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Theories of Personality
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ELEVENTH EDITION
Theories of Personality
Australia • Brazil • Mexico • Singapore • United Kingdom • United States
DUANE P . SCHULTZUniversity of South Florida
SYDNEY ELLEN SCHULTZ
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Theories of Personality, Eleventh EditionDuane P. Schultz andSydney Ellen Schultz
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brief Contents
Preface xiii
CHAPTER 1 Personality: What It Is and Why You Should Care 1
The Psychoanalytic Approach 35
CHAPTER 2 Sigmund Freud: Psychoanalysis 37
The Neo-psychoanalytic Approach 79
CHAPTER 3 Carl Jung: Analytical Psychology 81
CHAPTER 4 Alfred Adler: Individual Psychology 108
CHAPTER 5 Karen Horney: Neurotic Needs and Trends 135
The Life-Span Approach 157
CHAPTER 6 Erik Erikson: Identity Theory 159
The Genetics Approach 191
CHAPTER 7 Gordon Allport: Motivation and Personality 193
CHAPTER 8 Raymond Cattell, Hans Eysenck, the Five-Factor Theory, HEXACO,and the Dark Triad 213
The Humanistic Approach 245
CHAPTER 9 Abraham Maslow: Needs-Hierarchy Theory 247
CHAPTER 10 Carl Rogers: Self-Actualization Theory 271
The Cognitive Approach 291
CHAPTER 11 George Kelly: Personal Construct Theory 293
The Behavioral Approach 315
CHAPTER 12 B. F. Skinner: Reinforcement Theory 317
The Social-Learning Approach 339
CHAPTER 13 Albert Bandura: Modeling Theory 341
v
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The Limited-Domain Approach 369
CHAPTER 14 Facets of Personality: Taking Control, Taking Chances, and FindingHappiness 371
CHAPTER 15 Personality in Perspective 407
Glossary 419References 425Author Index 475Subject Index 492
vi Brief Contents
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contents
Preface xiii
CHAPTER 1 Personality: What It Is and Why You Should Care 1
Take a Look at the Word 1
Research in the Study of Personality 24
The Role of Theory in Personality Theories 29
Questions about Human Nature: What Are We Like? 31
Chapter Summary 33
Review Questions 33
Suggested Readings 34
The Psychoanalytic Approach 35
CHAPTER 2 Sigmund Freud: Psychoanalysis 37
The Life of Freud (1856–1939) 38
Freud Comes to America 42
The Final Years 42
Instincts: The Propelling Forces of the Personality 43
The Levels of Personality 44
The Structure of Personality 45
Anxiety: A Threat to the Ego 47
Defenses against Anxiety 49
Psychosexual Stages of Personality Development 51
Questions about Human Nature 57
Assessment in Freud’s Theory 58
Criticisms of Freud’s Research 60
Extensions of Freudian Theory 73
Reflections on Freud’s Theory 74
Chapter Summary 76
Review Questions 77
Suggested Readings 78
The Neo-psychoanalytic Approach 79
CHAPTER 3 Carl Jung: Analytical Psychology 81
The Life of Jung (1875–1961) 82
Psychic Energy: The Basis of Jung’s System 86
Aspects of Personality 87
The Development of the Personality 93
Questions about Human Nature 96
vii
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Assessment in Jung’s Theory 97
Research on Jung’s Theory 100
Reflections on Jung’s Theory 105
Chapter Summary 106
Review Questions 106
Suggested Readings 107
CHAPTER 4 Alfred Adler: Individual Psychology 108
The Life of Adler (1870–1937) 109
Inferiority Feelings: The Source of All Human Striving 111
Striving for Superiority, or Perfection 113
The Style of Life 114
Social Interest 116
Birth Order 117
Questions about Human Nature 120
Assessment in Adler’s Theory 120
Research on Adler’s Theory 123
Reflections on Adler’s Theory 130
Chapter Summary 133
Review Questions 133
Suggested Readings 134
CHAPTER 5 Karen Horney: Neurotic Needs and Trends 135
The Life of Horney (1885–1952) 136
The Childhood Need for Safety and Security 139
Basic Anxiety: The Foundation of Neurosis 140
Neurotic Needs 141
The Idealized Self-Image 145
Feminine Psychology 146
Questions about Human Nature 149
Assessment in Horney’s Theory 150
Research on Horney’s Theory 151
Reflections on Horney’s Theory 153
Chapter Summary 154
Review Questions 155
Suggested Readings 155
The Life-Span Approach 157
CHAPTER 6 Erik Erikson: Identity Theory 159
The Life of Erikson (1902–1994) 160
Psychosocial Stages of Personality Development 162
Basic Weaknesses 170
Questions about Human Nature 170
Assessment in Erikson’s Theory 171
Research on Erikson’s Theory 172
viii Contents
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Reflections on Erikson’s Theory 188
Chapter Summary 189
Review Questions 189
Suggested Readings 190
The Genetics Approach 191
CHAPTER 7 Gordon Allport: Motivation and Personality 193
Allport Brings Personality into the Classroom and the Psychology Lab 193
The Life of Allport (1897–1967) 194
The Nature of Personality 196
Personality Traits 197
Motivation: What We Strive for 198
Personality Development in Childhood: The Unique Self 200
The Healthy Adult Personality 202
Questions about Human Nature 203
Assessment in Allport’s Theory 204
Research on Allport’s Theory 205
Reflections on Allport’s Theory 210
Chapter Summary 211
Review Questions 211
Suggested Readings 212
CHAPTER 8 Raymond Cattell, Hans Eysenck, the Five-Factor Theory, HEXACO,and the Dark Triad 213
Predicting Behavior 214
The Life of Cattell (1905–1998) 214
Cattell’s Approach to Personality Traits 216
Source Traits: The Basic Factors of Personality 218
Dynamic Traits: The Motivating Forces 219
Stages of Personality Development 219
Questions about Human Nature 221
Assessment in Cattell’s Theory 222
Research on Cattell’s Theory 223
Reflections on Cattell’s Theory 225
Behavioral Genetics 226
Hans Eysenck (1916–1997) 226
The Dimensions of Personality 226
Robert McCrae and Paul Costa: The Five-Factor Model 230
Michael Ashton and Kibeom Lee: HEXACO: The Six-Factor Model 239
Delroy Paulhus and Kevin Williams: The Dark Triad ofPersonality 240
Personality Traits and the Internet 241
Reflections on the Trait Approach 242
Chapter Summary 242
Contents ix
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Review Questions 243
Suggested Readings 243
The Humanistic Approach 245
CHAPTER 9 Abraham Maslow: Needs-Hierarchy Theory 247
The Life of Maslow (1908–1970) 248
Personality Development: The Hierarchy of Needs 250
The Study of Self-Actualizers 255
Questions about Human Nature 260
Assessment in Maslow’s Theory 261
Research on Maslow’s Theory 262
Reflections on Maslow’s Theory 238
Chapter Summary 239
Review Questions 270
Suggested Readings 270
CHAPTER 10 Carl Rogers: Self-Actualization Theory 271
The Life of Rogers (1902–1987) 272
The Self and the Tendency toward Actualization 274
The Experiential World 276
The Development of the Self in Childhood 276
Characteristics of Fully Functioning Persons 279
Questions about Human Nature 281
Assessment in Rogers’s Theory 282
Research on Rogers’s Theory 283
Reflections on Rogers’s Theory 288
Chapter Summary 289
Review Questions 289
Suggested Readings 290
The Cognitive Approach 291
CHAPTER 11 George Kelly: Personal Construct Theory 293
The Cognitive Movement in Psychology 293
The Life of Kelly (1905–1967) 295
Personal Construct Theory 297
Ways of Anticipating Life Events 398
Questions about Human Nature 304
Assessment in Kelly’s Theory 304
Research on Kelly’s Theory 308
Reflections on Kelly’s Theory 312
Chapter Summary 313
Review Questions 313
Suggested Readings 314
x Contents
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The Behavioral Approach 315
CHAPTER 12 B. F. Skinner: Reinforcement Theory 317
Rats, Pigeons, and an Empty Organism 317
The Life of Skinner (1904–1990) 318
Reinforcement: The Basis of Behavior 321
Operant Conditioning and the Skinner Box 323
Schedules of Reinforcement 324
The Shaping of Behavior 326
Superstitious Behavior 328
The Self-Control of Behavior 329
Applications of Operant Conditioning 330
Questions about Human Nature 332
Assessment in Skinner’s Theory 333
Research on Skinner’s Theory 334
Reflections on Skinner’s Theory 335
Chapter Summary 337
Review Questions 337
Suggested Readings 338
The Social-Learning Approach 339
CHAPTER 13 Albert Bandura: Modeling Theory 341
The Life of Bandura (1925–) 342
Modeling: The Basis of Observational Learning 343
The Processes of Observational Learning 348
Self-Reinforcement and Self-Efficacy 350
Developmental Stages of Self-Efficacy 353
Behavior Modification 354
Questions about Human Nature 357
Assessment in Bandura’s Theory 357
Research on Bandura’s Theory 357
Reflections on Bandura’s Theory 366
Chapter Summary 367
Review Questions 368
Suggested Readings 368
The Limited-Domain Approach 369
CHAPTER 14 Facets of Personality: Taking Control, Taking Chances, and FindingHappiness 371
Julian Rotter: Locus of Control 372
Marvin Zuckerman: Sensation Seeking 378
Martin E. P. Seligman: Learned Helplessness and the Optimistic/PessimisticExplanatory Style 385
Contents xi
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Martin Seligman: Positive Psychology 395
Chapter Summary 404
Review Questions 405
Suggested Readings 405
CHAPTER 15 Personality in Perspective 407
The Genetic Factor 407
The Environmental Factor 408
The Learning Factor 410
The Parental Factor 411
The Developmental Factor 413
The Consciousness Factor 416
The Unconscious Factor 416
Final Comment 417
Review Questions 417
Glossary 419References 425Author Index 475Subject Index 492
xii Contents
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preface to the Eleventh Edition
Each edition of a textbook must be as vital, dynamic, and responsive to change as thefield it covers. To remain an effective teaching instrument, it must reflect the develop-ment of the field and continue to challenge its readers. We have seen the focus of per-sonality study shift from global theories, beginning with Sigmund Freud’s 19th-centurypsychoanalytic theory of neuroses, to 21st-century explorations of more limited person-ality facets or dimensions. And we have seen the basis of personality exploration changefrom case studies of emotionally disturbed persons to more scientifically based researchwith diverse populations. Contemporary work in the field reflects differences in gender,age, and sexual orientation as well as ethnic, racial, religious, and cultural heritage.
New and Expanded Coverage
New biographical material has been included for the theorists, to suggest how the devel-opment of their theory may have been influenced by events in their personal and profes-sional lives. This approach shows students that the development of science throughtheory and research is not always totally objective. It may also derive from intuitionand personal experience later refined and extended by more rational, analytic processes.Social and cultural influences on the theorists’ beliefs about human nature are alsodescribed.
The sections on personality research have been updated with nearly 400 new refer-ences to maintain the emphasis on current issues. Research findings have been summa-rized throughout the text in “Highlights” boxes; this feature presents bullet point lists tohelp the student organize and compare the results of research studies.
Some of the topics with new and expanded coverage include the following:
• Do we present our true selves on social media? How does the use of social mediainfluence our personality? How does our personality influence our use of socialmedia? Do selfies show the real you?
• Updated work on the MMPI, the Rorschach, and the Thematic Apperception Test.• The Mechanical Turk—a new way to conduct personality research online.• New findings on the Freudian concepts of ego resilience, the Oedipus complex, and
defense mechanisms. New findings on dreams, and the use of computers to interpretdreams.
• Social companion robots to facilitate psychoanalysis.• Research on Jung’s Psychological Types conducted in Arab cultures.• Post-traumatic stress disorder (PTSD) as a result of neglect in childhood.• New findings on Adler’s concept of birth order.• Over 30 new studies on Erikson’s concepts of ego identity, gender preference, virtual
ethnic identity, gender differences in toy preferences, and his stages of development.• Cultural differences from Allport’s work extended to the facial expression of
emotions.• More on the five-factor model of personality and the Dark Triad—an approach that
includes narcissism, machiavellianism, and psychopathy.• The Smartphone Basic Needs Scale—a self-report inventory designed to measure
how Maslow’s hierarchy of needs can be satisfied by smartphone use.
xiii
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• New research findings on self-efficacy and locus of control.• Techniques to measure sensation seeking. The relationship between sensation seek-
ing and cyberbullying.• More on Seligman’s life and his development of positive psychology. Defining and
finding happiness. The concept of flourishing. And how learned helplessness wasused in developing techniques of torture in the war on terror.
Organization of the Text
The eleventh edition of Theories of Personality retains its orientation toward undergrad-uate students who have had little previous exposure to personality theories. Our purposeis to reach out to beginning students and ease their task of learning about the study ofpersonality. We have chosen theorists who represent psychoanalytic, neopsychoanalytic,lifespan, genetics, humanistic, cognitive, behavioral, and social-learning approaches, aswell as clinical and experimental work. The concluding chapter reviews these perspec-tives that describe personality development and suggests ways to help students draw con-clusions and achieve closure from their studies.
Each theory in the text is discussed as a unit. Although we recognize the value of anissues or problems approach that compares theories on specific points, we believe that theissues-oriented book is more appropriate for higher-level students. The theories-orientedtext makes it easier for beginning students to grasp a theory’s essential concepts and overallflavor. We try to present each theory clearly, to convey its most important ideas, assump-tions, definitions, and methods. We discuss each theorist’s methods of assessment andempirical research and offer evaluations and reflections. Except for placing Freud first inrecognition of his chronological priority, we have not arranged the theories in order of per-ceived importance. Each theory is placed in the perspective of competing viewpoints.
A Note on Diversity
The first person to propose a comprehensive theory of the human personality was Sig-mund Freud, a 19th-century clinical neurologist who formulated his ideas while treatingpatients in Vienna, Austria. His work, called psychoanalysis, was based largely on ses-sions with wealthy White European women who came to him complaining of emotionaldistress and disturbing thoughts and behaviors. From his observations of their progress,or lack of it, he offered a theory to explain everyone’s personality. Freud’s system wasimportant for the concepts he proposed—many of which are now part of popularculture—as well as for the opposition he provoked, inspiring other theorists to examineand promote their own ideas to explain personality.
Today, personality theorists and researchers recognize that an explanation based on asmall, homogeneous segment of the population cannot be applied to the diverse groupsof people sharing space in our world. The situation is similar in medicine. Medicalresearchers recognize, for example, that some medications and treatments appropriatefor young adults are not suitable for children or elderly people. Diseases prevalent incertain ethnic groups are rare in others, requiring differences in medical screening andtesting for diverse populations. Contemporary personality theory strives to be inclusive,studying the influences of age, gender, race, ethnic origin, religious beliefs, sexual orien-tation, and child-rearing practices. We see examples of this diversity throughout the text.
xiv Preface to the Eleventh Edition
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Features
For the student, we offer chapter outlines, summaries, research highlights, review ques-tions, annotated reading lists, margin glossary terms, a cumulative glossary, tables andfigures, a reference list, and referrals to relevant Web sites.
For instructors, the instructor’s manual with test bank has been thoroughly revisedand offers lecture outlines, ideas for class discussion, projects, useful web links, and testitems. The test bank is available in digital formats. PowerPoint Lecture Slides and elec-tronic transparencies are available on eBank. The transparencies feature select figuresand tables from the text loaded into Microsoft PowerPoint. Contact your local sales rep-resentative for details.
