choosing. “At the heart of the mind–body debate is the puzzle
of how a mass of tissue and the
firing of brain cells can possibly produce a mind that is aware
of itself and that can experience the

color orange, the feeling of pride, and a sense of agency”
(Robins, Norem, & Cheek, 1999, p. 456).
Moreover, even though we often think of biological
contributions as static, emerging research
suggests that even the most fundamental biological processes,
such as genes and their expres-
sion, are actually responsive to the social environment. This
emerging field is called human social
genomics (also called “epigenetic” responses; e.g., Slavich &
Cole, 2013). Specifically, it appears
that some genes are especially responsive to social and
environmental regulation (e.g., Idagh-
dour et al., 2010). Moreover, it is not the social/environmental
events themselves, but rather how
the individual subjectively experiences it that appears most
important. For example, even though
there may be a common social threat, such as alcohol abuse,
genetic expression may be influ-
enced by the person’s sensitivity to that threat (e.g.,
O’Donovan, Slavich, Epel, & Neylan, 2013), or
their interpretation of the threat (i.e., perceiving it as a threat or
challenge; Blascovich, Mendes,
Hunter, & Salomon, 1999), or even the perception of social
support to deal with a threat (e.g.,
Eisenberger et al., 2011). In essence, this reflects the merging
of personality and neurobiology, as
these genetic expressions can become stable individual
differences (e.g., Cole et al., 2007), and
this also introduces a new conceptualization of genetic-
environmental interactions (see Slavich &
Cole, 2013, for a review). Thus, all theories of personality,
explicitly or otherwise, now recognize
the neurobiological foundation of personality, and this
perspective is fundamental to personality
theory (Corr, 2006).

4.2 An Overview of the Nervous System
In the following sections, we provide a brief review of the
nervous system and some of its functions.
The Nervous System
The human body is regulated and controlled by the nervous
system (see Figure 4.1) through a
series of positive and negative feedback loops. It is made of up
two primary systems: the central
nervous system and the peripheral nervous system. The central
nervous system (CNS) is com-
prised of the brain and the spinal cord. The peripheral nervous
system (PNS) is a bundle of nerves
whose primary role is to connect the CNS (brain and spinal
cord) to the rest of the body.
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Figure 4.1: The organization of the nervous system
The nervous system is highly interconnected and the
understanding of these systems allows for a better
understanding of their influence on personality.
The PNS is then divided into the somatic nervous system and
the autonomic nervous system. The
somatic nervous system has both sensory and motor pathways,
with the sensory pathways send-
ing input to the brain and spinal cord, while the motor pathways
send information from the brain
and spinal cord to the muscles and glands. As the name implies,

the autonomic nervous system
is self-governing, meaning we have little conscious control over
its functioning. The autonomic
nervous system can then be further divided into the sympathetic
nervous system, which controls
arousal (e.g., increased heart rate, blood pressure, breathing,
dilation of pupils, etc.), and the
parasympathetic nervous system, which controls the calming
response (e.g., decreased heart
rate, blood pressure, breathing, constriction of pupils, etc.).
Neurons—The Building Blocks of the Brain
The specialized cells that make up the central nervous system
are tiny cells called neurons. Neu-
rons are the essential building blocks of the brain, and it is
estimated that there are upwards of
100 billion neurons in the human brain and 16 to 23 billion
neurons in the cerebral cortex alone,
depending on such factors as age and gender (Pakkenberg &
Gundersen, 1997; Williams & Herrup,
1988). Their most important function is to communicate
information (Squire et al., 2003).
Nervous System
Peripheral Nervous System
cranial nerves, spinal nerves
Central Nervous System
brain, spinal cord
Somatic Nervous System
voluntary
Autonomic Nervous System
involuntary

Sympathetic
Nervous System
arousal
Parasympathetic
Nervous System
calming response
skeletal muscles cardiac muscles
smooth muscles
glands
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Figure 4.2: Depiction of a neuron
Each component of the neuron has a specific function in sending
and receiving information.
Neurons consist of three major structures (see Figure 4.2): the
soma or cell body; dendrites, which
are hair-like structures that emanate from the cell body, often
with many tree-like branches; and
an elongated portion termed the axon. Neurons are connected to
other neurons by dendrites and
axons. Neural transmission ordinarily proceeds from the cell
body outward along the axon and
across a space (termed a synapse) to the dendrites of an
adjoining/nearby neuron (Carnevale &

Hines, 2006).
Neurotransmitters
Neurotransmitters are endogenous chemicals (i.e., they are
naturally occurring in the human
body), and they carry information to other cells across the
synaptic gap (see Figure 4.3). The
synaptic gap is the space between two neighboring neurons
where the neurotransmitters
are released when a neuron is activated. Within the synaptic
gap, there can be a complex
exchange of more than 100 neurotransmitters, including
dopamine, monoamine oxidase,
serotonin, and acetylcholine, and each neuron can release
neurotransmitters (by firing) up to
1,000 times per second.
Dendrite Soma
Axon
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Figure 4.3: The neurochemical process of neuronal
communication
These neighboring neurons are able to share information using a
complex process that involves
transferring information as an electrical impulse within the
sending (presynaptic) neuron and as a
chemical message between neurons.

Various neurotransmitters are associated with different
emotional and behavioral response ten-
dencies and have been implicated in neurological and
psychiatric disorders. For example, genetic
variability in two neurotransmitters, dopamine and serotonin,
can predict risk-taking behavior
(Heitland, Oosting, Baas, Massar, Kenemans, & Böcker, 2012),
thereby suggesting that certain
individuals may require and seek out higher levels of
stimulation (Golimbet, Alfimova, Gritsenko,
& Ebstein, 2007).
Different types of cells secrete different neurotransmitters;
some may be excitatory (lead to neu-
ral firing) and others inhibiting (prevent neural firing).
Neurotransmitters appear to work in differ-
ent areas of the nervous system and have a different effect
according to where they are activated.
Scientists have identified more than 100 different
neurotransmitters, and more continue to be
discovered. For a list of some of the neurotransmitters and their
primary functions, see Table 4.1.
Neurotransmitters play a central role in all human action, and
they are also thought to play an
integral role in understanding both neurological and
psychological disorders, such as Parkinson’s
disease and depression.
Synaptic
cleftNeurotransmitter
molecule
Postsynaptic
membrane

Receptor
site
Presynaptic neuron
Presynaptic neuron
Presynaptic
membrane
Postsynaptic
neuron
Postsynaptic neuron
Neural
impulse
Neural impulse
Axon
Axon
Dendrites
Synaptic
vesicles
Axon
terminal
Neurotransmitter
molecule
Postsynaptic

membrane
Receptor
site
Synaptic
cleft
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What is the rationale for considering clinical constructs such as
depression within the context of
personality research? Personality traits are closely related to
mood states, both conceptually and
from a functional standpoint. For example, a mood state is seen
as somewhat transient, lasting
from several minutes to upwards of several weeks or even
months. Personality is thought to be
more durable, but there is no clear delineation between how
long a state lasts relative to a person-
ality trait. Therefore, research focused on understanding the
neurobiology of clinical conditions is
likewise shedding light on personality functioning.
Table 4.1: Primary neurotransmitters and their functions
Neurotransmitter Function
Dopamine Controls arousal levels in many parts of the brain and
is vital for
controlling motor activity. When levels are severely depleted,
as in

Parkinson’s disease, people may find it impossible to control
voluntary
movements. Overly high levels seem to be implicated in
schizophrenia
and may give rise to hallucinations.
Serotonin Associated with the regulation of mood, sleep, and
appetite. Serotonin
has a profound effect on mood and anxiety: High levels of it (or
sensitivity to it) are associated with serenity and optimism.
Serotonin is
also involved in many other physiological functions including
sleep, pain,
appetite, and blood pressure.
Acetylcholine (ACh) Controls activity in brain areas connected
with attention, learning, and
memory. People with Alzheimer’s disease typically have low
levels of
ACh in the cerebral cortex; drugs that boost its action may
improve
memory in such patients.
Gamma-aminobutyric
acid (GABA)
Though technically an amino acid, GABA is often classified as
a
neurotransmitter. It balances the brain by inhibiting over-
excitation (i.e.,
decreasing the neuron’s action potential), induces relaxation
and sleep,
controls motor and visual functioning, and is related to
symptoms of
anxiety.

Noradrenaline Mainly an excitatory chemical that induces
physical and mental arousal
and heightens mood. Noradrenaline is centrally involved in
reactions to
stress and panic.
Glutamate As the brain’s major excitatory neurotransmitter,
glutamate is vital for
forging links between neurons that are the basis of learning and
long-
term memory.
Enkephalins and
endorphins
Endogenous opioids that, like the opiate drugs, modulate pain,
reduce
stress, and promote a sensation of happiness and well-being.
They also
depress physical functions like breathing.
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Structural Organization of the Brain
The brain is a structure (see Figure 4.4) that looks like a
somewhat larger version of your closed
fist with your thumb inside. The forward part of your fist with
its closed fingers represents the
forebrain. Its thin outer shell is the cerebral cortex. The brain
divides naturally into two halves,
called cerebral hemispheres. The hemispheres are connected by
a thick band of fibers called the

corpus callosum, which allows for communication between the
left and right hemispheres. Your
thumb, inside your fist, is the midbrain: it includes the limbic
system, which is mainly concerned
with emotional processes and memory. It is often referred to as
the old mammalian brain because
it appeared early in mammal evolution. In this analogy, your
wrist is your brain stem (basal gan-
glia), which is part of the hindbrain. The hindbrain is sometimes
referred to as the reptilian brain
because it is thought to be the first evolutionary structure
among animal species. This region of
the brain is responsible for basic physiological functions, such
as breathing and eating. The divi-
sions are somewhat of a simplification but are nevertheless
instructive (Panksepp, 1998). Follow-
ing evolutionary lines, the hindbrain was first to develop; the
midbrain was next; and the cerebral
cortex covering the brain and accounting for higher mental
activities developed last (MacLean,
1990; see also Striedter, 2005, for another perspective).
Figure 4.4: The major structures of the brain
Forebrain
Midbrain
Hindbrain
Spinal
cord
The figure depicts the approximate location and
relative sizes of the major structures of the brain.

Viewed from the outside, deep crevasses (fissures) divide the
cerebral cortex into four regions,
termed lobes (see Figure 4.5): the frontal (front of the brain,
behind your forehead), parietal (mid
section), temporal (bottom section), and occipital (back of
brain). Each lobe has primary functions
associated with it, but there is also considerable neuroplasticity,
meaning that some functional
changes can occur with time. Neural plasticity will naturally
occur as we develop, but it can be
demonstrated in response to brain trauma, where the functions
of one part of the brain are taken
over by another part of the brain (a phenomenon known as
migration of functioning). The latter is
more likely to occur, or at least to a greater degree, in the
brains of younger individuals; however,
recent findings suggest that it can also occur and be enhanced in
older adults by having them
engage in demanding cognitive tasks (e.g., Delahunt et al.,
2009).
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Each hemisphere of the brain contains four
lobes, and each lobe has specific functions.
This figure shows the left hemisphere, but the
right hemisphere has the same four lobes.
Figure 4.5: The four lobes of the brain
Frontal lobe

Temporal lobe
Parietal lobe
Occipital lobe
The frontal lobe is very important in our ability to plan complex
sequences of behavior and engage
in rational thinking. The parietal lobe is concerned mainly with
sensation relating to touch. The
temporal lobe is primarily concerned with language, speech, and
hearing. Broca’s area and Wer-
nicke’s area are specific parts of the temporal lobe involved in
language (Damasio, 1999). Finally,
the occipital lobes, located at the very back of the brain, are
involved in vision (they contain the
visual cortex.).
Another important brain structure, the cerebellum, is located at
the back and bottom of the brain.
It is a rounded structure that is linked to other regions of the
brain by thick bundles of nerve fibers.
When functioning normally, it regulates signals involving
movements, thoughts, and emotions
from other parts of the brain. The cerebellum is arranged in an
unusual configuration: It consists
of stacks of fanlike, highly compacted neurons.
Specialization of the Brain
One of the distinguishing features of the brain is that it is not
fully symmetrical in functioning
(Gazzaniga, Ivry, & Mangun, 2002; Geschwind, 1979). That is,
the two hemispheres of the brain
do not share all tasks equally—a phenomenon referred to as
lateralization. For example, most
individuals have a dominant hemisphere for certain activities.

For motor responses, the dominant
hemisphere is usually the opposite of your dominant hand. The
way the brain is wired, the right
side of your body is controlled by your left hemisphere; the left
side, by your right hemisphere.
For the majority of us—because only about 10% of humans are
left handed—the left hemisphere
is dominant for motor activities.
Other research on the functions of the hemispheres suggests that
the left hemisphere may be
more involved than the right in language and logical thinking.
The right hemisphere is somewhat
more involved in musical aptitude and may be more adept at
processing the nonverbal aspects
of language, such as recognizing tones. It is also considered the
intuitive, emotional, and artistic
hemisphere. However, there is enormous overlap in the
functions of the two hemispheres.
Broca’s Area
Early in the 20th century, Pierre Broca, a famous brain
investigator, noticed that damage to a
specific area of the left frontal lobe of the cortex (which is now
called Broca’s area) resulted in
aphasia—speech disorder. Speech of affected patients was slow
and labored, with impaired artic-
ulation. He went on to discover that damage to the right frontal
lobe left speech intact. What is
striking is that patients with what is now labeled Broca’s
aphasia can speak only with great dif-
ficulty, but they are able to sing with ease (Schlaug, Norton,
Marchina, Zipse, & Wan, 2010).
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CHAPTER 4 4.3 Using Neuroscience to Inform Our
Wernicke’s Area
Carl Wernicke, another eminent pioneer, studied another area of
the cerebral cortex, the tem-
poral lobe. Damage in this area of the brain (now called
Wernicke’s area) also leads to speech
dysfunction, but of a different sort. The speech of patients with
Wernicke’s aphasia is grammati-
cally normal but demonstrates semantic deviations. The words
chosen are often inappropriate or
include nonsense syllables (Kolb & Whishaw, 2003).
4.3 Using Neuroscience to Inform Our Understanding
of Human Behavior
All aspects of the nervous system interact in important ways,
many of which are outside of our control and outside of our
awareness. The importance of these interconnections is that
their complexity speaks to some of the issues central to the
understanding of personal-
ity. For example, does personality change due to brain injury?
Is the concept of the unconscious
informed by autonomic responses that occur outside of our
awareness? Can neuroscience provide
a new perspective on attachment and separation? We examine
these and other questions here.
The Brain and Personality
When the brain is injured from trauma (such as a car accident)
or organic disease (such as tumors

or Alzheimer’s dementia) or from ruptured cerebral blood vessel
(stroke), the individual may dem-
onstrate dramatic changes in personality. Neuropsychologists
can often determine the focal point
of a brain injury by the behavioral, social, and emotional
consequences (sequelae) of the injury.
For example, a patient who suffered from a blow to the head
and is unable to talk may have suf-
fered damage to Broca’s area of the brain, as mentioned earlier.
There is considerable evidence that damage to various parts of
the brain results in different effects
on emotional responses. For example, right hemisphere lesions
can undermine emotional regula-
tion as well as compromising the ability to recognize emotional
responses in others (Geschwind,
1979). Lesions in the left side of the brain are often
accompanied by depression; in contrast, those
with right cerebral damage sometimes seem unconcerned with
their condition.
There have been some interesting cases of severe head injuries
resulting in altered personality
functioning. Of course, there is a limit to the number of cases
that we can study because not
everyone who experiences a severe head trauma survives,
especially in previous centuries. One
of the more famous cases in the study of neuroscience was that
of Phineas Gage (1823–1860).
In a railway accident, a steel rod shot into Gage’s skull and
through his frontal cortex. Amazingly,
he survived. He was leading a reasonably normal life within
four months, but his character had
changed dramatically. The local physician who treated Gage
described him as impatient and ver-
balizing “grossest profanity.” Those who knew him prior to the

accident concluded that Gage was
“no longer Gage.” The damage to the frontal cortex had
significantly reduced his inhibitions, and
he routinely engaged in socially inappropriate behavior.
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Recent research has similarly found
alterations to the brain produce
alterations to personality. One cross-
sectional design examined the per-
sonality change associated with
the neurobiological alterations that
occur with early Alzheimer’s demen-
tia (Pocnet, Rossier, Antonietti, &
von Gunten, 2013). Findings showed
decreased openness to new experi-
ence (creativity) and conscientious-
ness. These findings were consistent
with a review of the literature show-
ing large and consistent decrease in
conscientiousness and openness to
new experience (along with reduced
agreeableness and increased neu-
roticism) associated with advancing symptoms of Alzheimer’s
dementia (Robins Wahlin & Byrne,
2011). Moreover, a similar pattern of personality change also
emerged for those with frontotem-
poral lobar degeneration (Mahoney, Rohrer, Omar, Rossor, &
Warren, 2011).

Dreaming
Most of us recall at least some of our dreams—especially those
that are lucid (rare dreams where
dreamers know they are dreaming) or have strong emotional
content. Dreaming is a sign that our
brain is at work even while we sleep. Although other theoretical
perspectives focus on the dream
content and assume that it reveals intrapsychic conflicts, the
neurobiological perspective offers an
alternate explanatory framework.
The brain can be very active during sleep, with almost as much
brain activity during certain aspects
of sleep (rapid eye movement sleep, or REM) as is seen during
the wake state. Controlled by nuclei
in the brainstem, sleep involves a sequence of physiological
states. The fact that the brainstem
is centrally implicated in controlling dreams is consistent with
the belief that dreams occur in all
vertebrates. This also highlights the importance of dreaming, as
functions that are more widely
observed across different species are thought to be more central
to survival.
Some research focuses on the mechanism of dream recall rather
than the occurrence of the
dream. The literature suggests that the neurophysiological
mechanisms involved in the encoding
and recall of memories (e.g., mediated by hippocampal nuclei),
is comparable in both wakefulness
and sleep. Moreover, the temporo-parieto-occipital junction and
ventromesial prefrontal cortex
appear to be especially important to dream recall (De Gennaro,
Marzano, Cipolli, & Ferrara, 2012).
Research also suggests that brain volume and structure of the

hippocampus–amygdala are related
to dreaming.
Everett Collection/SuperStock
The entry and exit points of Gage’s skull are depicted here,
showing the parts of the brain impacted by the rod.
Lec81110_04_c04_097-132.indd 108 5/21/15 12:38 PM
The biological explanations for dreams are a far cry from the
ideas forwarded by theorists such as
Freud and Jung. Neuroscientific explanations distill the dream
down to its basic neurochemical
reactions and appear to leave little if any room for what we
would traditionally refer to as per-
sonality. Importantly, although these models provide an
important account of the experience of
dreaming, the neurobiological evidence does not provide any
insight with respect to the dream
content (only occurrence). Thus, there may be room at the table
for all perspectives when it
comes to fully understanding dreams, a domain that has
traditionally fallen within the field of
personality psychology (see Application Exercise 1 in this
chapter for a more detailed consider-
ation of this issue).
The Unconscious
Neuroscience has made significant contributions to our
understanding of the unconscious, and

much of the research in this area builds upon the findings
reported in Chapter 2 on the cognitive
unconscious. Both imaging studies and examinations of the
consequences of brain lesions have
established that word meaning is processed by the left
hemisphere (Damasio, Grabowski, Tranel,
Hichwa, & Damasio, 1996). This converges with the material
presented earlier in this chapter
where we identified the major speech and comprehension
centers as being in the left hemisphere.
As noted in Chapter 2, when a study uses briefly presented
stimuli and masking, it is possible for
stimuli to not be consciously perceived (e.g., Bar & Biederman,
1998). These unconscious stimuli
can decrease reaction times (speed up) the subsequent
recognition of other conscious stimuli that
are semantically related (Dehaene et al., 2001). Neuroscientific
research has employed functional
magnetic resonance imaging (fMRI) to identify the regions of
the brain that respond to the uncon-
scious stimuli; the left fusiform gyrus and left precentral gyrus
have been implicated (Dehaene et
al., 1998, 2001). Electrophysiological studies have likewise
identified evoked potentials associated
with the influence of masked primes (e.g., Kiefer, 2002). These
studies indicate that unconscious
processing can be mapped and associated with a specific pattern
of responding.
Neurobiological evidence that the brain is able to respond to
stimuli without conscious awareness
is an important step to validating the existence and role of the
unconscious, and its contributions
to our personality. Given the controversies associated with the
unconscious over the years, such

findings are relevant to establishing an explanatory framework
that is separate from, or in addi-
tion to, that provided by theorists from other perspectives in the
field of personality (see Kato &
Kanba, 2013; Modell, 2012).
The Fight or Flight Response
An important unit of interconnected brain structures of the
midbrain and the limbic system is
responsible for rapidly responding to danger. This system,
termed the hypothalamic-pituitary-
adrenal axis (HPA or HTPA axis), includes the hypothalamus, a
tiny brain structure, and the pitu-
itary and adrenal glands, as well as the limbic system. These are
all connected by pathways of
neurons in a ring of structures that play a vital role in emotional
responding (Sapolsky, 2004). The
limbic system is also likely to be a major component of learning
complex tasks that require analysis
and synthesis. It includes small, almond-like structures called
the amygdalae (amygdala in the sin-
gular), which are responsible for emotional response in the face
of danger. Also part of the limbic
system and connected to the amygdala is the hippocampus,
which is implicated in memory and is
responsible for creating maps of the external world; these are
used for rapid pattern recognition.
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One of the essential functions of the limbic system is to

regulate the fight-flight response, which
was first identified by Walter Cannon (1939; see also Corr,
2006). This response is essential to
human adaptation. It is thought to have evolved because of the
need for a rapid response system
to danger. The advantage of this limbic system structure is that
it bypasses the frontal lobes of the
brain (responsible for executive functions), providing a direct
connection between the brain and
muscular systems, thus allowing for immediate reaction when
faced with serious danger. It would
not be wise to stop and ponder the situation when confronted by
a saber tooth tiger, for example;
“run first and think later” makes more evolutionary sense.
Interestingly, researchers have also
indicated that a brief freeze response typically precedes the
fight-flight response, during which
time the organism is in a heightened state of awareness and
their senses engage in information
gathering to prepare for the next response (see Adenauer,
Catani, Keil, Aichinger, & Neuner, 2009).
The addition of the concept of freezing is in keeping with the
finding that the first reaction to a
threat is usually a decrease in heart rate (Bradley, Codispoti,
Cuthbert, & Lang, 2001).
The limbic system is implicated in many stress-related
disorders. When there is chronic over-
activation of the limbic system, such as might result from
continued stress, trauma, or neglect, an
organism can experience a state of disequilibrium called
allostatic loading (McEwen & Seeman,
2003), a concept that was referred to in Chapter 3. In this state
of chronic stress, a number of
neurochemical reactions occur, including an increase in the
production of stress hormones and

steroids. Over time, this can lead to physical and mental
disorders, such as PTSD, mood disorders,
and anxiety.
Attachment and Separation
Although there is very rapid brain growth until age 2, the
prefrontal cortex of the brain does not
develop fully until adulthood. After age 2, synaptic growth
begins to slow, and cells that are not
used experience a programmed form of death referred to as
neural pruning (Grigsby & Stevens,
2000, p. 290). These findings from neuroscience have important
implications for human attach-
ment and its influence on our development.
The social world influences the expression of our genes and,
through a complex process called
epigenesis (see Chapter 3 for a neo-analytic use of this term),
may even alter our genes during
our lifetime. For example, there is evidence that trauma early in
life, resulting from a disruption in
attachment through loss, illness, or separation, leads to
hormonal and other physiological distur-
bances. These changes may alter the trajectory of development
(Siegel, 1999).
There is also evidence that there may be sensitive periods for
certain kinds of learning.
Sensitive periods are times of development when learning is
most likely to occur because the indi-
vidual is biologically primed for learning a particular
behavioral pattern. After—or before—these
periods, learning may be more difficult. For example, if you
who grew up in a bilingual household,
you easily learned two languages. Those who did not learn a
second language early in life gener-

ally have a much more difficult time doing so later. And in the
same way that there appears to
be a sensitive period for language learning, there may be
sensitive periods for the formation of
attachments. Lack of appropriate experiences during these
periods may influence our later capac-
ity for intimacy with others. Interestingly, similar periods of
heightened learning are seen in other
species, though the timing for such learning is less flexible, and
these are called critical periods.
The literature also suggests that while all stress responses have
some common features, specific
stress responses may be seen in those with a vulnerability for
that particular stressor. For example,
research suggests that stress in the form of relationship threats
(i.e., separation from an intimate
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partner) can be marked by spikes in cortisol (a steroid hormone,
more specifically a glucocorticoid)
and these are most evident in men with anxious attachment
styles (Powers, Pietromonaco, Gun-
licks, & Sayer, 2006). Thus, when the partners of anxiously
attached individuals travel, they tend to
have higher cortisol levels (Diamond, Hicks, & Otter-
Henderson, 2008), presumably because the
time away from their partner is more likely to be seen as a
threat to the relationship.

As noted in Chapter 3, attachment in other species can be
informative to understanding the pro-
cess of attachment in humans, especially when dealing with
species who have are more neurobio-
logically similar. One common aspect to all of the attachment-
separation research is that the end
result is to create a very focal stress reaction (i.e., stress due to
separation). Thus, briefly reviewing
the neurobiology of stress is useful.
Stress Response Syndrome and Emotional Trauma
Hans Selye borrowed the term stress from the field of
engineering and incorporated it within biol-
ogy in the 1930s. He used the term to describe a physiological
response that is inadequate to an
environmental demand (Selye, 1956). Selye suggests that, like
the last heavy truck whose added
weight destroys the bridge, one more source of psychological
stress added to many other stress-
ors might have serious and long-lasting consequences.
Seyle’s contribution, in the form of his theory of the General
Adaptation Syndrome (GAS), was a
major and enduring one. The theory explains that there are three
stages in our response to stress
(Cooper & Dewe, 2004):
1. alarm, when the flight-fight response is activated (recall that
this is the sympathetic
nervous system);
2. resistance, when the stressor persists and the body tries to
adapt to the strain; and
3. exhaustion, where the body becomes depleted, the immune
system impaired, and the

individual is unable to function.
Robert Sapolsky (2004), in his book Why Zebras Don’t Get
Ulcers, writes that by ruminating over or
re-living a stressful event, humans have the distinct capacity to
create a downward cycle in which
the effects of glucocorticoids on the human body are
debilitating when experienced at high levels
or for long periods of time. This contrasts with other species,
such as a zebra, which after escaping
(or before being chased by) a predator, appears not to be
especially concerned and is not marked
by the ruminative worry commonly displayed in humans.
The effects of stress on both physiological and psychological
functions have been well documented.
Chronic stress can result in a disturbance to our immune system
as well as a disruption of per-
sonality functioning. As Kramer (1993) explains, “Pain,
isolation, confinement, and lack of control
can lead to structural changes in the brain and can kindle
progressively more autonomous acute
symptoms” (p. 117). For example, psychological stress causes
reductions in certain hormones such
as beta-endorphin, glucocorticoid, and prolactin. Also, the
effects of sexual abuse produce consis-
tently higher levels of cortisol and more easily triggered
cortisol responses to stimulation, which
have been linked to higher levels of depression and post-
traumatic stress disorder.
Emotional trauma is another way of conceptualizing stress.
Trauma is a severe emotional response
to an overwhelming event, such as rape, assault, natural
disasters, torture, and psychological
abuse. Symptoms can include flashbacks, relational

disturbances, somatic (bodily) complaints,
and unpredictable emotions. More subtle forms of what is
termed relational trauma early in
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CHAPTER 4 4.4 Temperamental Substrate of Personality
life—for example, neglect and caregiver abuse—can adversely
affect limbic system development
(Schore, 2003).
High emotional arousal associated with traumatic experience
has been found to be a consistent
element of many severe personality disorders as well as of
major depression (Levitan et al., 1998).
Conversely, too little emotional activation can also have a
profound effect on various aspects of
personality. The National Institute of Mental Health’s (1995)
report summarizing experimental
and clinical studies on post-traumatic stress disorder describes
the impact on a variety of neural
systems, but especially the limbic system of the brain. It is clear
from the accruing evidence that
trauma can have a permanent impact on the attachment system
and can lead to later personality
disorders and psychological disturbances (Beebe & Lachmann,
2002).
Neuroscientists have found evidence that the limbic system is
part of a complex of interconnected
brain regions related to emotion (Sapolsky, 2004). When
animals and humans experience acute
stress, they can often recover with time. But in certain

situations, acute or chronic low-level stress
can sensitize the limbic system, activating the stress-response
circuits in the brain. Harlow showed
that among infant monkeys, stress from attachment disruption is
a factor in later psychopathol-
ogy. And developmental psychologists have shown that
disrupting attachment even briefly leads
to profound changes in the infant’s attachment system.
Personality development is influenced by a number of factors,
including genetic predisposition
and neonatal development, but emotionally traumatic events can
kindle certain neuronal path-
ways that then become sensitized and overact in given
situations. In this context, kindling refers
to the repeated stimulation of brain circuits, which can induce
epilepsy and personality changes
(Panksepp, 1998). Thus, kindling may lead to actual changes in
limbic structures.
It seems clear that stress interacts with our neurobiology and
impacts our personality and our
development.
4.4 Temperamental Substrate of Personality
Temperament is a largely biological—hence inherited—
dimension that can also be influenced by maternal health and
neonatal factors, such as maternal substance abuse, depression,
ill-ness, and malnutrition. Temperament is the substrate of
personality that provides us with
the genetic encoding that shapes much of our personality.
Temperament influences our personality development by
providing the parameters that our envi-
ronment will shape into our unique self. As an analogue, height

is largely genetically determined.
But the nutrition, or the malnutrition, provided by the
environment is what determines your final
height—in addition to the possibility of growth-stunting illness,
disease, or glandular malfunction,
which could conceivably make you much shorter or taller than
expected. Temperament, too, is
influenced by a plethora of biological and prenatal factors, such
as genetic predisposition, and
prenatal influences, including maternal health, smoking,
environmental toxins, and nutrition.
Stress hormones and neurotransmitters have a substantial impact
on temperamental variation.
The study and classification of temperamental variation
represents a major advance in develop-
mental psychology with important implications for
neurobiological models of personality. There
have been many theoretical models forwarded, but we will here
present one of the more influen-
tial of these.
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CHAPTER 4 4.4 Temperamental Substrate of Personality
Thomas and Chess (1977) were early innovators in the study of
temperament, suggesting that it
has a pervasive influence on our personality development and
that any comprehensive model of
personality must account for this influence. Thomas and Chess’s
classification system is especially
useful in this regard.
Thomas and Chess’s Classification of Temperament

Thomas and Chess (Chess & Thomas, 1986; Thomas & Chess,
1977; Thomas, Chess, & Birch, 1968)
did important work observing and systematically rating several
hundred infants from birth to early
adolescence. They identified nine categories of temperament
(Thomas & Chess, 1977, pp. 21–22):
• Activity level. This is the child’s level of motor activity
reflected in the proportion of
active and inactive periods during a typical day.
• Rhythmicity (regularity). This refers to the predictability of
the child’s behaviors.
• Approach or withdrawal. This dimension of temperament is
evident in the nature of the
infant’s initial response to a new stimulus such as a new food,
different toy, or strange
person.
• Adaptability. This is reflected in responses to new or changed
situations.
• Threshold of responsiveness. This is indicated by the intensity
of stimulation required to
evoke a visual, auditory, or tactile response.
• Intensity of reaction. This is the energy level of response,
regardless of its quality or
direction.
• Quality of mood. Mood is reflected in pleasant, joyful, and
friendly behavior or in
unpleasant, crying, and unfriendly behavior.
• Distractibility. The effectiveness of extraneous environmental
stimuli in interfering with

or in altering the direction of the ongoing behavior.
• Attention span and persistence.
Attention span is defined by
the length of time during which
the child engages in a particular
activity. Persistence refers to
the continuation of an activity
in the face of obstacles.
In their studies, Thomas and Chess
observed that infants demonstrated rec-
ognizable patterns even in the first few
months. This was a critical finding that
supported what most parents realize:
Children are not born the same, and this
can be explained by genetic variations.
Some children have very demanding, dif-
ficult temperaments from birth, whereas
others are easily calmed and responsive
to maternal input.
Based on their findings, Thomas and Chess were able to reduce
their nine factors to two central
dimensions of temperament: activity pattern and adaptability.
Activity refers to whether a child is
vigorous and continuously interactive with the environment or
tends to be passive. Adaptability
refers to a child’s positive approach to new stimuli in the
environment. Some children tend to
Pojoslaw/iStock/Thinkstock
How much of personality is due to natural temperament
versus what we learn from caregivers and the

environment?
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CHAPTER 4
approach new stimuli with a high degree of flexibility and are
able to respond to the changing
demands of their environment; others tend to withdraw, often
expressing negative moods when
exposed to novel situations.
There are three major temperamental variations, explain Thomas
and Chess: the easy child, the
difficult child, and the slow-to-warm child. Jerome Kagan added
two categories to Thomas and
Chess’s descriptions: He identified infants who were distressed
and inactive but cried a lot and
others who were aroused and highly active but did not cry. He
found that these temperamen-
tal variations often predicted later difficulties such as anxiety
and conduct disorder—a finding
that supports the belief that infant temperament influences adult
personality (Kagan & Snidman,
2004). Interestingly, such temperamental differences have also
been documented in other spe-
cies, such as “shy” rhesus monkeys (Suomi, 2009). Suomi notes
that these behaviors and the pre-
sumed biological causes are stable into adulthood and can be
passed on to the next generation,
but they can also be modified by environmental factors.
Thus, it appears that even complex interpersonal processes such
as attachment and separation

(discussed in Chapter 3), which are thought to be central in the
early formation of personality
(i.e., temperament) can be represented in neurobiological terms.
However, simply representing
personality constructs is not sufficient to justify the discussion
of neurobiology in the field of per-
sonality. Instead, it is necessary to also consider theoretical
models that explicitly link personality
to neuroscience, and that is the focus of the next section.
4.5 Personality Neuroscience: An Overview of the
Theoretical Neurobiological Models
Personality neuroscience is the branch of neurological sciences
that investigates how pro-cesses in the brain influence
interaction between environment and genes (DeYoung & Gray,
2009). Neurobiological models represent neuroscience’s initial
attempts to develop neuro-
biologically based models of personality showing how brain
processes, and especially the activity
of neurotransmitters, are linked to personality traits and
variations in personality (DeYoung &
Gray, 2009).
We will here review five important neurobiological models: (1)
Eysenck’s three-factor model,
(2) Buss and Plomin’s three-factor temperament model, (3)
Depue’s three-factor model, (4) Clon-
inger’s unified biosocial theory of personality, and (5) Siever’s
dimensional model.
Eysenck’s Three-Factor Model
Eysenck believed that differences in personality that could be
observed around the world were
due to biological variability. Eysenck stated that there were
stable variations in biology that could

predict important outcomes. He proposed three basic factors: (1)
introversion/extraversion,
(2) neuroticism/emotional stability, and (3) psychoticism/ego
strength. Eysenck stated that the
first two factors were relevant to the nonclinical population,
whereas all three factors were
relevant when considering variation in clinical populations.
1. Extraversion/Introversion. Eysenck linked this factor to
activity in the
ascending reticular activating system (ARAS). We will
elaborate on this specific factor
below because it garnered the most research support.
4.5 Personality Neuroscience: An Overview of the Theoretical
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CHAPTER 4
2. Neuroticism/Emotional Stability. Emotional
stability/instability was thought to be a very
basic emotional experience and was theoretically linked to
activity in the amygdala.
3. Psychoticism/Ego Strength. For those in the nonclinical
population, there was thought to
be minimal variability on this factor, with virtually everyone
exhibiting high ego strength.
As noted, the area receiving the most attention was the model
linking activity in the ARAS to
the trait of extraversion/introversion. Eysenck (1967; Strelau &

Eysenck, 1987) worked on the
assumption that the ARAS regulated the flow of information
and stimulation to the brain, with
some people allowing a great deal of stimulation to the brain,
while others allow very little stimu-
lation to the brain. Specifically, the former group was referred
to as introverts, who were thought
to have relatively weak inhibitory and strong excitatory
tendencies, resulting in a high degree
of cortical arousal. In contrast, extraverts were thought to have
relatively strong inhibitory and
weak excitatory tendencies, resulting in lower levels of cortical
arousal. For this reason, Eysenck
believed that extraverts were generally understimulated and
therefore had to engage in behavior
to achieve brain stimulation (e.g., a high number of social
interactions and gravitating to other
high-stimulus experiences). In contrast, Eysenck suggested that
introverts are typically overstimu-
lated and would therefore engage in behavior to minimize brain
stimulation (e.g., avoiding social
interactions and other forms of stimulation).
Although this theoretical model garnered much attention, the
research did not fully support the
theory as stated. It turns out that introverts and extraverts do
not necessarily differ in how much
stimulation enters the brain in general. Thus, in the absence of
stimulation, there would not be
any differences between the stimulation experienced by the
brains of introverts and extraverts.
However, research suggests that they do differ in their response
to stimulation. Thus, the litera-
ture provides at least partial support for the revised model
(Bakan & Leckart, 1966; Bartol, 1975;
Farley & Farley, 1967; Phillip & Wilde, 1970). Eysenck also

hypothesized that depressant drugs
elevate cortical inhibition, lower cortical excitation, and result
in what is commonly characterized
as extraverted behavior (Eysenck, 1960b). In general, these
findings converge with more recent
lines of research redefining extraversion as “sensation seekers”
(Zuckerman, 1998) or focusing on
other parts of the brain (i.e., not limiting themselves to the
ARAS; e.g., Gray et al., 2005).
It should be noted that the models that follow have many of the
same assumptions as Eysenck’s
model, but they benefitted from more contemporary research
and technology.
Buss and Plomin’s Model
Buss and Plomin’s (1975, 1984) three-factor temperament
model is designed to explain variations
in personality. They believed that traits are largely inherited
and are grounded in neurobiology.
The three factors that define their model and are reflected in
personality are (1) activity, (2) emo-
tionality, and (3) sociability:
1. Activity. This factor is defined as the extent to which an
individual tends to be tireless
and constantly moving or lethargic and passive.
2. Emotionality. This factor is evident in the tendency to
become easily emotionally
aroused (displaying temper, mood swings, and high
expressiveness) or slow to emotional
arousal (calm, nonreactive).
3. Sociability. This factor is apparent in the need to be with
others (finding social interac-

tion gratifying) or appearing detached and uninterested in social
discourse.
4.5 Personality Neuroscience: An Overview of the Theoretical
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CHAPTER 4 4.5 Personality Neuroscience: An Overview of the
Various combinations of these factors account for different
personality configurations. For exam-
ple, an introvert is low on sociability and activity, but an
extrovert is at the opposite pole on both
(Millon & Davis, 1996b). An individual with a hysterical
personality is high in sociability, emotion-
ality, and activity; a depressive personality is low in sociability,
emotionality, and activity. Each
personality represents a unique combination of these three
factors. Buss and Plomin’s research
expands upon the work attempting to tie these factors into
underlying neurobiological systems
(Zentner & Bates, 2008). More recently, researchers have
attempted to summarize, compare, and
synthesize some the dominant models of personality and link
them to child temperament (e.g.,
Zentner & Bates, 2008).
Depue’s Three-Factor Model
Depue’s (1996) work presents a more direct attempt to link
factors to the activity of neurotrans-
mitters. Depue (1996) accounts for personality in terms of
underlying neurobiological systems

that he associates with three “superfactors” that have
consistently been reported in the research
to explain personality: (1) positive emotionality, (2) constraint,
and (3) negative emotionality.
Positive Emotionality
Depue (1996; see also Depue & Collins, 1999) proposes that
one of the major factors under-
lying personality structure is positive emotionality. This is the
ability to “experience feelings of
incentive, effectance motivation, excitement, ambition, potency,
positive affect, and well-being”
(pp. 353–354). He describes three core processes involved: “(1)
incentive-reward motivation,
(2) forward locomotion as a means of supporting goal
acquisition, and (3) cognitive processes”
(p. 354). Being positive, suggests Depue, is closely related to
dopaminergic systems (DA) within
the brain. We know that the neurotransmitter dopamine is
closely associated with reinforcement,
and therefore with feelings of well-being (hence with positive
emotions). Positive emotions clearly
have a strong influence on our reactions and our personalities,
and recent research provides some
support for this theory, as it differentiates incentive-reward
motivation (also referred to as extra-
version) in terms of reactions to positive affective priming (e.g.,
Robinson, Moeller, & Ode, 2010).
Constraint
The second superfactor in this three-factor model is constraint,
a factor sometimes referred to
as (low) psychoticism or (high) ego strength. In a literal sense,
a constraint is a restriction or a

limitation. Hence, constraint is closely related to impulse
control, the desire to avoid harm, and
uneasiness when faced with new situations. The neurobiological
correlate of impulsivity, explains
Depue, appears to be the neurotransmitter serotonin (5-HT). In
support of this contention, Brown,
Goodwin, Ballenger, Goyer, and Mason (1979) found that men
who were characteristically explo-
sive and impulsive and had an aggressive life history were
likely to have a low level of a major
metabolite of 5-HT in their cerebrospinal fluid (CSF). Those
with higher levels, it is suspected, need
much more stimulation to react aggressively (e.g., Depue,
1996).
Related to this, low 5-HT is associated with violent suicidal
behavior. Depue proposes that aggres-
sion and suicidal behavior are two possible outcomes of a
biochemical/behavioral trait evident in
a low emotional threshold. In his review of both the animal
behavior research and human studies,
he proposes three characteristics of low 5-HT functioning: (1)
emotional instability, (2) exagger-
ated response to stimuli, and (3) irritability-hypersensitivity.
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Negative Emotionality
The third superfactor, negative emotionality, is often apparent
in various negative emotions such

as depression, hostility, anxiety, alienation, and sensitivity to
distress. Depue (1996) hypothesizes
that negative emotionality may be linked with the
neurotransmitter norepinephrine (NE), as well
as a number of other neurotransmitters.
In spite of the apparently close connection between
neurotransmitters, emotions, and person-
ality, Depue cautions that theories of personality based on
suspected neurotransmitter actions
are overly simplistic, as a complete explanation of personality
requires the inclusion of many
other factors.
Cloninger’s Unified Biosocial Theory of Personality
Cloninger’s (1986a, 1986b) trait-based neurobiological model
of personality proposes that there
are three main characteristics, which are heritable: (1) novelty
seeking, (2) harm avoidance, and
(3) reward dependence. These characteristics, or personality
dispositions, are associated with
three neurotransmitter systems:
1. Novelty seeking. Novelty-seeking individuals actively pursue
novel situations because of
the excitement and feeling of exhilaration that these activities
produce. This behavioral
trait is related to the dopamine (DA) system. Individuals with
high levels of dopamine are
more likely to demonstrate this trait. Individuals with lower
levels of this neurotransmit-
ter are likely to be less active, more passive, and preoccupied
with details.
2. Harm avoidance. Harm-avoidant individuals respond strongly
to aversive stimuli and

will therefore do what they can to minimize behaviors that
might result in pain or other
negative outcomes. This behavioral trait is associated with
serotonin (the 5-HT system).
Individuals with this trait are more likely to be inhibited.
3. Reward dependence. Reward dependence is the tendency to
respond to stimuli that
suggest a reward is forthcoming. This trait is associated with
the noradrenergic system.
In Cloninger’s biosocial theory of personality, these three
neurobehavioral predispositions—
reward dependence, harm avoidance, and novelty seeking—set
the parameters for the develop-
ment of personality (Kramer, 1993). Various personality types
are likely associated with these dif-
ferent predispositions. Each system is hypothesized to be
independent so that an individual might
be high on one dimension but low on the others—or high on all
three. For example, someone with
a histrionic personality is likely high in novelty seeking and
reward dependence but low in harm
avoidance (Millon & Davis, 1996b).
Although it has some intuitive appeal, recent research has
uncovered problems with Cloninger’s
model. Specifically, Cloninger’s research has not replicated
well, and the validity of the factors
remains in doubt. In addition, there is evidence against the
belief that single neurotransmitter
systems are associated with these traits.
Siever’s Dimensional Model
Siever’s (Siever & Davis, 1991; Siever, Klar, & Coccaro, 1985)
neurobiological model of personality

is termed dimensional because it proposes that personality
predispositions exist on a continuum,
as though ordered on a dimension ranging from one extreme to
its opposite. Maladaptive person-
ality represents one end of the dimension; at the opposite end is
normal personality.
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Siever proposes four neurobiological predispositions: (1)
cognitive/perceptual organization,
(2) impulsivity/aggression, (3) affective instability, and (4)
anxiety/inhibition. For each of these
neurobiological predispositions, inadequate or faulty
neurobiological systems will be evident in
different disorders and maladaptations:
1. Cognitive/perceptual organization. Individuals with
inadequate neurobiological systems
are likely to display schizophrenic disorders and other psychotic
symptoms.
2. Impulsivity/aggression. On this dimension, individuals with
faulty neurobiological systems
will manifest poor impulse control and aggressive acting-out.
These individuals will tend
toward borderline and antisocial personality disorders.
3. Affective instability. Here, inadequate neurobiological
systems may be apparent in
emotional instability and inability to control emotions. This can

become an obstacle
to stable interpersonal relationships. Such individuals may
develop borderline or
histrionic personalities.
4. Anxiety/inhibition. Faulty neurobiological systems may be
apparent in extreme anxiety
that, if left unchecked, may develop into disorders such as
avoidant and compulsive per-
sonality disorder.
Each of the above-described models offers different theoretical
organizations and an attempt to
account for the broadest range of human behavior and to link
findings to some of the dominant
trait models of personality, such as the Big Five (e.g., Dyson,
Olino, Durbin, Goldsmith, & Klein,
2012; the Big Five and other related models will be discussed in
greater detail in Chapter 8). One
of the challenges of this work is to account for all
manifestations of personality, even though not
all personality factors may be grounded in neurobiology (or at
least not to the same degree).
Although different theoretical perspectives have been offered,
including some interesting unifying
frameworks linking personality to neural networks (e.g., Read et
al., 2010), it is the application of
these theories that ultimately determines their acceptance.
Application of Neurobiological Models
There are a number of ways that neurobiological models are
being used to advance science and
practice. For example, researchers studying early stimulation on
infants (either excess or depriva-
tion) suggest that there can be considerable long-term
consequences. As an illustration, if certain

neurotransmitters and neuronal pathways are not stimulated
during important developmental
periods, damage may result to the neurobiological substrate,
leading to a range of possible nega-
tive outcomes (Millon & Davis, 1996b). Furthermore, early
intense levels of stimulation, such as
those seen in trauma, may result in changes in neurophysiology
and brain weight, with measur-
able structural differences in some areas.
Probably the most notable application of neurobiological
models has been in the field of psychia-
try that, which for the most part, has left behind psychosocial
treatments for mental disorders and
has become increasingly biological in its assumptions and
methods. Drugs are now the treatment
of choice for most mental disorders (called pharmacotherapy).
As a result of the widespread use
of pharmacotherapy, some are questioning the benefit of such
interventions, even suggesting that
they may have created an epidemic of mental illness (Whitaker,
2010). Pharmacotherapy is used
fairly extensively in the treatment of individuals with
personality disorders, in spite of the fact
that there is little research supporting its effectiveness. Some
psychiatrists even use drugs to treat
problems such as chronic shyness or rejection sensitivity; this is
known as cosmetic psychophar-
macology and it remains controversial.
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CHAPTER 4 4.6 Studying the Genetic Basis of Human Behavior
and Personality

Other applications of neurobiological models include using EEG
(brain wave) mapping to try to dis-
cern personality patterns of individuals. Brain imaging is also
being used to better understand the
neurobiological correlates of various personality disorders, such
as the psychopathic and border-
line. Recordings of brain activity are also used in an attempt to
determine a person’s truthfulness.
4.6 Studying the Genetic Basis of Human
Behavior and Personality
The basis of heredity remained a mystery until the Nobel Prize
winners J. D. Watson and Crick (1953) discovered the structure
of DNA. Another major breakthrough occurred when sci-entists
succeeded in reading and mapping the entire human genome—a
map that contains
approximately three billion characters of text found in DNA
molecules (Ridley, 2000). The genome
is the basis of heritability.
The way in which genes are expressed—that is, our apparent
characteristics—is our phenotype;
genotype refers to underlying genetic material. It is clear that
genetic predisposition (genotype)
sets the stage for personality development and makes a
considerable contribution to individual
differences (to phenotype; Plomin, DeFries, McClean, &
McGuffin, 2001). But trying to sort out
the relative contribution of genes and the environment is not a
simple task. It is made much easier
when researchers have access to a pool of individuals with
identical or similar genetics, and with
similar or very different environments. That pool is provided by
a naturally occurring phenom-

enon: that of twins, most of whom are reared in very similar
environments, but some of whom are
separated at birth and sometimes brought up in dramatically
different circumstances. In compar-
ing twins reared together and twins reared apart, it is possible to
determine the extent to which
genes can explain human behavior.
Heritability is the term that refers to the relative contribution of
our genes or heredity. Studies of
twins have been the standard approach for determining
heritability of various factors including
personality. More specifically, heritability is a statistical
calculation describing the effect size of our
genes and proportion of observed (phenotypic) variation that
can be attributed to our genes (Plo-
min & Caspi, 1999, p. 252). Twin studies have consistently
suggested that genetic contribution (or
heritability) can account for 50% of the variance in personality.
Note, however, that this does not
mean that genes determine 50% of our personality, and
environment accounts for the other 50%.
Measures of heritability refer to variance (variation) and not to
absolute amount. So our genes
might explain approximately 50% of the variation (differences)
in traits such as aggressiveness or
impulsivity when we are compared with others, but they do not
account for half of our impulsivity
or aggressiveness.
Still, explaining 50% of the variance in personality is a
significant achievement, since behavior is
determined by many factors. Most research in this area finds
few factors that account for more
than 10% of the variance for any given trait. These findings
have been supported by many stud-

ies comparing monozygotic (MZ) (i.e., identical twins who
share 100% genetic make-up), and
dizygotic (DZ) twins (fraternal twins who share 50% genetic
make-up), and full siblings (who also
share 50% genetic make-up). Since identical twins share the
same genetic complement, compar-
ing them with non-identical twins, siblings, and unrelated
individuals is a highly informative way
of examining the interaction of heredity and environment.
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CHAPTER 4
Studies of twins reveal that the personalities of identical twins
are significantly more similar than
those of fraternal twins—and this seems to be the case for a
variety of personality characteristics,
including extroversion and introversion. Plomin and Caspi
(1999) report, “Across dozens of self-
report personality questionnaires, twin correlations are
consistently greater for identical twins
than for fraternal twins for other traits in addition to
Extraversion and Neuroticism” (p. 252). Cit-
ing a study by Loehlin (1992), the authors write that three of
the big five factors (more on these
factors in Chapter 8), measuring agreeableness,
conscientiousness, and openness to new experi-
ence, have heritability coefficients of approximately 0.40.
However, the highest heritability coef-
ficients are seen with neuroticism and extraversion, with these
big five factors having heritability
coefficients of approximately 0.60. Thus, when considering the
role of genetics in personality, it

appears that the findings vary depending on the specific trait or
factor under consideration.
Twin studies have become the standard of practice in research
attempting to generate heritabil-
ity coefficients, as they provide a reasonably effective
methodology for separating the effects of
genetics from that of environment. As a result of this research,
scientists have concluded that
shared genetics are much more important than shared
environments in predicting the personality
overlap among family members (Plomin & Caspi, 1999). Shared
environmental factors can refer to
loss, social class, and parenting style, to name a few, which are
assumed to be relatively common
for all children in a family. Research on twins has determined
that parental loss, for example, is
a shared factor that makes children from the same family
similar, because there is an increased
likelihood of anxiety and depression as a result of parental
death and divorce.
Considering the Chorionic Status of Monozygotic Twins
As noted, twin studies are the workhorse methodology for
assessing the role of genetic and envi-
ronmental contributors to personality functioning. However,
traditional twin research appears
to be based on the as-yet-unproven assumption that MZ and DZ
twins experience identical (or
at least similar) prenatal conditions. Despite the tentative nature
of this conclusion, this has not
prevented researchers from making overly definitive
conclusions regarding genetic hypotheses,
even in professional journals (e.g., Rose, 1995). In order to
address this shortcoming, research-
ers (Phelps, Davis, & Schartz, 1997) have suggested the use of

chorion (a membrane that exists
between the fetus and mother) control studies to examine
prenatal influences, by comparing
monozygotic (MZ) twins who shared a single placenta and
chorion with MZ twins who came from
separate chorion and placenta. Importantly, anywhere from 66%
to 75% of MZ twins come from
a single placenta and chorion, and these are labeled
monochorionic MZ twins. Approximately
25% to 33% of MZ twins are dichorionic; coming from two
placenta and two chorions (see Figure
4.6). In contrast, virtually all dizygotic twins come from two
placenta and chorions. These two
groups allow for the exploration of environmental factors by
looking at the discordance between
MZ twins.
4.6 Studying the Genetic Basis of Human Behavior and
Personality
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CHAPTER 4 4.6 Studying the Genetic Basis of Human Behavior
and Personality
Figure 4.6: Dichorionic and monochorionic twins
According to Phelps and colleagues (Phelps et al., 1997), such
chorion control studies have
revealed greater dissimilarities in dichorionic MZ twins relative
to monochorionic MZ twins with
respect to birth weights and medical conditions. However,
greater similarities were observed in
personality variables. For example, in comparing monochorionic

MZ twins to dichorionic MZ twins
aged 4–6 years, the monochorionic twins were more similar than
dichorionic twins on all person-
ality measures, despite the fact that there were no differences
between the groups on measures
of cognitive functioning (Sokol et al., 1995). Importantly, these
observed differences could not be
due to genetics, as all twin pairs share 100% of their genetic
make-up. Thus, it is possible that the
pre-birth environment may be especially important to
influencing personality, and it is possible
that different pre-birth environments (i.e., in one placenta vs. in
neighboring placenta) may even
trigger different genetic expressions. When these findings are
interpreted in this manner, they are
consistent with current theories on human social genomics
discussed earlier in this chapter (e.g.,
Slavich & Cole, 2013).
Interestingly, the differences emerging at ages 4–6 may not be
present earlier in life, as a study
comparing temperament found no differences between
monochorionic and dichorionic MZ twins
on such dimensions as irritability, activity level while asleep
and awake, and reactivity (Riese,
1999). Obviously, given the age of the children tested, these
temperament assessments were
completed using observational data. When these findings are
compared to earlier findings, it sug-
gests that any emergent differences may need environmental
involvement before manifesting.
Dr. Najeeb Layyous/Science Source/Photo Researchers
These images taken from a colored 3-D ultrasound scan of twin
fetuses depict two chorionic arrangements,

with the image on the left depicting the arrangement for most
dizygotic and some monozygotic twins
(i.e., dichorionic), and the image on the right depicting the
arrangement for most monozygotic twins (i.e.,
monochorionic). Notice how one twin in the dichorionic
arrangement appears smaller.
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CHAPTER 4
Molecular Genetics and Personality
Molecular genetics, which is the study of heredity at the level
of genetic structure, has within the
last two decades focused on identifying the specific genes that
might be responsible for certain
personality characteristics (Plomin & Caspi, 1999).
Unfortunately, the search for specific genes is
challenging. Research now indicates that a single gene is
unlikely to account for a specific person-
ality attribute. The heritability of personality traits is much
more likely to involve the interaction
of many genes, each with small variations in effect size. This
means that detecting those genes is
a difficult undertaking.
The multiple genes that shape complex traits are referred to as
quantitative trait loci (QTLs). Plo-
min and Caspi (1999) believe that the goal of this line of
research is to find the combinations of
genes that contribute various effect sizes to the variance of
personality traits. Of course, finding
the genes that predict a small amount of variance in personality
traits will be especially difficult.

For this reason, the genes that contribute minimally to trait
heritability may never be identified
(Plomin & Caspi, 1999; Visscher, Hill, & Wray, 2008).
New findings in molecular genetics also suggest that that some
DNA sequences can change their
position within the genome of mammals and appear to play a
critical role in human develop-
ment (e.g. Cowley & Oakey, 2013). These are now referred to
as transposable elements, but were
previously referred to as jumping genes when they were first
identified over a half century ago
(McClintock, 1950).
Converging Branches of Neuroscience
Neuroscience has led to many new developments in related
disciplines, many of which deepen
our understanding of the neurobiological basis of behavior,
learning, consciousness, and person-
ality (Damasio, 1999). There is much overlap among these
somewhat different new disciplines
of neuroscience. All share similar tools and methods (these will
be presented in detail in the last
section of this chapter), and all deal with neurological and/or
biological systems. The major differ-
ences among them often relate to how they emerged from
different areas of behavioral science.
Among areas of study most relevant to the study of personality
are cognitive neuroscience, affec-
tive neuroscience, and interpersonal neuroscience.
Cognitive Neuroscience
Cognitive neuroscience is concerned with brain-based theories
of cognitive development (Gaz-
zaniga, Ivry, & Mangun, 1998). Blending neuroscience and

cognitive science, researchers in this
field investigate the neurobiological basis of learning
(Gazzaniga, 1991). Some cognitive neuro-
scientists also focus on the area of artificial intelligence, which
is part of the field of computer sci-
ence. Computer scientists and neuroscientists are attempting to
build intelligent machines using
computer modeling. More recently, cognitive neuroscience has
been focusing on the importance
of affect and the inseparability of cognitive and affective
processes (Lane & Nadel, 2000). Find-
ings from cognitive neuroscience shed light on the basic
cognitive and perceptual processes that
shape our personality.
The Human Brain Project is probably one of the most ambitious
undertakings of cognitive neu-
roscience, similar in scope in many ways to the Human Genome
Project (an undertaking that suc-
ceeded in mapping the entire human genetic structure). Headed
by Henry Markum and based in
Personality
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CHAPTER 4
Switzerland, the Human Brain Project is building software that
uses basic biological rules to make
a three-dimensional computer model designed to simulate
activity of the human brain. So far, the
Human Brain Project has built a massive computer called Blue

Gene. It consists of four computers,
each the size of a refrigerator, with more than 16,000 processors
designed to simulate the action
of neurons. Researchers hope that at some point this project
may even be able to replicate con-
sciousness (Kushner, 2011).
Affective Neuroscience
Another rapidly growing branch of neuroscience, which is
shedding light on the emotional pro-
cesses of personality, is affective neuroscience (Davidson,
Scherer, & Goldsmith, 2003). The study
of emotion (or affect) was not considered worthy of scientific
inquiry until the later half of the
20th century.
Important books began to appear, such as The Nature of
Emotion: Fundamental Questions by Paul
Ekman and Richard Davidson (1994), early pioneers in the
study of emotion. Ekman later went on
to study the facial expression of emotion by carefully
cataloguing the various macro- and micro-
expressions of possible emotions using the 43 facial muscles,
referred to as action units (Ekman &
Rosenberg, 2005). The power of our emotional expressions is
evidenced by the research showing
that the physical act of smiling may, by itself, induce happiness,
resulting in the exploration of the
therapeutic benefits of smiling (Abel & Hester, 2002). It also
appears that not all smiles are the
same. Smiles that involve all of the muscles around the mouth
and eyes, referred to as the Duch-
enne smile (named after the physician Guillaume Duchenne,
who studied the physiology of smil-
ing) typically evidence the strongest association with self-rated

happiness (e.g., Scherer & Ceschi,
2000). One interesting line of recent research focuses on the
extent to which individuals can con-
trol the physiological manifestations of a smile, even a
Duchenne smile. Despite earlier beliefs to
the contrary, more recent studies suggest that we can control
such facial responses (Gunnery, Hall,
& Ruben, 2012), and on a related theme, researchers are
currently exploring the way in which we
regulate our emotions, which is very important in trying to
understand normal as well as patho-
logical personality adaptations.
Stanley Greenspan (1997) believed that
there is considerable evidence to suggest
that emotions play a critical part in the
creation and organization of the mind’s
most crucial structures. For example,
when an individual is the victim of early
trauma, the level of emotional arousal
may overwhelm the developing mind
and alter the developmental structure
of the brain. Greenspan also argues that
everything from intellect to morality
has its origins in the earliest emotional
experiences and continues to influence
us throughout our lives. For example,
there is neurobiological evidence to sug-
gest that physical touching stimulates
hormones such as oxytocin, which fos-
ters positive feelings of closeness and
attachment.
Benjamin A. Peterson/Mother Image/mother
image/Fuse/Thinkstock

Research suggests that physical contact can stimulate
hormones to foster positive feelings that co-occur
with physical closeness. This may demonstrate a
neurobiological model for attachment.
Personality
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CHAPTER 4
Affective neuroscientists are beginning to understand the
influence of stress on our neurobiologi-
cal system. One fruitful area of investigation is the effect of
stress on our neuroendocrine system,
which produces hormones, which in turn have a strong influence
on our behavior. Testosterone,
for example, is related to aggression, and other hormones such
as adrenalin and cortisol prime us
for action (Sapolsky, 2004). Elevated levels of stress hormones
can have damaging effects on the
hippocampus and amygdala, which are the emotional and
memory centers of our brain. In fact, it
may be that these hormones interfere with neurogenesis—the
growth of new neurons—resulting
in smaller hippocampal size (and medial prefrontal cortex) in
individuals suffering from PTSD (e.g.,
Herringa, Phillips, Almeida, Insana, & Germain, 2012).
Interpersonal Neuroscience
Another fairly recent new discipline is interpersonal
neuroscience. Related to affective neurosci-

ence, but placing its emphasis squarely on the primacy of
interpersonal experience, this branch of
neuroscience has been popularized by the work of Daniel
Siegel. He believes that our relationships
have a powerful effect on our brain circuitry because the
regions of the brain responsible for social
perception and interpersonal communication are also critical for
regulating body states, mem-
ory, and emotional processes (Siegel, 1999, 2006). Siegel draws
heavily on attachment theory to
ground his neurobiologically based interpersonal model.
Of course, Siegal was not the first to make this connection.
Well over a century ago, William James
(1890) pointed out that intense emotional experiences may scar
cerebral tissue and create last-
ing changes in neural activity. Thus, the quality of attachments
in childhood may have a profound
effect on personality in adulthood by how they affect the
physical structure of the brain. Insecure
attachment may create an increased risk for psychological and
social impairment.
There are some relatively new branches of neuroscience that are
related to the mind-body con-
nection and are thus salient to the study of personality. In
Chapter 1 we briefly looked at the
emerging field of epigenetics. Here we will examine that field
in greater detail. We will also look at
the emerging science around our understanding of the complex
interactions of neuropeptides and
their opiate receptors, which also have a strong relation to our
moods and emotions.
Emerging Branches of Neuroscience: Epigenetics
As noted earlier in this chapter, the discovery in 1953 by

Watson and Crick of the structure of DNA
led to the mapping of the human genome in 2000. This
discovery was believed to provide us with
a blueprint for all humans. Indeed, it has led to many advances
for treating diseases and allowed
us to study heritability in ways that were not possible before.
But DNA is not completely precise,
and the genome could not explain why two people with identical
DNA could, in some cases, be
quite different from each other. According to Carey (2012),
DNA is less like a factory mold and
more like a script. Factory molds will produce the exact same
product over and over again. How-
ever, the same script can tell very different versions of the same
story depending on the directors,
the actors, and the elements of production.
Scientists have been studying this phenomenon for years. It is
not the focus of this text to delve
into the molecular details of the science, but Carey (2012)
provides a concise explanation that
suits our purposes:
The DNA in our cells is not some pure unadulterated molecule.
Small chemical
groups can be added at specific regions of DNA. Our DNA is
also smothered in
special proteins. These proteins themselves can be covered with
additional small
Personality
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CHAPTER 4
chemicals. None of these molecular amendments change the
underlying genetic
code. But adding these chemical groups to the DNA or to the
associated proteins,
or removing them, changes the expression of the nearby genes.
These changes in
gene expression alter the function of cells, and the very nature
of the cells them-
selves. (p. 8–9)
Scientists have determined that these chemical processes are
impacted by various environmental
factors. Stress, nutrition, trauma, and exposure to toxic
substances can all have an effect on the
complex epigenetic dance that Carey describes. In fact, studies
have shown that the microbiota
that live in our gastrointestinal tracts can impact gene
expression (Dalmasso, Nguyen, Yan, Laroui,
Charania, & Ayyadurai, 2011). And we are still learning about
how this affects our thoughts, feel-
ings, and behavior. Epigenetics explains the differences in
phenotype we sometimes see in the
personalities of monozygotic twins, especially in the
development of genetically linked personality
disorders.
Neuropeptides and Opiate Receptors
We have already discussed the role of neurotransmitters in the
regulation of mood and emotion.
Another interesting development in the study of neurobiology
and personality is the function of
neuropeptides. In 1973, as a graduate student at Johns Hopkins,

Dr. Candace Pert discovered the
relationship between neuropeptides and opiate receptors that
have revolutionized psychophar-
macology and our understanding of mind-body medicine. Her
work showed that “neuropeptides
and their receptors form an information network within the body
. . . neuropeptides and their
receptors are a key to understanding how mind and body are
interconnected and how emotions
can be manifested throughout the body (Pert, 1986, p. 9).” Her
work explained why people react
with euphoria to drugs such as heroin. Heroin is an opiate that
attaches to the opiate receptors
in our cells. But that begged the question of why we had opiate
receptors in the first place. Work
by Pert and others have proven that our brains naturally produce
more than 60 different chemical
substances (called neuropeptides) that attach to these same
receptors and affect our emotions,
thereby implicating the pain receptors and neuropeptides in the
manifestation of emotions.
Neuroscientists have long agreed that the limbic system
(primarily the amygdala and the hypo-
thalamus) are the parts of the brain most closely connected with
emotions. Pert found that these
areas have a 40-fold higher count of opiate receptors relative to
other regions of the brain. Neuro-
peptides and their receptors are also found in other areas of the
body, such as the gastrointestinal
tract (which may explain the term ‘gut feeling’) and the testes.
In this respect, neuropeptides and
receptors create a web of interconnectivity between the glands,
immune system, and the brain,
which may represent a “the biochemical substrate of emotion”
(Pert, Ruff, Weber, & Herkenham,

1985, p. 820s). In addition, more recent studies have linked the
neuropeptide/opiate recep-
tors information network to behavioral dysfunctions (Inui,
2003) and eating disorders (Fetissov
et al., 2008).
Pert’s body of work showed us that our emotions are not simply
created by these chemical
exchanges; rather, that through self-consciousness, we can
override the system and create what
she called “molecules of emotion” (Pert, 1997). So essentially,
she is saying that we can influ-
ence the quality of the tone of our neuropeptides by positive
thinking—literally flooding our sys-
tems with “happy” neuropeptides and thereby changing our
thinking and feeling, and, by default,
our personalities. Essentially, modern science is validating what
William James said more than
100 years ago about the mind-body connection.
Personality
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CHAPTER 4 4.7 Assessment Methods in Neurobiological
Psychology
Contributions Beyond Psychology and Future Directions
With each new discovery and the development and expansion of
highly synthesized theoretical
models integrating neuroscientific findings with converging
lines of research from various disci-
plines, our understanding of personality has clearly increased.

Neuroscientific and neurobiological
models have been especially useful in their contributions to
other theoretical models, providing a
richer foundation for theory. Models that are not firmly
anchored in biology and psychology, and
that do not take social realities into account, will not accurately
reflect the complex interactions
that determine personality. Many theoreticians and researchers
agree that all theories of person-
ality should eventually be grounded in findings from
neuroscience (a step that may be easier for
some theories relative to others). Another distinct advantage of
synthesizing the neurobiological
perspective with other theories is that it avoids the problem of
fragmentation, whereby one loses
the interconnected aspect of each theoretical approach in terms
of their influence on personality.
One challenge for the coming
years will be how the neurobio-
logical perspective handles the
myriad of ethical issues that arise
with advancing technologies and
information sharing. It is inevita-
ble that the genetic factors that
predispose us to certain person-
ality traits will be determined.
We now have the technology to
identify our genes. When, and if,
science discovers how they are
linked with certain behavioral disorders, how will society react?
The challenge will be to develop
ethical guidelines for the use of this rapidly advancing
technology of personality.

4.7 Assessment Methods in Neurobiological Psychology
As technology has improved and allowed for a more detailed
examination of the brain, the field of neuroscience has
progressed tremendously. Perhaps more than any other sub-
discipline, the techniques used in this field have changed
rapidly, thereby redefining what
we know and can hypothesize regarding the brain’s involvement
in the development of personal-
ity. Some of these techniques are here reviewed, and we
conclude with a brief overview of some
of the potential problems with the assessment tools.
Electrical Stimulation of the Brain
Electrical stimulation of the brain, using tiny electrodes, is
sometimes used to map regions of
the brain associated with different sensations and responses. For
example, electrical stimulation
of the temporal lobe produces specific memories. Although this
process of activation by neural
stimulation can alter the content of self-awareness, the
implications of this research are as yet
unclear. Still, neuroscientists have successfully demonstrated
that stimulating certain regions of
the brain can produce sensations, memories, and even emotions
(e.g., Fried, Wilson, MacDonald,
& Behnke, 1998).
Renowned Harvard psychologist Steven Pinker has written a
thoughtful essay for the New York Times, entitled “My
Genome,
My Self,” that reflects on the myriad of issues brought forth
with the possibility of knowing your genetic composition.
Read it at http://www.nytimes.com/2009/01/11/magazine

/11Genome-t.html?pagewanted=1&_r=0&em
Lec81110_04_c04_097-132.indd 126 5/21/15 12:38 PM
http://www.nytimes.com/2009/01/11/magazine/11Genome-
t.html?pagewanted=1&_r=0&em
http://www.nytimes.com/2009/01/11/magazine/11Genome-
t.html?pagewanted=1&_r=0&em
Psychology
Single-Cell Recording
It is now possible to record activity in a single neuron in the
brain, with this procedure broadly
referred to as electrophysiology. This allows researchers to
examine brain activity (e.g., the action
potential) that occurs proximal to responses to different
behaviors and stimuli. Studies are often
conducted on species like the Aplysia snail, which have
enormous neurons whose chemical com-
position and functioning can be studied more easily than those
of human neurons.
Neuroanatomical Studies
We can add to our understanding of the brain by examining how
brain injury and neurological
disorders are reflected in behavioral, cognitive, and affective
changes. Looking at neural anatomy
in these cases allows researchers to create a map of brain
function by correlating behavior with
damage to particular brain regions (Robins et al., 1999). For
example, neuroanatomical studies
reveal that cerebellar damage is associated with impaired
cognitive functioning in planning as well

as in affect overregulation, which is apparent in lack of
emotional response (flat affect).
Much of what we have learned from neuroanatomical studies
comes from studying those who
have suffered brain trauma in wars throughout the 20th and 21st
centuries, where specific dam-
aged regions of the brain (e.g., due to head trauma) were
associated with certain behavioral
changes that could be observed and documented (recall the story
of Phineas Gage). In a revealing
book, My Stroke of Insight: A Brain Scientist’s Personal
Journey (2006), Dr. Jill Bolte Taylor describes
her experience of having a stroke and what it was like to have
her left, dominant hemisphere shut
down, as well as the process of retraining one’s brain and
regaining a level of functionality. This
type of information can be much richer than the observational
studies of animals who have had
parts of their brain lesioned so that the resulting behavioral
changes can be observed.
Brain Lesioning and Functional Neurosurgery
Earlier in the 20th century, frontal lobotomies were sometimes
performed on individuals with
psychoses. This procedure dramatically altered the behavior and
personality of the individual. It
also demonstrated that destroying the frontal lobes resulted in a
severe flattening of emotions
and emotional insensitivity (R. Carter, 1998). Given the central
role of emotions in personality, it is
not surprising that this region of the brain appears to be
especially central to personality function-
ing. Obviously, the advantage when dealing with human
examples is that one can have access to
internal experiences (i.e., the thoughts and feelings of the

patient) rather than simply relying on
the behaviors, as would be the case when working with animals.
Case Studies of Neurological Disorders
The study of neurological patients has provided fascinating
information. Patients who have suf-
fered strokes and accidents experience changes in personality.
Likewise, in many neurological
disorders such as autism, Parkinson’s, epilepsy, and
Alzheimer’s, there may be a complete loss
of the self and the appearance of new personality
characteristics. For example, dementia of the
Alzheimer’s type (AD) can be associated with paranoid
tendencies in over a third of patients (e.g.,
Brink, 1983), and the paranoia appears to increase as AD
symptoms progress (Ballard, Chithiramo-
han, Bannister, Handy, & Todd, 1991).
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Psychology
With Alzheimer’s dementia, the etiology involves loss of
neuronal functioning (caused by, or
coincident to, the accumulation of beta amyloid plaques),
primarily in the hippocampus, an area
known to be involved in the formation of memories. Thus, one
reasonable assumption is that as
memory functioning declines, individuals become less aware of
what they have done (e.g., forget-
ting where they put their money or something of value), and a
possible result of the poor memory
is that they can become suspicious of others (e.g., questioning

who took their possessions). Some
have also argued that the mechanism underlying paranoia is
itself biological in nature. That is,
there is a biological substrate of Alzheimer’s that is marked by
paranoia (Wilkosz, Miyahara, Lopez,
DeKosky, & Sweet, 2006). In either case, this provides some
evidence of biological underpinnings
of traits such as paranoia.
Neuropsychological Testing
A number of tests, primarily paper-and-pencil, but also
behavioral and computer-driven, have
been developed to assess the brain’s functional abilities. These
tests are typically administered
and interpreted by a neuropsychologist whose training is in the
area of brain and behavior rela-
tionships. The tests are fully standardized (i.e., they must be
administered, interpreted, and
scored in the same way for everyone) and extensive normative
data are available for compari-
son (i.e., to see how others of the same age, education, race,
etc.) perform on these tests. The
neuropsychological tests are typically identified by the brain
function that they primarily assess,
including tests of memory, executive abilities, word finding,
visual-spatial reasoning, and the like.
Electroencephalography (EEG) and Neuroimaging
Various ways of measuring neural activity in response to
stimulation (termed evoked potentials)
and neuroimaging techniques are also useful tools in the
neurosciences. Electrical signals can be
measured with electroencephalography (EEG), which uses
electrodes placed at various locations
on the skull to record electrical patterns of brain activity.
Evoked brain potential (ERP) is measured

by presenting participants with specific stimuli and detecting
resulting activity in the brain. The
work of Eysenck in studying the relation between the reticular
activating system and extraversion
was largely based on EEG findings.
A variety of brain-imaging techniques afford scientists a
window into the living brain. A few of
these techniques follow (R. Carter, 1998).
• Magnetic resonance imagining (MRI): This technique
magnetically aligns atomic parti-
cles in the body, shoots them with radio waves, and records the
radio waves that return.
Computer software, computerized tomography (CT), then
converts this information into
three-dimensional images.
• Functional MRI (fMRI): This procedure goes beyond
illuminating the basic anatomy, such
as that captured with the regular MRI, by observing the activity
of the brain in real time.
The activity of neurons is fueled by glucose and oxygen
metabolism. When an area of
the brain is active, increased oxygen is utilized and rapid
scanning with fMRI can show
the flow of brain activity.
• Positron emission tomography (PET): In this method of brain
scanning, radioactive
isotopes are injected into the bloodstream and, similar to fMRI,
brain areas that are
activated can be seen in vivid color. Although impressive, the
resolution is not as high as
in fMRI. Researchers examining structural variations in a wide
range of psychiatric condi-

tions have used this technology.
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Psychology
• Near-infrared spectroscopy (NIRS): This technique
records the fuel being used up when certain areas of
the brain are activated. Low-level light waves are aimed
at the brain and the light reflecting back is measured.
However, this method cannot get to the deepest layers
of the brain.
• Magnetoencephalography (MEG): This technique is
similar to measuring the evoked electrical potential of
the EEG, but instead measures the magnetic field gen-
erated by the electrical activity of the brain. Although
prone to extraneous interference, it is fast and accurate
in its representation of the brain.
• Single-photon emission computed tomography (SPECT):
This technique uses gamma rays for imaging and pro-
vides real three-dimensional data through the comput-
erized reconstruction of two dimensional images from
different perspectives. The technique is also similar to
the PET scan because it involves the injection of radioac-
tive tracer material visible to the gamma camera.
Current Challenges and Future Directions in
Neurobiological Assessments
As with any field of research, there is controversy with regard
to
the methods and the way they have been used. Some research-

ers believe that showing pictures of the brain can be mislead-
ing without the establishment of a strong empirical basis for
their use, as this will help us to understand and interpret what
is being imaged (see Robins et al., 1999). A challenge for the
future is that the theoretical models keep pace with emerging
technology.
Another important consideration is a standardization of these
techniques. That is, when we think of employing one of these
assessment techniques, the assumption is that there is one
standard procedure for how to carry out the procedure and
interpretation. However, there are different approaches to
doing so. Consider, for a moment, capturing the brain’s reac-
tion to a particular stimulus. Researchers must decide how to
best capture this reaction and, if there are different ways of
doing so, whether they would be expected to provide similar
or different information. As an example, the brain’s reaction to
a stimulus could be quantified in terms of: (1) the speed with
which the brain responds (e.g.,
the elapsed time between the onset of the stimulus and the onset
of measurable brain change),
(2) the extent or intensity of the brain’s response (e.g., how
many regions or what percent-
age of the brain is responding to the stimulus), or (3) the
duration of the brain’s response to
the stimulus (e.g., the elapsed time between the onset of the
measurable brain response to
the cessation of that response). These reflect just some
examples of how the brain’s response
can be quantified, and interpretive difficulties arise when each
approach provides different
Mikhail Basov/ iStockphoto/
Thinkstock; National Institute of
Mental Health, National Institutes of

Health, Department of Health and
Human Services; Dr. Giovanni Dichiro,
Neuroimaging Section, National
Institute of Neurological Disorders and
Stroke/National Cancer Institute
Some of the more advanced
imaging techniques are
(a) MRI, (b) fMRI, and (c) PET
scans, with their respective
outputs depicted here.
a.
b.
c.
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CHAPTER 4 Summary
outcomes. Thus, technology alone does not solve all of our
problems. The role of theory is
especially important in understanding how each of these
approaches might contribute to our
understanding of the brain’s response, and even in deciding
whether one method of quantifica-
tion should take precedence over other approaches.
When researchers are called upon to collect data from multiple
sites, these issues are espe-

cially important. For example, researchers involved in
nationwide consortium studies examining
Alzheimer’s dementia have created specific instructions for how
to carry out and interpret MRIs.
Summary
Current neurobiological models attempt to account for
personality by linking biologically based variation to
psychological factors. Certain neurotransmitters are associated
with vari-ous personality traits and may predispose the
individual toward specific personality types.
The examination of specific neurotransmitters, such as
serotonin, has been useful in better under-
standing their link to long-term mood states and traits.
Five distinct theoretical models were reviewed in this chapter:
(1) Eysenck’s three-factor model,
(2) Buss and Plomin’s three-factor temperament model, (3)
Depue’s three-factor model, (4) Clon-
inger’s unified biosocial theory of personality, and (5) Siever’s
dimensional model. As seen with
Eysenck’s work, sensitivity in the ascending reticular activating
system may be more likely to evi-
dence introverted behavior (and those with less sensitivity may
be more likely to be extraverted).
Neurobiological evidence has contributed to our understanding
of many different issues central
to understanding personality, offering new insights into dreams,
the unconscious, the process of
attachment, and even our response to stress (flight or flight).
The neurobiological effects of trauma on personality are well
documented. Behavioral geneticists
are interested in isolating the underlying genetic mechanisms

for certain personality traits, although
the way they are expressed, termed phenotypes, is influenced by
the environment. A moderate
degree of variance in personality (approximately 50% of the
variation in traits) may be attributed to
genetic factors, though this appears to vary depending on the
trait under consideration.
The tools of assessment within the neurobiological model are
especially important to its contribu-
tions to personality science, and have played a central role in
both defining the field and shaping
its future, though ethical and standardization challenges persist.
Key Terms
activity A child’s level of interaction with the
environment, on a range from vigorously active
to passive.
adaptability A child’s positive or negative
approach to new stimuli in the environment.
affective neuroscience A growing branch of
neuroscience that is shedding light on the
emotional processes of personality, studying,
for example, facial expression and the parallel
responses in the brain.
ascending reticular activating system
(ARAS) Area that Eysenck proposed regulates
the flow of information and stimulation to the
brain and impacts extraverted behavior.
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CHAPTER 4 Key Terms
autonomic nervous system The part of
the nervous system that controls automatic
functions.
axon The elongated portion of a neuron that is
involved in sending a message.
Broca’s area Brain region that controls move-
ments associated with speech production;
damage to this area results in slow, labored
speech.
central nervous system The part of the
nervous system comprising the brain and
spinal cord.
cerebellum Brain structure that regulates
signals involving movements, thoughts, and
emotions from other parts of the brain.
cognitive neuroscience A type of neuroscience
concerned with brain-based theories of cogni-
tive development.
critical period A period of development where
the organism is most likely to be able to learn.
This window for learning is less flexible than a
sensitive period.
dendrites Hair-like structures that emanate
from the soma of a neuron and are largely
responsible for receiving messages.

dichorionic Twins that develop in separate
placentas and chorions.
dizygotic (DZ) Fraternal twins who share
50% of their genetic makeup.
functional MRI (fMRI) Brain imaging technique
that captures brain activity in real time.
genotype Underlying genetic material, includ-
ing that which affects personality.
heritability A statistical calculation describ-
ing the effect of genes and the proportion of
observed variation that can be attributed
to genes.
Human Brain Project Cognitive neuroscience
project that aims to create a three-dimensional
computer to simulate activity of the human
brain.
interpersonal neuroscience Related to affec-
tive neuroscience, but placing its emphasis on
the primacy of interpersonal experience, this
branch of neuroscience focuses on relation-
ships; it considers the ways that the regions of
the brain responsible for social perception and
interpersonal communication are also critical
for regulating body states, memory, and emo-
tional processes.
magnetic resonance imaging (MRI) Three-
dimensional imaging technique that uses
magnets and radio waves to map regions of

the body.
magnetoencephalography (MEG) Brain imag-
ing technique that measures the magnetic field
generated by the electrical activity of the brain.
monochorionic Twins that develop in a single
placenta and chorion.
monozygotic (MZ) Identical twins who share
100% of their genetic makeup.
near-infrared spectroscopy (NIRS) Brain-
imaging technique that uses low-level light
waves to record energy used in certain areas
of the brain.
neurogenesis The creation of new neurons.
neurons Specialized cells that make up the
nervous system and function to communicate
information.
neuroplasticity The ability of brain regions to
change function over time.
neuropsychological tests Assessments admin-
istered and interpreted by neuropsychologists
to assess the functional abilities of the brain.
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CHAPTER 4 Key Terms

neurotransmitters Naturally occurring chemi-
cals that carry information to other cells across
the synaptic gap between neurons.
parasympathetic nervous system The part of
the nervous system that controls the calming
responses.
peripheral nervous system The part of the
nervous system that connects the central ner-
vous system to the rest of the body.
personality neuroscience Branch of neuro-
logical sciences that investigates how brain
processes influence the interactions between
the environment and genes, and how these
processes are linked to personality traits and
variations in personality.
pharmacotherapy Therapy that uses drugs to
treat mental disorders.
phenotype An observable characteristic
related to both genetic and environmental
influences.
positron emission tomography (PET) Brain
imaging technique that uses radioactive iso-
topes to capture active regions of the brain.
sensitive period A period of development
when learning is most likely to occur because
of biological priming for learning a certain
behavioral pattern.
single-photon emission computed tomography

(SPECT) Brain-imaging technique that uses
gamma rays to construct three-dimensional
images from two-dimensional images.
soma The cell body of a neuron.
somatic nervous system The part of the
nervous system that controls sensation and
movement.
stress This term entered the fields of psychol-
ogy and biology when Selye (1956) began using
it to mean “a physiological response that is
inadequate to an environmental demand.”
sympathetic nervous system The part of the
nervous system that controls arousal.
synaptic gap The space between two neurons
where neurotransmitters are released.
Wernicke’s area Brain region that controls lan-
guage comprehension; damage to this area often
results in speech that is grammatically normal
(there are complete sentences), but semantically
deviant (the words chosen do not make sense).
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monkeybusinessimages/iStock/Thinkstock
Learning Objectives

able to:
• Name and briefly describe the criteria used to
differentiate normal from abnormal manifes-
tations of behavior, thought, and affect.
• Identify the most common diagnostic system
used in the United States and some of the
prevalence rates for personality disorders.
• Name and define the DSM-5 personality dis-
orders found in clusters A, B, and C.
• Discuss the different prevalence rates for the
personality disorders, especially with respect
to sex differences.
• Identify some of the alternative models for
categorizing personality disorders, such as
those proposed by the International Classifi-
cation of Diseases, Millon, and the Five Factor
Model.
• Name and briefly describe some measures
of personality commonly used in clinical set-
tings, particularly the MMPI--2.
Personality and Psychopathology 10
Chapter Outline
Introduction
10.1 Defining Personality Disorders
• Criteria to Define Abnormal Functioning
• Criteria for Defining Problematic Functioning

in Terms of Personality
• Conceptualizing Personality Disorders
10.2 Types of Personality Disorders
• Cluster A Personality Disorders
• Cluster B Personality Disorders
• Cluster C Personality Disorders
• Other Specified Personality Disorder
• The Prevalence of Personality Disorders
• Alternative Organizational Models for the
Personality Disorders
• Questioning the Legitimacy of Mental Illness
• Explain why we need measures of response tendencies when
assessing personality in clinical settings.
• Name some common validity scales used to assess over- and
under-reporting tendencies.
• Read a case study and interpret some basic personality data in
order to diagnose the patient, and provide a theo-
retical account of their etiology based on one or more of the
theories presented in this text.
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CHAPTER 10
Introduction
Try to recall the last time you took an exam. How many pencils
did you bring with
you? If you didn’t bring any, you might be considered

unprepared. If you brought
one, you might still be considered to be acting carelessly, given
that the point
might break. Perhaps you brought one extra, just in case. But
what if you brought
three, four, or five backup pencils? Would this suggest that you
were acting in
an obsessive manner, possibly demonstrating symptoms of
obsessive-compulsive
personality disorder? These are subtle distinctions, and it’s hard
to decide at what
point behavior—even a simple, mundane behavior, such as
bringing pencils to a
test—goes from normal to abnormal, or nonpathological to
problematic.
This example illustrates the complexity of differentiating subtle
variations of
behavior, ranging from “normal” personality functioning to
personality disorders.
Three extra pencils (or any particular number of pencils)
doesn’t necessarily mean
anything diagnostically, but it might, especially if you spent too
much of your
exam preparation time collecting and sharpening pencils or if
you spent much
of the time taking the exam worrying about the durability of
your pencils and
whether you brought enough.
So far we’ve explored how personality functions. In this
chapter, we turn our
attention to the symptoms and development of personality
dysfunction. The his-
tory of personality psychology developed hand in hand with
clinical psychology.