Duane P. SchultzSydney Ellen Schultz
Preface to the Eleventh Edition xv
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chapter 1Personality: What It Is andWhy You Should CareTake a Look at the WordEverybody Has OneDescribing Your PersonalityHow Does Personality Develop?Ways of Looking at PersonalityHow Others See UsStable and Predictable CharacteristicsUnique Characteristics
Personality and the Social MediaAre You the Same Person Online?How Does the Social Media Influence Our
Personality?How Does Our Personality Influence Our Use of
Social Media?
The Role of Race and Gender in Shaping
Personality
The Role of Culture in Shaping
PersonalityDifferent Cultural Beliefs about DestinyIndividualismChild-Rearing PracticesSelf-EnhancementA Diversity of Cultures
Assessing Your PersonalityThe Concepts of Reliability and ValiditySelf-Report Personality TestsOnline Test AdministrationProjective TechniquesClinical Interviews
Behavioral AssessmentThought and Experience AssessmentGender and Ethnic Issues That Affect
Assessment
Research in the Study of PersonalityThe Clinical MethodThe Experimental MethodVirtual ResearchThe Correlational Method
The Role of Theory in Personality
TheoriesThe Autobiographical Nature of Personality
Theories
Questions about Human Nature:
What Are We Like?Are We in Charge of Our Lives? Free Will versus
DeterminismWhat Dominates Us? Our Inherited Nature or
Our Nurturing Environment?Are We Dependent or Independent of
Childhood?Is Human Nature Unique or Universal?Our Life Goals: Satisfaction or Growth?Our Outlook: Optimism or Pessimism?
Chapter Summary
Review Questions
Suggested Readings
Take a Look at the Word
Let’s start by examining the word you’re going to be dealing with this semester. It notonly defines this course, but it will also help define your life as well.Here are three standard dictionary definitions of the word taken at random:
• The state of being a person.• The characteristics and qualities that form a person’s distinctive character.• The sum total of all the physical, mental, emotional, and social characteristic of a person.
You get the idea. It’s everything about you that makes you what you are—a uniqueindividual who is different, in large and small ways, from everybody else. It’s a simpleword, but a difficult concept to truly comprehend, which is why it takes a book and asemester to begin to come to grips with it. We’re going to try to understand it, or atleast learn something about it, by exploring the various ideas that psychologists haveadvanced over the years to try to explain it.
1
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We have organized those ideas—those theories—in terms of their different outlookson human nature, beginning with Sigmund Freud. We will deal with extensions thatgrew out of his theory of psychoanalysis and talk about the men and women who revisedhis ideas or rebelled against them. After that, we will move on to what is called the life-span approach, tracking personality development from birth all the way to old age. We’llthen discuss theories that focus on individual personality traits, on psychological health,on predetermined behavior patterns, and on cognitive learning from social situations.We will also introduce current ideas for the 21st century and offer some suggestionsand conclusions from our exploration of personality.
It’s important to recognize that personality theorists from the last century rarely con-sidered the importance of ethnic and cultural differences. We will see that it is not mean-ingful to generalize to all people from, for example, ideas that one theorist based onclinical observations of neurotic European women, or that another theorist based ontests given to American male college students. Therefore, when we discuss research con-ducted on these theories, and describe their use for real-world problems of diagnosis andtherapy, we’ll also try to show the influence of age, gender, race, ethnic and national ori-gin, religious beliefs, and sexual orientation.
To make your study easier, we will include Highlights sections, giving brief summariesof research findings, as well as chapter outlines, summaries, review questions, and read-ing lists. Important words will be defined in the margins, and these definitions will alsobe listed in the glossary in the back of the book. In addition, check out the Web sites inour “Log On” features included in each chapter. For direct links, log on to the studentcompanion site at www.cengagebrain.com.
Everybody Has One
Everybody has one—a personality, that is—and yours will help determine the bound-aries of your success and life fulfillment. It is no exaggeration to say that your person-ality is one of your most important assets. It has already helped shape your experiencesup to now, and it will continue to do so for the rest of your life. Everything you haveaccomplished to date, all of your expectations for the future, whether you will make agood husband, wife, partner, or parent, even your health can be influenced by yourpersonality and the personalities of those around you. Your personality can limit orexpand your options and choices in life, prevent you from sharing certain experiences,or enable you to take full advantage of them. It restricts, constrains, and holds backsome people and opens up the world of new opportunities to others.
How often have you said that someone has a terrific personality? By that you typicallymean the person is affable, pleasant, nice to be around, and easy to get along with—thekind of person you might choose to be a friend, roommate, or colleague at work. If youare a manager, you might choose to hire this person. If you are ready to commit to arelationship, you might want to marry this person, basing your decision on your percep-tion of his or her personality. You also know people you describe as having a terriblepersonality. They may be aloof, hostile, aggressive, unfriendly, unpleasant, or difficult toget along with. You would not hire them or want to associate with them, and they mayalso be shunned, rejected, and isolated by others.
Keep in mind that, while you are making judgments about the personalities of otherpeople, they are making the same kinds of judgments about you. These mutual decisionsthat shape the lives of both the judged and the judges are made countless times, everytime we are in a social situation that requires us to interact with new people. Of course,the number and variety of social situations you are involved in are also determinedby your personality—for example, your relative sociability or shyness. You know where
2 Chapter 1: Personality: What It Is and Why You Should Care
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you rate on that characteristic, just as you no doubt have a reasonably clear picture ofwhat your overall personality is like.
Describing Your Personality
Of course, it’s glib and overly simple to try to sum up the total constellation of some-one’s personality characteristics by using such fuzzy terms as terrific and terrible. Thesubject of personality is too complex for such a simplified description, because humansare too complex and changeable in different situations and with different people. Weneed to be more precise in our language to adequately define and describe personality.For that reason, psychologists have devoted considerable effort to developing tests toassess, or measure, personality, as we’ll see throughout the book.
You may think you don’t need a psychological test to tell you what your personality islike, and, in general, you may be right. After all, you probably know yourself better thananyone else. If you were asked to list the words that best describe your personality, nodoubt you could do it without too much thought, assuming you were being honest withyourself.
Try it. Write down as many adjectives as you can think of to describe what you arereally like—not how you would like to be, or what you want your teachers or parents orFacebook friends to think you are like—but the real you. (Try not to use the wordterrific, even if it does apply in your case.) How many words did you find? Six? Ten?A few more? A widely used personality test, the Adjective Check List, offers an astonish-ing 300 adjectives that describe personality.
People taking the test choose the ones that best describe themselves. No, we’re notgoing to ask you to go through all 300 adjectives, only the 30 listed in Table 1.1. Placea check mark next to the ones you think apply to you. When you’re done, you’ll have adescription of your personality in greater detail, but remember that in the actual test, youwould have another 270 items to pick from.
How Does Personality Develop?
Our focus here is not on what your personality is like. You don’t need a psychologycourse to learn that. What we will be studying are the forces and factors that shapeyour personality. Later in this chapter, and throughout the book, we will deal with
TABLE 1.1 Adjective check list
Make a check mark next to the words you believe apply to your personality.
affectionate ambitious assertive
boastful cheerful cynical
demanding dominant fearful
forceful generous high-strung
impatient insightful meek
moody optimistic opinionated
persistent prudish relaxed
sarcastic sensitive sociable
submissive tolerant trusting
uninhibited vindictive withdrawn
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some basic questions about the nature of personality—for example, whether we are bornwith a certain type of personality or learn it from our parents, whether personality isinfluenced by unconscious forces, and whether it can change as we get older.
We will cover a variety of theories that have been proposed to help answer these andrelated questions about human nature. After we have discussed them—what they are,how they came about, and what their current status is—we will evaluate how usefulthey are in answering our questions and contributing to our understanding of how per-sonality develops. We may think of each of these theorists as contributing individualpieces to a huge online jigsaw puzzle, which is why we study their ideas, even thoughsome of their concepts are decades old. Psychologists continue to try to fit these piecestogether to bring forth a clearer image, a more complete picture of what makes us theway we are and determines how we look at the world.
LOG ON
Personality Project – Northwestern UniversityDiscusses major approaches to personality theory and offers links to resources, advice forstudents, and information about personality tests.
Personality Theories e-textbook – Professor C. George BoereeDownloadable chapters about major personality theorists and links to relevant web sites.
Society for Personality and Social PsychologyThe world’s largest organization of personality and social psychologists; a division of theAmerican Psychological Association. Members work in academics, industry and govern-ment. The site offers information on training and careers.
Ways of Looking at Personality
We talked about formal definitions of personality earlier. Now let’s get away from dictio-nary definitions and take a look at how we use the word in our everyday lives. We use ita lot when we are describing other people and ourselves. One psychologist suggested thatwe can get a very good idea of its meaning if we examine our intentions—what wemean—whenever we use the word I (Adams, 1954). When you say I, you are, in effect,summing up everything about yourself—your likes and dislikes, fears and virtues,strengths and weaknesses. The word I is what defines you as an individual, separatefrom everybody else.
How Others See Us
Another way of trying to understand personality is to look to its source. The word goesback to about the year 1500, and derives from the Latin word persona, which refers toa mask used by actors in a play. It’s easy to see how persona came to refer to our out-ward appearance, the public face we display to the people around us. Based on its der-ivation, then, we might conclude that personality refers to our external and visiblecharacteristics, those aspects of us that other people can see. Our personality wouldthen be defined in terms of the impression we make on others—that is, what we appearto be. Viewed from that perspective, personality is the visible aspect of one’s character,
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as it impresses others. In other words, our personality may be the mask we wear whenwe face the outside world.
But is that all we mean when we use the word personality? Are we talking only aboutwhat we can see or how another person appears to us? Does personality refer solely tothe mask we wear and the role we play? Surely, when we talk about personality, we meanmore than that. We mean to include many different attributes of an individual, a totalityor collection of various characteristics that goes beyond superficial physical qualities. Theword encompasses a host of subjective social and emotional qualities as well, ones thatwe may not be able to see directly, that a person may try to hide from us, or that we maytry to hide from others.
Stable and Predictable Characteristics
We may in our use of the word personality refer to enduring characteristics. We assumethat personality is relatively stable and predictable. Although we recognize, for example,that a friend may be calm much of the time, we know that he or she can become excit-able, nervous, or panicky at other times. Thus, sometimes our personality can vary withthe situation. Yet although it is not rigid, it is generally resistant to sudden changes. Inthe 1960s, a debate erupted within psychology about the relative impact on behavior ofsuch enduring personal variables as traits and needs versus variables relating to the situ-ation (see Mischel, 1968, 1973).
The controversy continued for some 20 years and concluded with the realizationthat the “longstanding and controversy-generating dichotomy between the effect of thesituation versus the effect of the person on behavior … is and always was a fake”(Funder, 2001, p. 200). And so the issue was resolved by accepting an interactionist
Our personality maybe the mask we wearwhen we face theoutside world
CristianBaitg/Photographer’s
Choice/GettyImages
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approach, agreeing that enduring and stable personal traits, changing aspects of the situ-ation, and the interaction between them must all be considered in order to provide a fullexplanation for human nature.
Unique Characteristics
Our definition of personality may also include the idea of human uniqueness. We seesimilarities among people, yet we sense that each of us possesses special properties thatdistinguish us from all others. Thus, we may suggest that personality is an enduring andunique cluster of characteristics that may change in response to different situations.
Even this, however, is not a definition with which all psychologists agree. To achievemore precision, we must examine what each personality theorist means by the term.Each one, as we will see, offers a unique version, a personal vision, of the nature of per-sonality, and that viewpoint has become his or her definition. And that is what this bookis all about: reaching an understanding of the different versions of the concept of person-ality and examining the various ways of defining the word I.
Personality and the Social Media
Our increasing, almost constant use of the various social media to interact with otherpeople in a virtual reality rather than in person has led to a great deal of recent researchwhich attempts to relate our personalities to the online world in which we now live.There are at least three ways in which social media and personality may interact to affectone another, leading to three questions to which psychologists are increasingly seekinganswers.
1. Do we present our real selves on social media?2. Does the use of social media influence or change our personalities?3. Do people with different personalities use social media in different ways?
Are You the Same Person Online?
We saw earlier that one way of defining personality is in terms of the mask we wear, thepublic face we display to the people around us. Increasingly, many of us display anotherface, not in person, but through the Internet on social networking Web sites such asFacebook. As a result, another way of defining our personality may include how otherssee us online.
But are they seeing us as we really are, or are we creating online some idealizedself-image that we want to display to other people? Are we pretending to be someonewe are not, or are we conveying an accurate description of our personality? Someresearch suggests that most people are honest about their online faces. Studies con-ducted in the United States and in Germany found that social networking sites doconvey accurate images or impressions of the personality profiles we offer. Theresearchers concluded that depictions of personalities presented online are at least asaccurate as those conveyed in face-to-face interactions (Gosling, Gaddis, & Vazire,2007; Back et al., 2010).
A more recent large-scale study in Germany, however, found that many people have atendency to present themselves online as being much more emotionally stable than theyreally are (Blumer & Doring, 2012). Other later studies have found that those who areintroverted, neurotic, lonely, and socially awkward find it easier to express their trueselves (their real personalities) online instead of in person (Marriott & Buchanan,2014). It has also been found that those who feel they are able to express their true selves
personalityThe unique, relativelyenduring internal andexternal aspects of aperson’s character thatinfluence behavior indifferent situations.
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are more active on Facebook and other social media sites than those who do not feel thatway about themselves (Seidman, 2014).
And what about selfies, those photos we take of ourselves? How accurate are they inshowing our true selves? Or are they merely posing and posturing for effect, to impressothers—to make our own little “reality shows?” Research has found that more womenthan men send selfies and that excessive use of them can make the sender less likeableand even reduce the intimacy or closeness of friendships. They can even reinforce theidea that how people look is more important than how they actually behave in real lifetoward their friends (Drexler, 2013; Rutledge, 2013).
Of course, as you know, we are not always honest in how we depict ourselves inperson either, particularly when we meet new people we want to impress, like a dateor an employer. With people we have known for a while, with whom we feel secure,and who represent no threat, we may be less likely to pretend to be something we arenot. Perhaps the major difference with social networking sites is that there is a muchwider and more instantly reachable audience than in our everyday offline lives.
In addition, we now know that what we post about ourselves can also have greatpotential consequences to our careers and future when prospective employers find“inappropriate content” such as drunkenness, sexual display, and use of profanity ona candidate’s social media sites. One study found that evaluations of Facebook pagescontaining negative content resulted in false perceptions of that person’s personality.Sites of those with no inappropriate displays resulted in more accurate evaluations ofthe person’s personality, which, in the real world, can make the difference betweenbeing hired for a job or accepted by a graduate school (Goodman, Smith, Ivancevich,& Lundberg, 2014).
How Does the Social Media Influence Our Personality?
Psychologists have found that the use of online social networking sites like Facebook canboth shape and reflect our personalities. One study of adolescents in China aged 13 to 18found that excessive time spent using the Internet resulted in significant levels of anxietyand depression when compared to teenagers who spent considerably less time online(Lam & Peng, 2010). Other research found that high levels of social media use canreduce psychological well-being (how happy we feel) and decrease the quality of relation-ships with friends and romantic partners (Blais, Craig, Pepler, & Connolly, 2008; Huang,2010a; Kross et al., 2013).
An online survey of college students in the United States showed that those whospent time talking with their parents on the telephone had more satisfying personaland supportive relationships with them than students who kept in touch with the par-ents through social networking sites. In addition, college students who communicatedwith their parents on social networking sites reported greater loneliness, anxiety, andconflict in their relationships with their parents (Gentzler, Oberhauser, Westerman, &Nadorff, 2011).
Studies conducted in such diverse countries as the Netherlands, Serbia, HongKong, and Korea have demonstrated that those who reported excessive use of socialmedia tend to be more lonely, introverted, and low in self-esteem than those whouse it less (Baek, Bae, & Jang, 2013; Milosevic-Dordevic & Zezelj, 2013; Muusses,Finkenauer, Kerkhof, & Billedo, 2014; Yao & Zhong, 2014). Spending too muchtime online can also lead to addiction, which can be just as obsessive and excessiveas addiction to alcohol, drugs, or gambling. Excessive online use has also been shownto change portions of the brain that are linked to depression and increased irritabil-ity (Mosher, 2011).
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How Does Our Personality Influence Our Use of Social Media?
In addition to affecting our personalities, social networking sites can also reflect them.Studies in both Eastern and Western cultures found that those who were more extra-verted and narcissistic (who had an inflated, unrealistic self-concept) were much morelikely to use Facebook than those who did not score high on those personality character-istics. The more narcissistic teenagers were also more likely to update their Facebook sta-tus more frequently (Kuo & Tang, 2014; Michikyan, Subrahmanyam, & Dennis, 2014;Ong et al., 2011; Panek, Nardis, & Konrath, 2014; Winter et al., 2014).
Other studies suggest that those who report high use of social networking sites tend tobe more extraverted, more open to new experiences, lower in self-esteem and socializa-tion skills, less conscientious, and lower in emotional stability than those who reportlower levels of usage (Blackhart, Ginette, Fitzpatrick, & Williamson, 2014; Correa, Hins-ley, & de Zuniga, 2010; Mehdizadeh, 2010; Papastylianou, 2013; Ross, Orr, Sisic,Arseneault, Simmering, & Orr, 2009; Weiss, 2014; Wilson, Fornasier, & White, 2010).
Personality differences among cell phone users have also been found. Research involv-ing teenagers and adults in Australia found that extraverts and those with a strong senseof self-identity spent much more time making calls and changing their ring tones andwallpaper than those scoring lower on these personality characteristics. The studies alsofound that those who were more neurotic and less conscientious and shy spent moretime texting on their phones than those who were less neurotic and more conscientious(Bardi & Brady, 2010; Butt & Phillips, 2008; Walsh, White, Cox, & Young, 2011).
Finally, what about the personalities of people who engage in Internet trolling—deliberately hurting, harassing, and upsetting others by posting hateful, inflammatory,and derogatory comments about them. What are they like? The evidence shows thattrolls are mostly male with an average age of 29, who, as you might expect, score highin sadism. They take pleasure in degrading others. It makes them feel good (Buckels,Trapnell, & Paulhus, 2014; Lewis, 2014).
The Role of Race and Gender in ShapingPersonality
The personality theorists we cover in this book offer diverse views of the nature of thehuman personality. Despite their disagreements and divergences, however, they all sharecertain defining characteristics in common. All are White, of European or American her-itage, and almost all are men. There was nothing unusual about that, given the periodduring which most of these theorists were developing their ideas. At the time, nearly allof the great advances in the arts, philosophy, literature, and the sciences, including thedevelopment of the scientific methods, were propounded and promoted by White menof European or American background. In most fields, educational and professionalopportunities for women and people of ethnic minority groups were severely limited.
In addition, in the field of personality theory, virtually all the patients and subjects theearlier theories were based on were also White. Even the laboratory rats were white.Also, the majority of the patients and subjects were men. Yet, the personality theoristsconfidently offered theories that were supposed to be valid for all people, regardless ofgender, race, or ethnic origin.
None of the theorists stated explicitly that his or her views applied only to men or toWhites or to Americans, or that their ideas might not be useful for explaining personal-ity in people of other backgrounds. Although the theorists accepted, to some degree, theimportance of social and environmental forces in shaping personality, they tended toignore or minimize the influence of gender and ethnic background.
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We know from our own experiences that our brothers, sisters, and friends wereexposed to different childhood influences than we were and that, as a result, they grewup to have different personalities. We also know from research in social psychology thatchildren from different environments—such as a predominantly White Midwesterntown, a Los Angeles barrio, an Appalachian mountain village, or an affluent Blacksuburb—are exposed to vastly different influences. If the world in which people liveand the factors that affect their upbringing are so different, then surely their personalitiescan be expected to differ as a result. They do.
We also know that boys and girls are usually reared according to traditional genderstereotypes, and this upbringing also influences personality in different ways. Researchhas documented many differences between men and women on specific personality fac-tors. For example, one large-scale study of the intensity of emotional awareness andexpression compared male and female college undergraduates at two American universi-ties and male and female students at medical schools in the United States and inGermany.
The results showed that women from both countries displayed greater emotionalcomplexity and intensity than did men (Barrett, Lane, Sechrest, & Schwartz, 2000). Astudy of more than 7,000 college students in 16 Islamic nations found that womenmeasured significantly higher in anxiety than men did in 11 of the 16 samples studied(Alansari, 2006). We will see many examples throughout the book of gender and sexdifferences in personality.
The Role of Culture in Shaping Personality
The influence of cultural forces on personality is widely recognized in psychology. A spe-cialty area called cross-cultural psychology has fostered a great deal of research support-ing the conclusion that personality is formed by both genetic and environmentalinfluences. “Among the most important of the latter are cultural influences” (Triandis& Suh, 2002, p. 135).
This was demonstrated in a study of Japanese who emigrated to the United States,compared to those who stayed in Japan. Those who moved became much more“American” in their personalities. They changed in significant ways in response to theirchanged culture (Gungor, Bornstein, De Leersnyder, Cote, Ceulemans, & Mesquita, 2013).
Other research showed that recent Chinese immigrants to Canada demonstrated thesame low level of introversion as the Hong Kong Chinese who did not emigrate. However,Chinese immigrants who had lived in Canada at least 10 years and thus had greater expo-sure to Western culture, scored significantly higher in extraversion than did more recentimmigrants or the Hong Kong subjects. Cultural forces had exerted a significant impacton this basic personality characteristic (McCrae, Yi, Trapnell, Bond, & Paulhus, 1998).
Anxiety and other negative emotions may also be related to cultural differences. Whenthe experiences of Asian-American students were compared with those of European-American students in a daily diary study, it was found that the Asian Americans reporteda far greater number of negative emotions in social situations than the European-Americans did (Lee, Okazaki, & Yoo, 2006). Western people in general, and Americans,in particular, also exhibit greater optimism and view themselves and their future more pos-itively. They even consider their sports teams, cities, and friends to be superior, when com-pared to those of Asian cultures (Endo, Heine, & Lehman, 2000).
There are even large-scale cultural differences in brain activity and genetic makeup,which have been demonstrated in the field of cultural neuroscience (Azar, 2010). Usingmeasures of brain wave activity, researchers found differences in brain function between
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people in Eastern and Western cultures when responding to the same stimuli (Park &Huang, 2010). One study found brain wave activity of Japanese and Americans to differin reaction to the same visual stimuli; the differences paralleled each culture’s measuredlevel of submissiveness or dominance (Freeman, Rule, & Ambady, 2009).
We will see a number of other examples in this section, and throughout the book, ofthe many ways in which the culture we live in shapes and molds our personalities.
Different Cultural Beliefs about Destiny
The concept of karma has for centuries shaped the outlook of the people of India andother countries that accept Hinduism or Buddhism. It may be seen as a fatalistic anddeterministic view of human nature. The consequences of our present and past actionsare believed to determine our destiny or fate, our happiness or unhappiness in the future.In other words, events don’t occur because we make them happen but because they weredestined to happen.
Thus, in this view, our fortune or misfortune, health or sickness, happiness or unhap-piness are preordained and independent of our own actions. You can see how this beliefmay lead to a passive, resigned personality type, accepting of whatever comes one’s wayand not being motivated to take action to change it. Contrast this with a view more typ-ical of American culture that emphasizes free choice and action, and the role of our ownpersonal effort and initiative in bringing about our personal success or failure.
Research shows substantial cultural differences between East and West in this notionof fate attribution or destiny (Norenzayan & Lee, 2010). However, there is also evidencethat as Eastern cultures such as China modernize and become more Westernized, thatcultural belief is reduced (Wong, Shaw, & Ng, 2010).
Individualism
Individual competitiveness and assertiveness are often seen as undesirable and contraryto Asian cultural standards. Western cultures are typically depicted as the opposite. Forexample, when college students in Australia were compared with college students inJapan, the Australians were found to emphasize the importance of individuality muchmore than the Japanese, who were more oriented toward the collective or the group(Kashima, Kokubo, Kashima, Boxall, Yamaguchi, & Macrae, 2004). In another example,an Asian-American job applicant who is a recent immigrant to the United States and notyet fully acculturated to American values and beliefs is likely to score low on a personal-ity test measuring such factors as competitiveness, assertiveness, and self-promotion.This person would probably be judged as deficient—as not measuring up to Americanstandards—and thus unlikely to be offered a job.
In an individualistic society, the focus is on personal freedom, choice, and action. In acollectivist society, the focus is on group norms and values, group role expectations, andother cultural constraints on behavior. People in individualistic cultures show greaterextraversion, self-esteem, happiness (or subjective well-being), optimism about their future,and a belief in their ability to control and direct it. For example, one massive study of over400 million people in 63 countries found that the personality trait of individualism wasstrongly and consistently related to positive well-being (Fischer & Boer, 2011).
Genetic differences between people in collectivistic versus individualistic cultures havebeen linked to lower levels of anxiety and depression in collectivistic cultures and higherlevels in individualistic cultures (Chiao & Blizinsky, 2010).
College students in the United States scored significantly higher than college students inJapan on measures of self-efficacy—the feeling of being adequate, efficient and competent incoping with life and in exerting control over life events (Morling, Kitayama, & Miyamoto,
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2002). College students in Australia were found to be significantly more agreeable, consci-entious, optimistic, and satisfied with their lives than students in Singapore (Wong, Lee,Ang, Oei, & Ng, 2009).
Other research found differences in subjective well-being between Asian-Americanstudents and European-American students at the same university in the United States.The European-American students attained their feeling of well-being by pursuing goalsfor the purpose of personal satisfaction. The Asian-American students seemed to “attainand maintain their well-being by achieving goals that they pursue to make importantothers [such as their parents] happy and [to] meet the expectations of others” (Oishi &Diener, 2001, p. 1680).
Thus, the motivations and satisfactions of these students and their correspondingimages of human nature differed with their cultural backgrounds. In addition, a compar-ison of Japanese and American college students revealed that the American studentswere far more likely to use positive terms to describe themselves. The Japanese studentswere more likely to use negative terms (Kanagawa, Cross, & Markus, 2001).
Thus, the degree to which a culture focuses on and encourages individualism has apowerful effect on the personality of its citizens.
Child-Rearing Practices
The impact on behavior and personality of cultural differences in child-rearing practicesis also substantial. In the individualistic culture of the United States, parents tend to benoncoercive, democratic, and permissive in their child-rearing techniques. In collectivistcultures, such as Asian and Arab societies, parental practices tend to be more authoritar-ian, restrictive, and controlling.
Studies of adolescents in several Arab countries showed that they felt a greater con-nection with their parents than did American adolescents. The researchers noted thatArab adolescents “follow their parents’ directions in all areas of life, such as social behav-ior, interpersonal relationships, marriage, occupational preference, and political atti-tudes…. they do not feel that they suffer from their [parents’] authoritarian style andare even satisfied with this way of life” (Dwairy, Achoui, Abouserie, & Farah, 2006,p. 264). The study concluded that these authoritarian parental practices did not adverselyaffect the mental health and emotional well-being of the Arab teenagers as they would inmore liberal Western cultures.
Chinese mothers living in Canada were found to be more authoritarian in raisingtheir children than non-Chinese mothers in Canada (Liu & Guo, 2010). Turkish mothersliving in Germany who were more assimilated into the German culture emphasized indi-vidualistic goals for their children much more than Turkish mothers who were not soassimilated (Durgel, Leyendecker, Yagmurlu, & Harwood, 2009).
Clearly, such differences in child-rearing practices and their resulting values will influ-ence the development of different kinds of personalities.
Self-Enhancement
Self-enhancement is defined as the tendency to promote oneself aggressively and makeone conspicuous. The opposite of that, self-effacement, is considered to be more inagreement with the cultural values of Asian societies. This was supported in a laboratorystudy comparing Canadian and Japanese college students. Self-enhancement was farmore prevalent among the Canadian students; self-criticism was significantly more evi-dent among the Japanese students (Heine, Takata, & Lehman, 2000).
Similar results were obtained in three additional studies comparing self-ratings andquestionnaire responses in collectivist versus individualistic cultures. The subjects in
Chapter 1: Personality: What It Is and Why You Should Care 11
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these instances were Japanese college students compared with American college students,and Chinese high school and college students in Singapore compared with Jewish highschool and college students in Israel. The results from both studies showed that thosefrom collectivist cultures (Japan and China) showed significantly greater self-criticismand significantly lower self-enhancement than those from individualistic cultures (theUnited States and Israel) (Heine & Renshaw, 2002; Kurman, 2001). A study comparingpeople in the United States, Mexico, Venezuela, and China found that the Chinese dem-onstrated the strongest tendency toward self-effacement than those in the other cultures(Church et al., 2014).
Nordic cultures such as Norway, Sweden, and Denmark provide another example ofcultures encouraging self-effacement. The cultural concept of Janteloven enjoins peoplenot to place their own interests above those of their community and to show humilityin the presence of others. A comparison of college students in the United States andNorway found that the Americans rated themselves significantly higher than averageon positive personality traits and lower than average on negative traits than theNorwegian students did. This tendency to self-enhancement among the U.S. students,which was not found to the same degree among the Norwegian students, appears to beculturally induced, determined by the values taught in the different countries (Silvera &Seger, 2004).
Large differences in individualism have also been found in cultures that are not so farapart geographically. One might reasonably expect differences between Eastern culturessuch as Japan and Western cultures such as the United States, as we have seen. But dif-ferences have also been reported between European cultures, such as Spain and theNetherlands. A comparison using a self-report inventory of people found that theSpanish people were more concerned with matters of honor and family-related values,such as family security, respect for parents, and recognition from others. In contrast,the Dutch people scored much higher on individualistic values such as ambition, capa-bility, and independence (Rodriguez-Mosquera, Manstead, & Fischer, 2000).
If you consider yourself to be self-enhancing, take heart. Maybe it’s not so bad.Research in various countries in Europe found that self-enhancers were rated by othersas being emotionally stable, socially attractive, and socially influential (Dufner, Denissen,Sediilides, Van Zalk Meeus, & Van Aken, 2013). And finally, a study of American collegestudents found that those high in self-esteem and self-enhancement look for mates whoshare their own characteristics. In other words, self-enhancers are looking for someonewho is as great as they think they are (Brown, Brown, & Kovatch, 2013).
A Diversity of Cultures
As we have just seen, there have been major advances in exploring a wide range of cul-tural differences in personality research in recent years. However, it still remains truethat much less research has been conducted on personality in African and SouthAmerican nations than in English-speaking countries, or in many of the countries ofEurope and Asia. Also, much of the research that has been conducted among thosepopulations has not been made widely available in English-language sources.
Another problem limiting the applicability of cross-cultural personality research isthat the majority of studies in personality use American college students as subjects.One of the goals of this book is to cover research results from a more diverse and repre-sentative selection of people. The studies you will read about here are from more than40 different countries, all of which are listed on the inside back cover, and from a varietyof age groups, cultures, religions, and ethnic backgrounds. We will not be dealing onlywith the personalities of White American college students.
12 Chapter 1: Personality: What It Is and Why You Should Care
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Assessing Your Personality
To assess something means to measure or evaluate it. The assessment of personality is amajor area of application of psychology to a number of real-world concerns. For exam-ple, clinical psychologists try to understand the symptoms of their patients or clients byassessing their personalities, by differentiating between normal and abnormal behaviorsand feelings. Only by evaluating personality in this way can clinicians diagnose disordersand determine the best course of therapy.