Therefore, it is somewhat artificial to consider these two areas
as distinct. Indeed,
throughout this text, there have been both implicit and explicit
references to psy-
chopathology (e.g., depression, anxiety, personality disorders,
etc.). In this chap-
ter, we will more directly deal with personality disorders, the
criteria by which they
are defined and diagnosed, and assessment tools commonly used
to assess per-
sonality disorders. We will conclude the chapter with two case
studies that bring
these issues together with the explanatory accounts forwarded
in earlier chapters.
As we explore the current thinking regarding personality
disorders, it behooves us
to remember our discussion about defining “normal” from
Chapter One. Much of
this chapter deals with abnormal personality as it is defined by
the Diagnostic and
Statistical Manual of Mental Disorders (DSM) published by the
American Psychi-
atric Association (APA), and while many of the behaviors
discussed in this chapter
are clearly problematic, it is important to remember that
“normal” is a relative,
culturally defined construct. And when it comes to defining
what is normal or
abnormal in personality, our culture has collectively decided to
let the American
Psychiatric Association decide.
10.3 Assessing Personality Disorders
• The Minnesota Multiphasic Personality

Inventory (MMPI--2)
• Personality Assessment Inventory
(PAI-)
• The Millon Clinical Multiaxial Inven-
tory-III (MCMI-III/)
• Common Features of Each Assessment
10.4 Case Illustrations
• Case 1: Bob G.
• Case 2: Samantha K.
Summary
Introduction
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CHAPTER 10
Personality disorders share many of the same defining features
with the concept of personal-ity; both, for example, have a
stable pattern of behavior, affect, and cognition that charac-
terize the individual. But to be considered a personality disorder
there must also be a clear
indication that a person’s behavior, affect, or cognition is
problematic in some way—maladaptive
or rigid, for example—and compromises the individual’s level
of functioning. Personality disorders
can be differentiated from clinical disorders that do not involve

personality (e.g., alcohol depen-
dence, schizophrenia, depression, anxiety, etc.), in that the
former are typically more longstanding
and pervasive, and they typically manifest in more subtle ways.
One of the biggest challenges to identifying and diagnosing any
disorder is establishing a set of
criteria that can help differentiate normal manifestations of
behavior, affect, and cognition from
what might be labeled as abnormal or even pathological
manifestations. Over the years, a number
of criteria have emerged by consensus, and some of those are
briefly discussed in this section.
Note that these criteria are broadly applied to abnormal
behavior, and there are separate factors
that will make them applicable to personality.
Criteria to Define Abnormal Functioning
Four basic criteria are considered relevant to differentiating
abnormal from normal functioning:
1. statistical deviance,
2. dysfunction in daily living,
3. the experience of distress, and
4. danger to self or others.
Each criterion is important in defining
abnormal functioning, but none are nec-
essary or sufficient to determine that a
disorder is present. As an example, it is
true that behavior that is markedly differ-
ent (statistically deviant) from what most
people do is more likely to be defined as
abnormal, but some rare behaviors are
not disorders, and in fact can be quite
adaptive. For example, consider the life

and behavior of Mother Teresa, which
could be an extreme case of altruism,
or that of Bill Gates, which could be an
extreme case of financial and technologi-
cal success. Neither of these would be
considered maladaptive, but they are cer-
tainly deviant from a statistical standpoint.
It is also the case that, despite these criteria, debate has
continued with respect to what specifically
should or should not be considered a disorder. Consider
homosexuality, which prior to 1980 was
considered a psychiatric disorder by the World Health
Organization (WHO) and was also included
in the Diagnostic and Statistical Manual of Mental Disorders,
2nd Edition (DSM-II; APA, 1968), but
since that time has not been considered a disorder. A wide range
of factors influence what we
consider disordered, and the criteria—and interpretations of the
criteria—will change over time.
Trevor Smith/iStockphoto/Thinkstock
What do we consider disordered behavior? When is
abnormal behavior pathological?
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CHAPTER 10 10.1 Defining Personality Disorders
Statistical Deviance

Statistical deviance refers to the infrequency of a behavior or
trait in the general population, with
the assumption that a lower frequency is typically associated
with abnormal behavior. Statistical
deviance is determined by the context, including the temporal
context and the social/cultural
context. Thus, what is considered typical today may have been
labeled atypical in the past, and
vice versa.
Consider for example, the incidence of women engaging in roles
traditionally considered mascu-
line, such as playing competitive sports, which was very rare a
century ago, but today is not only
common, but is also considered healthy. Likewise, behavioral
standards and normative experi-
ences vary tremendously around the world. For example,
Windigo psychosis refers to a condition
sometimes observed in Native American (especially Algonquin)
Indians where the afflicted indi-
vidual believes that he has been possessed by a spirit that
results in a desire to consume human
flesh (cannibalism). This disorder is rarely observed in other
cultures. Or consider a disorder like
anorexia nervosa and its incidence in Western civilization, with
rates of occurrence of approxi-
mately 0.5% overall, but with higher rates among high school
and college-aged females at almost
6% (Makino, Tsuboi, & Dennerstein, 2004). This disorder,
however, is virtually non-existent in non-
Western cultures, with rates of approximately 0.0063%, even in
females (Kuboki, Nomura, Ide,
Suematsu, & Araki, 1996). Of course, there is no specific value
that defines statistical deviance,
and therefore this criterion is considered on a continuum.

Dysfunction in Daily Living
Simply being statistically unusual is not enough to consider a
behavior disordered because rare
behaviors and traits can be adaptive—and common behaviors
and traits, such as heavy alcohol
consumption among college students, are not necessarily
adaptive. Thus, an important addi-
tional feature is the extent to which the behavior or trait leads
to problematic functioning, or
dysfunction, in areas such as work, school, and relationships.
For example, if someone is very
task-driven and highly competitive, and this results in their
attaining considerable professional
success, establishing friendships, and attracting intimate
partners who like that trait, then it would
be considered adaptive. However, if that same level of
competitive drive results in the alienation
of intimate others, the inability to cooperate with colleagues,
and, therefore, less career success,
then the behavior would be more likely labeled as abnormal and
problematic.
The Experience of Distress
Behaviors and traits can also result in the individual or those
around them reacting with distress,
and this criterion can help define abnormality. In fact, the
individual’s own experience of distress
has been a major predictor (e.g., Cepeda-Benito & Short, 1998;
Kimerling & Calhoun, 1994; Mond
et al., 2009; see also Vogel & Wei, 2005) of help-seeking
behavior across a wide range of condi-
tions. From a practical standpoint, psychological distress
increases the likelihood that a contact/
interaction will occur with a mental health professional and that

a diagnosis will be made.
In addition to the individual’s own experience of it, distress can
affect others, and this will simi-
larly increase the potential for the individual being encouraged
(or even coerced) into treatment.
In this way, this criterion addresses the circumstance of people
who behave abnormally but have
very little self-awareness. In this instance, the psychological
distress is likely to be experienced by
those who interact with the individual. This criterion also
interacts closely with the criterion of
dysfunction, as the experience of distress leads to dysfunction.
Lec81110_10_c10_283-312.indd 286 5/21/15 12:40 PM
Danger to Self or Others
Some instances of behaviors and traits are a danger—risky or
harmful—either to the individual
or to others. Consider suicidal behavior, which can be
conceptualized as either an active (e.g.,
trying to take one’s own life) or passive (e.g., failure to engage
in safer actions or avoid high-risk
circumstances) threat to the self. Self-injurious behavior, which
is distinct from a suicide attempt,
would also be captured by this category of self-harm.
Regardless of the specific example, this cri-
terion emphasizes what might be considered the ultimate
dysfunction, as it threatens existence.
Moreover, such threats are also likely to involve distress by the
individual and others. Thus, even

though the criteria can be theoretically distinguished, from a
practical standpoint, they are highly
interrelated.
Criteria for Defining Problematic Functioning in Terms of
Personality
In addition to defining a behavior or trait along a continuum
from normal to abnormal, it is also
important to highlight the factors that help categorize it as a
problem specific to the domain of
personality. Disorders of personality are somewhat unique in
that they involve behaviors or traits
that are pervasive and longstanding. By pervasive we mean that
the problematic behavior or trait
emerges in virtually all aspects of the individual’s life (this
would be similar to Allport’s term, car-
dinal traits, as described in Chapter 8). By longstanding, we
mean that the problematic behavior
or trait has been present for a significant portion of the
individual’s life. As we shall see when
presenting the diagnostic criteria, personality disorders must be
present since at least late ado-
lescence or early adulthood, and therefore personality disorders
should generally not be assigned
until adulthood.
Despite the requirement that there be some durability to the
personality disorder over the life-
time, some research suggests that personality disorders may not
be stable in their presentation,
especially when there are overlying mood disorders, such as
anxiety and depression (e.g., Ottos-
son, Grann, & Kullgren, 2000). Studies have also found
somewhat modest temporal stability for
several measures of personality disorders (as indicated by the
test-retest reliability coefficients;

e.g., Trull, 1993), and it is unclear if this means that it is the
measures that are unstable or the
personality disorders themselves. Indeed, longitudinal studies
have generally questioned whether
personality disorders are, in fact, stable over time (Cohen,
Crawford, Johnson, & Kasen, 2005;
Skodol et al., 2005; Zanarini, Frankenburg, Hennen, Reich, &
Silk, 2005), and this may have some
important consequences for the construct itself (i.e., how we
define personality disorders).
Although this chapter will focus on the disorders of personality,
it is important to acknowledge that
personality functioning is a critical aspect of understanding how
other psychiatric disorders mani-
fest in the individual and how they can best be treated. For
example, a diagnosis of post-traumatic
stress disorder (PTSD) may present very differently for a highly
extraverted, conscientious, and
neurotic individual relative to one scoring low on these traits
(factors); both intervention strate-
gies and treatment outcomes may likewise be affected by these
traits (e.g., Bock, Bukh, Vinberg,
Gether, & Kessing, 2010; Canuto et al., 2009; Ogrodniczuk,
Piper, Joyce, McCallum, & Rosie, 2003).
Conceptualizing Personality Disorders
Beginning with the diagnostic system published in 1980 (DSM-
III; APA), there has been an interest
in considering personality disorders as extreme versions of
normal traits. In this approach, the dif-
ference between clinical and nonclinical manifestations of
personality would be quantitative, not
Lec81110_10_c10_283-312.indd 287 5/21/15 12:40 PM

qualitative. That is, personality disorders and normal
personality functioning would be defined
along the same continuum. In contrast, the more prevailing
historical trend was to consider clini-
cal (disordered) presentations of personality and nonclinical
(normal) presentations of personality
as qualitatively distinct, with medical terms used to define the
former and traits to describe the
latter. Using this approach, the two manifestations of
personality are considered categorically dis-
tinct. This highlights the division between at least two camps:
those that believe that personality
disorders are quantitatively different from normal personality
functioning (i.e., they are simply
extreme examples of the same traits) and those who believe that
there are important qualitative
distinctions that require the use of different constructs in
clinical and nonclinical settings (see
Clark, 2007; Strack & Lorr, 1994; Widiger & Samuel, 2005).
The categorical model that emphasizes
the qualitative distinctions continues to be a central feature of
the newest incarnation of the Diag-
nostic and Statistical Manual (DSM-5; APA, 2013).
A third, hybrid approach assumes that the quantitative
differences, when combined in certain
ways, can result in qualitative differences as well. There is
some support for the latter position,
as researchers have found that the traits that co-occur in
nonclinical populations differ from the
most common co-occurring traits in clinical settings (Livesley
& Jang, 2005).

Yet another way to address this conceptual issue is to consider
the distinction between abnormal
personality and disordered personality. Most researchers would
agree that abnormal personality
is simply a variant of normal personality (i.e., a statistical
oddity) that can be defined as an extreme
score (too little or too much) on the basic personality traits (see
also Eysenck, 1987; Wiggins &
Pincus, 1989). In contrast, a personality disorder implies
deficits in functioning and maladaptive
behavior (or in the very least, the absence of adaptive
behavior). Thus, in referring to the criteria
noted earlier in this chapter, statistical deviance allows for a
designation of abnormal, while some
of the remaining criteria, most notably the presence of
dysfunction, results in a qualitatively dif-
ferent label (a disorder). Indeed, statistical deviance by itself is
neither necessary nor sufficient to
meet criteria for a disorder.
Although the qualitative versus quantitative distinction may
seem like nothing more than a the-
oretical debate, there are in fact some important implications.
For example, if one adopts the
qualitative model, then it would be necessary to develop
separate measures for use in clinical and
nonclinical settings (this is in fact the most common practice
today). In contrast, the quantitative
model would not require separate measures to be developed,
only separate norms (i.e., to quan-
tify the typical scores in clinical settings).
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CHAPTER 10 10.2 Types of Personality Disorders
10.2 Types of Personality Disorders
In 2013, the Diagnostic and Statistical Manual of Mental
Disorders, Fifth Edition (DSM-5) was published by the
American Psychiatric Association (2013). Previous versions of
the DSM adopted a multi-axial system to categorize disorders.
Axis I identified the clinical disorders and conditions
that might be the focus of clinical attention. Axis II included
the personality disorders, learning dis-
orders, and mental retardation. Axes III through V covered
medical disorders, psychosocial prob-
lems (e.g., homelessness, job loss, etc.), and a global (overall)
rating of individuals’ functioning,
respectively. Traditionally, there has been considerable
diagnostic overlap and interdependence
between the five axes, and in particular Axes I and II.
The DSM-5 adopts a very different approach by completely
dropping the multi-axial system, and
combining what was formerly categorized as Axes I, II, and III
into a single diagnostic system, owing
largely to the considerable overlap among the axes and the
artificial nature of separating these dis-
orders. This now aligns the DSM more closely with the most
widely used diagnostic system around
the world: the World Health Organization’s (WHO)
International Classification of Diseases (ICD).
The disorders of the DSM-5 are now organized based on their
relatedness to each other, focusing
on such factors as symptom overlap and similar underlying
vulnerabilities. The DSM-5’s documen-
tation of diagnoses does retain separate notations for
psychosocial and contextual factors, as well

as disability (formerly Axes IV and V, respectively), and none
of the 10 personality disorders defined
in the previous DSM-IV have changed with respect to their
specific criteria in DSM-5.
According to the DSM-5 (APA, 2013), personality disorders
must also present in at least two of the
following four areas:
1. cognition (i.e., thinking; referring specifically to perceptions
of the self, others, and
events)
2. affect (i.e., emotional experiences, referring specifically to
impact on affective range,
lability, intensity, and appropriateness)
3. interpersonal functioning (i.e., relationships)
4. impulse control (i.e., the ability to, essentially, delay
gratifying one’s needs and wants)
By requiring that at least two of the above-mentioned areas be
affected, this assures that person-
ality disorders will be pervasive in their impact on the
individual’s life, and this is in keeping with
the definition of personality.
Up to this point in the chapter, the more general requirements of
personality disorders have been
reviewed. Now we turn our attention to the specific diagnostic
criteria for each disorder. Each of
the personality disorders and their diagnostic criteria will be
presented here, as forwarded in the
DSM-5. Importantly, the presence of the previously noted
features (e.g., distress, dysfunction,
pervasiveness, etc.) is necessary for the diagnosis of a

personality disorder in general, whereas the
following criteria are necessary for the diagnosis of a specific
disorder.
The personality disorder criteria are presented in three
groupings, referred to as clusters. There is
more symptom overlap within clusters rather than between the
clusters.
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Cluster A Personality Disorders
The cluster A personality disorders all involve odd or eccentric
behavior, resulting in decreased
socialization experiences and often increased isolation. Such
behavior will most closely match the
presentation seen with other clinical disorders with psychotic
symptoms, such as schizophrenia or
mood disorders with psychotic features. To qualify for the
diagnosis of a personality disorder, the
symptoms cannot be better explained by one of the clinical
disorders.
Paranoid Personality Disorder
The primary presenting features of paranoid personality
disorder is a persistent and universal
distrust and suspiciousness of others. These individuals
interpret the intentions of others as hos-
tile and demeaning in nature, and as a result they often take
umbrage to these perceived slights
and respond with anger and provocation. Importantly, the

suspiciousness is without justification
and may be very subtle (if present at all), even though the
general themes may be common (e.g.,
fidelity of an intimate partner, loyalties of others, persecution
from a government agency, etc.).
Thus, the symptomatic nature of the paranoid presentation is
made most obvious by its recurrent
nature.
Because of these beliefs, close relationships will be difficult to
maintain, both because of the per-
ception of attack and threat from others and because of the
counterattacks that invariably occur.
As a result, they often engage in social isolation and self-
sufficiency, they may present as emo-
tionally volatile, and they typically blame others for their
shortcomings. According to the DSM-5,
stress may exacerbate paranoia, and this personality disorder
may be a precursor to a more severe
psychotic presentation (i.e., schizophrenia). Prevalence rates
have ranged from 2.3% to 4.3%, with
the disorder being more commonly diagnosed in males (DSM-5;
APA, 2013).
Schizoid Personality Disorder
The primary presenting feature for schizoid personality disorder
is flat affect and disengagement
from social interactions. Due at least in part to their lack of
emotional experience, these individu-
als have few interests and goals in life, and they do not desire
or derive pleasure from close rela-
tionships. As a result, these individuals present as indifferent
and detached; they tend to choose
to engage in isolated activities. They are unlikely to have
friendships or close connections (e.g.,

they rarely date or marry), and aside from first-degree relatives,
they may have no one in whom
they might confide.
As was the case for paranoid personality disorder, the schizoid
individual may experience height-
ened symptoms during times of stress, and this disorder may be
a precursor to a delusional disor-
der or schizophrenia. Prevalence rates range from 3.1% to 4.9%,
and this disorder is slightly more
common in males (DSM-5; APA, 2013).
Schizotypal Personality Disorder
The diagnostic category for schizotypal personality disorder
includes a wide range of symptoms
that parallel what is often seen with schizophrenia, though
symptoms tend to be less acute but
more pervasive. Symptoms include referential thinking (i.e.,
mistakenly believing that the actions
of others or events have special meaning or significance for the
individual); magical thinking, which
includes superstitious beliefs as well as belief in telepathy or
clairvoyance; odd or unusual percep-
tions; and unusual thinking or speech. Individuals with this
diagnosis also have either restricted or
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inappropriate affective responses, and their behavior can be
characterized as peculiar. Schizotypal
personality disorder also tends to result in social isolation, with

few if any close relationships, and
the presence of social anxiety that is unaffected by the
familiarity of those with whom they inter-
act. Paranoia may be present, but it is not the primary or
dominant symptom, as with paranoid
personality disorder. Likewise, restricted affect and social
withdrawal are also present but are less
prominent relative to schizoid personality disorder.
As with the other cluster A personality disorders, schizophrenia
and other psychotic disorders may
manifest later in life, though this occurs in a relatively small
percentage of those affected. Between
30% and 50% of those with schizotypal personality disorder
have a co-occurring major depressive
disorder. The prevalence rates for the cluster A personality
disorders range from 3.9% to 4.6% in
the United States, but the rates are much lower in other parts of
the world (e.g., less than 1% in
Norway). This disorder also appears to be slightly more
common in males, and this is considered
one of the more stable personality disorders, in that symptoms
tend to present in a consistent
manner throughout one’s life (APA, 2013).
Differentiating schizophrenia from the personality disorders of
schizotypal, schizoid, and paranoid
is complex, and misdiagnoses can occur. Research suggests that
one of the more effective ways
of differentiating schizophrenia from the personality disorders
is that the former tends to have
more of what are referred to as the positive symptoms (e.g.,
active hallucinations and delusions),
whereas such symptoms are more subtle or even absent with the
cluster A personality disorders.
Instead, it appears to be symptoms such as social and physical

anhedonia that characterize the
personality disorders (e.g., Clementz, Grove, Katsanis, &
lacono, 1991; Kendler, Thacker, & Walsh,
1996).
Cluster B Personality Disorders
The cluster B personality disorders
involve dramatic or emotional behavior,
and although relationships will be pres-
ent, there will be conflict, instability,
and exploitation. Moreover, unlike the
cluster A personality disorders, those in
this cluster typically present with con-
siderable affect and affective dysregula-
tion. This cluster most closely resembles
the mood disorders, although a cluster
B personality disorder diagnosis should
not be applied if the behavior is better
accounted for by a mood disorder.
Antisocial Personality Disorder
This diagnosis is explicitly not permit-
ted until the individual is aged 18 or
older, and a conduct disorder diagno-
sis is common prior to the age of 15.
Antisocial personality disorder also differs from other
personality disorders in that it tends to
remit, or at least become less prominent, on its own, thereby
suggesting that this is part of its
normal course (i.e., with more pronounced presentation earlier
in life).
Click Images/iStock/Thinkstock
Antisocial personality disorder is much more common

in this context, with rates as high as 70 percent of
incarcerated men.
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The most prominent feature of this disorder is the universal and
longstanding practice of complete
disregard for social norms, with the individual typically
engaging in a long history of illegal behav-
ior. In fact, these individuals often come to clinical attention by
way of the police (i.e., they rarely
present for voluntary assessment or treatment of antisocial
traits). These individuals routinely vio-
late the rights of others, with little regard, remorse, concern, or
empathy. They are callous, cynical,
aggressive (e.g., fights, assaults, etc.), irritable, impulsive,
reckless, and irresponsible. They pres-
ent as opinionated and even arrogant, with a superficial charm
and glib demeanor.
Because deceitfulness (lying) is a common feature of this
personality disorder, there is often a
history of taking advantage of others for personal (typically
material) gain. The prominence of
deceitfulness can be problematic from a diagnostic standpoint,
as the clinician often relies on the
individual’s self-report to arrive at a diagnosis. Thus, it is often
necessary to rely more on objective
information, such as arrest records and legal history, to arrive at
an accurate diagnosis.
Antisocial personality disorder may be comorbid (co-occur)

with mood disorders, substance abuse
disorders, and impulse control disorders. According to the
DSM-5 (APA, 2013), prevalence rates
range from 0.2% to 3.3%, though rates can exceed 70% among
males in legal and forensic set-
tings and substance abuse clinics. The disorder is significantly
more common in males relative to
females (approximately three times greater in males; Eaton et
al., 2012), though there are some
concerns that this difference is due to an overemphasis on the
symptoms of aggression. Spe-
cifically, a recent study suggests rates of 1.9% for females and
5.5% in males (Eaton et al., 2012).
Socioeconomic status also appears to be a risk factor, with
higher rates among those who are
economically depressed.
Borderline Personality Disorder
The trajectory for borderline personality disorder appears to
result in decreasing symptoms as the
individual ages, with greater stability beginning during the
individual’s third and fourth decades
of life. The most noteworthy symptoms include instability of
affect and relationships, with the
individual making dramatic attempts to avoid perceived
abandonment by others. Those with bor-
derline personality disorder often vacillate between the
idealization of others and the complete
devaluing of others, thereby leading to unstable relationships.
Feelings of emptiness, anger, and
problems with intense anger control are common, along with
instability of the individual’s self-
image. Impulsive and self-damaging behavior is common,
sometimes marked by suicidal behavior
or threats. The suicidal behavior may be best described as

suicidal gestures, as they can often be
described as high-visibility acts (i.e., making them known to
others) with low lethality, thereby
suggesting that the primary purpose of such behavior is to
manipulate others and avoid abandon-
ment. These individuals also have a pattern of disengaging from
goal-directed behavior shortly
before accomplishing a goal, and, as a result, they tend to be
underachievers.
At times of stress, psychotic symptoms can occur, and mood
disorders are also comorbid with
borderline personality disorder. Histories of physical and sexual
abuse, along with neglect, are
commonly observed in the families of origin. Prevalence rates
range from 1.6% to 5.9%, with
the higher end of that range seen in primary care settings.
Upwards of 10% prevalence rates are
observed in outpatient mental health settings and up to 20% of
those in inpatient psychiatric
facilities. This disorder is largely diagnosed in females
(approximately 75% of cases are female)
(DSM-5; APA, 2013).
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Histrionic Personality Disorder
Prominent features of histrionic personality disorder include a
dramatic and exaggerated emo-
tional presentation that is almost theatrical in nature. These
individuals often inappropriately

sexualize situations, presenting as seductive and provocative,
even when such behavior is clearly
inappropriate (i.e., either the situation is inappropriate or the
target is inappropriate). These indi-
viduals strive to be the center of attention and often use their
physical appearance to draw atten-
tion to themselves. Depression or intense emotional reactions
can occur when they are not the
center of attention. Histrionic personality disorder involves
rapidly shifting and shallow emotions
(e.g., uncontrollable sobbing and temper tantrums), and speech
is often shallow and impression-
istic. They may depict themselves as victims in relationships
with others.
Histrionic personality disorder is comorbid with somatization
and mood disorders. Prevalence
rates are estimated to be approximately 1.8% in the general
population, and females appear to be
more commonly diagnosed than males (DSM-5; APA, 2013).
Narcissistic Personality Disorder
The most prominent feature for narcissistic personality disorder
is a grandiose self-presentation,
with an attendant need to be admired. These individuals will
often exaggerate their achievements
(which are often quite ordinary) and thus expect to be
recognized as superior to others. Narcis-
sistic personality disorder involves excessive self-absorption,
with fantasies of power and success
and even intellectual prowess and beauty. They present as
entitled, expecting favorable treatment
from others. This also leads to interpersonal exploitation and a
lack of empathy (i.e., unwilling or
unable to recognize the viewpoint of others). Interestingly,

despite presenting as superior, their
self-esteem tends to be very fragile (hence the need for
excessive admiration), and they can react
quite strongly to perceived criticism.
This disorder co-occurs with mood disorders, anorexia nervosa,
and substance abuse disorders
(especially cocaine). Depending on the stringency of the criteria
use, prevalence rates for narcis-
sistic personality disorder can range from 0% to 62% in the
general community, and males com-
prise 50–75% of the diagnosed cases. This indicates that this
disorder has one of the largest ranges
in prevalence (DSM-5; APA, 2013).
Cluster C Personality Disorders
Cluster C personality disorders are marked by fear and anxiety.
Interpersonal relationships occur,
but may be limited. Each of these disorders has a parallel
clinical disorder that shares similar fea-
tures but is nevertheless distinct.
Avoidant Personality Disorder
Individuals with avoidant personality disorder are socially
inhibited and are fearful of, and hyper-
sensitive to, negative evaluations from others. For these
reasons, these individuals avoid interper-
sonal interactions, fearing that they will be criticized and
rejected. Thus, they may only interact
with others if they are assured or certain of being liked and
accepted (i.e., they require consider-
able nurturance and support). Those with avoidant personality
disorder consider themselves as
inept, unappealing, inadequate, and inferior. They often
exaggerate the potential for and conse-

quences of interpersonal failure, choosing instead to remain
isolated and safe.
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This personality disorder has considerable overlap with social
phobia, agoraphobia, and other
mood and anxiety disorders. This diagnosis can also co-occur
with dependent personality disor-
der, because they identify a small number of close trusted
friends to help them navigate daily life.
Prevalence rates are approximately 2.4% in the general
population (DSM-5; APA, 2013).
Dependent Personality Disorder
Individuals with dependent personality disorder exhibit a
pervasive need to be cared for by oth-
ers. They are overly reliant on close friends or family and
constantly fear losing that support net-
work. They are extremely reluctant to make decisions for
themselves, even minor decisions (e.g.,
what clothing to wear, what movie to see, what restaurant to
select, etc.), and are reluctant to take
any personal responsibility for their actions. They constantly
seek the advice and guidance of oth-
ers, and they require considerable reassurance. Because of their
dependence on others, they are
reluctant to express any disagreement; they fear losing the
support of others. Even acts that may
lead to greater independence are met with fears of losing social
support, thereby undermining

the desire to be more independent. These individuals are also
willing to engage in self-sacrifice to
maintain a relationship and may be willing to endure demeaning
and humiliating circumstances.
This sometimes results in their tolerating emotional, verbal,
physical, or sexual abuse at the hands
of those upon whom they depend.
This diagnosis is generally not recommended for use in children
or adolescents. Mood disorders
most often co-occur with dependent personality disorder, and
typically there is a higher rate of
occurrence in females. Prevalence rates are approximately 0.5%
in the population (DSM-5; APA,
2013).
Obsessive-Compulsive Personality Disorder
Individuals with obsessive-compulsive personality disorder are
overly preoccupied with details
and trivial rules; they are stubborn; and they follow rigid moral
standards, often forcing others to
do so as well. Although they consider themselves to be
perfectionists, their perceived perfection-
ism actually interferes with the completion of tasks and the
accomplishment of goals (or, in the
very least, the missing of deadlines) because of their meticulous
preoccupation with details and
standards. They will refuse help even when they are behind
schedule and are unwilling to delegate
responsibilities to others because of concerns that others will
not complete the task in a manner
consistent with their own standards. If they do allow others to
help, they will provide detailed
instructions and are unwilling to compromise on how things
should be done (i.e., there is only one

way to accomplish any given task). Relationships are often
compromised because they cannot see
the perspective of others, and they lack awareness of the
frustration they cause in others with
their overly meticulous and rigid manner.
They are very poor allocators of time, sometimes spending more
time planning an activity than
actually executing it. For example, a student with obsessive-
compulsive personality disorder might
spend more time developing a study schedule and plan than
actually studying for the test; he or
she might not even get to the point of studying.
These individuals often adopt extreme cautiousness in spending
both for themselves and others,
and they may find it difficult to discard even worthless objects.
Those with obsessive-compulsive
personality disorder often feel they are too busy to take any
time off or engage in any pleasurable
activities like vacations. Excessive time is often spent on
household chores, such as cleaning.
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Anxiety disorders often co-occur with obsessive-compulsive
personality disorder, including
obsessive-compulsive disorder (the latter involves repeatedly
having an obsessive thought and
then repeatedly engaging in ritualistic behavior to decrease the
anxiety associated with that
thought). Obsessive-compulsive personality disorder tends to

show little variability over one’s
lifetime. Prevalence rates in the general population range from
2.1 to 7.9%, and the disorder is
diagnosed in males about twice as often as females (DSM-5;
APA, 2013).
Other Specified Personality Disorder
When individuals do not fit into any of the aforementioned
categories, but they still have person-
ality patterns that result in deviance, dysfunction, distress,
and/or danger, then they may qualify
for other specified personality disorder. In such instances, it is
also possible to list the associated
features, some of which could correspond to the other
diagnostic categories (e.g., antisocial fea-
tures) while others might not (e.g., passive-aggressive features).
This diagnosis is also given when
mixed personality features are present.
The Prevalence of Personality Disorders
Personality disorders do not reflect acute problems or changes
in functioning because, much like
personality itself, they are stable and almost lifelong in their
presentation. Thus, researchers esti-
mate that those with personality disorders may be under-
represented in clinical settings; thereby
leading to an underestimation of their occurrence in the general
population.
One of the largest (N = 5,692) and most recent attempts at
determining the prevalence of person-
ality disorders in the United States was published in 2007 and
used DSM-IV criteria. The data are
still relevant because there have been few functional changes in
the criteria for the personality
disorders between the DSM-5 and the previous version.

Researchers concluded that the incidence
of personality disorders in the general population was
approximately 1 in 11 (9.1%). Research also
finds that obsessive-compulsive personality disorder is one of
the most common, with narcissistic
and borderline personality disorders being the next most
common (Lenzenweger, Lane, Loranger,
& Kessler, 2007).
Relative to other countries, the United States appears to have a
consistent and stable pattern of occur-
rence, whereas greater variability is seen elsewhere.
Specifically, outside the United States, published
rates range from approximately 6% to 13%, but the average of
these figures is commensurate with
U.S. rates (Sansone & Sansone, 2011). It also appears to be the
case that personality disorders are at
least as common among those who identify as ethnic minorities
(e.g., Blacks and Latinos) as among
those who identify as White in America (e.g., Crawford,
Rushwaya, Bajaj, Tyrer, & Yang, 2012).
Not surprisingly, researchers examining psychiatric samples
have found high rates of occurrence and
comorbidity (co-occurrence of different disorders). For
example, in one such study, 23% of admitted
psychiatric patients were found to have a personality disorder
(Mors & Sørensen, 1994). Moreover,
the researchers found that of those diagnosed with
schizophrenia, 44% also had a personality disor-
der (PD), while 20% of those with mood disorders also had a
PD (Mors & Sørensen, 1994). In general,
it appears that meeting criteria for one personality disorder
makes it more likely that the individual
will meet criteria for a second personality disorder, and those
with a personality disorder are more

likely to also have a diagnosed clinical (formerly Axis I)
disorder.
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There are several possible explanations
for the high comorbidity with personal-
ity disorders, including the fact that the
diagnostic criteria overlap to a certain
degree, that having one diagnosis simply
increases the possibility that one will be
diagnosed for any other disorder, and
that problems of one kind increase the
probability that one will manifest other
types of problems. The issue of comor-
bidity is especially important when con-
sidering where the data are collected.
That is, when studying clinical samples
(those seeking treatment) it is reason-
able to assume that comorbidity will be
higher because multiple problems are
precisely why these individuals are seek-
ing treatment.
Personality Disorders as Primarily Adult Disorders
Although one might be tempted to assign a personality disorder
(e.g., narcissistic personality
disorder) to an adolescent girl who appears egocentric in her
thinking, or antisocial personality
disorder to a young, undisciplined boy, it is important to note
that personality disorders are sup-

posed to have a history of at least one year and have begun to
manifest since late adolescence
or early adulthood. In fact, the DSM-5 explicitly states that
some PDs, like antisocial personality
disorder, should not be diagnosed prior to the age of 18.
Instead, other diagnoses would be more
appropriate. As an example, a conduct disorder would be a more
appropriate diagnosis for a per-
sistently disobedient child, whereas similar behavior as an adult
would be more appropriately
labeled antisocial in nature. Similarly, an identity disorder
might be a more appropriate diagnosis
for a teenager, whereas the same behaviors (identity
disturbance) would be better characterized
as borderline personality disorder as an adult. Finally, it is
noted that behaviors that manifest in
childhood and even adolescence may not continue to manifest
into adulthood, even those that
are thought to reflect highly stable characteristics. Consider the
research showing that a signifi-
cant portion of adolescents who are diagnosed with antisocial
traits (e.g., psychopaths), do not
exhibit this behavior when they are later assessed as adults
(e.g., Lynam, Caspi, Moffitt, Loeber, &
Stouthamer-Loeber, 2007; Salekin, Rosenbaum, Lee, & Lester,
2009).
Alternative Organizational Models for the Personality Disorders
The DSM nosological (referring to the science of diagnostic
classification) structure is the domi-
nant model used in the United States to organize psychiatric
disorders, including the personality
disorders (as noted in the previous section). Other
organizational systems exist; some of the alter-
native models are here briefly reviewed.

Creatas/Thinkstock
Although a child may exhibit disobedient behavior, a
conduct disorder diagnosis is more appropriate than an
antisocial personality disorder diagnosis.
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The International Classification of Diseases, 11th Revision
(ICD-11)
The World Health Organization (WHO) publishes the ICD and
reports that the final version of the
International Classification of Diseases, 11th Revision (ICD-11)
will be officially endorsed in 2015,
though a draft of the proposal was made available in 2012. The
current version, the ICD-10, was
published in 1992 by WHO. Regardless of the specific version,
this health classification system is
used around the world to facilitate diagnoses.
The ICD system assesses the severity of personality disorders
using the following five levels:
1. normal personality
2. personality dysfunction
3. personality disorder
4. complex personality disorder
5. severe personality disorder
There are five personality disorder dimensions of the ICD
system: asocial/schizoid, dissocial,

obsessional/anankastic, anxious-dependency, and emotionally
unstable. According to the ICD-11
draft, the last dimension will be incorporated into the anxious-
dependency dimensions, such that
anxious-dependency can be either anxious-dependency or
emotional instability. Another signifi-
cant change proposed for the ICD-11 is that the clinician will
determine whether the disorder is
present, rather than determining severity.
This system is quite different from the DSM-5, in that the ICD’s
five categories are considerably
fewer than the DSM-5’s ten categories, and the ICD rates the
severity of the disorder, whereas the
DSM only allows one to indicate whether it is present.
Millon’s Model for Classifying Personality Disorders
Millon devised a model to define both normal and clinical
manifestations of different personality
traits (i.e., a continuum approach), he tied his diagnoses to a
theoretical (evolutionary) model (the
DSM is atheoretical; that is, the categories are not based on any
underlying theory), and he tied
the diagnostic categories to a specific measure (the DSM is not
tied to any assessment tool). Mil-
lon’s model, which can be derived from the Millon Clinical
Multiaxial Inventory-III (MCMI-III/; see
the next section of this chapter which examines the MCMI-III/
along with other assessments of
personality disorders), includes a total of 15 traits. Those
defined under the clinical heading essen-
tially parallel the DSM-5 disorders; the first 10 match the DSM,
whereas the last 5 are additional
categories (see Table 10.1).

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Table 10.1: Millon’s personality disorder classifications and
corresponding
normal traits
Normal Clinical
Retiring Schizoid
Eccentric Schizotypal
Suspicious Paranoid
Sociable Histrionic
Confident Narcissistic
Nonconforming Antisocial
Capricious Borderline
Conscientious Compulsive
Shy Avoidant
Cooperative Dependent
Exuberant Hypomanic*
Skeptical Negativistic*

Aggrieved Masochistic*
Pessimistic Melancholic*
Assertive Sadistic*
*Additional category that does not match the DSM
Source: Adapted from Millon, T. (2011). The disorders of
personality: Introducing a DSM/ICD spectrum from normal to
abnormal (3rd
ed.). Hoboken, NJ.: John Wiley & Sons Inc.
Millon believed that most individuals would not present with a
“pure” personality prototype,
but would instead present with a mixed picture of several of the
personality variants. For exam-
ple, Millon suggested that the schizoid personality had four
subtypes: (1) remote (i.e., avoidant,
schizotypal features), (2) languid (i.e., melancholic features),
(3) affectless (i.e., compulsive fea-
tures), and (4) depersonalized (i.e., schizotypal features) (see
Millon & Davis, 1996b).
The Five Factor Model for Classifying Personality Disorders
Researchers have also suggested that the Five Factor Model
(FFM; introduced in Chapter 8) can
also serve to organize personality disorders. The advantage of
using this model is that it allows
for continuity between clinical and nonclinical manifestations
of personality disorders, and it is
based on a more empirically sound and tested model for
organizing traits (Widiger, 2005). This is
in sharp contrast to the DSM structure, which has always
struggled to establish construct validity
(e.g., Livesley, 2001).

In two independent reviews of the literature (Saulsman & Page,
2004; Widiger & Costa, 2002),
researchers have found that the disorders of personality fit very
well into the Five Factor Model
of personality. Moreover, even lexical studies of the descriptive
terms used for the personality
disorders (e.g., Coker, Samuel, & Widiger, 2002) suggest
considerable overlap between the DSM
nomenclature and the Five Factor Model (see also Widiger,
2005; Widiger, Trull, Clarkin, Sander-
son, & Costa, 2002).
As an example, schizotypal PD is defined by high neuroticism,
low extraversion, and high openness
to new experience (see Widiger et al., 2002, Table 6.1). The
same researchers found that histrionic
PD is defined by high scores on neuroticism, extraversion,
agreeableness, and openness to new
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experience. Obsessive-compulsive PD is defined by high scores
on extraversion and conscientious-
ness, and low scores on agreeableness and openness to new
experience.
Summary
Obviously, the models defining personality disorders that have
been put forth vary considerably
in their structure and basic assumptions. Moreover, research

comparing several of the models
defining personality disorders reviewed here suggests that
Millon’s configuration tends to have
the least support, followed by the DSM which has moderate
support. The strongest support has
emerged for the Five Factor Model, or similar, empirically
derived variants (O’Connor & Dyce,
1998). Of course, the Five Factor Model has yet to be employed
in clinical practice. Therefore,
although it is strong with respect to its basic scientific roots,
research is needed to see how effec-
tively it can translate to applied clinical settings.
Questioning the Legitimacy of Mental Illness
The basic thesis of this chapter is that psychiatric illnesses such
as personality disorders are legit-
imate—that they can be defined and organized into a coherent
structure, assessed, and even
treated. However, there have been some theorists who have
taken a very different position on the
matter. Although we have just presented the various criteria for
the DSM personality disorders, we
will now consider an anti-establishment perspective.
Thomas Szasz was a psychiatrist who was one of the most vocal
anti-psychiatry voices in the field.
Szasz argued that psychiatric illnesses (which would include
personality disorders) are essentially
fabricated (e.g., Szasz, 1960, 2011a). Specifically, Szasz
contrasted mental illness with medical con-
ditions like cancer and argued that the medical model should
not be applied equally to mental
illness. Szasz argued that, unlike physical illnesses, there is no
way to definitively determine if
mental illness is present in any given individual, as there is no
test or objective method that allows

one to find a disease from the DSM or any other classification.
Instead, Szasz argues that mental ill-
ness defines unusual behavior but that
what we define as a mental illness is a
social construct, reflecting the prevail-
ing views of the professionals governing
the field. Szasz argues that the decision
about what to include in the DSM is
arbitrary; one version has homosexual-
ity as a disorder, while the next version
removes homosexuality but adds pre-
menstrual syndrome. Szasz argues that
true diseases do not move in and out of
favor; they should be more objectively
observable.
Szasz was also a strong proponent of giv-
ing people control over their lives rather
than imposing a diagnosis and, worst
of all, an involuntary treatment. Thus,
Szasz wouldn’t argue with someone who
.Getty Images/Dynamic Graphics/Creatas/Thinkstock
Previous versions of the DSM considered homosexuality
to be a disorder. Szasz argues that this and all other DSM
“disorders” simply reflect social and cultural standards,
not diseases.
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CHAPTER 10 10.3 Assessing Personality Disorders

wanted to change for self-improvement. His concern was with
the imposition of treatment (i.e.,
involuntary commitments), especially given the arbitrary nature
of mental illness.
In his 1988 book, Cruel Compassion, Szasz argued that we
justify our attempts to control and
change others by considering the behavior as compassion, when
in reality it is cruelty to impose
unwanted treatment on others. In fact, he argued, we are being
selfish, because the true justi-
fication for our behavior is to either (1) change those who
remain in society (i.e., those we have
to interact with) with medications, surgeries (e.g., lobotomies),
or therapy, or (2) relegate those
who do not change to psychiatric hospitals so we do not have to
interact with them. Because the
field of psychiatry essentially substituted the term disease
(mental illness) for bad or undesirable
behavior, this now legitimizes treatment (Szasz, 1988; see also
Szasz, 2011b).
Szasz was not alone in his criticism of the DSM. For example,
despite the American Psychiatric
Association’s endorsement of the DSM-5, the current director of
the National Institute of Mental
Health (NIMH), Dr. Thomas Insel, has expressed concerns over
the lack of validity of the DSM-5
and its overreliance on symptoms to diagnose disorders.
Of course, Szasz’s perspective does not reflect the majority
view, but there are some important
arguments that should be considered, including the fact that the
determination of what consti-
tutes a disorder is essentially a process of consensus and is
subject to change. Thus, we should be

cautious of attributing too much importance to any specific
diagnostic criteria such as the DSM.
Moreover, if we accept that diagnostic categories are less than
definitive, then we must be espe-
cially cautious about imposing treatments on the individual, as
those treatments are based on the
assumption that the underlying problem to be changed is real.
Szasz’s critics countered that he
was an extremist in his position,
and like the very field he was
critiquing, he overstated reality.
For example, even though label-
ing behavior as a “mental illness”
may overstate reality, so too does
a complete denial that there is
any problem (see Phillips et al.,
2012, for a complete discussion
of these issues, especially as they
apply to the DSM-5).
10.3 Assessing Personality Disorders
Several measures have been developed and validated to broadly
assess psychiatric disorders, including personality disorders.
We will here review three of the more commonly studied,
modern-day measures.
The Minnesota Multiphasic Personality Inventory (MMPI®-2)
As noted in Chapter 1, this instrument is often considered the
gold standard in the assessment of
psychopathology because it is one of the most frequently used
instruments, and it is arguably the
most widely researched measure (Graham, 2006).

In this 2001 paper, Thomas Szasz attempts to discredit the
legitimization of psychiatric disorders. Read it at http://
www.independent.org/pdf/tir/tir_05_4_szasz.pdf.
Reference: Szasz, T. (2001). The therapeutic state: The
tyranny of pharmacracy. The Independent Review, V(4),
485–521.
Lec81110_10_c10_283-312.indd 300 5/21/15 12:40 PM
http://www.independent.org/pdf/tir/tir_05_4_szasz.pdf
http://www.independent.org/pdf/tir/tir_05_4_szasz.pdf
The instrument was developed by comparing samples of those
who had a particular psychiatric
diagnosis to control groups with no psychiatric diagnosis (the
Minnesota normals) with respect to
their responses on a large number of items. The items that were
consistently answered in a dif-
ferent way by the criterion group (those diagnosed) and the
control groups formed the basis of
the initial scales. These scales were then cross-validated
(replicated in other criterion and control
groups) and the items that survived comprised the original
MMPI-. It was revised in 1989, result-
ing in a 567-item true/false inventory (the MMPI--2; Butcher,
Dahlstrom, Graham, Tellegen, &
Kaemmer, 1989).
The MMPI--2 has validity measures to assess the respondent’s
test-taking approach (i.e., under-
or over-reporting), basic scales to assess several clinical
syndromes, and supplemental scales

that assess such areas as general adjustment, ego strength, how
one handles the expression of
anger and hostility, and substance abuse measures, to name a
few. The 10 basic scales from the
MMPI--2 are summarized in Table 10.2.
Table 10.2: Ten basic scales and descriptors from the MMPI--2
Scale Abbreviation—Name Description
1 Hs – Hypochondriasis somatic complaints, constricted by
symptoms
2 D – Depression dysphoria, shy, irritable, guilt ridden
3 Hy – Hysteria sudden anxiety, naïve, self-centered, infantile
4 Pd – Psychopathic deviate poor judgment, antisocial,
irresponsible, hostile
5 Mf – Masculinity–Femininity *traditional masculine or
feminine traits
6 Pa – Paranoia ideas of reference, angry, resentful, suspicious
7 Pt – Psychasthenia ruminating, anxiety, fearful, apprehensive
8 Sc – Schizophrenia disordered thinking, delusional, bizarre,
alienated
9 Ma – Hypomania expansive, grandiose, euphoric, overly
extended
0 Si – Social Introversion withdrawn, aloof, insecure, low self-
confidence

* This scale is scored separately by gender. High scores for
each gender denote a gender stereotype
consistent presentation.
Source: Adapted from Butcher, J. N., Dahlstrom, W. G.,
Graham, J. R., Tellegen, A., & Kaemmer, B. (1989). Minnesota
Multiphasic
Personality Inventory-2 (MMPI-2): Manual for administration
and scoring. Minneapolis: University of Minnesota Press.
One of the unique features of the MMPI--2 is that it is not
closely aligned with any theoretical
perspective, given that the selection of items was based almost
exclusively on the statistical dif-
ferentiation of groups. In fact, this technique for scale
development was sometimes referred to as
a “black box” or empirical approach to item selection because
of the lack of clear theory-driven
decisions.
Three more recent updates to the MMPI--2 are noteworthy. The
first was a significant psycho-
metric revision that resulted in the addition of the Restructured
Clinical (RC) Scales (Tellegen et al.,
2003). These scales were designed to be more psychometrically
sound than the original MMPI--2
clinical scales and they attempt to control for a response
tendency (demoralization) that results in
considerable overlap among the scales.
The second change occurred in 2008 with the publication of the
MMPI--2-RF (Restructure Form;
Ben-Porath & Tellegen, 2008), which was based on the RC scale
revision. This new measure, which
provided further psychometric improvements over the MMPI--2,
is briefer than the previous

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versions (338 true/false items), thereby simplifying the
resources needed to administer and inter-
pret the measure.
Finally, it should be noted that new MMPI--2 scales, the
Personality Psychopathology
Five (PSY-5)—Aggressiveness (AGGR), Psychoticism (PSYC),
Disconstraint (DISC), Negative
Emotionality/Neuroticism (NEGE), and Introversion/ Low
Positive Emotionality (INTR)—were
also introduced to parallel the dominant theoretical framework
in personality psychology, the
Five Factor Model (discussed at length in Chapter 8). However,
these new PSY-5 scales were
thought to have relevance in both clinical and nonclinical
settings and are not intended as a
substitute or proxy for the big five (Harkness, McNulty, Ben-
Porath, & Graham, 2002). The PSY-5
scales differ from the five factors identified in nonclinical
populations, in that the former were
meant to determine the extent to which personality disorders
might manifest and be recogniz-
able in clinical populations (see Harkness et al., 2002). They
also differ from the other MMPI--2
scales by adding significantly to the prediction of personality
disorders (Wygant, Sellbom,
Graham, & Schenk, 2006).
Personality Assessment Inventory (PAI®)
The PAI- is a 344-item measure that assesses 22 non-

overlapping scales that were intended to
broadly assess psychiatric disorders, and like the MMPI- scales,
it also includes validity indexes
(Morey, 2007). Its 11 clinical scales are grouped within the
neurotic and psychotic spectrum,
and a third grouping is referred to as behavioral disorders or
problems of impulse control. Other
scales assess such constructs as complications and motivation
for treatment, harm potential, and
interpersonal relations, to name a few. Two specific clusters of
personality disorder traits are also
assessed: borderline and antisocial.
The PAI- has normative data from patients, students, and the
population at large, and reliability
and validity figures are adequate for both clinical and
nonclinical settings.
Recent research also suggests that the PAI- is correlated with
several life-event variables in mean-
ingful ways, providing further validation for this relatively new
measure (Slavin-Mulford et al.,
2012). Moreover, recent studies have attempted to validate the
PAI- for use in various settings,
including forensic populations (e.g., Newberry & Shuker, 2012)
and neuropsychological settings
(Aikman & Souheaver, 2008).
The Millon Clinical Multiaxial Inventory-III (MCMI-III™)
The MCMI-III/ provides a standardized assessment of
psychopathology matched to the Axis I
and II disorders of the DSM-IV. The current 175-item version
was published in 1994 and was most
recently updated in 2009 (Millon, Millon, Davis, & Grossman).
Although explicitly intended for use
in clinical populations, this measure has also been used in

nonclinical settings to predict clinical
outcomes. The measure has validity indicators and 10 measures
of clinical syndromes; seven of
those denote moderate conditions and three denote severe
conditions.
The MCMI-III/ also includes 14 personality disorder scales that
are subdivided into 11 basic scales
assessing schizoid, avoidant, depressive, dependent, histrionic,
narcissistic, antisocial, sadistic,
compulsive, masochistic, and negativistic (with the latter also
referred to as passive-aggressive)
and 3 severe personality pathologies assessing schizotypal,
borderline, and paranoid features.
Despite the theoretical appeal and innovativeness of the MCMI/
tests, there have been some
concerns due to the modest, and in some cases poor, empirical
support for some of the scales on
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the inventory (e.g., Retzlaff, 1996; Saulsman, 2011). This has
led some in the field to suggest that
the MCMI-II/ and MCMI-III/ have failed to meet the basic
standards of admissibility for a test in
a court of law (known as the Daubert standard), especially when
considering the valid assessment
of personality disorders (Rogers, Salekin, & Sewell, 1999).
Moreover, researchers have suggested
that there are problems with the base rate data in the MCMI/
that is used to facilitate diagnoses,

and as a result some revisions have been suggested (Grove &
Vrieze, 2009). It has also been noted
that although the original MCMI/ had reasonable validity, the
MCMI-III/ has not received the
same empirical scrutiny; therefore, it is less clear whether the
newest version is valid (see Craig &
Olson, 2005, Craig, 2008).
Common Features of Each Assessment
Although the measures presented here adopt distinct
assumptions and have many unique scales,
there are nevertheless overlapping features. All are self-report
inventories with symptom-specific
items that require the respondent to respond using some kind of
a scale (either true/false or Lik-
ert). In all cases, scores are then compared to normative
samples for interpretation, and the inter-
pretation takes into account the test-taking approach of the
respondent (i.e., the validity scale
profile). Another common feature is that the measures
essentially tap the same broad groupings
of psychopathology. For example, in a recent study, researchers
factor analyzed (grouped) item
responses of psychiatric inpatients, those with substance abuse
disorders, and even those drawn
from forensic settings. For both the MMPI--2-RF and the
MCMI-III/, the measures captured
the extent to which the disorders are (1) internalizing, (2)
externalizing, (3) reflective of paranoia/
thought disturbance, and (4) pathologically introverted (van der
Heijden, Egger, Rossi, & Derk-
sen, 2012). Thus, irrespective of the measure, there appears to
be some fundamental overlap
with respect to the constructs being assessed (i.e., the disorders
themselves are a constant, and
the various measures essentially reflect that). This suggests that

the more noteworthy difference
between the various measures may involve the validity scales,
rather than the scales assessing
psychopathology.
Validity scales are typically embedded within the inventories
and assess the extent to which the
respondent may have approached the test in a manner other than
an honest and forthright one.
This is particularly important because these measures are often
administered in settings where
the individual has much to gain or lose based on the outcome of
the assessment. For example, in
psychiatric settings, the respondent may want to receive
services and may, therefore, exaggerate
symptoms or problematic personality functioning to gain access
to services. Or they may want to
avoid an involuntary hospitalization, thereby resulting in a
minimization tendency. Thus, the use
of validity scales to gauge the respondent’s test-taking approach
is critical to interpreting the test.
The MMPI--2 has the most comprehensive set of validity
indicators, including multiple measures
of defensiveness (defensiveness and lie scales), a measure of
superlative responding (answering
as you think a well-adjusted person might respond), multiple
measures of exaggeration (items
infrequently endorsed either in the general population or in
clinical settings), infrequent somatic
symptoms, measures of inconsistent responding, and a measure
to assess for the tendency to
primarily give true or false responses. Of course, having the
most validity measures does not nec-
essarily equate with having the best validity indicators, and this
is the focus of the next research

feature.
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CHAPTER 10 10.4 Case Illustrations
10.4 Case Illustrations
In this section, we provide some case examples to illustrate the
personality disorders, the mea-sures used to assess them, and
how the theoretical models are applied to explain their occur-
rence. In some instances, multiple theoretical perspectives will
be applied to illustrate how
the same data can be explained from different perspectives—
and, in some instances, with equal
plausibility.
Case 1: Bob G.
Bob G., a 32-year-old, single Caucasian male, presented for a
psychiatric interview at the behest
of his supervisor, who had received numerous complaints from
the residents of a building where
Bob is employed. The complaints essentially involve Bob being
nonresponsive to requests and
attempts to interact (i.e., Bob goes out of his way to isolate
himself from the residents, to the
point of undermining some of his duties). Bob had previously
worked the night shift and had had
many fewer interactions with the residents, but because of a
new rotating schedule, he was now
required to work the day shift sometimes.
Family background indicates that Bob has minimal interactions
with his family of origin. His father

is now deceased, but had been diagnosed with schizophrenia.
His mother is in out-of-state assisted
living. Bob also has a sister who provided collateral
information, saying that Bob has always been a
social isolate and somewhat odd. He was also described by his
sister as smart, and he did reason-
ably well in school.
Bob reported that his best friend was a former college
roommate, whom he had not seen since
his freshman year, when they shared a dormitory room for one
semester. He characterized their
relationship as mostly “focused on work,” and stated that they
typically “gave each other space”
so that they could accomplish their schoolwork.
Bob is single and has not had any dates or expressed any
interest in dating. He does describe him-
self as heterosexual, but when asked about his relationships
with women, he simply noted that he
has some fellow security officers who work on other floors who
are female. Bob also noted that he
perspires easily and heavily, and therefore he tends to keep to
himself so as not to offend others
(especially women) with the smell. (Note: No odor was detected
during the interview.) This is one
of the reasons he does not like to socialize with others. He also
described himself as someone who
is “serious” and “all business.” Thus, he does not like to waste
time with idle chatter. He reported
few socialization experiences outside the work setting. In fact,
even in the work setting, he did not
appear to know many people; when he described having lunch
with colleagues he described it as
“uncomfortable” and noted that he typically eats in the cafeteria
with others, but does not speak

to them. Bob noted that he can usually tell what others are
thinking, and so there is little need to
actually speak to them.
He denied the use of any alcohol or drugs and denied any legal
history. He also denied any formal
psychiatric history. As noted, family psychiatric history only
involves his father, who was diagnosed
with schizophrenia.
With respect to behavioral observations, Bob presented as
somewhat awkward socially, he rarely
made eye contact, and his gaze often moved about the room. He
sat with his hands clenched and
only spoke when asked a question, but he was cooperative. He
was dressed in his security guard
uniform, which was kempt. Although Bob denied the experience
of hallucinations, he did appear
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to become overly engrossed in common stimuli in the interview
room (e.g., staring at the walls
and the desk for prolonged periods of time). He occasionally
engaged in some odd hand gestures,
where he seemed to be blocking out stimulation that was not
apparent to the interviewer. Verbal-
izations were nonlinear (tangential and circumstantial) and
difficult to follow at times. He would
begin to answer a question, but then become engrossed in
another topic. For example, when
asked about his intense focus on the blue painted wall, he

reported being lost in thought, contem-
plating the complexities of the depths of our oceans, and the
undiscovered and even magical qual-
ities of that part of the world. Affective expression was
generally flat throughout the interview.
One other odd verbalization is also worth highlighting. Bob
stated that he became aware of the
current complaints from work because he “sensed” that others
might be upset with him and
believed that it was not uncommon for others to be speaking
about him behind his back. He also
expressed concern that the various executives who have offices
where he works are likewise talk-
ing about him and may even be considering terminating his
position because of Bob’s decision
not to attend church on Sundays. When asked directly if the
executives would know about Bob’s
non-work-related behavior, he acknowledged that they would
not likely know about this, but that
if they did, they would strongly disapprove. Despite these
concerns, Bob was unsure as to why
he needed this evaluation, stating that he is doing fine and has
not noticed any changes in his
behavior.
Data From Standardized Measures
Bob completed the MMPI--2. The validity profile indicated a
mildly defensive response set, as
Bob either minimized his problems or demonstrated poor insight
with respect to his difficul-
ties. Nevertheless, the basic scales are interpretable. Several of
the clinical scales were elevated,
including scales 8, 6, and 0, indicating disordered thinking,
eccentric behaviors, poor contact with

reality, withdrawal, alienation, suspiciousness, the tendency to
displace blame on others, mis-
taken beliefs, introversion, social withdrawal, and aloofness. No
other basic scales were elevated.
With respect to the PSY-5 scales, Bob was elevated on
Psychoticism (PSYC), indicating discon-
nection from reality and odd beliefs and perceptions, and
Introversion/Low Positive Emotionality
(INTR), indicating few positive emotions and social withdrawal.
Critical Thinking Questions:
• Referring to the DSM-5 criteria presented earlier in this
chapter, which personality disorder (if
any) best fits Bob? What might be the pros and cons of
administering the following measures
to assess Bob: (a) The MCMI-III/? (b) The Rorschach using the
Exner scoring system?
Consider one of the theoretical perspectives presented in this
text, and try to explain the
etiology for Bob’s behavior and presentation (i.e., how did he
become the way he is now?).
Diagnosing Bob
Bob’s presentation in the clinical interview and MMPI--2 test
scores suggest a personality disor-
der, most likely schizotypal PD. Importantly, there appear to be
problems in functioning, as Bob
has been having problems at work and relationships are largely
absent. His behavior is different
from that of most others, and he may cause those around him to
experience distress, even though
Lec81110_10_c10_283-312.indd 305 5/21/15 12:40 PM

he does not. Moreover, data from the clinical interview indicate
that Bob’s behavior has been
constant through much of his life, and it appears to manifest in
all areas of his life. Thus, if there is
a problem, it is likely to be one of personality.
Data to suggest schizotypal PD include the presence of odd
beliefs, such as being able to “sense”
things (i.e., magical or delusional thinking), and also possible
paranoid ideation, as indicated by
his concerns regarding the executives talking about him and
planning to fire him for not attending
church (something his employers would not know about, let
alone have an interest in). There may
have been some evidence of hallucinations, including smelling
an odor that was not detectable
and seeing things in the walls that preoccupied his thoughts and
engendered odd hand gestures.
Bob’s affect was flat, he presented as asocial, and he appeared
aloof and alienated, with few,
if any, social contacts. Bob’s profile of scores on the MMPI--2
highlights many of these same
themes (i.e., disordered thinking, odd perceptions, alienation,
and aloof presentation), thereby
providing further corroboration for the diagnosis.
Theoretical Approaches to Bob’s Case
A number of different theoretical accounts can be forwarded
based on the theoretical models
reviewed in previous chapters. For example, from the

neurobiological perspective, it is noted
that Bob’s father was diagnosed with schizophrenia, thereby
suggesting that Bob would have an
increased genetic risk for a similar disorder, such as a cluster A
personality disorder. Research also
suggests that the traits seen in the cluster A personality
disorders can be the result of physiologi-
cal hard wiring, whereby one is less responsive to
environmental stimuli and learning experiences
(e.g., Raine, 1988).
Bob also evidenced some mild but pervasive delusional
ideation, with some evidence of paranoia.
Freud believed that paranoia resulted from a combination of two
defense mechanisms that are
unconsciously engaged in order to address homosexual thoughts
and feelings (note that Bob has
no dating history and no interest in any type of relationship
with women). Freud might argue that
Bob deals with unacceptable homosexual ideation by first using
reaction formation, such that the
thought “I, a man, love other men,” becomes the opposite, in the
form of “I, a man, hate other
men.” Freud argued that this, too, was an unacceptable thought,
so projection is used, thereby
changing “I, a man, hate other men” to “Other men hate me.”
The behavioral model might suggest that Bob was not properly
reinforced for “normal” behavior
early in life, and therefore he engaged in increasingly bizarre
behavior for reinforcement (possibly
attention). It might also be argued that many of Bob’s beliefs,
such as his “decision” to avoid oth-
ers (especially women) because of his odor, is a preferred
interpretation of reality, as the alter-
native is that others have little or no interest in him, and this is

a far less favorable (reinforcing)
interpretation (cf. Roberts, 1991).
The cognitive perspective has also weighed in on odd or
delusional thinking, as researchers have
demonstrated the presence of reasoning biases in those with
delusional ideation. For example,
deluded schizophrenics were found to request less information
relative to non-deluded psychi-
atric patients before reaching a decision, and despite having less
information, they expressed
greater certainty in their decisions (Huq, Garety, & Hemsley,
1988; see also Garety, Hemsley, &
Wessely, 1991). Thus, it would be predicted that Bob would
require less evidence to come to his
conclusion that the executives were conspiring to fire him for
non-work–related behavior, and the
cognitive model would predict that he would have greater
certainty in this delusional narrative
(see also McGuire, Junginger, Adams, Burright, & Donovick,
2001).
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Case 2: Samantha K.
Samantha K. is a 26-year-old mother of one who was recently
arrested by police for prostitution.
However, because police thought she was acting in an atypical
manner, they brought her to the
regional psychiatric hospital for evaluation. Samantha was
arrested in Atlanta, but she resides in
Baltimore. She reported having traveled to Atlanta to visit

friends when her 5-year-old son, who
was staying with an ex-boyfriend in Baltimore, became ill with
pneumonia and had to be hospital-
ized. Samantha stated that the reason she had turned to
solicitation was so that she could earn
enough money to immediately travel back to Baltimore and pay
for her son’s medical services.
She was quite convinced that her actions were fully justified,
and she said she would do it again
if placed in the same position (“I don’t regret anything I’ve
done, and you would have done the
same thing if you were in those circumstances”).
Although she denied any significant legal history, records
indicate a series of arrests for petty
theft and marijuana possessions charges, dating back to when
Samantha was 14. Despite the
large number of charges, few resulted in convictions. In those
instances where she was convicted,
Samantha had lengthy explanations to justify her actions, and
she typically put the blame on
either the circumstances or the actions of others.
Samantha has no psychiatric history. She completed high
school, and although she scored reason-
ably high on aptitude tests, her grades were average and she did
not continue education after high
school. Samantha has held a number of service-related jobs,
such as hostessing at restaurants and
sales in clothing stores, but she has rarely held a job for more
than a few months; she moves on
when she gets bored with the position. She has also been fired
twice for suspicion of stealing on
the job, but no charges were pressed.
Samantha’s parents divorced when she was 4 years old, after

many years of verbal and physi-
cal assaults. Samantha stayed with her mother and had little to
no contact with her father. She
described her mother as having many different boyfriends, but
no stable relationships. Because
her mother worked, she reported “essentially raising myself.”
Samantha is somewhat estranged
from her family, who also reside in Baltimore. According to
several members of her family, Saman-
tha will call a couple of times per year, but it is usually to
request money or a favor. These requests
involve lengthy justifications and sometimes even business
schemes that have never come to frui-
tion. Because she owes many people money, many
acquaintances and family members have cut
off ties with Samantha.
Samantha is an attractive woman, who presents as somewhat
charming at first. However, her
interpersonal style comes across as manipulative, and it’s not
always clear if she is telling the
truth. She appears relatively calm and collected interpersonally,
but will sometimes verbalize
aggression. The clinical interview was complicated by the fact
that Samantha repeatedly changed
topics after several questions on any one topic. She also
perseverated on her son’s health, but
despite saying she was concerned about her son, she did not
appear concerned (at least her out-
ward appearance did not indicate it).
When asked about her son and the rationale for leaving him
behind in Baltimore, Samantha
explained that she wanted to give her son some quality time
with her ex-boyfriend; however, it
was unclear as to why her son would benefit from or even desire

this contact, given that Samantha
dated her ex-boyfriend prior to her son’s birth (i.e., her son
didn’t know Samantha’s ex-boyfriend
prior to this trip).
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Data From Standardized Measures
Samantha completed the MMPI--2. The validity profile
indicated that she was highly defensive;
she demonstrated a tendency to under-report and minimize
problems. The observed defensiveness
can undermine the interpretation of the clinical scales, as low
scores do not necessarily denote the
absence of psychopathology, but may instead be the result of
excessive under-reporting. However,
any significant elevations that do emerge can be interpreted.
One clinical scale was elevated: scale 4. Elevations on this scale
are often associated with poor
judgment, irresponsible behavior and attitudes, hostility, and
the displacement of blame onto
others.
Two of the five personality subscales from the MMPI--2 were
also elevated, most notably the
AGGR scale, which refers to the use of aggression, hostility,
and intimidation to facilitate goal
attainment. The second elevation was on DISC, which suggests
the presence of risk taking and
impulsivity and little regard for following rules. Finally, the

MMPI--2 supplemental scale assessing
over-controlled hostility was also elevated, suggesting that
although Samantha usually responds
appropriately to provocation, she is likely to sometimes
evidence an exaggerated anger response,
even in the absence of provocation.
The NEO-PI was also completed, but this measure resulted in no
significant elevations, aside from
Samantha’s endorsement of items indicating that she is very
friendly (agreeableness) and dutiful
(conscientiousness). The scores on this face-valid measure
appeared to reflect a more socially
desirable response set, but there are no formal validity measures
on the NEO™-PI.
Critical Thinking Questions
• Referring to the DSM-5 criteria presented earlier in this
chapter, which personality disorder
(if any) best fits Samantha? What might be the pros and cons of
administering the following
measures to assess Samantha: (a) The MMPI--2? (b) The NEO/-
PI? Consider one of the
theoretical perspectives presented in this text, and try to explain
the etiology for Samantha’s
behavior and presentation (i.e., how did she become the way she
is now?).
Diagnosing Samantha
Samantha’s test scores and her presentation in the clinical
interview converge on a diagnosis of
antisocial personality disorder. A recurrent theme in the
evaluation was her less-than-genuine
presentation. She under-reported her problems, was defensive

on the standardized measures,
and even provided misleading information regarding her
criminal history. Even the fact that she
has a lengthy criminal history is indicative of this diagnosis.
Samantha also did not evidence any
remorse for her actions, opting instead to blame the
circumstances on others; she even stated
that she would act in the same way if given the opportunity to
do so again.
Samantha has superficial relationships and she tends to take
advantage of others. She presents as
aggressive and even hostile at times, though she can be quite
charming when trying to get what
she wants. Samantha’s actions also suggest that she is impulsive
and has been an underachiever
for most of her life.
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Given Samantha’s less-than-genuine presentation and
defensiveness on the MMPI--2, it is not
surprising that she only endorsed more favorable characteristics
on the face-valid NEO/-PI. The
MMPI--2 scores converge with many of the above descriptions,
with elevations on scale 4, as
well as other scales assessing problems managing aggression
and impulsivity. Importantly, even
though Samantha does not feel distress, she appears to be
creating distress in those around her.
There is also clear evidence of dysfunction, with a poor work
history, legal and drug problems, and

few stable relationships.
Theoretical Approaches to Samantha’s Case
The physician Philippe Pinel introduced the concept “manie
sans délire” to refer to individuals
who appeared to think clearly, but who would nevertheless
behave in a manner that would sug-
gest disturbance. Similarly, the physician James Prichard coined
the term “moral insanity” to char-
acterize mental illness where emotional experiences are
disturbed, but intellectual capacities are
intact. These terms arguably provide some of the earliest
writings relating to the modern-day
concept of antisocial PD (see also Berrios, 1996).
More recently, antisocial tendencies have been referred to using
the terms sociopath and psycho-
path, and this highlights two distinct etiologies for the
associated behaviors, a behavioral (or social
learning) account and a physiological account.
The term sociopath implies problematic learning, which can
include parental neglect (i.e., failure
to reinforce appropriate behavior and punish inappropriate
behavior) and/or poor parenting (i.e.,
reinforcing inappropriate behavior and punishing appropriate
behavior). Thus, from this account,
Samantha’s unstable home, and the report that she raised
herself, would be consistent with prob-
lematic learning experiences early in life, resulting in the
antisocial tendencies. Sociopathy also
involves problematic factors outside the family-of-origin, such
as poverty and the presence of
delinquent peers. Samantha came from a single-parent home,
and given her current shortcomings

with respect to finances, we can assume that she has and
continues to struggle financially. The
case history also indicates involvement with the law and
extensive experience with drugs begin-
ning at an early age, thus delinquent peers were also likely.
The above-described factors could also be accounted for by
social learning theory, whereby
Samantha observed and subsequently modeled her mother’s
numerous superficial relationships
and aggressive behavior toward her ex-husband. Similarly, her
delinquent peers would have
served as targets to model, and their substance abuse and other
criminal behavior would eventu-
ally lead to Samantha demonstrating these same behaviors.
The term psychopath has also been linked to antisocial
personality disorder, but here the implica-
tion is the presumed physiological underpinnings of the
disorder. That is, in contrast to the above
models, which emphasize environmental factors, the
psychopathy model focuses on inherited
genetic factors.
Psychopaths are thought to have innate, temperamental features
that predispose them to be
impulsive decision-makers, risk takers, and individuals who do
not profit from learning experi-
ences (e.g., Cleckley, 1982; Hare, 1978; Lykken, 1957; Raine,
1987; see also Lykken, 1995, and
Raine, 1993, for reviews). For example, mild electric shocks
(positive punishments) appear to
be less effective at eliminating behaviors for psychopaths, and
this problematic learning may be
especially prominent when there are no delays in responding
(i.e., impulsive responding). Some

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CHAPTER 10Summary
research suggests that the cause of these and other related
problems are the result of a dys-
function in the prefrontal cortex, which is the region of the
brain governing decision-making,
responsiveness to rewards and punishments, and impulsivity
(see Crews & Boettiger, 2009). This
extensive literature suggests that psychopaths are essentially
wired differently than others, mak-
ing them less responsive to reinforcers and punishers, which
then inhibits proper learning and the
internalization of moral standards. Researchers have also
forwarded more complex physiological
accounts, though even these models are in keeping with the
traditional literature, while also impli-
cating motivated behavior through classic approach-avoidance
models presented earlier in this
text (see Arnett, 1997). From this perspective, it is somewhat
irrelevant whether Samantha had
opportunities to learn or model appropriate behavior, as it
would be assumed that she would not
profit from these experiences to develop proper, internalized
moral standards. Thus, Samantha
would feel justified in her behavior even when it breaks the law
or is contrary to moral standards.
Summary
Personality disorders have traditionally been studied separate
from normal personality, and, as a result, researchers have

developed distinct systems of categorization and unique mea-
sures to assess them. The dominant model for identifying
personality disorders in the United
States is represented by the DSM-5, which identifies 10
personality disorders (schizoid, schizo-
typal, paranoid, histrionic, narcissistic, antisocial, borderline,
obsessive-compulsive, avoidant,
and dependent), along with the specific symptoms associated
with each diagnosis. In addition to
the diagnosis-specific criteria, the identification of a personality
disorder requires that there be a
number of other, more general, criteria, such as the presence of
dysfunction, distress, danger, and
deviance from social/cultural standards. These criteria are
neither necessary nor sufficient, but
the more criteria that are present, the more likely the observed
traits will constitute a personality
disorder. The prevalence rates vary considerably for the
personality disorders, and there are also
marked differences based on gender.
Although widely used, the DSM-5 and its predecessors are not
the only classification system, and
many researchers argue that a more parsimonious and accurate
approach would be one in which
the models used to characterize normal personality functioning
(e.g., the Five Factor Model) are
applied to the personality disorders. This approach would then
signal a quantitative rather than a
qualitative distinction between normal and disordered
personality. Other critics of the DSM have
argued that it is not simply the diagnostic system that is a
problem; rather, they question the very
existence of the psychiatric disorders themselves.
Some of the most commonly used measures of personality and

other psychiatric disorders
include the MMPI--2, the PAI-, and the MCMI-III/. These
measures are uniquely qualified to
assess disorders because they also have validity scales that
assess the respondent’s test-taking
approach. This is important because in clinical settings there are
often external contingencies that
can increase the incidence of over- or under-reporting biases,
and these have to be understood
in order to interpret the data. Using information from these tests
(and others), along with the
patient’s case history, allows the clinician to diagnose the
individual. Moreover, the theories pre-
sented in earlier chapters can then be used to conceptualize the
patient and how their pathology
developed.
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CHAPTER 10Key Terms
Key Terms
abnormal personality A variant of normal
personality that can be defined as an extreme
of the basic personality traits.
antisocial personality disorder A personal-
ity disorder characterized by universal and
longstanding practice of complete disregard
for social norms and often a history of illegal
behavior.
avoidant personality disorder A personality

disorder characterized by social inhibition and
fear and hypersensitivity to negative evalua-
tions from others.
borderline personality disorder A personality
disorder characterized by instability of affect
and relationships, with the individual making
dramatic attempts to avoid perceived abandon-
ment by others.
cluster A personality disorders Personality dis-
orders that involve odd or eccentric behavior,
resulting in decreased socialization and often
increased isolation.
cluster B personality disorders Personality
disorders that involve dramatic or emotional
behavior and conflict, instability, and exploita-
tion in relationships.
cluster C personality disorders Personality
disorders that involve fear, anxiety, and limited
interpersonal relationships.
comorbidity The co-occurrence of different
disorders.
danger When certain behaviors or traits are
risky or harmful to either the individual or to
others.
Daubert standard The basic criteria of admis-
sibility for a test in a court of law.
dependent personality disorder A personality
disorder characterized by a pervasive need to

be cared for by others.
deviance The statistical infrequency of a
behavior in the general population; a lower
frequency is typically associated with abnormal
behavior.
Diagnostic and Statistical Manual of Mental
Disorders, Fifth Edition (DSM-5) The most
recent manual of the APA (2103), which has
eliminated the multi-axial system of categoriz-
ing diagnoses (used in previous DSM editions)
and aligned itself more closely with the World
Health Organization’s (WHO) International Clas-
sification of Diseases (ICD).
distress Negative feelings or reactions felt by
an individual or those around them as a result
of certain behaviors or traits.
dysfunction The extent to which a behavior or
trait leads to problematic functioning in daily
living.
histrionic personality disorder A personality
disorder characterized by dramatic and exag-
gerated emotional presentation that is almost
theatrical in nature.
International Classification of Diseases, 11th
Revision (ICD-11) The version of the World
Health Organization’s (WHO) International Clas-
sification of Diseases that will be released in
2015. The ICD is used worldwide for diagnoses.
longstanding When a problematic behavior or

trait has been present for a significant portion
of an individual’s life.
narcissistic personality disorder A personal-
ity disorder characterized by grandiose self-
presentation and a need to be admired.
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CHAPTER 10Key Terms
obsessive-compulsive personality disorder A
personality disorder characterized by preoccu-
pation with details and trivial rules, stubborn-
ness, and rigid moral standards.
other specified personality disorder A diagno-
sis that can be given to individuals who do not
fit into the cluster personality categories but
still exhibit personality patterns that result in
deviance, dysfunction, distress, and/or danger.
paranoid personality disorder A personality
disorder characterized by persistent and univer-
sal distrust and suspiciousness of others.
personality disorder A deficit in functioning
and maladaptive behavior or, in the very least,
the absence of adaptive behavior; also known
as a disordered personality.
pervasive When a problematic behavior or
trait emerges in virtually all aspects of an indi-
vidual’s life.

psychopath A term for a person with anti-
social tendencies of a physiological etiology;
that is, the behaviors emerge because of inher-
ited genetic factors.
schizoid personality disorder A personality
disorder characterized by flat affect and disen-
gagement from social interactions.
schizotypal personality disorder A personal-
ity disorder characterized by a wide range of
symptoms that parallel those seen in schizo-
phrenia, though less acute and more pervasive.
sociopath A term for a person with antisocial
tendencies of a behavioral etiology; that is,
the behaviors emerge because of problematic
learning, which can include parental neglect
(i.e., failure to reinforce appropriate behavior
and punish inappropriate behavior); poor par-
enting (i.e., reinforcing inappropriate behavior
and punishing appropriate behavior); poverty;
and delinquent peers. Can also be indicative of
a social-learning etiology; that is, the behaviors
emerge as the individual models others’ anti-
social behaviors.
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PolkaDot/Thinkstock
Learning Objectives

able to:
• Describe the importance of behaviorism in the
development of scientific psychology.
• Discuss Edward Thorndike’s impact on psy-
chology, and explain his law of effect.
• Describe Ivan Pavlov’s discovery of classical
conditioning, and explain the learning model
he discovered in his studies on dogs.
• Explain the impact that John B. Watson and
his demonstrations with Little Albert had on
our understanding of the acquisition of fears
and other forms of learning.
• Describe B. F. Skinner’s view that psychology
should concern itself with what is observable
and the effect this notion had on the study of
consciousness and personality.
• Explain Skinner’s learning model of operant
conditioning and the importance of the sched-
ule of reinforcement.
Behavioral Models of Personality 5
Chapter Outline
Introduction
5.1 Major Approaches and Historical Figures
in the Development of Behaviorism
• Pavlov’s Classical Conditioning

• Watson’s Application of Classical Condition-
ing to Humans
• Operant Conditioning
5.2 The Neobehaviorists
• Skinner’s Radical Behaviorism
• Skinner’s View on Personality
5.3 Theoretical Models Applied to Personality
• Salter’s Conditioned Reflex Theory
• Dollard and Miller’s Learning Theory
• Mowrer’s Two-Factor Theory
• Wolpe’s Behavioral Applications
• Applied Behavior Analysis
• Discuss how Dollard and Miller advanced behavioral theory
by explaining how personality can be conceptualized
using learning principles.
• Explain Wolpe’s systematic desensitization and how it can be
used for behavior change.
• Explain why some phobias/fears are more likely to be acquired
and maintained.
• Explain Martin Seligman’s concept of learned helplessness
and how it might be used to explain depression.
• Use behavioral principles, to describe how anxiety can affect
personality adaptation.
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CHAPTER 5
Introduction
In a disturbing but classic film, A Clockwork Orange (1971),
director Stanley
Kubrick depicts a gang of men who, in futuristic Britain,
terrorize others, savagely
beating men and raping women. The gang’s leader, Alex, is
apprehended, and
he volunteers for an experimental, government-developed,
aversion therapy. The
approach was modeled after the behavioral principles that were
quite popular in
the 1970s, and the intent was to eradicate society’s problem
with crime by asso-
ciating aversive responses (such as physical illness induced by
drugs) with aggres-
sive behavior.
Although this was a fictional account, it captured the belief and
some of the fears
associated with the assumption that controlling behavior using
scientific methods
would lead to the betterment of humankind. Of course,
subsequent research indi-
cated that such fears were not well-founded, as behavior is not
quite as pliable as
the filmmaker suggests. Nevertheless, many modern-day
applications of behav-
ioral principles are used to shape behavior. For example,
Antabuse (also known
as Disulfiram) is an FDA-approved drug used to create an
aversive association
(e.g., nausea, vomiting, headaches, syncope, vertigo, blurred
vision) with the con-
sumption of alcohol for those diagnosed with either alcohol

dependence or alco-
hol abuse (see Kitson, 1977; Rosenthal, 1973). More recent
research suggests that
naltrexone and especially acamprosate may be especially
effective at achieving
abstinence, though these compounds function in different ways
by altering brain
neurochemistry associated with addiction (see Rosenthal, 2006).
Buzzer pants are
used to help children with enuresis (bed wetting), by associating
the urge to uri-
nate with waking up prior to wetting the bed. Even outside of
the therapeutic
context, behavioral principles are widely seen, sometimes with
intentional pair-
ings, and sometimes not. If you enjoy McDonald’s, there’s a
good chance that you
might salivate when you see the golden arches or hear the
phrase, “I’m loving
it” (assuming that advertisers have done their job well). A pizza
box is also likely
to elicit the same salivation response. If you have a dog,
picking up the keys is a
surefire way to get him or her to the door. In all likelihood,
whatever tone or signal
your smartphone has to indicate an incoming text or email
results in what is now a
well-trained behavioral response by you (checking the device).
In fact, even if you
hear that tone from another source, you might find yourself
automatically check-
ing your own phone for a text out of habit.
Introduction
5.4 Component Subsystems of

Behavioral Theory
• Seligman’s Concept of Learned
Helplessness
• Goldfried and Merbaum: Changing
Behavior Through Self-Control
• Barlow: The Nature of Anxiety
5.5 Assessment Strategies and
Behavioral Tools
• Assessing With Applied Behavior
Analysis
• Behavioral Assessments of Children
and Adolescents
• Behavioral Assessments of Adults
Summary
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CHAPTER 5 5.1 Major Approaches and Historical Figures in
the Development of Behaviorism
Such attempts to modify or control behavior raise many
questions with regard to
personality, of course. Are we really completely controlled by
our environments?
Do we have any autonomy at all in terms of how we think, what
we value, who we
are? Does the very concept of personality exist at all? In
contrast to the psycho-

analytic and humanist perspectives (see Chapters 2 and 9,
respectively), behavior-
ism prompts us to look more closely at the world outside of
ourselves to see what
factors and conditions influence how we behave and who we
are.
This chapter provides an overview of behavioral theory, some of
its applications,
and the assessment tools commonly employed, as well the
research attempting
to evaluate its accuracy.
5.1 Major Approaches and Historical Figures in
When it emerged as a movement in psychology, behaviorism
(also referred to as learning theory) was not interested in the
mind or personality. What it offered was a radically different
approach to understanding behavior—an approach that was the
polar oppo-
site of the psychoanalytic model. Whereas the psychoanalytic
model dealt with invisible, internal
processes, behaviorism dealt with objective, observable events.
Not only was the emphasis on
behavior, but in its most radical formulations (see the work of
B. F. Skinner), cognition and affect
(thought and emotion) were essentially characterized as
epiphenomena—in other words, they
only exist secondarily, as effects of behaviors, rather than as the
causes of behaviors.
In general, the behaviorists rejected any formalized theory of
human behavior. There is inher-
ent tension in personality science related to the fact that
theorizing often seems to require that

theorists engage in speculation—that they move beyond
empirical and clinical data. However,
not everyone would agree that this endeavor is worthwhile.
Many believe that theorizing without
empirical support is pseudoscience. In fact, when the field was
dominated by psychodynamic the-
ory, many proponents of behaviorism would not consider
personality theory relevant and worthy
of scientific investigation. As a result, none provide a cohesive
explanation of personality.
Behaviorism has its roots in empiricism and animal behavior
because animals can be experimented
on and, therefore, yield more concrete data. It rapidly became
popular with the promise that it
would make a true science out of psychology (Hunt, 2007). As
an objective science concerned with
what could be observed and measured, behaviorism has largely
rejected the overly theoretical,
speculative thinking of other models of personality. Its
emphasis on studying only what is observ-
able has challenged psychology and personality researchers to
meet higher empirical standards.
This emphasis on science and on clear empirical standards is
vitally important to the development
of a science. In the absence of scientific evidence against which
to check our beliefs, there is a high
potential for error and bias (Lilienfeld & O’Donohue, 2007).
Behaviorism is based mainly on inductive reasoning: It starts
with data, often related to simple
relationships, and induces laws of human behavior from this
data. A simple example can illustrate
this form of reasoning. If you observe that every time you eat
shellfish you swell up and find it
hard to swallow (the data), you might conclude that you are

allergic to shellfish (the law). This
perspective seeks the simplest explanation for behaviors,
following the law of parsimony. Some of
the laws it has generated have proven to be fundamentally
important for understanding behavior.
Lec81110_05_c05_133-162.indd 135 5/21/15 12:39 PM
In fact, a great deal of behavioral
research has been designed spe-
cifically to explore various com-
ponent systems of personality,
such as learning, anxiety, learned
helplessness, and conditioning.
Results of this research continue
to influence our understanding
of how personality is formed and
how it can be modified by various
external factors.
The behavioral perspective can
be organized into two broad types
of learning: (1) classical condition-
ing and (2) operant conditioning. Classical conditioning
involves a simpler form of learning by tem-
poral association, and it focuses only on reflexive actions. In
contrast, operant conditioning involves
nonreflexive action and learning as a result of consequences
that are typically not occurring at the
same point in time (i.e., temporal associations are no longer
necessary). Both types of conditioning

can be referred to as forms of associative learning—that is, a
process by which an association is
made between two stimuli or between a behavior and a stimulus.
The next sections review methods
for the acquisition and maintenance of behavior.
Pavlov’s Classical Conditioning
During the course of his research with dogs, Russian
physiologist Ivan Pavlov observed that dogs
would begin to salivate not only when they were being fed, as
would be expected, but even prior
to feeding, at the mere sight of the assistant who fed them. In
1902, Pavlov began to study this
occurrence, designing a demonstration of what may well be the
best-known of all phenomena
in psychology: classical conditioning. What he did was implant
a tube in one of the dog’s salivary
glands, connecting it to a mea-
suring device. The dog was then
placed in a harness and given a
small amount of food, often in the
form of food powder that could
be injected directly into the dog’s
mouth (see Figure 5.1). When
the food was delivered, the dog
would automatically begin to sal-
ivate. Pavlov termed this behav-
ior an unconditioned reflex (or
response) because it was a natu-
ral response wired into the ani-
mal’s physiological system (Pav-
lov, 1927).