School psychologists evaluate the personalities of the students referred to them fortreatment in an attempt to uncover the causes of adjustment or learning problems.Industrial/organizational psychologists assess personality to select the best candidate fora particular job. Counseling psychologists measure personality to find the best job for aparticular applicant, matching the requirements of the position with the person’s inter-ests and needs. Research psychologists assess the personalities of their subjects in anattempt to account for their behavior in an experiment or to correlate their personalitytraits with other measurements.
No matter what you do in your life and your working career, it is difficult to avoidhaving your personality assessed in some way at some time. Indeed, much of your suc-cess in the workplace will be determined by your performance on various psychologicaltests. Therefore, it is important that you have some understanding of what they are andhow they work.
The Concepts of Reliability and Validity
The best techniques of personality assessment adhere to the principles of reliability andvalidity.
Reliability Reliability involves the consistency of response to an assessment device.Suppose you took the same test on two different days and received two widely differentscores. How would you know which score is the most accurate one? A test like thatwould not be considered reliable because its results were so inconsistent. No one coulddepend on that test for an adequate assessment of your personality. It is common to findsome slight variation in scores when a test is taken a second time, but if the variation islarge, then something is wrong with the test or with the method of scoring it.
Validity Validity refers to whether an assessment device measures what it is intendedto measure. Does an intelligence test truly measure intelligence? Does a test of anxietyactually evaluate anxiety? If a test does not measure what it claims to, then it is notvalid and its results cannot be used to predict behavior. For example, your score on aninvalid intelligence test, no matter how high, will be useless for predicting how well youwill do in college or in any other situation that requires a high level of intelligence. Apersonality test that is not valid may provide a totally misleading portrait of your emo-tional strengths and weaknesses and will be of no value to you or a potential employer.
reliability The consis-tency of response to apsychological assess-ment device.
validity The extent towhich an assessmentdevice measures whatit is intended tomeasure.
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Methods of Assessment The personality theorists discussed in this book devised dif-ferent methods for assessing personality that were the most useful for their theories. Byapplying these methods, they obtained the data on which they based their formulations.Their techniques vary in objectivity, reliability, and validity, and they range from dreaminterpretation and childhood recollections to computer-administered objective tests. Themajor approaches to personality assessment are:
• Self-report or objective inventories• Projective techniques• Clinical interviews• Behavioral assessment procedures• Thought and experience sampling procedures
Self-Report Personality Tests
The self-report inventory or test approach involves asking people to report on them-selves by answering questions about their behavior and feelings in various situations.These tests include items dealing with symptoms, attitudes, interests, fears, and values.Test-takers indicate how closely each statement describes themselves, or how muchthey agree with each item. There are a number of self-report personality tests in usetoday as we will see in later chapters, but one of the most useful is the Minnesota Multi-phasic Personality Inventory (MMPI).
Minnesota Multiphasic Personality Inventory (MMPI) The MMPI has beentranslated into more than 140 languages and is the world’s most widely used psychologi-cal test (see Butcher, 2010; Cox, Weed, & Butcher, 2009). First published in 1943, theMMPI was revised in 1989 to make the language more contemporary and nonsexist.The latest revision is the MMPI-2-RF (Restructured Form), which appeared in 2008.The MMPI is a true-false test that consists of 567 statements.
The test items cover physical and psychological health; political and social attitudes;educational, occupational, family, and marital factors; and neurotic and psychoticbehavior tendencies. The test’s clinical scales measure such personality characteristicsas gender role, defensiveness, depression, hysteria, paranoia, hypochondriasis, andschizophrenia. Some items can be scored to determine if the test-taker is deliberatelyfaking or careless, or misunderstood the instructions.
For example, research has shown that the MMPI-2-RF can successfully distinguishbetween those who have genuine physical pain and those who are faking it in order toclaim disability payments (Crighton, Applegate, Wygant, Granacher, & Ulauf, 2013). Thetest has also been shown to distinguish between those who are faking symptoms of post-traumatic stress disorder (PTSD) and those whose symptoms are genuine (Mason et al.,2013). It has also been found that those who are mentally ill can learn (through onlineinstruction) how to respond on the MMPI so as to hide their symptoms and appear tobe mentally healthy (Hartmann & Hartmann, 2014).
Examples of the types of statements in the MMPI are shown in Table 1.2.The MMPI-2 is used with adults in research on personality as a diagnostic tool for
assessing personality problems, for employee selection, and for vocational and personalcounseling. In 1992, the MMPI-A was developed for use with adolescents. The numberof questions was decreased from 567 to 478, to reduce the time and effort needed toadminister it.
Both forms of the test have their shortcomings, however, one of which is length. Ittakes a lot of time to respond attentively to the large number of items. Some people
self-report inventory Apersonality assess-ment technique inwhich subjects answerquestions about theirbehaviors and feelings.
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lose interest and motivation long before they finish. Also, some of the items on this andother self-report personality tests deal with highly personal characteristics, which somepeople consider an invasion of privacy, particularly when being required to take the testto get a job. Nevertheless, despite the length and privacy issues, the MMPI in its variousforms is a valid test that discriminates between neurotics and psychotics and between theemotionally healthy and the emotionally disturbed. Thus, it remains a highly valuablediagnostic and research tool.
Assessment of Self-Report Inventories Although there are self-report inventories toassess many facets of personality, as we will see in later chapters, the tests are not alwaysappropriate for people whose level of intelligence is below normal, or for those with lim-ited reading skills. Even minor changes in the wording of the questions or the responsealternatives on self-report measures can lead to major changes in the results. For exam-ple, when adults were asked what they thought was the most important thing for chil-dren to learn, 61.5 percent chose the alternative “to think for themselves.” But whenadult subjects were asked to supply the answer themselves—when no list of alternativeswas provided—only 4.6 percent made that or a similar response (Schwarz, 1999).
There is also the tendency for test-takers to give answers that appear to be moresocially desirable or acceptable, particularly when they are taking tests as part of a jobapplication. Suppose you were applying for a job you really wanted and were asked thisquestion on a test—“I am often very tense on the job.” Would you answer “yes” to thatquestion? We wouldn’t either.
When a group of college students took a self-report test with instructions to makethemselves appear as good, or as socially acceptable, as possible, they were more carefulwith their answers and took longer to complete the test than students who were notdeliberately trying to look good (Holtgraves, 2004). Similar results have been shownwith other self-report inventories. Most subjects find it easy to give false answers whenasked to do so in research studies (McDaniel, Beier, Perkins, Goggins, & Frankel, 2009).
Despite these problems, self-report inventories remain the most objective approach topersonality assessment. Their greatest advantage is that they are designed to be scoredobjectively and quickly through automated personality assessment programs, providinga complete diagnostic profile of the test-taker’s responses.
TABLE 1.2 Simulated items from the Minnesota Multiphasic PersonalityInventory (MMPI)
ANSWER “TRUE” OR “FALSE.”
At times I get strong cramps in my intestines.
I am often very tense on the job.
Sometimes there is a feeling like something is pressing in on my head.
I wish I could do over some of the things I have done.
I used to like to do the dances in gym class.
It distresses me that people have the wrong ideas about me.
The things that run through my head sometimes are horrible.
There are those out there who want to get me.
Sometimes I think so fast I can’t keep up.
I give up too easily when discussing things with others.
Chapter 1: Personality: What It Is and Why You Should Care 15
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Online Test Administration
Self-report inventories, like everything else now, can be taken online. Many employersprefer that job applicants take tests this way as a prescreening method, rather than takingup time and space at the company’s office. The advantages of computerized test admin-istration include the following:
• It is less time-consuming for both the applicant and the organization• It is less expensive• The scoring is more objective• The method is readily accepted by younger members of the workforce• It prevents test-takers from looking ahead at questions (which they can do with a
traditional paper-and-pencil test), and it prevents them from changing answersalready given
A sizable body of research has confirmed the usefulness of this approach. No signifi-cant differences in responses to most self-report inventories have been found betweenpaper-and-pencil tests and the same tests administered online (see, for example, Chuah,Drasgow, & Roberts, 2006; Clough, 2009; Luce, Winzelberg, Das, Osborne, Bryson, &Taylor, 2007; Naus, Philipp, & Samsi, 2009).
It has also been found that most of us are significantly more likely to reveal sensitive,even potentially embarrassing, information when responding online to self-report inven-tories than to paper-and-pencil tests given in person by a live test administrator. Under-standably, many people feel a greater sense of anonymity and privacy when interactingwith a computer and so reveal more personal information.
Projective Techniques
Clinical psychologists developed projective tests of personality for their work with theemotionally disturbed. Inspired by Sigmund Freud’s emphasis on the importance of theunconscious, projective tests attempt to probe that invisible portion of our personality.The theory underlying projective techniques is that when we are presented with anambiguous stimulus, like an inkblot or a picture that can be interpreted in more thanone way, we will project our innermost needs, fears, and values onto the stimulus whenwe’re asked to describe it.
Because the interpretation of the results of projective tests is so subjective, these testsare not high in reliability or validity. It is not unusual for different people giving the testto form quite different impressions of the same person, based on the results of a projec-tive test. In such a case, the inter-scorer reliability of the test is low. Nevertheless, thesetests are widely used for assessment and diagnostic purposes. Two popular projectivetests are the Rorschach Inkblot Technique and the Thematic Apperception Test (TAT).
Rorschach and His Inkblots The Rorschach was developed in 1921 by the Swiss psy-chiatrist Hermann Rorschach (1884–1922), who had been fascinated by inkblots sincechildhood. As a youngster, he had played a popular game called Klecksographie, or Blotto,in which children gave their interpretations of various inkblot designs. Rorschach wasknown to be so intensely interested in inkblots that as a teenager, he acquired the nick-name Klecks, which means, in German, blot of ink. Later, when Rorschach was serving ahospital residency in psychiatry after receiving his M.D., he and a friend played Blotto withpatients to pass the time. Rorschach noticed consistent differences between the responsesof patients and the responses offered by school children to the same inkblots.
In developing his test, Rorschach created his own inkblots simply by dropping blobsof ink on blank paper and folding the paper in half (see Figure 1.1). After trying a variety
projective test A per-sonality assessmentdevice in which sub-jects are presumed toproject personalneeds, fears, andvalues onto their inter-pretation or descriptionof an ambiguousstimulus.
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of patterns, he settled on 10 blots for the very practical reason that he could not afford tohave more than 10 printed. He wrote about his work with inkblots, but the publicationwas a failure. Few copies were sold, and the few reviews it received were negative.Although the test eventually became immensely popular, Rorschach became depressedand died 9 months after his work was published.
Using the Rorschach The inkblot cards (some black, others in color) are shown oneat a time, and test-takers are asked to describe what they see. Then the cards are shown asecond time, and the psychologist asks specific questions about the earlier answers. Theexaminer also observes behavior during the testing session, including the test-takers’ ges-tures, reactions to particular inkblots, and general attitude.
Responses can be interpreted in several ways, depending on whether the patientreports seeing movement, human or animal figures, animate or inanimate objects, andpartial or whole figures. Attempts have been made to standardize the administration,scoring, and interpretation of the Rorschach. The most successful of these, the Compre-hensive System, claims, on the basis of considerable research, to lead to improved reli-ability and validity (see Exner, 1993).
There is no universal agreement about the Rorschach’s usefulness and validity, evenwith the Comprehensive System for scoring. Some researchers have concluded thatthere is no scientific basis for the Rorschach; others insist that the test is as valid as anyother personality assessment measure. Nevertheless, the Rorschach continues to be apopular assessment technique in personality research and clinical practice.
FIGURE 1.1An inkblot similar to aRorschach inkblot.
KovalchukOleksandr/Shutterstock.com
Chapter 1: Personality: What It Is and Why You Should Care 17
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The Rorschach is also widely used in research in Europe and South America. Overall,validity research is generally more supportive of the MMPI than of the Rorschach. Thus,the MMPI can be used with greater confidence, especially for ethnic minority groups anddiverse cultural groups (see, for example, Wood, Garb, Lilienfeld, & Nezworski, 2002).
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Thematic Apperception Test (TAT) Henry Murray and Christiana Morgan devel-oped the TAT (Morgan & Murray, 1935). The test consists of 19 ambiguous pictures,showing one or more persons, and 1 blank card. The pictures are vague about the eventsdepicted and can be interpreted in different ways. People taking the test are asked to tella story about the people and objects in the picture, describing what led up to the situa-tion shown, what the people are thinking and feeling, and what the outcome is likely tobe. In clinical work, psychologists consider several factors in interpreting these stories,including the kinds of personal relationships involved, the motivations of the characters,and the degree of contact with reality shown by the characters.
There are no objective scoring systems for the TAT, and its reliability and validity arelow when used for diagnostic purposes. However, the TAT has proven useful forresearch purposes, and scoring systems have been devised to measure specific aspects ofpersonality, such as the needs for achievement, affiliation, and power. It also continues tobe useful in clinical practice. (Gieser & Wyatt-Gieser, 2013).
Other Projective Techniques Word association and sentence completion tests areadditional projective techniques that psychologists use to assess personality. In theword-association test, a list of words is read one at a time to the subject, who is askedto respond to each with the first word that comes to mind. Response words are analyzedfor their commonplace or unusual nature, for their possible indication of emotional ten-sion, and for their relationship to sexual conflicts. Speed of response is consideredimportant.
The sentence-completion test also requires verbal responses. Subjects are asked to fin-ish such sentences as “My ambition is …” or “What worries me is …” Interpretation ofthe responses with both of these approaches can be highly subjective. However, somesentence-completion tests, such as the Rotter Incomplete Sentence Blank, provide formore objective scoring.
Clinical Interviews
In addition to specific psychological tests used to measure an individual’s personality,assessment often includes clinical interviews. After all, it is reasonable to assume thatvaluable information can be obtained by talking to the person being evaluated and ask-ing relevant questions about past and present life experiences, social and family relation-ships, and the problems that led the person to seek psychological help. A wide range ofbehaviors, feelings, and thoughts can be investigated in the interview, including generalappearance, demeanor, and attitude; facial expressions, posture, and gestures; preoccupa-tions; degree of self-insight; and level of contact with reality.
Armed with the results of psychological tests like the MMPI, which are usuallyadministered before or during a series of interview sessions, the psychologist can focus
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on problems indicated by the test results and explore those areas in detail. Interpretationof interview material is subjective and can be affected by the interviewer’s theoretical ori-entation and personality. Nevertheless, clinical interviews remain a widely used tech-nique for personality assessment and a useful tool when supplemented by more objectiveprocedures.
Behavioral Assessment
In the behavioral assessment approach, an observer evaluates a person’s behavior in agiven situation. The better the observers know the people being assessed and the morefrequently they interact with them, the more accurate their evaluations are likely to be(Connelly & Ones, 2010). Psychologists Arnold Buss and Robert Plomin developed aquestionnaire to assess the degree of various temperaments present in twins of thesame sex (Buss & Plomin, 1984). The mothers of the twins were asked, on the basis oftheir observations of their children, to check those items on the questionnaire that bestdescribed specific and easily discernible instances of their children’s behavior. Sampleitems from the questionnaire are listed in Table 1.3.
As we noted in the section on clinical interviews, counselors routinely observe theirclients’ behavior—considering, for example, facial expressions, nervous gestures, andgeneral appearance—and use that information in formulating their diagnoses. Suchobservations are less systematic than formal behavioral assessment procedures, but theresults can provide valuable insights.
Thought and Experience Assessment
In the behavioral approach to personality assessment, we saw that specific behavioralactions are monitored by trained observers. In the thought-sampling approach to assess-ment, a person’s thoughts are recorded systematically to provide a sample over a periodof time. Because thoughts are private experiences and cannot be seen by anyone else, theonly person who can make this type of observation is the individual whose thoughts arebeing studied.
In this procedure, then, the observer and the person being observed are the same. Thethought-sampling assessment procedure is typically used with groups, but it has alsobeen applied to individuals to aid in diagnosis and treatment. A client can be asked towrite or record thoughts and moods for later analysis by the psychologist.
A variation of thought sampling is the experience sampling method. This is con-ducted very much like thought sampling, but the participants are asked also to describethe social and environmental context in which the experience being sampled occurs. Forexample, subjects might be asked to note whether they were alone or with other peoplewhen an electronic beeper sounded, alerting them to record their experiences. Or they
TABLE 1.3 Sample items from the Buss and Plomin EASI Temperament Survey
Child tends to cry easily.
Child has a quick temper.
Child cannot sit still long.
Child makes friends easily.
Child tends to be shy.
Child goes from toy to toy quickly.
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might be asked precisely what they were doing or where they were. The goal of thismethod is to determine how one’s thoughts or moods may be influenced by the contextin which they occur.
Thought sampling research relies on technological developments such as smartphonesto allow participants to record their assessments quickly and easily. Electronic entries canbe timed and dated. Thus, researchers can determine whether assessments are beingrecorded at the times and intervals requested. If they are entered sometime after theexperience, they could be influenced by the vagaries of memory.
An example of the experience sampling approach to personality assessment involved agroup of college students who kept daily Internet diaries for 28 days. Each entrydescribed their moods as well as stressful events and how they coped with them. It maynot surprise you to learn that the primary type of negative event involved academicissues. The second most reported type of negative issue dealt with interpersonalissues—getting along with others (Park, Armeli, & Tennen, 2004). Other approaches topersonality assessment might not have uncovered this information so easily.
An experience sampling study of Japanese students found that those who reportedhaving repetitive thoughts at night and obsessing about something in their lives had pro-blems going to sleep, slept fitfully, and for not as long as compared to students who didnot report having repetitive thoughts (Takano, Sakamoto, & Tanno, 2014).
A possible limitation of the experience sampling approach is that subjects might be sobusy doing other things that they forget to record their activities when signaled to do so.As a result, the useful data might be restricted only to the most conscientious researchparticipants. It is also possible that emotions or moods—such as anger or sadness—affectthe nature of the information reported (Scollon, Kim-Prieto, & Diener, 2009). Overall,however, the method is useful to researchers and provides data comparable to those fromself-report inventories.
Gender and Ethnic Issues That Affect Assessment
Gender The assessment of personality can be influenced by a person’s gender. Forexample, women tend to score lower than men on tests measuring assertiveness, a differ-ence that may result from sex-role training that traditionally teaches girls and youngwomen in some cultures not to assert themselves. Whatever the cause, personality testresults often show differences between males and females on a number of characteristicsand at every age. For example, a study of 474 children, median age 11, reported that girlsshowed a higher level of depression and a greater concern with what other peoplethought of them than boys did (Rudolph & Conley, 2005).
In addition, considerable data from personality tests, clinical interviews, and otherassessment measures indicate differential rates of diagnosis based on gender for variousemotional disorders. Women are more often diagnosed with depression, anxiety, andrelated disorders than are men. Several explanations have been offered. There actuallymay be a higher incidence of these disorders among women, or the differential rate maybe related to gender bias or gender stereotyping in interpreting the assessment results.
Also, the therapists who recommend treatment options based on the assessmentresults may exhibit a bias against women. The average course of therapy for womentends to be longer than that for men, and doses of psychoactive medications prescribedfor women tend to be higher than those for men.
Asians The Asian-American population in the United States is a complex, heteroge-neous group, which includes people of Chinese, Japanese, Filipino, Thai, Korean, andVietnamese extraction, among others. A psychological test such as the MMPI, which
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has been validated in a major city in China, may not be valid for Chinese people livingin the United States, or even for Chinese people living in other parts of China. Althoughthe MMPI and other personality tests have been translated into Asian languages, littleresearch has been conducted on their reliability and validity for use with AsianAmericans.
We saw earlier that there are substantial and consistent cultural differences in person-ality between people of Asian and non-Asian background. Asian cultures also differ fromWestern societies in their attitudes toward having and being treated for mental illness,one of the major reasons for assessing personality.
Asian Americans tend to view any form of mental disorder as a shameful conditionthat they are embarrassed to admit. As a result, they are less likely to seek treatmentfrom a therapist or counselor for emotional problems. Research consistently showsthat Asian Americans, particularly first-generation immigrants, underutilize mentalhealth treatment services. Those born in the United States are almost twice as likely toseek treatment as those born outside the United States (Meyer, Zane, Cho, & Takeuchi,2009). First-generation Chinese students in the United States were found to be signifi-cantly less likely to seek treatment for emotional issues than first-generation Europeanstudents in the United States (Hsu & Alden, 2008). Asian Americans also tend to waituntil the disturbance is severe before seeking help and less likely to benefit from it(Hwang, 2006).
A psychologist in New York City reported that her immigrant Chinese patients ini-tially complained only about physical symptoms such as backache or stomachache, andnever about depression. Several sessions were required before they built up enough trustto venture to describe a problem such as depression. Some Asian languages, such asKorean, do not even have a specific word for depression. The psychologist reportedthat one Korean client finally struck his chest with his fist and said he had a “downheart,” thus describing the mental condition in physical terms (Kershaw, 2013). AsianAmericans are also far less likely to take antidepressant medications as compared toWhites (Gonzalez, Tarraf, Brady, Chan, Miranda, & Leong, 2010).
With such contrasting beliefs about the nature of a particular disorder, it is easy tounderstand why people of diverse cultural backgrounds may score differently on assess-ment measures of personality. In addition, the practice of using American values, beliefs,and norms as the standard by which everyone is judged may help explain much researchthat shows that Asian Americans tend to receive different psychiatric diagnoses thanAmerican patients of European heritage.
Blacks Research conducted in the 1990s showed generally consistent differencesbetween Black and White subjects on self-report personality tests. Based on such testscore differences, some psychologists concluded that popular and frequently used per-sonality tests, such as the MMPI, are biased against African Americans and should notbe used to assess their personalities. Evidence to support this viewpoint has been contra-dicted by later research using the MMPI. For example, in a study of psychiatric patients(both Blacks and Whites) who were hospitalized at a Veterans Administration (VA) cen-ter, no significant differences were found on any of the test’s scales (Arbisi, Ben-Porath,& McNulty, 2002).
However, Black and White college students were found to differ on a test designed tomeasure paranoia. Black students scored significantly higher on items measuring a lackof trust in other people, a suspicion of their motives, and a tendency to be on guard withothers. Similar results, showing a higher level of distrust and paranoid personality pat-terns, were shown in later research using older Black subjects between the ages of 55and 64 (Iacovino, Jackson, & Oltmanns, 2014).
Chapter 1: Personality: What It Is and Why You Should Care 21
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Do these consistent findings mean that Blacks are more paranoid than Whites? No. Wemust evaluate and interpret these and similar findings within the appropriate racial and eth-nic context. Thus, the researchers noted that “the group differences may reflect mistrust orinterpersonal wariness caused by pervasive discrimination and perceived racism” (Combs,Penn, & Fenigstein, 2002, p. 6). The same conclusion was reached in the 2014 study.
Other research found that African-American college students who identified stronglywith Black cultural values had lower levels of depression and hopelessness than thosewithout a strong cultural identification (Walker, Alabi, Roberts, & Obasi, 2010). How-ever, Black teenagers who scored high in perceived discrimination reported greaterdepression and lower self-esteem and life satisfaction than teens who scored low in per-ceived discrimination against them (Seaton, Caldwell, Sellers, & Jackson, 2010).
What about the effect of race on the interpretation of MMPI test results? Do Whiteresearchers interpret test results differently when they know the person who took the testis Black or White? The answer seems to be consistently “No,” as shown by two recentstudies, which found no differences in interpretations between Black or White test-takers (Knaster, 2013; Knaster & Micucci, 2013).
Research on the effects of counseling and therapy conducted with Black college studentsshowed that they rated Black therapists more favorably than they did White therapists.The students were also more accepting and understanding of the treatment options whenthey met with Black therapists, and they were more likely to believe that the therapy wouldbenefit them (Thompson & Alexander, 2006; Want, Parham, Baker, & Sherman, 2004).
Hispanics Studies show that scores obtained on the MMPI by people of Hispanic ori-gin are similar to those obtained by Whites (see, for example, Handel & Ben-Porath,2000). With projective techniques, however, the situation is different. Rorschach scoresfor subjects from Mexico and from Central American and South American countries dif-fer significantly from the norms of the comprehensive scoring system. Thus, it is ques-tionable whether these norms are useful with Hispanic populations (Wood et al., 2002).
It has also been found that Hispanics are less likely than other minority groups to seekpsychological counseling or treatment. Among Hispanics who do seek counseling, halfnever follow up on their first visit by returning for additional sessions (Dingfelder, 2005).A study of White and Hispanic adolescents found that significantly more Whites receivedadequate mental health care than Hispanics (Alexandre, Martins, Silvia, & Richard, 2009).Foreign-born Hispanics are even less likely to use mental health services than Hispanicsborn in the United States (Bridges, deArellano, Rheingold, Danielson, & Silcott, 2010).
Hispanic adolescents who do seek mental health treatment are typically seen byclinicians for shorter periods of time than White adolescents (Edman, Adams, Park,& Irwin, 2010). However, a study of Mexican-American college students found that asthey became more integrated in the mainstream U.S. culture, their attitudes towardcounseling became more favorable (Ramos-Sanchez & Atkinson, 2009). One confound-ing factor is the shortage of Spanish-speaking clinical psychologists and other mentalhealth personnel.
Hispanic Americans tend to be more satisfied with mental health personnel whounderstand their culture, which typically is highly collectivist in nature and thus moregroup-oriented than individual-oriented (see, for example, Malloy, Albright,Diaz-Loving, Dong, & Lee, 2004). And they are more likely to benefit from therapywith Hispanic psychologists, who, unfortunately, account for only 1 percent of the psy-chologists in the United States. That may explain why older Hispanic people (ages 65and up) prefer to seek mental health advice from their family physician rather thancounselors, psychologists, or psychiatrists who are not likely to speak Spanish (Dupree,Herrera, Tyson, Jang, & King-Kallimans, 2010).
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The collectivist orientation may help explain the higher rates of PTSD found in astudy of Hispanic police officers when compared to Black officers and non-HispanicWhite officers. The Hispanic officers reported receiving significantly less social supportfollowing critical incidents on the job that lead to PTSD. The researchers noted that forthe Hispanic officers, “their culturally valued collectiveness may have left these officersparticularly sensitive to social isolation, thus exacerbating their symptoms” (Pole, Best,Metzler, & Marmar, 2005, p. 257). A study of civilian survivors with physical injuriesalso found a higher rate of PTSD symptoms among Hispanics as compared to Whites(Marshall, Schell, & Miles, 2009).
Other Cultural Issues in Assessment Hermann Rorschach was one of the first torecognize the effects of cultural differences in performance on personality assessmenttechniques. In 1921, he found differences in responses to his Inkblot Test from peopleliving in two culturally distinct areas of Switzerland. He wrote that such responses“should be very different in various people and races” (quoted in Allen & Dana, 2004,p. 192). A study of American Indians using the MMPI-2 demonstrated how responsesto test questions reflected behavior that was considered normal in that culture but path-ological in the mainstream White culture (Hill, Pace, & Robbins, 2010). Other researchreinforces this idea that what is normal in one culture may be judged undesirable, wrong,sick, or just plain weird in other cultures (Cheung, 2009).
Although some personality tests have been translated for use in other cultures, thereare potential problems with their cross-cultural application (see, for example,Gudmundsson, 2009). This is particularly crucial when a test designed for the populationof a Western culture is administered to people in a non-Western culture, such as Chi-nese or Filipino. For example, among traditional Chinese people, important personalitycharacteristics include being gracious, having a family orientation, emphasizing harmonywith others, and showing frugality in everyday behavior. None of these factors is typicalof those measured by American personality inventories.
HIGHLIGHTS: Personality Assessment
Asians tend to score:
• High in collectivism• Low in individual competitiveness and assertiveness• Low in self-enhancement and optimism• Low in the tendency to seek mental health treatment
African Americans tend to score:
• Low on trust of other people• Low on hopelessness and depression (if they identify with Black cultural values)• High on depression• Low on self-esteem if they perceive discrimination against them
Hispanics tend to score:
• Low in tendency to seek mental health treatment• High in collectivism• High in PTSD symptoms following injuries
Chapter 1: Personality: What It Is and Why You Should Care 23
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When the MMPI-2 was first translated into Arabic, the issue arose of how to treatquestions about one’s sex life. In Arab countries, any open discussion of sex is consid-ered inappropriate, even offensive. The researchers decided to retain the sex questionsin the test but to specify in the instructions that the subjects’ responses to these itemswere optional. A study of college students in Iran showed that more than 90 percentchose not to respond to items relating to sex (Nezami, Zamani, & DeFrank, 2008).
The TAT cannot be used in Islamic cultures because of the Muslim prohibitionagainst representing humans in pictorial form. When groups of European women andMuslim women were asked to make up stories in response to the TAT pictures, theEuropean women did so readily and easily, whereas the Muslim women hesitated. Theresearcher noted that the Muslim women “consistently refused to give coherent interpre-tations. They refused to invent or fictionalize [the pictures]” (Bullard, 2005, p. 235).
Translators of American personality tests for use in other cultures also face the prob-lem of American slang and colloquial expressions. Phrases such as “I often get the blues,”or “I like to keep up with the Joneses” might have little meaning or relevance whentranslated into another language. It should be noted that there are a growing number ofexamples of personality tests developed in America being successfully translated intoArabic. This is particularly true for personality characteristics that are common to bothcultures such as Internet addiction among the young. The Internet Addiction Test devel-oped in the United States has been shown to be an equally valid predictor of such addic-tion in teenagers in Arab countries (Hawi, 2013).
Even the way people in the United States answer test questions may differ from othercultures. Responding to items in a true-false format or multiple-choice format seems nat-ural to American college students, who have been taking these types of tests since child-hood. To others, it may be an awkward and alien way of answering questions. When theMMPI was first introduced in Israel in the 1970s, many people there found it difficult torespond because they were unfamiliar with the true-false answer format. The test instruc-tions had to be rewritten to explain to the respondents how they were supposed torecord their answers (Butcher, 2004). The reworking of personality tests to ensure thatthey accurately reflect and measure relevant personality variables is difficult and requiresknowledge of and sensitivity to cultural differences.
Research in the Study of Personality
Psychologists conduct research on personality in different ways. The method useddepends on which aspect of personality is under investigation. Some psychologists areinterested only in overt behavior—what we do and say in response to certain stimuli.Other psychologists are concerned with feelings and conscious experiences as measuredby tests and questionnaires. Such self-report inventories are among the most frequentlyused research techniques. Still other investigators try to understand the unconsciousforces that may motivate us. A method useful for examining one aspect of personalitymay be inappropriate for another aspect.
The major methods used in personality research are the clinical method, the experi-mental method, virtual research, and the correlational method. Although different intheir specifics, these methods depend in varying degrees on objective observation,which is the fundamental defining characteristic of scientific research in any discipline.
The Clinical Method
The primary clinical method is the case study or case history, in which psychologists probetheir patients’ past and present lives for clues to the source of their emotional problems.
case study A detailedhistory of an individualthat contains data froma variety of sources.
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Undertaking a case study is similar to writing a mini-biography of a person’s emotional lifefrom the early years to the present day, including feelings, fears, and experiences.