In this early paper, John Watson, one of the founders of the
behavioral movement in the United States, writes about how
the process of learning in animals (and presumably some
understanding of their mental life) can be helpful to our
understanding of human behavior. Read it at http://psych
classics.yorku.ca/Watson/Animals/index.htm.
Reference: Watson, J. B. (1907). Studying the mind of animals.
The World Today, 12, 421–426.
Beyond the Text: Ethical Considerations
According to the American Psychological Association (APA),
7–8% of research in psychology uses animals as its subjects,
and the vast majority of these studies (90%) use rodents or
birds. The APA has published a position paper on the use of
animals in psychological research, and includes a discussion
of such issues as how animal models have helped inform our
understanding of human phenomena and the ethical issues
and safeguards in place for animal research. Read it at http://
www.apa.org/research/responsible/research-animals.pdf.
Lec81110_05_c05_133-162.indd 136 5/21/15 12:39 PM
http://psychclassics.yorku.ca/Watson/Animals/index.htm
http://psychclassics.yorku.ca/Watson/Animals/index.htm
http://www.apa.org/research/responsible/research-animals.pdf
http://www.apa.org/research/responsible/research-animals.pdf
CHAPTER 5
A device similar to the one shown here was used to
capture and quantify the saliva produced by a dog
in response to stimuli such as food. The saliva is
captured in the tube and a balancing mechanism is

activated, which in turn records the amount on the
revolving drum. The window was used to pair other
visual stimuli with the food.
5.1 Major Approaches and Historical Figures in the
Development of Behaviorism
Figure 5.1: Pavlov’s research documenting an unconditioned
reflex
In the next phase of the demonstration, Pavlov would present
the dog with a neutral stimulus
(one that would not create salivation in and of itself) such as a
bell or buzzer. When presented
alone, the neutral stimulus would produce only a raising of the
dog’s ears. When paired on sev-
eral occasions with the delivery of food (e.g., food-bell, food-
bell, food-bell), a conditioning (i.e.,
learning) process occurred. Following this, the sound (bell)
alone would now produce salivation.
At this point, the sound of the bell or buzzer has become a
conditioned stimulus (meaning that it
was learned), which now leads to the conditioned response
(meaning a learned response, which
Pavlov also called a conditioned reflex) of salivating to the
sound of the bell. See Figure 5.2 for an
illustration of this type of associative learning.
NS
Bell
BEFORE CONDITIONING
UCS

Food
UCR
Salivation
• elicits No response
(or neutral response)
• elicits
CS
Bell
AFTER CONDITIONING
CR
Salivation
• elicits
CS
Bell
CONDITIONING PROCESS
(REPEATED SIMULTANEOUS PAIRING)
+
UCS
Food
UCR
Salivation
• elicits

Figure 5.2: An illustration
of Pavlov’s classical
conditioning
The images in panel 1 illustrate that the
dog naturally salivates (unconditioned
response) to the food (unconditioned
stimulus), but does not salivate to the
handler (neutral stimulus). In panel 2,
we see the repeated pairings of the
food with the handler. In panel 3, the
dog eventually learns to salivate (now
a conditioned response) to the handler
alone (now a conditioned stimulus).
Pavlov noticed this association, and
it was considered a serendipitous
example of classical conditioning. He
recorded the same responses when
using bells and buzzers as the neutral
(and eventually conditioned) stimuli.
Lec81110_05_c05_133-162.indd 137 5/21/15 12:39 PM
Now that the bell is able to produce the salivation in the dog
(this is what makes the bell a condi-
tioned stimulus), it is possible to consider the consequence of
repeatedly ringing the bell and not
delivering any food. Eventually, the bell will stop producing the
salivation response, and at that
point in time, it can be said that the response has become

extinct. Therefore, extinction in this
context is defined as when the conditioned stimulus (the bell) is
no longer able to produce the
conditioned response (the dog salivating). Interestingly, it is
possible for the conditioned response
to reoccur, and this can happen even without having to again
pair the food with the bell. Instead,
sometimes the response will return even if the dog is simply
given a break from the conditioning
environment, and this is known as spontaneous recovery (i.e.,
the previously learned response,
which had become extinct, returns without any additional
pairing with the food).
So what other types of learning can occur from this basic
paradigm of classical conditioning? One
option is to pair the conditioned stimulus (in the current
example, the bell) with another neutral
stimulus (e.g., a light) until this neutral stimulus also produces
the conditioned response (bell-light,
bell-light, bell-light). Notice that the secondary stimulus is
never paired with the unconditioned stim-
ulus. This form of learning is termed higher order conditioning,
or secondary conditioning. Here,
a conditioned stimulus (the bell) is paired with a neutral
stimulus (e.g., a light), until that neutral
stimulus also becomes a conditioned stimulus by producing the
conditioned response (salivating).
Consider what would happen if Pavlov used a stimulus that was
similar to, but not exactly the same
as, the original conditioned stimulus. For example, if Pavlov
rang a bell that was pitched differently,
would the dog salivate? Discrimination occurs when the
conditioned response is only produced for
a very specific conditioned stimulus. In an example of

discrimination, the dog would only salivate in
response to the exact bell that was used originally, and no other
similar-sounding bells would pro-
duce a salivation response. Generalization is said to occur when
the conditioned response is pro-
duced in response to a similar conditioned stimulus. In a
situation of generalization, the dog would
also salivate to similar-sounding bells. Generalization can be an
adaptive function that allows an
organism to rapidly respond to new stimuli that are related in
some way to a previously learned
stimulus. In this way, an individual doesn’t have to experience
learning with every single stimulus,
and this means learning can be more efficient. However,
generalization can also be maladaptive.
For example, imagine a child who is viciously attacked by a
neighbor’s new pet Rottweiler. As a
result of this attack, the child is now afraid of all dogs. On the
surface, this might seem adaptive, as
the dog that attacked him was clearly a threat. However, being
afraid of familiar dogs, even docile
dogs, and perhaps even other pets (e.g., cats) represents a form
of generalization that is not adap-
tive. What would be more adaptive would be the child
generalizing his learning to a smaller range
of stimuli, such as a growling dog, or a dog that bares its teeth
and moves forward aggressively.
Unfortunately, we don’t get to choose when we generalize and
when we don’t.
The above-mentioned example also helps illustrate another
important concept in learning theory:
one-time conditioning. This refers to learning that occurs after
only one trial (as opposed to the
numerous trials needed to make an association in the typical
classical conditioning research). This

is a very unique type of learning because it involves more rapid
acquisition, and it tends to be
much more resistant to extinction. Returning to the dog-attack
example, the child did not require
repeated instances in order to acquire the fear of dogs (note that
this type of rapid learning can be
adaptive, as repeated trials would be life threatening), but now
it will take some time and effort
to extinguish the fear response.
Classical conditioning can therefore be a very powerful model
for explaining the development of
many maladaptive behaviors and clinical disorders, such as
post-traumatic stress disorder (PTSD).
For example, when fear is triggered in a truly threatening
situation, the stress-response system
may activate anxiety, which may later be triggered by
previously neutral stimuli (such as smells,
Lec81110_05_c05_133-162.indd 138 5/21/15 12:39 PM
sights, or sounds) that were present at the time of the threat.
The concept of generalization could
also be used to explain PTSD, as the individual might learn to
generalize a fear response to other
similar stimuli, even if they were never directly associated with
the initial learning experience.
Beyond the Text: Research Spotlight
How does the concept of generalization manifest in human

learning with respect to post-traumatic
stress disorder?
Post-traumatic stress disorder (PTSD) is a psychiatric illness
involving an acute and severe anxiety
response to a stressor. The stressor could result from a number
of experiences, including witness-
ing or experiencing some form of abuse, a physical assault,
disaster, or war. PTSD can involve such
symptoms as an exaggerated startle response, avoidance of
situations that are similar to the original
stressor/trauma, and the re-experiencing of the original
stressor/trauma in the form of flashbacks or
possibly nightmares; symptoms must last for at least one month
and result in some form of dysfunc-
tion (American Psychiatric Association, 2013). PTSD can also
be conceptualized as a form of general-
ization, as the individual experiences a generalized fear
response to situations/stimuli that are similar
to the original stressor/trauma.
In an interesting study, researchers examined whether heart rate
(HR) responses to trauma-related
pictures (i.e., a generalization response) can be used to
differentiate between trauma survivors with
and without acute PTSD (Ehlers et al., 2010). Participants were
162 individuals who had survived
either a motor vehicle accident (n 5 98) or a physical assault (n
5 64) and were recruited from the
emergency room of a major hospital between 2004 and 2006.
Sixty-six individuals (approx. 41%) met
PTSD criteria one month following the trauma (the acute PTSD
group) using the Structured Clinical
Interview for DSM-IV (SCID), an instrument discussed in
Chapter 1. Ninety-six individuals (approx.
59%) did not meet criteria for PTSD.

The PTSD group showed greater HR responses to trauma-related
pictures than those without PTSD
(less pronounced mean deceleration, greater peak response, and
a greater proportion showing HR
acceleration of more than one beat per minute). No group
differences in HR (i.e., fear) response
emerged for the generally threatening or neutral pictures (Ehlers
et al., 2010). The current findings
are consistent with research showing that HR acceleration to
trauma-specific cues (reminders) pre-
dicts the duration of PTSD symptoms (e.g., Elsesser, Sartory, &
Tackenberg, 2005).
This study illustrates both generalization and discrimination of
a fear response. First, it appears that
those with acute PTSD can be defined as showing generalization
(as measured by heart rate) to
threat-related stimuli relative to those who experienced trauma,
but did not meet criteria for PTSD.
However, both groups demonstrated discrimination in that they
did not show the fear response to
nonspecific stimuli or to neutral stimuli. The research also
offers some insights into potential inter-
ventions. For example, could repeated exposure to the threat-
specific (feared) pictures result in
extinction of the fear response when the participant habituates
to the image? Of course, because
researchers did not measure HR response to the stimuli prior to
the trauma and because group
assignment was not randomized, the findings are necessarily
limited.
Critical Thinking Questions:
• PTSD emerges from trauma exposure, but this study and

desensitization treatments treat
the disorder with further exposure. In what important ways do
the two forms of exposure
differ that results in such different outcomes? What do you
think are some of the personality
traits or other factors that determine who is more predisposed to
experiencing PTSD
symptoms after trauma exposure?
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Watson’s Application of Classical Conditioning to Humans
Give me a dozen healthy infants, well-formed, and my own
specified world to
bring them up in and I’ll guarantee to take any one at random
and train him to
become any type of specialist I might select—doctor, lawyer,
artist, merchant-
chief and, yes, even beggar-man and thief, regardless of his
talents, penchants,
tendencies, abilities, vocations and race of his ancestors.
(Watson, 1930, p. 104)
The spread of behaviorism in the United States owes much of its
acceptance and popularity to the
efforts of John B. Watson, who applied Pavlov’s work to
humans. Watson believed that psychol-
ogy should deal only with actual behavior and not with mental
states, heralding a dramatic shift
away from the use of introspection and the study of
consciousness. As noted in the above quote,

Watson believed that the environment was the critical factor in
predicting behavior.
Watson and James R. Angell are both given credit for coining
the term behaviorist. But Watson’s
use of the label in the title of an article he published in 1913
(“Psychology as the Behaviorist
Views It”) was in essence a declaration that behaviorism was
independent of other schools of psy-
chology that were interested in the mental processes of
individuals (Hunt, 2007). The behaviorist
manifesto, as it later came to be known, made three
fundamentally important points: (1) that
psychology should concern itself with behavior, not
consciousness; (2) objective methods should
be used rather than introspection; and (3) the primary focus
should be the prediction and control
of behavior, rather than trying to understand the meaning of
mental events (Hunt, 2007).
Watson began studying conditioned reflexes in infants in 1916
while a professor at Johns Hopkins
University. Working at the Harriet Lane Hospital in Baltimore,
he observed over 200 babies, cata-
loguing their reflexes (for example, sneezing, sucking, grasping,
and reaching) and studying their
emotional responses (such as fear, rage, and love). Note that
each of these reflexes and emo-
tions has observable behavioral
components—such as crying and
cooing in the case of emotions.
The experiment that brought
Watson the greatest attention
was one he conducted with his
assistant, Rosalie Rayner. He and

Rayner attempted to produce a
conditioned fear response in an
11-month-old boy who became
known as Little Albert (J. B. Wat-
son & Rayner, 1920). First, they
placed a white rat near 9-month-
old Albert; he showed absolutely
no fear of the animal. Then they
hit a steel bar with a hammer
right behind little Albert, and the
sudden, very loud noise fright-
ened him. They repeated this
procedure a number of times on
There is no record that Watson and Rayner made any effort
to extinguish the experimentally produced fear they had cre-
ated. By today’s ethical standards for human experimenta-
tion, the type of experiment conducted on Little Albert would
never be approved. Now all institutions that conduct human
as well as animal research are required to follow strict ethi-
cal guidelines. All research proposals need to be approved
by a committee of peers, ensuring that harmful treatment
is avoided or at least minimized. Recently, a team led by
Dr. Sharman Levinson identified Little Albert as Douglas Mer-
ritte, who died at age 6 of acquired hydrocephalus, a condi-
tion unrelated to the conditioning experiments. For more
details, see “ ‘Little Albert’ Regains His Identity,” published
in the 2010 edition of the APA Monitor, available online at
http://www.apa.org/monitor/2010/01/little-albert.aspx.
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http://www.apa.org/monitor/2010/01/little-albert.aspx

different occasions, always pairing the rat with the frightening
noise. Within a very short period
of time, Albert’s behavior had changed drastically. Now,
whenever he saw the white rat, he would
begin to cry and attempt desperately to crawl away.
Thus, the conditioning of fear in Little Albert paralleled the
conditioning of salivation in the dog by
Pavlov. In this situation, the unconditioned stimulus (US) is the
loud noise. It is termed uncondi-
tioned because it reliably leads to a response (in this case, fear)
in the absence of any prior learn-
ing. For the same reason, the fear reaction in response to the
noise is an unconditioned response.
In this demonstration, the neutral stimulus (one that does not
elicit the unconditioned response
of fear) is the white rat. The neutral stimulus becomes a
conditioned stimulus (CS) as a result of
being paired with the US over a number of trials. It is now a
conditioned stimulus because it reli-
ably elicits the fear response after having been paired with the
loud noise. Fear of the white rat is
then defined as a conditioned response (a learned response),
which can be elicited by the condi-
tioned stimulus. Continued investigations showed that Albert
had developed conditioned fear to
a number of other furry white things, such as a rabbit and a seal
coat, or Watson wearing a Santa
Claus mask. Thus, they had demonstrated how generalization
might be used to experimentally
induce a form of “neurosis” or intense fear.

Watson (J. B. Watson, 1924, 1930) used the term “habit system”
to refer to various categories or
clusters of individual habits, which are the building blocks of
personality. Because he believed that
personality is largely learned (through conditioning), he also
believed that it is malleable: No indi-
vidual’s personality remains consistent over time. Watson
thought that concepts from normal or
experimental psychology could be expanded to explain
abnormal behavior (Rilling, 2000).
Modern psychology has retained some of Watson’s fundamental
assumptions. There has been
a clear shift to experimental methods of research and a distinct
move away from introspection
(research is no longer published based on this method). Modern
psychologists have multiple out-
comes of interest, including behavior, cognition, and affect, and
there is a strong interest in chang-
ing behavior. Perhaps one area where psychology has remained
close to its pre-behavioral roots
is the strong emphasis that is still placed on understanding
psychological phenomena, as opposed
to simply predicting behavior.
Operant Conditioning
As noted earlier, operant conditioning applies to nonreflexive
actions, and it suggests that the
incidence of a behavior is tied to its consequence(s).
Importantly, the consequences don’t have
to be temporally associated; they can occur considerably later,
provided the organism connects
the consequence to the behavior. Terms such as reinforcer and
punisher (i.e., categories of conse-
quences) have became common concepts in psychology. By

relying heavily on the elemental laws
of learning, it has become possible to account for a much wider
range of behaviors.
Thorndike’s Elemental Laws of Learning
One of the major influential figures in the development of
behaviorism was Edward Lee Thorn-
dike. In the basement of his home, Thorndike created mazes of
stacked books and studied how
chicks found their way to reinforcers such as food, water, and
other chicks, typically improving
their performance with repeated trials. He later did research at
Columbia, building puzzle boxes
Lec81110_05_c05_133-162.indd 141 5/21/15 12:39 PM
CHAPTER 5
from vegetable crates to study how cats, and sometimes dogs,
figured out how to escape from
their cages.
On the basis of these studies, Thorndike formulated two
fundamental laws of learning. These
laid the foundation for a model of psychology applicable to
humans as well as animals, and they
represented major advances in the scientific understanding of
behavior: the law of effect and the
law of exercise.
The Law of Effect
In essence, the law states that every behavior has a consequence
and the nature of that conse-

quence determines if the behavior will reoccur. There are two
possible consequences or effects
of most behaviors, explained Thorndike: An effect (an outcome)
can be “satisfying” or it can be
“annoying.” Simply stated, the law of effect says that behaviors
that are followed by a satisfying
state of affairs are more likely to be learned and repeated when
the organism is again in the situa-
tion that first led to that outcome. In Thorndike’s words,
responses that have satisfying outcomes
are more likely to be “stamped in.” In contrast, responses that
are followed by an annoying state of
affairs are likely to be eliminated or weakened (“stamped out”
in Thorndike’s words). The funda-
mental contribution this law made to psychology’s
understanding of behavior is that it recognized
the importance of the consequences of behavior. As a result, it
paved the way for reinforcement
theory, which was later elaborated by Skinner.
The Law of Exercise
Thorndike’s research also led him to a second law of learning,
the law of exercise, based on the
observation that the more often a response has been connected
with a stimulus, the more likely it
is to be repeated. In other words, practice and repetition
strengthen learning. The more a stimu-
lus-response association is repeated, the stronger the connection
between the two and the more
persistent the response will be. For example, this seems to be
the case for addictive behavior.
The pleasant state (“satisfaction”) brought about by a stimulus
such as a drug, a computer game,
or pornography leads to the repetition of exposure—and the
more frequent the exposure, the
stronger the connection between it and the situation that

triggers it. This might explain why some
people stay up all night, glued to their smartphones, Facebook
pages, and Twitter accounts, with
each sound signaling an incoming message serving as the
ultimate reinforcer.
Reinforcers and Punishers
There are two classes of consequences: reinforcers and
punishers. At the most fundamental
level, reinforcement is anything that results in an increase in the
behavior with which it is associ-
ated. Money (a universal reinforcer, as it can be used to obtain
many other things), food, sex, and
attention are common reinforcers for human behavior.
Punishment has the opposite effect; it is
designed to reduce the probability of a response occurring.
Fines, restrictions, and the removal of
any valued possessions or privileges are examples of some
typical punishers.
5.1 Major Approaches and Historical Figures in the
Development of Behaviorism
Lec81110_05_c05_133-162.indd 142 5/21/15 12:39 PM
Figure 5.3: Understanding reinforcement and punishment
Punishment should always weaken the behavior, whereas
reinforcement should always strengthen it.
The terms positive and negative simply refer to whether

something is being added or removed to the
environment.
Another important concept in understanding the consequences
of reinforcement and punishment
is whether the consequence involves adding (referred to as
positive) or removing (referred to as
negative) something from the environment. Thus, positive
reinforcement involves adding some-
thing to the environment that results in an increase in the
behavior (e.g., giving money, food,
attention, etc.). Negative reinforcement is when an aversive
stimulus is withdrawn in response
to a behavior, with this too resulting in an increase in the
behavior. For example, if a rat has been
receiving electric shocks (an aversive stimulus) and the current
is turned off when it depresses the
lever, turning the current off becomes the negative
reinforcement for bar pressing. The important
point is that both positive and negative reinforcement increase
the probability of a behavior. Posi-
tive reinforcement increases the likelihood of the reinforced
response as a result of something
being added to the situation (e.g., getting $5 for cleaning your
bedroom). Negative reinforcement
is effective as a result of something being removed from a
situation (e.g., removing the chore of
washing the dishes if you clean your bedroom).
Positive punishment involves adding something to the
environment that decreases the probabil-
ity of the behavior occurring. For example, giving someone an
electrical shock or a child a slap on
the hand could be examples of positive punishment. Negative
punishment involves the removal
of something desirable, and it, too, results in a decreased

probability of the behavior occurring.
Removing phone privileges would be an example of negative
punishment. See Figure 5.3 for addi-
tional illustrations of these concepts.
Positive punishment
Example: Bobby is given
detention for talking
in class
Positive
reinforcement
(reward)
Example: Bobby
is given $10 for
getting an A in math
Added to the
situation after
a response
Pleasant Stimulus
(Appetitive)
Unpleasant Stimulus
(Aversive)
Taken away from
a situation after

a response
Negative
reinforcement (relief)
Example: Bobby is let
out of detention when
he promises to be quiet
Negative punishment
Example: Bobby has his
$10 taken away for
painting his sister
B
e
h
a
vi
o
r
st
re
n
g
th
e
n

e
d
B
e
h
a
vi
o
r
st
re
n
g
th
e
n
e
d
B
e
h
a
vi
o

r
w
e
a
ke
n
e
d
B
e
h
a
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e
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d
Lec81110_05_c05_133-162.indd 143 5/21/15 12:39 PM

CHAPTER 5 5.2 The Neobehaviorists
More complex versions of behaviorism evolved from the 1920s
to the 1960s and became popular in American psychology.
Much of the research used animals as the subjects, but even
when humans were used, the subject matter was focused on the
prediction of
behavior rather than arriving at any complex meaning behind
the behavior.
Skinner’s Radical Behaviorism
One of the most well-known and influential psychologists of the
20th century was B. F. Skinner.
Consistent throughout his prolific career was his belief in
radical behaviorism—radical meaning
“root.” Like Watson, Skinner spent his career advocating for an
extreme behaviorist view. Skinner
had no interest in the human psyche: He was concerned with the
external, observable, and mea-
surable causes of behavior. Nor did he have a theory of
psychology or personality, a concept he
considered illusory and a distraction to the scientific study of
behavior. In this respect, it might
appear that Skinner’s perspective would offer little to the study
of personality. However, his firm
belief in radical behaviorism had a profound impact on the
field. It challenged personality theo-
rists to be more scientific to avoid being dismissed as irrelevant
to scientific psychology. He also
forced theoreticians to form a stronger and, in some cases, a
practical connection between any
mental constructs, such as affect or cognition, and observable

behavior.
Skinner was responsible for many
discoveries and advances in our
knowledge of learning. He had great
mechanical aptitude and designed and
constructed an experimental appa-
ratus that much improved the ones
designed by Thorndike—most notably
the Skinner box, which became enor-
mously popular in psychological labo-
ratories throughout the world. The
box is basically a cage equipped with a
lever that controls the administration
of food pellets or water. It is generally
used with white rats or pigeons and
provides an easy, highly controlled way
of investigating learning. It is especially
useful for studying the relationship
between rate, kind, and amount of
reinforcement and measures of learning, such as rate of
acquisition, response rate, and rate of
extinction. The Skinner box lent itself exceptionally well to
creating a truly empirical science.
Skinner described two different kinds of behaviors, each of
which can be explained with different
models. On the one hand are respondents. Respondents are
responses that occur as reactions
to a specific stimulus. Ducking when someone throws a punch
at your head is an example of a
respondent. Respondents are usually explained by a model of
classical conditioning. In contrast,
operants are responses that are simply emitted by the organism
rather than elicited by specific

stimuli. Whether an operant will occur again depends on its
consequences. Hence a model of
operant conditioning is used to explain operant learning. Thus,
if a hungry rat presses a bar and
receives a food pellet, the immediate consequences of the rat’s
bar pressing are instrumental
Mimi Forsyth/age fotostock/SuperStock
The Skinner box was the first version of modern reinforcement
chambers such as this one, which allows scientists to study
factors that influence the acquisition of behaviors.
Lec81110_05_c05_133-162.indd 144 5/21/15 12:39 PM
CHAPTER 5
in increasing the probability of the bar-pressing response when
the rat is again placed in this
situation.
Skinner pointed out that punishment is not especially effective
as a shaper of behavior. With
respect to his experiments on punishment, he writes, “The effect
of punishment was a temporary
suppression of the behavior, not a reduction in the total number
of responses” (Skinner, 1953,
p. 184). Skinner’s conclusion is interesting when considered
within the context of childrearing,
where punishments like timeouts are commonly employed. Of
course, one important difference
is that Skinner emphasized positive punishments, whereas a
timeout would be an example of a
negative punishment (i.e., the removal of any reinforcers).

When a response is not emitted for a long period of time, it may
be forgotten. For example, if the
rat that has learned to depress a lever for reinforcement is not
placed in the Skinner box for a
period of months or years, it might no longer run over and
depress the lever when it finally enters
the box again. Skinner distinguishes between forgetting—the
loss of a response as a function of
the passage of time—and a pro-
cess we earlier defined as extinc-
tion. Extinction occurs when a
response becomes progressively
less likely and finally disappears
as a result of not being reinforced.
If, after learning bar-pressing
behavior, the rat is allowed free
access to the Skinner box but is
never reinforced again, the bar-
pressing response will weaken
and eventually disappear.
Schedules of Reinforcement and Punishment
As a result of his experiments, Skinner discovered that various
schedules of reinforcement either
increase the probability of a behavior occurring or reduce it.
The schedules can either be focused
on the passage of time between responses or the number of
responses. Temporally based sched-
ules are characterized by the term interval, meaning that
reinforcement (or punishment) occurs
after the first response is given following a period of time. In
contrast, ratio schedules focus on the
number of responses, irrespective of the time. Schedules can

also be differentiated with respect
to whether they are unchanging or changing. If the schedule is
stable, meaning it is not changing
from trial to trial, then it is referred to as a fixed schedule.
When the schedule is changing from
trial to trial, then it is referred to as a variable schedule. By
crossing these two descriptive fea-
tures, four schedules can be identified (see Table 5.1), and each
results in a different pattern of
responding. If a rat is given a pellet of food every fifth time it
presses a bar, then this is a fixed ratio
schedule. If the rat receives the food for the first bar press
following a 2-minute interval, then this
is a fixed interval schedule. If the rat receives the food first
after 3 bar presses, then 100, then 20,
etc., this is referred to as a variable ratio scale. Finally, if the
rat receives the food for the first bar
press after 5 minutes, then the first bar press after 45 seconds,
then 20 minutes, etc., then this is
a variable interval schedule.
When learning something new, the best way to effect behavioral
change is to reinforce (if trying to
acquire a behavior) or punish (if trying to extinguish a
behavior) every instance of that behavior.
Do you engage in superstitious behavior, such as not step-
ping on sidewalk cracks or rituals for good luck? In this brief
1948 paper, Skinner characterizes the acquisition of “super-
stitious” behavior in a pigeon. Read it at http://psychclassics
.yorku.ca/Skinner/Pigeon/.
Reference: Skinner, B. F. (1948). Superstition in the pigeon.
Journal of Experimental Psychology, 38, 168–172.

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http://psychclassics.yorku.ca/Skinner/Pigeon/
http://psychclassics.yorku.ca/Skinner/Pigeon/
CHAPTER 5 5.2 The Neobehaviorists
This is referred to as a continuous schedule (technically, this is
also a fixed ratio schedule, with the
ratio being one response). However, this is not necessarily the
best way to maintain behavior, as
constant reinforcement or punishment can result in satiation, a
process by which the reinforcer
or punisher loses its value. For example, imagine if students
were given a piece of chocolate each
time they asked a question in class. Within a short period of
time, the frequency of questions
would increase dramatically due to the presence of what would
likely be defined as a continuous
reinforcer (as most people love chocolate). Despite its success
in initiating a behavior, the effec-
tiveness of this schedule of reinforcement would eventually
decrease because the students would
eventually have enough chocolates or grow tired of chocolates,
and as a result, the appeal of yet
one more piece would diminish. Thus, following the acquisition
of behavior, the best approach is
to move to a variable schedule, as variable schedules are more
resistant to extinction, they can be
less costly and time consuming to maintain, and they are less
likely to result in satiation.

Now let’s consider some human examples. Many students are on
their smartphones during class
checking for texts or updates on social networking sites. This
would represent the initial behav-
ior. If the consequence is receiving a favorable text or message
update (a reinforcer), then the
use of the smartphone during class will increase. This is
especially true given that the schedule
of reinforcement is likely to be variable interval in nature, one
that is highly resistant to change.
The acquisition of a behavior in this context is clear because
it’s a simple behavior in an isolated
setting, but it becomes more difficult when trying to account for
complex behaviors. Similarly,
learning theory works well to explain simple phobias that
involve a single, specific feared stimulus,
but they do not work well in predicting complex phobias (such
as agoraphobia) or more complex
psychological phenomena (such as personality disorders or even
introversion).
Table 5.1: Types of schedules
Schedule Description Example Typical behavioral response
Fixed
interval
After a specific interval
of time has passed,
reinforcement is given
following the first response.
Paychecks delivered every
two weeks.

Lengthy breaks until the
interval approaches, then
bursts of activity.
Fixed
ratio
After a specific number of
responses, reinforcement is
given.
After every five completed
assignments, the student
receives five bonus points.
Substantial decrease in
productivity following the
reinforcer.
Variable
interval
After a variable period of
time, reinforcement is given
following the first response.
You are trying to get through
on a busy phone signal and
the call finally goes through.
Slow but steady rate.
Generally harder to
extinguish than the fixed
schedules.
Variable

ratio
After a variable number of
responses, reinforcement is
given.
A slot machine could result
in a jackpot after one pull or
no wins after thousands of
pulls.
Most productive schedule
with minimal pausing. Also,
this schedule is the hardest
to extinguish.
One way to address the acquisition of more complex behavior is
to consider the process of shap-
ing. Shaping involves learning by breaking complex behaviors
down into simpler behaviors (i.e.,
steps) and then reinforcing each successive step in the
sequence. With each step, the behavior
is closer to the desired outcome (this is sometimes referred to as
shaping by successive approxi-
mations). Using operant shaping procedures, Skinner taught
pigeons to play “ping pong” and a
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CHAPTER 5 5.3 Theoretical Models Applied to Personality
pig to put dirty clothes in a hamper. He also applied these
techniques to education, develop-
ing “programmed instruction”—a teaching technique where

learners are reinforced for correct
responses to each of a sequence of related questions. The use of
operant conditioning techniques
soon spread to mental institutions, and in many of these
established “token economies,” patients
could receive some token (for example, a poker chip) that could
later be exchanged for a variety
of reinforcers, such as food or books. In general, though the use
of token economies has its critics
(Corrigan 1995), the research literature suggests that they can
be effective in improving patient
behavior (e.g., Ghezzi, Wilson, Tarbox, & MacAleese, 2009),
even in individuals diagnosed with
schizophrenia (for a review see Dickerson, Tenhula, & Green-
Paden, 2005).
Skinner’s View on Personality
Although Skinner did not recognize the need to explain or even
address personality, he pro-
posed that it is possible to predict the occurrence of behaviors
by analyzing observable events,
conditions, situations, and history. For example, Skinner (1953)
described the traits of submis-
siveness and dominance, believing that when a bully attempts to
dominate others, he or she
is reinforced when others acquiesce and show deference to the
bully. Likewise, submissiveness
can be reinforced by the lack of conflict. As these practices
become habitual, they present as
personality traits.
Although Skinner could explain what would typically be called
personality, it is important to reiter-
ate that he would not consider this personality, but rather a
behavioral phenomenon. Of course,
current models of personality do tend to be more behaviorally

focused as well. Therefore, much
of Skinner’s objection with the term personality has more to do
with how the psychodynamic
theorists used the term (i.e., emphasizing internal, unseen
variables).
5.3 Theoretical Models Applied to Personality
Behavioral psychologists often express their deeply held belief
that if behavior changes, “personality” is sure to follow. In
other words, when individuals change their habits and
behaviors, it is not important whether or not we believe some
arbitrary construct such as
personality changes. As we saw, the behavioral approach
emphasizes the principles by which
individuals learn and the ways in which behavior can be
modified. In contrast, psychodynamic
approaches emphasize far more mentalistic constructs. The
dialectic process resulting from the
clash between the overly elaborate theoretical system of
psychoanalysis and the pragmatic sci-
ence of behaviorism has done much to propel the entire field of
psychology forward.
In this section, we will present some of the theoretical
formulations of personality that emerged
toward the latter part of the behavioral era, which includes some
more elaborate attempts to
explain complex behavior. We will also examine some of the
more recent ways in which behavioral
theory has been applied in practice (i.e., Applied Behavior
Analysis).
Salter’s Conditioned Reflex Theory
A little-known figure in the field of behavioral personality is
Andrew Salter. Although Salter’s work

is not ordinarily mentioned in personality texts, it represents an
interesting theoretical attempt
to explain personality from a behavioral viewpoint. Salter is
perhaps best known for two pub-
lications: The Case Against Psycho-Analysis (1952) and
Conditioned Reflex Therapy: The Direct
Approach to the Reconstruction of Personality (1949). In the
latter book, he established what has
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been credited as the first assertiveness training guide, and it
was couched in the language of learn-
ing theory. Salter wrote about such topics as shyness, stuttering,
addictions, anxiety, inhibition,
masochism, and homosexuality. He believed that personality
should be explained with as few
concepts as possible and in the simplest way available; this
premise remains consistent with the
behavioral tradition.
Salter (1949) identified and used three prototypes (models) to
characterize personality: what he
terms excitatory personality, inhibitory personality, and
psychopathic personality. For example, he
used General Dwight Eisenhower as a prototype for the
excitatory personality (similar to an asser-
tive personality), characterizing this prototype as anxiety-free,
happy, direct, energetic, respond-
ing outwardly to the environment, and focused on constructive
and immediate action in response
to problems. Salter also characterized this prototype as a quick

decision maker, who gravitates to
responsibilities, and who likes individuals, but doesn’t care
what they think.
Salter (1949) described the psychopathic personality as
egocentric in perspective, callous and
cold, insincere, unreliable, infantile, and hostile. Much like the
current antisocial personality dis-
order, these individuals often take advantage of others and have
problems with the law.
Salter (1949) believed most people have an inhibitory
personality (also known as non-assertive,
and which he describes as “living death”), essentially
navigating life with extreme caution and
trepidation with respect to emotional expression and actions.
Salter associated this inhibitory
personality with psychological and physical problems, working
on the assumption that to withhold
emotions and actions results in “toxicity.” This was his
rationale for engaging in what would now
be characterized as assertiveness training to help people both
identify and behaviorally express
their experiences. His ideas served as the conceptual basis for
Wolpe’s systematic desensitization.
What is interesting about Salter’s use of conditioning to explain
human personality is that he also
acknowledges the importance of emotion and interpersonal
relations for personality adjustment.
Dollard and Miller (1950), too, recognized the importance of
emotion.
Photri Images/SuperStock Nomad/SuperStock
Though on very different sides of the political spectrum, these

former presidents both
appear to possess many of the traits associated with the
excitatory personality.
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Dollard and Miller’s Learning Theory
One of the most systematic efforts to produce a comprehensive
behavioral theory of personality
was forwarded by John Dollard (an anthropologist) and Neil
Miller (a psychologist). Dollard and
Miller (1950) were not interested in traits or personality
structure. Like other behaviorists, they
were concerned with habits and how these are acquired.
Behaviorists believe that we are born
with reflexes that are shaped by the environment through the
action of primary drives and the
effects of reinforcement. Because of their role in reducing
drives, various behaviors are strength-
ened or weakened. Dollard and Miller believed that certain
early experiences, such as feeding, toi-
let training, learning about sex, and resolving conflict (i.e., the
same activities that psychoanalytic
theorists considered important), offer highly charged learning
experiences in which behavior will
be shaped and strengthened into individual habit patterns or
personality traits.
Dollard and Miller’s theory describes what they consider the
four essential components of learn-
ing: drive, cue, response, and reinforcement. These components
shape learning and, in so doing,

shape our behavior and our personality.
• Drives are “[s]trong stimuli which impel action” (Dollard &
Miller, 1950, p. 30). Unlearned
drives, such as hunger, thirst, sex, fatigue, and pain, are labeled
primary drives. The
strength of the primary drives is related to the degree of
deprivation: The longer you have
been without food or sex, the stronger your hunger or sex drive.
Learned drives, such as
those related to fear or the need for approval, are termed
secondary drives. The notion of
secondary drives provided far greater explanatory power than
did the concept of primary
drives alone, and this was especially important in the attempt to
provide a comprehensive
explanation of human personality and the development of
neurosis.
• Cues are stimuli that direct attention to certain aspects of the
environment. They deter-
mine what we will respond to and how. For example, internal
hunger cues or the golden
arches direct our attention toward food.
• Response: Under certain drive conditions (for example, strong
hunger) we respond to
cues (we eat when we have the banana in front of us).
Responses can be weak at first,
explain Dollard and Miller, but reinforcement can strengthen
them. In addition, a variety
of different responses are possible in a given situation. In a
sense, there are hierarchies of
responses. Some are more likely (i.e., more “dominant”) than
others. Among the various
ways in which habits are acquired, they suggest that trial and

error is the least efficient.
Dollard and Miller also suggest that learning takes place
through imitation, a notion that
has become an important part of contemporary social learning
theory (see Chapter 6 for
a review of these concepts).
• Reinforcement: Any stimulus (S) that increases the probability
of a response (R) occur-
ring is defined as a reinforcement. In Dollard and Miller’s
theory, any stimulus that
reduces a drive will be reinforcing. For example, food is
reinforcing precisely because it
reduces the hunger drive. In fact, they claim that reinforcement
is impossible without
some level of drive, as there is nothing to reduce (if you are
satiated, the offer of food
will not be reinforcing). They also point out that after
reinforcement, the level of drive
will diminish and unless something occurs to increase drive, the
same stimulus will no
longer be reinforcing. Thus, after you have eaten your fill—that
is, your hunger drive has
been reduced to zero—eating is no longer reinforcing.
An important construct in Dollard and Miller’s theory, used to
explain complex behavior, is the
notion of learned drives. Learned or secondary drives develop
because of reinforcement that
occurs in complex social systems. Thus, many have strong
drives to achieve or to become famous.
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These are learned drives, unlike the primary drives of hunger,
sex, thirst, and avoidance of pain.
Dollard and Miller suggest that these secondary drives are so
powerful because they are linked
with the early satisfaction of primary drives. But unlike primary
drives, when they are not rein-
forced, secondary drives will weaken.
Another important construct defined by Dollard and Miller is
frustration, which they describe as a
blocked attempt to reduce a drive (i.e., a blocked goal), such as
a failed attempt to quit smoking or
drinking. They also define frustration as the inability to pursue
two goals at once. When the frus-
tration is severe, Dollard and Miller call it conflict, and we will
here review three types of conflict:
• Approach-approach conflict is the choice between two
desirable outcomes (approach
means moving toward an outcome). In this situation, you tend to
choose whichever out-
come is closer, as this emphasizes the immediacy of drive
reduction. Thus, as you move
closer to one goal, your drive for that goal increases.
• Avoidance-avoidance conflict is the choice between two
undesirable outcomes (avoid-
ance means moving away from an outcome). As one moves
closer to an undesirable
outcome, it increases in its aversive quality.
• Approach-avoidance conflict is when a single behavior results
in both a desirable and an
undesirable outcome. Importantly, as one moves closer to

engaging in the behavior and
experiencing the desirable and undesirable outcomes, the
aversiveness for the undesir-
able outcome increases, as does the drive for the desirable
outcome, but the aversiveness
increases at a faster rate relative to the desire. It was Lewin
(1935) who first postulated
that from a distance, positive valence looms larger, whereas the
closer one gets, the larger
the negative valence. Imagine that you have not dated in quite
some time and someone
appealing is introduced to you. As you consider whether to call
the person, there is likely to
be an approach (getting to know them better)—avoidance (being
rejected) conflict. As you
move closer to contacting the individual, the fear of rejection
increases, as does the desire
to get to know them better, but the fear usually wins out.
Translating Psychodynamic Concepts in Learning Theory
One of the most important contributions of Dollard and Miller’s
(1950) work was their translation
of Freudian concepts, including the defense mechanisms, into
behavioral terms, as this provided
theoreticians and researchers a common framework for
dialogue. This work also demonstrated
that learning theory could be used to explain some complex
behaviors that underlie personality.
For example, Dollard and Miller suggest that unconscious
behaviors are those where the indi-
vidual is unaware of the cues triggering the drive. Unconscious
functioning could also reflect being
unaware of the drive itself. Thus, unconscious simply means
unlabeled. Although Dollard and

Miller conceptualize the defense mechanisms in behavioral
terminology, it is important to note
that the primary difference is that Freud would assign an
underlying (unconscious) motivation to
the defense mechanism (i.e., repression is intentional, but
unconscious). In contrast, Dollard and
Miller’s account does not assume intentionality, but it can
account for it being unconscious (i.e.,
an unlabeled drive). Table 5.2 provides a summary of the
defense mechanisms in the language of
learning theory.
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Table 5.2: Freudian defenses explained using behavioral
constructs
Freudian defense mechanism Behavioral explanation
Repression Unlabeled drives, cues, and responses are equivalent
to the
unconscious.
Suppression The changing of an anxiety-provoking topic by a
group of people
talking about something unpleasant reinforces its suppression
by
reducing anxiety.
Regression “When the dominant habit is blocked by conflict or
extinguished
through nonreward, the next strongest response will be expected

to occur” (p. 171). This next strongest response is often
reinforced,
and this might be the response that was previously used with
great frequency (e.g., a response that was used at some earlier
developmental stage).
Displacement When a dominant response is blocked, the next
strongest is likely
to occur. The response will then generalize to another stimulus
(i.e., stimulus generalization).
Rationalization When a true explanation of an event causes
anxiety, the individual
is motivated to construct an alternative explanation that will
reduce anxiety.
Projection This defense depends on the principle of
generalization: Each
individual expects others to react in a certain manner. Although
not a unitary phenomenon, various biologically based reactions
that occur tend to reinforce this defense. Acting in a friendly
manner is likely to elicit friendly behavior; conversely, a hostile
manner elicits a hostile reaction.
Reaction Formation “A person who is motivated to do
something he had learned to
disapprove or fear may respond with thoughts, statements, or
behavior of the opposite kind” (p. 184).
Adapted from Dollard, J., & Miller, N. E. (1950). Personality
and psychotherapy: An analysis in terms of learning, thinking,
and culture.
New York: McGraw Hill.
Mowrer’s Two-Factor Theory
Orval Hobart Mowrer modified the theory of classical

conditioning, proposing a two-factor theory
to explain avoidance learning. He believed that if an individual
avoids a feared stimulus, extinc-
tion will not take place. In other words, if someone is
traumatized and develops a phobia of rats,
as in Little Albert’s case, not exposing him to the rat in the
future will not eliminate the pho-
bic response. The two-factor theory of avoidance learning says,
essentially, that the first factor
involved in learning an avoidance response is the organism’s
fear that has been conditioned to the
fear-related event. The organism that runs from danger is not
escaping from the source of danger,
but rather from the cues—that is, the conditioned stimuli—
associated with danger. For example,
Mowrer would argue that running from someone who is coming
at you in a threatening way with
a knife is responding to the cues, in this case a jagged
implement, an angry face, and aggressive
movements. The second factor in this theory holds that escaping
from the fear-related stimulus or
stimuli (e.g., the cues noted in the example) is reinforcing
because it results in harm avoidance and
fear reduction. In this way, avoidance behavior is reinforced
and becomes learned.
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Mowrer was interested in the study of conditioned anxiety and
reinforcement. He believed that
two principles of reinforcement were required: (1) Responses
mediated by the central nervous

system involving voluntary muscles become weaker when drive
is reduced (e.g., you are more
likely to stop searching through the refrigerator when not
hungry); and (2) responses mediated by
the autonomic nervous system or smooth muscles, such as
limbic system arousal related to fear
are learned by sheer temporal association (classical
conditioning; e.g., whenever you see a white
lab coat, your blood pressure rises; Hilgard & Bower, 1975).
Mowrer’s ideas were used more in the
1950s, but they were met with some criticism and revision as
early as the 1960s (Feather, 1963),
and as a result, few researchers cite Mowrer’s work, aside from
its historical significance (e.g.,
Levis, 1990).
Wolpe’s Behavioral Applications
Joseph Wolpe was a psychiatrist whose view of behavior was
similar to that of Watson, believing
that behavior is elicited by the environment and not simply
emitted and shaped by environmen-
tal consequences, as Skinner proposed. A very important
concept in Wolpe’s system is anxiety,
which he does not distinguish from fear. He defines anxiety as
the automatic response patterns
that occur in reaction to unpleasant stimuli. In his experiments,
Wolpe placed cats in a cage and
shocked them after they were exposed to a “hooting sound” of
two to three seconds, duration.
As classical conditioning theory would predict, the cats soon
responded to the hooting with signs
of extreme anxiety, crouching, trembling, and breathing heavily.
When they were prevented from
escaping, they were terrified, often cowering, urinating, and
defecating.

In the behavior of these cats, Wolpe detected what he called a
“neurotic” pattern (defined as a set
of behaviors reflecting intense anxiety). These “neurotic” cats
began to respond with increasing
anxiety to a variety of other noises. In behaviorist terminology,
they had generalized their anxiety
responses to other similar stimuli. Importantly, Wolpe also
noted that when a response is pre-
vented by a competing response, stimuli associated with the
competing response can also inhibit
the behavior. In other words, if you can find a stimulus that will
make the cat emit a response that
prevents it from responding with anxiety, that stimulus (and
others associated with it) might be
used to prevent the anxiety response. This observation would be
central to establishing the frame-
work of a therapeutic intervention.
Wolpe developed the therapeutic technique known as systematic
desensitization (also called
graduated exposure therapy), which is frequently used today. It
is a behavioral technique used
primarily to treat phobias and other anxiety-based disorders
(e.g., obsessive-compulsive disorder).
There are three important steps in systematic desensitization:
1. The first step involves establishing a fear hierarchy for the
conditioned stimulus. This
means creating a specific list of feared stimuli and ranking them
from least to most
feared. For example, if dealing with a fear of spiders, the low
end of the fear hierarchy
might involve touching rubber spiders or pictures of spiders.
Next might be contact with
a dead spider. The highest end of the fear hierarchy might
involve a live spider at a close

distance or even touching a live spider.
2. During the second step of systemic desensitization, the
participant engages in a progres-
sive relaxation technique, such as deep, meditative breathing.
3. The final step involves exposing the patient to each level of
the fear hierarchy, beginning
with the lowest end of the fear hierarchy. The patient must
return to the relaxed state
prior to the removal of the stimulus.
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Another therapeutic technique proposed by Wolpe (1958) is that
of assertive responding. It
involves training the patient to express both aggressive and
affectionate feelings. The aggressive-
ness, or assertiveness, is incompatible with anxiety. As a result,
the patient who has learned to
respond assertively is less likely to be anxious. Another
illustration, as applied to Salter’s work,
would be training someone to demonstrate excitatory behavior,
which would be incompatible
with inhibitory behavior. In effect, this is a form of reciprocal
inhibition (or counterconditioning) in
that assertive responding prevents free-floating anxiety.
Wolpe (1958) also used aversive techniques in therapy.
Aversion therapy typically involves pair-
ing a negative stimulus, such as an electric shock, with an
undesirable response. The treatment of

an alcoholic, for example, might include giving the client a
nausea-producing drug followed by an
alcoholic beverage (recall the example of the drug Antabuse
used in the treatment of problematic
drinking). Similarly, counterconditioning has been used with
pedophiles where electric shock is
paired with sexual stimuli. Ethical issues aside, these methods
have had limited usefulness for
this population.
Wolpe (1969) did not believe that his
system treated only superficial manifes-
tations of personality. He thought that
behavior therapy changes personality, if
what is meant by personality is the sum
of an individual’s habits. He also believed
that the model of reciprocal inhibition
could explain cures, even when the cure
is brought about by drugs (Wolpe, 1960).
Many behaviorists would agree with his
claim that changing habits is the critical
step in altering one’s “personality.”
Thomas Stampfl (1966), who speculated
that neuroses were the result of learn-
ing to avoid anxiety, developed another
interesting therapeutic technique that
he termed flooding (also called implo-
sive therapy). In implosive therapy, the
patient is literally flooded with stimuli
associated with anxiety. This is based on the expectation that
the patient will eventually become
fatigued and that the anxiety response will eventually cease—at
which point a different response
will have been counterconditioned to what were previously
anxiety-provoking stimuli.

In a move that has taken full advantage of improving
technology, more recent behavioral approaches
to exposure therapy have adopted virtual reality as a means of
exposing patients to feared stimuli
without leaving the office. A recent empirical review of the
literature suggests virtual reality expo-
sure therapy is equally efficacious with respect to more
traditional approaches and the benefits
appear to generalize outside of therapy and have some
durability (Opriş et al., 2012).
AntionioGuillem/iStock/Thinkstock
In flooding therapy, a patient is fully exposed to the most
intense manifestation of his or her phobia. For example,
a patient with a phobia of fish might be taken to an
aquarium such as this.
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CHAPTER 5 5.4 Component Subsystems of Behavioral Theory
Applied Behavior Analysis
Applied behavior analysis (ABA) is a form of behavior
modification that relies on the basic learn-
ing principles outlined in this chapter. Researchers and
clinicians identify the behavior that is being
targeted for change, as well as its antecedents (the behaviors
and events that precede it) and its
consequences. The idea is to not only study, but to change
human behavior for the better in a
wide range of contexts, including business, health and safety,
athletics, and, perhaps most widely,

in clinical settings to treat severe mental disorders.
One area that has seen the reasonably successful application of
behavioral principles for over
40 years is in treating individuals with autism spectrum
disorders (more broadly referred to as
intellectual and behavioral disabilities). Those with autism
spectrum disorders often have impaired
cognitive functioning, but the hallmark feature is impairments
in socialization and communica-
tion. Behavioral techniques have been employed to help
children and adults with low cognitive
functioning to develop communication skills and other adaptive
behavior (for a review, see Nei-
dert, Dozier, Iwata, & Hafen, 2010).
An early forerunner to modern-day applied behavior analysis
was an approach developed by Ivar
Lovaas, which involves an intensive (i.e., 30 or more hours per
week) behavioral intervention to help
young children who have been non-communicative to express
themselves (e.g., Lovaas, 1987; Smith,
Lovaas, & Lovaas, 2002). Although there have been some mixed
findings regarding the efficacy of
such early behavioral interventions (e.g., the approach appears
less effective at addressing deficits
such as problematic emotional responses; Beadle-Brown,
Murphy, & Wing, 2006), they continue
to represent one of the most widely used and efficacious forms
of early intervention with autism
spectrum disordered individuals (Soorya, Carpenter, &
Romanczyk, 2011). Moreover, ABA has been
shown to be effective at decreasing self-injurious behavior (e.g.,
Chowdhury & Benson, 2011).
In addition to their difficulties communicating, these children

with autism spectrum disorders
have personalities that can be described as passive in social
interaction, lacking in personal space,
having unique perspectives on the world, failing to understand
nuanced communication, and pref-
erence for isolation, to name a few. Some researchers believe
that autism represents a unique
personality structure in and of itself and are therefore less likely
to use traditional personality con-
cepts to characterize these individuals (Wakabayashi, Baron-
Cohen, & Wheelwright, 2006). In con-
trast, other researchers adopt a more traditional perspective and
use typical traits to characterize
those with autism. For example, it appears that when compared
to normally developing children,
those with autism spectrum disorders score lower on traits such
as extraversion, conscientious-
ness, and openness to new experience (creativity; Fortenberry,
Grist, & McCord, 2011).
5.4 Component Subsystems of Behavioral Theory
Many of the developments in the evolution of the behavioral
model are based on research that looks at how various processes
influence the development of personality. Although a few
behavioral researchers tried to develop a comprehensive model
of personality,
most did not. Still, their research has resulted in the discovery
of many processes that might be
considered components of personality. Understanding these
processes can be very useful for
understanding how learning occurs and how it contributes to the
development of personality (see
Table 5.3).
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Table 5.3: Subcomponent systems and their clinical phenomena
and personality
Construct Clinical application Application to personality
Learned helplessness Depression Depressive personality
development
Self-control Impulse disorders Antisocial personality
development
Anxiety Agoraphobia Avoidant personality
development
Seligman’s Concept of Learned Helplessness
Martin Seligman (1975) developed the concept of learned
helplessness, which is when an
individual (or animal) learns that they are unable to control,
change, or escape from their
environment. In a series of fascinating experiments, Seligman
studied the reactions of dogs
that were given an electric shock and
then allowed to jump over a barrier
to escape—which all dogs learned to
do very quickly. When he changed the
experimental conditions and shocked
the dogs without giving them an
escape route, they seemed to become
helpless; instead of trying various
maneuvers to escape, the dogs stood

or crouched and trembled, seemingly
overwhelmed and frozen with anxiety.
Even more important for Seligman was
the fact that when the barrier was sub-
sequently removed so that the dogs
could escape, they did not. This was
a perplexing observation. Seligman
labeled this state learned helpless-
ness, suggesting that this animal model
could be applied to humans to explain
how individuals with depression seem
to view the world in negative terms and
essentially give up.
Many people come to believe that there are no responses they
can make that will make matters
better. Seligman explains that people characterized by learned
helplessness seem to have been
conditioned in much the same way as the dogs in his study; they
no longer believe there is a possi-
bility of escape. He suggests that learned helplessness might be
learned in severely dysfunctional
families where chaos rules and expectancies of having any
impact are kept to a minimum. The
significance of Seligman’s early work is that it provides a
learning model that explains how cer-
tain experiences can lead to profound changes in personality,
such as we see in those who suffer
Learned helplessness is the belief that there are no
responses that can make a situation better. This belief
can be learned through long-term exposure to difficult
environments in which efforts do not translate into
favorable change or escape from the setting.

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from trauma and depression. Interestingly, the bulk of the
current research published on learned
helplessness focuses on the neurobiological mechanisms of this
type of maladaptive learning in
animals and its implications for depression (e.g., Li et al.,
2011); a detailed discussion of neurobio-
logical mechanisms can be found in Chapter 4.
Goldfried and Merbaum: Changing Behavior Through Self-
Control
Self-control is an important feature of personality functioning.
In many individuals with disordered
or dysfunctional personalities, self-control often is impaired
(e.g., problems with impulse control
are one of four criteria used in defining personality disorders;
this is also true for the DSM-5).
Goldfried and Merbaum (1973) describe self-control as “a
process through which an individual
becomes the principal agent in guiding, directing, and
regulating those features of his own behav-
ior that might eventually lead to desired positive consequences”
(p. 11).
They suggest that it is important to be aware of the fact that
environmental influences also play a
central role in developing behaviors that represent self-control.
Self-control influences many areas
of personality functioning, including adjustment to the
community, family, and work. Indeed,

when self-control is more broadly termed as self-regulation, it
can be shown to play a central role
in a number of problematic behaviors, such as inattention and
procrastination. For example, in
a lab-based study, researchers found that chronic procrastinators
delayed preparing (practicing)
for a task only when it was defined as a cognitive task, and not
when it was labeled a fun activity
(Ferrari & Tice, 2000). This research paradigm, which considers
procrastination as a form of poor
self-regulation, uses behavioral concepts such as task avoidance
to define procrastination.
Barlow: The Nature of Anxiety
One of the most prolific contemporary workers in psychology is
David H. Barlow (2002), whose
models of treatment are based directly on the behavioral model.
However, his description of anxi-
ety and its various subdivisions, such as panic and phobias, is
more inclusive than that of the
behaviorists. Not only does it include much of what is current in
neuroscience, but it also ascribes
an important role to emotions, a topic that behavioral
psychologists have largely ignored.
Anxiety is perhaps the most common clinical symptom in a wide
range of personality disorders,
hence its central role in any comprehensive personality theory.
Barlow (2002) has done much to
broaden our understanding of this central issue. Using learning
theory, he presents evidence that
there is a relationship between the development of agoraphobia
(fear of venturing into a strange
place or into crowded areas) and the development of what is
termed an avoidant personality
style. For example, an individual might be afraid of going into a

grocery store because a panic
attack occurred on the last visit to the store. That person might
then begin to develop more gener-
alized anxiety related to being out of their zone of comfort at
home. The panic can then generalize
and become agoraphobia, which Barlow describes as “basically
a complication of anxiety about a
fear of panic” (2002, p. 357). Barlow’s work explains how
reinforcement patterns can be critical in
creating states of anxiety and in fostering the development of
certain personality types and disor-
ders. For example, a highly anxious individual, whose
avoidance of new situations is reinforced by
a lessening of anxiety, may develop a strongly entrenched
avoidant personality style. Accordingly,
most of the therapeutic approaches Barlow developed are
behavioral methods.
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CHAPTER 5 5.5 Assessment Strategies and Behavioral Tools
After establishing the theoretical groundwork (e.g., Gray,
1985), recent research has provided
insights into the neurobiology of the basic learning mechanisms
(e.g., activation and inhibition
systems) that underlie anxiety and other disorders (e.g., Buss et
al., 2003; Putman, Hermans,
& van Honk, 2004; Sutton & Davidson, 1997). For example,
consistent with Barlow’s hypothe-
sis, recent research in a large study of college undergraduates
has shown a strong connection
between behavioral inhibition, experiential avoidance, and
anxiety sensitivity (Pickett, Lodis,

Parkhill, & Orcutt, 2012). Importantly for personality, there
appear to be measurable individual
differences in the acquisition/inhibition systems that can be
traced to neurobiological factors
(e.g., Zinbarg & Mohlman, 1998). (Chapter 4 provides a more
comprehensive coverage of neuro-
biological mechanisms.)
5.5 Assessment Strategies and Behavioral Tools
As indicated by the theories reviewed in this chapter, the
primary focus of any assessment will be on behavior and factors
in the environment that might influence that behavior. One
commonality in many of the behavioral assessment strategies is
the populations to which
they are applied, which tend to reflect lower cognitive abilities.
For example, infants and children
are often the target of behavioral assessments, in large part
because behaviors are more likely to
reflect the primary presenting problem, and also because access
to other constructs (e.g., affec-
tive and cognitive experiences) is limited by their level of
functioning. Similarly, individuals having
experienced brain injuries or pervasive developmental disorders
are also assessed largely with
behavioral measures.
One relevant concept to all forms of behavior assessment is
behavioral reactivity, which means
that behaviors can sometimes change (at least for a short period
of time) as a function of being
observed. Within the context of research, this could mean that
the participant alters his or her
behavior to conform to the expectations of the researcher,
known as demand effects. This can also
occur in clinical contexts.

Assessing With Applied Behavior Analysis
Much like psychoanalysis, applied behavior analysis is both a
technique for therapeutic change
and a method of assessment in which behavioral sequences are
analyzed. This procedure ana-
lyzes and assesses important variables such as operants,
reinforcers, punishment, extinction, and
schedules of reinforcement. Using these tools, researchers are
able to analyze and understand
how certain behavioral patterns are shaped, reinforced, and
maintained, as well as how they can
be extinguished when change is desired.
Behavior analysis is a proven and powerful technology that has
many uses. A common first step in
therapy is to observe sequences of behavior and to analyze
associated reinforcement and punish-
ment. For example, if a child has a temper tantrum when asked
to logoff the computer, the tan-
trum might last longer if the parent continues to pay attention to
the child, even if the attention is
negative. The attention might actually be reinforcing the temper
tantrum. Knowing that this is the
case is an important tool in behavioral therapy.
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CHAPTER 5 5.5 Assessment Strategies and Behavioral Tools
Behavioral Assessments of Children and Adolescents
Diagnosticians have long relied on behavioral assessments in a
variety of clinical contexts to facili-
tate case conceptualization and treatment of children and

adolescents (e.g., for a recent review, see
Hersen, 2006; McLeod, Jensen-Doss, & Ollendick, 2013). For
example, scales such as the Neonatal
Behavioural Assessment Scale and the Assessment of the
Preterm Infant’s Behavior are commonly
used to assess for any unusual behavioral or developmental
manifestations (Lester & Tronick, 2001).
Clinicians use these assessments in applied settings, but it is
also the case that any advances in
our understanding of children’s temperaments (personalities) is
driven by the effectiveness of the
tools available to assess temperament. Researchers have argued
and demonstrated that behav-
ioral assessments should stand at the forefront of any such
assessments (Goldsmith & Gagne,
2012). There are a number of reasons for this argument, most
notably, when dealing with children
it is much more difficult to access cognitive and behavioral
information, and behaviors are more
easily objectified and can be directly observed.
Behavioral Assessments of Adults
The last 20 years have seen the implementation of many
behavioral assessment approaches in
adults (e.g., Kenny, Alvarez, Donahue, & Winick, 2008), though
with the bulk of these assess-
ment procedures being applied to individuals with some
compromise in functioning, such as those
with adult autism-spectrum disorders (e.g., Parsons, Reid,
Bentley, Inman, & Lattimore, 2012).
Although less common, behavioral assessments in normally
functioning adults are also employed,
and recent research has attempted to integrate these methods in
the personality literature (e.g.
Kelly & Agnew, 2012). Researchers have also attempted to use

behavioral assessment strategies to
assess personality disorders, both to facilitate case
conceptualization and treatment (i.e., behav-
ior change; Nelson-Gray et al., 2009). Interestingly, even
informal and relatively brief behavioral
assessments of normally functioning adults can lead to some
consensus with respect to predicting
the traits of extraversion and conscientiousness (Vartanian et
al., 2012), thereby suggesting that at
least some traits are universally recognized and defined.
Behavioral assessment and therapy can and has been applied in
many settings. It can be used in
naturalistic settings, such as in childcare facilities or in the
classroom, as well as in clinical, forensic,
industrial/organizational settings (e.g., performance
evaluations), and healthcare settings. In addi-
tion, health psychologists have adopted these techniques to help
address problems of obesity,
smoking, heart disease, and other negative health behaviors that
plague Western society.
Although other forms of assessment are typically cautious in
their use of tests in other cultures,
behavioral approaches simply interpret any cultural differences
as reflecting different learning
environments. Different cultures expose their members to
different social and environmental
influences, which will then have powerful effects in shaping
behavior. Cultures reinforce cer-
tain behaviors and values, and they punish others. The
behavioristic model analyzes differences
among cultures in the same way as differences between the
behaviors of two individuals might
be analyzed—that is, in terms of the nature of the reinforcement
and punishment that follows

the behaviors. For example, as noted at the beginning of
Chapter 3, grandiosity, attention seek-
ing, and other characteristics of narcissism are prevalent in
American culture today. A behavioral
analysis would identify the elements of our culture that
reinforce these behaviors that may not be
present in other cultures today or in American culture of the
past. However, learning theory does
not concern itself with cultural variations and issues to the same
extent that some of the other
approaches presented in this text do. Instead, behaviorists have
sought to identify the universality
of human responses, rather than emphasizing cultural
differences.
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CHAPTER 5 Summary
Summary
The development of behaviorism heralded a major departure
from the psychodynamic mod-els of personality. By rejecting
most of the basic concepts of psychoanalysis, such as the
unconscious, ego, and id, behaviorists attempted to develop an
empirical foundation for
the study of behavior. Unlike other models presented in this
text, behaviorism espouses no grand
theories and focuses instead on mere behavior.
One of the pioneering figures in behaviorism was Thorndike,
who formulated the law of effect
and the law of exercise. The field was also strongly influenced
by Pavlov’s discovery of the condi-

tioned reflex. Watson popularized behaviorism, most notably by
demonstrating with Little Albert
the explanatory power of conditioning. He also brought
behavioral principles to the public by
applying them to child psychology and parenting. Watson
emphasized the prediction and control
of behavior, and this dramatically altered psychology’s
theoretical landscape. Radical behavior-
ism, introduced by Skinner, held firmly to the notion that
psychology should not concern itself
with mentalistic constructs because they are too subjective.
Skinner described how schedules of
reinforcement can be used to shape complex behavior using the
principles of operant condition-
ing. Dollard and Miller translated aspects of psychodynamic
theory into learning theory in their
analysis of the role of drives, cues, responses, and
reinforcement. Wolpe studied conditioning in
animals but then applied his findings to humans to understand
how anxiety is caused and how it
can be extinguished, using systematic desensitization to treat
disorders such as phobias. Research
also suggests that we may be more likely to acquire and
maintain some phobias (e.g., spiders
and snakes) relative to others. Seligman investigated learned
helplessness with animals and then
applied the model to explain depression in humans.
Principles of learning that are the foundation of the behavioral
model can be used to understand
how personality is shaped and formed by examining behavioral
sequences and reinforcement pat-
terns. These tools of behavioral analysis have found widespread
use in a variety of disciplines and
settings, including clinical psychology, education, and business.

As noted in this chapter, numerous theoreticians have attempted
to extend basic learning prin-
ciples to an understanding of personality with varied success.
Although the behavioral perspec-
tive offers some very important insights to understanding
personality, and perhaps even more to
the methods of studying any psychological phenomena, one
longstanding and cogent criticism
is whether learning theory can be broadly applied to the
complexities of human functioning.
Because much of the work is based on animal models, and is
generally less able to account for a
multitude of competing drives and motivations, not all of which
are known to the individual (or
at least not to the same degree), one natural criticism is that the
complexities of human func-
tioning are overly simplified by the learning perspective.
Indeed, some of the most successful
behavioral applications are for relatively less complex
phenomena. As was noted in this chapter,
when applying behavioral principles to behavior change, the
best fit appears to be with disor-
ders that are largely behaviorally defined (e.g., simple phobias,
where the primary symptom is
avoidance behavior); where a single, definable stimulus
(environmental cue) can be identified
as the trigger of the problematic behavior (e.g., a spider for
someone with arachnophobia); and
when the population being targeted for treatment and behavior
change exhibits lower cognitive
functioning (e.g., as with the application of behavioral
principles to those with cognitive dis-
abilities). Of course, the trade-off for the simplified approach is
that there is likely to be greater
experimental control, and this can be very useful to advancing
our scientific understanding of

any phenomenon, including personality.
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CHAPTER 5 Key Terms
Key Terms
anxiety Automatic response patterns that
occur in reaction to unpleasant stimuli.
applied behavioral analysis (ABA) A form of
behavior modification that identifies the behav-
ior that is being targeted for change, as well as
its antecedents and its consequences.
assertive responding A behavioral technique
that trains the patient to employ direct behav-
iors to express internal experiences.
aversion therapy A behavioral technique that
pairs a negative stimulus with an undesirable
response.
behavioral reactivity A change in behavior
as a function of being observed.
classical conditioning Learning by temporal
association, focusing on reflexive actions.
conditioned response A learned response
to a stimulus.
conditioned stimulus A previously neutral

stimulus that elicits the response to an uncon-
ditioned stimulus through repeated association.
continuous schedule When every instance of a
behavior is reinforced or punished.
cue A stimulus that directs attention to certain
aspects of the environment.
discrimination When the conditioned
response is only produced for a very specific
conditioned stimulus.
drive A strong stimulus that motivates action.
extinction When the conditioned stimulus no
longer elicits the conditioned response.
fear hierarchy A ranked list of feared stimuli.
fixed schedule A schedule that is stable and
does not change from trial to trial.
flooding A behavioral technique where the
patient is exposed to stimuli associated with
intense fear or anxiety (also called implosive
therapy).
generalization When the conditioned response
is elicited by a similar conditioned stimulus.
higher order conditioning When a con-
ditioned stimulus is paired with a neutral
stimulus until the neutral stimulus becomes a
conditioned stimulus by producing the con-
ditioned response; also known as secondary

conditioning.
inductive reasoning Reasoning that begins
with data and then induces laws from the data.
interval The period of time between responses
(or, in a related sense, it can be used as an
adjective to describe the type of schedule that
is determined by the time between schedules).
law of effect Behaviors are controlled by their
consequences, such that behaviors that are
reinforced are likely to reoccur, whereas those
that are punished are less likely to reoccur.
law of exercise The more often a response
has been connected with a stimulus, the more
likely it is to be repeated (repetition strengthen
learning).
learned drive See secondary drive.
learned helplessness When an individual or
animal learns that they are unable to control,
change, or escape from their environment.
negative punishment Withdrawing something
from the environment that decreases the prob-
ability of a behavior occurring.
negative reinforcement Withdrawing some-
thing from the environment that results in an
increase in a behavior.
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CHAPTER 5 Key Terms
neutral stimulus A stimulus that does not pro-
duce a specific response.
non-assertive An inhibitory personality that
navigates life with extreme caution with
respect to emotional expression and actions.
one-time conditioning Learning that occurs
after only one trial of conditioning.
operant conditioning Learning as a result of
consequences that are typically not occurring
at the same point in time as the behavior and
involving nonreflexive actions.
operants Behavioral responses that are emit-
ted by an organism rather than elicited by
specific stimuli.
phobia An intense fear that results in a degree
of dysfunction.
positive punishment Adding something to the
environment that decreases the probability of a
behavior occurring.
positive reinforcement Adding something to
the environment that results in an increase in a
behavior.
preparedness The suggestion that all species
are genetically prepared to make certain asso-

ciations, especially those that have maximized
survival.
primary drive Unlearned drives, such as hun-
ger, thirst, sex, fatigue, and pain.
punishment Anything that reduces the prob-
ability of a certain response occurring.
ratio schedule Determined by the number of
responses.
reinforcement Anything that increases the
behavior with which it is associated.
respondents Behavioral responses that occur
as reactions to a specific stimulus.
response See unconditioned reflex.
secondary drive Learned drive that develops
by way of reinforcement in complex social
systems.
shaping A form of conditioning that breaks
complex behaviors into simpler behaviors and
reinforces each successive, sequential step.
Skinner box An experimental apparatus used
for investigating learning in animals.
spontaneous recovery When an extinct con-
ditioned response returns without any further
conditioning.
systematic desensitization A behavioral tech-

nique used to treat phobias and anxiety-based
disorders.
unconditioned reflex A natural response to a
stimulus.
variable schedule A schedule that changes
from trial to trial.
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Creatas/Thinkstock
Learning Objectives
able to:
• Describe William James’ theory on multiple
selves.
• Characterize Carl Rogers’ humanistic
approach to understanding the self and the
constructs of unconditional positive regard
and conditions of worth.
• Identify Maslow’s needs hierarchy and its
relation to self-actualization.

• Characterize the views of the existential
theorists.
• Describe and critique the research examining
the emergence of the self, using self-directed
behavior in the mirror.
• Understand Markus and Nurius’ concept of
possible selves and how they can motivate
behavior.
Self-Psychology: Humanistic/
Existential Models of Personality 9
Chapter Outline
Introduction
9.1 Major Historical Figures in Self-Psychology
• William James and Multiple Selves
• Carl Rogers and the Humanistic Movement
• Abraham Maslow
• Søren Kierkegaard, Rollo May, Viktor Frankl,
Irvin Yalom, Fritz Perls, and the Existentialist
Movement
9.2 Testing the Emergence of the Self
• Testing Self-Recognition in Humans
• Testing Self-Recognition in Non-Human
Species
• A Critique of Research on Self-Directed
Behavior
• Describe Higgins’ self-discrepancy theory and the contrasts

among the actual, ideal, and ought selves.
• Contrast the public and private self and how these constructs
relate to individualism and collectivism.
• Describe terror management theory and how we experience
existential threats to the self via mortality salience and
the buffering effects of self-esteem.
• Name and describe several measures of self-related constructs.
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CHAPTER 9
Introduction
“There comes a time when you look into the mirror and you
realize that
what you see is all that you will ever be. And then you accept it.
Or you
kill yourself. Or you stop looking in mirrors.” Tennessee
Williams
I am a ____________. If you were asked to complete this
sentence, what would
you say? What word or phrase would best explain who you are?
You might say
“boyfriend/girlfriend of _______,” or “son/daughter of ______,”
or maybe you’d
use a trait like “funny” or “smart.” Or maybe the context of
your environment
would dictate your response. If you were traveling abroad, for
example, you might
claim your nationality, but at home you might claim your state

or town as integral
to your identity. Or maybe your response would be dictated by
your mood; you
then might be “thankful” on a holiday, “miserable” during
finals, or “angry” after
you fail your personality theory test. So which response(s)
defines the “real” you?
Of course, each of these responses (and the many more you
could have written)
reveals some aspect of who you are and begins to address what
will be termed
the self-concept.
The self-concept is, in essence, a theory one has about oneself.
It provides mean-
ing for one’s life, it makes predictions about the future, and it
guides motivated
behavior. When does the self-concept develop and does it
develop for non-human
species? How do we know when someone develops a self-
concept? What can the
mirror tell us about the self and can it induce greater self-
focused attention? Is
self-awareness the same as self-recognition? How do we
respond when the self is
threatened? How do other cultures view the self? These are
some of the questions
to be considered in this chapter to help us better understand
what is encompassed
by the self-concept. We will review the perspectives of
humanism and existential-
ism, along with the more traditional views of the self.
Introduction
9.3 Contemporary Theoretical Models of

the Self and Research
• Possible Selves
• Self-Discrepancy Theory
• The Private and Public Self
• Threats to the Self: Terror
Management Theory
9.4 Assessment Strategies for the Self
and Related Constructs
• The Q-Sort Methodology
• The Assessment of Possible Selves
• Assessing Self-Discrepancies
• Measuring Self-Actualization
• Measuring Self-Focused Attention:
The Self-Focus Sentence Completion
Blank (SFSC)
• Measuring Self-Consciousness:
The Self-Consciousness Scale (SCS)
• Measuring Personal Growth:
The Personal Growth Scale (PGIS)
Summary
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CHAPTER 9 9.1 Major Historical Figures in Self-Psychology
9.1 Major Historical Figures in Self-Psychology
Although virtually every prominent figure in psychology makes

reference to the self, a lim-ited number of theorists made this
the central theme of their theoretical contributions to
understanding the person. The theorists who reclaimed the
“self” as the focus of investigat-
ing human personality initiated a movement known as
humanism-existentialism. In this chapter,
we will review the works of those who contributed to this
movement and the emphasis on the
self, including William James, Carl Rogers, Abraham Maslow,
Viktor Frankl, Rollo May, and others.
William James and Multiple Selves
William James was one of the earliest writers to expound on the
concept of self. He defined the
self as the sum total of everything that can be referred to as
ours, and he explicitly included our
“psychic powers” (i.e., internal mental experiences), as well as
all of our material possessions,
family, ancestors, friends, and even our body (James, 1890).
Because James adopts such a broad
view of the self, he considered it to encompass the constituent
parts of “I,” which is a subjective
sense of self, and reflects active thought (the knower), and
“me,” which is an objective sense of
self, with features that reflect the self-concept (the known).
James further subdivided the self into
(1) its constituents, (2) the aroused feelings and emotions, and
(3) the actions prompted by the
former two, which James specified as being either self-seeking
or self-preserving in nature.
James’ (1890) theory further divides the constituents into three
selves: the material, social, and
the spiritual, listed in ascending order of importance. The
material self (me) includes all of our
material possessions, including our bodies. James suggested that

as we become more invested in
our material possessions, they define us more. The social self is
defined by all of our interpersonal
relationships, and James believed that there were many, often
diverse, versions of this self. James
tied the manifestation of a specific version of the social self to
the available social cues. Thus, he
believed that we present with the social self that is most
consistent with (or drawn out by) the
given social environment. The most important self—the one that
reveals our innermost self—is
the spiritual self. James believed that the spiritual self reflected
our conscience, morality, and
inner will. James also believed that the spiritual self guides the
other selves, dictating the range
of available social selves and the sought-after material selves.
When considered in this way, it is
reasonable to assume that by examining a person’s possessions
and interpersonal presentations,
it is possible to discern the inner (spiritual) self.
Finally, James (1890) also wrote extensively about the ego, but
he referred to it in a different way
from Freud, who was likewise articulating some of his earliest
theories at this time. Specifically,
James defined the ego as one’s
total sense of identity, empha-
sizing the ego’s ability to con-
ceive of the totality of the self,
an integration of all of the com-
ponents. This ability is critical to
identifying incongruities, which
can prompt ego-driven change.
For example, if the material self
involves the amassing of numer-

ous material possessions, but
some of the core values of the
In this early writing, William James (1892) writes about his
multiple conceptualizations the self. Read it at http://psych
classics.yorku.ca/James/Principles/prin10.htm.
Reference: James, W. (1892). The conscious self. In W.
James, The principles of psychology (Volume 1), Chapter 10.
Cambridge, MA: Harvard University Press.
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http://psychclassics.yorku.ca/James/Principles/prin10.htm
http://psychclassics.yorku.ca/James/Principles/prin10.htm
spiritual self emphasize self-sacrifice and philanthropy, then
this inconsistency will presumably
lead to changes in the material self.
James believed that there is the potential for multiple selves,
but that ultimately those selves must
compete for a limited resource—that being you. In the end, we
must choose who we will be, if not
exclusively, then at least predominantly.
Carl Rogers and the Humanistic Movement
Carl Rogers was a psychologist who also had trained in pastoral
ministries, and his theory reflects
many of the values that were no doubt instilled in his pastoral
training. For example, Rogers

believed that humans were good at the core, but that
circumstances could foster bad behavior.
This was in sharp contrast to the baser nature of Freud’s id.
Rogers based his ideas on the central tenet that a person is at
the center of his or her own
phenomenal field, coming from a Greek word that means “how
things show themselves.” The
phenomenal field is the totality of a person’s immediate
experiences from his or her own per-
spective. This experience is not static; rather, it is a dynamic
process. Therefore, the self is also
dynamic, changing as a function of one’s subjective experience.
In this sense, Rogers was at least
partly responsible for putting the person back at the center of
personality. Rogers emphasized
not just the experience that is readily available to the
individual, but also what is potentially avail-
able (i.e., the phenomenal field includes things of which one
might not have awareness at the
moment) (Rogers, 1959). Rogers emphasized the perception of
reality, and although most people’s
perceptions capture aspects of the real world with which we all
must deal, it is the case that an
individual’s perception could be quite unique and distinct from
it (Rogers, 1951).
Although popularized by other theorists, it was Carl Rogers who
first used the term self-
actualization to refer to the goal-directed behavior of the
individual toward achieving his or her
potential. Rogers emphasized that actualization of the self is not
automatic and can be extraordi-
narily difficult depending on the environmental circumstances
(Rogers, 1951). Rogers stated that
the process of actualization is more likely to occur when people

have full awareness of themselves
and the world around them. Emotions are thought to facilitate
the process of actualization by driv-
ing goal-directed behavior. More recently, researchers have
used the term “flourishing” to refer to
a process similar to Rogers’ self-actualization, and they include
the concepts of self-acceptance,
autonomy, mastery, and personal growth (e.g., Ryff & Singer,
2000).
Rogers’ view of the self is an important aspect of the
phenomenal field that with time becomes a
differentiated entity. Rogers defined this part of the phenomenal
field using terms similar to those
employed by James, like “I” and “me,” and he includes not only
one’s own views, but also those of
others (e.g., how others view what I call “me”). Rogers also
believed that all of our experiences are
either accepted, which Rogers would refer to as symbolized
(i.e., perceived by the individual and
cognitively organized), or they are not accepted, and either
distorted into something else that is
more consistent with one’s self-concept (i.e., changing the
reality of how something is perceived),
or denied, which preserves the self-concept from any experience
that might threaten it. Distor-
tion and denial are Rogers’ equivalents of Freud’s defense
mechanisms.
Important to Rogers’ theory is the belief in an ideal self, which
is essentially the self that reflects
the attainment of goal-directed action. By using the term
“ideal,” Rogers is implying that the ideal
self is not real—and in some ways, it is out of reach. The ideal
self is thought to emerge when the
individual’s actual experiences and symbolized experiences are

equivalent. In this scenario, the
Lec81110_09_c09_253-282.indd 256 5/21/15 12:40 PM
In what ways have you experienced unconditional
positive regard versus conditions of worth?
actual self, which refers to the person’s perceived current self-
state (the “I am”), and the ideal self
are the same. When there are significant discrepancies between
the actual and ideal self, which
would occur when the person engages in denial or distortion of
experiences, then, Rogers argued,
the individual experiences incongruence, and this can lead to
maladjustment.
Thus, psychological adjustment comes from fully experiencing
and accepting reality; the use of
defenses undermines this process. Notice how this differs from
Freud, who believed that the
defenses were needed to achieve psychological adjustment. In
fact, Rogers believed that we
would function best after becoming aware of impulses so that
we could consciously control them.
Establishing Conditions of Worth
Rogers was an advocate of the position that in the absence of
restriction on the self, indi-
viduals will strive for and achieve their ideal self. Rogers

referred to this as the experience of
unconditional positive regard, which
means that you feel accepted no mat-
ter what you do (unconditionally). The
prototype for a relationship with uncon-
ditional positive regard is supposed
to be the parental relationship, but
not everyone receives this from their
parents. When Rogers developed his
therapeutic approach, one of the tech-
niques he employed was to be a source
of unconditional positive regard for his
patients. The reason for the success of
this approach, according to Rogers, was
that many individuals lack unconditional
positive regard from anyone in their life.
In contrast, Rogers saw people experi-
encing what he termed conditions of
worth, which is when people withhold
love and acceptance unless the individ-
ual behaves in a certain manner. “I’ll love you if you do me this
favor,” would be an example of a
condition of worth, because it says that you’re valued and
accepted only if and when you do the
favor. Rogers believed that maladjustment occurs as a result of
too many conditions of worth,
because the individual either fails to meet the conditions and
gain the positive regard from oth-
ers or because he or she does not act in a genuine manner in
order to meet the conditions. This
theoretical position on the meaning of maladjustment provided a
justification for Rogers’ form
of therapy (referred to as person-centered therapy), in which he
provides unconditional positive

regard by being empathic, accepting, and genuine. In his theory,
Rogers emphasized an almost
single-minded focus on positive development, rather than
focusing on negative behavior and the
incidence of psychological disorders. In this respect, Rogers
was at the forefront of what would
later be referred to as the positive psychology movement (e.g.,
Seligman & Csikszenmihalyi, 2000).
Rogers also believed that human beings are the primary agents
of change and that his role in
affecting any change was simply to provide non-guided support
in the form of unconditional posi-
tive regard. This was ultimately characterized as supportive
psychotherapy.
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Abraham Maslow
Abraham Maslow was a convert from behaviorism who
established a hierarchical model of human
motivation and the self. Like Rogers, he believed that humans
are focused on growth, rather than
simply repairing problems. Maslow (1970) also used the term
self-actualization to refer to the
individual’s capacity and willingness to reach his or her fullest
potential. This includes striving for
happiness and self-satisfaction.
Maslow noted the difference between what he called motivation
and meta-motivation. His moti-
vation referred to the satisfaction of deficits (which is very
similar to the behavioral definition).

This deficit-reduction aspect of motivation focuses on the
deficiency needs (or D-needs) that arise
from our basic requirements for life. They include, in ascending
order of importance, according to
Maslow (1970):
1. Physiological needs, which are the most basic and strongest
needs in life. For example, in
order to survive, we need food, water, and air.
2. Safety needs, which not only refers to threats to our
existence, but also to anything that
can undermine predictability and a sense of security.
3. Belongingness needs, which refers to our basic human need
for affection and interac-
tion. We need to feel as though we belong in a social context.
4. Esteem needs, which refers to both our own sense of
competence and the sense that oth-
ers perceive our competence.
These needs have to be continually met, as their satisfaction is
only temporary.
In contrast, meta-motivation is focused exclusively on growth.
These being needs (B-needs) are
the essence of our need and desire to self-actualize—that is,
they are the motivation to achieve
complete self-fulfillment. On a day-to-day basis, the individual
must focus on D-needs in order
to survive. The B-needs allow one to
thrive, and become the focus of atten-
tion only after the D-needs are met.
Of course, because the satisfaction of
D-needs is always a temporary state,

this means that opportunities for self-
actualization are necessarily brief. For-
tunately, however, even a single experi-
ence of self-actualization can sustain us
for a lifetime. As an illustration, some
individuals achieve a moment of com-
plete spiritual fulfillment, or a brief time
of supreme relaxation or love (e.g., that
special beach you visited with someone
close to you), or, for some, it occurs in
something as simple as a hobby like golf
(e.g., a few holes when you seemed to
hit everything just right with very little
effort or thought). In that brief period
of time, you enjoy the moment, achieve
a higher level of awareness, and maybe
even experience the world outside of
Joggie Botma/iStockphoto/Thinkstock
Maslow suggested that self-actualization involves
“peak experiences” that allow for a sense of personal
growth and meaning. If this individual is having such an
experience, then he would be enjoying the moment with
a high level of self-awareness and would not be thinking
about any deficiency needs.
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yourself (i.e., no thoughts of your D-needs). We can then relive
this experience and receive much
of the same positive emotional experiences well after the fact.

Unlike many others in the field of personality psychology,
Maslow focused on some of the highest-
functioning individuals to better understand the basics of the
self. As noted from his model,
Maslow believed that those who self-actualize represent our
highest level of achievement and
the highest level with respect to mental health. Maslow believed
that those who self-actualize
(as described above) have what he termed “peak experiences,”
where the individual transcends
D-needs and can simply live (briefly) in the moment and reach
their highest potential. Peak experi-
ences were defined as experiences of personal growth and
meaningfulness in life. By living in the
moment, someone who regularly self-actualizes can have a peak
experience even by engaging in
mundane activities that are part of the process of satisfying D-
needs.
Although Maslow studied a wide range of people who he
considered self-actualizers, his sample
was somewhat limited to those who had achieved political,
scientific, or artistic prominence in
Western culture.
Søren Kierkegaard, Rollo May, Viktor Frankl, Irvin Yalom,
Fritz Perls, and
the Existentialist Movement
These individuals collectively contributed to the existential
movement, which thrived in the 19th
and 20th centuries, and proliferated most following World War
II. Like the humanistic movement,
existentialism begins with the individual (the self) as he or she
emerges (i.e., the emergence and
development of identity). A second basic assumption is that

humans begin with a sense of disori-
entation or confusion caused by the lack of intrinsic meaning in
our world.
Søren Kierkegaard
Søren Kierkegaard was a philosopher, but he is often credited as
the first existentialist—even
though this label came after the fact, as Kierkegaard himself
never used that term (Marino, 2004).
Kierkegaard believed that every individual was responsible for
creating a sense of meaning in life
and then living it in a real (“authentic”) manner. Kierkegaard
believed that individuals acquire free-
dom by expanding self-awareness and taking responsibility for
their actions. This responsibility
is focused largely on establishing the meaning of life, rather
than placing that burden on society.
However, Kierkegaard (1957) believed that gaining freedom and
responsibility has a trade-off; it is
accompanied by anxiety and dread.
Rollo May
Rollo May’s work is considered within the existential movement
because of his emphasis on the
experience of the self, the person as the active agent in life, and
the role of anxiety as an existen-
tial threat (May, 1950). May believed that human behavior
cannot be predicted from abstract laws
and principles because any laws that are relevant to the
individual come from that person’s expe-
rience of life (May, 1953). The existential view also begins with
a questioning of one’s personal
existence, with a meaningful life defined by authenticity to the
self.

May was a clinical psychologist who, like Rogers, initially
pursued a degree in religion (he actu-
ally completed his masters degree in divinity school). May
believed that significant problems are
found in individuals’ failure to assume responsibility,
perception that they are unable to act effec-
tively in the face of considerable problems in life (termed
powerlessness), and unwillingness to
make difficult choices.
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May wrote extensively about anxiety, suggesting that anxiety
manifests when we become aware
of our own sense of mortality. In keeping with his theory, May
defined anxiety as a response that
occurs when something that is central to one’s existence is
threatened (May, 1950). May believed
that such existential threat from anxiety is inevitable but that
the particular source of anxiety
can change. He also differentiated normal anxiety, which
naturally occurs, is proportionate to a
threat, can be managed, and can even lead to creative responses,
from neurotic anxiety, which
is disproportionate to the threat, inhibits personal growth, and
results in defensiveness. May
believed that a significant source of our neurosis comes from
the loss or misplacement of values,
especially given Western society’s dominant values of
materialism and success.

Central to May’s theory, and existentialism, is an awareness of
the self (May, 1953). May sug-
gested that this process of awareness or consciousness occurs
over several stages. The first is
innocence, in which as an infant we first become aware of the
self. The second stage is rebellion,
in which the child begins to establish self-driven behavior as
independent of the will of others.
This may manifest as defiance as the individual seeks to express
free will. The third stage involves
ordinary awareness, whereby one is experiencing free will but is
also taking responsibility for
those choices. The last stage is a creative awareness of the self
and involves our ability to see the
self beyond its normal bounds. May defined the third and fourth
stages as the healthy versions of
consciousness of the self, but he noted that few individuals
achieve the fourth stage.
May also wrote about guilt, suggesting that it occurs when we
fail to recognize our potential, fail
to recognize the needs of others, or fail to acknowledge our
interdependence in the world (largely
referring to our interdependence with other people). May wrote
about many other topics, such
as love and free will, but in all cases he emphasized our
personal ability to make choices and take
responsibility for those choices. Importantly, May believed that
apathy and emptiness were the
biggest existential threats and that psychopathology would
result from problems connecting with
others and the inability to reach one’s destiny. In keeping with
this philosophy, May did not “cure”
disorders. Instead, he believed that his therapy simply made
people more human.