Freud used case studies extensively in developing his theory of psychoanalysis, as wewill see in Chapter 2. He probed into his patients’ childhood years, looking for thoseevents and conflicts that may have caused their present neuroses. One such patient wasKatharina, an 18-year-old woman suffering from anxiety attacks and shortness of breath.In reconstructing what he considered to be the relevant experiences in her childhood,Freud traced Katharina’s symptoms to several early sexual experiences she reported,including a seduction attempt by her father when she was 14. With another patient,Lucy, Freud linked her reported hallucinations to events in her past that related to herlove for her employer that had been rebuffed.
It was through such case studies that Freud developed his theory of personality, withits focus on sexual conflicts or traumas as causal factors in neurotic behavior. Freud andlater theorists who used the case study method searched for consistencies and patterns intheir patients’ lives. On the basis of what they perceived as similarities among the reportsof their patients, these theorists generalized their findings to everyone.
Psychologists also use a variety of other clinical methods in addition to case studies,including tests, interviews, and dream analysis. Although the clinical method attempts tobe scientific, it does not offer the precision and control of the experimental and correla-tional methods. The data obtained by the clinical method are more subjective, involvingmental and largely unconscious events and early life experiences.
Such data are open to different interpretations that may reflect the therapist’s ownpersonal biases, more so than data obtained by other methods. Also, memories of child-hood events may be distorted by time, and their accuracy cannot easily be verified. How-ever, the clinical method can provide a window through which to view the depths of thepersonality, and we shall see many examples of its use, especially by the psychoanalyticand neo-psychoanalytic theorists.
The Experimental Method
An experiment is a technique for determining the effect of one or more variables or eventson behavior. We are constantly exposed to stimuli going on around us in our everydayworld—lights, sounds, phone screens, voices, sights, odors, instructions, and trivial conver-sations. When psychologists want to determine the effect of just one stimulus variable, theyarrange an experimental situation in which only that variable is allowed to operate.
All other variables are eliminated or held constant during the experiment. Then, if thebehavior of the subjects changes while only that one stimulus variable is in operation, wecan be certain that it alone is responsible for that changed behavior. The change couldnot have been caused by another variable because no other variable was allowed to influ-ence the subjects during the experiment.
There are two kinds of variables in an experiment. One is the independent or stimulusvariable, which is the one manipulated by the experimenter. The other is the dependentvariable, which is the subjects’ behavior in response to that manipulation. To be certainthat no variable other than the independent variable can affect the results, researchersstudy two groups of subjects: the experimental group and the control group. Both groupsare chosen at random from the same population of subjects.
The experimental group includes those subjects to whom the experimental treatmentis given. This is the group exposed to the stimulus or independent variable. The controlgroup is not exposed to the independent variable. Measures of the behavior being stud-ied are taken from both groups before and after the experiment. In this way, researcherscan determine if any additional variables might have influenced the subjects’ behavior.
independent variableIn an experiment, thestimulus variable orcondition the experi-menter manipulates tolearn its effect on thedependent variable.
dependent variable Inan experiment, thevariable the experi-menter desires tomeasure, typically thesubjects’ behavior orresponse to manipula-tion of the independentvariable.
experimental group Inan experiment, thegroup that is exposedto the experimentaltreatment.
control group In anexperiment, the groupthat does not receivethe experimentaltreatment.
Chapter 1: Personality: What It Is and Why You Should Care 25
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If some other variable was operating, then both groups would show the same changes inbehavior. But if no other variable was in operation—if the independent variable aloneinfluenced the subjects—then only the behavior of the experimental group would change.The behavior of the control group would remain the same.
Applying the Experimental Method Here’s an example of the experimentalmethod in action, using data from Albert Bandura’s social-learning theory of personality(see Chapter 13). Bandura wanted to find out if children would imitate the aggressivebehavior they saw in adults. He could have observed children on neighborhood streetsor at a playground, hoping to catch their reactions if they happened to witness a violentincident. He could then have waited to see whether the children would imitate theaggressive behavior they had seen.
That approach is obviously unsystematic and uncontrolled. Observing children whojust happened to be present on a street corner would not provide an appropriate sam-ple of subjects. Some of the children might already possess a tendency to behaveaggressively, regardless of the violent behavior they observed. Therefore, it would beimpossible to decide whether their aggressive behavior resulted from witnessing thatviolent act or from some factor that had been part of their personality long before theobservation took place.
Also, observing children at random would not allow the researcher to control the typeof aggressive act to which the subjects might be exposed. Children see many kinds ofviolence every day—on video games, movies, and television as well as on the streets orin playgrounds. In the experiment Bandura wanted to run, it was necessary that all thechildren he observed be exposed to the same instance of aggressive behavior. Heapproached the problem systematically by designing an experiment in which childrenwhose preexperiment levels of aggression had been measured were then exposed to thesame display of adult aggression. Children in the control group witnessed nonaggressiveadults in the same setting. Both groups of children were watched by trained observers tosee how they would behave.
The results showed that those children who watched the aggressive adult behavedaggressively, while children in the control group showed no change in aggressiveness.Bandura therefore concluded that aggressiveness can be learned by imitating the aggres-sive behavior of others.
Limitations of the Experimental Method There are situations in which theexperimental method cannot be used. Some aspects of behavior and personality can-not be studied under rigorously controlled laboratory conditions because of safetyand ethical considerations. For example, psychologists might be better able to treatemotional disturbances if they had data from controlled experiments on differentchild-rearing techniques to determine what kinds of early experiences might lead toproblems in adulthood. Obviously, however, we can’t take groups of children fromtheir parents at birth and expose them to various child-rearing manipulations to seewhat happens.
Another difficulty with the experimental method is that the subjects’ behavior mightchange simply because they know they are being observed. They might behave differentlyif they thought no one was watching their responses. When people know they are partic-ipating in an experiment, they sometimes try to guess the purpose of it and behave inways to either please or frustrate the experimenter. This kind of response defeats thepurpose of the experiment because the resulting behavior (the dependent variable) hasbeen influenced by the subjects’ attitudes rather than by the experimental treatment.This is quite a different response from what the researcher intended to study.
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Experimental research has its limitations, but when it is well controlled and system-atic, it provides excellent data. We will see examples throughout the book of how theexperimental method applies to understanding many aspects of personality.
Virtual Research
Psychologists routinely conduct research online, including administering psychologicaltests, taking opinion surveys, and presenting experimental stimuli and recording the sub-jects’ responses. They are doing much the same kinds of research they once could con-duct only in person in the laboratory. Now, through crowd-sourcing and other onlineemployment services, they can rapidly and inexpensively find enough subjects for theirstudies. One highly popular source is the Mechanical Turk on Amazon, on which peopleare paid modest amounts for a variety of services including serving as subjects in psycho-logical surveys and experiments (see Emanuel 2014; Mason & Suri, 2012; Paolacci &Chandler, 2014).
Virtual research offers advantages over traditional experimental research. Studies con-ducted on the Web produce faster responses, are less costly, and have the potential to reacha broader range of subjects of different ages, levels of education, employment, income, socialclass, and ethnic origin. Online research can assess a population far more diverse than thatfound on a typical college campus (Crump, McDonnell, & Gurieckis, 2013).
However, online research also has disadvantages. Web users tend to be younger, moreaffluent, and better educated than nonusers, thus limiting the chances that an online sam-ple will be truly representative of the population as a whole (though still likely to be morerepresentative than a group of college student subjects). Those not likely to be representedin online research include older adults, low-income people, visually impaired, or non-English speakers (Buhrmester, Kwang, & Gosling, 2011; Suarez-Balcazar, Balcazar, &Taylor-Ritzler, 2009).
People who respond to online research may also differ from nonresponders onimportant personality characteristics. Research conducted in Germany and in the UnitedStates found that people who failed to respond to an online survey were judged, on thebasis of their personal Web sites, to be more introverted and disagreeable, less open tonew experiences, and lower in self-esteem than those who did respond to the survey(Marcus & Schutz, 2005).
A study in which American college students were given the choice of participating inpsychological research online or in person found that the more extraverted chose to par-ticipate in person and the more introverted chose the online method (Witt, Donnellan, &Orlando, 2011). Other research found no significant differences between online and tele-phone survey respondents in their willingness to disclose sensitive personal information.The average response rate for online participants was approximately 10 percent lowerthan for telephone or mail surveys. Also, some 10 percent of online survey participantswere found to engage in excessive clicking and mouse movements when responding (Fan& Yan, 2010; Hines, Douglas, & Mahmood, 2010; Stieger & Reips, 2010).
It is difficult to determine how honest and accurate online subjects will be when theyprovide personal information on factors such as age, gender, ethnic origin, education, orincome. Nevertheless, a significant number of studies comparing online and traditionallaboratory research methods show that the results are, in general, consistent and similar.
The Correlational Method
In the Correlational method, researchers investigate the relationships that exist amongvariables. Rather than manipulating an independent variable, the experimenters deal withthe variable’s existing attributes. For example, instead of experimentally creating stressful
correlational methodA statistical techniquethat measures thedegree of the relation-ship between twovariables, expressed bythe correlationcoefficient.
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situations in subjects in the psychology lab and observing the effects, researchers canstudy people who already function in stressful situations—such as police officers, racecar drivers, or college students suffering from test anxiety.
Another way the correlational method differs from the experimental method is that in thecorrelational approach subjects are not assigned to experimental and control groups. Instead,subjects who differ on an independent variable—such as age, gender, order of birth, level ofaggressiveness, or degree of neuroticism—are compared with their performance on somedependent variable, such as personality test responses or job performance measures.
Applying the Correlational Method Researchers applying the correlational methodare interested in the relationship between the variables—in how behavior on one variablechanges or differs as a function of the other variable. For example, is birth order relatedto aggressiveness? Do people who score high on an IQ test make better computer scien-tists than people who score low? Do people with high anxiety use social media to agreater extent than those low in anxiety? The answers to such questions are useful notonly in research but also in real-world situations where predictions have to be madeabout a person’s chances of success. The college entrance examinations you took arebased on correlational studies that show the relationship between the two variables ofstandardized test scores and classroom success.
Suppose a psychologist wanted to determine whether people high in the need forachievement earn higher grades in college than people low in the need for achievement.Using the correlational method, the psychologist would measure the achievement-needlevels of a group of already admitted college students using a self-report inventory andcompare them with their grades. The independent variable (the different levels of theneed for achievement, from high to low) was not manipulated or changed in this case.The researcher worked with existing data and found that students high in the need forachievement did earn higher grades than students low in the need for achievement(Atkinson, Lens, & O’Malley, 1976).
We will see many examples of the use of the correlational method in personalityresearch throughout the book, especially in discussions of the development of assessmenttechniques. The reliability and validity of assessment devices are typically determinedthrough the correlational method. In addition, many facets of personality have beenstudied by correlating them with other variables.
The Correlation Coefficient The primary statistical measure of correlation is thecorrelation coefficient, which provides precise information about the direction and strengthof the relationship between two variables. The direction of the relationship can be positiveor negative. If high scores on one variable accompany high scores on the other variable,the direction is positive. If high scores on one variable accompany low scores on theother variable, the direction is negative (see Figure 1.2). Correlation coefficients range fromþ1.00 (a perfect positive correlation) to �1.00 (a perfect negative correlation). The closerthe correlation coefficient is to þ1.00 or �1.00, the stronger the relationship and the moreconfidently we can make predictions about one variable from the other.
Cause and Effect The primary limitation of the correlational method relates to thematter of cause and effect. Just because two variables show a high correlation with eachother, we cannot conclude that one has caused the other. There may indeed be such arelationship, but researchers cannot automatically conclude that one exists, as they canwith a well-controlled, systematic experiment.
Suppose a psychologist found a strong negative relationship between the two person-ality variables of shyness and self-esteem: The higher the level of shyness, the lower the
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level of self-esteem. Conversely, the lower the level of shyness, the higher the level of self-esteem. The relationship is clear and straightforward: People who are shy tend to scorelow on measures of self-esteem. We cannot conclude with certainty, however, that beingshy causes people to have low self-esteem. It could be the other way around. Maybe lowself-esteem causes people to be shy. Or perhaps some other variable, such as physicalappearance or parental rejection, could cause both shyness and low self-esteem.
This restriction on drawing conclusions from correlational research presents problemsfor researchers, whose goal is to identify specific causes. However, for practitioners,whose goal is to predict behavior in the real world, the correlational method is extremelysatisfactory. To be able to predict success in college on the basis of the need for achieve-ment, for example, we need only establish that the two variables have a high correlation.
If a college applicant scores high on a test of the need for achievement, we can predictthat he or she will earn good grades in college. In this case, we are not concerned withdetermining whether the level of the achievement need causes good academic perfor-mance, only with whether the two variables are related and whether one can be predictedfrom the other.
The Role of Theory in Personality Theories
Theories are sometimes referred to in dismissive and contemptuous terms. “After all,”people may say, “it’s only a theory!” It is popular to assume that a theory is somethingvery vague, abstract, and speculative—really no more than a hunch or a guess and quitethe opposite of a fact. It is true that a theory without research evidence to support it isspeculation. However, a mass of research data can be meaningless unless and until itis organized into some sort of explanatory framework or context. A theory providesthat framework for describing empirical data in a meaningful way. A theory can be con-sidered a kind of map that represents and explains all the data in their interrelationships.It attempts to bring order to the data, to fit them into a meaningful pattern.
Theories are sets of principles used to explain a particular class of phenomena—inour case, the behaviors and experiences relating to personality. If personality theoriesare to be useful, they must be testable, capable of stimulating research on their variouspropositions. Researchers must be able to collect data through one or more of theresearch methods we talked about earlier to determine whether aspects of the theoryshould be accepted or rejected.
••
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1 2 3 4 5
A high positive correlation
X
1 2 3 4 5
A high negative correlation
X
FIGURE 1.2Graphs of high positiveand high negativecorrelations.
Chapter 1: Personality: What It Is and Why You Should Care 29
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Personality theories must be able to clarify and explain the data of personality byorganizing those data into a coherent framework. Theories should also help us under-stand and predict behavior. Those theories that can be tested and can explain, under-stand, and predict behavior may then be applied to help people change their behaviors,feelings, and emotions from harmful to helpful, from undesirable to desirable.
The Autobiographical Nature of Personality Theories
We saw that the intent of theories is toward greater objectivity. However, psychologistshave long recognized that some personality theories have a subjective component, whichmay reflect events in the theorist’s life as a sort of disguised autobiography. The theoristmay draw on these events as a source of data to describe and support his or her theory.No matter how hard scientists try to be impartial and objective, their personal viewpointis likely to influence their perception to some degree. This should not surprise us. Per-sonality theorists are human too, as we will see, and like most of us they sometimes findit hard to accept ideas that diverge from their own experience.
In order to understand a personality theory fully then, we should learn somethingabout the life of the person who proposed it. It is important to consider how the devel-opment of a theory may have been influenced by specific events in a theorist’s life. Incases where sufficient biographical information is available, we will see examples of howa theory reflects those events. At least initially, the theorist may have been describinghimself or herself. Later, the theorist may have sought appropriate data from othersources to support the generalization of that personal view to others.
The significance of personal events in a theorist’s life has long been recognized.William James, who is considered by many to have been the greatest American psychol-ogist, believed that biography was a crucial subject for anyone who attempts to studyhuman nature. He argued that it was even more important to understand eminent per-sons’ lives than it was to know their theories or systems if we wanted to learn about thedifferent ways people approach human experience. Freud put it succinctly and clearly,when he wrote that his most important patient—the one from whom he learned themost about personality—was himself.
One historian noted that “More than any other professional discipline, psychologistshave sought to publish biographical and autobiographical sketches of those in theircalling…. At some level, at least, they seem to have acknowledged that their lives andvalues are the key to their ‘scientific knowledge’” (Friedman, 1996, p. 221).