Viktor Frankl
Viktor Frankl was also a proponent of existential
psychotherapy, as he emphasized human exis-
tence and human reality, and he focused on human crises.
Drawing from his experiences in a
concentration camp during World War II, Frankl (1984) noted
how individuals are able to derive
meaning from such horrific circumstances, and the ability to
derive meaning is what can offset the
emptiness that can otherwise exist in and disrupt life.
Interestingly, Frankl didn’t just experience
life in concentration camps (including Auschwitz), he actually
engaged in therapy to help new-
comers experiencing shock adjust to the difficult environment.
Frankl’s version of therapy, which
he called logotherapy, involved imbuing life with meaning,
which meant intentionally seeking out
and creating meaningful encounters.
In his book, The Search for Meaning, Frankl (1984) wrote about
such topics as anxiety and love,
and he believed that humans should always direct their actions
and will toward others. Frankl
claimed that by focusing on others and forgetting oneself, one
can achieve a greater sense of
humanity, with even a possibility of self-actualization for a
select few. Indeed, by focusing on
others (or the broader human condition), he believed that the
end product is a greater sense of
fulfillment, whereas by focusing on oneself, the end product is
existential angst and a sense of
meaninglessness (see also Sartre, 1965, for a similar
perspective).
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In addition to helping people deal
with the horrors of concentration
camps, Frankl also dealt with the
more mundane aspects of life that
could undermine one’s sense of
meaning. For example, he coined
the term “Sunday neurosis” to
characterize people who have
no sense of meaning in their life
outside the context of their work.
Thus, on a traditional day of rest,
Frankl suggested that these indi-
viduals were in an existential vac-
uum and unable to find meaning in their lives (see also Yalom,
1980). Frankl would argue that if you
feel bored, apathetic, and empty when you are not working, this
label would apply to you as well (a
problem that is, no doubt, now minimized by 24-7 access to the
Internet).
Irvin Yalom
Irvin Yalom is another prominent existentialist who has made
significant contributions to the field.
He developed his own version of existential therapy that
converged with many of the above-
mentioned theorists and practitioners. Yalom’s (1980) writings
on existential therapy emphasized
four assumptions that apply to the human condition: (1) the
experience of meaninglessness, (2)
isolation, (3) mortality, and (4) freedom. The key for Yalom is

not whether these experiences occur
(he believes they do for everyone), but rather how people
respond to them and whether that
response is adaptive or not. Yalom believes that the responses
determine and reflect character
development, and determine whether forms of psychopathology
will emerge.
More recently, Yalom has attempted to provide direction to the
next generation of therapists by
providing them with guidelines for how to most effectively and
humanely conduct therapy (Yalom,
2002). Yalom emphasizes the well-timed use of self-disclosures
(i.e., giving the client information
about yourself) and how this can assist the process of therapy.
He also cautions against the use of
diagnostic labels and short-term therapy and an overreliance on
psychiatric medications.
Although many of the theorists discussed in this section were
also practitioners and, there-
fore, applied their theory in the context of clinical work, none
were actively involved in pri-
mary research. In the next section, we will review the research
investigating many of the ideas
presented.
Fritz Perls
While Gestalt psychology actually began in the early 20th
century with Max Wertheimer in what
was known as the Berlin School of Experimental Psychology,
the name that has become synony-
mous with Gestalt is that of Fritz Perls. Perls was trained in
Freudian psychoanalysis, but, with his
wife, Laura Perls, broke away from the analytic tradition when

he immigrated to the United States
in 1946.
Read Sartre’s 1946 lecture, Existentialism Is a Humanism, in
which he explains and defends existentialism against its crit-
ics, at http://www.marxists.org/reference/archive/sartre
/works/exist/sartre.htm.
Reference: Satre, J. (1989). Existentialism is a humanism. In
W. Kaufman (Ed.), Existentialism from Dostoyevsky to Sarte.
Amsterdam: Meridian Publishing Company.
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http://www.marxists.org/reference/archive/sartre/works/exist/sa
rtre.htm
http://www.marxists.org/reference/archive/sartre/works/exist/sa
rtre.htm
Gestalt psychology began its evolution in America in 1947
when Perls published Ego, Hunger,
and Aggression, but is generally accepted to have formally
become a distinct psychological and
therapeutic model in 1951 with the publication of Gestalt
Therapy: Excitement and Growth in the
Human Personality, co-authored by Perls, Goodman, and
Hefferline (Sale, 1995). Gestalt psychol-
ogy is concerned with experiencing and perceiving the whole
rather than the parts, and was a
response to the reductionism of psychoanalysis.

Authenticity is probably at the core of Perls’ ideas. Gestalt
psychology focuses on living authenti-
cally and with awareness. Unhappiness is thought to come from
inauthenticity and resistance to
contact. Unhappy people are living in their heads while
disowning their feelings. They are out of
touch with their bodies. They are living in the past or the future,
but avoiding the present. They
talk about their experiences rather than experiencing them. And
they are unaware of these con-
ditions. Learning to live in the “here and now” is core to the
Gestalt perspective of well-being. In
fact, in therapy situations, clients are asked to deal with past
issues in the now. So, rather than talk
about what happened in the past and how they felt about it, they
are required to experience the
issue in the now and feel their feelings in the now. For example,
a client who has lingering issues
with his deceased mother might be asked to mentally put his
mother in the “hot seat” and talk to
her about his issues as if they were current. It moves from a
third person perspective (putting the
disturbing circumstance out there and analyzing it) to a first
person perspective (experiencing the
disturbing circumstance in the here and now).
Gestalt therapy focuses on the importance of paying attention to
the body. Laura Perls (1992)
believed that anxiety is related to oxygen deprivation and
therefore emphasized the importance
of breathing. Another basic tenet of Gestalt is that resistance to
contact is often betrayed by the
body, and enhancing awareness of the body is a method of
building awareness.
Perls also postulated that people cannot be understood outside

of the context of their environ-
ments. Experiencing meaningful “contact” with ourselves and
with the environment is also core.
Contact occurs at the boundary. The contact boundary is where
we differentiate between what is
“me” and what is not “me.” It is about having authentic
interactions with self and others. People
develop methods to resist contact that keeps them from being in
the here and now and having
meaningful interactions with the environment. Perls also
suggested that we use language to resist
authentic interactions by, for example, saying “I can’t” when in
fact we mean “I won’t.”
Resistance to contact is a concept very similar to Freud’s
defense mechanisms. There are five pri-
mary interruptions to contact:
1. Introjection: passively taking in the environment without
discrimination
2. Projection: disowning parts of ourselves and projecting them
onto others
3. Retroflection: doing to ourselves what we want to do to
others
4. Deflection: changing the focus of a contact experience to
avoid authentic interactions
5. Confluence: blurring the lines between self and environment
(Polster & Polster, 1973)
The contact boundary must be permeable enough to allow
interaction with the environment but
firm enough to maintain autonomy. Perls called this organismic
self-regulation. Awareness allows
us to control that balance. “There is only one thing that should
control: the situation. If you under-
stand the situation you are in and let the situation you are in

control your actions, then you learn
to cope with life” (Perls, 1976, p. 33).
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CHAPTER 9 9.2 Testing the Emergence of the Self
9.2 Testing the Emergence of the Self
In this section, we examine how the concept of self has been
studied and examined by its con-stituent parts. Researchers have
typically begun at the most basic level, establishing what is
thought to be the minimum requirement for the emergence of a
self-concept: self-awareness.
This section will focus on the research establishing a
methodology for self-awareness and an
understanding of how the self-concept first emerges.
Testing Self-Recognition in Humans
What do you see when you look in the mirror? Do you see the
same person others see? Do you
have a grandiose view of yourself, or perhaps a devalued view?
The challenge for science is to develop methods for
operationally defining and measuring con-
cepts. Of course, many psychological constructs are not directly
accessible, and there can be
considerable subjectivity and variability in how they are
assessed. Consider, for example, how
researchers can know if the self-concept is present. One
approach has been to identify some
lower-level constructs that would have
to be present before the self-concept

could emerge. For example, researchers
have generally agreed that in order for a
self-concept to exist, there would have to
be self-awareness (i.e., in the absence of
self-awareness, a self-concept would be
highly unlikely). Thus, researchers have
identified some methods for defining
self-awareness. The most widely used of
these is to look for self-recognition when
infants and young children are exposed
to a mirror; this is sometimes referred to
as the mirror test.
To measure recognition, researchers
have typically used the emergence of
self-directed behavior, which is when
the person (or animal) directs behavior
toward (acts upon) oneself. For exam-
ple, when you look in the mirror and fix
your hair, this is an illustration of a self-
directed behavior. It requires that you recognize that the mirror
image is you, that you use the
information from the mirror image, and that you direct behavior
toward yourself. If, instead, you
attempted to fix the hair of the image in the mirror, expressed
anger at the mirror image, or began
a conversation with the image, then we would conclude that
there is no self-recognition, and one
would not expect to see any self-directed behavior.
.2006 Angela Georges/Flickr/Getty Images
The rouge test requires that the infant recognize the
image as him/herself, and then engage in self-directed
behavior to remove the red mark that would not be

visible without the mirror image.
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Self-directed behavior has been studied by covertly putting
marks (rouge) on the faces of children
of different ages to see how they react to those marks (also
known as the rouge test). Researchers
following this method have found that children engage in self-
directed behavior beginning around
18–24 months of age, and this behavior is thought to be a
central precursor to later self-awareness
(e.g., Amsterdam, 1972; Brooks-Gunn & Lewis, 1984; Bullock
& Lutkenhaus, 1990; Butterworth,
1992; see also Vyt, 2001). Interestingly, using alternative
methodologies (e.g., gazing times), some
researchers suggest that the most basic level of self-recognition
may occur as early as 3 months
of age (Bahrick, Moss, & Fadil, 1996). Thus, overall there is
sufficient research evidence to sug-
gest that physical self-recognition is the first of several
developmental abilities to emerge in the
formation of the self, with later aspects of the self to include
awareness of emotions, verbal self-
descriptions, and the developmental of self-evaluative emotions
(Lewis, 1994; Stipek, Gralinski, &
Kopp, 1990; for a review see Courage & Howe, 2002).
The development of the self is thought to be facilitated by
socialization experiences, whereby
children learn to develop knowledge and emotional experiences
about the self as distinct from

knowledge and emotional experiences about others (e.g., Harter,
1983; see also Kärtner, Keller,
& Chaudhary, 2010). Although there is some evidence to
suggest individual differences in the
emergence of self-directed behavior (e.g., the absence of such
behavior in children with profound
cognitive impairments), such variability has not been well
documented. The research that has
been conducted has yielded generally consistent effects. For
example, whether children were mal-
treated does not appear to impact the timing of the development
of self-recognition, nor does
their socioeconomic status (see Schneider-Rosen & Cicchetti,
1984; Schneider-Rosen & Cicchetti,
1991), and as noted, the research is very clear in demonstrating
an age effect.
Testing Self-Recognition in Non-Human Species
A second line of research examines whether self-directed
behaviors (and by extension, the self-
awareness and the self-concept) are a uniquely human
phenomenon. This question is important
because it tells us something about the uniqueness of the self-
concept and the level of cognitive
abilities needed to develop a self-concept. As recently as the
mid-1970s, theorists and research-
ers hypothesized that self-awareness or self-recognition was one
of the abilities that separated
humans from other advanced species and may have been one of
the later attributes to evolve
(e.g., Buss, 1973; Kinget, 1975). However, research on a
number of non-human species has since
suggested that self-recognition is not unique to humans.
Building largely from the work of Gordon Gallup, researchers
have established a reliable para-

digm for evaluating self-recognition. Gallup began by
examining chimpanzees in front of a mir-
ror. Initially they responded in a manner indicating no self-
recognition (i.e., they responded with
threatening gestures in response to their mirror images).
However, they did ultimately demon-
strate self-directed behavior, including grooming. Thus, there
does appear to be a learning effect
for self-directed behavior; such that experience with the mirror
does facilitate the emergence of
self-directed behavior (Gallup, 1970; see also Gallup, 1979,
1982, 1987; Gallup et al., 1995; Inoue-
Nakamura, 2001). In contrast, when studied in humans, past
experience with the mirror (or any
reflecting surface) does not appear to impact the incidence or
speed with which self-directed
behavior occurs (Priel & de Schonen, 1986). In addition, more
recent research has shown that
chimpanzees can also engage in self-directed behavior even
when exposed to their image via
video (Hirata, 2007). Finally, research suggests that just as
humans show a developmental pattern
for the emergence of self-directed behavior, so too do
chimpanzees (Inoue-Nakamura, 2001).
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Gallup and others devised what is now commonly known as the
mirror test, a method to gauge
the self-awareness of animals by determining whether they
recognize their own reflection in a
mirror. Using a paradigm similar to that described for humans,

researchers examined whether
great apes (including chimpanzees, orangutans, bonobos, and
gorillas) who see their reflection
with, for example, a foreign marking on their face would take
action to remove that object (Gal-
lup, 1977). The results indicate that all great apes demonstrate
self-directed behavior under these
testing circumstances (e.g., Patterson & Gordon, 1993;
Povinelli, de Veer, Gallup, Theall, & van
den Bos, 2003). Moreover, research also indicates that self-
recognition and self-directed behav-
ior occur in a number of marine mammals, including bottlenose
dolphins (Marten & Psarakos,
1995), killer whales, false killer whales, California sea lions
(Delfour & Marten, 2001), and Asian
elephants (Plotnik, de Waal, & Reiss, 2006). Moreover,
researchers have also now documented
self-directed behavior in non-mammalian species, with the
magpie being the only instance to date
(Prior, Schwarz, Güntürkün, & de Waal, 2008).
A Critique of Research on Self-Directed Behavior
There are, of course, some confounds with this type of research.
First and foremost, self-recogni-
tion alone (as indicated by the presence of self-directed
behavior) does not imply or demonstrate
the existence of a self-concept—or at least not a well-
articulated self-concept. Moreover, despite
many similarities between human and non-human species, it is
reasonable to question whether
self-recognition holds the same implications for humans as it
does for non-human species, given
the presence of more advanced cognitive capabilities in humans.
Another shortcoming of the mir-
ror test is that any animal that depends largely on the other
senses for identification or has poorly

developed vision will not be able to validly take the mirror test.
With respect to the human research, it is also possible that the
children are not motivated to clean
their face or remove the mark. Indeed, some researchers have
suggested modified procedures
for increasing motivation for self-directed behavior (e.g.,
demonstrating the cleaning of a doll’s
face with a similar dot prior to the mirror test), and this results
in an increased incidence of self-
recognition in the mirror test (Asendorpf, Warkentin, &
Baudonniere, 1996).
Another issue is that self-awareness could occur at an earlier
age when the child is not able to
evidence or able to conceive of some resolution to the foreign
object observed on their person.
For example, it is possible that younger children recognize the
rouge as being on their cheeks, but
they do not have the cognitive capacity to realize that they
could remove it.
Moreover, in light of the recent finding of self-directed
behavior in magpies (i.e., without any
behavioral conditioning, the magpies appeared to engage in
self-directed behavior to remove a
foreign object on their feathers and only visible in the mirror),
it raises the possibility that either
the self-concept is a much broader (cross-species) experience
than was first thought, or there may
be some issues with the mirror methodology (e.g., it could
simply be a form of learned behavior).
Finally, it should be noted that self-awareness, and therefore
self-directed behavior, may be
affected by individual differences. That is, rather than

considering self-awareness as a static point
that is “achieved” and something that is consistent across
individuals, it may be the case that
individuals vary in the extent to which they have high self-
awareness. For example, in a broad
review of the literature, it was shown that self-focused attention
is consistently associated with
negative affect, and this was especially true when studying
females and clinical populations (Mor
& Winquist, 2002).
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CHAPTER 9 9.3 Contemporary Theoretical Models of the Self
and Research
One interesting line of research looking at this issue has
introduced the term
self-concept clarity (SCC). SCC refers to the structural
components of the self and includes
the clarity and confidence with which the self-concept is known
and conveyed by the indi-
vidual, and it is thought to be internally consistent and stable
over time (Campbell et al., 1996).
Researchers have noted that low SCC is associated with high
neuroticism, low conscientious-
ness, low agreeableness, and self-focused ruminative attention
(Campbell et al., 1996).
While there are still questions surrounding mirror test
methodology, the key issue may in fact be
whether there any self-related experiences that are uniquely
human. Researchers investigating
what are referred to as possible selves and those examining

existential threats to the self would
argue that there are at least some uniquely human experiences
(even if self-directed behavior is
not unique to humans), and these examples will be the focus of
the next sections.
9.3 Contemporary Theoretical Models of the Self and Research
Most of the earliest contributions from the theoretical
perspectives reviewed in this text (with the exception of trait
theory) emerged from clinical applications. That is, the theory
emerged from working in settings with individuals experiencing
varying degrees of dys-
function in their lives. In contrast, self-theory is largely focused
on the normal development of the
self and is grounded in research. Of course, much can be
learned about the self when considering
situations such as the experience of stress and even threats to
the self. We will here review some
of the more recent self-theories, the consequence of
experiencing threats to the self, and the
research upon which these constructs are based.
Possible Selves
Researchers have developed the concept of
possible selves (Markus & Nurius, 1986), a term that
identifies the versions of the self that you could be,
but which are not necessarily occurring right now.
Possible selves are somewhat limitless, in the sense
that they can be anything that you imagine yourself to
be; possible selves can even be unrealistic. However,
past experiences play a critical role in defining possi-
ble selves, and as a result, they tend to be reasonably
grounded in reality.
Possible selves can be differentiated with respect to

their temporal focus (past, present, or future) and their
valence; positive possible selves denote what the indi-
vidual would like to become, and negative possible
selves denote what they would like to avoid (Markus
& Nurius, 1986). For example, one could refer to past
negative possible selves (one example of which might
be associated with regrets) or future positive possible
selves (one example being the ideal self). Although
there are many possible selves, researchers have largely
focused on the future possible selves, as this construct
serves to provide meaning to our lives and motivate
action toward future goals (see Erikson, 2007).
iStock/Thinkstock
Some experiences can activate a number
of possible selves. For example, receiving
a text from your boyfriend/girlfriend
that says “we need to talk” may activate
future possible selves of you as “single.”
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and Research
Markus and Nurius (1986) suggest that possible selves are
influenced by both individual and con-
textual (i.e., situational, social, cultural, etc.) factors. Thus,
possible selves can be triggered by
developmental factors and social norms (Conger & Peterson,
1984; Oyserman & Markus, 1990).
For example, adolescence is a time when family, peer groups,
and school are the contexts in which

the self is defined. Normative tasks such as dating, gaining
independence from family, and initial
experience with employment will also define possible selves at
this stage in life. Similarly, college
students are focused on occupational, educational, and
interpersonal (dating and marriage-
related) possible selves, whereas possible selves related to
parenting and family are more typical
for young and middle-aged adults.
Information in our environment can also trigger possible selves
that were previously unavailable. For
example, we may feel as though we are in a committed, long-
term relationship. However, when a
boyfriend or girlfriend sends us a text saying “We have to talk,”
or they change their Facebook status
to “single,” (or both!), this would likely activate a possible self
that you may not have been consid-
ering prior to receiving that information; the negative future
possible self as single (and lonely).
Similarly, if you made a comment in your psychology class and
the professor said that it was quite
possibly one of the more brilliant statements ever made in that
course, then this might activate a
future positive possible self as a graduate student. Some of the
cues that trigger possible selves may
be fleeting and less personally directed (an image on a poster or
in a commercial), or they may be
activated by inner thoughts and experiences (e.g., a moment of
self-doubt or supreme confidence, a
reminiscence, etc.). This also means that some possible selves
are considerably less likely as a result
of our circumstances and past experiences. For example, if you
have had past academic failures, then
it will be more difficult and less likely that you will have future
positive possible selves with respect

to academics. Indeed, research has shown that juvenile
delinquents and those coming from lower
socioeconomic backgrounds are less likely to identify possible
selves in the academic and vocational
domains and identify strategies to facilitate the emergence of
related possible selves (e.g., Oyser-
man, Bybee, & Terry, 2006; Oyser-
man & Markus, 1990; Oyserman
& Saltz, 1993). Similarly, research-
ers have shown that health pro-
motion behavior is less likely for
racial minorities who identify
with an ingroup self-concept that
involves unhealthy behaviors;
viewing health promotion behav-
iors as defining White, middle—
class possible selves (Oyserman,
Fryberg, & Yoder, 2007).
Possible Selves as Motivators of Action
Markus and Nurius (1986) suggest that individuals are
motivated to reduce the discrepancy between
their present and future positive possible selves while
increasing the discrepancy between their
present and future negative possible selves. Moreover,
establishing future positive possible selves
increases the likelihood of individuals engaging in behavior and
strategic planning that then increases
the probability of the possible selves coming to fruition (e.g.,
Oyserman & Saltz, 1993; Oyserman,
Terry, & Bybee, 2002). For example, high-risk students who
developed school-based, positive pos-
sible selves demonstrated better in-class behavior (Oyserman,
Brickman, & Rhodes, 2007), felt more

confident about their prospects for success and achieved better
grades relative to their peers who
did not articulate positive possible selves in school (Oyserman,
Bybee, Terry, & Hart-Johnson, 2004).
In this 1986 paper, Hazel Markus and Paul Nurius introduce
the concept of possible selves and their implications. Read
it at http://psycnet.apa.org/psycinfo/1987-01154-001.
Reference: Markus, H. & Nurius, P. (1986). Possible selves.
American Psychologist 41(9), 954–969.
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http://psycnet.apa.org/psycinfo/1987-01154-001
and Research
Similarly, negative future possible selves can also motivate
behavior. Thus, a future possible self
as a “drop-out” can also lead to better school-related outcomes
(Oyserman et al., 2006). Based
on these findings, it is reasonable to conclude that future
negative possible selves in other life
domains could also motivate favorable behavior. Research
suggests that a balance of negative and
positive possible selves may result in the best outcomes,
especially in contexts where there may
be considerable obstacles undermining the achievement of one’s
positive possible selves (e.g.,
Oyserman & Markus, 1990; Oyserman et al., 2006; Van Dellen
& Hoyle, 2008).

In this respect, positive and negative possible selves (also
referred to as hoped-for and feared pos-
sible selves, respectively) are similar in nature to approach-
avoidance goals discussed in Chapter
8, such that there may be behavioral consequences for focusing
on one type of possible self, and
the tendency to do so can reflect individual differences. Indeed,
multiple negative possible selves
can be associated with more adverse outcomes. For example, a
recent study showed that women
with anorexia were likely to have negative future possible
selves and that negativity tended to be
stronger relative to a control group of women (Erikson,
Hansson, & Lundblad, 2012). Moreover,
it appears that most individuals have more (or can more readily
access) positive, relative to nega-
tive, possible selves (Markus & Nurius, 1986; Newby-Clark &
Ross, 2003).
Self-Discrepancy Theory
What are your standards of comparison for your self-concept?
How do you know when you are
doing well in life or not? These questions stand at the center of
one interesting line of research
introduced by E. Tory Higgins.
Self-Constructs
Higgins (1987) introduced the concept of self-guides to refer to
the internal standards that indi-
viduals use for comparison purposes. Some examples of self-
guides are the self you ideally want
to achieve and the self you think others want you to be. Higgins
suggested that these comparisons
occur all the time, and somewhat automatically, even without

our awareness. Higgins emphasized
that any differences between the self-concept and the self-
guides are referred to as self-discrepan-
cies, and individuals are highly motivated to minimize such
discrepancies, as discrepancies result
in cognitive and affective discomfort (Higgins, 1987). Of
course, self-discrepancy theory was not
the first to introduce the idea that discrepancies with the
perceived self can result in discomfort
and that individuals are motivated to reduce such discomfort
(see Festinger, 1957, for a related
discussion of cognitive dissonance, and James, 1890, who also
discussed discrepancies and incon-
gruities in the self). However, Higgins’ theory advanced the
field by articulating how certain types
of discrepancies result in specific emotional experiences and
vulnerabilities. For example, negative
emotional states such as sadness would be predicted when the
actual and ideal self-discrepancies
are especially large. In contrast, guilt might occur when the
actual and ought selves are notably
different (see Erikson, 2007, for a discussion of how possible
selves can be redefined).
Higgins identified three self-domains that can be internally
compared. The first is the actual self,
which is one’s mental representation of the attributes,
accomplishments, and abilities that one
perceives oneself to possess. In contrast, the ideal self is a
mental depiction of the self one wants
to be but is not yet manifesting as the actual self. The ideal self
serves to motivate goal-directed
behavior to achieve either the ideal self or approximations of it.
The ought self is one’s mental
representation of the self that someone believes one should (or
“ought to”) have. That someone

could be a family member, a friend, an intimate partner,—or it
could be the individual him- or
herself. These can manifest in the form of perceived obligations
or responsibilities.
Own
Actual Ideal Ought
Other
The Self Domains
How I see myself
as I truly am
How I think others
see me
How I think others see the
ideal me
How I see myself as I would
ideally be
How I think I should be
How I think others think
I should be
Standpoints
Figure 9.1: Higgins’ six self-state representations
This figure illustrates the six possible comparisons of the self-
states from two different standpoints

(perspectives).
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and Research
Higgins also posited that in making comparisons between the
different self-domains, the individ-
ual could do so from two distinct vantage points. Higgins
specified that one could adopt one’s own
standpoint or the standpoint of a significant other. By
considering both the three self-domains and
the two standpoints, six self-state representations can be
identified (i.e., actual-own, actual-other,
ideal-own, ideal-other, ought-own, and ought-other; see Figure
9.1). Higgins (1987) proposed that
the two actual self-states (actual-own and actual-other) are what
most people consider as the
self-concept, while the other self-states provide the framework
(self-guides) used for comparison
with the self-concept to motivate behavior, so as to maximize
the match between the actual, the
ideal, and the ought self-states. Although self-theory fits well
within the framework of personality
psychology, as an additional connection, Higgins proposed that
there are individual differences in
the self-guides that one is most likely to use to motivate
behavior. Thus, for some individuals, the
ideal self-guides are constantly considered and compared to the
actual self, whereas for others, it
is the ought self-guides that drive their actions. For example, if
you are someone who chronically
experiences guilt over what you should do relative to what you

are doing in life, then it is more
likely that you are thinking extensively about the ought self-
guides. If you are frequently fantasiz-
ing about a better life, then perhaps you are being largely
guided by ideal self-guides.
Emotional Outcomes of Construct Comparisons
Because comparisons among the self-states are what ultimately
motivate behavior, it is instructive
to both consider the different comparisons (e.g., actual-own vs.
actual-other, ideal-own vs. ideal-
other, ought-own vs. ought-other, actual-own vs. ideal-own,
actual-own vs. ought-own, ideal-own
vs. ought-own) and the distinct emotional experiences that
might emerge as a result of those
comparisons. As an illustration, consider the long-term goal of
obtaining your Ph.D. in psychology
(an end goal to motivate behavior). Using Higgins’ terminology,
you might consider the ideal self
as the successful doctor in a thriving career, resulting in a good
standard of living and prestige
from colleagues. The ought self might look a little different,
perhaps as someone who uses their
doctoral degree to help others, and is very giving of one’s time
in pro bono work. The actual self
might be a struggling graduate student who is perhaps
questioning whether there is the stamina
to continue in graduate school for several more years and
complete the dissertation. Perhaps,
then, the actual-own versus actual-other comparison involves
the nearly burnt-out and uncertain
actual self from your perspective to the driven and nearly
finished actual self from the perspective
of your parents. In this case, when the idea of dropping out
crosses your mind, the disappoint-

ment you perceive from your parents’ perspective (the “other”
in this case) may be one of the
motivating agents that keep you going.
Similarly, negative future possible selves can also motivate
behavior. Thus, a future possible self
as a “drop-out” can also lead to better school-related outcomes
(Oyserman et al., 2006). Based
on these findings, it is reasonable to conclude that future
negative possible selves in other life
domains could also motivate favorable behavior. Research
suggests that a balance of negative and
positive possible selves may result in the best outcomes,
especially in contexts where there may
be considerable obstacles undermining the achievement of one’s
positive possible selves (e.g.,
Oyserman & Markus, 1990; Oyserman et al., 2006; Van Dellen
& Hoyle, 2008).
In this respect, positive and negative possible selves (also
referred to as hoped-for and feared pos-
sible selves, respectively) are similar in nature to approach-
avoidance goals discussed in Chapter
8, such that there may be behavioral consequences for focusing
on one type of possible self, and
the tendency to do so can reflect individual differences. Indeed,
multiple negative possible selves
can be associated with more adverse outcomes. For example, a
recent study showed that women
with anorexia were likely to have negative future possible
selves and that negativity tended to be
stronger relative to a control group of women (Erikson,
Hansson, & Lundblad, 2012). Moreover,
it appears that most individuals have more (or can more readily
access) positive, relative to nega-
tive, possible selves (Markus & Nurius, 1986; Newby-Clark &

Ross, 2003).
Self-Discrepancy Theory
What are your standards of comparison for your self-concept?
How do you know when you are
doing well in life or not? These questions stand at the center of
one interesting line of research
introduced by E. Tory Higgins.
Self-Constructs
Higgins (1987) introduced the concept of self-guides to refer to
the internal standards that indi-
viduals use for comparison purposes. Some examples of self-
guides are the self you ideally want
to achieve and the self you think others want you to be. Higgins
suggested that these comparisons
occur all the time, and somewhat automatically, even without
our awareness. Higgins emphasized
that any differences between the self-concept and the self-
guides are referred to as self-discrepan-
cies, and individuals are highly motivated to minimize such
discrepancies, as discrepancies result
in cognitive and affective discomfort (Higgins, 1987). Of
course, self-discrepancy theory was not
the first to introduce the idea that discrepancies with the
perceived self can result in discomfort
and that individuals are motivated to reduce such discomfort
(see Festinger, 1957, for a related
discussion of cognitive dissonance, and James, 1890, who also
discussed discrepancies and incon-
gruities in the self). However, Higgins’ theory advanced the
field by articulating how certain types
of discrepancies result in specific emotional experiences and
vulnerabilities. For example, negative
emotional states such as sadness would be predicted when the

actual and ideal self-discrepancies
are especially large. In contrast, guilt might occur when the
actual and ought selves are notably
different (see Erikson, 2007, for a discussion of how possible
selves can be redefined).
Higgins identified three self-domains that can be internally
compared. The first is the actual self,
which is one’s mental representation of the attributes,
accomplishments, and abilities that one
perceives oneself to possess. In contrast, the ideal self is a
mental depiction of the self one wants
to be but is not yet manifesting as the actual self. The ideal self
serves to motivate goal-directed
behavior to achieve either the ideal self or approximations of it.
The ought self is one’s mental
representation of the self that someone believes one should (or
“ought to”) have. That someone
could be a family member, a friend, an intimate partner,—or it
could be the individual him- or
herself. These can manifest in the form of perceived obligations
or responsibilities.
Own
Actual Ideal Ought
Other
The Self Domains
How I see myself
as I truly am
How I think others
see me

How I think others see the
ideal me
How I see myself as I would
ideally be
How I think I should be
How I think others think
I should be
Standpoints
Figure 9.1: Higgins’ six self-state representations
This figure illustrates the six possible comparisons of the self-
states from two different standpoints
(perspectives).
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Self-discrepancy theory predicts that the discrepancy involving
the actual and ideal self from
one’s own perspective results in feelings of disappointment and
dissatisfaction when the actual
self does not meet the standards of the ideal self. Discrepancies
in this domain from the self-
perspective are also thought to be associated with depression
and low self-esteem (e.g., Strau-
man, 1992; see also Strauman & Higgins, 1988). The magnitude

of the discrepancy is one of the
factors that can also predict the behavioral response, as small
discrepancies can foster adaptive
efforts to minimize the discrepancy, whereas as large
discrepancies are more likely to result in the
individual giving up. In contrast, when the perspective is that of
significant others, these same
actual-ideal self-discrepancies are more likely to induce
feelings of shame and embarrassment
because the individual believes that he or she has fallen short of
what is perceived as the expecta-
tions and hopes of others. Thus, we assume that others are
disappointed in our achievements (or
lack thereof), which leads to shame.
Predicting Important Outcomes With Self-Discrepancy Theory
Possible selves have been predictive of a wide range of
important life outcomes. For example,
smaller actual-ideal self-discrepancies for students is associated
with academic success (Oyser-
man et al., 2006), and larger actual-ideal and actual-ought
discrepancies have been linked to
depression (e.g., Oyserman et al., 2006; Scott & O’Hara, 1993;
Strauman, 1992) and anxiety (Scott
& O’Hara, 1993; Strauman, 1992). Self-discrepancy theory has
also been used to predict coping
effectiveness and inter-role conflict for married professional
mothers (Polasky & Holahan, 1998),
the incidence of disordered eating behavior (Landa & Bybee,
2007; Strauman, Vookles, Berenstein,
Chaiken, & Higgins, 1991), psychological adjustment to a
diagnosis of cancer (Heidrich, Forsthoff,
& Ward, 1994), help seeking behavior for alcohol-related
problems (Buscemi et al., 2010), physi-
cal activity (Lamarche & Gammage, 2012), and even immune

functioning (i.e., cortisol levels and
natural killer cell activity; Strauman, Lemieux, & Coe, 1993).
The Private and Public Self
One of the more interesting studies of the self with important
implications is a consideration of what
is known as the private and public self (also referred to as
private and public self-consciousness). Pri-
vate self-consciousness is the direction of attention to our inner
experiences (thoughts and feelings),
and our private self is therefore less likely to be shared with
others. We may actively or automatically
keep this self hidden from others. Public self-consciousness is
when we consider how we appear to
others, and as a result, our public self is the identity that we
allow others to see.
Researchers (especially in the field of social psychology) have
examined how we respond to
manipulations of private and public self-consciousness—for
example, when an audience or cam-
era is used to activate public self-consciousness. Moreover,
research has shown that public set-
tings minimize the distinction between the private and public
self, while concealment (i.e., private
contexts or issues) can enhance distinctions between the two
self-constructs (e.g., Sedlovskaya et
al., 2013).
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In contrast, personality researchers have investigated stable,
individual differences in the direction
of self-consciousness. In fact, the descriptive term private self-
dominant is used to refer to people
who tend to be more self-aware in general (i.e., self-conscious)
and actively engage in self-focused
attention and self-focused goals. Self-disclosure is a common
practice for these individuals. In con-
trast, those who are public self-dominant are less self-
conscious, less focused on their own internal
experiences, and instead focused on social goals. Fenigstein and
colleagues have assessed these
individual differences in self-consciousness and demonstrated
that where attention is focused (pri-
vate vs. public self) determines which characteristics of the self
(private vs. public) are emphasized
or valued most (for an overview, see Fenigstein, 2009). In
connecting the current research back to
self-discrepancy theory, it has been shown that public self-
consciousness is more likely to activate
thoughts related to the public view of the ought self, whereas
private self-consciousness is more
likely to activate the ought self from the individual’s own
perspective (Nasby, 1996).
Individualism Versus Collectivism: A Cultural Perspective
Culture refers to a set of attributes that can be ascribed to a
group, including such things as com-
mon values, beliefs, habits, and customs, all of which influence
the individual (e.g., Tseng, 2003).
Cultural factors are almost exclusively acquired, in that they do
not reflect genetic influences
(though see McCrae, 2004, for an alternative view), and the
acquisition of these cultural patterns
is referred to as enculturation. Importantly, each of us would

likely have developed a different self
had we been raised (enculturated) in a different group.
Researchers have suggested that there
are differences between cultures with
respect to the manifestations of the
private and public self, and these dif-
ferences have broadly been referred
to as individualism and collectivism.
Collectivism essentially involves an
emphasis on the public self, where the
individual is concerned with how their
actions affect other members of their
ingroup, they tend to share resources
with their ingroup, and they subordinate
(or equate) individual goals to collective
goals (Hui & Triandis, 1986). Thus, a sig-
nificant part of their individual identity is
the identity of the group, and over time,
they become highly interdependent with
the ingroup (e.g., Triandis et al., 1986). In
contrast, individualism involves assign-
ing higher priority to personal goals over
those of the collective and striving for
independence from the ingroup. Thus,
the private self is generally more salient in this context (see
also Triandis, Bontempo, Villareal,
Asai, & Lucca, 1988).
Although some aspects of our identity are strongly
influenced and even derived from groups with which we
affiliate, we also develop an identity separate from the
group. In some cultures (collectivistic), the well-being we

derive from our identity may be more closely tied to the
group than others.
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Not surprisingly, various outcomes have been associated with
individualism and collectivism. For
example, collectivism appears to be more important for the
subjective well-being of those living
in China (Cheung & Leung, 2007) and is more commonly
associated with a sense of social obli-
gation (Oyserman, Sakamoto, & Lauffer, 1998). When
individualism and collectivism are studied
worldwide, researchers have suggested that southern Italian
(Banfield, 1958), traditional Greek
(Triandis & Vassiliou, 1972), and rural Chinese cultures (Hsu,
1983) are more likely to be collectiv-
ist, whereas North American and both northern and western
European cultures are more likely
to be individualistic (e.g., Inkeles, 1983; for an overview see
Triandis, 1989; Triandis et al., 1988;
Triandis & Gelfand, 2012).
Despite the noted differences, researchers have also suggested
that individualistic and collectivis-
tic cultures may not vary as much as was initially thought, as
rates of conformity have been found
to be similar between Japan, a culture typically thought to be
collectivistic, and the United States,
a culture typically thought to be individualistic (Takano &
Sogon, 2008). Researchers have also

argued that there are problems with how individualism and
collectivism are defined (e.g., using
national borders; see Fiske, 2002). Moreover, even within
cultural groups, there remains vari-
ability in private and public self-consciousness. For example, it
appears that neuroticism is associ-
ated with a heightening of both public and private self-
consciousness (i.e., self-focused attention;
Scandell, 1998).
Threats to the Self: Terror Management Theory
Recall that existential theory suggests that individuals have the
potential for great inner conflict
because we are aware of ourselves (our very existence), and we
can experience existential fear
due to threats to our existence, as well as a sense of
meaninglessness in our lives. The theoretical
perspective discussed in this section combines the idea of self-
awareness with awareness of our
own mortality, two distinctly human experiences, to generate a
wide-ranging theory on the self.
Ernest Becker (1973) argued that because we both value life and
are aware of our own mortality,
we must constantly engage in activities to deny or avoid
thinking about death and to infuse mean-
ing into our lives. Becker believed that this was the primary
motivator in life and that all of the
trappings of civilization ultimately serve this function. This line
of thinking draws heavily from the
existential theorists.
More recently, researchers have extended Becker’s view (and
existentialism in general), by for-
warding what is known as Terror Management Theory (TMT;
Greenberg, Pyszczynski, & Solomon,

1986; Pyszczynski, Greenberg, Solomon, & Maxfield, 2006;
Solomon, Greenberg, & Pyszczynski,
1991b). TMT is rooted in the conflict that emerges from having
a strong desire to live, but also
having an awareness of our inevitable mortality. Thus, the
“terror” is fear of dying, and the man-
agement refers to the behaviors we engage in to “manage” the
experience of our fear. This conflict
(and mortality awareness in general) is thought to be a uniquely
human phenomenon, and it is
argued that the individual’s behavior, as well as societal
practices, minimize this existential threat
by providing a sense of stability, order, and even meaning to
our lives (Greenberg et al., 1986;
Pyszczynski et al., 2002; Solomon et al., 1991b). In essence, as
we get more involved in our day-
to-day lives and attribute greater significance and meaning to
these activities, we are less likely to
think about our mortality. However, our worldview is not
maintained simply by the existence of
a culture; rather, one must feel as though one is actively
engaged in and contributing to it. TMT
also suggests that our worldview can be easily threatened,
largely because existential threats are
always readily available—in our own minds.
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and Research
An important assumption of TMT is that any threats to either
our worldview or, more directly,
reminders of our mortality (referred to as mortality salience)

will typically result in a reaction
to re-establish the threatened worldview and to respond harshly
to the source of the threat or
reminder. The rationale is that the worldview threat is
essentially an existential threat to our way
of life, and even our existence. In a series of studies,
researchers demonstrated the hypothesized
effects from TMT. For example, in one study, researchers
randomly assigned participants to either
experience a mortality threat (writing about their own deaths) or
a control writing assignment and
then either experience via an outside target a threat to their
political (ideological) views or not.
Participants were then given the opportunity to have something
unpleasant occur to the target
(i.e., determine how much hot sauce the target would have to
consume) (McGregor et al., 1998).
Consistent with TMT, the results indicated that participants
gave the target significantly more hot
sauce to consume when their mortality was made salient and
when the target expressed contrar-
ian political views to the participant’s own views (i.e., when the
target threatened the partici-
pant’s worldview). The researchers also found that the effect
was similar regardless as to whether
participants responded with aggressive behavior or derogatory
statements against the target
(McGregor et al., 1998), as both serve to uphold one’s
worldview. Other research suggests that
following exposure to mortality salience, participants were
more lenient (less punitive) against
offenders when the victim was someone who posed a worldview
threat to them (Lieberman,
Arndt, Personius, & Cook, 2001). These effects appear to be
robust, as they have been reliably rep-
licated in the literature in over one hundred studies (Greenberg,

Solomon, & Pyszczynski, 1997),
and the emergent effects appear unique to the activation of
one’s mortality rather than any other
aversive emotional states (Greenberg, Solomon, & Arndt, 2008).
Researchers and theorists have suggested that TMT can explain
why conflicts are most likely to
occur when groups with disparate ideologies confront one
another. In this context, the other
group’s beliefs and practices are a threat to our own existence,
and assimilating or sometimes
annihilating the other group serves to strengthen our own
worldview (see Berger & Luckman,
1976).
Self-Esteem Buffers Threats to One’s Mortality
In addition to acting harshly against threats to one’s worldview,
it is also possible to strengthen our
worldview by enhancing our sense of self-esteem. Self-esteem
means the value one attributes to
the self, and higher self-esteem is generally thought to be the
more adaptive self-state (see James,
1890). The theoretical link in TMT is that because our culture
should outlive (transcend) our exis-
tence, then living up to the standards of the cultural worldview
and maintenance of the world-
view essentially eases the mortality threat (i.e., although we
may die, what we have invested in—
our culture, our offspring, etc.—will continue to thrive). In this
regard, self-esteem is a “buffer”
against the anxiety that comes from mortality threats
(Pyszczynski, Greenberg, Solomon, Arndt, &
Schimel, 2004). One source of empirical support for this
hypothesis is that self-esteem has been
found to consistently hold an inverse correlation with the

incidence of anxiety (i.e., higher self-
esteem is associated with lower anxiety and higher anxiety is
associated with lower self-esteem;
see Solomon et al., 1991b). Researchers have also shown that
high self-esteem (whether exper-
imentally-induced or naturally occurring) results in one being
less likely to defend against death
vulnerability (Greenberg et al., 1993; see also Hirschberger,
Florian, Mikulincer, Goldenberg, &
Pyszczynski, 2002).
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and Research
To consider how this might apply to real life, assume you hear a
news story about a terrorist
attack in your city. You would likely become quite harsh toward
members of other (outside) eth-
nic groups or anyone who might have a different worldview
(e.g., perhaps even those espousing
different political beliefs), and you may be more likely to
subsequently engage in behavior that
elevates your self-esteem (e.g., engage in a sport you do well,
turn to your work, etc.). The exten-
siveness of the reaction you experience would be affected by
your baseline level of self-esteem
(i.e., there would be a stronger initial reaction for those with
lower self-esteem).
Death Thought Accessibility and Awareness
More recent research has focused on measuring the construct of

death thought accessibility—the
extent to which thoughts about death are available to the
individual—rather than manipulating
thoughts of death (i.e., mortality salience) (Hayes, Schimel,
Arndt, & Faucher, 2010). This subtle
distinction has been important in elaborating the difference
between defenses against conscious
(threat-focused) mortality threats and unconscious (or symbolic)
ones (Pyszczynski, Greenberg, &
Solomon, 1999).
Because thoughts of death are so troubling to the individual,
there will be active attempts to
suppress any such thoughts, either by distraction or by
attempting to attribute less importance
to the issue, thereby resulting in their elimination from
conscious awareness. However, thought
suppression of any kind actually leads to an increase in the
incidence of the thought once active
suppression stops. The process by which these unwanted
thoughts actually increase (i.e., become
hyper-accessible) after attempts to suppress them is known as
ironic processes of mental control,
and this has been discussed extensively in the literature
(Wegner, 1994, 2009). This ironic process
can therefore create what has been referred to as a “temporal
signature” following exposure to
a threat. Specifically, when individuals are prompted with
thoughts of death, this results in the
suppression of those death thoughts initially (through a
worldview defense as discussed earlier),
but then those thoughts become even more accessible in the
unconscious (Greenberg, Pyszczyn-
ski, Solomon, Simon, & Breus, 1994). In support of this
hypothesis, researchers have found that
the most pronounced worldview defense occurred following

subtle death thought exposure (e.g.,
completing a questionnaire near a cemetery), whereas
worldview defense has been shown to be
absent in response to more blatant death thoughts (e.g., after
having you write about your own
death) (Greenberg et al., 1994).
Finally, some research suggests that there are individual
differences in the experience of these
effects. For example, death anxiety can be increased with
mortality salience, but only for those
who do not perceive their lives as meaningful (Routledge &
Juhl, 2010). Similarly, other research
has shown that the mortality salience effect and death thought
accessibility vary as a function
of other individual differences, such as attachment styles, with
anxious-ambivalent individuals
showing a more pronounced effect (Mikulincer & Florian,
2000), and right wing authoritarianism
(Weise, Arciszewski, Verlhiac, Pyszczynski, & Greenberg,
2012).
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CHAPTER 9 9.4 Assessment Strategies for the Self and Related
Constructs
9.4 Assessment Strategies for the Self and Related Constructs
Given the breadth with which the various self-concepts have
been discussed in the litera-ture, it is not surprising that there
have been numerous measures developed to assess the relevant
constructs. A representative sampling of some of the more
commonly employed

measures are reviewed here.
The Q-Sort Methodology
This represents one of the older methodologies for assessing the
self (see Stephenson, 1953),
and the tests based on this approach have been standardized for
use in both children and adults
and applied to a wide range of settings (Block, 1961, 2008). For
example, the California Q-Sort
contains 100 cards, each with a statement that is descriptive of
personality (e.g., “Makes friends
easily”). The Q-Sort method requires the individual to indicate
the extent to which each statement
is self-descriptive on a scale ranging from most to least
characteristic of me. The Q-Sort method
also typically requires the individual to come up with a specific
distribution for the cards, such that
most of the cards are sorted in the middle of the continuum and
the least are sorted at either end.
An analysis of how the cards are sorted then yields a picture of
the individual’s self-concept, and
this is sometimes used to provide one perspective on their
personality.
The Assessment of Possible Selves
Possible selves have been assessed using both open- and closed-
ended strategies (Markus &
Nurius, 1986). The closed-ended approach is more directive and
provides respondents with a list
of possible selves that they must endorse (e.g., checking those
that are relevant) or rate in some
way, such as identifying those that are most attainable or
important. Open-ended assessments of
possible selves begin with a brief definition of the construct and
then require respondents to gen-
erate their own lists of possible selves, along with the strategies

to achieve those possible selves
(see Oyserman & Fryberg, 2006, for an overview).
The advantage of the closed-ended approach is that it provides
greater standardization, though
this is at the cost of constraining the participant to endorse only
the examples that are provided.
The open-ended assessment is more flexible and directly
assesses the actual possible selves of the
individual. However, it requires researchers to content-code the
elicited possible selves (Oyser-
man & Fryberg, 2006).
Assessing Self-Discrepancies
There are a number of different measures available for assessing
self-discrepancies, though the
oldest and most frequently used of the measures is also the
weakest from a psychometric stand-
point. Thus, several alternatives for assessing self-discrepancy
will be reviewed.
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Constructs
The Selves Questionnaire
One of the more frequently used methods for assessing self-
discrepancies involves the Selves
Questionnaire (Higgins, Klein, & Strauman, 1985). The measure
requires respondents to list as
many as 10 attributes/traits and associate each with the actual,
ideal, and ought selves (with each

construct briefly defined). Researchers then compare the lists
(actual-ideal and actual-ought) and
look for matches (exact or synonyms) and mismatches
(antonyms) using Roget’s Thesaurus. The
process is typically done once for the actual self-concept and
once for the ought self-concept.
Discrepancy scores are calculated by subtracting the number of
actual-ideal matches from the
number of actual-ideal mismatches. This process is repeated for
the actual-ought discrepancy
(Higgins et al., 1985).
However, due to significant shortcomings in the psychometric
properties of the Selves Question-
naire (i.e., short-term, test-retest reliability coefficients below
.70) and difficulties discriminating
between the real-ideal and real-ought discrepancies because
they are highly inter-correlated (see
Watson, Bryan, & Thrash, 2010), there has been a push for
alternative approaches, and three of
those are presented below.
The Idiographic Self-Concept Questionnaire-Personal
Constructs (SCO-PC)
This approach is based on Kelly’s theory (1955) of personal
constructs (the Repertory Grid reviewed
in Chapter 6) and similarly assumes that the individual has a
unique perception of the self. The
SCO-PC identifies the respondent’s bipolar constructs as related
to the actual, ideal, and ought
selves (requesting six constructs for each of the three selves).
Discrepancy ratings are then com-
puted for the real-ideal and real-ought selves, with this
instrument yielding good psychometric
features (Watson et al., 2010). Of the three alternatives to the

selves questionnaires, this method
emerged as the most validated and psychometrically sound
(Watson et al., 2010).
The Nonidiographic Self-Concept Questionnaire–Conventional
Constructs (SCQ-CC)
The SCQ-CC uses a series of 28 personality characteristics
originally drawn from the Adjective
Check List and requires respondents to rate the extent to which
each characteristic is true/
accurate of each of the three self-states. Discrepancy scores are
computed by comparing the rat-
ings for the real-self and ideal-self, and this is repeated for the
real-self and ought-self perspec-
tives (Watson et al., 2010). This approach also yields adequate
psychometric properties.
The Content-Free Abstract Measures (AM)
This online approach also measures real-ideal and real-ought
discrepancies using nine pairs of
intersecting squares, though the degree to which they intersect
varies from 0% to 100% in 12.5%
increments. The real self and ideal self are defined just as they
were in the SCQ-PC and SCQ-CC.
Respondents are instructed that one square represents the real
self and one the ideal self, and
they are to select the squares whose overlap corresponds to the
perceived overlap of real and
ideal selves in general. Here discrepancy scores are calculated
by comparing the overlapping areas
in the squares (Watson et al., 2010).
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Constructs
Measuring Self-Actualization
Self-actualization measures are not only theoretically relevant
to the phenomenological perspec-
tive, but also to several of the constructs involved in
contemporary research. Four credible mea-
sures to assess self-actualization have been forwarded in the
literature, and each will be briefly
reviewed.
The Personal Orientation Inventory (POI)
The POI is the oldest of the measures of self-actualization and
is the most frequently used. Devel-
oped by Shostrom (1964), the POI draws heavily on the work of
Maslow and attempts to assess
positive mental health (see also Burwick & Knapp, 1991). The
POI has two factors: It assesses
inner-directedness and the effective use of time. The two factors
of the POI are assessed via
12 subscales, which focus on the existential valuing of life
experiences. Numerous studies have
emerged to demonstrate the validity of this instrument, though
as noted, it is dated (e.g., McClain,
1970).
The Personal Orientation Dimensions (POD)
The POD is a 260-item measure that was based on, and uses a
similar format as, the POI (Shostrom,
1975). The POD has 13 subscales with 20 items per subscale,
and these subscales also overlap with

the POI. One downside of this measure is that the test-retest
reliabilities are modest.
The Self-Report Measure of Actualization Potential (MAP)
This instrument was developed as an alternative to the POI, but
it also focuses on capturing the
successful and functioning individuals. There are two primary
factors reflecting self-reference and
openness to experience, though the 27-item inventory is
represented by a five-factor solution
(Lefrancois, Leclerc, Dube, Hebert, & Gaulin, 1997). The
strength of the MAP is that it yields stron-
ger psychometric values (i.e., higher reliability and validity
figures) relative to its predecessors.
The Short Index of Self-Actualization
This brief, 15-item inventory assesses self-actualization and
was developed as a short form of the
POI (Jones & Crandall, 1986). This short measure has a
reasonably high correlation with the POI
(.67, p , .001), and was shown to correlate with other
theoretically related constructs, such as
self-esteem and some personality measures. The measure was
also able to discriminate between
those nominated as self-actualizers and non-self-actualizers, and
it appears resistant to false pre-
sentations of self-actualization.
Measuring Self-Focused Attention: The Self-Focus Sentence
Completion
Blank (SFSC)
The 30-item SFSC was initially developed to assess
egocentricity but subsequently was validated to
assess self-focused attention (Exner, 1973). Individuals are

instructed to complete an open-ended
sentence stem, and scoring is content-based, emphasizing the
themes of self-focus, external-
world focus, ambivalence, or none of the above.
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Constructs
Several variants of this measure have been employed over the
years, and one of the first ver-
sions was much broader, in that it did not necessarily emphasize
the theme of self-focus (Kuhn &
McPartland, 1954). This version requires the respondent to
complete the sentence “I am. . .” 20
times, and the responses are content analyzed. With respect to
the research on the self, the test
has been used to focus on responses that correspond to the
private, public, or collective self; how-
ever, most responses tend to fall in the category of the
collectivistic and, particularly, the private
self. As an illustration, responses that refer to a social group
(e.g., “I am a Democrat,” or “I am a
Dolphins fan,”) would be put in the collectivistic category. If a
reference is made to others, but not
to a specific group, then the coding scheme would categorize it
as representing the public self. Any
references to personal traits or experiences would reflect the
private self. The scoring (categoriza-
tion) for this measure appears to achieve very high inter-rater
reliability, and research shows that
the percentage in each category and the accessibility of the
responses (e.g., those given first) are

generally theoretically consistent in terms of finding a higher
proportion in the collectivistic cat-
egory in collectivistic cultures (Higgins & King, 1981).
Measuring Self-Consciousness: The Self-Consciousness Scale
(SCS)
Developed by Fenigstein, Scheier, and Buss (1975), the SCS is
a 23-item measure that assesses
individual differences in the tendency to be self-conscious using
two subscales. The private self-
consciousness subscale assesses awareness of the more personal
and covert aspects of the self
(i.e., one’s own thoughts and feelings). In contrast, the public
self-consciousness subscale assesses
the individual’s awareness of the self as a social object (i.e.,
how the person is perceived by oth-
ers). The individual differences in SCS appear to closely
parallel the findings that emerge when
self-awareness is manipulated with a mirror (e.g., Scheier &
Carver, 1977). The measure was later
revised for use with the general population (Scheier & Carver,
1985), as the original measure was
largely validated for use with college students.
Measuring Personal Growth: The Personal Growth Scale (PGIS)
Central to all of the theoretical contributions to the self-
construct is the assumption that the self
can develop or grow over time, and in fact, this was an
intentional goal of some of the therapeutic
models mentioned in this chapter (e.g., Roger’s
phenomenological approach).
The PGIS is a nine-item measure that assesses the extent to
which the individual has experienced
personal growth along both cognitive and behavioral
dimensions. Item responses range from

definitely disagree to definitely agree, and the scale
demonstrates good psychometric properties
(Robitschek, 1998).
A revised version of the scale (PGIS-II) was developed to
address some shortcomings in the origi-
nal instrument, which defined personal growth too narrowly
(i.e., tied to a single context); also,
despite assessing two constructs (cognitive and behavioral), it
was a unidimensional scale (Rob-
itschek et al., 2012). This revised scale includes four subscales
(readiness for change, planfulness,
using resources, and intentional behavior). The four-factor
structure appears to be robust, and
its psychometric properties are sound, as it demonstrates
concurrent and discriminant validity
(Robitschek et al., 2012).
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CHAPTER 9Summary
Summary
Self-theory has a long and rich history within the field of
personality psychology, with some of the earliest contributors,
such as William James, foreshadowing a later emphasis on
multiple selves. James also was among the first to note that
individuals make comparisons between
different aspects of the self and derive meaning and satisfaction
from the outcomes of these com-
parisons. Carl Rogers and Abraham Maslow made significant
contributions to our understanding
of the self by advancing humanistic psychology, which places

the individual (self) as the central
focus (referring to the phenomenal field). While the humanistic
movement emphasized a positive
approach to the individual, even elaborating on the concept of
self-actualization, the existential-
ists focused more on aversive emotional experiences that occur
as a result of our awareness of
our own mortality and freedom to make choices, which can
result in a sense of meaninglessness.
Early research focused on developing experimental paradigms
to establish the presence of the
self-concept, both developmentally in humans and in other
species. The most broadly accepted
approach was to use the mirror in an attempt to elicit self-
directed behavior. The assumption
being that if self-directed behavior occurs, there must be self-
recognition, and self-recognition is
necessary for self-awareness. Self-directed behavior generally
appears in humans near age 2, and
it has been documented in other species (including non-
mammalian species).
Contemporary theories on the self emphasize the concept of
possible selves, suggesting that
these are many and varied, and they motivate behavior (i.e., as
we strive to reach various possible
selves). Self-discrepancy theory suggests that we continuously
consider such self-representations
as the actual self, the ideal self, and the ought self (the self we
think we should be), and any dis-
crepancies between these constructs impact well-being and
other outcomes.
Research also suggests that when thoughts of our own mortality
are activated (i.e., we experience

threats to the self), we experience existential angst and terror,
and we attempt to manage this
terror by investing in cultural practices and attacking those who
express different worldviews. We
also saw that there are interesting differences between the
private and the public self, and there
is also a collectivistic self; the latter construct is more prevalent
or more important in collectivis-
tic cultures (where the goals of the group or at least if not more
important than the goals of the
individual).
Finally, each of the constructs introduced in this chapter has
resulted in assessment tools to access
the various self-concepts, though these instruments vary
considerably in their psychometric
soundness.
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CHAPTER 9Key Terms
Key Terms
actual self According to Rogers (1951) and
Higgins (1987), an individual’s mental represen-
tation of the attributes, accomplishments, and
abilities that he or she perceives him- or herself
to possess.
collectivism A state in which the individual is
concerned with how their actions affect other
members of their ingroup, they tend to share
resources with their ingroup, and they subor-

dinate (or equate) individual goals to collective
goals.
conditions of worth Conditions that must
be met before an individual receives love and
acceptance from another.
creative awareness The stage in which an indi-
vidual is able to see the self beyond its normal
bounds, according to May’s (1953) theory.
death thought accessibility The extent to
which thoughts about death are available to an
individual.
denial In Rogers’ (1951) terms, when an expe-
rience is not accepted and is denied (in order to
preserve the self-concept, which is threatened
by the experience).
distortion In Rogers’ (1951) terms, when an
experience is not accepted and is altered into
something more consistent with an individual’s
self-concept.
enculturation The acquisition of cultural
patterns.
Gestalt A psychological theory and form of
therapy that was brought to America by Fritz
Perls. Refers to the whole being more than the
sum of its parts, and is focused on personal
growth through authentic living.
ideal self According to Rogers (1951) and
Higgins (1987), an individual’s mental depic-

tion of the self that he or she would like to
be; it is often different from the actual self,
but it can emerge when the individual’s actual
experiences and symbolized experiences are
equivalent.
incongruence According to Rogers (1951), this
is an individual’s experience of significant dis-
crepancies between the actual and ideal self.
individualism A focus on personal goals and
independence from the ingroup.
innocence The stage in which an infant first
becomes aware of the self, in May’s (1953)
theory.
material self James’ (1890) definition of the
self that includes all of an individual’s material
possessions and the body.
mortality salience An individual’s awareness of
his or her eventual death.
neurotic anxiety Anxiety that is disproportion-
ate to the threat, inhibits personal growth,
and results in defensiveness, according to May
(1950).
normal anxiety Anxiety that naturally occurs,
is proportionate to a threat, can be man-
aged, and can even lead to creative responses,
according to May (1950).
ordinary awareness The stage in which an
individual experiences free will while also

taking responsibility for choices, according to
May’s (1953) theory.
ought self An individual’s mental representa-
tion of the self that someone (often someone
else) believes the individual should be, accord-
ing to Higgins (1987).
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CHAPTER 9Key Terms
phenomenal field The totality of an individu-
al’s immediate experiences from his or her own
perspective.
possible selves The selves that an individual
identifies that he or she can be, but which are
not occurring at the present time.
powerlessness An individual’s perception that
he or she is unable to act effectively in the face
of life problems.
private self-dominant A term to describe indi-
viduals who are more self-aware and actively
engage in self-focused attention and self-
focused goals.
public self-dominant A term to describe indi-
viduals who are less self-conscious, less focused
on their own internal experiences, and instead
focused on social goals.

rebellion The stage in which a child begins to
establish self-driven behavior that is indepen-
dent of the will of others, according to May’s
(1953) theory.
self According to James (1890), the sum total
of everything referred to as ours, including
our internal mental experiences, our material
possessions, family, ancestors, friends, and the
body. It includes the subjective sense of self
(“I”), and also “me,” which is an objective sense
of self.
self-actualization According to Rogers (1951),
the goal-directed behavior of an individual
toward achieving his or her potential; according
to Maslow (1970), the individual’s capacity and
willingness to reach his or her fullest potential,
including happiness.
self-concept A theory an individual has about
himself or herself.
self-concept clarity (SCC) The structural
components of the self, including the precision
and confidence with which the self-concept is
known and conveyed by the individual.
self-directed behavior Actions that are done
to, or directed toward, oneself.
self-focused attention When the individual
directs awareness toward the self. This can be
experimentally manipulated with such things as
the presence of mirrors or cameras.

self-guides The internal standards that indi-
viduals use for comparison purposes.
social self James’ (1890) idea of the self as
defined by an individual’s interpersonal rela-
tionships; it includes many variations, often
quite different from one another, depending
upon the social situation.
spiritual self James’ (1890) concept of the self
that reflects an individual’s conscience, moral-
ity, and inner will; it guides the material selves
and social selves.
symbolized In Rogers’ (1951) terms, the
process of an individual accepting an experi-
ence by perceiving and cognitively organizing it
(instead of denying or distorting it).
Terror Management Theory (TMT) The theory
that states that humans engage in certain
behaviors to manage the experience of terror
associated with our awareness that we will all
eventually die.
unconditional positive regard When an indi-
vidual feels accepted by another, no matter
what he or she does.
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Fuse/Thinkstock
Learning Objectives
able to:
• Explain trait theory and how it emerged as a
dominant force in personality theory.
• Describe the emergence of the trait approach
to psychology and identify some contribu-
tions of important historical figures, such as
Allport, Cattell, and Eysenck.
• Describe how the taxonomy of traits was
developed based on language and how they
are organized into a hierarchy of factors (e.g.,
using three-, five-, and sixteen-factor models).
• Explain how factors relate to behaviors in a
hierarchy.
• Describe some of the important outcomes that
have been predicted by traits such as neuroti-
cism, extraversion, optimism, and locus of
control.
• Describe the stability of traits over the lifespan
and across cultures and languages.
A Trait Approach to Personality 8

Chapter Outline
Introduction
8.1 Trait Theory in Historical Perspective
• Traits as Building Blocks of Personality
• Hippocrates and Galen: The Ancient Greeks
and Humoral Theory
• Carl Jung’s Introduction of Introversion and
Extraversion
• Gordon Allport and the Analysis of Language
• Raymond Cattell and the Statistical Approach
to Personality
• Eysenck’s Model of Personality
8.2 Convergence on the Big Five
• Openness to New Experience
• Agreeableness
• Conscientiousness
• Big Five in Cultural Context
• Heritability of the Big Five
• The Big Five Over the Lifespan
• Characterize Mischel’s critique of the trait approach and the
field’s response to that critique (i.e., the person-
situation debate).
• Describe the novel approaches to conceptualizing and
assessing traits, such as the act-frequency approach.
• Characterize the complementary contributions of the goal
approach, which examines traits in the context of our lives.
• Describe some of the commonly used measures of traits.

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CHAPTER 8Introduction
8.3 The Person-Situation Debate
• Responses to Mischel’s Critique of Trait
Psychology
• Understanding Situational Strength,
Domain Breadth, and Trait Relevance
• The Role of the Fundamental Attribu-
tion Error
• Summary of Person-Situation Debate
8.4 Supplementing the Big Five With
Complementary Approaches
• Projects, Life Tasks, Concerns, Strivings,
and Goals: An Idiographic Approach
• Act-Frequency Approach
8.5 Assessment Methods From the Trait
Perspective
• The Family of NEO™ Scales
• The Big Five Inventory
• The HEXACO Inventory
• Eysenck’s Personality Questionnaire
• Cattell’s 16 Personality Factor
Questionnaire
• Myers Briggs Type Indicator®

Summary
Introduction
John is presenting a lecture, and as is his custom, he keeps the
students enter-
tained and engaged with his wit, smooth dialogue, and animated
body language.
Given the reaction of the students, this is not a lecture, but an
hour of informative
entertainment. After class, the students are drawn to John
because of his gre-
garious and friendly demeanor during class, but he is nowhere
to be found. John
has a habit of retreating from public after giving a lecture
because he feels both
exhausted and overwhelmed. His favorite place to hide is a stall
in the men’s room;
it affords the best protection from interactions with others.
After 30 minutes or so,
he emerges feeling somewhat recovered.
You see, John’s job requires that he engage in an activity that is
not especially
pleasant for him. John is, in fact, somewhat isolative, but not
shy. John doesn’t
look at a group of people and long for their attention or for
more social inter-
actions. Rather than attend a party or be in large groups, he
prefers to read a book
under a tree or some other solitary, tranquil place. John is what
some people call
a “pseudo-extravert.” That is, he is actually an introvert, but he
engages in extra-
verted behavior in order to meet the demands of his life or
important life goals.

Why is it that some people are hard-wired to enjoy stimulation,
whereas others
appear just as hard-wired to dislike and avoid it? Why are some
individuals prone
to worry? For example, you may know someone who always
worries about their
exam performance, yet they typically set the curve on every
exam. Why do many
people gravitate toward taking (or at least wanting) control over
a situation,
whereas others prefer to give up that control and let others
decide matters?
In this chapter, we will examine what is known as the trait
approach to personal-
ity. We will examine the theorists who initiated the movement,
some of the more
interesting research findings on traits, the challenges to trait
theory, and the
field’s responses.
Lec81110_08_c08_225-252.indd 226 5/21/15 12:40 PM
CHAPTER 8 8.1 Trait Theory in Historical Perspective
Over 2,000 years after the descriptive terms were
introduced, we still use the term “choleric” to refer
to an easily angered child.
8.1 Trait Theory in Historical Perspective

Trait theory is a popular approach for studying personality; it is
closely tied to the everyday concept of personality that many
people hold because traits are commonly employed in everyday
language and are widely understood. We will begin by defining
the concept of
traits and identify some of the earliest contributors to the trait
approach to personality, including
Hippocrates, Galen, Carl Jung, Gordon Allport, Raymond
Cattell, and Hans Eysenck.
Traits as Building Blocks of Personality
At its most fundamental level, a trait is a unit of analysis to
describe, predict, and explain human
thought, affect, and behavior. From a distance, it appears as
though there are a great many terms
(traits) that are used to characterize human activity, but
extensive research suggests that these
traits can be organized into coherent and meaningful patterns
and even enveloped by a smaller
number of broad trait categories, thereby simplifying the trait
approach.
Hippocrates and Galen: The Ancient Greeks and Humoral
Theory
The earliest documented work on humoral theory dates back to
ancient Greece—and the belief
that the body was compromised of four basic fluids and the
balance of these fluids could deter-
mine behavioral and emotional tendencies (and disease
susceptibility). Based originally on
early writings in medicine by Hippocrates and later expanded by
Galen (On the Temperaments),
humoral theory focuses on blood, phlegm, black bile, and
yellow bile; these are the four basic
fluids (humors) that were thought to be within the human body.

According to the theory, the four humors
have to be in balance to achieve and
maintain health, and this likewise pre-
dicted imbalances in emotion and
behavior. An ideal temperament was
associated with a balance of the four
humors. Excessive blood (sanguine) was
associated with a cheerful disposition,
excessive black bile (melancholic) was
associated with a sad disposition, exces-
sive yellow bile (choleric) was character-
ized as irritable, and too much phlegm
(phlegmatic) meant an unemotional
temperament.
Although contemporary personality
researchers do not relate the humors
to character, the descriptive terms are
still employed. For example, an irritable
infant is still referred to as choleric, and
the term melancholy still applies to sadness. Moreover, as we
shall see when reviewing the work
of Eysenck, the basic terminology for characterizing all human
behavior has been somewhat con-
sistent for more than 2,000 years, suggesting that there may be a
core set of personality traits
Lec81110_08_c08_225-252.indd 227 5/21/15 12:40 PM
expressed by humans that have been stable throughout much of
modern history. Moreover,

humoral theory also established the framework for connecting
traits to biological functioning,
and this tradition also continues today (see especially Eysenck’s
work on extraversion and research
on heritability coefficients for personality).
Carl Jung’s Introduction of Introversion and Extraversion
Carl Jung was first and foremost a central contributor to
psychodynamic theory. However, he was
also one of the first to popularize the terms introversion and
extraversion, and these remain two
of the most popular and widely recognized trait terms. Jung
described the outward manifestation
of behavior in very similar ways to modern-day psychologists.
For example, extraversion meant
someone who is interested in other people and things and is
focused on them, whereas introver-
sion meant being withdrawn and focusing on the subjective
experience of the world. Although
Jung did not develop a formal measure of introversion-
extraversion, researchers subsequently
developed a measure that was based on Jung’s typology, called
the Myers Briggs Type Indicator®
(MBTI®) (see Chapter 1).
Gordon Allport and the Analysis of Language
One of the more enduring early contributions in trait
psychology was the method of studying
language as the very basis of traits. Gordon W. Allport is often
considered the first trait psycholo-
gist, and he was interested in classification. Allport adopted
traits as his basic unit of analysis. He
believed that traits are closely tied to the nervous system, and
that they account for behavioral
consistency across time and situations (Allport & Allport,
1921). Allport believed that a trait would

predict which behavior would manifest with high frequency,
with intensity, and over a wide range
of situations (see also Allport, 1937).
Beginning an important tradition, Allport used Webster’s New
International Dictionary and culled
almost 18,000 words, each of which described some aspect of
human behavior (Allport & Odbert,
1936). In adopting this methodology, Allport made the
assumption that any descriptive character-
istics that are important will become part of our language and
that language will evolve such that
single words will emerge to capture those important constructs.
Thus, Allport’s theory is based
on the associated meanings of words, as he thought these
meanings transcend the word itself
and instead speak to human nature. This approach of studying
language to understand person-
ality was referred to a lexical analysis, and the underlying
theory was referred to as the lexical
hypothesis (see also John, Angleitner, & Ostendorf, 1988). The
general thesis of this work is that
by understanding how different adjectives that are used to
describe human behavior are related
to each other, one can then understand at least two basic
questions: What is the minimum num-
ber of different personality traits or factors needed to capture
all of the adjectives, and what are
the best labels for these traits or factors? A third question that
often arises focuses on how the
different traits/factors relate to each other (i.e., are they
independent or correlated?).
Cardinal, Central, and Secondary Traits
Allport believed that traits are the characteristic manner in

which we respond to stimuli in our
environment. Some traits are prominent, and they dominate
personality. Others are minor and
Lec81110_08_c08_225-252.indd 228 5/21/15 12:40 PM
are less obvious to others. The way our traits are patterned
reflects our unique personality struc-
ture and determines our behavior.
To reflect these different types of traits, Allport established a
hierarchical structure to reflect the
variability in the prominence of different traits in different
individuals (Allport, 1937). Allport
referred to cardinal traits as those that are so pervasive and
enduring that they manifest in virtu-
ally every aspect of an individual’s life and serve as primary
motivators of action. Later in this chap-
ter we will discuss the big five factors, and some of these (e.g.,
extraversion, neuroticism, etc.) can
be examples of cardinal traits. Interestingly, an abundance of
such cardinal traits can be seen as
quite problematic, and, in fact, such persistence of behavior
independent of the situation is often
the hallmark of personality disorders. Central traits were
defined as less pervasive than cardinal
traits, but still manifesting in a limited range of situations.
Central traits were thought to be more
commonly observed in everyone. Finally, secondary traits were
considered the least durable
over time and across situations,

and the combination of second-
ary traits is what contributes
most to the individual’s unique-
ness. Researchers would later
debate the stability of personal-
ity over situations (the person-
situation debate discussed in
this chapter), but Allport already
had an answer for this issue—
suggesting that not all traits
are equally generalizable across
situations.
Raymond Cattell and the Statistical Approach to Personality
Despite the significant advance that came from Allport’s
analysis of language, a major shortcom-
ing remained. Given the large number of traits that had been
identified (over 4,000), the problem
was determining how to best organize those terms. Although
early contributions were made by
Thurstone’s factor theory (1938), it was Raymond Cattell who
emerged as one of the primary
researchers of an organizational framework for personality. He
applied powerful statistical proce-
dures to the taxonomy of traits in an attempt to find an
underlying structure.
Most of Cattell’s contributions occurred in the 1940s and 1950s,
as he reduced Allport’s 18,000
descriptive terms to a smaller number of clusters, which in turn,
were reduced to a smaller num-
ber of factors (e.g., Cattell, 1943, 1945, 1957). To understand
Cattell’s theory, it is critical to have a
clear understanding of the nature of a factor.
Cattell studied under Charles Spearman, who was developing

the technique of factor analysis
in order to better understand the basic structure of human
abilities. The basic premise involved
examining ratings of items to determine whether ratings for one
item (e.g., if I rated myself as out-
going) or set of items are associated with ratings on another
item (e.g., if I rated myself as friendly)
or set of items. When several items appear to be rated in similar
ways by many people, then
they are likely to reflect an underlying factor (e.g., the factor of
agreeableness for the above two
items). Thus, in essence, factors are super-traits that stand
toward the top of the organizational
structure and can define a large number of other traits. As we
will see later, there has been con-
siderable debate as to how many factors underlie all traits, with
estimates ranging from as many
In this classic 1927 paper, “Concepts of Trait and Personal-
ity,” Allport introduces his conceptualization of traits as a
“statistical” unit of analysis and highlights their central role
in the study of personality. Read the paper at http://psych
classics.yorku.ca/Allport/concepts.htm.
Reference: Allport, G. W. (1927). Concepts of trait and per-
sonality. Psychological Bulletin, 24, 284–293.
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http://psychclassics.yorku.ca/Allport/concepts.htm
http://psychclassics.yorku.ca/Allport/concepts.htm

as 16 to as few as 2. Cattell also believed that the various traits
were hierarchically organized, and
he referred to source traits as the underlying psychological
factors (e.g., see top level of Figure
8.2) and surface traits as those that are subsumed by the
different factors and are most directly
translatable to behaviors (e.g., see second level from the top in
Figure 8.2).
This statistical approach to identifying the underlying factor
structure of personality was seen as
an advantage over organizational techniques that were more
theory-driven (as was the case with
the early contributors to the interpersonal circumplex, discussed
in Chapter 7). Of course, the
statistical reduction of the data was not atheoretical, as
numerous assumptions would have to be
made that would affect the number of factors that would be
extracted—and even the degree to
which the factors would be related to one another.
Understanding Factor Analysis
Suppose you were to tell me about a television show that you
watch. Let’s use a well-known exam-
ple such as American Idol. If you were to summarize in bullet
points the primary theme or themes
of American Idol, what would you say? Perhaps it might be
characterized as a singing competition,
with the winner getting a record deal. Perhaps it might be
described as a show that highlights
human triumph and failure. The emphasis could also be on the
fact that it is a reality show or that
the audience is involved by voting for and, ultimately, selecting
the winners. The bottom line is

that one could generate a number of basic themes to describe
the show, and some themes may
overlap, while some may be quite distinct. These themes would
be considered a summary of the
show, and they provide some organization to all of the data
points describing the show.
In the same way, factor analysis starts with a large amount of
directly measurable data and then
reduces it down to a smaller number of unobserved units called
(latent) factors, which are con-
structed by grouping/organizing the items. The goal is to get to
the fewest number of latent factors
that capture the largest amount of the observable data. Factor
analysis groups items by identifying
items that are statistically (quantitatively) related, whereas in
the above example, the groupings
were thematically (qualitatively) related. Factors emerge when
the item-level data are related to
each other.
Two questions are often addressed using factor analysis:
1. What is the smallest number of factors needed to capture the
majority of data?
2. If there are multiple factors (more than one), how are those
factors related to each other?
Both of these questions were at
the forefront of Cattell’s work
(and were noted in the discus-
sion of lexical analysis) and have
continued as a source of discus-
sion (e.g., Goldberg, 1993) and
debate (see Borkenau & Osten-
dorf, 1990; Church & Burke,

1994; Vassend & Skrondal, 1997;
cf. Marsh et al., 2010).
In this important text, L. L. Thurstone writes about the use
of factor analysis in finding underlying factors in personality
and ability testing. Read “The Vectors of the Mind” (1934)
at http://psychclassics.yorku.ca/Thurstone/.
Reference: Thurstone, L. L. (1934). The vectors of the mind.
Psychological Review, 41, 1–32.
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http://psychclassics.yorku.ca/Thurstone/
Multitrait-Multimethod Assessments
Cattell believed that in order to thoroughly test the trait model,
it was necessary to sample not
only a wide range of traits, but also to collect data using
different methodologies. Accordingly, he
specified three sources of data that should be sampled:
1. Questionnaire data (Q-data), which takes the form of the
traditional self-report invento-
ries commonly used in psychology.
2. Life data (L-data), involving data culled from naturalistic
settings. This can take the form
of observations of behavior in the real world, or even objective
information, such as

number of divorces, arrests, or college degrees earned, to name
a few.
3. Experimental data (T-data) involves data that is collected
from standardized experiments.
This represents the most objective and standardized data, and
because the experimenter
manipulates one of the variables of interest using random
assignment, it is the only
method to allow for causal conclusions.
Finding 16 Personality Factors
By factor analyzing data using each of these methodologies,
Cattell argued that the weaknesses
of one methodology are offset by the strengths of the other
methodologies, thereby providing a
more comprehensive picture of the individual’s personality.
Cattell began his analysis by paring Allport’s characteristics
down to 171; he removed what he
considered to be either redundant or rarely used terms. He then
conducted numerous factor ana-
lytic studies on trait assessments from each of the three
methods, spanning a period of several
decades, and concluded that there are 16 fundamental traits (or
factors) that can be organized
into a hierarchical framework and cover all human trait
descriptors (Cattell, 1943):
1. Abstractedness
2. Apprehension
3. Dominance
4. Emotional stability
5. Liveliness
6. Openness to change

7. Perfectionism
8. Privateness
9. Reasoning
10. Rule consciousness
11. Self-reliance
12. Sensitivity
13. Social boldness
14. Tension
15. Vigilance
16. Warmth
Research also suggests that the 16 personality factors (PFs) can
be captured in other cultures and
languages as well (Prieto, Gouveia, & Fernandez, 1996;
Schneewind & Graf, 1998), providing fur-
ther evidence of their robustness. Cattell also suggested that
these 16 personality factors apply
throughout the lifespan, and accordingly, he developed the 16
Personality Factor Questionnaire
(16PF®) measures for children, adolescents, and adults.
Because these are considered fundamental factors of
personality, Cattell argued that everyone
can be characterized by some combinations of these factors.
Although Cattell published a number
of papers on this topic, other researchers who followed
suggested that traits could be reduced
even further. Researchers have focused on a smaller number of
traits, and these models have
garnered more support and use in the field. One of those models
was forwarded by Hans Eysenck.
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Eysenck’s Model of Personality
Hans J. Eysenck was one of the most controversial and prolific
researchers of the 20th century.
Eysenck made significant contributions to a number of areas,
but none more so than the area of
personality psychology. Arguably one of his most lasting
legacies was the founding of the journal
Personality and Individual Differences, which was and
continues to be the official journal of the
Society for the Study of Individual Differences.
Emerging from the biological perspective, Eysenck believed
that basic biological/genetic mecha-
nisms underlie all human traits (see Chapter 4). From the late
1940s to the early 1950s, Eysenck
studied monozygotic and dizygotic twins, concluding that
neuroticism has a strong genetic com-
ponent (Eysenck & Prell, 1951). Personality, explained
Eysenck, is the sum of cognition, character,
affect, and somatic components. He believed that the study of
personality should be concerned
with discovering the general laws of the group (nomothetic
approach) as opposed to studying the
individual (idiographic approach), as was the emphasis in
psychoanalysis. In his research, Eysenck,
like Cattell, favored the statistical techniques of factor analysis,
which allows the researcher to
reduce many variables to their essential factors. However,
unlike Cattell, Eysenck arrived at a more
economical model: a three-factor solution. Eysenck also
differed from Cattell in that he examined
traits as dichotomies (e.g., emotionally stable vs. unstable,
introverted vs. extraverted, etc.).

A Three-Factor
Solution
Using factor analysis and basing his model on the four humors
described by the ancient Greeks,
Eysenck rearranged the four humors on a continuum describable
in terms of two personality
dimensions: introverted-extroverted and unstable-stable. He
placed the first dimension on a hori-
zontal axis and the second on an intersecting vertical axis (see
Figure 8.1). Eysenck believed that
these two factors subsumed the primary descriptive features of
normal human functioning and
were the essence of personality (Eysenck, 1947). As per Figure
8.1, the term melancholic refers
to someone high in neuroticism (N) but low in extraversion (E).
The choleric person is high in N
and high in E. The sanguine type was characterized as low in N
and high in E, and the phlegmatic
person was low on both. In subsequent years, Eysenck (Eysenck
& Eysenck, 1985) added a third

dimension, psychoticism (meaning recklessness, inappropriate
emotional expression, hostility,
disregard for common sense, and poor contact with reality),
which he believed, along with the
first two factors, was most relevant to the characterization of
abnormal manifestations of per-
sonality. Importantly, Eysenck believed that these three factors
were statistically independent of
each other, meaning that a score on one factor was unrelated to
a score on another factor. For
that reason, each factor is depicted at a 90-degree angle of the
other factors. Thus, psychoticism/
reality contact would be depicted in a three-dimensional image
(i.e., the two-dimensional image
in Figure 8.1 shows low psychoticism, but variability on N and
E). Much of Eysenck’s subsequent
research was directed toward understanding the relationship
between behavior and his personal-
ity factor model.
Lec81110_08_c08_225-252.indd 232 5/21/15 12:40 PM

Figure 8.1: The “big two” factors and their relation to the four
humors
Theorists have suggested that the basic personality trait terms
used to characterize human behavior
have not changed dramatically in over 2,000 years. The figure
depicts how the four humors map on to
two of the big five factors.
Source: From Eysenck, H.M. and Eysenck, M.W., Personality
and Individual Difference: A Natural Scientific Approach,
Plenum Publishing, 1985. Reprinted with
kind permission from Springer Science + Business Media.
Connecting the Three Factors to Behavior
Eysenck not only developed a model to capture the breadth of
personality functioning, but he also
offered a hierarchy to explain the depth of these constructs.
Eysenck clearly aligned himself with
some of the basic tenets of behaviorists, and not surprisingly,
when he developed a hierarchical
model, he explicitly linked personality to behavior. At the top
of the hierarchy are the factors; in

the diagram in Figure 8.2, the factor of extraversion is depicted.
The next level down shows the
traits that are included in extraversion; in this diagram,
sociability and liveliness are depicted (for a
more complete list, see the traits highlighted in yellow and red
in Figure 8.1). The third level down
depicts habitual behavior; in this instance, regularly talking and
smiling. At the lowest level, we
find individual instances of behavior (i.e., one specific time
when the person spoke to someone).
In this way, Eysenck depicts how individual behaviors—ones
that are habitually evidenced, are
related to each other, and occur in clusters with other traits—
define the factors. Eysenck believed
that the highest levels of this model represent the most static
components that are difficult to
change. The lower levels of the hierarchy are those that are
most easily changed and, if the change
is consistent and broad enough, it can result in changes in
personality functioning.
Emotionally
Unstable (Neurotic)
Leadership

Emotionally
Unstable (Neurotic)
Emotionally
Stable
Emotionally
Stable
ExtravertedExtravertedIntrovertedIntroverted
Melancholic Choleric
SanguinePhlegmatic
Sociable
Outgoing
Talkative
Responsive
Easygoing
Lively

Carefree
Quiet
Moody
Anxious
Rigid
Sober
Pessimistic
Reserved
Unsociable
Calm
Passive
Careful
Thoughtful
Peaceful
Controlled

Reliable
Even-tempered
Active
Touchy
Restless
Aggressive
Excitable
Changeable
Impulsive
Optimistic
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Figure 8.2: Depicting the hierarchical structure of extraversion

The top of the hierarchy reflects the factors that are
considerably less amenable to change. At
the lowest level are the basic behaviors that are very amenable
to change. Consistent behavioral
enactments that occur in thematic clusters reflect the
corresponding traits and factors.
In a similar vein, Eysenck defined the hierarchical structures for
both neuroticism and psychoti-
cism, indicating the specific behaviors, habits, and traits that
lead to the factors that comprise
them (see Eysenck, 1990).
Connecting the Three Factors to Biology
Eysenck believed that the factors were, in fact, driven by
underlying biological mechanisms,
thereby providing some rationale for why the factors are stable
over time. Although this area was
discussed in Chapter 4, the emphasis here will be on the
behavioral tendencies and practices that
are associated with extroversion, neuroticism, and psychoticism.
Extroversion-Introversion

Eysenck’s (1994) most extensive research focused on the
biological mechanisms underlying extra-
version. Eysenck believed that it was the brain’s need for
stimulation that resulted in different
patterns of behavior for introverts and extraverts, and he
highlighted the Reticular Activating
System (RAS), which regulates arousal in the cortex, as the
specific part of the brain that would
most readily demonstrate these differences. Eysenck
hypothesized that extraverts are chronically
understimulated, and they would therefore engage in behavior to
stimulate their brains. In con-
trast, he believed that introverts were chronically
overstimulated, and they would therefore avoid
stimulation.
Sociability
Regularly
smiles
Regularly
talks
Liveliness

Regularly
active
Talked to
stranger on
the bus
Individual
Behavior:
Habit:
Trait:
Factor:
Spoke to
Mary
yesterday
Extraversion

Lec81110_08_c08_225-252.indd 234 5/21/15 12:40 PM
Eysenck’s original theoretical model proved to be close, but not
quite accurate, and he subse-
quently suggested that arousability (rather than baseline
arousal) might be the more central dis-
tinguishing feature (Eysenck, 1994). Indeed, the research
literature suggests that in the absence
of stimulation, there may be few if any differences between
introverts and extraverts at baseline
(Revelle, Humphreys, Simon, & Gilliland, 1980; for a review,
see Matthews & Gilliland, 1999). For
example, in one study, researchers had participants imagine
being in a positive and a neutral situa-
tion, and then they rated the moods of the participants. Those
identified as extraverts using a stan-
dardized measure rated their mood as more positive relative to
introverts in the positive situation,
but the introverts and extraverts did not differ in the neutral
condition (Larsen & Ketelaar, 1991).
Although the effects appear small, the literature does suggest

that there are differences between
introverts and extraverts in their potential for, or responsiveness
to, arousal (i.e., arousability; see
Bullock & Gilliland, 1993). For example, introverts work better
when exposed to less background
noise (Geen, 1984), and extraverted students are more likely to
study in environments with more
opportunities for stimulation (Campbell & Hawley, 1982).
Similarly, extraverts performed better
than introverts on a GRE-type test when stimulated with
caffeine (Revelle, Amaral, & Turri, 1976;
see also Eysenck, 1994). Interestingly, research has also
provided a plausible biochemical expla-
nation that connects extraversion and the sensory modulation to
explain differences in how the
external world is experienced (Rammsayer & Stahl, 2004; Stahl
& Rammsayer, 2008). However, a
recent study using advanced statistical procedures (structural
equations modeling) refuted many
of the findings (at least those based on EEG technology);
suggesting that external factors have
only minimal impact on EEG readings and are not significantly
related to extraversion (Hagemann
& Naumann, 2009). Thus, the findings in the literature remain
somewhat mixed.