We shall see many examples of the autobiographical nature of personality theories, butwe must also introduce a note of caution into this intriguing relationship between theoryand real life. Perhaps it is not the person’s life experiences that influence the developmentof the theory. Maybe it’s the other way around. Perhaps the theory influences what thetheorists remember and choose to tell us about their lives. Much of our informationabout a theorist’s life comes from autobiographical recollections. These accounts are usu-ally written late in life, after the person has proposed and defended the theory.
The time spent developing a theory and affirming a public commitment to it maydistort the theorist’s memories of his or her earlier years. Does the person recall onlythose life events that support the theory? Are contradictory or troublesome events con-veniently forgotten? Are experiences invented to enhance a theory’s credibility? Althoughwe cannot always answer these questions, we should keep them in mind while weexplore the notion that personality theories may be at least partly autobiographical.
In the end, it may be a question you will have to answer for yourself, recognizing thatperhaps experiences in your own life may influence how you come to understand andjudge the lives of others—and their theories of personality.
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Questions about Human Nature: What AreWe Like?
An important aspect of any personality theory is the image of human nature it repre-sents. Each theorist has a conception of human nature that addresses the basic issues ofwhat it means to be human. For centuries, poets, philosophers, and artists have phrasedand rephrased these questions, and we see their attempts at answers in our great booksand paintings. Personality theorists, too, have addressed these troubling questions andhave reached no greater consensus than artists or writers.
The various conceptions of human nature offered by the theorists allow for a mean-ingful comparison of their views. These ideas are frameworks within which the theoristsperceive themselves and other people and then construct their theories. The followingtext describes the issues that define a theorist’s image of human nature. As we discusseach theory, we will consider how the theorist deals with these fundamental issues.
Are We in Charge of Our Lives? Free Will versus Determinism
A basic question about human nature concerns the age-old controversy between free willand determinism. Theorists on both sides of the issue ask, can we consciously direct thecourse of our actions? Can we spontaneously choose the direction of our thoughts andbehavior, rationally selecting among alternatives? Do we have a conscious awareness anda measure of self-control? Are we masters of our fate, or are we victims of past experi-ence, biological factors, unconscious forces, or external stimuli—forces over which wehave no conscious control?
Have external events so shaped our personality that we are incapable of changing ourbehavior? Some personality theorists take extreme positions on this issue. Others expressmore moderate views, arguing that some behaviors are determined by past events andsome can be spontaneous and under our control.
What Dominates Us? Our Inherited Nature or Our NurturingEnvironment?
A second issue has to do with the nature–nurture controversy. Which is the moreimportant influence on behavior: inherited traits and attributes (our nature or geneticendowment) or features of our environment (the nurturing influences of our upbring-ing, education, and training)? Do the abilities, temperaments, and predispositions weinherit determine our personality, or are we shaped more strongly by the conditionsunder which we live? Personality is not the only topic affected by this issue. Contro-versy also exists about the question of intelligence: Is intelligence affected more bygenetic endowment (nature) or by the stimulation provided by home and school set-tings (nurture)?
As with the free will–determinism issue, the alternatives are not limited to extremepositions. Many theorists assume that personality is shaped by both sets of forces. Tosome, inheritance is the predominant influence and environment of minor importance;others hold the opposite view.
Are We Dependent or Independent of Childhood?
A third issue involves the relative importance of our early childhood experiences, com-pared with events that occur later in life. Which is the more powerful shaper of person-ality? If we assume, as some theorists do, that what happens to us in infancy andchildhood is critical to personality formation, then we must consequently believe that
Chapter 1: Personality: What It Is and Why You Should Care 31
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our later development is little more than an elaboration of the basic themes laid down inthe early years of life. This view is known as historical determinism. Our personality (sothis line of thought goes) is mostly fixed by the age of 5 or so and is subject to littlechange over the rest of our life. The adult personality is determined by the nature ofthese early experiences.
The opposite position considers personality to be more independent of the past,capable of being influenced by events and experiences in the present as well as byour aspirations, hopes, and goals for the future. An intermediate position has alsobeen proposed. We might assume that early experiences shape personality but not rig-idly or permanently. Later experiences may act to reinforce or modify early personal-ity patterns.
Is Human Nature Unique or Universal?
Is human nature unique or universal? This is another issue that divides personality the-orists. We may think of personality as so individual that each person’s action, each utter-ance, has no counterpart or equivalent in any other person. This obviously makes thecomparison of one person with another meaningless. Other positions allow for unique-ness but interpret this within overall patterns of behavior accepted as universal, at leastwithin a given culture.
Our Life Goals: Satisfaction or Growth?
A fifth issue involves what we might call our ultimate and necessary life goals. Theoristsdiffer on what constitutes our major motivation in life. Do we function like machines,like some sort of self-regulating mechanism, content as long as some internal equilibriumor balance is maintained? Do we act solely to satisfy physical needs, to obtain pleasureand avoid pain? Is our happiness totally dependent on keeping stress to a minimum?Some theorists believe that people are little more than tension-reducing, pleasure-seeking animals. Others consider us to be motivated primarily by the need to grow, torealize our full potential, and to reach for ever-higher levels of self-actualization, devel-opment, and fulfillment.
Our Outlook: Optimism or Pessimism?
One final issue reflects a theorist’s outlook on life—optimism versus pessimism. Arehuman beings basically good or evil, kind or cruel, compassionate or merciless? Herewe are dealing with a question of morality, a value judgment, which supposedly has noplace in the objective and dispassionate world of science.
However, several theorists have dealt with the question and, as we shall see, it hasspawned a vital body of research. Some theorists’ views of the human personality aremore positive and hopeful, depicting us as humanitarian, altruistic, and socially con-scious. Other theorists find few of these qualities in human beings, either individually orcollectively.
Our general image of human nature is the lens through which we perceive, assess,judge, and interact with other people in our culture. It also represents how we defineourselves. The significance of this is to point out to you that there are many sources ofinfluence on the growth and development of the human personality, and diverse ways ofexplaining human nature. Perhaps one or more of the explanations we describe in thisbook will be congenial to you, or perhaps they will clash with your views and your ownimage of human nature. Few of us can approach this topic without preconceptionsbecause it is, after all, the study of ourselves.
historical determinismThe view that person-ality is basically fixed inthe early years of lifeand subject to littlechange thereafter.
32 Chapter 1: Personality: What It Is and Why You Should Care
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Chapter Summary
Personality can be defined as an enduring, unique clus-ter of characteristics that may change in different situa-tions. Differences in gender, ethnicity, and culturalbackground can influence personality developmentand the results of personality assessment tests. Researchin cross-cultural psychology shows how personality canvary from one culture or country to the next. TheInternet shapes and reflects personality primarilythrough social networking sites such as Facebook.
Techniques for assessing or measuring personalitymust be reliable (defined as the consistency ofresponses on a test) and valid (the degree to whichthe test measures what it is intended to measure).The resulting assessment of personality can be influ-enced by the subject’s gender and ethnic identity andby the test administrator’s attitudes and beliefs.
Self-report inventories, in which people report ontheir own behavior and feelings in various situations,are objective in that scores are not influenced by per-sonal or theoretical biases. Most self-report inventoriescan be administered online. Projective techniquesattempt to probe the unconscious by having peopleproject their needs, fears, and values into their interpre-tation of ambiguous figures or situations. Projectivetechniques are subjective, low in reliability and validity,and usually poorly standardized.
Clinical interviews are used to assess personality, butthe interpretation of interview results is subjective. Inbehavioral assessment, an observer evaluates a subject’sresponses in specific situations. In thought and experi-ence sampling, people record their thoughts, feelings,and experiences over a period of time.
People from collectivist societies, such as Asiancountries, tend to score lower on factors such as self-enhancement and higher on pessimism, negative affec-tivity, and psychological distress than people frommore individualistic societies such as the United States.Studies of the responses of Blacks and Whites on theMMPI reveal no significant differences as a function ofrace. Hispanics tend to obtain scores similar to those ofWhites on the MMPI but not on projective techniques.
Translations of personality tests must take into accountthe nature of other cultures with regard to the ques-tions that may be asked, the translated wording, andthe way in which the questions are to be answered.
Psychological research methods include the clinical,experimental, virtual, and correlational approaches.Research requires objective observation, controlled andsystematic conditions, and duplication and verifiability.The clinical method relies on case studies, in which psy-chologists reconstruct patients’ lives to find clues to theirpresent emotional problems. The clinical approach doesnot satisfy the requirements of psychological research aswell as the experimental and correlational methods do.
The experimental method is the most preciseresearch method. Using this method, psychologistscan determine the effect of a single variable or stimuluson the subjects’ behavior. The variable being studied(i.e., the stimulus to which the subjects are exposed)is the independent variable; the subjects’ responses orbehavior is the dependent variable. Internet researchoffers a faster and less expensive alternative as well asaccess to a broader range of subjects. Online researchhas limitations but studies show that it produces resultssimilar to those of laboratory research.
In the correlational method, psychologists study therelationship between two variables to determine howbehavior on one variable changes as a function of theother. The correlation coefficient, the primary statisti-cal measure of correlation, indicates the direction andintensity of the relationship.
A theory provides a framework for simplifying anddescribing data in a meaningful way. Some personalitytheories may be partly autobiographical, reflecting atheorist’s life experiences. Personality theorists presentdifferent images of human nature. Some of the issueson which they differ are: free will versus determinism,nature versus nurture, the importance of the past ver-sus the present, uniqueness versus universality, equilib-rium versus growth, and optimism versus pessimism.Cultural factors, such as child-rearing practices, canlead to different images of human nature.
Review Questions
1. In what ways does our personality influence oureventual success in interpersonal relations, in ourcareer, and in our general level of health andhappiness?
2. Describe various ways of defining personality.3. Give examples of how the Internet can both shape
and reflect our personality.
Chapter 1: Personality: What It Is and Why You Should Care 33
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4. In what ways do the personalities of those whospend considerable time using Facebook differfrom the personalities of those who spend lesstime using it?
5. In what ways may gender and ethnic factors affectthe study and assessment of personality?
6. Describe cross-cultural psychology and its impacton the study of personality.
7. Give examples of everyday situations that involvethe assessment of personality. Recount your ownexperience of having your personality evaluated.
8. How would low reliability and validity of anassessment technique affect its usefulness inselecting new employees for a job?
9. Distinguish between self-report techniques andprojective techniques for assessing personality.What are the advantages and disadvantages ofeach approach?
10. How did Hermann Rorschach develop hisinkblots? Why did he use only 10 of them?
11. Discuss the advantages of online testadministration.
12. Give examples of the behavioral and the thoughtsampling procedures for assessing personality.
13. What are some limitations of the experiencesampling method? How do the data this method
provides compare with data from self-reportinventories?
14. Give examples of ways in which the personalityassessment process can be influenced by a sub-ject’s ethnic background.
15. What problems are involved in translating a self-report test developed in the United States for usein a different culture? Give an example of onesuch problem.
16. Describe the advantages and disadvantages of thecase study approach.
17. What three requirements of scientific research aremet by the experimental method?
18. Discuss the advantages and limitations of usingthe Internet for psychological research as com-pared to more traditional research conducted ina laboratory.
19. Give an example of personality research that usesthe correlational method.
20. How might cultural factors affect our image ofhuman nature? Give examples.
21. We asked six questions in our discussion ofhuman nature. Write down your thoughts onthese issues. At the end of the book, you will beasked to reconsider these questions to see howyour views might have changed.
Suggested Readings
Archer, R., & Smith, S. (2014). Personality assessment(2nd ed.). New York: Routledge. An introduction toways of assessing personality, including the MMPIand other self-report inventories, as well as projec-tive techniques such as the Rorschach and the TAT.
Elms, A. C. (1994). Uncovering lives: The uneasy alli-ance of biography and psychology. New York:Oxford University Press. Contains insightful psy-chological portraits of writers, political leaders, andpersonality theorists, including Freud, Jung, Allport,and Skinner.
Funder, D. (2012). The personality puzzle (6th ed.).New York: Norton. An easy-to-read introduction topersonality, covering all aspect of the field, includingapplications and theories.
Gosling, S., & Johnson, J. (2010). Advanced methods forconducting online behavioral research. Washington,DC: American Psychological Association. A primer
for conducting online research, including recruitingsubjects, research ethics, data security, and datatracking. Deals with surveys and experimentalapproaches; for sophisticated computer users.
Kaplan, R., & Saccuzzo, D. (2012). Psychological testing:principles, applications and issues (8th ed.). Belmont,CA: Cengage. All you need to know about psycho-logical assessment and testing. Covers correlations,interviewing techniques and various forms ofassessment in real-world situations such ascounseling and job applications.
Robins, R., Fraley, R., & Krueger, R. (2007). Handbookof research methods in psychology. New York:Guilford. A clear introduction to the wide range ofresearch approaches to the study of personality,including experimental, longitudinal, biographical,genetic, self-report, projective, neuroscience, andonline research.
34 Chapter 1: Personality: What It Is and Why You Should Care
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The Psychoanalytic Approach
The earliest approach to the formal study of personality was psychoanalysis, thecreation of Sigmund Freud, who began his work in the closing years of the19th century. Nearly every personality theory developed in the years sinceFreud’s work owes a debt to his position—either building on it or opposing it.
Psychoanalysis as Freud conceived it emphasized unconscious forces, biologi-cally based drives of sex and aggression, and unavoidable conflicts in early child-hood. These were considered the rulers and shapers of our personality.
Freud’s views had an impact not only on psychology but also on the generalculture. He succeeded in redefining the human personality and revolutionizingour ways of thinking about human nature—about who we are.
35
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chapter 2Sigmund Freud:Psychoanalysis Turn your eyes inward,
look into your own depths,learn to first knowyourself.
—Sigmund Freud
The Life of Freud (1856–1939)The Early YearsThe Cocaine EpisodeFinding the Sexual Basis of NeurosisChildhood Sexual Abuse: Fact or Fantasy?Freud’s Own Sex LifeFreud’s Neurotic EpisodeAnalyzing Freud’s DreamsFreud’s Ideas Attract AttentionFreud Comes to AmericaThe Final Years
Instincts: The Propelling Forces of the
PersonalityTwo Types of Instincts
The Levels of Personality
The Structure of PersonalityThe IdThe EgoThe Superego
Anxiety: A Threat to the EgoReality AnxietyNeurotic AnxietyMoral AnxietyThe Purpose of Anxiety
Defenses against AnxietyLying to Ourselves
Psychosexual Stages of Personality
Development
Growing up Is Not EasyThe Oral Stage: Taking In or Spitting OutThe Anal Stage: Letting Go or Holding BackThe Phallic StageThe Latency PeriodThe Genital StageThe Importance of Childhood
Questions about Human Nature
Assessment in Freud’s TheoryFree AssociationFree Association Is Not Always so FreeDream AnalysisUncovering the Conflicts
Criticisms of Freud’s ResearchFreud’s Negative Views on Experimental ResearchScientific Testing of Freudian Concepts
Extensions of Freudian TheoryEgo Psychology: Anna Freud
Reflections on Freud’s TheoryThe Decline of Freudian PsychotherapyCriticisms of PsychoanalysisFreud’s Lasting Influence
Chapter Summary
Review Questions
Suggested Readings
It is no exaggeration to say that personality theory has been influenced more bySigmund Freud than by anyone else. His system of psychoanalysis was the first for-mal theory of personality and is still the best known. Not only did Freud’s work affectthinking about personality in psychology and psychiatry, but it also made a tremendousimpact on the way we look at human nature in general. Few ideas in the history of civi-lization have had such a broad and profound influence. When he died in 1939, the NewYork Times noted his passing in an editorial stating that Freud was “the most effectivedisturber of complacency in our time” (quoted in Bakalar, 2011, p. D7).
psychoanalysisSigmund Freud’stheory of personalityand system of therapyfor treating mentaldisorders.