Neuroticism
Recall that neuroticism is essentially emotional instability, and
neurotic individuals have been
characterized as having nervous, negative, anxious, and self-
pitying qualities (McCrae & John,
1992). Those scoring in the clinical range on neuroticism are
also more likely to apply negative
interpretations to ambiguous stimuli. For example, when
selecting from pairs of homophones,
highly neurotic individuals are more likely to choose the
aversive option (e.g., “die” s. “dye”) as
compared to their less-neurotic peers (Eysenck, MacLeod, &
Matthews, 1987).
Eysenck (1967, 1990) hypothesized that neurotic individuals
would show greater responsiveness
in the limbic system relative to those who are more emotionally
stable. Research findings on neu-
roticism indicate that those who score high on neuroticism are
more likely to exhibit excitation
of the autonomic nervous system, display behavior that is not as
readily apparent in others, and
have higher drive than normal (for a summary, see Eysenck,

1994). Eysenck (1967) has also sug-
gested that variability in the responsiveness of the limbic
system is most apparent in emotional
situations, resulting in the individual responding neurotically to
stress. However, recent empirical
tests of Eysenck’s hypothesis have been less favorable (e.g.,
Beattie & Corr, 2010).
Neuroticism has also been consistently associated with aversive
emotional outcomes, such as
the incidence of psychiatric diagnoses (Malouff et al., 2005;
Saulsman & Page, 2004) and physical
health problems and higher rates of mortality (Lahey, 2008).
Even measures of skin conductance
(Norris, Larsen, & Cacioppo, 2007) and fMRIs (Canli et al.,
2004) show greater responsiveness in
those high on neuroticism.
Lec81110_08_c08_225-252.indd 235 5/21/15 12:40 PM
Years of empirical investigation have led researchers to

conclude that there are implications for
neuroticism in terms of behaviors in school and work-related
settings. For example, neuroticism
has been associated with poor time management, as neurotic
individuals appear to have poorer
study habits (Bond & Feather, 1988) and less adaptability in
academic settings (Martin, Neiad,
Colmar, & Liem, 2013), as well as a higher incidence of
negative life events while transitioning
through the university setting (Lüdtke, Roberts, Trautwein, &
Nagy, 2011). Researchers studying
work-related behaviors and attitudes in over 400 employees in
different work settings found that
neuroticism was inversely related to presenteeism, and resulted
in lower productivity (Smillie,
Yeo, Furnham, & Jackson, 2006). Neuroticism is also associated
with poorer academic perfor-
mance (e.g., Chamorro-Premuzic & Furnham, 2008; O’Connor
& Paunonen, 2007), though the
association may be modest (McAbee & Oswald, 2013).
Because neurotic behavior has important clinical implications,
Eysenck also wrote about methods
for changing the behaviors associated with neuroticism. Even
though neuroticism and the other

personality factors were considered to be greatly affected by
genetics (e.g., Pedersen, Plomin,
McClearn, & Friberg, 1988) and shown to be stable (Costa &
McCrae, 1990), Eysenck still believed
that the traits could be modified through therapy. Specifically,
Eysenck (1947, 1953, 1960a)
believed that neurotic patterns are learned and that it is possible
to uncondition them (i.e., either
through counter-conditioning or extinction; see Chapter 5). He
made extensive use of learning
theory in his quest to understand and predict human personality
dynamics. He thought that per-
sonality could be restructured according to the same learning
principles on which it was based.
Psychoticism
As noted, Eysenck thought psychoticism was the factor most
relevant for distinguishing between
normal and non-normal manifestations of personality. It
involves acting impulsively and with
aggression and is related to contact with reality. Those scoring
high on psychoticism are charac-
terized as being cold, unemotional, antisocial, paranoid, and
lacking in both empathy and insight

(Eysenck & Eysenck, 1976). Eysenck hypothesized that
psychoticism lies on a continuum, with
low psychoticism defining normal functioning, antisocial
behavior defining intermediate psychoti-
cism, and susceptibility to psychosis (e.g., schizophrenia)
defining extreme psychosis (Eysenck &
Eysenck, 1976, p. 203). Thus, Eysenck believed that these
diagnoses differed only in the degree
to which they vary along the factor of psychoticism, rather than
assuming that they were dis-
tinct entities. Moreover, research suggests that psychoticism has
a significant genetic component
(Eaves, Eysenck, & Martin, 1989; Gattaz, 1981; Lester, 1989);
though the magnitude of the genetic
contribution may vary depending on the specific items used
from the psychoticism scale of the
Eysenck Personality Questionnaire (Heath & Martin, 1990).
Summary of Eysenck’s Work
Overall, it appears that the data are mixed with respect to
supporting Eysenck’s views on per-
sonality. Eysenck presented a strong challenge to the field of
psychotherapy and became a very
controversial figure. For one thing, his review of the research

led him to the conclusion that cur-
rent methods of psychotherapy were ineffective—a conclusion
that motivated the psychotherapy
research movement to prove him wrong. His writings also
seemed to support the belief that intel-
ligence is largely inherited—a fact that led to his being accused
of being a racist (Buchanan, 2010).
Lec81110_08_c08_225-252.indd 236 5/21/15 12:40 PM
CHAPTER 8 8.2 Convergence on the Big Five
8.2 Convergence on the Big Five
More recently, personality researchers have converged on a
small set of personality factors that appear to be recoverable
from a wide range of sources, including other measures that
purport to assess a larger number of factors (e.g., 16PF®,
MBTI®, etc.; Cattell, Cattell,
& Cattell, 1993; Noller, Law, & Comrey, 1987).
Collectively known as the Big Five (or Five Factor Model), this
model represents a descriptive

taxonomy of personality traits. Like previous factorial models,
the Big Five provides a simplified
framework for understanding personality and for describing
situational and temporal consistency
(John, Naumann, & Soto, 2008). The Big Five consists of five
factors or traits, usually labeled as
extraversion, agreeableness, conscientiousness, neuroticism (or
its reverse, emotional stability),
and openness to experience (or intellectance; Digman, 1990).
Extraversion and neuroticism have
already been discussed earlier in this chapter, leaving the
remaining three factors to be discussed
in the subsequent sections. These big five factors have been
studied in a wide range of research
and applied contexts, and as was the case with earlier reviewed
research, the Big Five have been
shown to relate to academic accomplishments (e.g., O’Connor &
Paunonen, 2007; Poropat, 2009;
Richardson, Abraham, & Bond, 2012; Trapmann, Hell, Hirn, &
Schuler, 2007) as well as work-related
outcomes and performance (e.g., Barrick & Mount, 1991; Tett,
Jackson, & Rothstein, 1991).
Openness to New Experience
Openness to new experience involves

traits such as a sensitivity for aesthetics,
imaginativeness, preference for variety,
and intellectual curiosity. This is often
considered the personality version of
creativity and thus is related to play-
fulness and a high tolerance for uncer-
tainty (Costa & McCrae, 1992b, 2009).
Research also suggests that openness
is related to sexual behaviors and atti-
tudes, as open individuals tend to have
more liberal views about sex, have more
sexual partners, a wider range of sexual
experiences (McCrae, 1994), and greater
satisfaction in their sex lives, at least for
women (McCrae & Sutin, 2009). Thus,
individuals scoring low on this factor are
characterized as more traditional, con-
ventional, dogmatic, and authoritarian
in their thinking and attitudes (Butler,
2000). Those scoring low are also more conservative in their
political views, less tolerant of diver-
sity, and even more prejudicial in their attitudes (e.g., Sibley &
Duckitt, 2000). Unlike some of the
other big five factors, openness to new experience is not
significantly related to mental health

(Malouff, Thorsteinsson, & Schutte, 2005) or quality of life
measures (Steel, Schmidt, & Schultz,
2008). Thus, despite clear differences in how people experience
the world, in the end, these dif-
ferences do not lead to appreciable differences in psychological
well-being.
Pinnacle Pictures/Photodisc/Thinkstock
Openness to new experience reflects a personality
trait whereby individuals are not only interested in but
actually enjoy trying novel and diverse experiences.
Lec81110_08_c08_225-252.indd 237 5/21/15 12:40 PM
Agreeableness
The agreeableness factor primarily involves the trait of
friendliness and captures the extent to
which one is accommodating. Agreeableness involves traits
such as trust, altruism, and modesty.
In order to minimize conflict with others, agreeable individuals

tend to conform with others, and
they are more likely to compromise their beliefs and attitudes.
In contrast, those scoring low on
this factor show less empathy for others, and they are skeptical,
suspicious, rude, and unfriendly
(e.g., Costa & McCrae, 1991; Graziano & Eisenberg, 1997).
Given the nature of agreeableness, it holds the biggest
implications for interpersonal relation-
ships. For example, agreeable individuals are more likely to
engage in prosocial (helping) behavior
across a variety of situations, and even in the absence of
external motives for helping—sometimes
referred to as altruistic behavior (Graziano, Habashi, Sheese, &
Tobin, 2007; Penner, Fritzsche,
Craiger, & Freifeld, 1995). One reason agreeable individuals are
interpersonally effective is that
they appear to be prone to respond emotionally to the needs of
others by detecting the emotional
needs of others (Tobin, Graziano, Vanman, & Tassinary, 2000).
In addition to manifesting favorable behaviors, emotions, and
attitudes, agreeable individuals also
minimize the expression of negative reactions and behaviors.
Thus, agreeableness is associated

with cooperativeness, whereas low agreeableness is associated
with competitiveness and conflict
(Graziano, Jensen-Campbell, & Hair, 1996; Jensen-Campbell &
Graziano, 2001). Some researchers
have concluded that agreeable individuals value the
relationships over other outcomes (Graziano
et al., 1996). Not surprisingly, those low on agreeableness are
characterized as hostile and aggres-
sive, and these individuals are more likely to experience
problems with mental health (Costa &
McCrae, 1992b, 2008).
Despite the consistency of the Big Five, the one factor that may
be inadequate is agreeableness.
For example, researchers have suggested and found
corroborative evidence for the fact that traits
such as honesty and humility are not adequately captured by the
agreeableness factor and merit
consideration as an independent (sixth) factor (e.g., Ashton et
al., 2004; Ashton, Lee, & Son, 2000).
Moreover, it also appears to be the case that the Big Five fail to
adequately capture traits such as
narcissism and psychopathy (i.e., these are more than simply
low agreeableness). Thus, the single
factor of agreeableness may be insufficient to capture this

variability.
Conscientiousness
Conscientiousness captures traits such as diligence,
organization, punctuality, scrupulousness,
self-discipline, thoroughness, deliberation, and need for
achievement (Costa & McCrae, 1991). It
also includes such traits as perceived self-efficacy, rule
consciousness, and internal locus of control
(DeNeve & Cooper, 1998). Of the big five factors,
conscientiousness is the one most closely tied
to favorable outcomes in a number of domains. For example,
conscientious individuals are more
likely to be successful in school and in work settings relative to
their less conscientious peers (Hig-
gins, Peterson, Lee, & Pihl, 2007). This effect is driven largely
by the fact that conscientiousness
predicts hard work and effort in a variety of settings. That is,
the predictive validity of conscien-
tiousness is not setting or job-specific.
Lec81110_08_c08_225-252.indd 238 5/21/15 12:40 PM

Conscientiousness is also a positive predictor for physical and
mental health. Specifically, highly
conscientious individuals engage in more proactive health
behavior (Roberts, Jackson, Favard,
Edmonds, & Meints, 2009) and have a longer lifespan. In fact,
over 20 published studies have doc-
umented the association between conscientiousness and
longevity (Kern & Friedman, 2008). In a
recent study that attempted to establish a clear connection
between the two variables, research-
ers prospectively studied over 700 individuals for a period of 40
years, ranging from childhood to
adulthood (Hampson, Edmonds, Goldberg, Dubanoski, &
Hillier, 2013). After measuring conscien-
tiousness in childhood (mean age 10), researchers tracked the
participants, who then had com-
prehensive medical exams in adulthood (mean age 51).
Childhood conscientiousness was shown
to predict objective measures of adult health, such as fasting
blood sugar, body mass index, blood
pressure, and the like (Hampson et al., 2013; see also Friedman,
Kern, Hampson, & Duckworth,
2012).

Conscientiousness has also been related to measures of well-
being and life satisfaction (Steel,
Schmidt, & Shultz, 2008), and this factor predicts success in
relationships as well, with conscien-
tiousness linked to marital idealization (O’Rourke, Neufeld,
Claxton, & Smith, 2010). Low consci-
entiousness is also more likely to result in such problematic
behavior and outcomes as homeless-
ness, drug use, imprisonment, and unemployment (Roberts et
al., 2009).
Big Five in Cultural Context
The bulk of the research on the Big Five (and any trait or other
factor) comes from standardized
self-report measures (e.g., Goldberg, 1981). However, the five
factors appear to emerge even
when the data are collected from other sources, such as peer
ratings and spousal ratings (Costa &
McCrae, 1980; Digman & Takemoto-Chock, 1981; McCrae &
Costa, 1985, 1990), and even when
the peer raters may be less familiar with the person they are
rating (e.g., Passini & Norman, 1966).
Despite some methodological discrepancies, it is reasonable to

conclude that the Big Five are
generally replicable, with only a limited number of exceptions,
such as when descriptive words do
not have equivalent translations in other languages (e.g., Benet-
Martinez & Oishi, 2008; McCrae
& Costa, 2008). Indeed, in one of the larger analyses that
covered seven European and Asian
languages, researchers were able to extract all of the big five
factors, though they suggested that
agreeableness was better defined as two separate factors
(honesty and humility) (Ashton et al.,
2004).
Heritability of the Big Five
Research supports the conclusion that the big five factors are
highly heritable (e.g., Bergeman et
al., 1993; Bouchard & McGue, 2003; Yamagata et al., 2006),
and this appears especially true for
facet scores (Jang, Livesley, Angleitner, Riemann, & Vernon,
2002; Jang, McCrae, Angleitner, Rie-
mann, & Livesley, 1998).
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It is also important to note that when considering
the heritability of the Big Five, the answer does not
appear to be the same for all five factors. Specifically,
it appears that extraversion and neuroticism (some-
times referred to as the “big two”) have significantly
higher heritability coefficients relative to the other
three. Of course, analyses of the genetic influence on
the Big Five also clearly indicate that considerable vari-
ability is predicted by environmental influences as well
(Plomin, 1989). See Chapter 4 for more detailed cover-
age of the biology and genetics of personality.
The Big Five Over the Lifespan
From a theoretical standpoint, it is hypothesized
that scores on the Big Five (personality) should be
stable because genetics (which are stable) contrib-
ute significantly to personality and because there
will likely be some increasing stability as a func-
tion of individuals being able to exercise choice over
their environments (e.g., Caspi, Roberts, & Shiner,
2005). Caspi and colleagues have termed this a
cumulative continuity hypothesis, whereby individu-

als choose environments that are consistent with their
personalities (something that they can do more easily as they
move out of childhood), and these
environments essentially reinforce their personalities (resulting
in greater stability). Thus, an
extraverted individual would be more likely to select
environments that allow for social interac-
tions and, in turn, foster further extraverted behavior. This
hypothesis allows for the interaction of
genetic and environmental factors to promote personality
stability (see also Kandler et al., 2010).
Several meta-analyses (a statistical method for summarizing the
effects observed over many dif-
ferent studies) have not only found general stability, but,
consistent with the cumulative continu-
ity hypotheses, have shown that stability typically increases
from childhood to adulthood (Fergu-
son, 2010; Roberts & Delvecchio, 2000).
One of the more impressive studies examining personality
stability involved the collection of
cross-sectional data from over 1.25 million individuals from
around the world, aged 10 to 65 (Soto,

John, Gosling, & Potter, 2011). The authors were able to arrive
at several conclusions, including
the fact that during adolescence and childhood, the most
pronounced changes occur and gender
differences begin to emerge (Soto et al., 2011). The data also
indicate that neuroticism increases
for females as they move from late childhood to adolescence,
whereas this trend does not occur
for males. Openness to new experience decreases into
adolescence, then increases into the col-
lege years. Thus, these findings again support the fact that
personality stability is greatest in later
adulthood.
Fuse/Thinkstock
Extraversion appears to be one of the
big five factors with the highest level of
heritability.
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CHAPTER 8 8.3 The Person-Situation Debate

As suggested by the above-mentioned study, the question of
stability for the big five factors across
the lifespan may also depend, to some extent, on which of them
is being considered. In a 40-year
longitudinal study of almost 800 individuals (Hampson &
Goldberg, 2006), the highest stability
across the lifespan emerged for extraversion and
conscientiousness, with lower stability for open-
ness to new experience, agreeableness, and neuroticism, in that
order (Hampson & Goldberg,
2006).
One final issue to consider is whether the stability coefficients
tend to show any further change
when considering later life. Two recently published studies
suggest that although personality sta-
bility increases from childhood to adolescence to adulthood,
there may be a trend toward less
stability at the last stages in life (see Ardelt, 2000). For
example, a recent German study that exam-
ined rank-order stability beyond age 60 found that peak stability
emerged in adulthood, but then
decreased with age thereafter (Lucas & Donnellan, 2011).
Similarly, a large-scale study examining

over 13,000 Australians found a U-shaped function over the
lifespan, with the highest stability
occurring in middle age and relatively lower values in
adolescence and later life (Wortman, Lucas,
& Donnellan, 2012).
8.3 The Person-Situation Debate
If someone wanted to know how you would behave at a party,
would it be better to know the context of the party you were to
be attending or to know something about you?
The stability of personality across situations was a widely
accepted assumption when trait
research first became popular. However, researchers began to
question this assumption, cham-
pioning instead the situation, and this culminated in Walter
Mischel’s 1968 book, Personality and
Assessment, in which he critiqued the trait approach on two
grounds:
1. Traits were limited in their predictive utility.
2. Traits were simply descriptors, not explanatory accounts.
The first criticism was drawn in large part from Mischel’s own
data examining the cross-situational

consistency of children (Mischel, 1968). Mischel concluded that
traits can only predict approxi-
mately 9% of the variance in behavior (which corresponds to
correlations of .30), and he consid-
ered this to be a small amount of explained variability in
behavior. Mischel concluded that the
poor predictive power of traits highlights the fact that the
situation is a critical element in predict-
ing how the person will act. Mischel’s view was that
psychologists should not consider the situa-
tion as error variance (i.e., “noise”) when examining traits (this
reflected the common practice of
trait researchers at that time). Instead, his approach involved
considering the situation or context
as a relevant variable, equally, if not more, important than the
trait. Mischel argued that more
robust consistency would be observed within specific situational
contexts (e.g., Mischel, 2004).
Lec81110_08_c08_225-252.indd 241 5/21/15 12:40 PM

Mischel’s second critique was perhaps more damaging, in that
he correctly noted that much of
the trait research occurring was theoretical in nature (Mischel,
1968). That is, to conclude that a
particular set of behaviors occurs simply because a person is
extraverted or neurotic provides no
explanation or theory; rather, it merely labels the behavior. In
fact, the end result is a tautology:
Why is John behaving in an outgoing and gregarious manner?
Because he is extraverted. Why is
he extraverted? Because he engages in outgoing and gregarious
acts.
These criticisms had a significant impact on the field, and for a
short period of time, trait research
retreated to the shadows. Of course, trait researchers eventually
responded to Mischel’s critiques,
especially the first point, and, as we just saw, research on traits
continues today. But Mischel’s
criticisms played a key role in advancing the field.
Responses to Mischel’s Critique of Trait Psychology
After Mischel voiced his objections to trait research, new
measures for assessing personality
emerged that helped to improve predictive validity. Also,

alternative statistical and methodologi-
cal procedures were developed to help address these criticisms.
Moreover, researchers coun-
tered with a number of sophisticated points targeting Mischel’s
critique, and focused on such
issues as Mischel’s omission of better personality studies,
where the predictive validity of behav-
ior exceeded .30 (e.g., Block, 1977). Researchers also
highlighted Mischel’s tendency to predict
very specific behaviors using traits, rather than predicting
aggregated behavior (Epstein & O’Brien,
1985). This latter point is important and worth elaborating.
Imagine a study in which you objectively measure someone’s
behavior in three distinct situational
contexts (e.g., a student’s socialization behavior at home with
her family, in the classroom, and with
her friends while at a party). The researcher then measures the
individual’s tendency to socialize
and interact with others (e.g., assessing extraversion). The
researcher then attempts to predict the
individual’s behavior in one of the three settings (e.g., in the
classroom) by using his or her extraver-
sion score. The likely conclusion is that knowing how people
typically behave in the classroom (i.e.,

the situational information) will provide the best predictor for
behaviors in that setting. On the sur-
face, this would seem to support the situational perspective. In
contrast, if the goal were to predict
how the individual would behave on average (i.e., typically over
time and over different situations),
then the personality trait would be the optimal predictor. The
counterviews to Mischel and others
are nicely summarized by Kenrick & Funder (1988), as they
systematically address and debunk a
series of conclusions that would otherwise prove problematic to
trait researchers.
Understanding Situational Strength, Domain Breadth, and Trait
Relevance
Some situations influence an individual’s behavior more than
others, and this has been referred
to as situational strength (Mischel, 2004). For example, some
situations have strong situational
scripts, where the cues in the environment strongly and clearly
dictate how one should act in
that setting. The situational script is a form of psychological
pressure on the individual to engage
in or refrain from particular behaviors. As an example, consider
the situational script for riding

in an elevator. Individuals enter, push the button for the desired
floor, then stand facing forward
and looking at the lights that indicate the current floor. Even the
distance at which you stand
apart from others is quite prescribed. In all likelihood, a
flaming extravert and the most reclusive
Lec81110_08_c08_225-252.indd 242 5/21/15 12:40 PM
introvert would behave similarly in this
setting because of the strength of the
situational script. Thus, the influence
of personality is significantly reduced in
this setting.
In contrast, when the situational script
is weak or largely absent, then person-
ality factors should play a more sig-
nificant role in predicting behaviors. To
illustrate the contrast between strong
and weak situational scripts, consider

the example of dating behavior. A first
date would have a relatively strong situ-
ational script, and the observed behav-
ior is, for the most part, going to reflect
conservative, cautious, even superficial,
but perhaps highly friendly behavior.
Again, observing first-date behavior will
tell us less about the person. In contrast,
a tenth date has a much weaker (more
ambiguous) situational script, as there
are fewer expectations for what should
or should not occur. As a result, we are likely to see behaviors
that are more directly influenced by
the individual’s personality.
It is also the case that more specific traits can predict best in
specific situations. For example, work
LOC was a better predictor of outcomes in the work setting
relative to broader non-specific LOC
beliefs (Wang et al., 2010), and the same was true for health-
specific LOC and health outcomes
(Johansson et al., 2001). Higher predictive validity for traits
that are domain-specific also bridges
the gap in the person-situation debate by identifying the

specific situational contexts where traits
predict best.
Finally, the person-situation debate can also be addressed by
considering the relevance of a trait
to the individual (e.g., Bem & Allen, 1974). The argument is
that when individuals demonstrate
greater cross-situation consistency, it is because their behaviors
are being governed by traits with
greater personal relevance (see Kenrick, McCreath, Govern,
King, & Bordin, 1990; Zuckerman et
al., 1988).
The Role of the Fundamental Attribution Error
Imagine that you find yourself looking for a parking space on
campus on a rainy day. There are
long creeping lines of cars searching for spots because, it
seems, everyone decided to drive today.
Fortunately, you come across a spot—but you may not have
been the first one to notice it and
signal for it. Nevertheless, you pull into the spot. As you head
off to class, other drivers, who are
obviously upset with your having taken the spot out of turn,
honk their horns at you (and you

MokeyBusiness Images/iStockphoto/Thinkstock
If this were a first date, it is not likely that these
individuals would learn much about each others’
personalities. Instead, their behaviors would be driven
by the strong situational script of a first date. However, if
this were a tenth date, their personalities would likely be
much more evident.
Lec81110_08_c08_225-252.indd 243 5/21/15 12:40 PM
CHAPTER 8 8.4 Supplementing the Big Five With
can imagine what they are thinking). It’s likely the case that
you do not consider yourself a “bad”
person; instead you emphasize the situation that resulted in that
behavior (e.g., “I don’t normally
do that”). Perhaps you even question the legitimacy of the
complaining behavior by the other
drivers. Now what if you were on the receiving end of this
violation of parking etiquette? As you
honk your horn at the offending party, you are likely to think

quite negatively about the person’s
character—instead of thinking that the person was in an urgent
rush, or being absent-minded, or
perhaps is now even regretful of the decision he just made.
This situation illustrates an interesting phenomenon in the
psychological literature. When we
attempt to explain our own behavior, there is a tendency to
emphasize the influence of situational
factors. However, when explaining the behaviors of others, the
emphasis tends to be on the influ-
ence of traits. This is known as the fundamental attribution
error (see Jones & Harris, 1967), and
it is relevant in research on traits because it reveals how self-
evaluations and evaluations by oth-
ers can vary, not just due to error, but because of real and
predictable differences in perspective.
This concept from social psychology highlights the value of
collecting data using multiple sources.
Thus, who is assessing traits could affect the determination of
whether the situation or the person
is emphasized.
Summary of Person-Situation Debate
Most personality researchers have now concluded that both the

person and the situation contrib-
ute to behavior. Specifically, situational variables are more
effective when it comes to predicting
behavior in specific situations, especially when dealing with
settings that have strong situational
scripts and traits that are low in relevance to the individual. In
contrast, when predicting an aggre-
gate of behavior, especially in settings with weak situational
scripts and when dealing with highly
relevant traits, traits should predict quite well. This reflects the
interaction between traits (the
person) and the situation.
8.4 Supplementing the Big Five With
In addition to the improvement of personality measures and the
research regarding the person- situation debate, additional lines
of research have emerged as complementary responses that have
broadened the scope of how personality can be construed. Two
such approaches are
briefly reviewed here.
Projects, Life Tasks, Concerns, Strivings, and Goals: An
Idiographic Approach

This chapter has largely focused on the nomothetic approach to
personality, meaning the identifi-
cation of discussion of the traits that are common to everyone
(e.g., the Big Five). The perspective
to be presented here suggests that to fully understand the
individual, one must also consider an
idiographic approach, which focuses on what is unique to the
individual. This approach adopts a
broader perspective, as the need to identify what is unique
involves capturing the contributions
of traits, the demands of the situation, and even the motives of
the individual. One approach for
capturing personality from this broad perspective (sometimes
referred to as a grand systems per-
spective), is to focus on units of analysis that at their center
assess motivation within the context
of life (e.g., McAdams, 1997).
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Beginning in the 1970s, and then more prominently in the
1980s, researchers began to develop a
series of measures that tap into people’s idiosyncratic
manifestations of (motivated) behavior; in
other words, personal goal pursuit emerged as a new approach
for understanding personality. Also
referred to as personal action units (Little, Lecci, & Wakinson,
1992), they include the constructs
of current concerns (Klinger, 1977, 1989), personal projects
(Little, 1983, 1989), life tasks (Cantor
& Kihlstrom, 1987), personal strivings (Emmons, 1986), and
personal goals (Karoly & Ruehlman,
1995; see Buss & Cantor, 1989, for a review of these constructs;
see also Little, Salmela-Aro, &
Phillips, 2007). These units represent intentional actions in the
context of our lives and provide
a distinct perspective for understanding personality and
interpersonal processes. Personal proj-
ects are extended sets of personally meaningful behavior, and
they range from the simplest of
daily activities (e.g., “read Chapter 8”) to the monumental
endeavors of a lifetime (e.g., “find the
‘meaning of my life’ ”) (Little, 1989). The theory is that how
people undertake the challenges of
life, how traits manifest in daily living, and how broad

motivations (e.g., achievement, autonomy,
etc.) uniquely play out in the individual is a reflection of their
personality.
One of the primary reasons for the popularity of the goal
perspective is that it addresses the full
range of disciplines that have been explored in personality
science, including neuroscience, genet-
ics, evolution, social psychology, and even more traditional
influences, such as the trait approach
(e.g., Little, 2005). Idiographic goals provide a conceptual tool
that allows for each of these factors
to converge on the individual and be represented in a single
construct (Little, 2005, 2006).
From a theoretical standpoint, personality traits and
personal action units have respectively been equated
with the “havings” and “doings” of personality (Can-
tor, 1990). According to Cantor, if traits represent what
we have to work with (e.g., biological predispositions
reflected in basic trait terms), then personal goals rep-
resent what we do with what we have. Traits tap what
is largely stable, whereas personal goal methodology
can reflect what is changeable (Cantor, 1990).

Numerous studies have been conducted to demon-
strate the breath of outcomes that can be predicted
using the “doing” side of personality, and they are sim-
ilar to those predicted by traits. For example, personal
goal constructs can predict academic adjustment (Lit-
tle, Lecci, & Watkins, 1992), life satisfaction (e.g., Palys
& Little, 1983), meaning in life (e.g., McGregor & Little,
1998), as well as subjective well-being (e.g., Omodei &
Wearing, 1990), physical symptoms (King & Emmons,
1990), pain (Karoly & Ruehlman, 1996), health fears
(Karoly & Lecci, 1993; Lecci, Karoly, Ruehlman, & Lan-
yon, 1996), and even depression (Lecci, Karoly, Briggs,
& Kuhn, 1994).
Design Pics/Thinkstock
Are these individuals driven by a need
to perform well or to learn? If it’s the
former, then grades will be paramount.
If it’s the latter, then grades become
secondary to the process of learning.
Lec81110_08_c08_225-252.indd 245 5/21/15 12:40 PM

Researchers have also examined different types of goals and
how they relate to academic perfor-
mance. For example, Dweck and colleagues differentiate
performance goals (where the focus is
impression management or how you appear to others) from
learning goals (where your focus is
on accumulation of information to improve the quality of your
work) (e.g., Dweck & Leggett, 1988;
Olson & Dweck, 2008). Experimental research on students in
which either performance or learn-
ing goals were induced indicates that performance goals are
more likely to lead to anxiety when
undertaking a difficult task (see Elliot & Dweck, 1988). This is
important experimental work, as it
establishes a pathway whereby trait behavior could result in
specific goals, and specific goals can
reinforce and strengthen specific traits. For example, highly
stressful goals with a low probability
of working out are more likely to be evidenced by the student
high in neuroticism and low in con-
scientiousness (see Little et al., 1992).

Researchers have also differentiated approach goals and
avoidance goals; the former denotes
goals that are desirable outcomes to move toward, whereas the
latter denotes goals of avoiding
undesirable outcomes (Elliot, 2006). As an example, consider a
batter who steps to the plate in
the bottom of the ninth inning with two out: “Don’t strike out”
would be considered an avoid-
ance goal, whereas “Get a hit” would be an example of an
approach goal. This may even result in
subtle differences in behavior (e.g., swinging defensively versus
swinging assertively) and ultimate
success. Importantly, however, how goals are formulated
predicts both psychological and physical
well-being, with avoidance goals being more deleterious (Elliot,
Sheldon, & Church, 1997; Elliot &
Sheldon, 1998). Not surprisingly, research shows that approach
goals are associated with extraver-
sion, whereas avoidance goals are associated with neuroticism
(Elliot & Thrash, 2002).
Goals have also been differentiated with respect to their
authenticity, such that a goal that is
highly consistent with one’s core values and sense of self is

considered authentic, and this, in turn,
results in higher psychological well-being (McGregor & Little,
1998; Sheldon, Ryan, Rawsthorne,
& Iardi, 1997) and is positively correlated with openness to new
experience (Little et al., 1992).
Acting Out of Character: Defensive Pessimism and Pseudo-
Extraversion
Much in the same way that personal action units can illustrate
and complement how traits play
out in our environments, these units of analysis can also help
explain when individuals behave in
ways that appear incongruent with their fundamental traits. The
assumption is that some indi-
viduals engage in motivated behavior (personally defined goals)
that helps optimize how their
traits can achieve desired outcomes.
For example, perhaps you have a friend who, despite being one
of the top grade-earning students,
always verbalizes and shows concern over upcoming tests.
Despite these concerns, this person
repeatedly sets the curve in the class. This approach has been
conceptualized as defensive-

pessimism, which is when an individual adopts the strategy of
firmly believing the worst, despite
the fact they have experienced considerable success in a
particular domain in life. Importantly,
defensive-pessimists differ from both pessimists and optimists
in that they verbalize the same
negative expectations as pessimists, but they achieve the same
favorable outcomes as optimists.
The literature has established that optimism and pessimism
(dispositions largely subsumed by the
factor of neuroticism) do predict a wide range of outcomes,
such as measures of health and well-
being (e.g., Giltay, Zitman, & Kromhout, 2006; Kim, Park, &
Peterson, 2011; Kubzansky, Sparrow,
Vokonas, & Kawachi, 2001; Scheier et al., 1989; Tindle et al.,
2009), and the pattern of pessimism
is similar to that observed for neuroticism. Therefore, it is
particularly interesting to note that
Lec81110_08_c08_225-252.indd 246 5/21/15 12:40 PM

some individuals adopt what is usually a maladaptive strategy
(pessimism), but they nevertheless
succeed.
Researchers studying these individuals in the context of the
first-year university experience have
found that one of the key variables differentiating the
defensive-pessimist is his or her goal pur-
suits (Cantor, Norem, Niedenthal, Langston, & Brower, 1987).
For example, defensive-pessimists
and optimists both find achievement-related goals (life tasks) to
be rewarding and important, and
they both show great persistence, even when confronted with
obstacles to goal achievement
(Norem, 1989; see also Martin, Marsh, Williamson, & Debus,
2003). Indeed, defensive-pessimists
appear to benefit from the experience of anxiety, possibly self-
inducing anxiety as a form of moti-
vation, which clearly distinguishes them from optimists (Norem
& Cantor, 1986). They also appear
to worry about failure to a greater degree than optimists, but
they use this negative emotion in
constructive ways.

Let us also return to the example
of John that was introduced at
the start of the chapter. Recall
that John presents as an extra-
vert, despite the fact that he
appears to be hard-wired as
an introvert; a combination
that might be labeled pseudo-
extraversion. Thus, his trait-like
disposition is that of an introvert
(what was conceptually referred
to as the “havings”), but he has
important personal goals that
allow him to override that social
discomfort he experiences, at
least for short periods of time, to engage in the “doings” (Little,
2000; Little & Joseph, 2007). In
other words, what John does with what he has is very different
than what the typical introvert
does with what he or she has. Thus, goals can help account for
why similar traits result in different
presentations (Cantor, 1990).
Act-Frequency Approach

One additional approach for conceptualizing personality is to
focus on the frequency with which
specific behaviors are enacted, and this perspective is referred
to as the act-frequency approach
(Buss & Craik, 1983). The act-frequency approach would argue
that if one frequently engages
in behaviors that most people see as prototypical of a particular
trait, then that individual can
be characterized by that trait. In contrast to the personal goal
approach, which emphasizes act-
saliency (i.e., the personally meaningful behavior of the
individual), this approach focuses on the
frequency of actions. Thus, by frequently enacting any specific
set of behaviors, one can come
to be labeled by the trait capturing those behaviors. As an
example, if one frequently engages in
prototypically dominant acts (e.g., cutting people off in
conversations, making decisions for oth-
ers, etc.), then that person can be assigned the trait label
“dominant.”
In this engaging piece, Brian Little (2010) describes how
traits and personal projects (goals) interact to reflect the

complexities of our lives (including when we seem to act
out of character). Read it at www.brianrlittle.com/arti
cles/acting-out-of-character-in-the-immortal-profession
-toward-a-free-trait-agreement/#more-484.
Reference: Little, B. R. (2010). Acting out of character in the
immortal profession: Toward a free trait agreement. Aca-
demic Matters.
Lec81110_08_c08_225-252.indd 247 5/21/15 12:40 PM
www.brianrlittle.com/articles/acting-out-of-character-in-the-
immortal-profession-toward-a-free-trait-agreement/#more-484
CHAPTER 8 8.5 Assessment Methods From the Trait
Perspective
8.5 Assessment Methods From the Trait Perspective
Perhaps more so than any other approach to studying

personality, the trait approach has a wide range of commonly
used tools, though most have been developed and used in the
con-text of research. Perhaps this is not surprising, given that
the trait approach emerged from an
analysis of traits, and this type of analysis not only requires
assessment, but it requires numerous
forms of assessment in order to provide concurrent validation of
the findings.
Because of the large number of measures, only a handful will be
reviewed here, but these repre-
sent some of the more commonly used ones that are
theoretically consistent with the literature.
The Family of NEO™ Scales
First developed in 1985 by Paul Costa and Robert McCrae, the
various NEO™ measures were
developed to specifically assess the big five factors of
neuroticism, extraversion, openness, agree-
ableness, and conscientiousness (the name of the scale reflects
the first three letters from the
first three factors; Costa & McCrae, 1985). The original
inventory was a 180-item measure. In
1992, Costa & McCrae expanded the measure to 240 items, so
as to include six facet scores for

agreeableness and conscientiousness, with this version named
the NEO™-PI-R. The NEO™ scales
have both a self-report version and a version that can be
completed by someone who knows the
respondent.
In 1989, Costa & McCrae also developed a 60-item short form
of the scale that assesses only the
five factors (no facets), by focusing on the highest-loading
items within each factor. The authors
also collected norms for the general adult population, a geriatric
sample, and a college student
population.
The Big Five Inventory
The Big Five Inventory (BFI;
John, Donahue, & Kentle, 1991)
is also designed to capture the
big five factors, though it is a
briefer instrument than the
NEO™ scales. Specifically, there
are 44 items, with each item
rated on a 5-point Likert rating
scale, ranging from strongly dis-
agree to strongly agree. The BFI

also allows for the calculation of
10 facets, reflecting more spe-
cific traits within each global fac-
tor, which match on to the fac-
ets assessed by the NEO™-PI-R
(see Soto & John, 2009). The BFI
demonstrates good psychometric properties (i.e., reasonably
strong internal consistency, retest
reliability), convergence with other big five measures, and self-
peer agreement, and has also
been validated in other languages (e.g., Benet-Martı́nez & John,
1998; DeYoung, 2006; John et
al., 2008; John & Srivastava, 1999; Rammstedt & John, 2007).
Beyond the Text: Classic Research
In this brief report, the authors put forth a 10-item version
of the Big Five. It includes a listing of the 10 items and a
response key for the English version, so you can complete
the inventory yourself (on p. 8, Appendix A of the article).
Read it at: http://www.westmont.edu/_academics/depart
ments/psychology/documents/Rammstedt_and_John.pdf.
Reference: Rammstedt, B, & John, O. P. (2007). Measuring
personality in one minute or less: A 10-item short version

of the Big Five Inventory. Journal of Research in Personality,
41, 203–212. (see p. 8 of this article; Appendix A)
Lec81110_08_c08_225-252.indd 248 5/21/15 12:40 PM
http://www.westmont.edu/_academics/departments/psychology/
documents/Rammstedt_and_John.pdf
http://www.westmont.edu/_academics/departments/psychology/
documents/Rammstedt_and_John.pdf
CHAPTER 8 8.5 Assessment Methods From the Trait
Perspective
The HEXACO Inventory
Emerging from linguistic analyses of seven languages,
researchers have forwarded a version of
the Big Five that adds a sixth factor to address the constructs of
honesty and humility (Ashton et
al., 2004). The theoretical assumption is that for the cultures
sampled in this analysis, a separate
factor assessing honesty-humility captures meaningful variance
because it is better represented
in the descriptive terms found in the European and Asian
languages that were studied. The facets

of the new HEXACO Inventory (Lee & Ashton, 2004) honesty-
humility factor includes forgiveness,
gentleness, flexibility, patience, and altruism. More recently, a
60-item short form of the HEXACO
scales was also developed, with 10 items assessing each of the
six main factors (Ashton & Lee,
2009).
Eysenck’s Personality Questionnaire
The EPQ was developed to assess the factors of extraversion,
neuroticism, and psychoticism using
self-reported, forced-choice items (Eysenck & Eysenck, 1975).
In addition to assessing these theo-
retically independent factors, Eysenck also included a lie scale
to help determine the validity of
the scores. The authors also revised the psychoticism scale 10
years later; this measure is the
EPQ-R, which has both a standard version of 100 items and a
short version with 48 items (Eysenck,
Eysenck, & Barrett, 1985). Just as with other personality
measures, validity scales are especially
important under the following conditions: when the respondent
has low self-awareness, is unfa-
miliar with the construct being assessed, or has a reason to be
disingenuous (Burisch, 1984).

Cattell’s 16 Personality Factor Questionnaire
The 185-item 16PF® assesses the 16 personality factors
identified by Cattell (1946), as well as sec-
ondary factors that are consistent with the Big Five (see also
Cattell, Eber, & Tatsuoka, 1970). These
scales are all bi-polar, in that both ends of each scale can be
interpreted. In addition, the test also
includes three validity scales assessing impression management,
acquiescence, and infrequency
(rarely endorsed items) (Cattell, Cattell, & Cattell, 1993). There
have been several versions of the
16PF® developed over the years, and the most recent version is
the fifth edition, first published in
1993 (Cattell et al., 1993; Russell & Karol, 2002). The most
recent edition involves a large norma-
tive sample of 10,000 individuals reflecting the U.S. Census for
demographic variables. The new
edition also has improved psychometric properties. Although
the 16PF® was designed for adults
aged 16 and older, another version of the test has been
developed for adolescents (the 16PF®
Adolescent Personality Questionnaire; Schueger, 2001).
Myers Briggs Type Indicator®

The MBTI® was originally developed by Myers and Briggs, and
intended to be used to assesses
the two attitudes (extraversion and introversion) and four
functions (sensing, feeling, thinking
and intuiting) set forth in the theory of Carl Jung (Myers,
McCaulley, Quenk, & Hammer, 1998).
The measure has been largely used in industrial-organizational
settings in an attempt to match
employee attributes with work environments. However, the
instrument generally lacks good psy-
chometric properties, and has not been well validated, despite it
being an older inventory (see
Hunsley, Lee, & Wood, 2004). Nevertheless, it is a frequently
used measure, due in part to its
widespread availability and its relatively simple structure.
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CHAPTER 8
Summary
Traits are descriptive terms used to describe human behavior,

and they represent one of the more dominant models in
personality psychology today. Trait theory was based upon an
analysis of language, whereby researchers identified the
adjectives that have been used to
characterize human behavior. The assumption is that if a trait is
fundamentally important, a soci-
ety will create terms to represent it. Researchers such as Cattell
and Eysenck were among the first
to analyze language in order to derive the basic factors that
underlie personality; however, they
diverged with respect to the minimum number of factors they
believed were needed to reflect all
traits. Cattell developed the most complex model, with 16
factors, whereas Eysenck suggested 3.
Currently, researchers have generally agreed that five factors
are sufficient to capture trait vari-
ability, and these big five factors have been recovered in
different languages and cultures, and
they appear to be relatively stable over time; whatever changes
do occur are most prominent in
childhood to adolescence. It is also the case that traits (the
person) predict behavior best when
the focus is on traits that are highly salient (important) and
situations where the script for how we
should act (situational strength) is weakest.

The big five factors of extraversion, neuroticism, openness,
agreeableness, and conscientiousness
appear to predict important outcomes in life, including measures
of well-being, mental health,
physical health, and even mortality.
Complementing the trait approach to personality is what has
been known as the “doing” side of
personality, which focuses on our uniquely defined goal
pursuits. Here the emphasis is on traits
within the contexts of our daily lives (e.g., control over
important goals), and research suggests
that how we think and feel about these goals adds significantly
to the predictive power of traits.
These units of analysis also help to explain why and when
people might act out of character, as is
seen with pseudo-extraversion.
Finally, we review a sampling of measures of traditional traits,
showing that there are sound psy-
chometric measures assessing everything from 16- to 3-factor
models of personality, though the
bulk of the measures assess the Big Five.

Key Terms
agreeableness A personality factor associated
with traits such as friendliness, trust, altruism,
and modesty.
approach goal A goal that is a desired outcome
to move toward.
authenticity The quality of being consistent
with one’s core values and sense of self.
avoidance goal A goal of avoiding an undesir-
able outcome.
Big Five A model representing a descriptive
taxonomy of personality traits assigned to five
main factors.
cardinal trait A trait that manifests in every
aspect of an individual’s life and that serves as
a primary motivator of action.
central trait A trait that manifests itself in a
limited range of situations.

choleric The humor of yellow bile.
conscientiousness A personality factor associ-
ated with the traits of diligence, organization,
punctuality, scrupulousness, self-discipline,
thoroughness, deliberation, and need for
achievement.
Key Terms
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CHAPTER 8Key Terms
cumulative continuity hypothesis The idea
that an individual chooses an environment
consistent with his or her personality, and this
environment reinforces that personality.
defensive-pessimism When an individual
adopts a strategy of anticipating the worst,
despite the fact that they continually experi-

ence success.
extraversion A personality factor associated
with an individual’s interest and focus on other
people and things.
factor A trait that can describe a large number
of other traits.
fundamental attribution error The tendency
to attribute our own behavior to situational fac-
tors, but the behavior of others to their person-
ality traits.
inverse (or negative) correlation A statistical
relationship between two variables: When one
variable changes, the other variable moves in
the opposite direction (e.g., as x increases, y
decreases; as x decreases, y increases).
learning goal A goal set by an individual that
is focused on the accumulation of information
(or practice) to improve the quality of his or her
work.

lexical analysis The approach of understanding
personality through the study of language.
lexical hypothesis The assumption that any
descriptive characteristics that are important
will become part of our language and that
language will evolve such that single words will
emerge to capture those important constructs.
melancholic The humor of black bile.
neuroticism Emotional instability, manifest-
ing as negative emotions in the presence of a
stressor.
openness to new experience A personality
factor associated with traits such as sensitivity
for aesthetics, imaginativeness, preference for
variety, and intellectual curiosity.
performance goal A goal set by an individual
that is focused on impression management and
his or her appearance to others.
phlegmatic The humor of phlegm.

positive correlation A statistical relationship
between two variables: When one variable
changes, the other variable moves in the same
direction (e.g., as x increases, y increases; as x
decreases, y decreases).
psychoticism A personality factor most rel-
evant for distinguishing between normal and
non-normal manifestations of personality. It
is associated with recklessness, inappropriate
emotional expression, hostility, disregard for
common sense, and poor contact with reality.
sanguine The humor of blood.
secondary trait A trait that is the least durable
over time and across situations and contributes
to an individual’s uniqueness.
situational script When cues in the environ-
ment dictate how an individual should act in
that setting.
situational strength When a situation influ-

ences an individual’s behavior more than other
situations do.
source trait A trait that is an underlying psy-
chological factor.
surface trait A trait that is subsumed by differ-
ent factors and is most directly translatable to
behaviors.
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Lec81110_08_c08_225-252.indd 252 5/21/15 12:40 PM
Tina Fineberg/Associated Press
Learning Objectives
able to:

• Compare and contrast the interpersonal
model with neurobiological, psychodynamic,
behavioral, and cognitive models.
• Summarize the contributions of Harry Stack
Sullivan to the development of the interper-
sonal model.
• Explain Sullivan’s use of the term self-system.
• Describe the research Henry Murray carried
out at Harvard.
• Discuss the origin and uses of the Thematic
Apperception Test.
• Describe the two continua that define Timothy
Leary’s interpersonal circumplex model.
• Describe some of the revisions to the inter-
personal circumplex and the central themes
assessed by the circumplex.
Interpersonal Models of Personality 7

Chapter Outline
Introduction
7.1 Major Historical Figures
• Sullivan’s Theory of Interpersonal Relations
• Murray’s Unified Theory of Personality
• Evolution of the Circumplex Model
7.2 Contemporary Theoretical Models
• Benjamin’s Structural Analysis of Social
Behavior (SASB)
• Murray Bowen and His Contribution to the
Interpersonal System
• Klerman and Weissman’s Interpersonal
Model of Depression and Personality
• Kiesler’s Interpersonal Force Field
• Explain Lorna Smith Benjamin’s three copy processes: (1)
identification, (2) recapitulation, and (3) introjection.
• Describe Bowen’s systemic therapy and the importance of the

triangle.
• Describe how Klerman and Weissman’s interpersonal theory
originated from their effort to develop an effective
treatment for depression.
• Describe Donald Kiesler’s concept of transactional escalation.
• Describe attachment theory, the work of Bowlby and
Ainsworth, and the implications for adult intimate relationships.
• Identify some of the assessment tools used to evaluate
interpersonal processes.
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7.3 Interpersonal Relations and Their Link
to Attachment Styles
• Bowlby and Ainsworth’s Attachment
Theory

• L’Abate’s Relational Competence
Theory
7.4 Assessment Strategies and Tools for
the Interpersonal Context
• Thematic Apperception Test
• Assessing the Interpersonal Circumplex
• Assessing Attachment Styles
• Other Measures Tapping Aspects of
Interpersonal Functioning
• Cultural Influences
Summary
Introduction
Researchers who study personality from an interpersonal
standpoint see inter-
actions with others as one of the best ways to examine
personality functioning.
Much of who we are is determined by our social relationships,
and social relation-
ships influence who we are. Family, friends, strangers, authority
figures, subordi-

nates—each of them influences how we act, and so who we are
as a person. Con-
sider how you behave with your mother or father, as opposed to
your best friend
or your intimate partner. Each relationship brings to the fore
different aspects of
your self, and this, in turn, influences the interpersonal
interaction.
Let’s consider the following video from an Occupy Wall Street
protest in Seattle:
http://ctgovernmentretaliations-
rosey.blogspot.com/2011/11/amazing-video-of
-violence-at.html. As a backdrop to the video, recall that the
Occupy Wall Street
movement began in September of 2011, in Zuccotti Park, which
is located near the
financial district of New York City. The movement was focused
on public percep-
tions that the financial sector, and the corporations it
represents, has too strong
of an influence over government, contributing to financial and
social inequalities
between the wealthiest individuals and the rest of the populace.
Although the

movement eventually grew to include other cities, even outside
the United States,
it was largely peaceful. The above video appears to illustrate an
exception.
What may have provoked this behavior by police? How would
you have reacted
had you been in the role of the police or the protestors?
Importantly, notice that
not all protestors and not all police behaved in the same
manner. Some individuals
appear more intent on provocation, defiance, and violent
response, whereas oth-
ers evidence considerably more restraint and submissive/passive
behavior.
The focus of this chapter is the role of interpersonal processes:
how they reflect
our personality, how they are shaped by our personality, and
how our responses to
others—whether they be close intimate partners, authority
figures, or even peers
we briefly encounter—play a pivotal role in determining how
we are (and allow
ourselves to be) treated.

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rosey.blogspot.com/2011/11/amazing-video-of-violence-at.html
rosey.blogspot.com/2011/11/amazing-video-of-violence-at.html
CHAPTER 7 7.1 Major Historical Figures
7.1 Major Historical Figures
The interpersonal model of personality represented a major
departure from previous mod-els, shifting the perspective from
a psychology of the individual to a psychology of interac-tions
between two individuals, otherwise known as dyadic
interaction. Examples of dyads
that can and have been studied include child-parent, husband-
wife, employer-employee, doctor-
patient, and teacher-student, to name a few. Importantly, dyads
are not static; they change both
as a function of time and as a function of their interdependence.
An important assumption of
this theory is that as a social interaction unfolds, the behavior

of one individual typically results in
complementary behavior by the other individual in the dyad.
Thus, the interpersonal perspective
assumes that personality is a fluid and evolving construct,
varying as a function of these interac-
tions. Of course, these interactions are not random. We play a
large role in determining with
whom we interact, how those interactions unfold, and even how
people respond to us. Thus,
although the model has the potential for the fluidity of
personality, the interactions generally tend
to reinforce our personalities.
When identifying theorists who emphasized the importance of
interpersonal interactions, the
list is long and distinguished. For example, William James
(1890) developed the concept of the
social me, Charles Horton Cooley (1902) introduced the term
looking-glass self to highlight how
people think others perceive them, George Herbert Mead (1913,
1934) emphasized that the self is
shaped by expected and actual reactions of others, and Alfred
Adler (1927) emphasized the social
motive (in German, gemeinschaftsgefuhl) as the fundamental
force driving human action. Some

theoreticians went a step further and centered their thinking
almost exclusively on interpersonal
behavior (broadly referred to as interpersonal models of
personality), and it is those individuals
who will be emphasized here.
One of the originators of the interpersonal model of psychology
was Harry Stack Sullivan, who was
the first to use the term interpersonal. Henry Murray was also
an early influential figure who
emphasized the use of scientific methods in studying dyads.
Murray Bowen was another signifi-
cant contributor to the interpersonal perspective, but he focused
on the three-person relationship
system (referred to as the trian-
gle). A fourth influential figure
was Timothy Leary, a notable
counterculture figure in the
1960s, who was a psychologist
who taught at Harvard until he
was dismissed because of his
experimentation with psyche-
delic drugs. Each of these indi-
viduals and their ideas will be

explored in this chapter along
with a number of other interper-
sonal theories. Attachment the-
ory, and especially its implica-
tions for adult intimate
relationships, will also be
discussed.
Although not typically considered part of the interpersonal
tradition in psychology, George Herbert Mead penned
a classic paper in which he considered the social self as
central to any examination of self-identity. In this respect,
his ideas were very much in keeping with the major con-
tributors to the interpersonal movement. Read his paper,
“The Social Self,” (1913) at http://psychclassics.yorku.ca
/Mead/socialself.htm.
Reference: Mead, G. H. (1913). The Social Self. Journal
of Philosophy, Psychology, and Scientific Methods, 10,
374–380.
Lec81110_07_c07_195-224.indd 197 5/21/15 12:40 PM

http://psychclassics.yorku.ca/Mead/socialself.htm
http://psychclassics.yorku.ca/Mead/socialself.htm
Sullivan’s Theory of Interpersonal Relations
Harry Stack Sullivan, who was briefly discussed in Chapter 3, is
considered the father of interper-
sonal theory. The importance of Sullivan’s work relates not so
much to his theoretical contribu-
tions to personality, but rather to the fact that he shifted the
perspective from what occurs in the
mind to what is observable in human relationships
(Chrzanowski, 1977). Sullivan believed that
interpersonal patterns learned early in life are major
determinants of adult personality. In his
theory, the interpersonal situation is the key concept, expressing
his belief that to understand per-
sonality, the researcher should focus on the various ways in
which two people can relate (Pincus
& Ansell, 2003). Moreover, Sullivan believed that important
needs are essentially interpersonal
in nature and that satisfying those needs inevitably involves
others. Obviously, intimacy needs

are explicitly interpersonal, but so too is the need for
autonomy, as this involves the negotiation of depen-
dency needs. In fact, our survival depends on coopera-
tion and complementary transactions (also referred
to as reciprocal transactions, where the needs of all
individuals in the interaction are met), as well as on
our own need satisfaction.
Sullivan applied his theory to his experiences as a psy-
chotherapist to help him understand the interpersonal
processes at play between himself and his patients.
Unlike Freud’s transference relationship, which is
projected onto the psychiatrist by the patient, the
patient-therapist dyad that Sullivan described involves
a two-way relationship. Sullivan explains that both
participants in this interpersonal relationship are
co-constructing and co-evolving their experience as
they relate to one another, and he coined the term
participant-observer to describe this bidirectional
process. The point of emphasis is the evolving rela-
tionship that develops between therapist and client.
In other words, the analyst cannot be a blank screen;
by the very nature of the relationship, the therapist is
a participant in the analytic process—a process that

Sullivan describes as meaning making. The patient is
of course also an active participant; patients manage
their own needs and try to obtain approval from those
whose approval they desire, which could include the
therapist (Hazell, 1994). However, Sullivan believed that the
therapist’s participant-observer role
is deliberately non-authoritarian, because he believed that the
individual has to play the primary
role in driving therapeutic change. The participant-observer role
represents an important depar-
ture from Freud’s concept of the authoritarian therapist who
presents with neutrality and Kohut’s
mirroring relationship (both discussed in Chapter 3).
Mike Cherim/iStockphoto/Thinkstock
This person is being offered a drug for
the first time. Assuming he prefers not
to use the drug, then this decision can be
seen as a trade-off between a sense of
individuation and a desire to merge his
identity with that of the group via group
acceptance.

Lec81110_07_c07_195-224.indd 198 5/21/15 12:40 PM
The Role of Anxiety in Sullivan’s Interpersonal Theory
The central theme of Sullivan’s theory is that anxiety is the
primary force responsible for building
the self-system (Bischof, 1970), and that anxiety emerges
completely within the interpersonal
context. Specifically, he believed that anxiety increases when
our relationships are not mutually
satisfying, resulting from a mismatch between the two
individuals in the interaction, referred to
as a mismatch between two self-systems (see also Pincus &
Ansell, 2003).
Sullivan (1953) first coined the term self-system to account for
how interpersonal experiences
affect the manner in which personality is formed. He believed
the self-system was organized
around gaining satisfaction and avoiding anxiety. Insecurity and
unsatisfied organic needs gener-

ate tension or anxiety. Beginning from birth, humans attempt to
reduce anxiety by striving for
interpersonal security. Sullivan used the term “security
operations” to describe interpersonal tac-
tics to minimize anxiety by avoiding feeling abandoned or
denigrated. He also argued that security
operations serve to protect our self-esteem.
The individual strives for an optimum level of anxiety: Too
little, and there will be a lack of drive;
too much results in paralysis and inaction. Sullivan suggests
that conformity can lead to approval
from others, which all individuals seek. But conformity can
come at a cost to the true self, and that
also leads to anxiety. Among other things, anxiety interferes
with intimacy and hinders creativity
(Chrzanowski, 1977). Sullivan believed that individuals need to
learn to function in the presence of
anxiety without taking refuge in self-defeating actions like
conformity. In a sense, what we all are
attempting to do is balance the tension between our
individuality and our need for interpersonal
acceptance. For example, consider a situation where peers are
pressuring you to engage in risky
behavior, such as trying a drug. You are likely to feel that

trying the drug will lead to peer accep-
tance, but if this does not represent what you want to do, then
trying the drug and merging with
the peer group would be at the cost of part of your
individuality. Thus, the goal is to find a point
of balance where you can both express your individuality while
still being accepted. Of course,
healthy relationships are less likely to make us feel as though
we would be rejected for expressing
our individuality.
The Function of Anger
The way anger is managed is critical to our interpersonal
adjustment. Too much anger and our
interpersonal style will annoy and repel others. But if there is
not enough anger because we fear
alienating others, they may take advantage of us. Thus, how we
manage and express our anger is
critical to interpersonal functioning. Sullivan suggested that the
regulation of anger is also central
to intrapersonal functioning. In fact, personality problems are
often evident in those who are
unable to experience anger as well as those who chronically
react with irritation. Anger is a natural

response to an interpersonal injury. Fear of interpersonal
aggression and loss of control can inhibit
our experience of anger, but fear of anger in others can induce
anxiety (Chrzanowski, 1977). For
example, imagine that a colleague at work has intentionally
taken credit for your work. This is a
situation in which some anger would be an appropriate and
healthy response. In contrast, some
individuals would not display any anger for fear of losing
control (i.e., exhibiting too much anger;
sometimes referred to as over-controlled hostility) or because
they fear the anger will be recip-
rocated. Others might overreact or exhibit chronic anger. Thus,
the ability to experience anger
appropriately is critical to interpersonal functioning as
interpersonal injuries are inevitable in the
context of social interactions.
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Styles of Thinking and Communicating

Sullivan divided cognitive experience into three
developmentally based forms of thinking which
he labeled prototaxic, parataxic, and syntaxic. The term taxic
refers to the order or arrangement
of things, and each of these three types of thinking reflect the
lowest (or first) type of conscious
processes (prototaxic) to the last to develop and most mature
(syntaxic).
Prototaxic refers to the first type of conscious processes in
infancy and early childhood, in which
sensations and perceptions are fragmentary. In the absence of
direct exposure to someone, there
is no cognition regarding that person (i.e., out of sight, out of
mind). Prototaxic thinking in adult
interpersonal relationships reflects an infantile form of
communicating or of relating to others.
The term para means previous or earlier. Thus, parataxic refers
to responding to others based
on preconceived ideas about what they are like—that is, based
on pre-established schemata.
Parataxic behavior is similar to Freud’s notion of transference.
For example, those who tend to

respond to all authority figures as if they will be punitive
because they had fathers who were puni-
tive are engaging in parataxic behavior. Similarly, if you were
to avoid social interactions because
you assumed that others would insult or take advantage of you,
that would be parataxic.
The term syn refers to a fusion or bringing together. Syntaxic
refers to the ability to consider oth-
ers and use symbolic thinking. It is the most advanced
developmental level, according to Sullivan,
and allows for the highest level of communication with others.
Syntaxic behavior represents a
mature style of interpersonal communication. For example,
being able to identify and express
needs to others appropriately illustrates syntaxic behavior.
The theorists and researchers who followed Sullivan, such as
Murray, Leary, Benjamin, Bowen, and
Klerman and Wesserman (among others), built on this notion
and developed a variety of empirical
methods to study interpersonal interactions. The works of these
individuals will now be reviewed.
Murray’s Unified Theory of Personality

Murray was originally trained as a medical doctor and then
obtained a Ph.D. in biochemistry. Later,
he developed a passion for the field of psychology, and
especially personality theory. The goal of
Murray’s study of personality (which he termed personology),
was to integrate all of the ideas of
the leading theorists to allow for scientific testing. He referred
to this as the Unified Theory of
Personality. Murray amassed more personality data than any
researcher had previously, based on
extensive testing and interviewing of 51 male students at
Harvard. The results of this landmark
study were published in 1938. Although there were some mixed
reviews when it was published,
most workers in the field believed that Murray had succeeded in
strengthening the position of
psychoanalytic theory by bridging the gap between research and
analytic constructions (Winter &
Barenbaum, 1999).
Although he was highly influenced by both Freud and Jung,
Sullivan’s interpersonal perspective
also shaped him. As a result, the interpersonal influence is
highly evident in his writings and formu-
lations. For example, Murray believed that the dyad should be

thought of as a single system—one
that should be used to evaluate theory (Shneidman, 1981). Like
Sullivan, Murray believed that the
dyad should be the main focus of personality research. In his
view, understanding personality is
based on understanding the interpersonal processes that occur in
significant human relationships.
Lec81110_07_c07_195-224.indd 200 5/21/15 12:40 PM
Murray’s interest in the dyad led him to the idea that in
interpersonal transaction, themes are
expressed, and he believed these themes to be common to all
communication. Types of dyadic
themes include (1) reciprocation, (2) cooperation, (3)
competition, and (4) opposition. Murray
believed that some of the important components of personality
are better described by reference
to thematic dispositions, such as the tendency to cooperate or
compete, rather than in terms of
general personality predispositions (Shneidman, 1981).

Murray also proposed that themes are expressed and received in
a complementary way by two
participants. For example, an individual who needs to inform
(relate facts and/or rumors) is the
transmitter; the transmitter will require a receptor who needs
the information (state of curiosity
or personal interest). Murray was one of the first theorists to
embrace general systems theory
(von Bertalanffy, 1951), which was an attempt to identify
principles that can be applied to all disci-
plines, and apply it to the study of relationships (Shneidman,
1981). Indeed, this was the essence
of his Unified Theory of Personality. Murray’s contributions to
the systems theory approach was
the identification of 30 separate needs that he believed
subsumed the motivations for behavior.
Murray’s work was highly influential in stimulating research
among his many collaborators and
students. For example, his ideas were responsible for the later
development of what is known
as the interpersonal circle (IPC), which is a tool based on
Murray’s list of 30 needs. The IPC was
developed largely by Timothy Leary and his associates

(Freedman, Leary, Ossorio, & Coffey, 1951;
LaForge, Leary, Naboisek, Coffey, & Freedman, 1954; Leary,
1957). It is intended to provide a com-
plete system for analyzing interpersonal relationships and for
diagnosing psychological problems.
Evolution of the Circumplex Model
Influenced by the earlier work of Murray and several other
psychologists, along with Mead’s
(1934) sociological theory, Timothy Leary developed the
interpersonal circle within the field of
psychology (1957). Leary’s conceptual leap also owed much to
Sullivan’s notions about the impor-
tance of interpersonal behavior for diagnosing psychiatric
conditions (Benjamin, 1993). This view
insists that interpersonal behavior, rather than character traits or
symptom constellations, reflects
personality. Leary’s model of the interpersonal circle offered a
new conceptual framework for
understanding personality and a useful system for diagnosing
personality disorders. Leary (1957)
introduced the term interpersonal reflex to highlight the fact
that individuals will spontaneously,
and in an automated and involuntary manner, react to the
actions of others, and these reactions

can be classified by identifying a smaller number of underlying
constructs that characterize (and
are common to) all reactions.
Lec81110_07_c07_195-224.indd 201 5/21/15 12:40 PM
Figure 7.1: A depiction of Leary’s interpersonal circle
This represents one of the earlier versions of the interpersonal
circumplex, and although the essence of
the model has remained intact, some of the descriptive terms
have since been modified.
Source: Adapted from Kiesler, D. J. (1983). The 1982
interpersonal circle: A taxonomy for complementarity in human
transactions. Psychological Review, 90(3), 195–
214. doi: 10.1037/0033-295X.90.3.185. Copyright © 1983 by
the American Psychological Association.
The basic dimensions of the IPC were used as the foundation,
and there are two axes (also

referred to as dimensions). The horizontal axis is labeled
“hostile,” or “cold,” or “distant” at the
left point and “love” or “friendly” at the opposing end. The
vertical axis is labeled “submissive”
(“non-assertive”) at the bottom and “dominant” (“controlling”)
at the top (see Figure 7.1). These
two dimensions result in four quadrants, which Leary
acknowledged were similar to the tempera-
ments described by Galen (also known as the four humors; see
Chapter 8 for a discussion).
Leary suggested that all dimensions of personality are
represented in this circular model. For
example, those who are stubborn and rigid in their relationships
would be placed in an octant
somewhere between dominance and love. And those who are
passive-aggressive would be some-
where between submission and hate. And those who are
perfectly adjusted, who have an optimal
blend of all characteristics, would find themselves in the middle
of this circle.
Guttman (1966) subsequently renamed Leary’s (1957)
interpersonal circle the circumplex model,
and this remains the more common term today. Like Leary’s

theory, the circumplex model is a
two-dimensional representation of interpersonal space, referring
to interpersonal needs, inter-
personal problems, interpersonal values, and the like. The
variables are theoretically organized
and represented as a circle (see also Kiesler, 1996; Wiggins,
1979), and the two dimensions that
define this interpersonal space and anchor the model are
typically referred to as agency and com-
munion. Agency refers to the process of becoming individuated
or of differentiating the self. Com-
munion refers to the process of becoming connected with others.
Thus, communion implicates
affiliation, friendliness, and love, whereas agency refers to
achieving status, controlling others,
striving for power and dominance (see Wiggins & Trapnell,
1996).
In 1983, Hogan provided a more simplified and colloquial
version of the circumplex, using the
terms get along and get ahead to define communion and agency,
respectively.
FriendlyHostile

Dominant
Competitive
Mistrusting
Cold
Assured
Aloof
Inhibited
Unassured
Exhibitionistic
Sociable
Submissive
Deferent
Trusting

Warm
Lec81110_07_c07_195-224.indd 202 5/21/15 12:40 PM
Research emerging from other traditions has defined the
circumplex factor space with the terms
affiliation and autonomy (see Benjamin, 1996), though the
resulting descriptors are very similar
(see Figure 7.2).
Figure 7.2: Revised circumplex model
This version of the circumplex model emphasizes agency and
communality as its two main factors, and
this is in keeping with the descriptive terms emphasized in most
circumplex models.
Source: Locke, K. D. (2005). Interpersonal problems and
interpersonal expectations in everyday life. Journal of Social
and Clinical Psychology, 24(7), 915–931.
Reprinted by permission of Guilford Publications.

Numerous researchers and theoreticians have adopted and
slightly modified Leary’s basic con-
cept, but the general characteristics remain essentially the same.
(Compare Figure 7.1 to 7.2.)
Sex Differences and the Circumplex Model
Research on the circumplex model suggests that it is a widely
replicable means of organizing
human behavior (e.g., Wiggins, 1979, 1991) and it has also been
used successfully in defining
personality disorders (Hennig & Walker, 2008; Lippa, 1995).
Some differences have emerged, how-
ever, in terms of how the circumplex model maps onto gender.
Critics contend that agency maps
onto masculinity and communion maps onto femininity (see also
Maccoby & Jacklin, 1974). For
example, Eagly (1995) notes that women demonstrate
interpersonal behaviors such as sensitivity,
friendliness, and concern for others, whereas men engage in
behaviors such as independence,
dominance, and control. A slightly different perspective was
adopted by Paulhus (1987), suggest-
ing that trait masculinity and trait femininity are essentially

mislabeled versions of (or proxies for)
the two circumplex dimensions.
In addition, researchers have also tried to identify the
descriptors from the circumplex model
that result in the largest sex differences. One of the more robust
sex differences with respect to
personality appears to be on the trait of aggression, with males
being considerably more verbally
Self-sacrificing
Cold/
Distant
Domineering/
Controlling
Vindictive/
Self-centered
Socially
inhibited
Intrusive/
Needy

Nonassertive
Overly
accommodating
CommunalUncommunal
U
n
a
g
e
n
ti
c
A
g
e
n
ti
c
Lec81110_07_c07_195-224.indd 203 5/21/15 12:40 PM

CHAPTER 7 7.2 Contemporary Theoretical Models
and physically aggressive than
females (Hyde, 2007). Similarly,
when considering the descrip-
tors of tender-mindedness and
warmth, females scored con-
siderably higher, whereas men
scored higher on assertiveness
(Feingold, 1994). One of the
reasons that researchers have
emphasized sex differences is
that the observed findings are
consistent with a number of
theoretical perspectives, includ-
ing gender schema theory (e.g.,
Bem, 1981) and sociobiological/
evolutionary theory (e.g., Schmitt & Buss, 2000). Despite
theoretical support and the observed
gender differences in some areas, the vast majority of the
descriptors appear to be more similar
than different on the interpersonal circumplex, and the

differences that do emerge tend to be
small to moderate (Hyde, 2005). Thus, researchers typically use
the same circumplex model to
characterize males and females alike, and this suggests that
male and female personalities are
more similar than dissimilar.
7.2 Contemporary Theoretical Models
Unlike the behavioral and cognitive models of personality, the
interpersonal models and the psychodynamic approaches
emerged out of efforts to develop treatments for mental disor-
ders. As we saw, the interpersonal movement was begun by
Harry Stack Sullivan’s work and
later expanded by Henry Murray and Timothy Leary, who were
primarily academics rather than
clinicians. In contrast, the theory and research presented in this
section emphasizes academia
within the clinical tradition, emphasizing the works of Lorna
Smith Benjamin, Murray Bowen, and
the combined efforts of Klerman and Weissman. Much of the
work to be reviewed draws heavily
upon the ideas formulated by Sullivan, Murray, and Leary.
Because of the significant number of theorists who have

developed or modified existing interper-
sonal models, and researchers who have validated many of these
concepts, there is now a general
consensus that interpersonal views of the self are a critical
component of any theory of personal-
ity. In fact, in a recent review of the extant literature,
researchers concluded that the self is essen-
tially a socially defined construct, and that an integrative view
of the self in relation to significant
others can consistently predict numerous outcomes in life
(Chen, Boucher, & Tapias, 2006). In
summarizing the literature, the authors conclude, among other
things, that what they term the
relational self (the self in relation to important others) is an
autonomous source of influence,
it provides meaning and orientation, it accounts for both the
continuity and situation-specific
manifestations of personality, and it is broadly linked to both
current and future psychological
well-being (Chen et al., 2006).
Beyond the Text: Clinical Applications
The interpersonal circumplex model for conceptualizing,
organizing, and assessing interpersonal behavior can be

applied to the individual, group, or even broad organiza-
tions (Wiggins, 2003). The link below allows you to explore
how the interpersonal circumplex applies to managerial
issues at all three levels. Personality psychology is quite
frequently applied to industrial and organizational settings
and this has led to a great deal of research. Explore here:
http://www.hsnz.co.nz/files/html5/circumplex/.
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Benjamin’s Structural Analysis of Social Behavior (SASB)
Lorna Benjamin’s work has resulted in one of the most widely
accepted, empirically based models
of contemporary personality theory—a model concerned with
the structural analysis of social
behavior (SASB; Benjamin, 1974, 1986, 1993, 1996, 2003).
Benjamin believes that biology and
social behavior are inextricably linked and that they evolve
together. Accordingly, she feels that
intrapsychic and social factors needed to be taken into account
to understand personality, and

that they should not be neglected in favor of trait descriptions
(1986).
In her early training, Benjamin worked with primates as a
student of Harry Harlow (Blum, 2002).
This experience had a strong influence on her scientific
interests in attachment and interpersonal
theory, as did her later training with Carl Rogers and her
experience as a clinical psychologist.
These training experiences provided her with a unique
combination of strong scientific, psycho-
therapeutic, and investigative skills.
The structural analysis of social behavior combines aspects of
both Leary’s model, discussed ear-
lier in this chapter, and Earl Schaefer’s model of parental
behavior (1965), which focused on the
tension that often develops as a result of the need to control
children and the opposing need to
allow them the independence so that they can become
responsible and autonomous adults (Mil-
lon, Davis, Millon, Escovar, & Meagher, 2000). Benjamin
(1986) was interested in relating social
variables to psychiatric diagnostic categories. In an effort to
provide empirical validation, she con-

ducted a study of 108 psychiatric inpatients using a variety of
measures, including the Minnesota
Multiphasic Personality Inventory.
The result of Benjamin’s research is the SASB model, which is
a tri-circumplex model of personal-
ity. It was developed as an objective measure of interpersonal
processes and can be used to code
both videotapes and audiotapes of social interactions—in
psychotherapy sessions or in family or
group encounters. It captures verbal interactions and allows
observers to code them for statistical
analysis. There are three classification dimensions: (1) love-
hate, (2) enmeshment- differentiation,
and (3) interpersonal focus. Each dimension is assigned a value,
and when these values are com-
bined, the SASB yields as many as 108 different classifications.
These, in turn, can be reduced to
simpler descriptions (Benjamin, 1986).
Benjamin also identified three ways in which interpersonal
patterns can be expressed or copied,
termed copy processes. They are: (1) identification, which
refers to behaving in a fashion simi-
lar to another person—in a sense, adopting their values and

characteristics; (2) recapitulation,
which is defined as acting as though someone from the past is
still present and in charge; and (3)
introjection, which occurs when individuals treat themselves as
they were previously treated. For
example, if you had a positive attachment figure who affirmed
your goodness, you might introject
this positive notion of goodness and make it part of your
internal model; if you had a more nega-
tive attachment, you might treat yourself poorly.
To illustrate these three copy processes, Benjamin (1993)
describes the case of a paranoid hus-
band, who observed his father exert hostile control over his
mother. As a result, the husband now
exhibits the same behavior with his wife. Benjamin described
this as an example of identification
of imitation. If the wife of the paranoid husband also had a
controlling and demeaning mother,
then a natural and adaptive response (at least adaptive in the
short run) would be to complement
the mother’s behavior with submissiveness. Benjamin suggested
that with prolonged exposure
Lec81110_07_c07_195-224.indd 205 5/21/15 12:40 PM

to her mother, the woman’s self-concept would internalize the
mother’s statements. Thus, as
an adult and when functioning within a marriage, her self-
concept and compliance to hostile
demands results in her strong commitment to the paranoid and
jealous husband. In essence, Ben-
jamin concluded that the husband’s hostility and control
reinforces and complements the wife’s
response, illustrating the principle of recapitulation. Their
interpersonal histories have therefore
determined (at least in the absence of any therapeutic
intervention) a stable, but miserable, mar-
riage (Benjamin, 1993). The flexibility of Benjamin’s theory is
demonstrated by the fact that she
utilizes behavioral concepts readily, and yet refers to internal
experiences (in keeping with psycho-
dynamic and cognitive models) in expressing her ideas.
Research suggests that these copy patterns can be recovered
using the SASB coding, and they

appear to be valid concepts (Critchfield & Benjamin, 2010).
Moreover, the SASB model can be
used to both predict what might happen after an interpersonal
event or what may have happened
beforehand.
Research examining some of the above-described interpersonal
patterns has been limited, but
that which has been done generally supports the theory.
Working within an interactionist perspec-
tive, Kausel and Slaughter (2011) tested the explanatory power
of the complementary hypotheses
in predicting attraction in organizational hiring practices.
Participants were 220 job seekers who
provided self-ratings on measures of personality, organizational
traits, and their level of attraction
toward a potential future employer. They found that
organizations that employed recruitment
strategies based on complementary personalities were more
successful than those using the strat-
egy of similarity.
The SASB has been used widely to study such things as
evaluations of initial dating interactions
(e.g., Eastwick, Saigal, & Finkel, 2010), predictions of

therapeutic outcomes for interpersonally
complementary relationships early in therapy (Maxwell, Tasca,
Gick, Ritchie, Balfour, & Bissada,
2012), and assessments of social perceptions (Erickson &
Pincus, 2005). It even shows some appli-
cability in the interpretation of dream content (Frick & Halevy,
2002).
Murray Bowen and His Contribution to the Interpersonal System
Murray Bowen developed systemic therapy, which is a type of
psychotherapy that addresses
people not on an individual level, as was common in earlier
forms of therapy, but as people in
relationship. Systemic therapy is essentially interpersonal
theory as applied to a clinical context.
It focuses on the interactions of groups, their interactional
patterns, and dynamics. Systemic ther-
apy has its roots in family therapy, or more precisely family
systems therapy, as it was later known.
Bowen developed his theory while working with families of
schizophrenic children, eventually
applying over two decades of clinical work and research to the
development of family systems
theory (Bowen, 1966). Bowen developed a number of concepts,
each having clear interpersonal

implications. Some of these concepts are here described, though
the constructs that relate more
directly (or exclusively) to his clinical work in family
dynamics, especially between parents and
their children, will not be reviewed.
Lec81110_07_c07_195-224.indd 206 5/21/15 12:40 PM
Wavebreak Media/Thinkstock
In this triangle, there is one party who is clearly less
involved in the interaction. Bowen would argue that this
leads to feelings of rejection and also to attempts to re-
enter the interaction. Could the overt look of dejection be
a means of re-engaging the other members?
The Triangle
Bowen believed the triangle, referring
to a three-person relationship, was the
smallest unit in an interpersonal context.

The triangle was considered the basic
building block of larger interpersonal
systems because it is the smallest stable
system of relationships. Bowen believed
that the two-person system (dyad) was
too unstable because it was unable to
tolerate tension without having to draw
in a third party. In contrast, the triangle
can tolerate considerable more ten-
sion because conflict can be diverted by
the third member when the other two
members are interacting and experienc-
ing tension. In essence, the tension in
a triangle can shift among three poten-
tial relationships, thereby spreading
the load and minimizing a break in the
triangle. Bowen also believed that if ten-
sion was too high for the triangle, then it
could spill over into interrelated triangles, thereby stabilizing
the system (though not necessarily
resolving the problem that caused the tension). Bowen also
notes that despite the stability of the
triangle, it always leaves one person as less involved,
connected, or interpersonally comfortable
relative to the other two individuals (the proverbial “outsider,”

“third wheel,” or “odd man out”),
and this can lead to feelings such as anxiety and rejection,
either from the anticipation of or from
actually being the third party. Bowen believed that individuals
move from the inside to outside
positions in the triangle as each negotiates to become an insider
(typically when the interactions
are calm and favorable) or when trying to become an outsider
(typically when there is too much
tension in the triangle and watching the other two in conflict is
now more desirable). Importantly,
although the interpersonal triangle grew out of the model of two
parents and one child, Murray
and others eventually applied it to all three-person
relationships.
Self-Differentiation
Another concept Bowen introduced that is central to systemic
therapy is that of self-differentiation,
which refers to the individual’s ability to maintain a distinct
sense of self, separate from the tri-
angle or group (Bowen, 1978). Bowen noted that we naturally
develop some sense of self, but
the extent to which it develops and is differentiated from others

is largely driven by the available
relationships in childhood and adolescence. Bowen believed that
with insufficient differentiation,
individuals are too focused on receiving acceptance and
approval from others, thereby empha-
sizing conformity over the true self. Similarly, Bowen
suggested that those who do not conform
(i.e., rebels) are also poorly differentiated; the difference is that
the “self” is now largely defined
Lec81110_07_c07_195-224.indd 207 5/21/15 12:40 PM
in opposition to others. Obviously, the goal is to achieve
differentiation, in which despite the rec-
ognition of the need for some interdependence, a separate self
emerges that can tolerate some
degree of rejection, conflict, and criticism (Bowen, 1978). For
example, the rebellious individual
can achieve a sense of autonomy by differentiating in some
respects from others, but it would be
maladaptive to simply be oppositional in all respects, since the

“self” would still be too tightly tied
to others. The latter strategy likely emerges from the
individual’s lack of differentiated sense of
self. Because all families, groups and triangles will vary in the
degree of self-differentiation of their
members, the interdependence, emotional intensity, and conflict
within the groups will also vary.
With greater interdependence (less differentiation of the self),
there will be more problems and
greater anxiety.
Bowen provided numerous examples of how this might manifest
with respect to one’s family of
origin, and in this respect, interpersonal theory here has some
parallels to theories that empha-
size family dynamics, such as psychodynamic theory. For
example, Bowen believed that while
everyone has some degree of unresolved problems with their
family of origin, those with less dif-
ferentiation of the self have more problems. Bowen suggested
that when you return home to visit
family, if you feel like a child and find it difficult to make
decisions for yourself, or if you experience
a considerable amount of guilt when in contact with your
parents, then these are signs of poorer

self-differentiation.
Notice how this aspect of Bowen’s interpersonal theory overlaps
with other theories discussed
earlier in the text. For example, Freud might refer to a less
well-formed ego as the cause of prob-
lems associated with poor self-differentiation when an adult
child returns to visit his or her family
of origin. Behaviorists might suggest that you are simply falling
back into well-learned conditioned
responses when returning home. Cognitive theorists might
suggest that the presence of your par-
ents in any context is likely to activate cognitive schemas that
you employed most frequently
when you interacted with them. Presumably, if interactions have
been minimal as an adult, it is
the childhood schemas that would be most accessible.
Emotional Cutoff
Bowen (1966) also introduced the term emotional cutoff to refer
to the termination of any emo-
tional contact with another individual in order to manage
unresolved issues. Importantly, the lim-
iting of contacting may decrease conflict and tension, but the

problem is not resolved. Moreover,
the individual is then vulnerable in other relationships that may
be sought out to compensate for
the one that has been cut off, thereby leading to decreased self-
differentiation in those relation-
ships and too much interdependence.
Research also appears to support the idea that poor self-
differentiation and the experience of
emotional cutoff leads to greater problems. For example, in one
study, researchers demonstrated
that three distinct factors underlying self-differentiation
(including the factors of emotional cut-
off and emotional reactivity) predicted the incidence of mental
health symptoms (Jankowski &
Hooper, 2012) and this parallels other work showing how the
differentiation of the self predicts
other aspects of psychological well-being (e.g., Hooper &
DePuy, 2010). Thus, there does appear
to be some recent empirical support for some of Bowen’s
primary theoretical positions.
Lec81110_07_c07_195-224.indd 208 5/21/15 12:40 PM

Societal Emotional Process
Although Bowen discussed the above concepts largely within
the context of nuclear and extended
families and expanded on the theory within the bounds of family
systems therapy (the context
within which he practiced), they can likewise be applied to
other interpersonal interactions.
Bowen did, however, introduce one concept that was explicitly
applied to groups outside the fam-
ily, which he referred to as societal emotional process. This
concept characterizes how societal
behavior is governed by emotional systems (as opposed to
simply focusing on cultural influences).
Thus, the societal emotional process involves how a society
reacts to the emotional needs of the
individual. In Bowen’s work with juvenile delinquents, he
hypothesized that the courts were play-
ing the role of parents for the juveniles by imposing
punishments and expressing disappointment
in their behavior. Parallels can also be drawn to interactions
that occur in schools and other gov-

ernment agencies, where the agency plays the role of parent.
Bowen suggested that in the fami-
lies of origin, parents often failed to deal with the delinquent’s
problems directly in order to avoid
anxiety and gain short-term peace, but that this was at a long-
term cost for the child and the fam-
ily unit. He characterized this decision as a regressive pattern,
and noted that institutions could
likewise fail to deal with problems and that this would result in
a regressive pattern for society
(e.g., less principled decision-making by community and
business leaders, bankruptcies, depletion
of resources, and the like). In this respect, Bowen believed that
his interpersonal theory would
better account for both periods of regression and progression in
society because it accounted for
the individual in context of society, rather than studying society
alone.
Klerman and Weissman’s Interpersonal Model of Depression
and Personality
In the 1970s, while researching the use of antidepressant
medication, Klerman and Weissman
developed an interpersonal model of depression based heavily
on Sullivan’s work; their work

later expanded to include other clinical syndromes and
personality disorders (Klerman & Weiss-
man, 1986; Klerman, Weissman, Rounsaville, & Chevron, 1984;
Weissman, Markowitz, & Klerman,
2000, 2007). Although their model is not considered a
personality theory, it deals with important
concepts in personality from an interpersonal perspective.
Klerman and Weissman ground their model on Bowlby’s (1982)
attachment theory (discussed in
Chapter 3). To review, attachment theory argues that humans
have an innate tendency to seek
and maintain attachments. Attachments lead to the formation
and expression of intense human
emotions, which strengthen and renew these bonds.
Furthermore, these attachments establish
caretaker-infant bonds that are fundamentally important for
human survival. Ainsworth’s work
with the experimental model known as the “strange situation”
allows observers to classify dif-
ferent types of attachment (Ainsworth, Blehar, Waters, & Wall,
1978); attachment styles from
infancy demonstrate stability over the lifetime. Research with
this model indicates that when
major attachments are disrupted, anxiety and sadness often

result and, in extreme cases, can
later predispose the individual to depression (Mills, 2005).
Emphasizing Social Roles in Defining the Self and
Psychopathology
The Klerman and Weissman model is especially interested in
social roles within the family, work-
place, community, and among peers (Klerman et al., 1984).
They note that these roles reflect
relationships that are often determined by the individual’s
position within the social system. Like
Sullivan, they believe that disturbed interpersonal relationships
are responsible for human dys-
function. Accordingly, the emphasis in this model is on
understanding and treating depression and
Lec81110_07_c07_195-224.indd 209 5/21/15 12:40 PM
other disorders, such as personality disorders, in an
interpersonal context. The model looks for

relationships between personality traits and depression, paying
close attention to three aspects
of personality and interpersonal relations:
1. Symptom function. Clinicians look at the development of
symptoms of depression (such
as sleep and appetite disturbance, low energy, frequent mood
variation, and increased
emotionality). These are presumed to have both biological and
psychological causes.
2. Social and interpersonal relations. Especially important are
interpersonal interactions,
whose patterns might be based on childhood experiences,
current social reinforcement,
and perceptions related to personal mastery and competence.
3. Personality and character problems. Clinicians also look at
enduring traits, such as inhib-
ited expression of anger or guilt, poor psychological
communication with significant
others, and difficulty with self-esteem. These traits determine a
person’s reactions to
interpersonal experience. Personality patterns form part of the
person’s predisposition to

depression (Klerman et al., 1984).
One of the assumptions of the Klerman
and Weissman model is that humans
are social beings and that healthy func-
tioning requires interpersonal connec-
tions. All interpersonal connections are
thought to be rooted in our attachment
experiences during infancy, but the
focus of assessment and intervention
would be on the interpersonal experi-
ences that are manifesting currently in
one’s life. Consider depression, which
often involves deficits in interpersonal
relationship skills, with some studies
suggesting that these deficits not only
vary as a function of transient depres-
sion, but also appear as stable defi-
cits over time in those with histories of
depression (e.g., Petty, Sachs-Ericsson,
& Joiner, 2004). For example, some
individuals lack the skills required for appropriate social
interaction, such as empathy (e.g.,
Grynberg, Luminet, Corneille, Grèzes, & Berthoz, 2010) or self-

assertion (e.g., Sanchez &
Lewinson, 1980). Others may have a limited number of
relationships due to social with-
drawal both in childhood (e.g., Katz, Conway, Hammen,
Brennan, & Najman, 2011) and adult-
hood (e.g., Choi & McDougall, 2007). Research also suggests
that depression can occur when
relationships are present, but are either perceived to be absent
(e.g., Cacioppo, Hawkley, &
Thisted, 2010) or perceived as shallow and unfulfilling (i.e.,
poor quality relationships; Leach,
Butterworth, Olesen, & Mackinnon, 2013).
iStock/Thinkstock
Do marital disputes lead to depression or does
depression result in more marital disputes?
Lec81110_07_c07_195-224.indd 210 5/21/15 12:40 PM
The conclusion is that interpersonal intimacy and closeness

seem to facilitate emotional respond-
ing and provide protection against stress and mental disorders.
Not surprisingly, many studies
have linked marital discord to depression (Whisman & Bruce,
1999), with meta-analytic summa-
ries of the literature finding a consistent and strong effect for
both men and women (Whisman,
2001). It seems clear that marital disputes may lead to
symptoms of depression; it isn’t certain,
although it is considered likely, that depression might also lead
to marital disputes. Even within
intimate relations, those who have a tendency to be highly
dependent are more likely to become
depressed and experience marital dissatisfaction (Uebelacker,
Courtnage, & Whisman, 2003). This
latter finding begins to bridge the connection between the
experience of mood states and more
stable personality dispositions—in this case, traits related to
dependency.
In a similar vein, disorders of personality are likewise
hypothesized to relate to interpersonal func-
tioning. For example, avoidant personality characteristics
appear to be related to interpersonal
competencies, such that conflict management skills appear to

mediate the relation between stress
symptoms of avoidant personality disorder (Cummings et al.,
2013). Borderline personality disor-
der is not only defined by interpersonal difficulties from a
diagnostic standpoint (American Psychi-
atric Association (APA), 2013), but research also implicates the
presence of interpersonal dysfunc-
tions (e.g., Minzenberg, Fisher-Irving, Poole, & Vinogradov,
2006). Research on those evidencing
schizotypal personality disorder also indicates that they are less
likely to have “real life” friends in
favor of interpersonal interactions that are internet-based
(Mittal, Tessner, & Walker, 2007). Even
schizoid personality disorder has been associated with
interpersonal deficits (Mittal, Kalus, Bern-
stein, & Siever, 2007). Given these findings and the fact that
interpersonal deficits are frequently
noted in the DSM-IV-TR (APA, 1994) diagnostic criteria, it is
not surprising that researchers have
recently proposed that the personality disorders defined in the
DSM-5 (APA, 2013) are similarly
related to deficits in interpersonal functioning (Skodol et al.,
2011). Thus, Klerman and Weissman
have provided an important interpersonal model for the
treatment of depression as well as a the-

oretical foundation for defining personality disorders. Their
theory and treatment approach has
a firm foundation in attachment theory, emphasizing the
importance of relationships for human
adaptation and functioning.
Kiesler’s Interpersonal Force Field
A final interpersonal model to be reviewed is Donald Kiesler’s
interpersonal force field (Anchin &
Kiesler, 1982; Kiesler, 1983), which is a two-dimensional
model based on the previously discussed
work of Leary (see Figure 7.3). Like its predecessor, the model
describes interpersonal interac-
tions in terms of two dimensions, using the terms affiliation
(love-hate, friendliness-hostility) and
control (dominance-submission, higher-lower status) (Kiesler,
1986). Kiesler believed that these
two dimensions dominate how individuals interact with each
other. Kiesler explains that begin-
ning very early in life, people begin to adopt a distinct and
identifiable interpersonal style. For
example, an individual might approach all new acquaintances in
a friendly, but highly dominant
manner. This mode of interacting contains a very clear message
concerning the degree of close-

ness and dominance that is expected of others. In future
interactions, patterns that are set during
Lec81110_07_c07_195-224.indd 211 5/21/15 12:40 PM
the first encounter are typically reinforced, with each person
influencing how the other reacts.
Kiesler (1986) refers to this as exuding a “force field,” which
largely determines the limited class of
responses that can be exhibited in response. In this sense,
individuals strongly encourage “com-
plementary” responses that essentially validate (behaviorists
would say “reinforce”) our inter-
personal style. Kiesler uses the expression interpersonal force
field to describe the influences at
play in interpersonal interaction.
The principle of complementarity styles was hypothesized to
occur in all relationships, but espe-
cially longer-term relationships (Carson, 1969; Kiesler, 1983;
Orford, 1986; Wiggins, 1982). Spe-

cifically, people in dyadic interactions are thought to negotiate
the definition of their relationship
through verbal and nonverbal cues, and the specific nature of
this give-and-take can be predicted
by a model (see Figure 7.3). As an illustration, negotiation
should occur along the following lines:
dominant-friendliness invites submissive-friendliness, and vice
versa, whereas dominant-hostility
invites submissive-hostility (e.g., passive-aggressive actions),
and vice versa.
A version of Kiesler’s (1986) interpersonal circle is depicted in
Figure 7.3 (see also adaption by Mil-
lon et al., 2000). Kiesler’s emphasis on the way relationships
and personalities interact and influ-
ence each other is clear in this model. It says, in effect, that if
you behave a certain way, others will
respond accordingly (the position on the circle opposite to the
one that describes your behavior).
As an example (as in Figure 7.3), if you behave in a cold-
punitive manner, the response will be
warm and pardoning. Similarly, controlling behavior will lead
to a docile response.
Lec81110_07_c07_195-224.indd 212 5/21/15 12:40 PM

Figure 7.3: Depiction of Kiesler’s interpersonal circle
This version of the interpersonal circumplex illustrates both
normal and pathological functioning.
Source: Adapted from Kiesler, D. J. (1983). The 1982
interpersonal circle: A taxonomy for complementarity in human
transactions. Psychological Review, 90(3), 195–
214. doi: 10.1037/0033-295X.90.3.185. Copyright © 1983 by
the American Psychological Association.
Another concept introduced by Kiesler is what he calls
transactional escalation (Van Denburg &
Kiesler, 1993). Transactional escalation describes how stress
can make the individual’s patterns
of interpersonal behavior more extreme and rigid, thereby
reducing even further the range of
behavioral responses that the person might produce. For
example, an accountant who tends to be
compulsive (focused on details) and whose employer is facing

financial difficulties may become
highly anxious. Stress caused by his fear of losing his job may
lead him to become even more fix-
ated on minor details so that, in the end, his behavior becomes
even more compulsive.
Arrogant–
Rigidly
autonomous
Confident–
Self-reliant
Spontaneous–
Demonstrative
Outgoing
Histrionic
Frenetically
gregarious
Controlling

Dictatorial
Critical–
Ambitious
Rivalrous–
Disdainful
Suspicious–
Resentful
Paranoid–
Vindictive
Icy–Cruel
Rancorous–
Sadistic Devoted–
Indulgent
All-Loving–
Absolving
Gullible–

Merciful
Ambitionless–
FlatteringSubservient
Abrasive–
Helpless
Unresponsive
Escapistic
Cooperative–
Helpful
Warm–
Pardoning
Trusting–
Forgiving
Respectful–
Content
Docile

Self-
doubting–
Dependent
Taciturn
Aloof
Antagonistic–
Harmful
Cold–
Punitive
Hostile
Deta
ched
Friendly
WarmTrusting
D
e

fe
re
n
tS
u
b
m
is
si
ve
U
na
ss
ur
ed
In
hi

bi
te
d
Cold
Soci
able
Ex
hi
bi
tio
ni
st
ic
A
ss

ur
edM
istrusting
C
om
petitive
D
o
m
in
a
n
t
Relatively more normal
Relatively more pathological (outer circle)
Lec81110_07_c07_195-224.indd 213 5/21/15 12:40 PM

CHAPTER 7 7.3 Interpersonal Relations and Their Link to
Attachment Styles
7.3 Interpersonal Relations and Their Link to Attachment
Styles
Early contributors to attachment theory were reviewed in
Chapter 3, but the more central aspects of this theory clearly
apply to any interpersonal model of personality (see Fraley &
Shaver, 2008). The basic premise of attachment theory is that
early relationships with pri-
mary caregivers (typically referring to the infant-mother bond)
establish a framework for adult
attachments. In this section, we will review the works of early
contributors such as John Bowlby,
Mary Ainsworth, and Luciano L’Abate.
Bowlby and Ainsworth’s Attachment Theory
At the heart of attachment theory is the assumption that all
mammals begin with a basic need for
attachment to adult figures that is not only necessary for
survival (e.g., for food and protection)
but is also desired for higher-level needs, such as love (Bowlby,
1982). Thus, early attachments

form for all infants with the primary caregiver(s) who can
provide those basic needs. The relational
aspect of this theory is immediately apparent because it is the
caregiver’s response to the infant’s
basic needs that contributes to the somewhat stable pattern that
emerges and then sustains itself
throughout the infant’s life. John Bowlby adopted an
evolutionary perspective in studying attach-
ment, and he noted that this is an adaptive behavior that occurs
in most social primates.
Initially, Bowlby studied the process of
attachment by focusing on deprivation
of attachment (e.g., maternal loss), but
beginning in the 1950s, Bowlby began to
collaborate with the developmental psy-
chologist Mary Ainsworth. The research-
ers noted that attachment behavior early
in life has clear survival advantages, as it
results in receiving protection and mate-
rial support from the group (family, com-
munity, etc.) and minimizes the potential
dangers of being isolated. Moreover, the
researchers noted that seeking the prox-
imity of others during times of threat is

especially adaptive.
Based on the collaborative efforts of
Bowlby and Ainsworth, attachment
theory suggests that the primary care-
giver’s response, in conjunction with the
attachment-seeking behavior from the infant (i.e., the infant’s
needs), results in a series of expec-
tations formed by the infant, which in turn, manifest as stable
behavioral patterns in relationships
(see Bretherton, 1992). This was studied in an experimental
context by Ainsworth, in what she
termed the strange situation. This research paradigm involves
briefly separating a child from his
or her mother in a novel setting and introducing a stranger. The
goal of the research was to closely
study how the child responded to the absence and return of his
or her mother, and how that might
compare to the responses to the stranger. Ainsworth and
colleagues studied and classified the
children in terms of their behavioral responses in this situation
(Ainsworth, Blehar, Waters, & Wall,
1978). Their initial work resulted in three classifications:
. Rayes/Lifesize/Thinkstock

This relationship and the bond that forms as a result is
thought to be central to the ability of the infant to form
healthy, secure relationships as an adult.
Lec81110_07_c07_195-224.indd 214 5/21/15 12:40 PM
Attachment Styles
1. Avoidant was applied to infants who generally avoid
opportunities to interact with their
primary caregivers, and as a rule are more isolative and least
affected by the mother’s
departure in the strange situation. Ainsworth hypothesized that
these infants were likely
rebuffed early on by their parents, and thus adopted this
interpersonal strategy.
2. Anxious-ambivalent was used to characterize infants who are
very clingy to their moth-
ers and become very upset when the primary caregiver leaves
the room. They also

appear to rebuff the caregiver upon their return to the strange
situation, despite the
apparent anxiety about her departure. These individuals are
thought to be more exag-
gerated in their attempts to attach with others, which in turns
drives many people away.
3. Secure infants easily explore the strange room while
maintaining contact with the care-
giver, decreasing exploratory behavior when the caregiver
leaves, and reattaching with
the caregiver upon her return. Thus, these infants are easily
soothed, and are not marked
by the isolation tendencies of the avoidant infant or the overly
clingy behavior of the
anxious-ambivalent.
Importantly, longitudinal research on a wide range of
individuals indicates that there is consider-
able stability over the first 20–25 years of life with respect to
these attachment styles (Waters,
Merrick, Treboux, Crowell, & Albersheim, 2000). Such findings
are critical as they confirm the basic
assumption that early attachments are critical to later life
attachments. Moreover, these early

patterns of attachment with one’s primary caregiver appear to
have lifelong implications for adult
intimate relationships.
Specifically, researchers have developed an adult self-report
measure of attachment styles (the
Adult Attachment Interview) that closely corresponds to the
attachment styles emerging from
the research with children (Hazan & Shaver, 1987). Moreover,
the researchers concluded, using
self-report measures of adult romantic attachment, that the three
basic attachment styles lead
to distinct ways of experiencing romantic love, and these
distinctions are theoretically consistent
with the basic tenets of attachment theory (Hazan & Shaver,
1987). In this respect, researchers
have concluded that behavioral and emotional dynamics that are
at play in the infant’s relation-
ship with the caregiver are also at play when in adult romantic
relationships, and the stability of
these interpersonal patterns is consistent with the classic
individual difference (i.e., personality)
model of psychology (Fraley & Shaver, 2000).
More recently, a four-category model of adult attachment styles

was proposed, with each style
categorized by the person’s self-image (dependence) and image
of others (avoidance), and each
of these can be defined as being
either positive or negative (Bar-
tholomew & Horowitz, 1991).
Thus, the individual with a posi-
tive self-view and a positive view
of others is labeled secure, with
these individuals being comfort-
able with both autonomy and
intimacy. In contrast, the indi-
vidual with a negative view of
self and negative view of oth-
ers is labeled fearful, and they
are characterized as fearful of
intimacy and avoidant of social
interactions. The individual who
Beyond the Text: Clinical Applications
Following years of work within developmental psychology,
researchers and clinicians began to apply attachment the-
ory to clinical work as well. In this paper, the author, Meifen

Wei, examines some of these implications of attachment
theory to counseling and psychotherapy. Read it at http://
www.divisionofpsychotherapy.org/wei-2008/.
Reference: Wei, M. (2008). The implications of attachment
theory in counseling and psychotherapy. Retrieved from
http://www.divisionofpsychotherapy.org/wei-2008/.
Lec81110_07_c07_195-224.indd 215 5/21/15 12:40 PM
http://www.divisionofpsychotherapy.org/wei-2008/
Attachment Styles
has a negative self-view but a positive view of others is labeled
preoccupied because they tend to
be preoccupied with relationships. Finally, the individual with a
positive self-view but a negative
view of others is labeled dismissing, as they are generally
dismissive of others and intimacy. One
theoretical advantage of this model is that it fits better within

the framework of the circumplex
models discussed earlier in the chapter because each style has
an opposing pole, which would cor-
respond to the opposite side of the circumplex (Bartholomew &
Horowitz, 1991). It also appears
to be the case that there are important points of convergence
among the different models of
attachment styles (for a discussion, see Bartholomew & Shaver,
1998).
L’Abate’s Relational Competence Theory
Although considerably less well known than the other work
reviewed in this section, L’Abate’s
Relational Competence Theory (RCT) has gained some attention
and empirical support since its
introduction into the literature over 30 years ago (L’Abate,
1976, 2005). Essentially, RCT empha-
sizes how effectively we deal with other individuals, whether
these are individuals with whom
we are intimate, or those we know less well. In fact, L’Abate
notes that relationships can be cat-
egorized as intimate versus non-intimate, long lasting versus
brief, close versus distant, commit-
ted versus uncommitted, and differing with respect to their
dependence, interdependence, or

independence. L’Abate also emphasizes that all of these
relationships are bidirectional, with the
individual being influenced by others as much as he/she is
influencing others.
Similar to previously discussed theories, L’Abate (2009)
suggests that RCT applies to all interper-
sonal experiences, and he refers to such themes as the extent to
which the person’s identity is
differentiated, meaning, for example, whether priorities are
self-focused (satisfying one’s own
needs) or other-focused (satisfying the needs of others) and
what role they play in an interaction
(e.g., victim, persecutor, rescuer). RCT also involves the
constructs of communality and agency,
which we discussed with regard to the circumplex model, the
construct of “drama triangles,” and
many different types of communication (i.e., it is not limited to
face-to-face interactions). There-
fore, according to L’Abate, RCT is expandable to account for
the growing level of communication
that is Internet-based. Much like other interpersonal theories,
RCT also has several clinical appli-
cations, in the form of self-help and psychotherapy for couples
and families (e.g., L’Abate, 1992;

L’Abate & Weinstein, 1987) and defining personality disorders
in terms of RCT (L’Abate, 2006).
Despite its more than 30 years of published history, RCT has
been somewhat ignored in the
broader literature, and virtually all of the published work is by
the author who originated the the-
ory. Moreover, only the most testable components of RCT have
been empirically valuated, leaving
many central aspects of the theory untested. L’Abate (2006)
recently compared RCT to attachment
theory, referring to the former as a relatively small player when
compared to the extensive theory
and research on attachment styles.
Lec81110_07_c07_195-224.indd 216 5/21/15 12:40 PM
CHAPTER 7 7.4 Assessment Strategies and Tools for the
Interpersonal Context
7.4 Assessment Strategies and Tools for the

Interpersonal theory has resulted in the development of a wide
range of assessment tools. In discussing the assessment of any
interpersonal context, whether it be a dyad, triangle, or larger
group, it is important to note that these units are ever-changing
as a function of time, situation,
and the individuals involved. They also vary as a function of the
interactions themselves. That is,
following any given interaction, the interpersonal context can,
and often does, change. Because
there are multiple contributors to this construct, there is the
potential for even more change than
is often seen in an analysis of the individual in isolation. Thus,
one of the greatest challenges for
assessment is to be able to measure the variability in the
interpersonal context.
Presented here is a number of instruments that purport to assess
interpersonal interactions, and
it should be noted that researchers have developed statistical
models to help analyze the data
emerging from these assessments (e.g., Ferrer, Steele, & Hsieh,
2012). One of the bigger statistical
challenges for data coming from multiple interacting sources is
that they are no longer statistically
independent. That is, the data points influence each other (this

is a basic tenet of interpersonal
theory) and so they can’t be considered as independent
observations, which is a basic assump-
tion of any statistical analysis (the statistical independence of
each participant’s data). Therefore,
a statistical correction must be employed when assessing
interpersonal data (e.g., Kenny, 1996;
Kenny & Garcia, 2012).
Thematic Apperception Test
The interpersonal model has produced an array of assessment
strategies and tools. Probably the
best-known assessment tool in the interpersonal model is the
Thematic Apperception Test (TAT),
which was reviewed in detail in Chapter 2. However, it is worth
noting here that because it pur-
ports to measure Murray’s interpersonal needs, it is considered
an important measure for the
interpersonal perspective. The TAT assesses such interpersonal
needs as dominance, deference,
affiliation, exhibition, recognition, rejection, nurturance, and
succorance (having someone’s needs
met by another), to name a few (Murray, 1938).
The TAT is still very popular and used extensively in clinical

practice, although to a lesser degree in
research (Weiner & Greene, 2008). Its use in research is limited
because assessing the meaning of
respondents’ stories can be a highly subjective exercise that
cannot easily be validated—although
various authors have developed manuals to serve as guidelines,
in an attempt to standardize scor-
ing and increase the TAT’s validity (see, for example, Cramer,
1982, and Hibbard et al., 1994). Many
psychologists now consider it more appropriate to refer to the
TAT as a “tool” or “technique”
rather than a test, thereby minimizing some of the criticisms
with respect to less standardization
and some of the basic psychometric shortcomings (e.g., lower
reliability coefficients). Neverthe-
less, there is little doubt that its introduction by Murray was a
major innovation in personality
assessment and continues to be relevant in clinical practice and
in interpersonal research, more
than six decades after it was published.
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Assessing the Interpersonal Circumplex
A number of measures have been developed, largely for use in
research, to assess the interper-
sonal circumplex. Because the circumplex model has been
revised numerous times since Leary
first introduced it, the measures have likewise been revised to
match the evolving theory and
terminology, and as noted, even some of the more recent work
in the area of adult attachment
styles adopts a model that is consistent with the interpersonal
circumplex.
Interpersonal Adjectives Scale (IAS)
Generally used as a self-report measure of trait descriptors, the
128-item Interpersonal Adjec-
tives Scale (Wiggins, 1979) requires the person to rate
themselves on a series of adjectives. The
IAS maps on to the structural components of the circumplex
model, which guides its develop-
ment. The reliability, validity, and factor structure of the IAS
has been demonstrated using mul-

tiple methods and models (e.g., Gurtman & Pincus, 2000).
A revised version of the scale, the IAS-R, is now more
commonly used. This version reduced the
scale to a 64-item short form, though it measures the same
constructs and maintains or improves
on the psychometrics of the scale (Wiggins, Trapnell, &
Phillips, 1988). The adjectives are rated
on an 8-point scale, with 1 denoting “extremely inaccurate” to 8
meaning “extremely accurate”
self-descriptors.
The Inventory of Interpersonal Problems-Circumplex (IIP-C)
This measure is also tied to the interpersonal circumplex, but it
focuses on interpersonal problems,
rather than traits, which is the basis of the IAS (Alden,
Wiggins, & Pincus, 1990; Horowitz, Alden,
Wiggins, & Pincus, 2000). In contrast to the IAS and IAS-R,
which were developed to assess normal
variations in personality functioning from an interpersonal
context, the IIP-C is instead focused on
interpersonal distress and interpersonal difficulties. The scale
was created based on an analysis
of presenting complaints of clients seeking therapy based on

problems that were interpersonal
in their origin. A 64-item test was developed from an initial list
of 127 items (interpersonal com-
plaints), thereby yielding eight octant scales that not only map
on to the circumplex, but also on to
Wiggins’ IAS/IAS-R scales. Respondents rate their agreement
with a series of statements reflecting
interpersonal deficits.
The Circumplex Scales of Interpersonal Values (CSIV)
This self-report measure was designed to assess values that
correspond to the circumplex model
and map on to the basic constructs of agency and communality
(Locke, 2000). There are eight
8-item scales that have been shown to have good test-retest
reliability, as well as good internal
consistency, and they relate to other measures of trait
functioning that map onto the circumplex
model. The CSIV was also validated on the IIP-C and the TAT.
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Assessing Attachment Styles
A wide range of measures have been developed to assess adult
attachment styles, with most used
in research and, to a lesser extent, clinical settings. Although all
are based on attachment theory,
there are some differences in how the measures are employed.
Assessing Romantic Love as a Function of Adult Attachment
Hazan and Shaver (1987) developed one of the first
classifications of adult romantic styles using
three descriptors that map on to Ainsworth’s typologies of
children. These descriptions were used
in their research to recruit participants from the community.
The participants were asked to select
which of the three summaries best describes their feelings in
adult romantic relationships. The
three categories are reproduced here (from Hazan & Shaver,
1987, Table 2):
1. Secure—I find it relatively easy to get close to others and am
comfortable depending on

them and having them depend on me. I don’t often worry about
being abandoned or
about someone getting too close to me.
2. Avoidant—I am somewhat uncomfortable being close to
others; I find it difficult to
trust them completely, difficult to allow myself to depend on
them. I am nervous when
anyone gets too close, and often, love partners want me to be
more intimate than I feel
comfortable being.
3. Anxious/Ambivalent—I find that others are reluctant to get
as close as I would like. I often
worry that my partner doesn’t really love me or won’t want to
stay with me. I want to
merge completely with another person, and this desire
sometimes scares people away.
The researchers demonstrated that the three categories were
strongly related to the attachment
histories of the participants and their past experiences of
romantic love; they even associated the
categories with state and trait loneliness (Hazen & Shaver,
1987).

The Adult Attachment Scale (AAS; original and revised)
In 1990, Collins and Read developed the AAS to assess adult
attachment styles. This measure
was subsequently revised (Collins & Read, 1990), resulting in
an 18-item scale assessing three
subscales. One subscale (closeness) assesses the degree to
which the individual is comfortable
with intimacy. A second subscale (depend) assesses the degree
to which one is comfortable being
dependent on others. The final subscale (anxiety) assesses the
degree to which the individual is
preoccupied with being abandoned or rejected.
The Adult Attachment Interview (AAI)
The Adult Attachment Interview (George, Kaplan, & Main,
1984/1985/1996) tries to identify sta-
ble differences in how individuals experience attachment in
adult romantic relationships. This self-
report inventory was developed largely as a research tool, and
in addition to assessing romantic
relationships, it can also be employed to assess adult parental
and peer relationships.

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Four styles of adult attachment have been delineated: (1)
secure, (2) anxious-preoccupied, (3)
dismissive-avoidant, and (4) fearful-avoidant, with there being
considerable overlap with the
attachment styles emerging from Ainsworth’s strange situation
for infants. The secure adults are
described as having a positive self-image, along with favorable
views of their partners and relation-
ships. Secure adults tend to feel equally comfortable with
independence and intimacy in relation-
ships. In contrast, the anxious-preoccupied individual is in need
of a high degree of intimacy, even
after only a short period of initiating a relationship. These
people seek constant responsiveness
and approval from their partners, they worry excessively about
the relationship and its possible
demise, and they would be characterized as highly dependent.

The dismissive-avoidant individual
is highly independent even within the relationship, presenting
themselves as self-sufficient and
invulnerable. These people tend to be minimally expressive with
respect to emotions, and in fact
are uncomfortable with too much emotional closeness. Finally,
fearful-avoidant adults also seek
less intimacy and suppress emotions. They have an extreme fear
of real relationships because of
the emotional pain that can result. However, at the same time,
these individuals very much want
to approach others and make meaningful connections with them.
Adult Attachment Projective
More recently the AAI has been modified into a projective test
that is based on responses to a
series of seven drawings, each evoking attachment-related
themes (George & West, 2001). The
Adult Attachment Projective (AAP) uses the dimensions of
disclosure, content, and defensive pro-
cessing to assign participants to one of four adult classifications
(secure, dismissing, preoccupied,
and unresolved) that are similar in nature to the classifications
noted with previous inventories.

The measure was validated in three separate samples,
demonstrating good inter-rater reliability
and convergence with the AAI. Being a projective test, the AAP
also provides a closer conceptual
connection to the earliest roots of attachment theory, which date
back to psychoanalytic theory.
Other Measures Tapping Aspects of Interpersonal Functioning
Each year, new measures are developed, many of which have
important implications for the inter-
personal aspects of personality functioning. Below is a small
sampling of those instruments, pro-
viding some perspective on the breadth and diversity of these
measures.
The Person’s Relating to Others Questionnaire (PROQ and
PROQ2)
The PROQ (Birtchnell, Falkowski, & Steffert, 1992) is a self-
administered, 96-item questionnaire
that assesses one’s relational tendencies with others. A total of
12 items (each rated on a 0–3
scale) contribute to each of the eight scales, and these scales
correspond to the octants charac-
terized in the circumplex model. Each of the eight scales range

from 0–30, with a total maximum
score of 240. The items emphasize negative relating over
positive relating, with ten of the twelve
items focused on negative relating. This is in keeping with the
bulk of the research conducted in
the field and reviewed in this chapter, which tends to emphasize
the aversive consequences of
interpersonal interactions (see also Locke, 2006).
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A revision of this instrument, the PROQ2, was subsequently
developed, with the revision resulting
in an instrument with a better factor structure (i.e., scales that
better map on to the underlying
constructs—the octanes—they are supposed to measure)
(Birtchnell & Evans, 2003).
Test of Negative Social Exchange (TENSE)

Based on the premise that a significant portion of the literature
has relied on single-item, unidi-
mensional assessments of adverse social interactions, Ruehlman
and Karoly (1991) developed
the Test of Negative Social Exchange (TENSE). The TENSE
assesses the four subscales (factors) of
hostility/impatience, interference, insensitivity, and ridicule.
The scale was validated in two sepa-
rate samples, and the four factors (subscales) were established
using exploratory factor analysis
and then replicated using confirmatory factor analysis. The
TENSE demonstrated good test-retest
reliability, it can predict outcomes related to psychological
well-being (depression, anxiety and life
satisfaction), and it appears to be distinct from social support
(Ruehlman & Karoly, 1991).
Assessment Instruments Used in RCT
Several paper-and-pencil measures have been developed to
evaluate aspects of Relational Com-
petence Theory, including the Self-Other Profile Chart to assess
selfhood and the individual’s pri-
orities; the Sharing Hurts Scale (Stevens & L’Abate, 1989) to
assess the extent to which one is able

and willing to share intimacy and also to assess identity
differentiation; the Likeness Continuum
Task (Cusinato & L’Abate, 2008); and the Dyadic Relationships
Test (Cusinato & L’Abate, 2005a,
2005b).
Cultural Influences
Cultural influences are not a specific focus of the interpersonal
model; however, the theory rec-
ognizes that there is tremendous variation in the ways in which
people express their values and
preferences. In addition, the interpersonal model has been
applied to very diverse populations.
For example, Sullivan worked extensively with severely
disturbed individuals and with those who
suffered from schizophrenia. He also worked with African
American juveniles, but largely attrib-
uted any observed differences to cultural beliefs.
Although a thorough testing of a cross-cultural application of
this model has not been demon-
strated, its recognition of individual diversity suggests that it
would be useful for understanding
and counseling culturally diverse groups and minority groups
(see also L’Abate, 2006). Of course,

areas such as attachment theory are also thought to transfer well
across cultures, given that the
theory is built on basic human attachment that is neither
culture- nor species-specific (e.g., van
IJzendoorn, 1990). Furthermore, it includes factors such as
respect, acceptance, adopting the per-
spective of clients, and encouraging clients to explore their
values. These factors, note Sue and
Sue (2007), are qualities that transcend culture.
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CHAPTER 7Key Terms
Summary
The interpersonal model represents a remarkable departure from
previous theoretical sys-tems. In a nutshell, it initiated a
transition from its intrapsychic and behavioral predecessors to
the field of interpersonal interaction. The father of the
interpersonal model is Sullivan, a
clinician who was interested in severe emotional disturbances
such as schizophrenia. He devel-

oped a theory that emphasized the survival and adaptation
functions of interpersonal relations.
He coined the term participant-observer to account for the fact
that, with its own dynamics and
processes, a dyad is greater than the two individuals in
interaction. His main concern was with
transactions that occur in dyadic relationships. He also
introduced the expression self-esteem sys-
tem to describe how attachments and related anxiety issues
influence personality development.
Murray, another pioneer who was influenced by Sullivan, was
particularly interested in the dyad.
Murray recognized the importance of the newly developed
general systems theory, and thought it
would contribute much to a comprehensive system of
personality. He and his associate developed
the Thematic Apperception Test, a widely used projective
instrument both in clinical practice and
in research.
Leary, expanding on the work of Sullivan, made a major
contribution with his model of the inter-
personal circle. He used this model to identify aspects of
interpersonal relationships, which he

thought were a reflection of personality. Leary’s work led to
many theoretical advances and much
research. Most notable is Benjamin’s structural analysis of
social behavior, a widely cited, empiri-
cally derived application and integration of Sullivan’s and
Leary’s work. This model is the most
influential of the current interpersonal lines. Other theorists
have developed interpersonal mod-
els that have supported the theoretical emphasis of Benjamin’s.
Klerman and Weissman developed an interpersonal model
designed to understand and treat
depression. They emphasized the importance of interpersonal
roles and relations in the develop-
ment of depression and personality. Kiesler developed a two-
dimensional model using Leary’s
interpersonal circle; he described how relationships shape our
personalities and our actions, coin-
ing expressions such as transactional escalation to show how
traits can be exaggerated in inter-
personal transactions.
Other major contributors to interpersonal theory were the
theorists who contributed heavily to
attachment theory, which itself represents an interpersonal

model to human personality func-
tioning. Individuals such as John Bowlby, who studied
nonhuman species, and Mary Ainsworth,
the developmental psychologist, demonstrated that early
patterns of attachment can be reliably
measured, differentiated, and used to predict relationship
patterns as adults in a theoretically
consistent manner.
Key Terms
agency The process of becoming individuated.
anxious-ambivalent A term used to describe
infants who cling to their mothers and develop
anxiety at their mothers’ departures, and
rebuff them when they return.
anxious-preoccupied An individual in need of
a high degree of intimacy and constant respon-
siveness and approval from partners.
attachment theory The assumption that early
relationships with primary caregivers establish
a framework for adult attachments.

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CHAPTER 7Key Terms
avoidant A term used to describe infants who
generally avoid opportunities to interact with
their primary caregivers.
circumplex model A two-dimensional repre-
sentation of interpersonal space, such as inter-
personal needs, problems, and values.
communion The process of becoming con-
nected with others.
complementary transaction An interaction in
which the needs of all participating individuals
are met. Also called a reciprocal transaction.
copy processes Ways in which interpersonal
patterns can be repeated.

dismissive-avoidant A highly independent
and self-sufficient individual who minimally
expresses emotions.
dyadic interaction An interaction between two
individuals.
emotional cutoff The stopping of emotional
contact with another individual in order to
manage unresolved issues.
fearful-avoidant An individual who seeks less
intimacy and suppresses emotions.
identification The copy process of behaving in
a way similar to another person.
interpersonal circle (IPC) A model, based on
Murray’s list of 30 needs, intended to analyze
interpersonal relationships and to diagnose
psychological problems.
interpersonal force field The influences at play
in an interaction between people, influenced
by each person’s distinct style in dealing with

others.
interpersonal reflex An automatic and involun-
tary reaction to the action of others.
introjection The copy process of individuals
treating themselves as they were previously
treated.
parataxic The inclination to respond to
others based on preconceived ideas and
pre-established schemata.
participant-observer The bidirectional process
in which both participants in an interpersonal
relationship are co-constructing and co-
evolving their experience.
prototaxic The conscious processes in infancy
and early childhood, in which sensations and
perceptions are fragmentary.
recapitulation The copy process of acting as
though someone from the past is still present
and in charge.

relational self The self in relation to important
others.
secure adults A term to describe those who
have a positive self-image and favorable view of
their partners and relationships.
secure infants A term for those who easily
explore a strange room while maintaining con-
tact with their caregiver.
self-differentiation An individual’s ability to
maintain a distinct sense of self separate from
the triangle or group.
self-system Describes the personality as it
is organized around gaining satisfaction and
avoiding anxiety (or finding an optimal level of
anxiety) through interpersonal experiences.
societal emotional process A process focused
on how a society reacts an individual’s emo-
tional needs.

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CHAPTER 7Key Terms
syntaxic The most advanced developmental
level of thinking, which allows for the con-
sideration of others and the use of symbolic
thinking.
systemic therapy A type of psychotherapy that
addresses patients in relationships.
transactional escalation When stress makes
an individual’s interpersonal behavior patterns
more extreme, thereby reducing the range of
possible behavioral responses.
triangle A three-person relationship; the small-
est unit in Bowen’s systemic therapy.
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Mario Tama/Getty Images News/Getty Images
Learning Objectives
able to:
• Explain how Tolman’s concept of latent learn-
ing sparked a need for theoretical accounts
that went beyond basic classical and operant
conditioning models.
• Describe the beginning of the cognitive revo-
lution and the importance of George Miller’s
memory studies.
• Explain how the computer has been used as
a metaphor for the way the mind processes
information.
• Describe how the cognitive counterrevolution
was different from the behavioral revolution
before it.

• List and define some of the foundational
concepts of cognitive approaches.
• Characterize George Kelly’s personal construct
theory and his view of humans as scientists.
Cognitive and Cognitive-Behavioral
Approaches to Personality 6
Chapter Outline
Introduction
6.1 Metacognition: Thinking About Your
Thinking
6.2 Major Historical Figures and Theories
• Edward Tolman and Latent Learning
• Chomsky and the Role of Language in
Cognition
• George Miller: The Cognitive Revolution
• Von Neumann and McCulloch: A Conceptual
Leap From Computers to the Mind

• Describe the contributions of the social learning theorists
Julian Rotter, Albert Bandura, and Walter Mischel and
their contributions to such concepts as reward value, behavioral
expectancies, self-efficacy, self-regulation, self-verification,
and motivated reasoning.
• Describe the process of modeling in both human and animal
models.
• Compare and contrast the cognitive theories of Albert Ellis,
Aaron Beck, and Marsha Linehan.
• Name and briefly describe some of the more commonly
employed assessment tools used in the cognitive perspective.
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CHAPTER 6
Introduction
“There are no facts, only interpretations.” F. Nietzche

It’s December 14, 2012, at approximately 9:30 a.m. It’s an
otherwise normal day
at Sandy Hook Elementary School in the small town of
Newtown, Connecticut.
Then, 20-year-old Adam Lanza arrives on the scene carrying an
arsenal of high-
capacity weapons, and he proceeds to gun down 20 helpless
children and 6 adults
and terrorize many more. Authorities would later discover that
Lanza had also
shot and killed his mother prior to coming to the school.
Unfortunately, the mas-
sacre was not an isolated incident in American history, but it
was the second dead-
liest school shooting in American history. Some claim that this
incident points to
the disturbed nature of some individuals. Others point to the
need for stricter gun
control to limit access to high-capacity weapons. Still others
suggest that violence
in the media or video games were to blame. What was your take
on these events?
If the goal were to predict your behavioral response to this
event, could we do

so simply by understanding the environment in which you were
brought up in
and currently live, or would we also need to understand how
you cognitively pro-
cessed the event? Is it even possible to study and comprehend
all of the factors
that influence your interpretation and response? Given the
considerable interpre-
tive variability of the above example, let us consider something
far less complex:
a physical stimulus.
The simple, visual example shown in Figure 6.1 illustrates
variability in how peo-
ple interpret the world. Perceptually, you might detect a chalice,
where the white
Introduction
6.3 Areas of Specialization Within
Cognitive Psychology and Their
Relation to Personality
• Information Processing
• Pattern Recognition
• Schema

6.4 Cognitive and Social-Cognitive
Approaches to Personality
• George Kelly and Personal Construct
Theory
• Julian Rotter’s Model of Behavioral
Expectancy and Reward Value
• Bandura’s Social Learning Theory
• Walter Mischel’s Self-Regulatory
Theory
6.5* Cognitive-Behavioral Approaches
to Personality
• Ellis’s Rational-Emotive Therapy
• Beck’s Cognitive Theory and Therapy
• Linehan’s Cognitive-Behavioral Model
6.6 Assessment Strategies and Tools
From the Cognitive Perspective
• Kelly’s Repertory Grid
• Beck Depression Inventory (BDI)
• Other Depression Inventories

• Anxiety Inventories
• Implicit Association Test
• Possible Selves and Self-Schemas
• Cultural Influences and Differences
Summary
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image is the figure and the dark portions are the (back)ground.
However, you
might instead detect two faces looking at each other, where the
dark image is now
the figure and white is the (back)ground. Research indicates
that your previous
experiences and how you formed conceptual categories can
influence what you
see by, for example, priming you for certain perceptual
categories (e.g., Ashby &
Maddox, 2005). More importantly, perceptions are also
influenced by your beliefs,

biases, and both conscious and nonconscious goals (e.g., Tamir,
Ford, & Ryan,
2013). Even very simple behaviors like pointing and grasping at
objects, which
require us to “code” information in our environments, can be
influenced by our
intentions (i.e., our planned actions; e.g., Wykowska, Schubo,
& Hommel, 2009),
suggesting that even basic and seemingly automated behaviors
are not passive.
This suggests that decidedly internal events are important to
understanding how
we interact with our environments, which brings us to a crucial
question: To what
extent does your ability to think and experience emotions define
your character?
The cognitive movement emerged following the heyday of the
behavioral move-
ment. Like the behavioral perspective, the cognitive perspective
also emphasized
scientific rigor and tight experimental methodologies. However,
the constructs of
interest were now internal processes, with the primary impetus
for this perspec-

tive being the constructs that had been overlooked by
behaviorists (i.e., working
on the assumption that there is more to human personality and
functioning than
mere behavior). Thus, the unique and subjective perspective of
the individual is
here emphasized, and it is acknowledged that there may be an
infinite number of
possible perspectives on any one event.
In this chapter we will discuss the nature of cognition and its
influence on person-
ality. We will see how a cognitive revolution in psychology
created a new frame-
work for looking at human behavior and personality. The
cognitive perspective
has proven very useful for theorists, researchers, and clinicians
and has led to dif-
ferent models that have been applied to personality theory and
clinical treatment.
Figure 6.1: Figure-ground perception
Do you perceive faces or a vase? What you perceive in
this image is influenced by previous experience, beliefs,

biases, and both conscious and nonconscious goals.
Source: Science Source/Photo Researchers
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CHAPTER 66.1 Metacognition: Thinking About Your Thinking
6.1 Metacognition: Thinking About Your Thinking
Cognitive theories focus on how our thought processes impact
our personalities. There is an important concept related to this
called metacognition. This term literally means thinking about
our thinking, and while the term is not used widely by the
primary theorists in this
model, thinking about our thinking is exactly what they are
asking us to do. Unless we can take a
step back and analyze our thinking processes from almost a
third person perspective, we cannot
change faulty cognition. As you will read in the following
pages, analyzing and challenging our
faulty thinking systems is at the heart of cognitive theories.

We all view the world through the filter of our personal and
cultural experiences. This is human
nature. What speaks to us as true is often determined by our
cultural experience or our personal
frame of reference. People who practice metacognition
constantly assess how their experiences
and perspectives are affecting how they process information.
Metacognition means that they
understand themselves and know the dynamics at play within
their own psyche. Most people
simply assume that if they think that something is right (or
wrong), it is just that.
Akin to the idea of metacognition is the concept of critical
thinking. You have probably heard the
term before, but definitions vary. Stephen Brookfield’s (1987)
approach aligns with the underlying
concepts of cognitive psychology and metacognition. He
contends that critical thinking is a process.
Although his definition includes emotional as well as rational
components, and clearly acknowl-
edges the importance of culture and context, it contains the
following common characteristics:
1. Identifying and challenging assumptions.

2. Challenging the importance of context.
3. Trying to imagine and explore alternatives.
4. Reflective skepticism. (pp. 7–9)
Brookfield (1987) defines reflective skepticism as the act of
constantly questioning the status quo.
Just because something has been believed for years does not
necessarily mean that it is true. Just
because someone of perceived importance (like professors, for
example) says something is right,
that does not prove that it is right. As was discussed in the
introduction, reality is subjective, and
what we “think” we know is not always objectively accurate.
Can you see the parallels with the cognitive model? We should
make it a habit to challenge
assumptions (including our own) and to understand the cultural
implications that underlie our
interactions with others. For example, Ellis says that while it
would be nice to be loved by all
around us, it is not a catastrophe if we are not. We create the
catastrophe by failing to question
our assumptions; in this case, the assumption that we should be
loved by everyone. Understand-
ing the cultural contexts helps us to also recognize that often,

someone not liking us is not even
about us—it is about them.
It is helpful to examine thinking through the construct of
cognitive development theory, because
thinking about our thinking requires higher level thinking skills
and logic. Many cognitive theorists
believe that concrete logic is not possible until at least age six
or seven and that only in the highest
levels of cognitive development can critical thinking take place.
Jean Piaget, a noted psychologist
and developmental theorist, postulates the following stages of
development:
Lec81110_06_c06_163-194.indd 166 5/21/15 12:39 PM
CHAPTER 6 6.2 Major Historical Figures and Theories
1. Sensorimotor Stage: Birth to age 2 (approximately). Children
begin with no thinking
structures (called schema) and develop them through
exploration of their senses and
experimentation on the environment. Significant cognitive

development occurs, but
children in the sensorimotor stage are incapable of logical
thought.
2. Pre-operational Stage: Ages 2 to 7 (approximately). Children
rapidly develop language
skills and more sophisticated cognitive structures but are still
pre-logical. They are not
capable of conservation (the ability to understand that substance
does not change
although it changes shape or form). They are also incapable of
de-centering (the ability
to see things from another’s perspective). Conservation and de-
centering are prerequi-
site to logical thinking.
3. Concrete Operational Stage: Ages 7 to adolescence. Children
begin to grasp conservation
and de-centering. They begin to question: How does Santa
really get to all those houses
in one night? They can now reason logically but only on a
concrete level, not hypotheti-
cally or abstractly. They solve problems logically but
haphazardly.

4. Formal Operations Stage: Adolescence and above. The person
is now capable of sophisti-
cated logical thought. He or she can think in the abstract, can
think hypothetically and can
solve problems using the logic of combinations (Dworetzky &
Davis, 1989).
Piaget’s stages ended with Formal Operations, but Riegel
(1973) has postulated a fifth stage called
Dialectical Reasoning. This is a stage beyond logic where
metacognition and critical thinking can
take place. It is the ability to perceive the frequent paradoxes in
life (to see the dialectic) and to
question and analyze the assumptions that underlie the logic.
Dialectical thinkers “readily recog-
nize, accept, and even enjoy conflict and contradictions in
values and possible courses of action
because sorting out these conflicts forces them to grow
intellectually” (Dworetzky & Davis, 1989,
p. 360).
6.2 Major Historical Figures and Theories
Cognitive science, which emerged in the 1950s, was a
revolutionary development in the field of psychology. In 1977,

Mahoney used the term cognitive revolution in describing this
shift in the field of psychology—a shift that was partly driven
by dramatic advances in computer
science. The cognitive revolution reflected the notion that
consciousness is the ultimate product
of evolution. Consciousness is what allows us to reflect upon
ourselves and to wonder about the
nature, the origin, and the purpose of our existence. This
capacity for reflective thinking is con-
sidered the “essence of the self” (Corr, 2006, p. 563)—small
wonder that Descartes should have
accepted as proof of his existence the fact that he could think,
summarized in his immortal phrase,
“I think, therefore I am.”
The goal of cognitive approaches to psychology is to understand
how we think—that is, the goal is
to explain topics such as how we process information, how we
remember, how we perceive, how
we solve problems, and how we process language. This was a
radical departure from behaviorism,
which emphasized empiricism and insisted that psychology
should concern itself with the observ-
able, objective aspects of human behavior. Recall that it was
behaviorism’s avoidance of specula-

tion about the mind and mental processes that had fueled its
break from what was then main-
stream psychology. Now a new cognitive science was again
suggesting that psychology should
be concerned with some of the old challenges of psychology
that behaviorism had set aside. The
cognitive sciences were concerned with what occurs in the
mind. And this presented a strong chal-
lenge to the supremacy of behaviorism.
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Edward Tolman and Latent Learning
Ironically, the roots of the cognitive perspective can be traced
to learning theory, where a num-
ber of findings began to emerge from behavioral research that
undermined some of the domi-
nant beliefs within that tradition. One of the first was Edward
Tolman’s (1949, 1955) work that
introduced the concept of latent learning. Latent learning is a
special form of learning that is not

immediately evident or behaviorally observable. Moreover,
latent learning occurs in the absence
of any reinforcement of either the behavior or any associative
learning (which means any learn-
ing process in which a new response becomes associated with a
particular stimulus due to their
occurring at the same time).
In a classic demonstration of latent learning in animals, Tolman
(Tolman & Honzick, 1930) assigned
hungry rats to one of three experimental conditions that varied
with respect to the delivery of
food (a reinforcer). In one condition, the rats were given food
only when they reached the end of
a maze, and this resulted in improved maze running with each
attempt. In the second condition,
the rats were not reinforced with food after running the maze,
and consistent with traditional
learning principles, they failed to demonstrate learning of the
maze. A third condition also initially
received no food for maze running, and predictably they too
failed to learn the maze—at least as
indicated by their behavior. However, after a series of
unreinforced trials, the rats were then rein-
forced for their maze running. This resulted in a dramatic

improvement (learning), and the rate of
learning indicated that they were in fact learning the maze in
the earlier trials, despite the lack of
reinforcement. The acquisition of maze running was so
proficient that they even outperformed
the rats in the first condition who had been reinforced
throughout the task. Tolman concluded
that rats in all three conditions were learning the maze and were
forming internal cognitive maps
(i.e., mental representations) of the maze. However, they simply
failed to demonstrate the behav-
ior until such a time as they were reinforced, which is why
those in the third condition could do as
well and even outperform the rats in the first. In this respect,
Tolman reasoned that the rats’
behavior did not reflect their internal mental processes, they did
not demonstrate learning until a
later time, and they appeared to learn even in the absence of a
reinforcer (reflecting the features
of latent learning). Tolman’s findings were soon replicated both
in animals (e.g., Karn & Porter,
1946) and in humans (e.g., Postman & Tuma, 1954; Stevenson,
1954).
Tolman’s work sparked an inter-

est in understanding the role of
human thought in the process of
learning, but his was not the only
research to challenge one of the
most basic assumptions of learning
theory, and cognitive psychologists
now looked at topics like percep-
tion, attention, thinking, memory,
and language (Neisser, 1967).
In this breakthrough paper, Tolman introduces the idea of
cognitive maps in animal and human models. Read it at
http://psychclassics.yorku.ca/Tolman/Maps/maps.htm
Reference: Tolman, E. C. (1948). Cognitive maps in rats and
men. The Psychological Review, 55(4), 189–208.
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http://psychclassics.yorku.ca/Tolman/Maps/maps.htm

Chomsky and the Role of Language in Cognition
A second, and somewhat independent, line of research that
further sparked the cognitive move-
ment was that of linguist Noam Chomsky (1972, 2000) who
noted that humans appear to have
a preparedness (a readiness) to learn and develop speech. Thus,
much in the way that fish have
a preparedness for swimming, monkeys for climbing, and birds
for flying, humans have a readi-
ness to acquire and use language. Chomsky believed that
language and mental processes develop
hand-in-hand, and that language can be used to access mental
constructs. Chomsky firmly
believed that the prevailing behavioral model, with its exclusive
use of learning theory, was unable
to explain the complexities of
language. Instead, he believed
that understanding thought pro-
cesses, which occur between the
stimulus and the response, is
necessary if one is to understand
language—a point with which
Skinner strongly disagreed (Skin-
ner, 1957; Chomsky, 1959).

Philosopher and cognitive psy-
chologist Jerry Fodor expanded
these ideas by suggesting that
beliefs and desires, which are
decidedly mental events, are
explained through what he
called the language of thought.
Fodor suggests that mental rep-
resentations are more than mere
explanatory tools; rather, they
reflect what has been codified in
the brain (e.g., Fodor & Pylyshyn,
1988). In Fodor’s model, con-
ceptual thinking is essentially an
internally represented language,
but it is not equivalent to lan-
guage. Rather, it exists in a for-
mat that reflects how the mind represents concepts using
symbols, which are organized as mental
sentences that follow the grammatical principles of language.
Much of Fodor’s theory was based
on the idea of computer intelligence, in which symbols are
manipulated by a computer following
basic algorithms to reflect psychological processes (e.g., Newell

& Simon, 1976).
Can cognition be shown to exist separate from behavior?
In a thought experiment (known as the Knowledge Argu-
ment) originally proposed by Frank Jackson (1982; see also
Jackson, 1986), the premise is that Mary is a brilliant neuro-
physiologist who studies vision, but must investigate the
world from a black and white room, with her only access
to the outside world being a black and white TV. She learns
everything there is to know about color, but she never expe-
riences color directly. The question posed is whether she
will learn anything once released from the room. Essen-
tially, Jackson uses this to illustrate that physicalism, which
is the thesis that everything is physical, and that everything
is necessitated by the physical, is false. For a summary of
the philosophical argument and counterviews, see http://
plato.stanford.edu/entries/qualia-knowledge/.
Reference: Nida-Rümelin, M. (2010). Qualia: The knowl-
edge argument. The Stanford Encyclopedia of Philosophy.
E. N. Zalta (Ed.). Retrieved from http://plato.stanford.edu
/archives/sum2010/entries/qualia-knowledge/.

Lec81110_06_c06_163-194.indd 169 5/21/15 12:39 PM
http://plato.stanford.edu/entries/qualia-knowledge/
http://plato.stanford.edu/entries/qualia-knowledge/
http://plato.stanford.edu/archives/sum2010/entries/qualia-
knowledge/
http://plato.stanford.edu/archives/sum2010/entries/qualia-
knowledge/
George Miller: The Cognitive Revolution
Miller’s work focused largely on human memory. In a thought-
provoking and widely cited article,
Miller (1956) suggested that immediate memory is limited to
seven items, plus or minus two
items. That is, most people are able to keep in mind (be
immediately conscious of or think about)
approximately seven distinct items. However, he soon
discovered that these seven items did not
have to be single units such as seven letters, but could be
groupings of letters or other items,
which he labeled chunks. Because information could be grouped

in different ways by different
individuals, and because this chunking predicted how people
perceived the physical world, it
began to establish the supremacy of thought over the outside
world (and observable behavior).
In Miller’s work, there is an emerging
cognitive perspective that concerns
itself with how mental processes may
be structured and information pro-
cessed. What occurs in the human
mind no longer needed to be studied
using highly subjective speculation, but
could now be brought into the realm of
the scientific method.
Miller had a significant impact on the
field when he looked to computer pro-
grams as a form of simulated thought
processes. He believed that the com-
puter made an excellent metaphor for
how the brain processes information.
He thought that the computer could
provide cognitive psychology with an
enormously powerful tool for simu-

lating mental processes. After all, the
computer suggests an easy analogy
for human cognitive processes. In this
analogy, the computer’s hardware is equivalent to the brain, and
its software to the mind and
its mental processes. Carrying the analogy further, input
corresponds to stimuli, and output to
responses.
Von Neumann and McCulloch: A Conceptual Leap From
Computers
to the Mind
The development of computer science was crucial in the
cognitive revolution. Mathematicians
such as John von Neumann and Claude Shannon reasoned that
symbols such as numbers could be
substituted for letters and that mathematical computations could
be used to express relationships
among these symbols. This notion was developed into programs
in which information is repre-
sented by a 0 or a 1 (binary representation) and where that
information can be manipulated and
analyzed using rules of logic and algebraic equations (Corr,
2006; Newell & Simon, 1972). Simon

and a young graduate student, Allen Newell, took up the
challenge of developing a computer that
could reason.
iStockphoto/Thinkstock Hemera/Thinkstock
Since the 1950s, theoreticians and researchers have
considered the computer as a metaphor for the inner
working of the mind. Thus, computer chips would be akin
to neurons in both their complexity as individual units and
their interconnectedness.
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CHAPTER 6 6.3 Areas of Specialization in Cognitive
Psychology and Their Relation to Personality
As researchers began to model the association between
computers and thought, the term and
subdiscipline of artificial intelligence (AI) emerged, which
further positioned cognitive psychology
as the natural successor to behaviorism (e.g., Casti, 1987;
Sharples, Hogg, Hutchinson, Torrance, &

Young, 1989). This line of investigation has examined some of
the more rudimentary cognitive pro-
cesses, such as basic perception (or “bottom-up” processing;
e.g., Achler, 2012), as well as meta-
analytic (“top-down”) views of intelligence (e.g., Hutter, 2012).
Researchers have also attempted
to replicate with computers such human experiences as emotions
and social skills, which involve
the challenge of predicting and reacting to the emotions and
motivations of others (e.g., Minsky,
2006). Currently, the Human Brain Project (Chapter 4) hopes to
provide solutions to the many
mysteries of consciousness and brain disorders.
6.3 Areas of Specialization in Cognitive Psychology
and Their Relation to Personality
Cognitive psychologists believe that not all inferences or
hypotheses need be based only on direct observation. The
scientific method, they insist, can make inferences about unseen
events and states, and this parallels practices in other
disciplines of science. For example,
when physicists speculate about particles like quarks and
neutrinos, or when evolutionary theo-
rists describe long-extinct life forms on the basis of fossil

records, they are discussing concepts to
which there is no direct access. For their part, cognitive
psychologists make inferences about the
inner workings of the mind (Hunt, 2007).
Within cognitive psychology, several areas of focused research
have developed over the years,
such as information processing, pattern recognition, and
schema. Each of these areas will be
explored here.
Information Processing
Emerging from the use of the computer as a potential model for
how the mind works was an ever-
expanding field termed information processing. In everyday
usage, the term information may be
thought of as an ordered sequence of symbols that has a
meaning that can be transmitted and
understood. Data, on the other hand, consist of unorganized
symbols that are without meaning
in their current form. Think of the difference between a random
list of names and phone numbers
(raw data) and these names ordered alphabetically
(information). Information processing is what
happens when data are manipulated and transformed into

information. Information has a rela-
tional connection that distinguishes it from raw data and makes
it useful (Ackoff, 1989).
Computers and the brain share some complex information-
processing operations. In comput-
ing science, these are mathematical operations often in the form
of algorithms. In humans, our
information-processing processes are often not as certain as are
algorithms. Instead, they tend
to be more “rule of thumb” and are referred to as heuristics.
These include processes for which
we have a high degree of awareness, as well as those for which
we have limited awareness. As an
illustration, consider the availability heuristic, which is the
tendency to assume that some events
occur with greater frequency than they do in reality because
those events are readily available to
us. For example, because every airline crash receives so much
media attention, it fosters the idea
(and perhaps subsequently the fear) for some that air travel is
unsafe, though it is statistically far
safer than traveling by car.
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CHAPTER 66.3 Areas of Specialization in Cognitive
Researchers have established that although there are some
common heuristics and biases that are
expressed by everyone (e.g., the availability heuristic, the
representative heuristic, etc.; see Kahne-
man & Tversky, 1973; Tversky & Kahneman, 1974; for a more
recent review, see Kahneman &
Tversky, 2000), individual differences can also dictate a
preference for some heuristics and biases.
For example, mood states appear to influence heuristics, such
that positive mood states increase
reliance on heuristics, resulting in an increased tendency to
make false racial identifications of
members of stereotyped groups (Park & Banaji, 2000).
Moreover, researchers have shown that
personality differences, such as sociability, can influence
heuristics (such as the representative-
ness heuristic), but only under specific conditions, such as when
sociability is relevant (e.g., judg-
ment problems dealing with rejection and abandonment; Moore,

Smith, & Gonzales, 1997). These
and other findings suggest that there is a complex interaction
between the use of heuristics, the
situational context, and longstanding personality differences;
with each of these factors contribut-
ing to the prediction of outcomes (e.g., Marszal-Wiśniewska &
Zajusz, 2010).
Information processing is cognitive psychology’s attempt to
describe what actually occurs in
the mind. When researchers and theorists investigate human
information processing, they are
exploring the internal workings of the mind. But since we
cannot observe information processing
directly, the models cognitive psychology presents are derived
by inference. For example, when
you see a threatening dog, neural receptors in your eyes
immediately send information to the
part of your brain responsible for pattern recognition. And when
a scary dog template is found in
your limbic system, there is an immediate fight-flight (and
recall from Chapter 4 that freeze has
also been added to this automatic response) decision implicit in
the signals that are sent to your
muscles. In this information-processing model, information

signifies various serially ordered men-
tal representations that result in some mental or physical change
or action (J. R. Anderson, 1990).
Of course, the above-noted example is a more universal
response, as most individuals would
respond in the same way to a threatening dog; the influence of
personality is illustrated when
more idiosyncratic responses emerge. For example, your
response to a particular type of human
face that you find attractive, but that is not considered
classically “handsome” or “beautiful,”
reflects your particular taste.
Pattern Recognition
One cognitive model suggests that infor-
mation processing involves recognizing
patterns. This model maintains that we
identify stimuli by matching them to a
model, pattern, or prototype that cor-
responds to the stimuli. For example,
Anderson (1990) hypothesizes that
the brain stores patterns, called tem-
plates, and that the perceptual system
compares these stored templates with

incoming information to find a corre-
spondence. Recall Ekman’s research on
emotions, where he found that certain
facial expressions seem to reflect feelings
that are universally recognized. Ander-
son’s template hypothesis explains this
by suggesting that our neural networks
iStock/Thinkstock
If a house is filled with pictures in which everyone in
the family looks happy, can that lead to a more positive
recollection and outlook on your family life? In this
respect, mental representations can overshadow reality.
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CHAPTER 66.3 Areas of Specialization in Cognitive
store various patterns of facial configurations, each of which
has a specific emotion attached to it.
An angry face will match our stored representations of other

angry faces. And other representa-
tions will tell us whether to smile, run for our lives, stay and
fight, or ignore.
In the cognitive perspective, representation involves the use of
symbols to depict or signify
objects, events, or occurrences. Cognitive psychologists
describe how external events are encoded
(transformed) and represented in the mind; they investigate how
these are recorded in our neural
networks so that they can be recalled as language, visual
images, feelings, symbols, and thoughts
(Hunt, 2007).
Research suggests that personality patterns can likewise
influence this specific cognitive process.
For example, borderline personality disorder (BPD) is
characterized by profound difficulties with
emotion regulation, the consequence of which is affective
instability. Because such difficulties are
most pronounced in social contexts, it has been hypothesized
and supported in the literature that
individuals with BPD have impaired facial emotion recognition
(typically with a negativity or anger
bias), which then undermines the interpersonal interaction

(Domes, Schulze, & Herpertz, 2009).
Despite establishing the problems that individuals with BPD
have with facial emotion recogni-
tion, what is unclear is whether these deficits affect all basic
emotions, are valence-specific, or
if individual emotions are implicated. Using a sample of 33
inpatients with BPD and 32 matched
healthy controls, patients with BPD were less accurate than
control participants in emotion recog-
nition, and this was especially true for negative emotions (there
was little to no impairment with
favorable faces; Unoka, Fogd, Füzy, & Csukly, 2011).
Individuals with BPD also had difficulties with
basic attributions, such that they over-attributed
disgust/surprise to facial expressions, but under-
attributed fear to the facial expressions relative to controls.
Schema
Memory is in large part about the self. That is, much of our
memory is autobiographical; it con-
sists of our constantly evolving narrative about ourselves
(Singer, 1995). In one study, Bartlett told
non-Western folktales to Westerners and found that the subjects
inadvertently filled in the blanks

according to their cultural expectations, omitting details that
did not make sense to the Western
mind. Bartlett termed this organized mass of experience-based
memory schemata or schema.
Schema have since become fundamental to cognitive
psychology. The term is used extensively in
Jean Piaget’s (1926) developmental theory. Schema refer to
mental structures that are organized
patterns of thought (see also earlier discussion of templates). In
terms of personality theory, we
can have self-schema (concept we have about ourselves;
discussed in Chapter 9) and person-
schema (notions we have about other people). Notions of self-
and person-schema were later
adopted by cognitive personality theorists who used them to
explain and treat depression and
personality disorders. Schema became the cornerstone of
cognitive models designed to explain
how thoughts and beliefs (schemata) influence personality and
are involved in the development
of mental disorders such as depression.
Research indicates that personality impacts person-schemas
(e.g., Srivastava, 2010; Wood, Harms,

& Vazire, 2010), and this not only influences how we
cognitively perceive ourselves, but also how
we perceive others (Kammrath, 2011). For example, individuals
high in trait narcissism (which is,
in fact, an indicator of low self-esteem) are more likely to
perceive others as uninteresting (Beck,
Freeman, & Davis, 2004). Individuals characterized as highly
agreeable are likely to perceive oth-
ers as more agreeable, while those scoring low on agreeableness
are more likely to see others
as hostile (Dodge & Crick, 1990; Graziano, Bruce, Sheese, &
Tobin, 2007). The assumption is that
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CHAPTER 6
the schemas that are easily accessible because they are applied
to one’s own behavior are the
same schemas that are readily available to characterize the
behavior of others (Higgins, 1996).
Moreover, with these schemas being activated, it primes
individuals to be attentive to situational/

environmental cues that are relevant to the activated schemas
(e.g., Mischel & Shoda, 2008). As
an example, if an individual manifests the trait of dominance,
they are likely to notice when others
are making a grab for power in an interpersonal interaction, or
when power is given up.
6.4 Cognitive and Social-Cognitive Approaches to Personality
As we noted earlier, the development of systems of
psychotherapy, psychopathology, and personality theory often
occurred simultaneously. These theories emerged from two prin-
cipal sources. Some theories grew out of clinical practice; most
of these are based on new
treatment models that led to advances in personality theory. A
second source of personality theo-
ries is more academic: It consists of theories that grew out of
research, rather than clinical prac-
tice. Theories from both of these sources, academic research
and clinical science, often show a
great deal of cross-fertilization—that is, they build on each
other’s ideas.
In the next section we review the founding theorists in the
cognitive perspective, including the work

of George Kelly, Julian Rotter, Albert Bandura, and Walter
Mischel. We will also present the work
of Albert Ellis and Aaron Beck, who in a parallel fashion
founded cognitive therapy. Each presents a
somewhat different perspective on how cognition organizes the
way we think, act, and feel.
George Kelly and Personal Construct Theory
Perhaps as a function of his upbringing on a farm in Kansas,
George Kelly adopted the perspective
that everyone, even those with less formal education, acts as
scientists do. Specifically, they try
to explain the present and predict the future, and like scientists,
Kelly (1955) argued that every-
one develops and modifies theories to accomplish the goals of
explanation and prediction. Kelly
referred to these theories as personal constructs. Kelly believed
that people’s lives represented
their “experiments,” and the utility of their personal constructs
(theories) was determined by how
well they accomplished the goals of explaining the present and
predicting the future. As a simple
illustration, if your life experiences (experiments) have resulted
in the belief that people will take
advantage of you if you give them the opportunity, this

represents a personal construct. This
might also lead to other constructs such as don’t trust anyone,
or don’t let anyone get too close to
hurt you. Presumably, these personal constructs have been used
to explain what has happened to
you, they provide a framework for interpreting the world around
you, and they allow you to antici-
pate what might happen next (predict the future). New
information, by way of new experiences,
may strengthen these constructs or it may weaken them (as
might be the case if you happen upon
some relationships that are especially warm and supportive).
In his landmark book, The Psychology of Personal Constructs,
Kelly (1955) put forth a fundamental
principle and 11 corollaries. The fundamental principle
essentially states that how a person per-
ceives the world is affected by how he or she expects
(anticipates) things will occur. In other
words, our expectations are the basis for our psychological
reality; it’s not just what’s out there in
the world, but rather what we think is out there and what we
expect to be out there. The 11 corol-
laries that can be derived from the fundamental postulate are
identified and briefly described in

Table 6.1 (see Kelly, 1955).
6.4 Cognitive and Social-Cognitive Approaches to Personality
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CHAPTER 6 6.4 Cognitive and Social-Cognitive Approaches to
Personality
Table 6.1: Kelly’s personal construct corollaries
Construction
corollary
People anticipate events by construing similarities to past
events. That is, we expect
things to happen as they did before (based on past experience).
Experience
corollary
Personal construct systems will vary as a function of construing
new events. This

means that as we experience the world, how we perceive that
world necessarily
changes and adapts to maximize predictability.
Dichotomy
corollary
Construct systems are composed of dichotomous constructs, and
there are a finite
number of said constructs. Constructs have two poles that
define each other (e.g.,
nice-mean, threatening-safe, outgoing-inwardly focused, etc.)
and there is a limited
number of ways we can interpret the world (i.e., constructs are
not infinite in their
number).
Organization
corollary
A construct system orders its specific constructs in a hierarchy.
More simply stated,
some constructs are more important and central than others.
Range corollary Any construct has a limited range of events to

which it can be applied. As an
illustration, a construct such as “good-bad” would likely have a
very wide range of use.
Modulation
corollary
Variability in the construct system is a direct function of the
permeability
(changeability) of the constructs, and some constructs are more
changeable than
others. Kelly was specifically referring to changes in the
construct’s range of use,
rather than the actual content of the construct.
Choice corollary Individuals are free to choose any constructs
for their construct system, but once
chosen, those constructs limit how the individual perceives and
interprets the world.
Individuality
corollary
Because we all differ in our experiences, our constructs and
construct systems will

necessarily be unique to us.
Commonality
corollary
Whenever two people interpret experiences in the same way,
their construct
systems should be similar.
Fragmentation
corollary
Due to the considerable variability within each person’s
construct system, it is
possible and, in fact, quite likely that different constructs
within one system are
incompatible with each other.
Sociality
corollary
A person can better get along with someone else by adopting
that person’s construct
system, even if the constructs are quite different.

Kelly hypothesized that individuals will experience anxiety
when their construct system fails to
explain or predict events. He argues that the natural response
for the individual is to modify their
construct system until events can be explained, and at that
point, anxiety should be reduced.
Kelly also defined a number of other emotional responses in
terms of personal constructs. For
example, Kelly suggested that guilt is experienced when one is
engaging in behavior or experienc-
ing thoughts that are incongruent with one’s superordinate (core
or central) constructs.
Perhaps one of the more interesting concepts introduced by
Kelly was that of cognitive com-
plexity. Kelly argued that individuals are healthiest when they
have numerous superordinate con-
structs that can be used to interpret the world around them. In
contrast, he considered those
with very few superordinate constructs as highly vulnerable; the
rationale being that if events
ever undermined those few (or one) superordinate constructs,
the individual would have no other
theories to adopt, and this would significantly undermine
personality functioning. In fact, Kelly

characterized psychological disorders as any time an individual
uses a personal construct that has
been repeatedly invalidated by life’s experiments. Presumably
this would be more likely to occur
Based on Kelly, G. (1955). The psychology of personal
constructs. New York: Norton.
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for those having fewer superordinate constructs to turn to, even
in the face of a failure to predict
and explain. In a study examining cognitive complexity and
traits, researchers demonstrated that
cognitive complexity (flexibility) is, predictably, most related
to the trait of openness to new expe-
rience (Tetlock, Peterson, & Berry, 1993).
Julian Rotter’s Model of Behavioral Expectancy and Reward
Value

Julian Rotter was one of the earlier contributors to the cognitive
movement as he elaborated on
the basic behavioral paradigm, and he was among the first to
introduce social learning theory. Like
behaviorists, Rotter still focused on predicting behavioral
outcomes. However, his theory empha-
sized two decidedly cognitive events as the most important
predictors of behavior. In the book
Social Learning and Clinical Psychology (1954), Rotter
suggests that behavior could be predicted
by knowing behavioral expectancy and reward value.
He defined behavioral expectancy as the individual’s
expectation that the contingencies—the
outcomes—for behavior are in place. That is, rather than
focusing on whether or not one is rein-
forced or punished for a behavior, Rotter shifted the focus to
whether the individual expects to be
reinforced or punished (i.e., the subjective assessment). The
second factor, reward (or reinforce-
ment) value, emphasizes the fact that we all subjectively value
rewards in different ways, and this
variability is critical to predicting behavior. Thus, if you highly
value earning an “A” in personality
psychology and expect to receive the “A” if you study, then

Rotter’s theory predicts that you will
study. However, if you either don’t value a high grade or don’t
believe that your efforts will be
rewarded, then the theory predicts that you will be less likely to
study.
It is also important to note that Rotter didn’t actually use the
term behavior, but instead empha-
sized behavior potential. Behavior potential was defined as the
probability of engaging in a spe-
cific behavior in a given situation. Obviously, in a given
situation, there are many behaviors that
one can engage in, and for each of these, there is a behavior
potential. Rotter hypothesized that
people will manifest the behavior with the highest potential.
Based on these concepts, Rotter
developed a simple formula to predict behavior. Specifically, he
stated that Behavior Potential (BP)
is a function of both Expectancy (E) and Reinforcement Value
(RV).
BP 5 f(E & RV)
Of course, because the factors of expectancy and reinforcement
value are derived in part from the

situation, in addition to the individual’s subjective appraisal of
each factor, social learning theory
is thus an interaction model, considering both the individual and
the situation. Several researchers
would expand on this model, but this was an important first
step.
One additional significant con-
tribution from Rotter was his
differentiation of internal versus
external locus of control. Rotter
(1966) stated that those with an
internal locus of control believe
that they have control over most
aspects of their life (e.g., ability
and effort), whereas those with
an external locus of control are
influenced by factors outside
one’s personal control (e.g., chance/luck, task difficulty). The
internal-external locus of control
distinction will be discussed extensively in Chapter 8.

In an award-winning 1990 address, Rotter reviews the his-
tory of the concept of locus of control.
Reference: Rotter, J. B. (1990). Internal versus external con-
trol of reinforcement: A case history of a variable. American
Psychologist, 45(4), 489–493.
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Personality
Bandura’s Social Learning Theory
One of the more influential theorists who integrated theoretical
contributions from the cognitive
perspective to the field of personality is Albert Bandura.
Bandura (1986; see also Bandura, Ross,
& Ross, 1961) developed a hybrid social-cognitive theory that
combines aspects of the behavioral
and cognitive approaches. The cognitive influence is seen in
Bandura’s emphasis on emotions
in determining behavior, as well as in the importance he places
on our ability to symbolize and

anticipate the consequences of our actions; both of these
represent decidedly cognitive events.
The behaviorist influence is also apparent in his discussion of
the consequences of our actions.
Modeling
Drawing on the work of Miller and Dollard (1941), Bandura
hypothesized that individuals learn in
a variety of ways, and of those, modeling is fundamentally
important. Modeling is learning that
occurs as a function of observing behaviors performed by
others. Through imitation, we learn all
sorts of important behaviors. For example, Bandura explains
that we learn new behaviors when we
see them performed by someone else;
we learn to inhibit deviant behaviors
when we see others punished for similar
behaviors (or perhaps we learn to engage
in deviant behaviors when we see others
rewarded for them). We also learn what
classes of behaviors and beliefs are likely
to be rewarded in our culture.
Note how Bandura’s explanations for

the effects of imitation are drawn from
behaviorist notions of reinforcement. It
is the consequences—and more impor-
tantly, the anticipated consequences—
of a model’s behavior that determines
whether or not the model will be cop-
ied. But note, too, that concepts such as
anticipation describe a fundamentally
cognitive activity: To anticipate is to sym-
bolize and to think. And symbols are a central aspect of
Bandura’s theory. In fact, Bandura’s theory
also asserts that a model need not be a real-life person
performing some act, but is perhaps even
more likely to be symbolic in our advanced technological
societies. Symbolic models include written
or verbal instructions, abstract graphical representations, film
and book characters, and any other
set of stimuli that can be represented and emulated (note the
overlap here with our earlier discus-
sion of representations).
Bandura proposed that the modeling process involves several
steps. The first two steps implicate
memory functioning, whereas the latter two steps involve
planned behaviors.

• Attention: In order for learning to occur, the individual or
animal must first notice and
attend to the defining features of the behavior that is to be
modeled.
• Retention: In order for the behavior to be reproduced, the
defining features of modeled
behavior have to be encoded, retained, and recalled.
Monkey Business Images/Thinkstock
How much do we learn from watching others get in
trouble (or be rewarded)?
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Personality
• Reproduction: To reproduce a behavior, responses must be
organized to match the model.
The process of organizing typically improves with practice and

can move from an intentional
act, to one requiring minimal attention (i.e., a more automated
behavioral sequence).
• Motivation: Incentive(s) or motive(s) are typically needed to
reproduce the behavior.
Some of the strongest experimental data on the effects of
modeling that is more readily appli-
cable to our daily life can be seen in the literature examining
the impact of exposure to violent
media (primarily television) images (for a review, see Friedrich-
Cofer & Huston, 1986). Most note-
worthy, a study by Huesmann and colleagues (1984) found that
earlier viewing of aggression on
television predicted later aggression, even after initial levels of
aggression and age were statisti-
cally controlled. Moreover, the effects were strongest when the
participants (boys) reported that
they could identify with the violent television characters (note
the consistency with the earlier
research, cited in this chapter, regarding self-schemas). In
addition, research has shown that the
effect of violent media images affects both immediate and long-
term aggressive behavior (Bush-

man & Huesmann, 2006). As a result, even the most recent
reviews of the literature have con-
cluded that television violence does result in increased
aggressive behavior, and the magnitude
of this effect appears to have increased since 1975 (Bushman &
Anderson, 2001). Of course, as
technology has changed, so too have the media channels through
which we can be exposed to
violent images, and researchers have shifted their focus to such
areas as violent video games (van
Schie & Wiegman, 1997).
Importantly, not all of the published studies have concluded that
violent video game exposure
necessarily results in more aggression or violent outcomes (e.g.,
Williams & Skoric, 2005); in fact,
there is considerable division in the empirical literature on what
we really know about this phe-
nomenon (Kutner & Olson, 2008). As noted in the opening of
the chapter, considerable debate
erupted over the causal antecedents of the Newtown shooting,
with the violence portrayed in
the media being one of the alleged contributing factors. The
uncertainty over the role of media
violence was perhaps highlighted most clearly when the

Supreme Court of the United States ruled
that video games have First Amendment protection and that
minors’ use of violent video games
could not be regulated by the government (Brown v.
Entertainment Merchants Association, 2011).
The Supreme Court’s decision was based at least in part on the
high court’s conclusion that the
scientific evidence was “unpersuasive,” as it was lacking in
scientific scrutiny, and this paralleled
recent similar conclusions by government reviews in both
Australia and Sweden (Swedish Media
Council, 2011). However, a recent publication does provide an
effective summary on the points
of agreement in the empirical literature, and they are: (1) Video
game violence is an important
area for ongoing research; (2) violence is determined by
multiple factors, (3) results tend to be
stronger when the outcome measures are aggression and
measured in the lab, and minimal when
the outcome behavior is violence and measured outside the lab;
and (4) in order to fully under-
stand whether, and to what extent, media violence impacts
aggressive behavior, there is a need
to consider evidence from multiple sources, including survey
research, experimental studies, and

longitudinal/prospective research (Ferguson, 2013).
Self-Efficacy
Another important construct developed by Bandura (1997) is the
construct of self-efficacy (or
mastery/competency), defined simply as the belief that you have
the ability to succeed—or, more
literally, the opinion you have of your personal effectiveness in
a given situation. For example,
those with high levels of self-efficacy are more likely to stop
smoking because they believe that
they can. In a sense, self-efficacy is something of a self-
fulfilling prophecy: People with high self-
efficacy expect to be successful, they tend to engage in
activities where they are successful, and,
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Personality
as a result, their activities bolster their notions of self-efficacy.

High self-efficacy provides a sharp
contrast to the concept of learned helplessness (as discussed in
Chapter 5). Individuals character-
ized by learned helplessness believe that they have no control
over outcomes; hence, they have
very low notions of self-efficacy. It should also be noted that
self-efficacy beliefs can be domain
specific. That is, one might have highly elevated self-efficacy
beliefs with respect to their work, but
very low self-efficacy beliefs with respect to relationships. Not
surprisingly, some research sug-
gests that domain-specific, self-efficacy beliefs, such as those
in the social domain, are related to
specific personality traits, such as agreeableness (Caprara,
Alessandri, & Eisenberg, 2012).
The context specificity of self-efficacy beliefs is not only
important to predicting behavioral out-
comes in different contexts, but it also highlights the fact that
we can cognitively create and dif-
ferentiate contexts simply by how we perceive them. Social
cognitive theory is focused on our
expectations about the future, and Bandura believed that our
self-efficacy perceptions are central
to our expectations. Although there are many ways in which

self-efficacy beliefs can influence
our behavior, one of the most profound is in its relation to
effort and persistence, which in turn
also influences performance (e.g., Sitzmann & Ely, 2011). That
is, if we believe we are competent
enough to succeed, this predicts sustained effortful behavior,
whereas if we doubt our abilities,
then we are less likely to try (e.g., Bandura, 1997).
Reciprocal Determinism
Bandura’s (1986) theory suggests that in order to predict
behavior it is important to understand
the person (i.e., their internal cognitive processes), his or her
behavior, and the environmental
context or setting in which the behavior occurs. Bandura also
suggested that each of these three
factors is both caused by and causes the others—hence, the
concept of reciprocal determinism
(or reciprocal causality). In this respect, by accounting for both
internal processes of the individual
and environmental context, social cognitive theory
demonstrated a considerable advance over
the psychodynamic and behavioral perspectives that predated
the cognitive movement.

XiXinXing/Thinkstock Eyecandy Images/Thinkstock
How do our beliefs about domain-specific self-efficacy affect
our success in certain domains?
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Personality
Walter Mischel’s Self-Regulatory Theory
Walter Mischel’s training within a cognitive framework was
established early on, as he studied
under both George Kelly and Julian Rotter. Mischel made a
number of important contributions
to the field of personality psychology, and among them were his
ideas on self-regulation. Self-
regulation is the process of identifying a goal or set of goals
and, in pursuing these goals, using
both internal (e.g., thoughts and affect) and external (e.g.,
responses of anything or anyone in the
environment) feedback to maximize goal attainment. In an early

classic experiment with implica-
tions for self-regulation, Mischel tested school children in the
late 1960s who were asked to regu-
late their impulses for an immediate desired reward (e.g., a
single marshmallow) in order to gain
a greater reward (e.g., two marshmallows) at a later point in
time. Although this research can be
considered within the framework of delayed gratification or
even the trait of impulsiveness, it can
likewise be conceived of as an early experiment in the ability to
self-regulate to a specific goal. In
this current example, the goal might be to maximize the number
of marshmallows they could eat
(although for some children, the goal may have been to
minimize the time they would have to wait
for the marshmallows!). The children who were most effective
at self-regulation (also referred to
as self-control) were also found to be more successful later in
life, resulting in higher scores on
standardized tests, higher educational attainment, lower
incidence of drug use, and more stable
marriages (Mischel, Shoda, & Rodriguez, 1989).
Mischel and colleagues also demonstrated that some
intervention strategies (e.g., blocking the

desired stimulus from sight or imagining the reward to be
something less desirable) could be used
to help the children self-regulate more effectively, thereby
indicating that these were: (1) mutable
processes and (2) a direct function of the individual and the
situation. That is, some individuals
could regulate their behavior more easily than others, and some
could modify their behavior more
easily than others. More recently, Mischel and colleagues
demonstrated that individuals who can
more effectively self-regulate may be better at taking a broader
(“big picture”) perspective on
matters and finding meaning in their experiences (Kross,
Ayduk, & Mischel, 2005). Thus, Mischel
saw humans as actively involved in the construction of their
own psychological world, rather than
being passive and instinct-driven in responding to their
environments (Mischel, 1976).
Like Bandura and other social learning theorists, Mischel
emphasized goal setting, and self-
regulation to one’s goals, as central to predicting human
behavior. Within the context of goal
setting, a number of factors are implicated, including perceived
competencies (as per Ban-

dura), subjective appraisals of reward value and expected
reinforcement (as per Rotter), and
even basic cognitive abilities, such as encoding strategies. The
goal-driven behavior is likewise
affected by feedback or corrective information. For example, if
a student is not progressing to
a desired or expected level toward a goal, such as doing better
in a history class, the student’s
behavior can be adjusted. This can be done in one of two ways.
The student could increase
effort or efficiency by studying more, going to speak with the
professor regularly, or taking
more notes in class. Adjustments can also be made via the
student’s goals. For example, the
student can maintain the same effort and efficiency but lower
expectations for the outcome
(i.e., accept a lesser grade as a measure of success).
Building on the self-regulatory framework here described,
researchers have studied how a desire
for a particular outcome can impact the cognitive processes and
goal pursuit. For example, Kunda
(1990) suggests that when we make inferences and reason
regarding our environment, this does
not occur in a vacuum. Instead, we reason within the context of

specific desired outcomes (such
as getting a higher grade), and as a result we may be motivated
to perceive events in specific ways,
referred to as motivated reasoning.
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Personality
In a comprehensive review of the literature, Kunda (1990)
highlighted the concept of motivated
reasoning as showing that (e.g., Kruglanski & Freund, 1983;
Kunda, 1987; Pyszczynski & Green-
berg, 1987; Sorrentino & Higgins, 1986) people utilize
cognitive processes and mental representa-
tions to reach desired conclusions and that their motivation
plays a critical role in determining the
specific cognitive processes they employ (Kunda, 1990). Thus,
in essence, we are biased in how
we utilize cognitive processes when navigating toward desired
outcomes (Kunda, 1990). As an
illustration, consider how you might evaluate an interaction

with an acquaintance whom you want
to date. As you use cognitive processes to evaluate your social
interactions with this person, you
are motivated to notice and favorably interpret some cues (e.g.,
smiles, eye contact, responding
to your text), as well as being motivated to possibly ignore or
minimize other cues (e.g., lack of eye
contact with you or failure to return your text).
At an even more basic level, recent research has shown that our
internal motivations can impact
our visual perception—that is, our motivations can affect what
we see and how we see it. Con-
sider the research by Balcetis and Dunning (2006) in which they
examined visual perception and
how it is influenced by motivated states. The researchers
informed participants that they would
be assigned to one of two experimental conditions based on
randomly generated information on
a computer. For example, in study 1, participants were engaged
in what was ostensibly a taste-
testing task, and they would either have to consume and
evaluate a glass of freshly squeezed orange
juice (desirable) or a chunky, gelatinous substance referred to
as an “organic veggie smoothie”

(undesirable); both beverages were placed in front of
participants and they were encouraged to
smell them. They were then instructed to look at the computer
screen and told that they would
see either a “13,” which was assigned to the OJ, or the letter
“B,” which was assigned to the veggie
smoothie, and that whatever symbol they saw would determine
the beverage they would drink.
An ambiguous figure (see Figure 6.2) was then presented for
400 ms and then the computer
“crashed.” Participants were then asked by the experimenter if
they happened to notice anything
on the screen prior to the “crash.” Participants overwhelmingly
(i.e., 82%) reported seeing the
symbol that was randomly assigned to the desirable outcome
(i.e., 13, rather than B). Similar
findings were reported in four additional experiments, leading
the researchers to conclude that
motivation clearly affects visual information processing.
Figure 6.2: The ambiguous “B–13” figure
Research suggests that whether you see a “B” or a “13” depends
on if a desirable outcome is associated with seeing one of the

two figures.
Source: From Balcetis, E., & Dunning, D. (2006). See what you
want to see: Motivational influences on
visual perception. Journal of Personality and Social Psychology,
91(4), 612–625. doi:10.1037/0022-
3514.91.4.612. Copyright . 2006 by the American Psychological
Association.
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CHAPTER 6 6.5 Cognitive-Behavioral Approaches to
Personality
Researchers have also linked personality to other aspects of
reasoning. For example, trait extra-
version is associated with the increased incidence of reasoning
errors on valid syllogisms, despite
expressing greater confidence in their erroneous decisions
(Papageorgiou et al., 2012). However,
other research suggests that this same trait can result in more
effective reasoning, provided the
reasoning task is related to the trait of extraversion (Fumero,

Santamaría, & Johnson-Laird, 2011).
Finally, research has also been able to link several personality
traits, such as extraversion and neu-
roticism, to moral reasoning (Athota, O’Connor, & Jackson,
2010).
Person-by-Situation Debate
Although this will be elaborated in greater detail in Chapter 8,
which focuses on personality traits,
it is here noted that Mischel was squarely at the center of one of
the biggest controversies in psy-
chology. Researchers such as Mischel critiqued personality
researchers (specifically those studying
traits) for over-emphasizing the person when trying to predict
behavior. Mischel believed situ-
ational factors to be at least as important in determining
behavior as trait factors.
To support his point, Mischel had collected considerable data
on the behavior of schoolchildren in
different situations and concluded that there was minimal cross-
situational consistency, thereby
speaking to the explanatory power of situations rather than
traits. In 1968, Mischel published

his classic book Personality and Assessment, which critiqued
traits on two major grounds. First,
Mischel argued that traits only accounted for approximately 9%
of human behavior (i.e., aver-
age correlations of approximately .30), with these figures being
derived in part on his studies of
schoolchildren in different contexts. His second critique
suggested that traits were mere labels,
and therefore limited in their utility. Although the field of
personality did respond to these chal-
lenges, Mischel was instrumental in moving the field to a more
interaction-based approach to
understanding and predicting behavior.
6.5 Cognitive-Behavioral Approaches to Personality
There is considerable overlap in current cognitive and
cognitive-behavioral models of per-sonality (see Figure 6.3).
Still, one way to differentiate between the two approaches is to
look at the way they were influenced by various other
disciplines. Whereas cognitive theory
was highly influenced by computer models, as well as by
linguistics and anthropology, cognitive-
behavioral models emerged out of the behavioral tradition. As a
result, cognitive-behavioral theo-

rists have a somewhat different orientation, which is evident in
their use of behavioral concepts
and therapies. It is interesting to note that there are elements of
a cognitive approach in the much
earlier work of some psychoanalytic theorists, such as Karen
Horney, Otto Rank, and Alfred Adler,
all of whom influenced Aaron Beck, whose work is discussed in
this section (Sperry, 1999). Some
of the theoretical work that underlies personality theory, which
emerged from the cognitive-
behavioral tradition within clinical psychology, is here
reviewed.
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Personality
Ellis’s Rational-Emotive Therapy
Albert Ellis is generally recognized as having launched the
cognitive revolution in psychother-
apy. His Rational-Emotive Therapy (RET) [(later changed to
Rational Emotive Behavior Therapy

(REBT)] was one of the earliest applications of the cognitive
model to psychotherapy. It emerged
in the mid-1950s (Ellis & Harper, 1961) and was at the
forefront of the cognitive revolution. Ellis
claims that REBT “had an implicit theory of personality” (Ellis,
1974, p. 309). A later text, published
shortly after his death in 2007, at age 90, presented a more
formal theory of personality (Ellis,
Abrams, & Abrams, 2009).
Ellis’s basic tenet is that irrational thinking (a decidedly
cognitive event) is the central cause of
human suffering. His theory is partly derived from the work of
Alfred Adler (1923), who believed
that humans constantly evaluate and give meaning to events in
their lives. Ellis acknowledges the
influence of Karen Horney (1950), who talked about the
“tyranny of shoulds” (as in “I should have
done that,” “I should act like this,” etc.). He also was
influenced by the work of Julian Rotter (1954),
who emphasized the cognitive aspects of learning and
personality theory (Arnkoff & Glass, 1992).
More specifically, Ellis believed that it is not the actions of
others, the defeats we experience, the
problems of the external world, or other events that cause

suffering, but the way we think about
or interpret these events.
The fundamental component of personality disorders, explained
Ellis, is “irrationality.” Irra-
tional beliefs are what lead to emotional, cognitive, and
behavioral disturbances (Ellis et al.,
2009). Ellis (1974) developed the ABC theory to explain how
beliefs (either rational or irratio-
nal) lead to emotional and behavioral outcomes. In this theory,
A 5 Activating Experience;
Figure 6.3: The influence of different disciplines on the
cognitive and
cognitive-behavioral models
Anthropology
Cognitive-Behavioral
Linguistics
Computer
Science

Cognitive
Behavioral
This figure illustrates the somewhat distinct
fields influencing the emergence of the
cognitive and cognitive-behavioral models.
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Personality
B 5 Belief System; and C5Consequence (i.e., emotional
consequence). Whereas many people
might directly attribute an event or experience to a particular
outcome or consequence—that
is, A S C—according to Ellis’s ABC theory, point B, our belief
system, determines our emotional
outcome (C) to our experiences (A)—that is, A S B S C. How
we think about an experience
determines our emotional reaction to it. For example, if your car
is stolen in a big city you’ve never

been to before (A), then the way you think about it (B) will
determine your emotional state (C).
You can, for example, believe that cities are dangerous places
and that perhaps there are criminals
who have targeted you for a crime. This would obviously lead to
a more anxious and paranoid
emotional state. You can believe that car theft happens
everywhere, in towns big and small, and
that you simply were unlucky in this instance. Such thinking
about the event will likely lead to far
less anxiety, and perhaps none at all.
If we apply the ABCs of REBT to personality development, we
can arrive at a basic understanding
of how personality patterns develop. Based on variations in
biologically based emotional response
tendencies, individuals are going to be shaped by the
conditioning patterns present in their social-
cultural environment. Those who are sensitive to rejection
might begin to interpret minor rejec-
tions as too awful to bear and develop a conditioned response
pattern of avoiding situations in
which they might be rejected. This behavior pattern will
continue to be shaped by the individual’s
beliefs and may become firmly entrenched. As a result, the

individual might later be described as
having a shy, withdrawn, avoidant personality.
Beck’s Cognitive Theory and Therapy
Aaron Beck, though psychoanalytically trained, was interested
in developing a treatment approach
that would be brief, in contrast with the traditional
psychoanalytic approaches that were sometimes
astonishingly lengthy, often lasting many years (Beck, 1967).
Like Ellis, Beck became disenchanted
with the analytic model and began to use aspects of cognitive
science’s information-processing
model. One construct that proved especially useful in the
development of his theory was that of the
schema—the individual’s internal representations (private
thoughts, beliefs, and emotions).
Beck was intrigued by evidence suggesting that depressed
patients’ views of the world are dis-
torted by negative thinking and misattributions about
themselves and the world. Accordingly,
Beck began to use the rules of evidence and logical argument to
change the depressed patient’s
cognitive distortions (Beck, Rush, Shaw, & Emery, 1979). He
too believed that the way we perceive

and how we interpret situations shape our emotions and
behaviors. If the therapist can change
these perceptions and make the patient think more rationally,
personality disorders might well
be resolved. The therapeutic approach Beck developed describes
specific cognitive distortions
that characterize various neurotic conditions, and it outlines
how the general principles of cog-
nitive therapy can be used to treat these conditions, as well as
to treat depression (Beck et al.,
1979). Importantly, just as the social learning theorists tried to
explain and predict the behavior of
most individuals, practitioners like Ellis and Beck were using
similar cognitive frameworks to effect
changes in those with problematic thinking.
A Cognitive Model of Depression
Beck’s interest in the clinical phenomenon of depression
culminated in the publication of the book
Cognitive Therapy of Depression (Beck et al., 1979), which
many consider a major development in
the treatment of depression, and he later addressed personality
disorders, developing his cogni-
tive theory of personality (Beck & Freeman, 1990; Beck,

Freeman, & Davis, 2004).
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Personality
There is evidence that personality factors play a role in the
development of depression (Klein,
Kupfer, & Shea, 1993). The cognitive model of depression
suggests that there may be important
links among overlapping cognitive schema (thoughts and
beliefs), and as maladaptive thoughts
become well rehearsed and automated, the problems are more
likely to manifest in the form of
personality. Moreover, the relationship between personality and
depression may be reciprocal.
Thus, just as irrational beliefs (schema) are at the root of
personality disorders, so too can certain
personality features, such as high emotionality (neuroticism),
make one more vulnerable to the
effects of loss or personal failure, either of which can
precipitate depression (see Figure 6.4).

Similarly, a highly confrontational and demanding individual
may have trouble maintaining attach-
ments and may have to deal with the emotional consequences of
poor relationships.
Figure 6.4: The highly interdependent nature of mood and
personality
Neuroticism can result in
one overreacting to aversive
outcomes, which can lead to
a negative mood state. If this
occurs with sufficient frequency,
then more durable aversive
mood states (e.g., depression)
may occur.
Interdependence
of personality
and mood
High
neuroticism

Sad mood
state
Overreact to
most outcomes
(catastrophes)
Durable and
more intense
sad mood
(depression)
Beck et al. (1979) present a compelling information-processing
model that identifies predisposing
factors for depression. The theory proposes that negative
concepts about the self, the external
world, and the future result from our early experiences. These
negative concepts are encoded in
schema that we may be unaware of but can be activated by
situations similar to the experiences
that first led to the negative schema. For example, if you had a
parent who left the home while
you were young, you might be more likely to detect
abandonment cues, such as someone show-

ing decreased interest, and this leads you to interpret even
benign information consistent with a
schema based on abandonment. Thus, the theory describes
cognitive distortions associated with
depression as primitive rather than mature ways of thinking (see
Table 6.2).
Lec81110_06_c06_163-194.indd 185 5/22/15 3:21 PM
Personality
Table 6.2: Application of the information-processing model to
the
thinking of the depressed individual
Arbitrary inference (a response set) the process of drawing a
specific conclusion in the absence of
evidence to support that conclusion, or when the evidence is
contrary to the conclusion.
Selective abstraction (a stimulus set) focusing on a detail
(fragment) taken out of context, ignoring

other, more salient, features of the situation, and
conceptualizing the whole experience on the basis
of the fragment.
Overgeneralization (a response set) the pattern of drawing a
general rule or conclusion on the basis
of one or more isolated incidents and applying the concept
across the board to related and unrelated
situations.
Magnification and minimization (a response set) errors made in
evaluating the significance or
magnitude of an event. These errors are seen as being so gross
as to constitute a distortion.
Personalization (a response set) the tendency to relate external
events to oneself when there is no
basis for drawing such a conclusion.
Absolutistic, dichotomous thinking (a response set) the
tendency to place all experiences in one or
two opposite categories; for example, flawless or defective,
immaculate or filthy, saint or sinner. In
describing himself, the patient selects the extreme negative
categorization.

Source: From Beck, A. T., Rush, A. J., Shaw, B. F., & Emery,
G. (1979). Cognitive therapy of depression. New York: Guilford
Press, p. 14.
Reprinted by permission of Guilford Publications.
Beck’s success in therapy, even relative to pharmacologic
interventions (e.g., Hollon et al., 2005),
and the popularity of his approach led to the expansion of
descriptions of clinical syndromes and
a widening of the populations to whom it could be applied—
among others, individuals suffering
from anxiety, pain, substance abuse, and eventually even those
with personality disorders. The
latter is an especially compelling area because of the prevalence
of personality disorders and the
difficulty of effectively treating them. Cognitive therapy not
only suggests how disorders might be
treated, but also emphasizes the importance of empirical support
for the approach.
Applying Cognitive-Behavior Therapy (CBT) to Personality
Theory
Beck described how an information-processing model can use

personality schema to character-
ize how those with different personalities organize their belief
systems (Beck & Freeman, 1990;
Beck, Freeman, & Davis, 2004). Personality schemas are
anchored in the individual’s behaviors,
thoughts, and affect. As with the previously mentioned social
learning model, Beck believed that
education, training, modeling, reinforcement contingencies, and
cultural influences also influence
personality development. Beck’s theory also takes into
consideration how evolutionary history has
influenced how we think, perceive the world, and behave (Beck
& Freeman, 1990). Beck assumes
that both animal and human behaviors are programmed in the
sense that they are based on
an interaction of genetically determined structures and
experiences. Thus, individuals may have
various personality types that are genetically determined: Some
people are predisposed to attack
when threatened, others might freeze, and yet others go out of
their way to avoid danger. Each of
these patterns may have a certain adaptive survival value (Beck
& Emery, 1985).
Lec81110_06_c06_163-194.indd 186 5/21/15 12:39 PM

Personality
Confirmation Bias
Early experiences, especially those of a traumatic nature, also
have an important influence on
the development of our schema. Later, these schemata may be
reinforced by confirmatory bias,
meaning that information that matches the schema strengthens it
and that which fails to match
it is ignored or rejected. For example, those whose cognitive
schema is “I am bad” may well view
anger directed at them as confirmation of their badness. But
someone whose schema is “I am
good” may view other people’s anger as evidence of that
person’s irrationality.
In an interesting series of studies that demonstrate this
confirmation bias in people’s self-schemas,
Swann and colleagues demonstrated that depressed individuals
seek out feedback that confirms

their unfavorable self-assessments (see Swann, Chang-
Schneider, & McClarty, 2007). In addition,
the depressed participants also were the least likely to seek out
favorable feedback. These find-
ings are in keeping with a wide range of studies showing that
those with positive self-schemas
choose partners who appraised them favorably and validate their
self-views, whereas those with
negative self-views tend to choose partner interactions that
conform to self-verification (i.e.,
those who view them unfavorably) rather than self-enhancement
(see Swann, Stein-Seroussi, &
Giesler, 1992). In fact, with respect to relationships, individuals
with negative self-schemas tend
to feel more committed to those who likewise thought
negatively of them (De La Ronde & Swann,
1998; for a review, see Swann et al., 2007).
Strategies
Strategies may be likened to personality traits or patterns of
behavior, in that they “may be
regarded as forms of programmed behavior that are designed to
serve biological goals” (Beck
& Freeman, 1990, p. 25). Strategies are not necessarily

conscious, nor are all of them adaptive.
In fact, some can be highly maladaptive, depending on the
circumstances in which they are
expressed. For example, Beck notes that strategies such as
competitiveness and avoidance of
unpleasant outcomes are often adaptive. However, if you always
avoid minor unpleasantness,
such as might be associated with a visit to your doctor or
dentist, your strategy may, in the end,
be fatally maladaptive.
Various personality disorders are associated with primitive
strategies that characterize how
individuals adapt. For example, those with antisocial
personality disorder use a predatory strat-
egy; those with a dependent personality adopt a help-eliciting
strategy; and those with a com-
pulsive personality use a ritualistic (i.e., relying on behavioral
habits to reduce anxiety) style
(Pretzer & Beck, 1996). As we shall see in Chapter 10, the
disorders of personality explicitly
involve perceptions and interpretations of the self and others as
relevant to all diagnostic cri-
teria for personality disorders.

Beck’s Use of Schema
Beck’s theory of personality is based on an information-
processing model (Pretzer & Beck, 1996).
Individuals process data about themselves based on their beliefs
and other elements of their
cognitive organization (memory, perception, and the like). The
manner in which information is
interpreted shapes an individual’s response pattern. Therefore,
cognitive structures determine
how information affects behavior.
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Personality
One of the most important elements of Beck’s theoretical model
is his emphasis on schema (inter-
nal representations in the form of thoughts, feelings, and
beliefs). Schema may include infor-
mation about relationships, such as attitudes toward self and
others, as well as more objective

concrete or abstract categories. They can be narrow or wide in
scope, flexible or rigid, overtly
emotionally charged, or less obvious in their emotional content.
Research suggests that self-related schemas are automated (as
was the case for the above-noted
self-verification strivings) and often implicit, rather than
explicit (see Greenwald et al., 2002). For
example, it appears that cognitive representations of your self-
concept can be associated with fac-
tors central to defining your personality, such as traits and self-
esteem, and the speed with which
you make those associations can indicate how central they are
to your self-concept. Indeed, one of
the more recent directions in the psychological literature is to
consider implicit self-esteem (which
is based on automatic, self-evaluative processes) to be as, if not
more, important than explicit self-
esteem (e.g., Greenwald & Banaji, 1995; Koole, Dijksterhuis, &
van Knippenberg, 2001); tests like
the Implicit Association Test (IAT) are one of the preferred
approaches for assessing such implicit
schemas (Greenwald & Farnham, 2000; also see the discussion
on the IAT in the assessment sec-
tion of this chapter).

An essential aspect of this theoretical model concerns how
impulses are controlled or inhibited.
Impulses may be thought of as “wants” that might be
encouraged or inhibited by beliefs. Beliefs
are the “should” and “should nots” that color our schema. At
times, they may exert a counterforce
on our impulses and wishes (I wish to punch someone who hurts
me, but I do not do so because
of my belief that it is wrong to act in violence). At other times,
they may encourage our impulses
(I feel like having an ice cream cone, and I will have one
because I believe I deserve one after all
these hours of hard studying).
In a sense, the internal control system represents how
individuals communicate with themselves.
Our personality functioning is guided by our schema and by
how our internal communication
system operates to evaluate, assimilate, and encode information.
When we function well, we can
modify schema to respond flexibly to the demands of our
environment, but in cases of personal-
ity dysfunction, maladaptive schemata tend to be inflexible and
self-perpetuating. Schemata are

sometimes maintained through a variety of faulty information-
processing mechanisms. Cognitive
distortions such as dichotomous thinking (using either-or
categories such as “I am good or bad”),
selective abstraction (focusing only on one stimulus and
ignoring other contradictory informa-
tion), and catastrophic thinking (expecting, for example, a
future event to be unbearable) are but
a few of these (Pretzer, 2004).
An important aspect of Beck’s work has been his efforts to
provide an evidence base for cognitive
psychotherapy. Other researchers, like Marsha Linehan, also
extended Beck’s work.
Linehan’s Cognitive-Behavioral Model
Many theoretical developments that have contributed to the
development of personality theory
have resulted from the need for new therapeutic approaches for
severe personality disorders. This
was the case with Marsha Linehan, who developed a cognitive-
behavioral model of personality,
referred to as Dialectical Behavior Therapy (DBT), based on her
work with individuals suffering
from severe personality disorders. Linehan’s (1993) model of

personality is biosocial: It maintains
that both genetic predispositions for emotional problems
(biology) and the social environment
are responsible for the creation of personality disorder. Thus,
for Linehan, personality exists in a
relational context and is fluid, changing largely as a function of
our perspective.
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CHAPTER 6 6.6 Assessment Strategies and Tools From the
Cognitive Perspective
Linehan’s model is primarily a treatment model; unlike Freud’s
model, it is not intended as a grand
theory of personality. However, by developing a treatment
model that has shown robust empirical
support, she has demonstrated that DBT methods are also
effective as an explanatory framework
for personality (i.e., they can help explain why a patient is
having problems, as well as providing a
direct method to change those problems).

One important distinction between DBT and Beck’s CBT is that
Linehan emphasizes mindfulness
in order to become aware of automatic thoughts so as to then
allow such thoughts to pass. In
contrast, Beck makes patients aware of automatic thoughts, but
the goal of CBT is to actively inter-
rupt those thoughts and replace them with more adaptive
thoughts. Another important contribu-
tion of this model is that it blends theoretical elements that
include biological, relational, cogni-
tive, behavioral, and systemic components. Linehan (1993)
believes that attempting to categorize
behavior into the various modes traditionally used by cognitive-
behaviorists—motoric, cognitive-
verbal, and physiological—is artificial, such that when both
covert and overt behaviors are con-
sidered, all of the categories are implicated. For example, she
describes how motor behavior,
expressed by actions of our skeletal muscular system, can be
overt and covert. She also explains
how activities such as problem solving, thinking, perceiving,
speaking, reading, and writing are
cognitive-verbal behaviors that have parallel motoric and
physiological events. At a physiological
level, there are the many activities related to functioning of the

nervous system and of glands
and smooth muscles. The results of most of these physiological
activities are usually covert (e.g.,
heartbeat) but can also be overt (e.g., blushing and crying).
Thus, Linehan sees each of the tradi-
tional behavioral categories as one piece of a larger, unified set
of experiences.
6.6 Assessment Strategies and Tools From
the Cognitive Perspective
Cognitive theorists have a strong foundation in empiricism and
therefore value objective assessment instruments. Assessment of
personality based on a cognitive model relies on the assumption
that various personality configurations share identifiable types
of schemata
(Beck & Freeman, 1990; Young, 1994). Most assessment tools
are self-administered scales that
are then scored by a clinician. A sampling of the instruments
commonly employed will be here
reviewed.
Kelly’s Repertory Grid
Kelly’s (1955) theoretical work resulted in the development of
the Repertory Grid, a method for

accessing the personal constructs of individuals. Kelly adopted
a very straightforward method
for assessing constructs by focusing on how we perceive the
important people in our lives. After
generating a list of important individuals (e.g., mother and
father figures, siblings, current and
ex-boyfriends/girlfriends, employer—15 in all), the respondent
is asked to compare three indi-
viduals at a time and note how two of the three are similar on a
construct yet different from the
third individual on that same construct. For example, when
comparing your father, ex-boyfriend/
girlfriend, and employer, one might conclude that your father
and ex-boyfriend both have a good
sense of humor, while your employer does not (e.g.. “funny –
not funny”). The respondent would
then continue to make all possible three-person comparisons,
generating new constructs for each.
The resulting list of constructs could then be analyzed (Kelly
did so mathematically) to identify
common/recurrent themes, with those representing core or
superordinate constructs.
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Beck Depression Inventory (BDI)
Beck (Beck et al., 1979) developed one of the most widely used
instruments to assess depression:
the Beck Depression Inventory, which was revised most
recently in 1996 (BDI-II; Beck, Steer, & Brown,
1996). This 21-item inventory was devel-
oped to identify the cognitive features of
depression, emphasizing such concepts
as self-reported withdrawal, sense of
failure, sadness, guilt, self-dislike, indeci-
siveness, and the like. The items include
four-response choices ordered in terms
of severity, and respondents focus on the
most recent two weeks of time in order
to match the DSM-IV criteria for major
depression. The total scale score results
in labels of minimal depression to severe
depression, with norms collected on 500
outpatients and a college student sam-

ple. The BDI-II has strong psychometric
properties, thereby making it a popular
inventory.
Other Depression Inventories
Although the BDI is one of the most commonly used measures,
a number of other self-report
depression inventories are used widely in research and clinical
practice to assess the cognitive
manifestations of depression.
The Center for Epidemiological Studies in Depression
When assessing the construct of depression in the general
population, the Center for Epide-
miological Studies in Depression scale (CES-D; Radloff, 1977)
is one of the better normed and
more effective self-report measures when assessing less severe
forms of depression. The CES-D
is a 20-item inventory with Likert ratings on how frequently a
particular experience has occurred
within the past week. Although it is primarily intended for use
in the general population, there are
geriatric norms, and it adopts a clinical cutoff score of 16.

The Hamilton Rating Scale for Depression
The Hamilton Rating Scale for Depression is like the BDI in
that it is used to capture depression
scores that fall more within the clinical range. Item
endorsements denote symptom severity, with
scores of 20 and higher denoting moderate, severe, or very
severe depression (Hedlung & Vieweg,
1979). Other versions of the scale have also been developed.
Anxiety Inventories
The construct of anxiety is also commonly assessed and is a
central component of clinical and
personality research. Two of the more commonly used scales are
here reviewed.
Aman Khan/iStockphoto/Thinkstock
This person appears depressed behaviorally. The
challenge is capturing that affective state in an objective
manner and quantifying it.
Lec81110_06_c06_163-194.indd 190 5/21/15 12:39 PM

The Beck Anxiety Inventory
The Beck Anxiety Inventory (BAI; Beck & Steer, 1990) is a 21-
item symptom listing that requires
respondents to endorse the extent to which they experience each
symptom, ranging from “not at
all” to “severely,” and it is intended for those aged 17–80 years
of age. Items reflect two general
factors, one measuring somatic symptoms (e.g., sweating,
numbness, tingling, etc.) and one mea-
suring cognitive features of anxiety. Scores range from 0 to 63,
though scores above 23 typically
denote severe anxiety.
The State-Trait Anxiety Inventory
The State-Trait Anxiety Inventory (STAI; Spielberger, Gorsuch,
& Lushene, 1970) was first published
in 1970 but was then revised in 1983 (Spielberger, Gorssuch,
Lushene, Vagg, & Jacobs, 1983). The
inventory assesses state anxiety as well as trait anxiety in

adults. Responses are based on a 4-point
Likert scale, and scores range from 20 to 80, with higher scores
indicating greater anxiety. The psy-
chometric properties of the STAI have been shown to be
adequate (Rule & Traver, 1983).
Implicit Association Test
The Implicit Association Test (IAT; Greenwald, McGhee, &
Schwartz, 1998) is computer-based task
that asks respondents to categorize concepts with a particular
attribute. For example, one might be
asked to categorize the concepts of “white” and “black” with
favorable (e.g., “sunshine,” “happy,”
etc.) and unfavorable (e.g., “war,” “vomit,” etc.) attributes. The
typical design requires respondents
to match both concepts to both sets of attributes and records
reaction times to assess the extent
to which some associations are more natural (i.e., more easily
made and therefore more readily
associated from a cognitive standpoint) relative to others.
Because this assessment is thought to
access more automatic associations, it is considered better than
self-report measures that can
be more affected by demand characteristics (see Nosek,
Greenwald, & Banaji, 2005). Of course,

debate continues on the constructs assessed with the IAT, with
some research suggesting that it
assesses knowledge of associations, rather than whether one
actually has a particular association.
You can take the Implicit Association Test at the link below to
find out more about any implicit
biases you might have: https://implicit.harvard.edu/implicit/.
Possible Selves and Self-Schemas
The assessment of possible selves is to assess a number of
possible (hypothetical) selves that an
individual might have at any time in his or her life. These can
include multiple manifestations of an
“ideal self,” future possible selves (which includes the ideal
self), as well as current and past pos-
sible selves. Possible selves can also be assessed for their
valence (positive or negative).
Two distinct approaches for measuring possible selves have
been forwarded in the empirical lit-
erature. An open-ended version is primarily intended for use
with child and adolescent samples,
whereas with adult samples, a closed-ended approach is
preferred. In the latter, the focus often

involves identifying the number of positive and negative
possible selves as well as the affective
ratings associated with these possible selves (Markus & Nurius,
1986).
A second instrument, the Brief Core Schema Scales (BCSS),
provides a self-reported assessment
of schemata concerning self and others but specifically targets
those experiencing psychosis. The
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https://implicit.harvard.edu/implicit/
CHAPTER 6Summary
BCSS assesses four dimensions of self and other evaluation:
negative-self, positive-self, negative-
other, positive-other. In the initial validation of the instrument,
individuals experiencing psychosis
and in cognitive therapy were compared to students. The BCSS
appears to have reasonably good
psychometric properties (Fowler et al., 2006).

Cultural Influences and Differences
There is little research at this time that looks at the applicability
of the cognitive model to other
cultures. Even though the cognitive model does not pay much
attention to cultural differences,
the basic theory takes into consideration environmental factors
that influence and shape schema.
For example, that some cultures (including our own) encourage
extraverted behavior is seen
as a reflection of cultural demands encoded into its members’
schemas through information-
processing activities.
Since the various cognitive models are based on an information-
processing model, most are highly
flexible, and the assumption is that they probably have good
generalizability to other cultures. An
interesting question is whether those raised in other cultures
learn to process information differ-
ently and how this might affect personality development and
expression.
Within the last two decades, researchers have begun to address
this question by exploring cultural
differences with respect to certain cognitive mechanisms. For

example, it appears that East Asians
(relative to those in western Europe and America) consider
dispositions to be more malleable
and more strongly influenced by the situation (Choi, Nisbett, &
Norenzayan, 1999), and they also
perceive environmental events as more holistic (interdependent;
Ji, Peng, & Nisbett, 2000). For
a recent discussion on cultural differences in perception, see the
following cover story on The
Culture-Cognition Connection found in the American
Psychological Association’s publication, the
Monitor (from February 2006; see link:
http://www.apa.org/monitor/feb06/connection.aspx).
In Chapter 9, we will discuss some additional ways in which the
self-concept may vary by
culture, emphasizing how the self in individualistic cultures is
distinct from the self in collec-
tivistic cultures.
Summary
Cognitive science represents a revolutionary advance in the
field of personality psychology. It emerged from behaviorism,
after Tolman introduced the concept of latent learning. How-

ever, the cognitive approach went considerably farther,
recognizing that it could make infer-
ences about the mind and not just about things that are
observable. George Miller, who believed
the behavioral model lacked sufficient complexity, engendered
this cognitive revolution. Miller
was interested in memory, a highly relevant topic for
psychology and personality, as it undergirds
many basic cognitive processes. Another conceptual leap
occurred when the computer was used
as a metaphor for developing a model of how the mind works,
which is an area of great interest
to neuroscientists. The computer offered an analogue to how the
mind might process information
and form connections.
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http://www.apa.org/monitor/feb06/connection.aspx
CHAPTER 6Key Terms
Information-processing models led to the development of
valuable constructs, such as schema,

which are the cognitive templates we use to process
information. Various blends of cognitive
models have been developed with slightly different emphases
reflected in cognitive, social-
cognitive, and cognitive-behavioral approaches. George Kelly
was one of the earliest theorists
who considered individuals as scientists and their theories as
personal constructs, which are used
to explain the present and predict the future. Researchers such
as Julian Rotter, Albert Bandura,
and Walter Mischel introduced ideas relating to learning and the
self-concept. Rotter empha-
sized the influence of reward value and expected contingencies,
rather than assuming universally
defined rewards value and contingencies. Bandura developed a
social cognitive theory emphasiz-
ing the role of modeling, the importance of the ability to
symbolize and to anticipate, and the cen-
trality of notions of self-efficacy. Constructs such as self-
efficacy are useful in understanding how
our perceptions and self-beliefs affect our behavior. Mischel
emphasized the role of self-schema,
how such schema are biased for self-verification, and how
personal goals play a role in the self-
regulation process.

Each of these theorists has contributed to our understanding of
personality. Personality is not just
a reaction to external events and conditioning: It is strongly
affected by our cognitive processing
of our world and our relationships, as well as by the inner
representations (schema) that result.
The cognitive perspective also resulted in the development of a
large number of self-report inven-
tories used to assess personality, with an emphasis on internal
mental representations. These
represent some of the most widely used inventories in the field.
Key Terms
behavioral expectancy The individual’s expec-
tation of reinforcement or punishment.
behavior potential The probability of engaging
in a specific behavior in a given situation.
biosocial The interplay of genetic predisposi-
tions and the social environment.
cognitive map A mental representation of a

spatial environment.
cognitive revolution The shift in the field of
psychology toward cognitive science.
confirmatory bias The tendency to favor infor-
mation that matches and strengthens a schema
and to ignore or reject information that contra-
dicts a schema.
heuristic A type of information-processing
technique that can be common or differenti-
ated among humans.
information processing When data are manip-
ulated and transformed into information.
latent learning Learning that is not immedi-
ately evident or behaviorally observable, and
that occurs absent of reinforcement of the
behavior or any associative learning.
metacognition The act of thinking about one’s
thinking. An awareness of one’s own thinking
processes.

mirror neuron A brain cell that fires when an
animal perceives others performing an action
and facilitates unconscious, automatic mimicry.
modeling Learning that occurs as a function of
observing behaviors performed by others.
motivated reasoning Motivation to perceive
events in specific ways by reasoning within the
context of desired outcomes.
personal construct A theory developed and
modified by an individual used to explain and
predict phenomena.
preparedness Readiness to learn and develop
a particular behavior.
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CHAPTER 6Key Terms

Rational Emotive Behavior Therapy (REBT) A
type of psychotherapy that focuses on identify-
ing and changing irrational beliefs to resolve
emotional and behavioral disturbances.
reciprocal determinism The belief that a per-
son’s cognitive processes, behavior, and envi-
ronmental context influence each other; also
called reciprocal causality.
representation The use of symbols to depict or
signify objects, events, or occurrences.
reward (or reinforcement) value The idea that
we each subjectively value rewards in different
ways, and this variability is critical to predicting
behavior.
schema An organized pattern of thought.
self-efficacy A person’s belief that they have
the ability to succeed.
self-regulation The process of identifying a
goal and using both internal and external feed-

back to maximize goal attainment.
self-verification The tendency to seek
feedback that maintains or confirms your
self-concept.
social-cognitive theory Theory that combines
aspects of behavioral and cognitive approaches
to explain personality.
Lec81110_06_c06_163-194.indd 194 5/21/15 12:39 PM
Dragonimages/iStock/Thinkstock
Learning Objectives
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
Lec81110_02_c02_039-068.indd 39 5/20/15 9:19 AM
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
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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
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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.
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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

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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
perfection. When over-functioning, it can
lead to what is described as a punitive superego, which may
require the self to suffer guilt that can
lead to neurotic behavior and, in its extreme form, can be
expressed in psychopathological adap-
tations, such as masochism or self-sabotaging behavior. Our
conscience is the part of our superego
that determines the right course of action, trying to balance
personal needs and societal-familial
expectations. Guilt arises in the system when we ignore what
our conscience tells us.

Lec81110_02_c02_039-068.indd 48 5/20/15 9:19 AM
Anxiety
A well-functioning psyche reflects an id and superego that are
perfectly balanced by the activities
of the ego. However, when this balance is not achieved (and this
was a common outcome, accord-
ing to Freud), the result is the experience of anxiety.
Freud’s described three basic categories of anxiety: moral,
realistic, and neurotic. Moral anxiety
refers to the tension generated when the id gains too much
control over the ego. This is due to the
fact that the superego demands that the individual live up to the
ego ideal; when this does not
occur, the superego induces guilt. Realistic anxiety is a rational
response to actual danger, which
triggers a flight-fight-or-freeze response. It reflects how the
nervous system evolved to protect us
from danger and is mediated by some of the older systems of the
brain (parts of the limbic sys-

tem). Thus, realistic anxiety requires an immediate response:
Stay and fight, run and escape, or
freeze and submit to the danger (Sapolsky, 2004). In contrast,
neurotic anxiety has a kind of “free-
floating” quality unrelated to any immediate threat. Neurotic
anxiety is sometimes converted into
various symptoms, such as obsessional neurosis, where the
individual engages in compulsions
that serve to reduce the anxiety so that it does not become
overwhelming. This behavior is also
reflected in our modern day diagnostic labels—specifically,
obsessive-compulsive disorder.
One of the most common presentations in clinical practice
today, especially among women, is
something termed generalized anxiety disorder (Grant et al.,
2009) a concept very similar to
Freud’s neurotic anxiety. Generalized anxiety disorder is
marked by pervasive feelings of anxiety
that are unrelated to any obvious threat. Freud believed that this
type of generalized anxiety (he
also referred to expectant anxiety) was one of the main features
of neuroses.
So how do we manage the anxiety? Freud outlined a large

number of defense mechanisms
employed by the ego to combat anxiety, and most of the time
they work. However, on some
occasions, our defense mechanisms don’t work, and in those
instances the unconscious material
slips out. Consider what has become known as “Freudian slips,”
where we may say something we
didn’t mean to say, but it may still represent something that was
on our mind (see Baars, 1992, for
a review). The defense mechanisms are summarized in the next
section.
Defense Mechanisms
One of Freud’s many astute observations was that of defensive
functioning. Informed by his clini-
cal case studies, and undoubtedly considerable introspection,
Freud catalogued dozens of ways in
which individuals try to protect themselves from the effects of
anxiety. Freud came to believe that
these defenses were commonplace, as he observed their
occurrence in everyone. His daughter,
Anna Freud, added considerably to the list of defenses, and to
date over 100 of them have been
catalogued (Blackman, 2004).

A defense mechanism is a mental operation that protects an
individual against anxiety that
might result when primary process material threatens to break
through to the conscious or pre-
conscious mind. For example, a recently widowed mother of
two may need to defend against
the anxiety that results from being alone, and so she continues
to set the dinner table for her
deceased husband. This may be an example of a defense
mechanism called denial. Denial reduces
the conflict, but as long as the denial “works,” the problematic
behavior continues. In this case,
the widow never really comes to terms with the passing of her
husband. Freud considered denial
to be one of the most basic defense mechanisms, and in a sense,
it lies at the heart of all other
defenses. That is, we will see that the other defenses seem to
involve denial plus some additional
psychological reaction.
Lec81110_02_c02_039-068.indd 49 5/20/15 9:19 AM

One of the more advanced defenses, according to Freud, is
sublimation, the defense mechanism
through which the individual finds ways of transforming
unacceptable urges into more acceptable
behaviors. Aggression in sports, or even pursuing an art, is
sometimes cited as an example of the
sublimation of unacceptable aggressive urges into more
appropriate, and even adaptive, outlets.
Freud also wrote about surgeons, who he believed sublimated
their aggressive instinct (it is hard
to imagine a more aggressive behavior than cutting someone
open with a scalpel) into something
productive—the healing of medical illnesses through surgery.
An especially complicated defense mechanism is reaction
formation, in which one adopts atti-
tudes and engages in behaviors that are in direct, overt
opposition to threatening unconscious
impulses, in order to defend against those impulses. The theory
behind this defense mechanism
is that the threatening internal experience (thought or emotion)
is so great that simply denying it
is not only insufficient, but impossible. As a result, the
individual must overcompensate by acting

in direct opposition to it (i.e., some of the overt behaviors are in
direct opposition to the internal
experience, though the internal experience is unconscious).
Several examples of reaction forma-
tion are included in this chapter, beginning with the opening
segment (see the experiences of
Ted Haggard and Mark Foley), and this defense mechanism is
examined more closely in “Putting
Psychodynamic Theory to the Test: Part 2” in this chapter.
Freud’s identification and elaboration of defense mechanisms
has added much to our understand-
ing of personality psychology and continues to contribute to our
understanding of how we use
them to adapt (Holi, Sammallahti, & Aalberg, 1999). For a more
complete list of Freud’s defense
mechanisms, see Table 2.1.
Table 2.1: Common defense mechanisms
Defense Definition Example
Acting out Translating conflicts into action with
little or no intervening reflection.

A student disrupts class because she is
angry over an unfair grade.
Denial Refusing to acknowledge some painful
external or subjective reality obvious
to others.
A woman refuses to acknowledge a
pregnancy despite positive test results.
Devaluation Attributing unrealistic negative
qualities to self or others as a means
of punishing the self or reducing the
impact of the devalued item.
A student suddenly criticizes as a
terrible teacher a formerly admired
professor who has given him a D on a
term paper.
Displacement Displacing conflicts from a threatening
object onto a less threatening one.
A student who has been criticized by
his instructor in history class comes

home from school and starts an
argument with a younger sibling.
Dissociation Dealing with conflict by disrupting the
integration of consciousness, memory,
or accurate perception of the internal
and external world.
After breaking up with a lover, a
suicidal student is suddenly unable to
recall the time during which they were
together.
Fantasy Avoiding conflict by creating imaginary
situations that satisfy drives or desires.
A student from a troubled home
daydreams about going to college to
become a famous psychologist.
(continued)
Lec81110_02_c02_039-068.indd 50 5/20/15 9:19 AM

Defense Definition Example
Idealization Attributing unrealistic positive qualities
to self or others.
A student worried about his
intellectual ability begins to idolize a
tutor.
Isolation of affect Defusing conflict by separating
ideas from affects, thus retaining
an awareness of intellectual or
factual aspects but losing touch with
threatening emotions.
A biology student sacrifices a
laboratory animal without worrying
about its right to existence, quality of
life, or emotional state.
Omnipotence Creating an image of oneself as
incredibly powerful, intelligent, or

superior to overcome threatening
possibilities or feelings.
A student facing a difficult final exam
asserts that there is nothing about the
material that she doesn’t know.
Projection Disowning unacceptable emotions or
personal qualities by attributing them
to others.
A student attributes his own anger to
the professor, and thereby comes to
see himself as a persecuted victim.
Projection
identification
Projecting unpleasant feelings and
reactions onto others and declaring
that the reaction is in response to the
recipient’s behavior.
A student attributes her own anger to
the professor but sees her response as

a justifiable reaction to persecution.
Rationalization Constructing after the fact an
explanation for behavior to justify
one’s action in the eyes of self or
others.
A professor who unknowingly creates
an impossible exam justifies it on the
basis that it is necessary to shock
students back to serious study.
Reaction formation Containing unacceptable thoughts or
impulses by adopting a position that
expresses the opposite.
A student who hates some identifiable
group writes an article protesting their
unfair treatment by the university.
Repression Withholding forbidden thoughts and
wishes from conscious awareness.
A student’s jealous desire to murder
a rival is denied access to conscious

awareness.
Splitting Maintaining opposite viewpoints about
a single object, keeping these opinions
in deliberately unintegrated opposition,
which results in cycles of idealization
and devaluation as either extreme is
projected onto self and others.
A student vacillates between worship
and contempt for a professor,
sometimes seeing her as intelligent
and powerful and himself as ignorant
and weak, and then switching roles,
depending on their interactions.
Sublimation Channeling unacceptable into socially
acceptable behavior.
A student who is competitive and
aggressive towards his siblings funnels
those impulses into academic efforts
and successes.
*Undoing Attempting to rid oneself of guilt

through behavior that compensates
the injured party actually or
symbolically.
A professor who designs a test that is
too difficult creates an excess of easy
extra-credit assignments.
* The more modern concept of counterfactual thinking is
somewhat equivalent to undoing.
Source: Millon, T., & Davis, R. D. (1996a). An evolutionary
theory of personality disorders. In J. F. Clarkin, M. F.
Lenzenweger (Eds.). Major
theories of personality disorder (pp. 221–346). New York, NY:
Guilford Press, p. 226. Reprinted by permission of Guilford
Publications.
Table 2.1: Common defense mechanisms (continued)
Lec81110_02_c02_039-068.indd 51 5/20/15 9:19 AM
CHAPTER 2 2.4 Stages of Psychosexual Development

Neurosis and Symptom Formation
Freud developed his theory to explain the development of
psychological symptoms and clini-
cal syndromes, such as then-common hysterias and phobias. He
called all of these conditions
neuroses. A neurosis consists of a cluster of symptoms typified
by anxiety or indecision and some
degree of social maladjustment. In a sense, the symptoms are a
compromise between urges and
drives and social and environmental constraints. They allow
partial expression of the drive, but
also may include an aspect of self-punishment: One needs to
suffer when one’s instinctual organi-
zation is activated beyond a level that can be regulated by the
psychic structures.
As Freud explains neuroses, they often involve past events that
were associated with high anxiety,
fear, or trauma. In time, memory of the event disappears or is
repressed, but the energy associ-
ated with it may later be expressed in symptoms of neuroses.
Symptoms such as phobias, compul-
sions, and obsessions are the way the unconscious mind
transfers energy from the conflict into

something that expresses the energy, but hides the conflict from
the affected individual (Freud,
1966, p. 298). For example, if an individual has an obsession
with dirt on the hands and a compul-
sion to constantly wash them (obsessive-compulsive disorder),
freud might argue that the person
is in fact wracked with guilt over some behavior, and the
repetitive act highlights the guilt and the
attempts to cleanse the self of the guilt. The preconscious mind
often expresses this “forgotten”
conflict in altered form in dreams, slips of the tongue, or even
daydreams.
Freud’s theory represents the first comprehensive
developmental or stage model, and he recognized that
development progresses in a hierarchical, stage-like manner, in
which mastery of the previous stage is important to one’s ability
to negotiate subsequent ones.
Freud’s theory of human development and personality formation
is reflected in his description of
psychosexual development. The sexual instincts, also referred to
as libido, are one of the major
forces in this developmental process, hence the label

psychosexual development. Libidinal pres-
sure—the sexually based urged to survive and procreate (also
termed the life instinct)—fuels
development.
Freud theorized that individuals progress through a series of
psychosexual stages. Each of these
stages emphasizes different developmental tasks and challenges,
and Freud suggested that libido
is focused on a particular part of the body during each of these
stages. For a variety of reasons,
an individual can become fixated (i.e., stuck) in one of these
stages, and this results in different
personality types.
We will here outline each of the stages, and the personality
types that might emerge based on
fixations in each stage, keeping in mind that all of the
intrapsychic events to be described were
hypothesized to occur in the unconscious (i.e., one would have
no awareness of them).
Oral Stage
The first stage of life, lasting until about age 2, is termed by
Freud as the oral stage. The term oral

is used because of the infant’s proclivity to explore the world
largely through his or her mouth.
Moreover, one of the most important events occurring at this
time is breastfeeding (or bottle
feeding), which not only provides nourishment, but also warmth
and intimate contact. It is also
Diego Cervo/iStock/Thinkstock
An unresolved oral stage in childhood may
result in an oral fixation in adulthood. Nail
biting is one manifestation of oral fixation.
Lec81110_02_c02_039-068.indd 52 5/20/15 9:19 AM
named as such because it is marked by the need to
suck, which is a powerful, biologically based survival
reflex. During this stage, gratification and satisfac-
tion are received primarily through other oral activi-
ties, including thumb sucking and swallowing. Hence
the libido is expressed in the oral region. Although

these represent the specific behaviors that the infant
is engaged in, Freud suggested that the greater sig-
nificance is that this establishes a model for satisfying
needs later in life.
Perhaps of greatest importance in the oral stage is the
process of weaning, as this signals the infant’s pro-
gression in life to a more independent state. Freud
believed that weaning might be traumatic if it is too
abrupt or uncaring, and the trauma might later be
apparent in character traits and habits of the adult.
Freud believed that when the infant is either weaned
too soon or too abruptly or, on the other hand, weaned
too late, that the child would become fixated (stuck)
in the oral stage, meaning that the child’s personality
would reflect difficulties negotiating the satisfaction
of basic needs.
Freud identified two personality types that might
result from oral fixations. Oral dependency is thought to occur
because the infant was weaned
too late so that they were overly dependent on their mother for
too long. Freud predicted
that this dependency would play out in adult relationships, with
these individuals requiring

and expecting a great deal of attention and support from others.
In contrast, oral aggression
refers to the personality that occurs when the weaning has
occurred too soon or too abruptly.
Freud believed that as adults, these individuals would aggress
against others in order to
have their needs met because they would feel as though they
had been short-changed
in life.
Anal Stage
The next stage, lasting until about age 4, is the anal stage,
during which the primary source of
pleasure is derived from the voiding of feces. This period of
socialization generally sets the stage
for the first significant conflict between parents and child (i.e.,
toilet training). Parents want their
children toilet trained, but children are not always willing or
able. Parents reward children for
complying and express disappointment when they have
“accidents.” Thus, the central theme of
this stage is that the child is developing a sense of how to
autonomously manage an important
bodily function, and this is accomplished by negotiating for
control with their parents.

Referring back to the development of the structural components
of the mind, Freud believed that
it is at this time that the ego starts to differentiate from the id,
and the reality principle begins to
appear. There is the beginning of crude superego functioning
with the development of the shame
that comes with punishment and with failure to comply with
parental wishes. During toilet train-
ing, children can express autonomy or control by refusing to
comply and sometimes by deliber-
ately soiling themselves.
Neurosis and Symptom Formation
Freud developed his theory to explain the development of
psychological symptoms and clini-
cal syndromes, such as then-common hysterias and phobias. He
called all of these conditions
neuroses. A neurosis consists of a cluster of symptoms typified
by anxiety or indecision and some
degree of social maladjustment. In a sense, the symptoms are a
compromise between urges and
drives and social and environmental constraints. They allow
partial expression of the drive, but
also may include an aspect of self-punishment: One needs to

suffer when one’s instinctual organi-
zation is activated beyond a level that can be regulated by the
psychic structures.
As Freud explains neuroses, they often involve past events that
were associated with high anxiety,
fear, or trauma. In time, memory of the event disappears or is
repressed, but the energy associ-
ated with it may later be expressed in symptoms of neuroses.
Symptoms such as phobias, compul-
sions, and obsessions are the way the unconscious mind
transfers energy from the conflict into
something that expresses the energy, but hides the conflict from
the affected individual (Freud,
1966, p. 298). For example, if an individual has an obsession
with dirt on the hands and a compul-
sion to constantly wash them (obsessive-compulsive disorder),
freud might argue that the person
is in fact wracked with guilt over some behavior, and the
repetitive act highlights the guilt and the
attempts to cleanse the self of the guilt. The preconscious mind
often expresses this “forgotten”
conflict in altered form in dreams, slips of the tongue, or even
daydreams.

Freud’s theory represents the first comprehensive
developmental or stage model, and he recognized that
development progresses in a hierarchical, stage-like manner, in
which mastery of the previous stage is important to one’s ability
to negotiate subsequent ones.
Freud’s theory of human development and personality formation
is reflected in his description of
psychosexual development. The sexual instincts, also referred to
as libido, are one of the major
forces in this developmental process, hence the label
psychosexual development. Libidinal pres-
sure—the sexually based urged to survive and procreate (also
termed the life instinct)—fuels
development.
Freud theorized that individuals progress through a series of
psychosexual stages. Each of these
stages emphasizes different developmental tasks and challenges,
and Freud suggested that libido
is focused on a particular part of the body during each of these
stages. For a variety of reasons,
an individual can become fixated (i.e., stuck) in one of these
stages, and this results in different

personality types.
We will here outline each of the stages, and the personality
types that might emerge based on
fixations in each stage, keeping in mind that all of the
intrapsychic events to be described were
hypothesized to occur in the unconscious (i.e., one would have
no awareness of them).
Oral Stage
The first stage of life, lasting until about age 2, is termed by
Freud as the oral stage. The term oral
is used because of the infant’s proclivity to explore the world
largely through his or her mouth.
Moreover, one of the most important events occurring at this
time is breastfeeding (or bottle
feeding), which not only provides nourishment, but also warmth
and intimate contact. It is also
Diego Cervo/iStock/Thinkstock
An unresolved oral stage in childhood may
result in an oral fixation in adulthood. Nail
biting is one manifestation of oral fixation.

Lec81110_02_c02_039-068.indd 53 5/20/15 9:19 AM
As was the case in the oral stage,
the child can either achieve a suc-
cessful balance of having some
control and autonomy or can
struggle to negotiate this stage
and become fixated with control.
The anal expulsive personality
is thought to occur when the
child deals with control by giving
up efforts to control the bow-
els at all. Thus, this might be
marked by a delay in toilet train-
ing. The anal retentive person-
ality reflects the child’s attempt
to deal with anal stage issues
by over-controlling the situa-
tion. As adults, the anal retentive
personality might involve frantic

attempts to control all aspects of one’s own life—and perhaps
even those of others. Freud sug-
gested this would also result in hoarding money (i.e., being
stingy), because money is a means
of control. In contrast, anal expulsive people want nothing to do
with control, allowing others to
make all the decisions, no matter how minor.
Phallic Stage
The third, and arguably most important, stage of psychosexual
development is the phallic stage,
which lasts from about 4 to 8 years of age. During this phase,
the primary source of gratifica-
tion is derived from the genitals. The child may now touch, rub,
or exhibit genitals, as well as
show interest in the anatomy of family members. It is at this
time that they more fully develop
ideas concerning sex and birth and pay close attention to the
differences (especially anatomical)
between boys and girls. Thus, it is during this time that the
child develops his or her sense of gen-
der identity by identifying with the same-sex parent. Again,
Freud hypothesized about fixations in
this stage and the possible resulting behavior. He suggested that
when children identify with their

same-sex parents, then normal heterosexual adult relationships
would occur. In contrast, Freud
believed, if the child identifies with the opposite-sex parent,
this would result in homosexuality
(or a homosexual impulse).
As noted, the majority of individuals would experience same-
sex identification (i.e., you see your-
self as most similar to, and want to be like, your same-sex
parent), and Freud outlined something
he called the Oedipus complex, where children compete with the
same-sex parent in an attempt
to gain the attention of or possess the opposite-sex parent.
Freud believed that the Oedipus com-
plex begins to unfold in the phallic stage.
Oedipus Complex
Like Oedipus, the mythological Greek figure who unwittingly
killed his father and married his
mother, Freud believed that the male child develops sexually
based feelings for his mother dur-
ing the phallic stage. The theory assumes that we all initially
start with a strong desire to possess
our mothers, but the process differentiates from here forward

for males and females. For males,
What does it mean when we say, “You’re so anal!”?
In “Character and Anal Erotism” (1908), Freud described an
anal character and how it relates to sexuality and everyday
life. Sometimes reading the works of Freud in his own words
(as opposed to what is conveyed in a textbook) can provide
a better example of his thinking. Read this article online at
http://www.pldocs.docdat.com/docs/index-95699.html
?page=242.
Reference: Freud, S. (1908b). Character and anal eroticism.
In J. Strachey (Ed. & Trans.), The Standard Edition of the
Complete Works of Sigmund Freud. (Vol. 9, pp. 169–175).
London: Hogarth Press.
Lec81110_02_c02_039-068.indd 54 5/20/15 9:19 AM
http://www.pldocs.docdat.com/docs/index-
95699.html?page=242
http://www.pldocs.docdat.com/docs/index-
95699.html?page=242

the son’s desire for his mother places the father in the role of a
competing suitor for his mother’s
attentions. Freud also believed that the perceived competition
with one’s father would result in
the fear or anxiety of being permanently eliminated as a
competitor by means of castration. This
castration anxiety, or fear of the father’s aggression, is
ultimately what sets young boys on track to
adult heterosexual relationships, as they learn to identify (rather
than compete) with their fathers
and obtain someone like their mother (rather than competing for
their actual mother).
Electra Complex
The related experience for females is labeled the Electra
complex. Unlike the male who fears
castration, the female, realizing she has no penis, believes she
has already been castrated. She
blames her mother for the castration and is drawn to her father
because he does possess a penis.

It is theorized that girls then experience penis envy, which
Freud defined as the envy of the ana-
tomical structure (not a metaphorical envy of what the penis
represented in society at the turn of
the century—that figurative interpretation would emerge from
other theorists). Freud believed
that there was no easy resolution for females, though the
resolution still involves a fully devel-
oped superego and fully functioning ego. Freud believed that
part of the resolution for a female
is to essentially possess a penis by proxy; first by dating, then
marrying, and eventually by having
a child (ideally male). Due to this more indirect way of
resolving penis envy, Freud considered
females to have less-well-developed personalities, and his belief
in the superiority of men was
often the target of feminist writers.
Latency Stage
The latency stage of development (from about age 6 to 12) is a
time when preoccupation with
sexuality lessens. The Oedipal complex, despite being
unconscious, is traumatizing, and the child
prefers to inhibit and repress sexuality. Freud describes this as a
lengthy, innocent interlude, dur-

ing which children prefer being with same-sex peers. During
this phase, much energy is devoted
to absorbing cultural and intellectual experiences, socializing
with friends, and investing energy in
a wide range of pursuits.
Genital Stage
This final stage of psychosexual development, beginning at
approximately age 11 to 14, culmi-
nates in the fullest level of maturity, assuming development was
not significantly delayed by ear-
lier fixations. The term genital phase reflects the idea that the
primary focus of the individual
is the stimulation of the genitals. Importantly, however, the
individual’s main preoccupation is
now no longer the experience of pleasure for its own sake (as it
was in the phallic stage), but the
development of mature relationships with others. Freud stated
that ideally libidinal energy is now
directed (expressed) toward adult romantic partners of the
opposite sex. Freud believed that any
deviations from this course, which might include frigidity,
impotence, unsatisfactory relationships,
not dating, or homosexuality, would be an indication of
problematic functioning, likely as a result

of earlier fixations. The timing of this last developmental stage
is thought to be stimulated by the
hormonal and biochemical changes that prime the individual for
puberty (sexual maturity).
During the genital period, the narcissistic (self-centered)
seeking of continual pleasure must
be exchanged for mature love and caring for others. If the
individual accomplishes this task,
the infant’s earliest expressions of libido—that is, of the sexual
instinct—will have been trans-
formed to mature love and the capacity for empathy. But if the
individual has had too much
or too little gratification along the way, the outcome may be
apparent in one of a variety of
personality disorders.
Lec81110_02_c02_039-068.indd 55 5/20/15 9:19 AM
Character Traits and Disorders in Psychosexual Development
Freud’s conception of the way personality and personality

disorders develop was based on his
model of psychosexual development. According to
psychoanalytic theory, the development of
character is influenced by how the psychosexual stages are
navigated. If there is a normal pro-
gression, the individual will develop a mature and normal
character. But if a fixation occurs, there
will be a buildup of excess libidinal energy related to the
erogenous zones associated with that
stage, and problems related to that fixation will continue to
manifest throughout one’s lifetime.
For example, a person fixated at the oral stage, perhaps because
of excessive gratification at that
stage, might later display dependency (recall the oral-dependent
personality). Of course, there
would be a difference between the manifestation of a dependent
trait (i.e., one who tends to rely
on others) as opposed to dependent personality disorder. The
latter would be marked by dysfunc-
tions in daily living due to the pervasive and excessive need to
be submissive and dependent on
others and to stay in relationships (even abusive ones) to meet
those needs. Table 2.2 provides
an overview of the psychosexual stages of development and the
personality disorders that may

result secondary to fixations in each stage. Some of these
personality disorders were actually
elaborated by theorists from the neo-analytic movement, which
followed Freud (see Chapter 3
for a thorough discussion).
Table 2.2: Stages of psychosexual development and character
types
Stage of development Approximate age Character type
Oral stage 0 to 2 years Dependent
Anal stage 2 to 4 years Compulsive
Phallic stage 4 to 8 years Narcissistic
Latency stage 6 to 12 years Passive*
Genital stage 11-14 years – to adulthood Hysterical
*Not included in neo-analytic theory but may be a logical type.
Critique and Conclusions on Freud’s Theoretical Contributions
The breadth of Freud’s theoretical contributions is matched by

the fervent and broad-based
nature of the criticisms levied at his theory and at the clinical
and assessment tools that are based
on psychodynamic theory (e.g., Lilienfeld, Wood, & Garb,
2001). Perhaps the most noteworthy
counterargument is simply that Freud’s theory is often
tautological and not open to empirical
investigation. This may be the most salient criticism because it
has led some to conclude that psy-
choanalytic theory is more pseudoscience than science (for a
review, see Cioffi, 1998).
Due to the complexity of the theory, it is unlikely that any
single experiment or set of experiments
could adequately test the entire theory; however, there have
been credible attempts to inves-
tigate many important aspects of Freud’s theory (see Westen,
1998). As an example, research-
ers have culled the scientific literature and concluded that
although there is scientific support
for some of the defense mechanisms, there is little published
research to scientifically support
the functioning of most of the defense mechanisms as forwarded
by Freud (i.e., even in some
instances when the phenomenon may be present, it does not

appear to function as a defense;
see Baumeister et al., 1998).
Lec81110_02_c02_039-068.indd 56 5/20/15 9:19 AM
CHAPTER 2 2.5 The Neo-Analytic Movement
Today, Freud’s standing in the scientific community is
generally as an outsider. He clearly has con-
tributed many ideas that have spurred programs of research.
Some of his ideas have been empiri-
cally supported, but many have not (see Chapter 3 for a more
extensive discussion). However,
what is undeniable is that Freud’s work has had a tremendous
and immeasurable impact on the
field, not simply because of the durability of his ideas, but more
because of his influence on the
theorists who followed him and based their ideas on his seminal
work. These individuals are often
characterized as neo-analytic theorists, and in the next section,
we consider some of the more
well-known individuals in this movement.

2.5 The Neo-Analytic Movement
Freud’s work stimulated many other theoreticians who shared
some of the basic assumptions of psychoanalytic theory, but
who nevertheless established separate schools of thought. Neo-
analytic theorists are those whose work was based on, and
branched out from, Freud, but
whose work typically differed from (or was even opposed to)
Freud on at least one major theoreti-
cal tenet. As a result, each of these schools of thought are
sufficiently distinct to merit considering
them separately. We here present a brief overview of some of
these individuals and their major
theoretical contributions.
Carl Jung and the Collective Unconscious
Carl Gustav Jung was like Freud in that he was awarded a
medical degree and emphasized psy-
chiatry (he was both a psychiatrist and psychotherapist). Jung
collaborated with Freud from 1907
to 1912, becoming one of Freud’s favorite followers. But Jung
eventually broke with Freud and
began to develop his own theory, which he called analytic
psychology, as well as his own method
of practice, in which the primary goal was to integrate

conscious and unconscious thought and
experience (termed individuation) while still maintaining some
degree of autonomy.
Jung’s theoretical disagreements with Freud largely centered
on: (1) a refusal to accept the sexual
instinct as the primary force in mental life and (2) the emphasis
on the collective unconscious,
rather than the personal unconscious. According to Jung, the
collective unconscious refers to
what is essentially a public-access and universal version of the
unconscious that contains memory
traces common to all humans. The collective unconscious refers
to the inherited themes that are
represented in symbolic ways by different cultures, and Jung
found these themes expressed in
literature, art, and dreams. These themes deal with common
experiences, such confronting death,
gaining independence, and striving for mastery. Jung termed
these common, recurrent, and sym-
bolically represented themes archetypes of the collective
unconscious. Examples of archetypes of
the unconscious include concepts such as God, the self, birth,
death, the wise old man, the nurtur-
ing mother, and power symbolized as the sun or a lion.

In his analytic work with patients, Jung sought to bring material
from the collective unconscious
into conscious awareness through the use of free association and
dream analysis, two techniques
he borrowed from Freud. Indeed, although Freud is widely
known for his work on the interpreta-
tion of dreams, Jung also contributed heavily to this practice.
One important difference between
the two was that Jung placed a greater emphasis on the manifest
content of dreams (the surface
meaning), whereas Freud was more likely to make
interpretations of the latent content, the under-
lying meaning (typically sexual or aggressive in nature). Jung
also believed that one could examine
the presence of archetypes in dreams and predict the incidence
of creativity (i.e., more creative
Lec81110_02_c02_039-068.indd 57 5/20/15 9:19 AM
individuals have more archetypes of the unconscious in their

dreams, and creativity comes from
the sampling of this unconscious material).
Jung also introduced the concept of the persona, a term for the
identity or mask that individuals
adopt. Jung suggested that we consciously create the persona,
but that it is derived from our experi-
ence of the collective unconscious as well as conscious
experiences (e.g., socialization). Jung argued
that one of the primary functions of the persona was to serve as
a compromise between who we are
and what society expects us to be by both hiding aspects of
ourselves that are incongruent with
societal expectations and “creating” aspects of ourselves that
are consistent with society’s expecta-
tions. (Note: The persona is similar to the actual and ought self-
concepts forwarded by Higgins and
discussed in Chapter 9).
One aspect of Jung’s writings that actu-
ally undermined the proliferation of his
ideas in psychology was that he focused
on mysticism, as indicated by his writ-
ing on religions, philosophy, and the
occult. In fact, Jung believed that these

areas were all central to the process of
individuation.
In what is arguably his most durable
contribution, Jung (1923) developed
the concept of two attitude types: the
extrovert, who tends to be outgoing and
very socially oriented, and the introvert,
who tends to be quiet and withdrawn
and is more interested in ideas than in
people. Jung also described four func-
tions (thinking, feeling, sensing, and
intuiting), which, when crossed with the
two attitudes, result in eight basic types (e.g., extroverted
sensing, introverted sensing, extro-
verted feeling, introverted feeling, etc.). These basic types
would later serve as the basis for the
famous Myers-Briggs Inventory, which is still widely used in
industrial-organizational settings, and
this is where some aspects of Jung’s theory continue to thrive.
Alfred Adler and Inferiority Complex
Like his contemporaries, Alfred Adler was also awarded a
medical degree, but he practiced oph-

thalmology and general practice before moving to psychiatry
and joining a discussion group with
Freud and Jung. Adler, Freud, and Jung are typically credited as
the founding fathers of what is
known as depth psychology, which emphasizes the
psychodynamics of the unconscious. However,
Adler was the first to break away from Freud’s inner circle,
founding the school of individual psy-
chology (Adler, 1923), which posited that all people were
unique and that no theory could capture
their complexity. He also adopted a holistic approach (focusing
on the importance of the whole)
in his work, emphasizing the importance of social context.
Indeed, Adler identified three funda-
mental social tasks that all people would have to experience;
occupational tasks (careers), societal
tasks (e.g., friendships), and love tasks (finding a long-term
intimate partner). He also empha-
sized that a social, rather than sexual or aggressive, motive
underlies all human behavior. Perhaps
most noteworthy was Adler’s clear emphasis on conscious
motivation (i.e., ego psychology), as
WARNER BROS PICTURES/Album/Album/SuperStock

This popular figure is a merging of the traditional hero
archetype and archetypes that represent a darker side.
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indicated by the fact that the three fundamental social tasks are
explicitly known and pursued.
Of course, Adler still believed in the unconscious and its
influence on the individual, but relative
to both Freud and Jung, he attributed considerably more
importance to conscious experience.
Adler is probably best known for his formulation of the concept
of the inferiority complex. He
believed that all people struggle with feelings of inferiority,
which are based on some perceived
organ inferiority. This concept refers to the fact that as children
we feel inferior in some way to
others (especially adults), whether physically, intellectually, or
even emotionally. As adults we
might continue to experience that perceived inferiority and try

to compensate for it (referred to
as compensatory strivings). Thus, the child who felt powerless
may become an adult whose only
focus is to obtain power and control over others. Adler thought
that overcoming the inferiority
complex did not depend on becoming superior, but rather on a
recognizing and coming to terms
with the feelings of low self-esteem underlying the complex.
Adler also differed from Freud with respect to free will, as he
thought that humans have an inher-
ent will and power to change, whereas Freud did not. Unlike
Freud, who dealt with the dark
side of human nature (our unconscious, deep-seated, conflict-
laden urges), Adler emphasized our
more positive aspects and the forces that drive us to become
self-actualized—that is, to become
all the good things we can be. In this respect, Adler’s work
influenced the later writings of those
in the existential/humanistic movement (e.g., Maslow, May) and
also pioneered what would later
become known as the positive psychology movement.
As noted in the discussion of the Oedipus complex, Freud
emphasized the relationship between

the child and their parents as the key to character development.
Adler, however, suggested that it
was one’s relationships (or lack thereof) with siblings that were
of greater relevance to personality
development. This resulted in considerable theoretical
contributions to the impact of birth order,
and it laid the groundwork for subsequent researchers to
investigate the topic.
Adler believed that first-borns, because they are only children
for a period of time, have a favored
status, but must eventually deal with the shared attention once
their younger siblings are born
(i.e., they are in essence “dethroned” from their position of
privilege). As a result of this experi-
ence, Adler believed that first-borns, relative to later-borns and
middle children, would be the most
likely to experience neuroticism and other psychological
problems; he even predicted that they
had the highest propensity for being incarcerated or
psychiatrically institutionalized. However, on
the more favorable side, Adler believed that first-borns would
have higher rates of achievement.
According to Adler, later-borns are seen as pampered, and

because they feel some pressure to
meet the standards established by their older siblings, they may
adopt a defeatist attitude and be
less effortful. Adler also believed that later-borns would
struggle to properly develop empathy,
and as a result, this would inhibit social growth.
Adler thought that middle children were likely to experience the
most sibling rivalry with their
older sibling, and because the older child has the age advantage
(bringing a physical and mental
advantage), the middle child is likely to fail in this competition
more often than not. However, he
believed that the middle child would be the most likely to
develop in a healthy manner because
he or she would not have to deal with the psychological
consequences of either being displaced
by younger siblings or being overly indulged.
Adler’s ideas on birth order spurred considerable research, and
the findings have generally sup-
ported the idea that first-borns are more likely to achieve and
are more conscientious (Paulhus,
Trapnell, & Chen, 1999; Sulloway, 1996). However, birth order
is a difficult variable to study because

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it is not possible to experimentally manipulate it. Thus, many
confounds emerge when studying
birth order, because first-borns are more prevalent among
wealthier and better-educated individ-
uals who tend to have fewer children. Thus, one problem with
much of the birth order literature
is that ultimately it may simply tell us that children from well-
educated, wealthy backgrounds are
more likely to succeed relative to those from less wealthy and
less-educated backgrounds.
Anna Freud and Child Psychology
Anna Freud was the favorite and youngest of Sigmund and
Martha’s six children. As noted earlier,
she is renowned for carrying on and extending her father’s
work. Anna Freud ultimately became
the heir apparent to Freud’s school of psychoanalysis, as she
maintained an interest in preserving

her father’s theoretical and technical contributions.
Anna Freud is probably most noted for her contributions to
child psychology. She expanded the
practice of psychoanalysis to the treatment of emotional
disorders of childhood and became a
well-respected clinician in her own right. The classic techniques
were not readily adaptable to
child patients. She therefore encouraged the use of play therapy
and fantasy with children. In
play, which is natural for children, she believed they might
reveal their conflicts and anxieties. The
projection of conflict might occur in part with the child analyst
and in part with the play therapy
objects.
Another of Anna Freud’s major contributions was her further
elaboration of defense mechanisms,
as she identified many new ones that she observed in clinical
practice. Some proved to be critical
aids for understanding both children and adults. When Freud
turned 80, Anna presented him with
her book The Ego and the Mechanisms of Defense (Young-
Bruehl, 1988).

Karen Horney and Repressed Womanhood
Despite the early domination of this field by men, Karen Horney
had a significant impact on both
personality theory and research. In her theory, Horney
emphasized the role of unconscious basic
anxiety, suggesting that children repress feelings of hostility
towards adults so as not to undermine
their ability to meet their own needs. In order to deal with this
basic anxiety, Horney suggested
that any one of three styles might emerge, characterized as: (1)
moving toward (a style based on
affiliation and dependence), (2) moving against (a style based
on aggression and assertiveness),
and (3) moving away (a style based on detachment and
isolation). These styles for coping with
basic anxiety could also become neurotic coping strategies when
they are exaggerated secondary
to the individual experiencing alienation. The articulation of
these coping styles had a significant
impact on Horney’s clinical work and continues to influence
modern psychotherapy.
Arguably, Horney’s most influential contribution was the
reinterpretation of penis envy.
Instead of emphasizing the envy of the anatomical structure,

Horney focused on the issue of
repressed womanhood, referring to the fact that society made
women feel inferior to men
because of their gender. In many respects, this represented the
first feminist perspective within
personality psychology, and this metaphoric interpretation is
still applicable today. Consider some
examples. At the highest levels of leadership, such as president
of the United States, we have
never had a female president, or even a female presidential
candidate for either major political
party, despite the fact that over half of the voting public is
female. (The latter is an important
point, as it indicates that the driving force behind repressing
womanhood is not simply men, but
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CHAPTER 2 2.6 Psychodynamic Methods of Assessment
rather culture, societal norms, and institutional structures.)
Women are less likely to achieve the
highest positions in corporations, as they generally top out in

middle management, a phenom-
enon sometimes referred to as the “glass ceiling.”
Perhaps the most well-documented gender difference is with
respect to pay. Even though women
have been making progress by cutting the wage gap in half from
1980 (when it was 64 cents on
the dollar) to the current 82 cents on the dollar (Bureau of
Labor Statistics, 2013), the difference is
still present. Moreover, the difference continues to exist (i.e.,
with women earning approximately
82 cents on the dollar) even after accounting for a myriad of
possible explanatory factors, such as
occupation, age, experience, education, time in workforce,
childcare, average hours worked, and
college grades (U.S. Government Accountability Office, 2008).
Thus, repressed womanhood—and
the resulting “envy”—may be alive and well!
Horney’s work also garnered considerable attention for her
theoretical concept of the “tyranny of
the shoulds.” We are constantly confronted by the things we
should do (e.g., we should be more
proactive, we should be better parents, we should be more
caring of the poor and sick, etc.). Hor-

ney suggests that when faced with these shoulds, there is a
divide between our actual selves (who
we truly are) and our ideal selves. Horney believed that the
exact nature of these shoulds could be
used to clarify our character, and in this respect, the shoulds are
much like Freudian fixations, in
that they can highlight the things we are trying most to resolve
in our lives. (Note: We will return
to the ideal-self discrepancies in more detail in Chapter 9).
2.6 Psychodynamic Methods of Assessment
There are a number of assessment techniques that are somewhat
unique to the psy-chodynamic perspective because of their
theoretical origins or some of the theoretical assumptions
associated with their use. It should also be noted that many of
the tradi-
tional assessments emerging from the psychodynamic
perspective have been characterized as
“techniques,” rather than formal tests per se. The rationale for
labeling them techniques (or
methods) is that many lack some of the basic psychometric
properties of a test (i.e., adequate
reliability and validity). In the absence of these properties, it is
certainly reasonable to consider

whether the label of “test” is appropriate (see Dahlstrom, 1993).
We here briefly review some
of those techniques and tasks.
The Technique of Psychoanalysis
Psychoanalysis was not only forwarded as a theory of the mind
and a method for treating emo-
tional and psychological disorders, but it was also used as a
method of assessment. Freud used this
investigative tool he developed to explore various aspects of
mental processes, and he believed it
to be especially useful for accessing the unconscious.
In a typical psychoanalytic session, patients would lie on a
couch, behind which an analyst, usu-
ally a psychiatrist or a psychologist, sits quietly. The rationale
is that lying on a couch provides an
atmosphere that facilitates patients letting their guard down and
revealing important information.
Ideally, the analyst says little and responds to everything in a
neutral manner so that the patient’s
projection of feelings and thoughts can occur naturally.
Psychoanalysis was not to involve the giv-
ing of advice or admonishing of the patient.

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Freud’s psychoanalysis was based on his belief that individuals
in therapy tend to recreate the
dynamics of their early relationships. In this process, the
analyst takes the place of important oth-
ers in those relationships—an event termed transference. By
transference, Freud (1966) meant a
transferal of feelings to the doctor. For example, transference
can appear as a passionate demand
for love or, in more moderate forms, a wish could emerge from
a young female patient that her
older male therapist receives her as a favorite daughter. Current
research in cognitive and rela-
tional science suggests that the construct of transference is
reasonably robust and appears to be
involved in all our relationships (Hassin, Uleman, & Bargh,
2005). (Note: There are parallel terms
in other theoretical perspectives that characterize a process very
similar to transference. As an
illustration, the behavioral perspective uses the term

generalization to indicate when learning in
one context is generalized to another similar context.)
The Technique of Free Association
Although used within the context of psychoanalysis, the
technique of free association can stand
on its own as a unique contribution to the process of
psychodynamic assessment. Free association
is the uncensored expression of whatever thoughts or feelings
come to mind, a sort of stream-of-
consciousness thinking. The theory is that free association can
open a window into the intimate
recesses of the patient’s mind because it moves too quickly and
too fluently (if someone has
learned to do it well) to allow the normal defenses to catch and
prevent any undesirable con-
tent from emerging. With free association, the therapist
attempts to identify repetitive patterns,
themes, conflicts, resolutions, and fixations.
The Technique of Dream Analysis
Another of Freud’s pioneering developments involved the
analysis of dreams. Freud considered
The Interpretation of Dreams (1900/1913) to be the major work
of his life. In this book, he pre-

sented his ideas about the symbolic meanings of various
elements in dreams. Psychoanalysts con-
tinue to use dreams as a way to access the patient’s
unconscious. As is the case with free associa-
tion, the rationale is that in the dream one is less likely to
censor (defend against) material because
it is seen as less threatening. Indeed, much of the dream content
is perceived as even more benign
when the agent of action in the dream is not the individual, but
someone else. Of course, Freud
would still interpret the primary agent of action as the dreamer,
at least in most circumstances.
Freud speculated that dreams are based on the residual
experiences of the day and reveal uncon-
scious, conflict-laden issues, many of which are expressed
symbolically. As noted earlier in the text,
some psychoanalytic therapists, such as Jung, focused on the
manifest content of dreams—their
apparent surface meaning. Some
psychoanalysts, such as Freud,
instead focused on the dream’s
latent content—that is, its hid-
den meanings, as they are being
heavily defended. Regardless of

the practitioner or their focus,
the greatest interest tends to be
on recurrent dreams, as they are
thought to be especially salient
to the dreamer, often alerting
the therapist to specific issues of
emotional relevance.
For more detailed information on Freud’s views of the sig-
nificance of dreams, consider reading Freud’s (1900/1913)
text, The Interpretation of Dreams (3rd ed.), translated by
A. A. Brill. A version of this text is available at http://psych
classics.yorku.ca/Freud/Dreams/index.htm.
Reference: Freud, S. (1913). The interpretation of dreams
(3rd ed.). (A. A. Brill, Trans.). New York, NY: The Macmillan
Company.
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http://psychclassics.yorku.ca/Freud/Dreams/index.htm

The Word Association Task
Carl Jung believed that individuals make associations between
ideas, experiences, and affective
states, and many of these connections exist in the unconscious.
Jung labeled these groupings and
connections complexes, and he theorized that they could be
uncovered through testing. The word
association task was one means by which he sought to do so.
The premise of the task is to provide
the patient with a series of words, and after each word, the
patient says the first word that comes
to mind, responding as quickly as possible. The rapid response
set is intended to minimize the
individual’s level of monitoring, making it more likely that
unconscious material will surface. In
fact, long delays in responding would be interpreted as a
defensive posture.
The Rorschach Inkblot Test
In 1921, after studying the responses of hundreds of psychiatric
patients and control subjects for
approximately 10 years, Swiss psychologist Hermann Rorschach

wrote the book Psychodiagnostik
(Psychodiagnostics, 1921/1942), introducing the Rorschach
inkblot test. In his book, Rorschach char-
acterized the 10 cards he selected and outlined a scoring
method. However, Rorschach died within
the next year, leaving the Rorschach without an individual to
guide its development. Consequently,
several different administration and scoring procedures were
developed (e.g., Beck, 1944; Beck,
Beck, Levitt, & Molish, 1961; Klopfer & Kelley, 1942), and an
alternative version of the inkblot even
emerged (e.g., The Holtzman Ink-
blot Test; Holtzman, Thorpe,
Swartz, & Herron, 1961). What
all of these approaches had in
common was the rationale of
presenting an ambiguous stimu-
lus, the inkblot, and having the
patient provide a response, with
the primary interpretation focus-
ing on the response content. As
with other projective tests, the
assumption is that the respondent
would project his or her uncon-

scious conflicts into the inkblot.
Although all versions were often variously referred to as the
inkblot test, they were each quite
different. As noted in Chapter 1, the lack of standardization for
a test seriously undermines its reli-
ability and validity. We will see in Chapter 3 that one of the
more recent contributions to the field
was a standardization of the Rorschach.
The Thematic Apperception Test
The Thematic Apperception Test (TAT) was first developed by
Henry Murray and Christina Morgan
in 1935. Since that time, it has grown in its popularity, and
aside from the Rorschach, the TAT is the
most widely used projective test (Wood, Nezworski, Lilienfeld,
& Garb, 2003). The test contains
over 30 picture cards that depict individuals of both genders and
of varying ages, as well as more
ambiguous figures. Indeed, one picture is blank. Originally,
Murray suggested using 20 of the
For more detailed information on Jung’s word association

task, read Jung’s (1910) article, “The Association Method,”
originally published in the American Journal of Psychol-
ogy. Find it online at http://psychclassics.yorku.ca/Jung
/Association/lecture1.htm.
Reference: Jung, C. (1910). The association method. American
Journal of Psychology, 31, 219–269.
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CHAPTER 2 Summary
cards, selecting the subset based on age
and gender of the patient, and adminis-
tering them 10 at a time in two separate
test sessions. Murray also developed a
scoring system for the TAT based on his
need-press theory of personality. How-
ever, in practice, approximately 10 cards
are administered, and there is consid-
erable variability in the specific cards

selected, as well as in how they are
administered and scored. Indeed, there
are even more scoring systems for the
TAT relative to the Rorschach, and most
are qualitative in nature (see Groth-
Marnat, 2009). Thus, although the TAT
instrument is widely used, its psycho-
metric properties remain questionable,
due to the reliance on the clinician’s
judgment and intuition (e.g., Lilienfeld
et al., 2000).
Summary
This chapter describes Freud’s psychoanalytic theory, the most
comprehensive personal-ity theory of the 20th century, as well
as the ideas of other theorists who shared many of Freud’s basic
assumptions. Psychoanalytic theory views the mind as being
composed
of three major structures: the id (primary drives of sex and
aggression), the ego (reality-based
level of personality), and the superego (conscience). Freud
believed that the primary forces that
drive human thought and behavior are sexual (life
instinct/libido) and aggressive (death instinct)

in nature. Freud divided the mind into three regions:
unconscious, preconscious, and conscious,
though he believed the unconscious to be the most important of
these. He believed that the id
reflects our unconscious desires, the superego our unconscious
need to be ideal (in morality), and
the ego manages the inevitable conflict through the use of
defense mechanisms. In Freud’s sys-
tem, personality development progresses through oral, anal,
phallic, latency, and genital stages
of psychosexual development. Personality reflects the extent to
which the individual accomplishes
the tasks related to each stage, as well as the possibility of
becoming fixated.
The neo-analytics expanded on Freud’s psychodynamic theory
and made many lasting and influen-
tial contributions as well, including Carl Jung’s notion of the
collective unconscious, Alfred Adler’s
inferiority complex, and Karen Horney’s repressed womanhood.
We also reviewed several research studies testing the viability
of the unconscious and its influ-
ence, a defense mechanism, and some aspects of the
psychosexual stages of development. In

a broad sense, the reviewed research supports the influence of
the unconscious, the defense
mechanisms, and even raises the possibility of some unusual
dynamics, though it falls well short
of confirming psychodynamic theory. The methods used to
explore the unconscious were also
presented, along with their strengths and weaknesses.
Lewis J Merrim/Science Source/Getty Images
The Thematic Apperception Test (TAT) requires individuals
to tell a story based on an ambiguous image; the clinician
looks for recurrent themes in the stories from different
images. There are both adult and child versions of this
projective test.
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CHAPTER 2 Key Terms
Of course, psychodynamic theory was never universally
accepted, and many continue to be
staunch critics of both the theory and method. The

psychodynamic approach is often charac-
terized as philosophical rather than scientific in nature, and it is
sometimes considered pseudo-
science. However, despite problems with the methods, many of
psychoanalytic concepts have
evolved to fit within modern theories (Luborsky & Barrett,
2006) and they continue to stimulate
research (Westen, 1998).
Key Terms
anal expulsive The personality resulting from
a child who deals with issues of control and
autonomy in the anal stage by giving up efforts
to control situations.
anal retentive The personality resulting from
a child who deals with issues of control and
autonomy in the anal stage by over-controlling
situations.
anal stage Lasting until about age 4, a stage of
development during which the primary source
of pleasure is derived from the voiding and
retention of feces.

cognitive unconscious A modern day concept
that is distinct from Freud’s unconscious and
more akin to his concept of the preconscious.
collective unconscious Refers to what is essen-
tially a public-access and universal version of
the unconscious that contains memory traces
common to all humans.
conscious The portion of the mind of which we
are ordinarily aware; Freud considered this just
a small part of each individual’s mind.
death instinct Represented by aggression, as
one example; sometimes called Thanatos, a
minor mythological Greek figure.
defense mechanism A mental operation that
protects an individual against anxiety that
might result when primary process material
threatens to break through to the conscious or
preconscious mind.
denial A defense mechanism that consists of a

refusal to accept reality.
ego A psychic structure defined by Freud
whose primary role is to utilize defenses to
meet the demands of the superego, and id,
while also balancing the limitations of reality.
Electra complex The related experience of the
Oedipus complex for the female, who believes
she has already been castrated; she blames her
mother for the castration, and is drawn to her
father because he does possess a penis.
extrovert A person who tends to be outgoing
and very socially oriented.
fixated Being stuck in a certain stage of psy-
chosexual development, unable to progress.
genital phase The final stage of psychosexual
development, beginning at approximately age
11–14; libidinal energy is now directed towards
adult romantic partners of the opposite sex,
and the stage culminates in the fullest level of
maturity.

id A psychic structure defined by Freud that is
only driven to maximize pleasure and minimize
pain. The id is hypothesized to be submerged in
the unconscious, so basic drives can be satis-
fied in the unconscious (e.g., fantasy) as well.
inferiority complex Individuals’ struggles with
feelings of inferiority.
introvert A person who tends to be quiet and
withdrawn and is more interested in ideas than
in people.
latency phase A stage of development from
about age 6 to 12; it is a time when preoccupa-
tion with sexuality lessens.
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CHAPTER 2 Key Terms
latent content Underlying meaning (typically

sexual or aggressive in nature).
libido The sexual instinct; referred to as Eros,
the Greek god of love and sexual desire.
life instinct Represented by the libido, the
sexual drive.
manifest content Apparent, surface meaning.
moral anxiety Anxiety that emerges second-
ary to fears that you are violating internalized
moral standards. This is most likely to occur
when the superego gains too much control
over the ego.
neuroses A cluster of symptoms typified by
anxiety or indecision and some degree of social
maladjustment.
neurotic anxiety A kind of “free-floating” ten-
sion that is unrelated to any immediate threat.
Oedipus complex When a young boy com-
pete with his father in an attempt to gain the

attention of or possess his mother. This leads to
fears of being castrated by his father.
oral aggression The personality that occurs
when weaning has occurred too soon or too
abruptly, creating an adult who aggresses
against others to meet his or her needs.
oral dependency The personality that occurs
when an infant has been weaned too late, cre-
ating an adult who requires and expects a great
deal of attention and support from others.
oral stage The first psychosexual stage of
development, lasting until about age 2, in
which an infant explores the world largely
through his or her mouth.
persona An identity or mask that an individual
adopts.
phallic stage Psychosexual period of develop-
ment that lasts from about 4 to 8 years of age,
during which the primary source of gratification
is derived from the genitals.

pleasure principle The attempt to avoid pain
and maximize pleasure.
preconscious The portion of the mind where
unconscious material is transformed or
“worked over” by the defense mechanisms.
Any material that is moving from the uncon-
scious to conscious awareness first must go
through the preconscious.
primary process Thinking derived from inner
thoughts and fantasies that are egocentric in
nature and lacking in objectivity.
psychoanalytic theory A comprehensive
metatheory that deals with the structure and
operation of the mind, the formation of per-
sonality through stages of psychosexual devel-
opment, the development of psychopatholo-
gies, and psychoanalytic methods for treating
psychological disorders.
psychosexual development Freud’s theory of
human development and personality forma-

tion; the sexual instincts to survive and procre-
ate are one of the major forces in this develop-
mental process.
reaction formation The defense mechanism
in which one adopts attitudes and engages
in behavior that defends against threatening
unconscious impulses that are in direct opposi-
tion to the adopted attitudes and behaviors.
realistic anxiety A rational response to actual
danger, which triggers a flight-fight-or-freeze
response.
reality principle The recognition that gratifica-
tion is subject to limitations in reality.
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CHAPTER 2 Key Terms
repressed womanhood Horney’s reinterpreta-
tion of penis envy, in which anatomy is not the

cause of women’s dissatisfaction, but instead it
is the maltreatment of women in our society.
repression A psychological defense mecha-
nism that is used to keep painful experiences
and unacceptable impulses out of conscious
awareness.
sublimation The defense mechanism through
which the individual finds ways of transform-
ing unacceptable urges into more acceptable
behaviors.
superego The mental structure that represents
the internalization of society’s values and mor-
als, as portrayed by parental figures and social
institutions.
topography A theoretical conception of how
the mind organizes experience and how its vari-
ous components interrelate.
transference In therapy, it is when the analyst
takes the place of important others in early
relationships. This can also occur in other areas

of life.
unconscious The portion of the mind of which
we are unaware and the defense mechanisms
actively suppress.
wish fulfillment Imagery (or hallucinatory
experience) that resolves tension.
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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
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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).
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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
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.
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. After reading about this study, discuss the
relative advantages and disadvantages to the approach

used to answer this question. Read the article at http://
www.ncbi.nlm.nih.gov/pmc/articles/PMC2839250/.
Lec81110_01_c01_001-038.indd 9 5/20/15 9:18 AM
http://www.ncbi.nlm.nih.gov/pmc/articles/PMC2839250/
http://www.ncbi.nlm.nih.gov/pmc/articles/PMC2839250/
Traits and Factors
Traits are specific, stable features of personality such as
persistence, integrity, and honesty. Using
factor analysis, trait psychologists have done extensive studies
to group related specific traits into
broader factors that can account for variations in personality.
For example, the traits kind, affec-
tionate, and sympathetic have been grouped into the main factor
agreeableness in the “big five”
factors of personality (Costa, McCrae, & Dye, 1991). Thus, the
primary distinction between traits
and factors is the level of study, with traits at the lower level,
reflecting more specific constructs.

In contrast, factors reflect broad aggregates of related traits,
and they provide an organizational
framework for traits.
Mood States
Mood states refer to conditions that fluctuate over time and
across situations. Recall that a trait is
a stable and predictable personality characteristic that is
consistent in various situations and over
time. These distinctions are important for understanding
personality. For example, George, who
is depressed today, may withdraw and appear preoccupied and
difficult to engage interperson-
ally. If we assess his personality at this time, his depressed state
(or mood) might lead us to the
inaccurate conclusion that he is introverted (trait). Later, when
he is no longer depressed, George
might become more outgoing and socially responsive. Thus, a
personality trait may be profoundly
influenced by an affective state, or mood state.
Although we can make a conceptual distinction between a state
and a trait, there is some ambiguity
when considering the extent to which behavioral, affective, and

cognitive patterns must be pres-
ent before they are labeled as personality, as opposed to the
more transient mood state (Lecci &
Wirth, 2006). In fact, no clear definition of stability has been
articulated, but clearly the longer a
behavior, affect, or cognition lasts, the more likely it would be
characterized as personality. One
can also examine measures of personality relative to measures
of mood to find some of the prac-
tical differences. For example, when assessing personality,
researchers will often ask how people
think, feel, and act “in general.” Whereas when focusing on
mood-type constructs, the assess-
ment tools might ask how people are thinking, feeling, and
acting at that particular moment.
Culture
While temperament, character, traits and factors, and mood
states are all important constructs,
culture is another component that must be considered in the
study of personality. Most of the
theories we will cover in this text emphasize to varying degrees
the importance of early expe-
riences in the development of personality, and many scholars
believe that parenting styles are

determined to a high degree by the dominant culture of the
parents (Chang, 2007; Keshavarz &
Baharudin, 2013).
Part of the socialization (parenting) process is passing on
cultural values (Corsaro & Elder, 1995).
Emile Durkheim’s (1912) seminal work “The Elementary Forms
of Religious Life” sheds some light
on this process. Durkheim’s basic argument is that shared
enacted social practice is the foun-
dation of both cognition and morality, and that religious
practice is the best illustration of this
dynamic. While the predominant thinking of his day was
pragmatism, for Durkheim, the dynamic
relation was inherently socially based, and the critical action
was social action (mostly in the form
of enacted social practice), not individualized problem solving.
Social practice (which included reli-
gious practice) was a way for people to meet their personal as
well as their social needs, and had
a fundamental impact on the individual life experiences of the
members of the social group. He
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believed that socially enacted practices create the individual
experiences. Thus, the personalities
of a child raised in a devout Amish community, one raised in a
Jewish home, one raised in a com-
mune, and one raised by atheists in a high-rise in Manhattan are
bound to have differences based
on their cultural environment. And those are just examples from
American culture.
Bronfenbrenner’s (1972) research demonstrated how the then
powerful communist culture
impacted the socialization of Russian children. It is interesting
to note that after a few generations,
the family, the state, the school, and the peer group all
participated in socializing the conformity
necessary to maintain the communist system.
Even perceptions of temperament are affected by culture. What
is considered an easy or a dif-
ficult temperament in children depends on cultural values.
Dworetszky and Davis (1989) cite a

study of easy and difficult children done in 1984 among the
Masai, a nomadic tribe of African
warriors. They found that, because of the harsh environmental
conditions, those children that
Westerners would consider difficult were actually more highly
valued by their parents and had
much lower rates of childhood mortality. In this case, the
“difficult” behaviors actually increased
the child’s chances of surviving to adulthood, while the easy
(more passive—less demanding) chil-
dren received less attention and died with much greater
frequency. More recently, Haase, Jome,
Ferreira, Santos, Connacher, and Sendrowitz (2014) found that
culture influences individuals’
capacity for tolerating information overload. Even idioms and
proverbs in different cultures may
reflect variations in what characteristics of the individual are
most valued. We are familiar with the
saying “the squeaky wheel gets the grease,” which suggests that
an extroverted individual who is
self-focused in their approach may be more adaptable. However,
the Japanese proverb “the nail
that stands out gets hammered down” might suggest that a more
introverted and group-focused
mentality is preferable.

But culture is a difficult construct to include in a concise theory
because culture does not describe
one way of being; it describes thousands of diverse and nuanced
ways of being that can change
or be changed. Nevertheless, it cannot be ignored when looking
at the development of personal-
ity (see Chapters 6–9 for specific examples of cultural
considerations as they apply to different
theoretical perspectives).
A second way that culture impacts our study of theories of
personality is to look at who is doing
the theorizing. For the most part, the predominant theories in
personality development come
from Western thinkers. The inclusion of other cultures is a
relatively recent phenomenon. In fact,
a meta-analysis done by Henrich, Heine, and Norenzayan (2010)
noted that “behavioral scientists
routinely publish broad claims about human psychology and
behavior in the world’s top journals
based on samples drawn entirely from Western, Educated,
Industrialized, Rich and Democratic
(WEIRD) societies. Researchers—often implicitly—assume that
there is little variation across

human populations or that the ‘standard’ subjects are as
representative of the species as any
other population” (p. 1). This does not negate the value of
psychological studies and their result-
ing theories. It is, however, important to understand the lens
through which those theories were
conceived.
Nature and Nurture
One of the oldest debates about human nature concerns how
much of our personality can be
traced to biology and genetics (nature) and how much depends
on our upbringing, environment,
and culture (nurture). Research suggests that part of this answer
depends on which aspect of
personality is being studied. For example, when considering the
trait of neuroticism, it appears
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that there is a relatively strong genetic component, with

genetics accounting for upwards of 60%
of the variability in neurotic behavior (e.g., Saudino & Plomin,
1996; see also Plomin, Haworth,
Meaburn, Price, & Davis, 2013). In contrast, traits like
creativity (also referred to as openness to
new experience) appear to be influenced to a greater degree by
one’s environment.
However, the trend has been to move away from the traditional
contrast of nature versus nur-
ture. In fact, the nature-nurture debate has more recently been
referred to as a false duality
(Traynor & Singleton, 2010), such that, with few exceptions, we
have come to understand that
both the environment of the individual and the individual him-
or herself are significant contribu-
tors to the resulting action. Indeed, taking the above examples
of neuroticism and creativity, it
is still the case that the environment plays a substantial role in
neuroticism, and genetics are still
influential with creativity.
Within the field of personality psychology, the nature-nurture
distinction was captured by the
“person-situation” debate, which examined how stable a

person’s personality is across varied con-
texts. Researchers initially vied for who could explain more
variability in human behavior (e.g.,
Bem & Allen, 1974; Epstein & O’Brien, 1985; Mischel, 1968).
However, more nuanced questions
subsequently emerged, focusing instead on the circumstances
under which either nature or nur-
ture may have a greater influence on behavior. The latter
includes defining complex interactions,
such as how some traits are especially salient for certain
individuals and therefore demonstrate
greater cross-situational consistency compared to those same
traits in others for whom the traits
are less salient (e.g., Cheek, 1982; Zuckerman, Koestner,
Deboy, Garcia, Maresca, & Sartoris, 1988).
Currently, the person-situation debate adopts an integrative
perspective with a focus on the
interaction between the two (e.g., Donnellan, Lucas, & Fleeson,
2009; Webster, 2009).
Epigenetics
While the nature verse nurture question has been a staple of
psychological debate and research
for years, the emerging field of epigenetics is rendering that

dichotomy obsolete. Sigmund Freud
believed that “anatomy is destiny,” that our gender and our
genes determine who we become.
On the other extreme, the early behaviorists believed that the
environment was king, that we are
little more than the response to whatever stimuli we encounter.
If you want a different response,
just change the stimulus. However, we now know that the two
are not distinct and mutually exclu-
sive forces leaving their mark on our development, but that
environment actually triggers or lays
dormant the expression of our genes.
Epigenetics is a revolutionary and burgeoning field of scientific
study. Scientists have discovered
that our environment creates chemicals that work on the genetic
code of our DNA, and it is the
process of our DNA sending a message to our RNA (known as
transcription) that becomes the
template for protein synthesis. This is where the action and the
outcomes occur. In Epigenetics:
How Environment Shapes our Genes, Frances describes the
process like this. Rather than the gene
being the controlling executive in this process, think of it more
like the gene is a “member of an

ensemble cast of biochemicals, the interaction of which
constitutes a cell. The executive function
resides at the cell level; it cannot be localized in its parts.
Genes function as material resources for
the cell. In this view, each stage of protein synthesis is guided
at the cellular level. But most fun-
damentally, the ‘decisions’ as to which genes will engage in
protein synthesis at any point in time
is a function of the cell, not the genes themselves” (Francis,
R.C., 2011, p. 19). And these cellular
decisions are affected by our environment and, in some cases,
the environments of our ancestors
(Simmons, 2008).
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So it is really the interplay between our nature (our genes) and
our nurture (our environment),
rather than each one’s impact on us, that is important. Twin
studies have long been used to study
heritability. Monozygotic twins (identical twins) share exactly

the same DNA, yet they don’t always
develop exactly the same way. Epigenetics provides the
explanation as to why one twin might
develop schizophrenia while the other does not, even though
they both would have inherited the
predisposition and most likely share similar environments, at
least in infancy (Carey, N., 2012). We
will explore more about emerging neurosciences like
epigenetics in Chapter 4.
How Related Disciplines Have Contributed to Personality
Personality is not only the province of the behavioral sciences
and personality theorists. Other
disciplines are also concerned with personality and character
and seek to understand the basic
forces that operate within all human beings. Here we briefly
touch upon a few of the fundamental
disciplines underpinning the foundation of personality
psychology.
Philosophy
Psychology emerged from its sister discipline, philosophy,
which is concerned with understand-
ing human nature. Strong philosophical underpinnings are

apparent in various systems of psy-
chological thought. In fact, the word psychology was derived
from psyche, a term used by the
Greek philosophers Plato and Aristotle, each of whom
speculated on the nature of humankind.
The term psyche remains a frequently used concept today in
both psychology and philosophy, and
it is generally meant to capture the essence of the human mind:
“To Aristotle, psyche basically
meant living” (Watson, 1963/1971, p. 54). The influence of
philosophy was prominent early on,
with Aristotle’s theoretical account of the three psyches (also
known as souls: rational, animal,
and vegetal) reflecting the essence of psychology until the 19th
century (Rohde, 1925). However,
psychology and the specialty of personality began experiencing
a shift in the primary methods to
investigate the psyche, with a clear preference for the scientific
methods used in the natural sci-
ences. Thus, philosophical reasoning eventually gave way to
observation (both introspection and
case studies) and rigorous experimentation as the primary means
of collecting data and revising
theories. In this respect, personality theories have their roots in
two disciplines: philosophy and

natural science (see Figure 1.1).
Figure 1.1: Personality theory and its relation to other
disciplines
Philosophy
Personality
Theory
Natural Science
Personality theory emerged largely and borrows
heavily from philosophy and the natural sciences.
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Literature
Literature reveals much about human nature. Writers offer a
view of human beings that often

shows profound insight into the struggles of existence and how
people from various ethnic and
cultural backgrounds and historical periods navigate through
these conflicts. Much of our fas-
cination with literature is based on our desire to understand
ourselves. In the lives of
fictional characters, we see the influence that environmental,
family, and genetic factors can
exert on people.
Elements of classical literature can be
seen in many theories of personality. In
the development of psychoanalytic the-
ory, Freud drew from Greek mythology
and from Shakespeare. For example, the
notion of the Oedipus complex is bor-
rowed from multiple sources, including
Hamlet, and Sophocles’ play, Oedipus
Tyrannus, and our current term narcis-
sism comes from the Greek myth of Nar-
cissus. Some of the earliest work of trait
psychologists also focused on the analy-
sis of language (i.e., adjectives used to
describe human behavior) as the start-
ing point for identifying the most fun-

damental factors that underlie all traits
(Goldberg, 1981; see also Ashton, Lee, &
Goldberg, 2004).
Theology
Religion offers another valuable perspective on the nature of
humankind. Theology attempts to
understand our relationship to a greater power. Various
religions make assumptions about the
nature of good and evil and about which traits we should strive
to emulate that will bring us closer
to a divine being. Theological systems offer alternative
understandings about human nature and
the possibility of transformation.
For example, a key figure in per-
sonality psychology, Carl Rogers,
forwarded a theoretical perspec-
tive that was clearly influenced
by his exposure to Christianity
and two years in seminary. Rogers
developed the person-centered
approach to understanding peo-
ple and was also one of the found-
ers of what has become known as

the humanistic perspective (see
Chapter 9). At the heart of his
theory was the belief that we are
good, even ideal, individuals, who
Peter Barritt/SuperStock
Our modern-day term narcissism is based on the ancient
Greek myth of Narcissus, who could not leave his reflection
and wasted away, gazing at it, so much that he eventually
fell into a river and drowned.
We discuss in this text how other disciplines contribute to
psychology, but other authors have debated which disci-
pline psychology most closely matches and tried to deter-
mine the one with which it should be affiliated. See, for
example, a summary of James Hume’s (1909) view by visit-
ing http://psychclassics.yorku.ca/Hume/affiliation.htm.
Reference: Hume, J. G. (1909). The proper affiliation of psy-
chology: With philosophy or the natural sciences. Psycho-
logical Bulletin, 6, 65–67.

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http://psychclassics.yorku.ca/Hume/affiliation.htm
only evidence problematic behavior when placed in forced
circumstances (known as conditions of
worth). His theory assumed that the ideal self would emerge
when given unconditional positive
regard, and this represented a central aspect of his clinical
interventions. Similarly, the concept of
the unconscious resembles ideas reflected in Buddhism and
Taoism (see Harvey, 1995). For example,
the concept of Tao, or “no mind,” emphasizes that which cannot
be known in oneself. More recently,
clinicians have borrowed the Buddhist concept of mindfulness
(i.e., being completely aware of the
present moment, with a nonjudgmental framework) for
therapeutic gain. From these examples, it is
evident that psychology has roots in ideas from religions around
the world.
Defining Normal

Throughout this text, we will be looking at normal and
abnormal behavior, so it is important to
take a step back and ask the question: Who gets to decide what
is normal and what is not? And
who decides who gets to decide?
This is an important question and one that social scientists need
to keep in mind. What is consid-
ered to be normal human behavior has been defined differently
by different cultures in different
times. There is no constant “normal.” Normal is an
interpretation. In ancient Aztec culture, it was
normal to cut out and eat people’s hearts (Harner, 1977); such
behavior now would be considered
deviant and criminal. Homosexuality was common and
considered normal through much of the
history of the world. It is well known that homosexuality was
practiced and accepted in ancient
Rome, and there is ample evidence that the same was true in
places as diverse as Africa, Peru,
and China. Homosexuality was a normal part of many societies
(Aldrich, 2004; Nussbaum, 2002;
Tomso, 2002). Yet, the first version of the Diagnostic and
Statistical Manual of Mental Disorders
(DSM) published by the American Psychiatric Association

(APA) in 1952 classified homosexuality
as deviant and abnormal. Why? Probably because the
membership of the APA was overwhelm-
ingly White, middle-aged males from a culture where
homosexuality was considered wrong or
even criminal—a product of the time and the culture.
We have witnessed the change in thinking on this issue with the
evolution of social norms. In
1973, homosexuality was taken out of the DSM and no longer
considered “abnormal” behav-
ior. However, in 1980, due to pressure from conservative
psychiatrists and psychoanalysts, a new
diagnosis, ego-dystonic homosexuality, was added back into the
DSM as a disorder. The diagnosis
criteria included symptoms of “unwanted” homosexual urges
and lack of heterosexual desire. This
move was widely criticized as political, and in 1986, any
reference to homosexuality was removed
for good. The evolution of the APA’s perspective on
homosexuality is a strong illustration of the
point that normal is relative.
As we have just read, philosophy, literature, and religion have
all contributed to the evolution of

psychology. The work of two French philosophers, Michel
Foucault and Pierre Bourdieu, is ger-
mane to this discussion. Both men focused on the idea of who
gets to define “normal,” and both
concluded that it had a lot to do with social power. Foucault
wrote about prisons and mental
institutions (who ends up there and why), and Bourdieu wrote
about language (who gets to define
legitimate language), but their ideas were similar. Those
societies with power and those in the
society who have power define what is normal and what is not.
Foucault became interested in power while writing his histories
of phenomena such as madness,
imprisonment and punishment, and sexuality. He was actually
one of the first to view these as
historical objects of study, and he found that when he listened
to the perspective of the mad,
Lec81110_01_c01_001-038.indd 15 5/20/15 9:19 AM
CHAPTER 1 1.3 Theory: A Way of Organizing Complex
Phenomena

the imprisoned, the punished, or the sexually deviant, he heard a
very different history than that
which might be presented by the doctor or lawyer. Foucault
postulated an analogous relationship
between knowledge and power and began to question the
epistemological bases of the “produc-
tion of truth.” He believed that just as a minority can physically
force its will on the majority, so too
can a minority mentally force its conception of truth on the
majority (McHoul, 1993).
He was especially interested in looking at normal and abnormal
as created categories. He stud-
ied madness, illness, criminality, sexual perversions, and other
behaviors that were considered
abnormal in his time and showed through his historical studies
that these same behaviors had
not always been so defined. “Behavior that got people locked up
or put in hospitals at one time
was glorified in another” (Fillingham, 1993, p. 16). Foucault
believes that the abnormalization of
madness arose to fill the void created by the disappearance of
leprosy at the end of the middle
ages (Sarup, 1993).

While other people were studying the normality or abnormality
of certain behaviors, Foucault was
asking questions on a much higher level. He wanted to know
how “normal” was being defined
and by whom. He believed the definition and study of
abnormality was a primary method of the
establishment of power in society, because “when an
abnormality and its corresponding norm are
defined, somehow it is always the normal person who has power
over the abnormal” (Fillingham,
1993, p. 18).
Similarly, Bourdieu argued that those groups within the society
who wield the most political and
social power control the use of and assign value to language
within that society. “The social uses
of language owe their specifically social value to the fact that
they tend to be organized in systems
of differences (between prosodic and articulatory or lexical and
syntactic variants) which repro-
duce, in the symbolic order of differential deviations, the
system of social differences” (Bourdieu,
1991, p. 54).

In a 1980 essay entitled “The Production and Reproduction of
Legitimate Language” (later trans-
lated into English and included in his 1991 work Language and
Symbolic Power), he argues that
language and power (he refers here to both political and social
power) are inextricably intertwined.
So while normal and abnormal in psychology are clearly defined
in the DSM-5, it is important to
note that it is highly influenced by western predominantly male
thinking and has been criticized
by many for its lack of cultural inclusiveness. Pretty interesting
stuff.
1.3 Theory: A Way of Organizing Complex Phenomena
The root word for theory is the Greek work theoria, meaning to
view or contemplate. Theories, which are a system of ideas used
to explain any phenomena, are important to any scientific study
because they provide a context within which to interpret
findings. Personality theories
allow one to develop relevant research, establish a framework
for interrelating different research
findings, and, most importantly, allow for a priori predictions.
The term a priori refers to the abil-

ity to make predictions based on theoretical deduction rather
than empirical observation. That is,
theories allow researchers to predict the outcome of a research
study before actually seeing the
Lec81110_01_c01_001-038.indd 16 5/20/15 9:19 AM
Phenomena
data. When a theory results in a priori predictions, this allows
the researcher to design a study
that could, depending on the outcome, disprove (or falsify) the
theory that generated the predic-
tions (Popper, 1963). Thus, ideally, theories should result in
very specific predictions, and when
one designs an experiment to test the accuracy of the theory,
then this can be described as strong
inference (see Platt, 1964; see also Davis, 2006). This can be
contrasted with research that does
not generate specific hypotheses in advance, and instead simply
explains all or many outcomes
after the fact.

As an illustration, consider the theories we described earlier in
this chapter to account for
Dorner’s actions. Hypothetically, if psychodynamic theory
predicts that such violent behavior
would have to result from a strained or absent relationship with
one’s parents (operationally
defined as either a divorce or having an estranged parent), then
one could make a specific predic-
tion regarding the nature of Dorner’s family of origin. If,
however, it turned out that his parents
remained happily married and were both present and supportive
during his formative years, then
this would serve to refute the theory. The ability to make such
specific predictions is less typical of
some psychological theories, and as a result, those theories
would not result in strong inference.
In order for a discipline to advance scientific knowledge, there
is a need for strong inference.
Wilson (1998) describes the importance of theory in the practice
of science: “Nothing in science—
nothing in life, for that matter—makes sense without theory. It
is our nature to put all knowledge
into the context in order to tell a story, and to recreate the world

by this means” (p. 52).
All branches of science require a way to make observations and
classify data, a set of propositions,
and a theory for organizing the data into a comprehensible
framework that can guide further
developments and generate testable hypotheses. The theory must
then stand the test of empirical
examination, which will either confirm or refute it and may lead
to outright rejection or modifica-
tion. The need for empirical proof is one of the features of
science that separates it from other
disciplines, such as theology and philosophy.
Building and Characterizing a Theory
Advanced development of a discipline usually requires building
a theoretical model that explains
and predicts observations. For example, major advances were
made in the biological sciences
when investigators began to develop theoretical models showing
how pathogens cause disease.
Even though the viruses and bacteria responsible for the spread
of disease had been identified,
little progress was made until theories were advanced.

Theories provide a kind of map for organizing knowledge. One
of the major advancements in knowl-
edge was achieved by Charles Darwin when, after spending
years observing and classifying the nat-
ural world, he proposed the theory of evolution. Not only did
this model explain biological diversity
on the basis of natural selection, but it continues to influence
many disciplines, including the study
of personality (see Chapter 4 for a discussion of evolution’s
role in the structure of the brain).
Theories can be evaluated along a number of dimensions or
features. For example, Rychlak (1968)
describes the main features of theoretical systems of personality
(see also Rychlak, 2000). These
are presented in Table 1.2.
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Phenomena
Table 1.2: Possible descriptive features of theories

Abstract Concrete
Concepts tend to be esoteric and can be
interpreted in different ways.
Observable data are emphasized and constructs
follow in the form of laws.
Realistic Idealistic
There is an observable external world that is
unchanging.
Reality is in the mind of the observer.
Objective Subjective
Experience can be reliably observed when the
proper criteria are used.
There is a level of knowledge that is personal and
not observable.
Introspective Extrospective

The observer can realistically observe the self. The observer
cannot accurately observe the
self and must be detached from the point of
observation.
Formal Informal
Laws and postulates are clearly articulated and
logically connected.
Laws and postulates are loosely formulated and
connected.
Abstract Versus Concrete
Theoretical constructs are abstractions, but the level of
abstraction can vary considerably. Behav-
ior theory and psychoanalytic theory were at odds with one
another early in the evolution of
personality theory; comparing and contrasting them can be
useful. For example, as shown in Table
1.3, classic behavior theory tried to deal with concrete,
observable data, using as little abstrac-
tion as possible. In contrast, psychoanalytic theory is highly

abstract and is often accused of using
terminology so vague that the meanings of its own terms are
undermined. The level of abstraction
presents advantages and disadvantages. For example, behavior
theory stays close to empirical
truths by limiting abstraction, but it is less able to describe the
complexity of human personality.
On the other hand, psychoanalysis presents a theory and a
vocabulary rich in explanatory poten-
tial, but the explanations it provides are sometimes too abstract
to allow for scientific study, and
its vocabulary is frequently burdened with multiple meanings
for the same terms.
Table 1.3: Comparison of behavioral and psychoanalytic models
Behavior theory Psychoanalytic theory
Little abstraction, terms precisely defined Highly abstract,
terms loosely defined and
esoteric
Close to empirical observation Removed from empirical
observation

Avoids theory and derives laws from data Develops complicated
theory and fits data into
theory
Our theories of personality need a vocabulary to both describe
and organize what we see. Dif-
ferent theorists have invented different terms to describe their
beliefs and observations, and
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Phenomena
these are often not interchangeable among theories. Learning
how to use the tools of a discipline
requires learning its vocabulary.
Realism Versus Idealism
Theories can also be assessed with respect to their reflection of
realism versus idealism. Realism
refers to the position that the world of perception and cognition

has a fixed and stable existence
independent of the perceiver. Idealism refers to the belief that
there is no external reality apart
from the perceiver. Humans, the idealists insist, view the world
through their unique and limited
perceptions and senses. Reality is created between observer and
subject. This can be illustrated by
considering the meaning of a word as it relates to concepts we
already understand. For example,
the meaning of a word such as friendship depends on a range of
personal experiences, including
interactions with people, participation in activities, and feelings
of loneliness or of kinship. In
their search for meaning and understanding, personality
theorists look for relationships that exist
among complex sets of data.
Objective Versus Subjective
Theories also vary with respect to their objectivity and
subjectivity. Objective theories are
thought to be independent of the theorist and may be understood
in the same way by anyone.
Subjective theories, on the other hand, imply that our
abstractions and constructs are unique and

cannot easily be generalized. Importantly, the methods of
scientific investigation can be greatly
affected by this distinction, and each results in very different
assumptions about what can be stud-
ied. Two concepts relevant to notions of objectivity and
subjectivity are expressed by the terms,
nomothetic and idiographic. Nomothetic study is the study of
groups to arrive at general laws or
traits applicable to groups of individuals. Idiographic study is
the study of individuals in a way that
emphasizes their uniqueness.
Introspection Versus Extrospection
The basic orientation of the observer is also important in the
development of personality theory.
Theorists who assume an introspective stance formulate theory
from their own personal points
of view. They observe and examine their own mental and
emotional states and processes and
generalize from these. This approach was especially common in
the formative years of the field, as
individuals such as Sigmund Freud and William James often
engaged in introspection to generate
hypotheses. When theorists take an extrospective perspective,

they assume a detached and neu-
tral position, basing their theories on observations of the
behaviors and thoughts of others. With
the development of highly objective scientific approaches in the
second half of the 20th century,
academic psychologists have generally rejected the use of
introspection.
Formal Versus Informal
Formal theory is stated as clearly and objectively as possible
and is expressed so as to maximize
consistency and interdependence. Formal theory can be
expressed as fundamental ideas and the
axioms that logically flow from them (not unlike the theories
commonly seen in the natural sci-
ences). Thus, highly formal theories tend to be more specific
and narrower than less formal theo-
ries. In contrast, informal theory is less explicitly stated, often
lacks clear and concise operational
definitions, is not (or is less) fully unified, and is therefore
more difficult to test directly. Informal
theory does not lend itself to what we have referred to as strong
inference—that is, theories that
allow for direct refutation through experimentation.

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Phenomena
These various features of any theory may be helpful to
evaluating the usefulness of a theory
and for comparing different theoretical perspectives (e.g.,
Rychlak, 1968). In the end, however,
there is no correct or incorrect way in which personality theory
must be constructed. Different
theories may serve very different purposes. For example,
behavior theories are often better
suited at predicting behavior than is psychodynamic theory.
Thus, disorders that are largely
defined by problematic behavior, such as simple phobias, are
better explained by behavior
theory—and behavioral approaches are also better suited to
changing that behavior (e.g.,
systematic desensitization is a behaviorally-based intervention
that tends to have reason-
ably good efficacy for treating phobias). In contrast,

psychoanalytic approaches may be
better suited for clinicians who are attempting to understand
complex psychiatric disorders
that involve more than just behavior (e.g., disordered thinking
and affect), and where the
patient has little insight into the nature and etiology of their
problematic functioning (e.g., an
endogenous form of depression).
Testing the Theoretical Components
Before a theory is accepted, it needs to be subjected to
scientific inquiry and to systematic review
by the community of scholars. If the principles of the theory are
not validated, the theory will
eventually fall out of favor. In a sense, this is a process of
scientific evolution. Theories that are
useful continue to spawn new research; they survive because
they make specific predictions and
the research fails to disprove them. Thus, they survive to see
another day, and in this manner,
one can say that they are “selected.” Many theories don’t fare
well in this “survival of the fittest”
game. They lose their credibility over time and fade away. Some
fail because of limitations specific
to the era in which they were developed—limitations such as

those related to inadequate mea-
surement capabilities and flawed methodologies. This is what
happened to the theory of phrenol-
ogy, the belief that personality traits can be assessed by
studying the contours of an individual’s
head. This belief seemed to make sense at the time, but its
propositions were not supported and
phrenology became an extinct theory of personality.
Still, many early—and apparently extinct—theories contained
an element of truth, and this aspect
of the theories is sometimes apparent in current theories. For
example, although the basic propo-
sition of phrenology was faulty, its emphasis on quantification
and localization of functioning were
important advancements that are reflected in current theories.
Convergence of Theories: Eclecticism, Integration, and
Unification
There are many theories of personality. A number of individuals
throughout the past century have
recognized the need for integration across disciplines. But it
was not until the last quarter of the
20th century that the movement really began to emerge as a
major force in many disciplines. The

reason for this delay may have been the need to wait for
sufficient empirical evidence and theory
building to accrue. After all, psychology is barely more than
100 years old.
James and Murray: Early Calls for Integration
William James (1890), who was in part responsible for the birth
of psychology as an indepen-
dent scientific discipline, was one of the earliest proponents of
integrating psychological theories.
Unlike many of his contemporaries, he thought there would be
value in integrating different ideas
Lec81110_01_c01_001-038.indd 20 5/20/15 9:19 AM
Phenomena
even if it meant that resulting theories would not always stay
close to the data. According to
Allport (1968), “More than any other psychologist James
agonized over problems of systematic

eclecticism” (p. 16).
Another prominent figure in personology was Henry Murray
(1959) who systematically attempted
to provide empirical support for a highly integrative theory of
personality. As ambitious as this
effort was, it lacked important aspects of the component
systems discovered later that would
have afforded him the opportunity to succeed in this daunting
task. Without today’s computer
technology and statistical methods, he collected much more data
from those he interviewed and
tested than he could possibly analyze. Although many of his
concepts did not achieve an enduring
place in psychology, his ambitious attempt to develop a
comprehensive integration of personality
theory continues to inspire many researchers, such as Silvan
Tomkins, who is widely known for his
theory of affect (Tomkins, 1962, 1963, 1991).
Later, another important figure in psychology, Gordon Allport,
also called for integration.
Allport’s Call for Systematic Eclecticism

Gordon Allport (1968) was among the early proponents of what
he called systematic eclecticism.
Allport’s uses the term eclectic to refer to a systematic attempt
to bring together—that is, to
integrate—various ideas to arrive at better explanations. He
describes eclecticism as “a system
that seeks the solution of fundamental problems by selecting
and uniting what it regards as true
in the specialized approaches to psychological sciences” (pp. 5–
6). He believed that it was not
possible to synthesize all plausible theories, but that trying to
do so was a challenge psycholo-
gists should accept.
Eclecticism was not a concept invented by Allport; it had been
used by a variety of philosophers
in their search for truth (Janet, 1885). He revived the concept
because of what he described as a
lack of synthesis in psychology. “The situation at present,” he
writes, “is that each theorist typically
occupies himself with one parameter of human nature, and
builds himself a limited model to fit his
special data and personal style. Those who concern themselves
with either the brain or phenom-

enology may be said to focus on one important parameter (body-
mind); depth psychologists on
the conscious-unconscious parameter; trait theorists on the
stability-variability parameter; others
on self and non-self. Trouble arises when an investigator
maintains that his preferred parameter,
or his chosen model, overspreads the whole of human
personality” (Allport, 1968, p. 10).
What the social sciences need, explained Allport (1968), is
theoretical assimilation, “the absorp-
tion of great ideas into the stream of intellectual history” (p.
14). Among the “great ideas” he
identifies are those of Darwin, Galton, Pavlov, Freud, and the
general systems theory.
Allport thought general systems theory offered great promise:
“properly employed the basic prin-
ciple of open system is, I believe, the most fruitful approach to
systematic eclecticism” (p. 17). An
“open system,” as opposed to a “closed system,” is one where
outcomes of the functioning of the
system are never entirely predictable. That clearly seems to be
the case with respect to human
personality. “Personality is the most eclectic concept in

psychology, and an open system view the
most eclectic interpretation of this concept” (Allport, 1968, p.
22).
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Phenomena
Allport (1968) realized that systems theory was critical, but he
did not expand his frame of refer-
ence to take into account all that happens outside the brain. He
was concerned about reduction-
ism and reminded us that a model is an analogue: Like a
picture; it is not the entity itself. He uses
an Indian proverb about blind men attempting to describe an
elephant as an example of myopic
theorizing:
One finds its tail very like a rope; another his hoof like a pillar;
to a third the ear
is like a saddle. But none is able to characterize the elephant.
Similarly, modelists

who say man is very like a machine, a pigeon, a mathematical
theorem, mistake
the part for the whole, and sometimes even mistake the simulata
for the thing
simulated. Systematic eclecticism works less with models than
with theories. And
its eventual aim is a comprehensive metatheory of the nature of
man. (p. 11)
The integrative movement, like other movements in psychology,
has multiple tributaries that feed
it. One major contributor to the development of integration was
a new spirit of collaboration
among innovators searching for more effective models to guide
psychotherapy.
The Influence of the Integrative Psychotherapy Movement
As Norcross and Newman (1992) note, “Rivalry among various
theoretical orientations has a long
and undistinguished history in psychotherapy, dating back to
Freud” (p. 3). And rivalry among
personality theories has been no less apparent. In both of these
fields, the concept of theoreti-
cal integration was not new, but no serious formal attempts at

synthesizing competing positions
occurred until the late 1970s (Arkowitz, 1992). In the 1980s,
there was a “geometric increase” in
this movement with more than 200 publications during this
decade devoted to psychotherapy
integration (Goldfried & Newman, 1992). This explosion of
publications on theoretical integration
in the 1980s marked the end of an era of parochialism and
ushered in a new era of interdisciplin-
ary collaboration (Arkowitz & Messer, 1984; Goldfried, 1982;
Marmor & Woods, 1980; Norcross &
Newman, 1992; Wachtel, 1987).
This interest culminated in the formation of The Society for the
Exploration of Psychotherapy Inte-
gration in 1983. The importance of this movement toward
integration was summarized by Arkow-
itz (1992): “By expanding our scope beyond theories of
psychotherapy and by looking toward
areas of theory and research in other areas of psychology (e.g.,
cognitive sciences, social psychol-
ogy, health psychology and psychobiology), psychotherapy
integration promises to bring psycho-
therapy back to the field of psychology from which it has
become somewhat isolated” (p. 293).

Assimilation and Integration
There are basically two ways a theory can coalesce: theoretical
assimilation and theoretical inte-
gration. Assimilation, as we saw in the earlier section on
Allport, occurs when features of other
systems are unwittingly absorbed into a model. This is often an
ongoing, unconscious process
where aspects of various theoretical models are absorbed and
added to a new synthesis (Messer,
1992). For example, aspects of evolutionary theory have been
assimilated into sociobiology as
well as into various personality theories.
The integration of theoretical models is a more active process.
It typically involves deliberate and
conscious attempts to blend constructs of one model with those
of another to create a more use-
ful synthesis. This is similar to Allport’s concept of systematic
eclecticism.
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CHAPTER 1 1.4 The Scientific Method
1.4 The Scientific Method
The scientific method is a systematic approach to inquiry that
uses careful observation and a formal process of gathering
objective data. The scientific method is essential to theory
build-ing. This section discusses its applications.
Research Methods
Science within the field of personality psychology unfolds much
like science in any other discipline
or subdiscipline. The term science refers to the accumulation of
knowledge, and knowledge is
accumulated using a variety of methods in psychology. These
techniques have various strengths
and weaknesses and have developed over the years as the field
has matured. For example, early
in the history of psychology, information was largely
accumulated by the methods of introspec-
tion (i.e., self-examination) and case study (the intensive
examination of a small number of clini-
cal cases). These approaches provided a wealth of information,
but they were less structured and
standardized, and the information was gathered from a limited

number of individuals. Although
case studies are still sometimes used to advance knowledge, the
method of introspection has
generally fallen out of favor, despite its early utility in the
field.
The survey approach eventually became the workhorse of the
field, as surveys could be easily
employed and were an optimal way of conveniently gathering
information from a diverse popula-
tion. Surveys were also collected longitudinally in order to
allow for a consideration of changes in
scores over time, and this approach has become increasingly
popular, as powerful statistical tools
have been developed to examine the data.
Researchers have also adopted advanced statistical methods for
the study of personality,
including meta-analysis, multivariate analysis, and perhaps
most germane to the study of per-
sonality, factor analysis. Factor analysis is a statistical
technique used to organize and reduce
data that has emerged as a method of developing theoretical
models from the empirical analy-
sis of descriptive language (also referred to as the lexical study

of personality). This approach
first became prominent with the work of Raymond Cattell, but
as advanced statistical software
emerged, its practice has proliferated (see also the advent of
confirmatory factor analysis, in
addition to exploratory factor analysis) and resulted in the
identification of multifactorial mod-
els of personality (e.g., Costa & McCrae, 1985; McCrae &
Costa, 1992). Even though this method
provides a more data-driven, rather than theory-driven,
approach to the study of personality, it
still fails to provide us with the opportunity to draw causal
conclusions (More on statistics and
the trait perspective in Chapter 8).
The pinnacle of the research model is the experiment, in which
the researcher manipulates one
or more variables of interest and exposure to the manipulated
variables is done through random
assignment. It is the experimental method that has established
personality psychology as a field
with a truly scientific model of study. See Table 1.4 for a
description of each method and some of
the corresponding advantages and disadvantages.

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Table 1.4: Overview of six basic methods used in psychological
research
Method Advantages Disadvantages
Introspection • Extensive detail
• Access to a great deal of info
• Subject is always available
• Less standardized and
structured
• Investigator and subject
share the same biases
• Least representative data
• Data drawn from one
individual

Case study • Extensive detail
• Access to a great deal of info
• Investigator and subject are
different individuals
• Less standardized and
structured
• Not optimally representative
data
• Data drawn from a small
number of individuals
Survey • Data collection can still be
broad
• Very large and
representative samples
• More limited amount of
information

• Less is known about the
response tendencies of the
subjects (e.g., honesty in
responding)
Longitudinal survey • Provides the same
advantages as the survey,
along with the opportunity
to establish a temporal
line (i.e., establish if one
construct precedes another)
• Similar disadvantages as the
survey method
Statistical methods
(i.e., exploratory and
confirmatory factor analysis)
• Not as tied to any
theoretical model
• Data driven
• Can contrast theory with

data to critique the accuracy
of some theories
• Still requires some basic
assumptions for testing
• Analyses are limited by
the problems with the
constructs that are being
assessed
Experiment • Minimizes the influence of
any unmeasured variables
due to random assignment
• The only method that allows
for causal conclusions
• Tight experimental control
can have a trade-off with
how well the findings
generalize outside the lab
Modern-day personality psychologists rely primarily on the
survey and experimental methods. It

is with these more modern scientific methods that researchers
can advance the field by predict-
ing outcomes and exercising experimental control over
phenomena. The abilities of researchers to
predict something before it occurs, control each variable of
interest, and manipulate outcomes by
altering a variable of interest—these are the best indicators that
we understand something well.
In Chapter 2, we will apply these criteria to psychodynamic
theory and, after operationally defin-
ing the unconscious, test whether there is evidence of its
existence, its influence on our behavior,
and its ability to do so outside of our awareness.
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Of course, one natural limitation in the field of personality
psychology is that personality, per se,
is not something that can be manipulated with random
assignment. Thus, sometimes research-
ers must focus on related constructs (concepts) that are more

directly accessible to help advance
the field. As an illustration, consider the personality trait of
perceived control. Early work focused
on its operational definition (e.g., in the 1950s, Julian Rotter
introduced the concept of locus of
control), and over the span of many years, researchers
developed a theory to better understand
control perceptions and how they work (e.g., see self-efficacy
theory, Bandura, 1977; the theory
of planned behavior, Ajzen, 1985, etc.). After several
researchers developed measures of con-
trol (e.g., Paulhus, 1983; Paulhus & Van Selst, 1990; Rotter,
1966), survey research established a
consistent and reasonably strong association between control
perceptions and a number of out-
comes. For example, higher perceived control is associated with
better psychological well-being
(Hortop, Wrosch, & Gagné, 2013; Peterson & Seligman, 1984;
Stupnisky, Perry, Renaud, & Hladkyj,
2013) and better physical health (e.g., Infurna & Gerstorf, 2012;
Thompson & Spacapan, 1991).
Researchers have also manipulated perceived control and
demonstrated that it can cause changes
in health-related behavior (Lecci & Cohen, 2007) and improve
how we respond to stress (e.g.,

Glass & Singer, 1972). The entire body of research gives us a
better understanding of the phenom-
enon and even allows for some causal conclusions.
Peer Review
The scientific method requires that findings be subjected to peer
review and that the specific
steps that led to the conclusions be made public so that other
investigators can confirm the
findings. Peer review often involves “blind review,” where
research is examined by independent
reviewers who have no connection with the researchers. The
reviewers are experts in the content
area as well as experts in the scientific method. Ideally, the
review process improves the quality
of published research by critiquing it (i.e., identifying the
strengths and weaknesses of any sub-
mitted manuscript), which in turn culls poorer research and
strengthens the studies that do get
published. The goal is to seek out a consensus among the
reviewers for the most relevant issues
to critique, although the level of agreement among reviews
varies, and other factors may also
influence the critique (e.g., Petty, Fleming, & Fabrigar, 1999).

Based on the collective merits of the research and the critique,
the journal editor decides whether
to reject the manuscript, encourage a revision, or accept it
outright. The most common outcome
is a “revise and resubmit,” in which the authors are provided the
critiques of multiple reviewers
and must then respond to the critiques with counterarguments,
additional data, or analyses that
address the critiques. The journal editor, along with additional
reviewers, will determine whether
the authors have succeeded in addressing the concerns raised in
the critiques. Such scrutiny by
one’s peers in the field further bolsters the legitimacy of
psychological findings, as the review
process is rigorous and aimed at expanding our knowledge and
better understanding phenomena.
Although books can offer rich and useful information,
publications in primary research journals
are generally considered the venue for cutting-edge science. In
psychology, and specifically per-
sonality psychology, there are a number of well-respected
journals that involve rigorous peer
review, and only a small handful of studies (e.g., typically less
than 20% of those submitted) actu-

ally succeed in being published. Some journals in which you
will find interesting research specific
to the area of personality include the Journal of Personality and
Social Psychology, Personality and
Social Psychology Bulletin, the Journal of Personality, the
Journal of Research in Personality, and
Personality and Individual Differences, to name a few.
Lec81110_01_c01_001-038.indd 25 5/20/15 9:19 AM
CHAPTER 1 1.5 Measuring and Assessing
1.5 Measuring and Assessing
Psychological measurement, broadly referred to as
psychometrics, is an essential part of the scientific study of
personality. Psychometrics involves both the construction of
instruments and procedures used in measurement and the
development of measurement theory. As with
any scientific discipline, measurement—and the accuracy of that
measurement—undergirds the
effectiveness of how science is to be carried out in the field of
personality psychology. Assessment

implies that there is an actual construct to be assessed and that
it can be quantified and assessed
with reasonable accuracy. There are several important technical
terms used to assess the quality
of any assessment tool, and some of the key terms, such as
standard error of measure and the
various forms of reliability and validity, will be defined.
Standard Error of Measure
All assessment tools have error, but not all tools of assessment
have equal amounts of error.
Therefore, it is important to evaluate the efficacy of any and all
assessment tools employed by
quantifying their error. The term used to represent the error
associated with any form of assess-
ment is the standard error of measure (SEM).
The SEM is defined as the standard deviation of the sampling
distribution. Imagine that we are
trying to measure your level of extraversion using an instrument
called the E-scale, which yields a
score between 0 and 50, with higher scores denoting greater
extraversion. Each time we adminis-
ter this test to you, it results in a score, but not every one of
your scores is identical. If we were to

repeat this process, a number of estimates of your level of
extraversion would emerge (each rep-
resented by a score). Once we had sampled your extraversion
score a very large number of times
(theoretically, an infinite number of times), we could then plot
all of the scores, calculate a mean
of all the scores, and find the standard deviation of the
distribution of scores. The latter value
(the standard deviation of all the score estimates) is the
standard error of measure, and smaller
values indicate less error (in this case, less variability in the
estimates of your extraversion). If an
instrument is well constructed, and the construct being assessed
is reasonably stable (something
that is assumed to be true for personality), then the SEM should
be relatively small. The SEM also
provides some important information about the reliability of the
measure.
Reliability
Conceptually speaking, the construct of reliability is essentially
synonymous with consistency.
So when someone is discussing the reliability of a measure, they
are talking about the extent
to which it produces consistent scores. Reliability can be

maximized through standardization—
that is, by ensuring that the measure is administered, scored,
and interpreted in the same way
every time. This even applies to survey measures, with
standardization referring to, for example,
whether the items are written in such a way that they will be
interpreted in the same way by dif-
ferent individuals.
Reliability figures (referred to as reliability coefficients) can
range from zero, indicating no reliabil-
ity, to 1.0, indicating perfect reliability. Typically, a reliability
value of at least 0.70 is needed for the
measure to be considered reliable enough to use. There are
several different types of reliability,
and we will here define four common types that are useful when
evaluating a measure and the
research that uses it.
• Test-retest reliability refers to how consistently a measure
produces the same score for
the same individual over time. To calculate this value, a test or
scale is administered and
Lec81110_01_c01_001-038.indd 26 5/20/15 9:19 AM

then, after a predetermined period of time (for measures of
personality, the interval
between administrations is usually anywhere from 30 days to
one year), it is administered
again and the two scores are compared. Given that personality is
a construct that is in the-
ory supposed to be stable, the inter-rater reliability can be used
to provide some validation
that it is, in fact, stable. In fact, this form of reliability can be
used to differentiate between
constructs like mood states (which will have lower test-retest
reliability) and traits.
• Internal reliability refers to the extent to which half of the
randomly selected items on
a test relate to the remaining half of the items. Assuming the
scale measures only one
construct, then the internal reliability should be reasonably high
if it is a good instru-
ment. One of the more widely accepted ways of assessing the

internal reliability of an
instrument is by taking every possible split-half reliability (all
possible combinations of
half the items on a measure) and calculating the average of
these values. This is also
known as the Cronbach’s alpha of the instrument. In general, as
a measure adds items
(assuming the items are of equal quality), the measure will
increase its internal reliabil-
ity. Increasingly, researchers have turned to other statistical
tools, such as factor analysis,
to not only provide information on a measure’s internal
reliability, but also its construct
validity (see next section).
• Parallel (or alternate) forms reliability is used when
researchers have two different ver-
sions of the same test, and the goal is to make the two versions
as similar as possible.
Typically, researchers will generate a large pool of items,
divide them at random into two
versions, and assess the target population. If the parallel forms
reliability is high, then
both forms should yield similar scores. Parallel forms reliability
is important if you have

to evaluate someone twice and you want to avoid giving them
the same test twice. Par-
allel forms reliability is similar to the above-mentioned split-
half reliability, except that
for parallel forms, you are planning to use the two forms as
independent measures.
• Inter-rater reliability refers to the agreement between raters
whenever a measurement
requires people to score it. This value is especially important
the more subjective the
scoring of the measure is. For example, later in the text, we will
report on studies that
involve rating the behaviors of children as they explore a room.
It is reasonable to ques-
tion whether different individuals (raters) would rate those
behaviors in the same way,
and the inter-rater reliability figure provides a way to quantify
the rate of agreement.
Validity
Validity is a complex term because it can have many meanings.
However, in all cases, the basic
definition refers to the extent to which reality is captured by a
measure, an experiment, or even a

clinical trial. Validity is also related to the type of data that is
collected to help give meaning to test
scores. That is, any test score is essentially meaningless unless
there is a standard of comparison to
interpret the scores. For example, when you obtain a score of 50
on a trait measure of neuroticism,
the interpretation of that score depends on how others have
scored on the same measure. Tests,
therefore, usually have extensive norms: a database of how
other individuals have scored, some-
times separated by gender, age, or other relevant demographics.
For neuroticism, there are some
differences for males as opposed to females, so the scores may
be norm-referenced by gender
(i.e., males compare their scores to other males, whereas
females compare their scores to other
females). All tests are either norm-referenced tests, criterion-
referenced tests (for which an individ-
ual’s score is compared to a specific score that has some
relation to standards or criteria—often a
cutoff score), or ipsative tests, for which a score is compared to
the same individual’s performance
on the measure under other circumstances or at a different point
in time.

Lec81110_01_c01_001-038.indd 27 5/20/15 9:19 AM
Validity is also related to the previous psychometric concepts
introduced in this chapter, as a
measure cannot be valid unless it is first shown to be reliable.
That is, reliability is a necessary,
but not sufficient, condition to achieve validity. We will here
define some of the most common
forms of validity.
Construct validity refers to the extent to which a measure
captures what it purports to measure.
This is the most central form of validity, and it is typically
established by both theory and empirical
evidence. There are several ways to determine if a measure
assesses what it is supposed to mea-
sure, and these too are forms of validity. That is, construct
validity is achieved by demonstrating
criterion, convergent, and discriminant validity.
• Criterion validity refers to a measure’s ability to predict a

related outcome that is mea-
sured at some future point in time. For example, a measure of
child aggression might be
shown to predict aggressive behavior as an adult, thereby
demonstrating criterion validity.
• Convergent validity is the extent to which a score on one
measure converges with a
score on a conceptually related measure. Thus, when similar
constructs converge, it is
said that convergent validity is achieved.
• Discriminant validity refers to when a score on one measure
diverges from a score on a
conceptually distinct measure. That is, measures that are
supposed to be assessing
different things do, in fact, show divergence.
As noted, there are other forms
of reliability and validity, but for
the purpose of this text, these
represent some of the more com-
mon psychometric terms needed
to evaluate the quality of an
assessment tool, and these con-

cepts can also be used when eval-
uating some of the research that
the following chapters present.
Ethics and Cultural Bias in Psychometrics
Testing must always be conducted in an ethical manner, and this
is especially critical because the
results of personality assessments can have important
consequences for individuals. For example,
someone who is inappropriately diagnosed with a psychopathic
personality disorder might be
denied parole because of a perceived potential danger to
society. Scores on tests like the MMPI®-2
have been used to determine custody or influence whether a
patient is released from an inpatient
psychiatric facility.
Sue and Sue (2008) have raised objections to the use of testing
and the classification that often
results from testing. They suggest that it is a dangerous practice
when psychometric instru-
ments that favor white, Euro-American, middle-class persons—
and thus are biased against
minorities—are used to measure personality and intelligence.
We need to keep in mind that

definitions of health are often based on dominant cultural values
and attitudes. How we define
what is “normal” or “pathological” or even what is relevant to
these definitions is influenced
For additional discussion and overview of the concept
of validity, please see this classic paper by Cronbach and
Meehl, published in 1955 in Psychological Bulletin. Read it
at http://psychclassics.yorku.ca/Cronbach/construct.htm.
Reference: Cronbach, L. J., & Meehl, P. E. (1955). Construct
validity in psychological tests. Psychological Bulletin, 52,
281–302.
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http://psychclassics.yorku.ca/Cronbach/construct.htm
by culture, religion, and ethnic factors
(Draguns, 2009; Hogan & Bond, 2009).

Sue and Sue (2008) suggest that when
tests that have been developed for the
majority group are used for the patho-
logical labeling and hospitalization of
minority group members, this can be
interpreted as a form of political con-
trol. This practice has been labeled
ethnocentric monoculturism, a phe-
nomenon they view as dysfunctional
in a pluralistic society (see Sue & Sue,
2008). We must be especially cautious
when using tests that were developed,
validated, and normed on majority
group members and making decisions
for minorities or those of other cultures
(see Gould, 1996, and for a more recent
discussion, see Ossorio, 2011).
The American Psychological Association’s (APA) Ethical
Principles of Psychologists and Code of
Conduct is intended to guide psychologists in all aspects of
their work, including, but not limited
to, testing. These ethical principles cover such issues as:
• Test competence: The individual administering and

interpreting the test should be
properly trained and supervised in the use of that test.
• Privacy and confidentiality: The psychologist’s need to take
reasonable precautions
in protecting confidential information. This also applies to the
storage of test data in
any medium.
• Informed consent: The person being tested has knowledge of
what is involved in the
testing, how the test results might be used, and that they
voluntarily agree to testing
without being coerced. This issue is more complex when testing
minors or those who
might not be legally competent to give consent.
The APA Ethics Code only applies to a psychologist’s activities
that relate to scientific, educational,
or professional roles. Misuse of psychological tests by
psychologists continues to be a problem,
though most of the violations involve issues of competence
(i.e., that the professional improperly
used the test; see McIntire & Miller, 2007 for a more extensive
discussion).

For complete coverage of the ethical issues on testing, as well
as the ethics for therapy and
research, the American Psychological Association has made its
guidelines available to the general
public. See http://www.apa.org/ethics/code/index.aspx.
Personality and Culture
Theoreticians and researchers have increasingly recognized the
fact that the study of psychology
has largely been limited to a culturally and ethnically limited
perspective (e.g., Cheung, 2012).
In keeping with this conclusion, the American Psychological
Association (2003) published guide-
lines to promote multiculturalism and the globalization of
psychological research, practice, and
training. Nevertheless, the conclusion continues to be that the
scientists and the subjects they
Comstock/Stockbyte/Thinkstock
It is important to be aware of the potential bias of
assessments that were developed and validated based
on a majority group but are administered or used to

make decisions regarding a minority group.
Lec81110_01_c01_001-038.indd 29 5/20/15 9:19 AM
http://www.apa.org/ethics/code/index.aspx
study are typically drawn from Western, industrialized, and
democratic nations, and individually
they are educated, wealthy, and usually white (e.g., Guthrie,
2004; Henrich, Heine, & Norenzayan,
2010; Jones, 2010). As a result, it is questionable whether basic
psychological research adequately
captures the diversity of human psychological functioning. As
an example, consider the very con-
cept of personality psychology, which is, in essence, the
emphasis of individual differences. Many
cultures minimize such differences and instead emphasize the
study of groups. Thus, even the pro-
cess of imposing from a Western industrialized perspective what
is relevant to be studied reflects
a significant bias.

Although the issue of culture will be addressed to some degree
in Chapters 4 and 8, where
researchers attempt to determine what can be attributed to
genetic influences and what can be
attributed to other factors, it is important to understand that
culture, ethnicity, and race are rel-
evant to all areas of personality psychology.
Tools of Assessment
There are two main groups of psychometric instruments: those
that were developed for and are
primarily used to measure personality in the clinical population
and those developed and used to
assess personality in the nonclinical population. Because of the
greater need for assessment in
answering clinical questions, the vast majority of the
personality measures were developed for
use in this setting. For example, the Minnesota Multiphasic
Personality Inventory--2 (MMPI--2),
the Millon/ Clinical Multiaxial Inventory-III (MCMI-III/), and
the Personality Assessment Inven-
tory/ (PAI-) are some of the more commonly employed
objective measures in clinical settings. In
contrast, the NEO/ Personality Inventory-3 (NEO/-PI-3) and the
Myers Briggs Type Indicator-

(MBTI-) are some of the more commonly used measures in the
nonclinical settings. Thus, many
instruments have been specifically validated to function in just
one population.
One of the primary differences between measures developed for
clinical and nonclinical set-
tings is the extent to which the assessment is direct in its
approach. Burisch (1984) suggests
that a measure should adopt the most straightforward and
unambiguous method of assessment
(i.e., simple, obvious questions) provided that the researcher
can assume that the respondent:
(a) understands the construct being assessed, (b) has no reason
to misrepresent the truth, and
(c) demonstrates sufficient psychological insight to respond.
Obviously, in clinical settings, at least
one of these assumptions is likely to not hold true, and therefore
more indirect methods are typi-
cally employed.
In this section, some of the different measures used in
personality psychology will be introduced.
More detail for each measure will be presented in the chapters
reflecting their theoretical origins.

Structured Interviews
Structured interviews consist of predetermined questions that
are put to the subject by an inter-
viewer, with the end result being a diagnostic tool that matches
the DSM’s nosological structure.
Some structured interviews are designed to assess a wide range
of personality traits; others focus
on a specific type of personality disorder. Structured interviews
are often pathology-based assess-
ment instruments used in research. One commonly used
instrument developed by First, Spitzer,
Gibbon, & Williams (1996) is the Structured Clinical Interview
(SCID-I) that was aligned with the
Axis I clinical disorders of the version of the DSM at that time
(the DSM-IV). This semi-structured
interview is designed specifically to be administered by
clinicians or trained mental health profes-
sionals (see also Ventura, Liberman, Green, Shaner, & Mintz,
1998). The SCID-II was developed to
Lec81110_01_c01_001-038.indd 30 5/20/15 9:19 AM

assess the Axis II personality disorders from the DSM-IV. It
contains a standardized interview for
those 11 personality disorders along with a questionnaire format
that can be used by clinicians
to guide a shortened clinical interview (First, Gibbon, Spitzer,
Williams, & Benjamin, 1997). Fur-
ther updates to the SCID are under way to match the recently
published DSM-5, which no longer
divides disorders in terms of Axes (see Chapter 10 for more
information). The widespread use and
acceptance of the SCID family of tests is indicated by the fact
that it has been translated into many
different languages, and numerous empirical studies have
demonstrated its validity.
Self-Report Inventories and Objective Tests
Objective tests are standardized instruments that may be self-
administered, but are often
administered by a clinician or researcher. Most consist of many
scales that are derived
through empirical research. These instruments are often

computer scored because of
the complexity of hand scoring. The oldest and best known of
them is the widely used
Minnesota Multiphasic Personality Inventory®-2 (MMPI®-2),
which has been extensively vali-
dated. The MMPI--2 has resulted in over 2,800 published
journal articles, book chapters, and
textbooks, making it one of the most extensively studied tools
of assessment (e.g., Graham, 2006).
It is also used in a wide range of clinical, personnel, and
forensic settings. It went through a major
revision in 1989, and the revised version (MMPI--2) is a 567-
item, true/false test (Butcher, Dahl-
strom, Graham, Tellegen, & Kaemmer, 1989) that is used with
adults. The MMPI--A is an alternate
version that is used for adolescents between the ages of 14 and
18. More recently, the MMPI--2
Restructured Clinical (RC) scales were developed (Tellegen,
Ben-Porath, McNulty, Arbisi, Graham,
& Kaemmer, 2003), and this was the centerpiece of the MMPI--
2 RF (Restructured Form; see Ben-
Porath, 2012). These latest MMPI--2 scales were changed to
improve the psychometrics of the
tests and address the high degree of overlap among the original
scales.

The widespread use of the MMPI--2 is due, in large part, to the
extensive research conducted on
this instrument, including research to illustrate “fake good” and
“fake bad” profiles, and scales
to assess such constructs as defensiveness, superlative
responding, inconsistent responding, and
the endorsement of odd/unusual items, reflecting both rare items
in the nonclinical population
and rare items even among psychiatric patients. In fact, much
research on the original and revised
MMPI- has focused on the identification of those who
intentionally manifest symptoms for some
external gain (known as malingering).
A similar instrument is the Millon/ Clinical Multiaxial
Inventory-III (MCMI-III/), which has been
through a number of revisions since its inception (Millon,
1977). The current version of this instru-
ment, the MCMI-III/, which consists of 175 true/false questions,
was developed to measure per-
sonality disorder and psychopathology based on Millon’s
evolutionary framework of personal-
ity. The MCMI-III/ also has some measures of validity (e.g.,
defensiveness), though these are

less extensive than the MMPI--2. The one significant advantage
of this instrument is that it was
designed to yield diagnostic conclusions that closely match the
nosological structure of the diag-
nostic tool used in the United States. This was the Diagnostic
and Statistical Manual of Psychiatric
Disorders IV (DSM-IV), and it has now become the fifth
version, the DSM-5. MCMI/ revisions are
pending that will closely parallel changes occurring in the
DSM-5.
The Personality Assessment Inventory/ (PAI-) is a 344-item
measure that includes 22 scales
focusing on psychiatric disorders and several validity indexes
(Morey, 2007). The PAI- has 11 clini-
cal scales that are grouped within the neurotic and psychotic
spectrum, scales to assess behav-
ioral disorders and problems of impulse control, and other
scales to assess complications and
motivation for treatment, harm potential, interpersonal
relations, and personality disorder traits.
Lec81110_01_c01_001-038.indd 31 5/20/15 9:19 AM

The PAI- has normative data from patients, students, and the
population at large, and reliability
and validity figures are adequate for both clinical and
nonclinical settings. Recent studies have
attempted to validate the PAI- for use in various settings,
including forensic populations (e.g.,
Newberry & Shuker, 2012) and neuropsychological settings
(Aikman & Souheaver, 2008).
There are many other objective instruments developed for
measuring normal and abnor-
mal personality. Currently, the best known and widely used in
the nonclinical population is the
NEO/ Personality Inventory-3 (NEO/-PI-3), originally
developed by Costa and McCrae (1985). It
is based on the five-factor model of personality (see Chapter 8).
The NEO/-PI-3 and the shorter
form, the NEO/-FFI (Costa & McCrae, 1989), both measure the
five factors of personality in nor-
mal adults: Neuroticism (N), Extraversion (E), Openness to
Experience (O), Agreeableness (A), and
Conscientiousness (C). Another instrument that has been widely

used is the Myers Briggs Type
Indicator- (MBTI-). Even though it assesses the personality
constructs of introversion and extra-
version, this instrument is more widely used in the field of
industrial-organization psychology, as
its primary application has been to predict behavior in work
settings involving teams.
Projective Tests
These instruments are based on the assumption that people
perceive the world from their own,
idiosyncratic point of view (Weiner & Greene, 2008). The basic
assumption is that if you show
individuals an ambiguous stimulus, they project unconscious
wishes, fears, and thoughts into their
description of the stimulus (see Chapter 2 for an expanded
definition of the defense mechanism
of projection). These descriptions can then be analyzed to
discover common themes that might
reveal something of the unconscious mind. By far the most
popular of these instruments is the
Rorschach Inkblot Method developed by Hermann Rorschach
(1921/1942), a Swiss psychiatrist.
Indeed, the Rorschach is consistently among the most frequently

used personality test in inpatient
psychiatric settings and second only to the MMPI--2 (e.g.,
Camara, Nathan, & Punete, 2000; Lubin,
Larsen, Matarazzo, & Seever, 1985).
The Rorschach consists of 10 inkblots
on cards. They are primarily shades of
gray and black, with some of the cards
including color. Subjects are asked to tell
the examiner what the card brings to
mind (i.e., what they see in each card).
Responses are recorded verbatim. Sub-
jects are also asked to provide more
detail to their responses by, for example,
explaining what they perceived and why.
Subjects’ responses are analyzed on a
number of variables, although in the
earliest scoring methods, the content of
the responses was emphasized.
Despite its popularity in psychiatric hos-
pitals, there has been and continues
to be considerable controversy over
its use (Goode, 2001; Lanyon & Good-
stein, 1997). The most obvious con-

troversy is that its use requires that one accept at least some
assumptions of psychodynamic
theory (described in more detail in Chapter 2). Another problem
is that after Herman Rorschach
Zizar2002/iStockphoto/Thinkstock
One controversy regarding the Rorschach inkblot test is
that, often, the test is administered and scored in varying
ways, which calls into question its validity.
Lec81110_01_c01_001-038.indd 32 5/20/15 9:19 AM
developed the test, several different administration and scoring
methods were developed, result-
ing in a test that, while each carried the same name, had many
different versions. For example,
different administrations did not always involve all 10 cards,
they did not always generate a mini-
mum number of responses from the subjects, and the cards were
not necessarily administered

in the same order. The scoring also varied, especially when the
analysis of the response content
was the primary focus. Thus the Rorschach suffered from poor
standardization, low reliability,
and inadequate validity. However, in the mid 1980s, John
Exner, as a follow-up to his doctoral
dissertation, attempted to standardize the Rorschach by
establishing some common standards,
including always administering all 10 cards in the same order,
using the same prompts to get initial
responses and elaborations on those responses, using further
queries to ensure a minimum num-
ber of responses from all subjects, and identifying a common set
of scoring criteria. In Chapter 2
(Section 2.6, “Psychodynamic Methods of Assessment”), these
criteria will be outlined in detail.
A second projective instrument still widely used in research and
clinical practice is the
Thematic Apperception Test (TAT), developed by Murray and
Morgan (1935). In fact, the TAT is
also among the most commonly administered test in psychiatric
settings (Camara et al., 2000;
Lubin et al., 1985). The TAT involves a series of black-and-
white pictures depicting ambiguous situ-

ations, many of which include people, and having the subject
come up with a brief story that goes
along with the picture. The scoring for this instrument typically
involves identifying the main agent
of action (e.g., the main character of the story) and assuming
that the subject is projecting her- or
himself into the story as the main agent of action. The scoring
also involves identifying the primary
needs of the main agent of action (e.g., need for affiliation,
power, independence, etc.) and the
press (e.g., any external contingences on the main character,
including the demands placed on the
main character by other individuals in the story). Although this
scoring system is more structured
than the original scoring methods for the Rorschach, it is less
complex than Exner’s scoring system,
and therefore the psychometric qualities of this test are less
robust.
Another projective personality measure sometimes used for
assessment and research is the
sentence completion exercise, in which the subject is asked to
finish a sentence stem with the
first thing that comes to mind (e.g., “I LIKE ____”). These
responses are then content analyzed for

their meaning, and in the case of tests administered to children
and adolescents, they are also
interpreted for their developmental appropriateness. This and
other similar projective measures
(e.g., figure drawing tests, the Bender-Gestalt, etc.) are
generally less psychometrically sound, and
so they are less widely used today.
Rating Scales and Checklists
Rating scales and checklists may be administered by an
examiner or, more typically, they can be
self-administered. They generally consist of lists of items that
the subject or examiner is asked
to check if appropriate. If the measure is a rating scale, then the
subject is asked to indicate the
extent of their agreement to an item. For example, the options
might include “I am always, often,
sometimes, or never . . . afraid/careful/calm/etc.” Response
formats for these types of measures
often use Likert scales, in which the anchor points are labeled,
but the rest of the scale is repre-
sented numerically. An illustration of this response format
might be a series of items where the
subject is asked to indicate the extent of their agreement using a

0 (meaning “completely dis-
agree”) to 5 (meaning “completely agree”) scale.
One of the more widely used rating scales in research and
applied settings is the
Psychopathy Checklist—Revised (PCL-R), which was developed
by Hare (1991) to measure two
factors (lack of empathy and erratic behavior) present in
antisocial or psychopathic personalities.
Another commonly used instrument is the Positive
Affect/Negative Affect Schedule (PANAS) and
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CHAPTER 1
the expanded PANAS-X (Watson & Clark, 1994), which has a
version that uses the prompt of how
do you feel “in general” to assess the construct of personality.
The use of psychological instruments to determine personality
types, characteristics, and disorders
has been a major challenge and stimulus to the growth of both

academic and professional psy-
chology. Psychological testing is a huge business, with many
companies offering a wide selection
of instruments that can be used in many settings and for many
purposes. Sophisticated computer
programs, powerful personal computers, and advanced
statistical methods allow researchers and
clinicians to measure personality in efficient and cost-effective
ways (e.g., using Internet-based
administration and scoring), with results often available
immediately. This was seldom the case
when tests had to be hand-scored. These types of instruments
are now widely used in many sec-
tors of society, including assessing candidates for the police
force, clergy, and military recruits.
Personality testing is also widely used to inform child custody
disputes and parental competency
evaluations (see Lecci & Resendes, 2012), executive placement
decisions, student assessments,
personnel placement, and employee assistance programs.
Summary
This chapter introduced the concept of personality, the
characteristics of personality the-ory, the methods of science,

and the tools of assessment, including psychometric concepts.
These represent the basic building blocks of the field, and once
you understand these terms,
you can evaluate new studies and advances, much as a scientist
would do. However, this is not
just the domain of science, as we all use personality theory in
our everyday lives. Consciously or
otherwise, we continually assess, rate, and categorize the people
with whom we interact. Our
assessments guide our beliefs, attitudes, and behavior. This is a
normal and natural process.
Personality theorists attempt to organize their knowledge about
people to arrive at a better
understanding of our complexity. Theory represents a formal
attempt to arrange observations in
a coherent fashion that explains and allows prediction. One
important way that the study of per-
sonality diverges from philosophy is in its emphasis on
scientific theory building and the scientific
method. Murray, who coined the term personology, attempted to
establish personality as a cred-
ible discipline, reflecting interest in the study of human lives
and individual differences.

It is important to differentiate between the key concepts of trait
(a stable personality factor) and
state (a fluctuating element of the personality system). The
main elements of a psychological sci-
ence of personality include a system of classification for the
data, a set of propositions, a theory
model, and a means by which to test the theory’s integrity. We
can also view the multiple factors
that make up personality through various levels of abstraction.
These factors range from biologi-
cal underpinnings to cultural influences. Personality variables
can be looked at microscopically or
macroscopically, as can any complex biological and social
system. Thus, at a microscopic level, we
can focus on the action of neurons and their various
neurotransmitters (see Chapter 4); at a mac-
roscopic level, we can study the cultural impact of a
phenomenon such as immigration.
As more interdisciplinary cross-fertilization has taken place, a
strong trend toward convergence
in personality theory has occurred. In addition, we have also
seen an integrative-eclectic process
in which elements from various theories have sometimes been
unified. Various instruments used

to measure normal and abnormal personality serve to unify
related disciplines within psychology.
The development of these psychometric instruments has been a
major advancement in scientific
psychology. Unfortunately, many current measures may be
biased against minorities and may be
Summary
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CHAPTER 1
representative of ethnocentric monoculturism. Each of these
challenges should be considered as
we delve into the topics in each chapter of this book.
How do we address the complex issues raised at the beginning
of this chapter? Can we know who
is prone to aggress and act violently toward others? Can we
change such behavior? Personality
theory provides a lens through which we may attempt to make
sense out of what we know about

the functioning—and dysfunctioning—of individuals, dyads,
families, and larger systems.
Key Terms
case study The intensive examination of an
individual in a clinical situation or a small group
of individual cases.
character Term used in common speech to
describe basic, enduring traits, moral or ethical
qualities; also used in early psychodynamic
literature, where it has more recently been
replaced by the term personality.
Cronbach’s alpha A coefficient that provides
a measure of internal reliability. Items are
compared to each other to assess if they are
measuring the same thing.
construct validity The extent to which a mea-
sure captures what it purports to measure. This
is the most central form of validity, and it is
typically established by both theory and empiri-
cal evidence—by demonstrating criterion,

convergent, and discriminant validity.
convergent validity The extent to which a
score on one measure converges with a score
on a conceptually related measure.
criterion-referenced Tests for which an indi-
vidual’s score is compared to a specific score
that has some relation to standards or criteria—
often a cutoff score.
criterion validity A measure’s ability to predict
a related outcome that is measured at some
future point in time.
discriminant validity The extent to which a
score on one measure diverges from a score
on a conceptually distinct measure, showing
that the two measures do, in fact, measure
distinct things.
ethnocentric monoculturism The over-valu-
ing of one’s own cultural practices and beliefs.
This can also result in the pathological labeling
and hospitalization of minority group mem-

bers, which can be interpreted as a form of
political control.
experiment The pinnacle of the research
model, in which the researcher manipulates
one or more variables of interest, and exposure
to the manipulated variables is done through
random assignment.
extrospective Methods in which theorists
assume a detached and neutral position, basing
their theories on observations of the behaviors
and thoughts of others.
formal theory A theory that is stated as
clearly and objectively as possible and is
expressed so as to maximize consistency and
interdependence.
idealism The belief that there is no external
reality apart from the perceiver.
idiographic The study of individuals in a way
that emphasizes their uniqueness.

informal theory A theory that is less explicitly
stated, often lacks clear and concise opera-
tional definitions, is not (or is less) fully unified,
and is therefore more difficult to test directly.
internal reliability The extent to which items
on a measure are measuring the same thing.
This is typically assessed by comparing half of
the randomly selected items on a test relate to
the remaining half of the items.
Key Terms
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CHAPTER 1
inter-rater reliability The agreement between
raters whenever a measurement requires
people to score it, especially when the scoring
is more subjective.
introspective Methods in which theorists rely

on their own personal points of view, observing
and examining their own mental and emotional
states and processes and generalize from these.
ipsative Tests for which a score is compared
to the same individual’s performance on the
measure under other circumstances or at a dif-
ferent point in time.
longitudinally A way of collecting survey infor-
mation that allows for evaluating the changes
in scores over time.
malingering Those who intentionally manifest
symptoms for some external gain.
Millon/ Clinical Multiaxial Inventory-III
(MCMI-III/) An assessment that consists of
175 true/false questions; it was developed to
measure personality disorders and psychopa-
thology based on Millon’s evolutionary frame-
work of personality.
Minnesota Multiphasic Personality Inven-
tory--2 (MMPI--2) A 567-item, true/false test

that is used with adults to assess such con-
structs as defensiveness, superlative respond-
ing, inconsistent responding, and the endorse-
ment of odd/unusual items.
mood states Refer to emotions that fluctuate
over time and across situations.
Myers Briggs Type Indicator® (MBTI®)
A personality assessment that studies the
two attitudes (extraversion, introversion) and
four functions (sensing, feeling, thinking, and
intuiting).
NEO/ Personality Inventory-3 (NEO/-PI-3)
An assessment originally developed by Costa
and McCrae (1985), that is best known and
widely used in the nonclinical population. Along
with the shorter form, the NEO-FFI (Costa &
McCrae, 1989), it measures the five factors of
personality in normal adults: Neuroticism (N),
Extraversion (E), Openness to Experience (O),
Agreeableness (A), and Conscientiousness (C).
nomothetic The study of groups to arrive at

general laws or traits applicable to groups of
individuals.
norm-referenced Tests for which an individu-
al’s score is compared to others’ scores (often
people in their demographic group).
objective theories Theories that are indepen-
dent of the theorist and may be understood in
the same way by anyone.
observable data Data that are concrete and
can be collected with minimal use of inference.
parallel (or alternate) forms reliability Used
when one has two different versions of the
same test, and the goal is to make the two ver-
sions as similar as possible. Typically, research-
ers will generate a large pool of items, divide
them at random into two versions, and assess
the target population.
personality Pattern of behavior, affect (emo-
tional experience), and/or cognition (thoughts)
that is typical of the individual, evidencing

some degree of stability over time and across
situations.
Personality Assessment Inventory/ (PAI-)
A 344-item measure that includes 22 scales
focusing on psychiatric disorders and several
validity indexes. It has eleven clinical scales that
are grouped within the neurotic and psychotic
spectrum, scales to assess behavioral disorders
and problems of impulse control, and other
scales to assess complications and motivation
for treatment, harm potential, interpersonal
relations, and personality disorder traits.
Key Terms
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CHAPTER 1
personology An early term for the develop-
ment of theoretical systems for explaining and
understanding human behavior.

Positive Affect/Negative Affect Schedule
(PANAS) A rating scale that assesses the con-
struct of personality.
psychometrics Psychological measurement,
involving both the construction of instruments
and procedures used in measurement and the
development of measurement theory.
Psychopathy Checklist—Revised (PCL-R)
Rating scale developed by Hare (1991) to mea-
sure two factors (lack of empathy and erratic
behavior) present in antisocial or psychopathic
personalities.
realism The position that the world of per-
ception and cognition has a fixed and stable
existence independent of the perceiver.
Rorschach Inkblot Method Developed by
Hermann Rorschach (1921/1942), a Swiss
psychiatrist. One of the most frequently used
personality tests in inpatient psychiatric set-
tings; it consists of 10 inkblots on cards.

scientific method A systematic approach to
inquiry that uses careful observation and a for-
mal process of gathering objective data.
sentence completion An exercise in which the
subject is asked to finish a sentence stem with
the first thing that comes to mind (for example,
“I LIKE ____”).
standard error of measure (SEM) The standard
deviation of the sampling distribution, which is
a measurement of how much error occurs in a
particular form of assessment.
standardization The process that maximizes
reliability (the consistency of scores) that
involves using the exact same procedure.
statistical methods Ways of compiling and pro-
cessing data, including meta-analysis, multivari-
ate analysis, and factor analysis.
structuralism Wilhelm Wundt’s term for his
theory that by understanding the “atoms” of

conscious experience, he could understand the
structure of the mind.
subjective theories Theories that imply that
our abstractions and constructs are unique and
cannot easily be generalized.
survey approach A way of conveniently gath-
ering information from a diverse population.
temperament An individual’s basic biological
predispositions, which are thought to be pres-
ent at birth.
test-retest reliability How consistently a
measure produces the same score for the same
individual over time.
Thematic Apperception Test (TAT) Developed
by Murray and Morgan (1935), a commonly
administered projective test that consists of
a series of black-and-white pictures depicting
ambiguous situations, many of which include
people, and having the subject come up with a
brief story that goes along with the picture.

theoretical models Sets of interrelated con-
cepts that have attempted to explain how
personality operates.
theory A system of ideas used to explain any
phenomena.
traits Specific, stable features of personality,
such as persistence, integrity, and honesty.
Traits are units of analysis that are used to
predict behavior.
Key Terms
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Lec81110_01_c01_001-038.indd 38 5/20/15 9:19 AM
Text
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· Dodge, T., Barab, S., Stuckey, B., Warren, S., Heiselt, C., &
Stein, R. (2008). Children’s sense of self: Learning and
meaning in the digital age. Journal of Interactive Learning
Research, 19(2), 225-249. Retrieved from
http://www.aace.org/pubs/jilr
· Hurley, D. (2013). Trait vs. fate. Discover 34(4), 48-55.
Retrieved from http://discovermagazine.com

· Iurato, G. (2015). A brief comparison of the unconscious as
seen by Jung and Lévi-Strauss [PDF file]. Anthropology of
Consciousness, 26(1), 60-107.
http://dx.doi.org/10.1111/anoc.12032
· Kealy, D., Steinberg, P. I., & Ogrodniczuk, J. S.
(2015). “Difficult” patient? Or is it a personality
disorder?Clinician Reviews, 25(2), 40-46. Retrieved from
https://www.mdedge.com/clinicianreviews
· Lerner, H. (2013, March 5). Become successful by
understanding peoples personalities (Links to an external site.).
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d-peoples-personalities-and-become-successful/#1f1c9fda6701
· Palacios, E. G., Echaniz, I. E., Fernández, A. R., & de Barrón,
I. C. O. (2015). Personal self-concept and satisfaction with life
in adolescence, youth, and adulthood.Psicothema,27(1), 52-58.
http://dx/doi.org/10.7334/psicothema2014.105
· Stahl, A. (2017, April 30). 3 ways knowing your personality
type can help you with your career (Links to an external site.).
Retrieved from
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(2004). Epigenetic programming by maternal behavior. Nature
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·
SPRING 2020 Exam 1 Version 1
Last Name:
First Name:
Student ID:
Circle Section #
Section # Class Time
1 9:10pm
2 1:10pm
3 2:10am
Instructions:
1. On your scantron: Fill in your Last Name, space, First Name,

space, Middle
Initial. Be sure to darken the BLANK circle for spaces! In the
column labeled
grade fill in your section # do not fill in a zero before your
section #.
2. At the bottom of the scantron form fill in your Student ID #
and put your
exam #1 and Version #1 under special codes.
Column O=1 Column P=1
3. Only use an approved 4-function calculator and a #2 lead
pencil.
MAKE SURE YOUR NAME, WSU ID NUMBER, AND
SECTION NUMBER ARE
COMPLETED ON THE SCANTRON SHEET USING A #2
PENCIL.
4. Read each question carefully. Often a careful reading
eliminates much
unnecessary work.
There are 30 multiple choice (4 points each) = 120 points.

Question #31 is worth a total of 7 extra credit points.
5. Identify the letter of the choice that BEST completes the
statement or answers
the question and fill in the corresponding circle on your
scantron answer sheet.
REMEMBER: Only the answers provided on the scantron sheet
will be graded!
The exam document itself will NOT be graded, so make sure
you fill in the
scantron sheets correctly with your answers. Completely darken
the space in
pencil corresponding to your answer for each question. If you
erase, do so
completely or your test may not be scored correctly!

2. Which of the following is a feature of the corporate form of
business
ownership?
A. Unlimited liability.
B. Lower tax rates.
C. Limited resources.
D. Ease of transferring ownership.
E. None of the choices are correct.
3. Which of the following is the most appropriate and modern
definition of
accounting?

A. The interconnected network of subsystems necessary to
operate a business.
B. Communicates business economic events of an organization
to interested users.
C. Provides information for internal users.
D. An information system that identifies, measures and records
economic events of
an organization.
E. Both B. and D.
4. Expenses are best defined as:
A. Amounts owed to creditors.
B. Amounts the owners have invested in the business.
C. Costs of providing products and services.
D. Distributions to stockholders.

1. Which of the following questions is most likely to be asked
by a creditor?
A. What are the company’s terms of credit with its suppliers?
B. What is the amount of taxes owed to the government?
C. Will the company be able to repay its debt when it is due?
D. Will the company’s stock increase in value?
5. A Company recorded the following cash transactions for the
year:
Paid $90,000 for salaries.
Paid $40,000 to purchase office equipment.
Paid $10,000 for utilities.
Paid $4,000 in dividends.
Collected $140,000 from customers.

Recorded $3,000 in depreciation expense.
What was the net cash provided by operating activities?
A. $37,000.
B. $0.
C. ($3,000).
D. $50,000.
6. A Corporation began the year with retained earnings of
$155,000. During the year, the
company issued $210,000 of common stock, recorded expenses
of $600,000, and paid
dividends of $40,000. If the company’s ending retained earnings
was $165,000, what
was the company's revenue for the year?
A. $860,000.
B. $650,000.

C. $610,000.
D. $820,000.
7. The assets of a company represent:
A. Resources that will be used to benefit the company in the
future.
B. Amounts owed to creditors.
C. Investments by stockholders.
D. Sales of goods or services to customers.
E. The amount equal to the equity of the company.
8. Which of the following statement(s) is not true?
A. Liabilities are recorded when accruing expenses at the end of
the period.

B. Liabilities are recorded when cash is received before it is
earned.
C. Liabilities are claims that require a future sacrifice of a
company’s resources.
D. Liabilities are only recorded when a claim must be paid off
with cash.
9. Which type of business activity involves acquiring property,
plant and equipment assets to
run the business operations?
A. Operating.
B. Investing.
C. Acquiring.
D. Financing.

10. The principal of expense recognition (matching) in
accounting refers to:
A. Expenses should be recognized in the period they are paid.
B. Accrual basis accounting follows GAAP and Cash Basis does
not.
C. All costs that are used to generate revenue are recorded in
the period the revenue is
recognized.
D. None of the choices are correct.
11. Which of the following best explains the meaning of total
stockholders' equity?
A. The amount of common stock less dividends over the life of
the company.
B. The amount of capital invested by stockholders plus the

profits retained over the life of the
company.
C. The difference between total revenues and total expenses,
less dividends for the year.
D. All revenues, expenses, and dividends over the life of the
company.
E. None of the Choices are correct.
12. External journal entries would include all the following
except:
A. Collecting an accounts receivable.
B. Paying rent.
C. Purchasing equipment.
D. Using up pre-paid insurance.
13. The organization primarily responsible for establishing

accounting and reporting standards
in the United States is the Financial Accounting Standards
Board (FASB).
A. True.
B. False.
14. A corporation purchases land for $200,000 by paying a
down payment of $20,000 and by
signing a note payable for the remainder of the purchase price.
Which of the following
statements correctly shows the effect of this transaction on the
accounting equation?
A. Assets will increase by $200,000; liabilities will increase by
$180,000 and stockholders'
equity will increase by $20,000.
B. Assets will increase by $180,000; liabilities will increase by

equity will decrease by $20,000.
C. Assets will increase by $180,000; liabilities will remain
unchanged and stockholders'
D. Assets will increase by $180,000; liabilities will increase by
equity remains unchanged.
15. The Income Statement:
A. The net income reported on the Income Statement usually
reflects the same net amount of
cash flow for the period when a company uses the accrual basis
of accounting.
B. Reports results of operating activities for the period and
includes revenue, expense and
dividend amounts for the period.
C. The income statement would include any dividend revenue

earned from the purchase and
ownership interest in a corporation that paid a dividend.
D. The Income Statement must be prepared first in order to
include the net income for the
period when updating the retained earnings account at the end
of the period.
16. When the company pays stockholders a dividend, what is the
effect on the accounting
equation for that company?
A. Decreases assets and decreases liabilities.
B. Decreases assets and decreases stockholders' equity.
C. Decreases stockholders' equity and increases assets.
D. Increases liabilities and increases assets.
17. A company received $600,000 cash in advance from
customers. Which of the following
statements correctly shows the effect of this transaction on the
accounting equation?

A. Assets will increase by $600,000; liabilities will remain
B. Assets will increase by $600,000; liabilities will increase by
equity will remain unchanged.
C. Assets will decrease by $600,000; liabilities will remain
equity will decrease by $600,000.
D. Assets will remain unchanged; liabilities will increase by
18. A corporation received $2,000 for interest earned on a note
for a loan made to an

employee in the current year. How would this transaction be
recorded and what type of
activity would this be classified under?
A. Debit Accounts Receivable $2,000, credit Interest Revenue
$2,000; Financing.
B. Debit Cash $2,000, credit Interest Revenue $2,000;
Financing.
C. Debit Cash $2,000, credit Interest Revenue $2,000;
Operating.
D. Debit Cash $2,000, credit Note Receivable $2,000;
Operating.
19. The balance sheet provides information that is helpful in
determining a company’s
profitability for the period.
A. True.
B. False.

20. A company borrows $40,000 on a note payable. In posting
this transaction to the
T-accounts, which of the following will be required?
A. Post $40,000 on the right side of the Cash T-account.
B. Post $40,000 on the right side of the Notes Payable T-
account.
C. Post $40,000 on the left side of the Notes Payable T-account.
D. Post $40,000 on the left side of an Expense Account.
21. Expenses ______ retained earnings; therefore, to increase
recorded expenses,
one would ______ the expense account. (fill in blanks)
A. Increase; Debit.
B. Decrease; Debit.
C. Increase; Credit.
D. Decrease; Credit.

22. Adjusting Entries are not required:
A. When expenses are paid in the same period they contribute to
earnings.
B. At the end of the accounting period to adjust to the accrual
basis of accounting.
C. When a cost occurs with the passage of time and has yet to
be recorded in the period.
D. When service is provided that was previously paid for.
E. All the choices are correct.
23. Which of the following would not typically be used as an
adjusting entry?
A. Utility Expense

Utilities Payable
B. Supplies
Accounts Payable
C. Interest Expense
Interest Payable
D. Accounts Receivable
Service Revenue
E. All are typically used as an adjusting entry.
24. An awareness of the normal balances of accounts would
help you spot which of the
following had an error in posting a transaction?
A. A credit balance in a expense account.
B. A credit balance in a revenue account.
C. A debit balance in the dividends account.

D. A credit balance in a liabilities account.
25. At the beginning of December, a corporation had $5,000 in
supplies on hand. During the
month, supplies purchased amounted to $2,000, but by the end
of the month the supplies
balance was only $600. What is the appropriate month-end
adjusting entry at the end of
December?
A. Debit Cash $600, credit Supplies $600.
B. Debit Supplies Expense $6,400, credit Supplies $6,400.
C. Debit Accounts Payable $2,000, credit Supplies $2,000.
D. Debit Supplies $6,400, credit Accounts Payable $6,400.
26. In recording accounting transactions in a double-entry
system:
A. There must only be two account affected by any transaction.
B. The amount of the debits recorded must equal the amount of
the credits recorded.

C. The number of accounts debited must equal the number of
accounts credited.
D. There must always be entries made on both sides of the
balance sheet accounting equation.
27. The following financial information is from a company. All
debt is due within one year unless
stated otherwise
Retained Earnings $52,000
Supplies 37,000
Equipment 72,000
Accounts Receivable 8,600

Deferred Revenue 7,000
Accounts Payable 15,000
Common Stock 25,000
Notes Payable (due in 18 months) 35,000
Interest Payable 7,000
Cash 22,400
What is the amount of current liabilities?
A. $29,000.
B. $22,000.
C. $64,000.
D. $37,600.
28. The following table contains financial information for a
company. Before closing entries:
Cash $12,000

Supplies 4,500
Deferred Revenue 5,000
Salaries Expense 4,500
Equipment 65,000
Service Revenue 30,000
Cost of Goods Sold 20,000
Dividends 4,000
Accounts Payable 5,000
Common Stock 64,000
Retained Earnings 13,000
What is the amount of the company’s total stockholders' equity
at the end of the period?
A. $73,000.
B. $83,500.

C. $87,500.
D. $78,500.
29. Below are the account balances for a corporation at the end
of December. The Income
Statement ending net income would be:
Accounts Balances Service revenue 9,400
Cash $5,200 Common stock 8,000
Salaries expense 2,300 Deferred Revenue 2,000
Sales Revenue 15,000 Accounts payable 2,200
Advertising expense 1,200 Cost of Goods Sold 6,000
Equipment 12,400 Retained earnings 2,500
A. $17,500.

B. $14,900.
C. $20,900.
D. $16,900.
30. Consider the following transactions. Based on the Accrual-
Basis of Accounting place an X in
the column that each transaction would record as Revenue or
Expense or Neither. Then answer the
question below:
Accrual-Basis
Transaction Revenue Expense Neither
1. Record employees' salaries incurred in current month but not
yet paid, $800. X
2. Paid for advertising placed in local newspaper last month
$700. X
3. Received bill for utilities used the current month that will not
be paid until next
month, $750.

X
4. Receive cash from customers in advance, $1,500. X
5. Purchase office supplies on account, $400. X
6. Paid dividends to stockholders, $200. X
7. Used up supplies previously purchased on account, $400. X
8. Used up on month of insurance on one-year policy that cost
$3,600. X
9. Receive cash from customers for services performed in the
current period,
$1,800.
X
10. Provide services to customers on account, $2,100. X
30.
Cont.

What was the total number recorded as Revenue, Expense or
Neither?
Revenue Expense Neither
A. 1 4 5
B. 2 3 5
C. 2 4 4
D. 1 3 6
31. Given the following information, fill-in the MISSING
correct dollar amounts ($) into the blank
cells in each of the three financial statements below:
Income Statement Statement of Stockholders’ Equity
December 31, 2020 December 31, 2020

Service Revenue $ 93,600 Common
Stock
Retained
Earnings
Total
Stockholders’
Equity Expenses:
Salaries $ 48,100 January 1 $ 67,000 $ 135,000 $
202,000
Supplies 7,500 Issue stock $ 6,000
Cost of
Goods Sold
$ Net income $ $
Total Expenses $ Dividends (4,000) (4,000)
Net income $ December 31 Ending balance $ 73,000 $ $
Balance Sheet

Assets: Liabilities:
Cash $ 52,900 Accounts payable $ 5,200
Accounts receivable $ Deferred Revenue 1,000
Supplies 6,500 Total Current Liabilities $
Pre-Paid Rent 11,600 Long-Term Liabilities $
5,000
Total Current Assets $ Stockholders’ Equity:
Equipment 160,000 Common stock $ 73,000
Accum. Depreciation (18,000) Retained earnings $
Total Stockholders’ Equity $
Total Assets $ 245,000 Total Liabilities and
Stockholders’
Equity
$
NEXT INSERT THE MISSING NUMBERS into the table below:
(Just enter on number in each line)
Inventory $
Total Current Assets

Total Liabilities and Stockholders’ Equity
Total Stockholders’ Equity (2 entries)
Retained Earnings (2)
Total Current Liabilities
Ending Common Stock
Issued Common Stock
Net Income (3)
Total Expenses
Insurance Expense
Total 14 entries

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