FairUse
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Many of the personality theories proposed after Freud are derivatives of or ela-borations on his basic work. Others owe their impetus and direction in part to theiropposition to Freud’s psychoanalysis. It would be difficult to comprehend andassess the development of the field of personality without first understandingFreud’s system.
The Life of Freud (1856–1939)
The Early Years
Freud was born in 1856, in Freiberg, Moravia, which is now the town of Pribor, in theCzech Republic. His father was a relatively unsuccessful wool merchant. When his busi-ness failed in Moravia, he moved the family to Leipzig, Germany, and then later, whenFreud was 4, to Vienna, where Freud remained for almost 80 years.
When Freud was born his father was 40 years old and his mother (his father’s thirdwife) was only 20. The father was strict and authoritarian. Freud later remembered howmuch hostility and anger he felt toward him when he was growing up. He also feltsuperior to his father as early as age 2. Freud’s mother was very attractive and she wasextremely protective and loving toward Sigmund, her first son. Freud felt a passionate,even sexual attachment to her, a relationship that set the stage for his concept of theOedipus complex. As we will see, much of Freud’s theory reflected and built on hisown experiences as a child.
Freud’s mother took pride in young Sigmund, convinced he would become a greatman. Among Freud’s lifelong personality characteristics were a high degree of self-confidence, an intense ambition to succeed, and dreams of glory and fame. Showing theimpact of his mother’s continuing attention and support he wrote: “A man who has beenthe indisputable favorite of his mother keeps for life the feeling of a conqueror, that con-fidence of success that often induces real success” (quoted in Jones, 1953, p. 5). Therewere eight children in the Freud family, two of them his adult halfbrothers with childrenof their own. Freud resented them all and grew jealous whenever another competitor forhis mother’s full-time attention and affection was born.
From an early age he exhibited a high level of intelligence, which his parents helpedto foster. His sisters were not allowed to practice the piano lest the noise disturb Freud’sstudies. He was given a room of his own; he often took his meals there so as not to losetime from his studies. The room was the only one in the apartment to contain a prizedoil lamp; the rest of the family had to use candles.
Freud entered high school a year earlier than was typical and was frequently at thehead of his class. He was fluent in German and Hebrew, and mastered Latin, Greek,French, and English in school and taught himself Italian and Spanish. As a youngsterhe enjoyed reading Shakespeare in English. Freud had many interests, including militaryhistory, but when it came time to choose a career from among the few professions thatwere open to Jews in Vienna, he settled on medicine.
It was not that he wanted to become a physician but rather he believed that the studyof medicine would lead to a career in scientific research, which would in turn bring himthe fame he so strongly wanted and felt he deserved.
The Cocaine Episode
While in medical school, Freud began to experiment with cocaine, which at that timewas not an illegal substance. He took the drug himself and persuaded his fiancée, sisters,and friends to try it. Freud called cocaine a miracle drug and claimed it eased his depres-sion and chronic indigestion. He “continued to use cocaine to make bad days good and
38 The Psychoanalytic Approach
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good days better. Cocaine thrilled him in a manner that everyday life could not. Hewrote romantic, often erotic letters to his fiancée [and] dreamed grandiose dreams ofhis future career” (Markel, 2011, p. 81).
In 1884, he published an article about cocaine’s beneficial effects, thinking it wouldmake him famous. But that was not to be. This article was later judged to be a majorcontributor to the epidemic of cocaine use which swept over Europe and the UnitedStates, lasting well into the 1920s. Freud was strongly criticized for his part in unleashingthe cocaine plague.
The publicity later brought him infamy rather than fame, and for the rest of his lifehe tried to erase his earlier endorsements of cocaine, deleting all references to it from hisown bibliography. However, he continued to use cocaine well into middle age (Freud,1985). He apparently took it from 1884 to 1896, and then switched to wine. In June1899, he wrote to a friend, “I am gradually becoming accustomed to the wine; it seemslike an old friend. I plan to drink a lot of it in July” (quoted in Markel, 2011, p. 177).
Finding the Sexual Basis of Neurosis
Freud was discouraged from pursuing his intended career in scientific research when hismajor professor told him that it would be many years before he could obtain a profes-sorship and support himself financially. Because he lacked an independent income, hebelieved his only choice was to enter private practice. A further impetus was his engage-ment to Martha Bernays, which lasted 4 years before they could afford to marry. Freudestablished practice as a clinical neurologist in 1881 and began his exploration of thepersonalities of people suffering from emotional disorders.
He studied several months in Paris with the psychiatrist Jean Martin Charcot, a pio-neer in the use of hypnosis, who alerted Freud to the possible sexual basis of neurosis.Freud overheard Charcot say that a particular patient’s problem was sexual in origin. “Inthis sort of case,” Charcot said, “it’s always a question of the genitals—always, always,always” (Charcot quoted in Freud, 1914, p. 14).
Freud noted that while Charcot was discussing this issue he “crossed his hands in hislap and jumped up and down several times…. for a moment I was almost paralyzed withastonishment” (Freud quoted in Prochnik, 2006, p. 135).
When Freud returned to Vienna, he was again reminded of the possible sexual originof emotional problems. A colleague described a woman patient’s anxiety, which the ther-apist believed stemmed from her husband’s impotence. The husband had never had sex-ual relations with his wife in 18 years of marriage.
“The sole prescription for such a malady,” Freud’s colleague said, “is familiar enoughto us, but we cannot order it. It runs: Penis normalis dosim repetatur!” (quoted in Freud,1914, p. 14). As a result of these incidents, and his own sexual conflicts, Freud was led toconsider the possibility of a sexual basis for emotional disturbance.
Childhood Sexual Abuse: Fact or Fantasy?
After several years in clinical practice, Freud was increasingly convinced that sexual con-flicts were the primary cause of all neuroses. He claimed that the majority of his womenpatients reported traumatic sexual experiences from their childhoods. These events resem-bled seduction, with the seducer usually being an older male relative, typically the father.Today we call such experiences child abuse, and they often involve rape or incest. Freudbelieved that it was these early sexual traumas that caused neurotic behavior in adulthood.
About a year after he published this theory, Freud changed his mind and announcedthat in most cases the childhood sexual abuse his patients told him about had never
Chapter 2: Sigmund Freud: Psychoanalysis 39
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really happened. They had been telling him fantasies, Freud claimed. At first, this was astunning blow, for it seemed that the foundation of his theory of neurosis had beenundermined. How could childhood sexual traumas be the cause of neurotic behavior ifthey had never happened?
On further reflection, Freud concluded that the fantasies his patients described werequite real to them. They believed that the shocking sexual events had actually happened.Because the fantasies still focused on sex, then sex remained the cause of adult neuroses.In 1898, he wrote that “the most immediate and most significant causes of neurotic ill-ness are to be found in factors arising from sexual life” (quoted in Breger, 2000, p. 117).
It is important to note that Freud never claimed that all the childhood sexual abuseshis patients reported were fantasies; what he did deny was that his patients’ reports werealways true. It was, Freud wrote, “hardly credible that perverted acts against childrenwere so general” (Freud, 1954, pp. 215–216).
Today we know that childhood sexual abuse is much more common than oncethought, which led contemporary scholars to suggest that Freud’s original interpretationof the seduction experiences may have been correct. We do not know whether Freuddeliberately suppressed the truth, perhaps to make his theory more acceptable, orwhether he genuinely believed that his patients were describing fantasies. It may well bethat “more of Freud’s patients were telling the truth about their childhood experiencesthan [Freud] was ultimately prepared to believe” (Crewsdon, 1988, p. 41).
Ten years after Freud changed his mind and announced that childhood seduction sce-narios were fantasies, he admitted in a letter to a friend that such traumatic experienceswere frequently genuine. A few years later he confided to another friend that “I havemyself analyzed and cured several cases of real incest (of the most severe kind)” (quotesfrom Kahr, 2010, p. 4).
The conclusion that child sexual abuse occurred more often than Freud was willing toadmit publicly was reached by one of Freud’s disciples in the 1930s, and Freud tried tosuppress the publication of his ideas. It has also been suggested that Freud changed hisposition on the seduction theory because he realized that if sexual abuse was so wide-spread, then many fathers (including perhaps his own) would be considered suspect ofperverse acts against their children (Krüll, 1986).
Freud’s Own Sex Life
It is a paradox that Freud, who emphasized the importance of sex in emotional life,experienced so many personal sexual conflicts. He “had no contact with members ofthe opposite sex throughout [his early years]. He was decidedly shy and afraid ofwomen and was a virgin when he married at age 30” (Breger, 2009, p. 11). His attitudetoward sex was negative. He wrote about the dangers of sex, even for those who were notneurotic, and urged people to rise above what he called the common animal need for sex.
The sex act was degrading, he wrote, because it contaminated both mind and body. Heapparently ended his own sex life at the age of 41, writing to a friend: “sexual excitation isof no more use to a person like me” (Freud, 1954, p. 227). He occasionally had been impo-tent during his marriage and had sometimes chosen to abstain from sex because he dis-liked condoms and coitus interruptus, the standard birth control methods of the day.
Freud blamed his wife, Martha, for the termination of his sex life, and for many yearshe had dreams involving his resentment toward her for forcing him to abandon sex. “Hefelt resentful because she became pregnant so easily, because she often became ill duringher pregnancies, and because she refused to engage in any kind of sexual activity beyond[procreative acts]” (Elms, 1994, p. 45). Thus, Freud’s periods of impotence may also havebeen related to his fear that Martha would become pregnant again.
40 The Psychoanalytic Approach
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Freud’s Neurotic Episode
Freud’s personal frustrations and conflicts about sex surfaced in the form of neuroses, inthe same way he believed sexual difficulties affected his patients. In his 40s, he experi-enced a severe neurotic episode, which he described as involving “odd states of mindnot intelligible to consciousness—cloudy thoughts and veiled doubts, with barely hereand there a ray of light…. I still do not know what has been happening to me” (Freud,1954, pp. 210–212). He was also troubled by a variety of physical symptoms, includingmigraine headaches, urinary problems, and a spastic colon. He worried about dying,feared for his heart, and became anxious about travel and open spaces. It was not ahappy time for him.
Freud diagnosed his condition as anxiety neurosis and neurasthenia—a neurotic condi-tion characterized by weakness, worry, and disturbances of digestion and circulation. Hetraced both disturbances to an accumulation of sexual tension. In his writings, he proposedthat neurasthenia in men resulted from masturbation, and anxiety neurosis arose fromabnormal sexual practices such as coitus interruptus and abstinence. By so labeling hissymptoms, “his personal life was thus deeply involved in this particular theory, since withits help he was trying to interpret and solve his own problems…. Freud’s theory of actualneurosis is thus a theory of his own neurotic symptoms” (Krüll, 1986, pp. 14, 20).
Despite Freud’s personal conflicts about sex (or perhaps because of them), he was fas-cinated by beautiful women. A friend noted that “among [Freud’s] students there were somany attractive women that it began to look like more than a matter of chance”(Roazen, 1993, p. 138).
Analyzing Freud’s Dreams
Freud psychoanalyzed himself through the study of his own dreams, a process he contin-ued for the rest of his life. When he started, he wrote to a friend that “The chief patient Iam busy with is myself” (quoted in Kandel, 2012, p. 63). It was during this period that heperformed his most creative work in developing his theory of personality. Through theexploration of his dreams, he realized, for the first time, how much hostility he felttoward his father. He recalled his childhood sexual longings for his mother and dreamedof a sex wish toward his eldest daughter. Thus, he formulated much of his theory aroundhis own neurotic conflicts and childhood experiences, as filtered through his interpreta-tions of his dreams. As he perceptively observed, “The most important patient for mewas my own person” (Freud quoted in Gay, 1988, p. 96).
Freud’s Ideas Attract Attention
As his work became known through published articles and books as well as papers pre-sented at scientific meetings, Freud attracted a group of disciples who met with him oncea week to learn about his new system. The topic of their first meeting was the psychologyof cigar making. One writer referred to the group as a second-rate “collection of mar-ginal neurotics” (Gardner, 1993, p. 51). Freud’s daughter Anna described the early disci-ples a bit more charitably as the “unconventional ones, the doubters, those who weredissatisfied with the limitations imposed on knowledge; also among them were the oddones, the dreamers, and those who knew neurotic suffering from their own experience”(quoted in Coles, 1998, p. 144).
The disciples included Carl Jung and Alfred Adler, who later broke with Freud todevelop their own theories. Freud considered them traitors to the cause, and he neverforgave them for disputing his approach to psychoanalysis. At a family dinner, he com-plained about his followers’ disloyalty. “The trouble with you, Sigi,” said his aunt, “is thatyou just don’t understand people” (quoted in Hilgard, 1987, p. 641).
Chapter 2: Sigmund Freud: Psychoanalysis 41
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At home, Freud led a disciplined and regimented life. His daughter-in-law remarked,“The Freuds had their noontime meal, the main meal in Vienna, at the stroke ofone, and war or no war, you had to be there on time or not eat” (quoted in Berman,2008, p. 561).
Freud Comes to America
In 1909, Freud received formal recognition from the American psychologicalcommunity. He was invited to give a series of lectures at Clark University in Worcester,Massachusetts, and to receive an honorary doctoral degree. Although grateful for thehonor, Freud did not like the United States, and complained about its informality, badcooking, and scarcity of bathrooms. Although he had been troubled by gastrointestinalproblems for many years prior to his visit, “he blamed the New World for ruining hisdigestion” (Prochnik, 2006, p. 35).
Freud’s system of psychoanalysis was warmly welcomed in the United States. Twoyears after his visit, American followers founded the American Psychoanalytic Associa-tion and the New York Psychoanalytic Society. Over the next few years, psychoanalyticsocieties were established in Boston, Chicago, and Washington DC.
In 1920, only 11 years after his visit to America, more than 200 books on his workhad been published in the United States (Abma, 2004). Leading U.S. magazines such asTime, Ladies’ Home Journal, and The New Republic featured articles about Freud. Dr.Benjamin Spock’s phenomenally successful baby and child care books that influencedthe raising of several generations of America children were based on Freud’s teachings.Freud’s work on dreams even inspired a popular song that included the line: “Don’t tellme what you dream’d last night—For I’ve been reading Freud” (quoted in Fancher, 2000,p. 1026). America may have made Freud sick, so he claimed, but it also helped bring himworldwide fame.
The Final Years
During the 1920s and 1930s, Freud reached the pinnacle of his success, but at the sametime his health began to deteriorate seriously. From 1923 until his death 16 years later,he underwent 33 operations for cancer of the mouth, perhaps as a result of his smoking20 cigars daily. Portions of his palate and upper jaw were surgically removed, and heexperienced almost constant pain, for which he refused medication. He also receivedX-ray and radium treatments and even had a vasectomy, which some physicians thoughtwould halt the growth of the cancer.
When the Nazis came to power in Germany in 1933, they expressed their feelingsabout Freud by publicly burning his books, along with those of other so-called “enemiesof the state,” such as the physicist Albert Einstein and the writer Ernest Hemingway.“What progress we are making,” Freud wrote. “In the Middle Ages they would haveburnt me; nowadays they are content with burning my books” (Freud quoted in Jones,1957, p. 182).
In 1938, the Nazis occupied Austria, but despite the urgings of his friends, Freudrefused to leave Vienna. Several times gangs of Nazis invaded his home. It was notuntil his daughter Anna was arrested (and later released) that Freud agreed to leave forLondon. Four of his sisters died in Nazi concentration camps.
Freud’s health became even worse, but he remained mentally alert and continued towork almost to the last day of his life. By late September 1939, he told his physician, MaxSchur, “Now it’s nothing but torture and makes no sense any more” (quoted in Schur,1972, p. 529). The doctor had promised that he would not let Freud suffer needlessly. Headministered three injections of morphine over the next 24 hours, each dose greater thannecessary for sedation, and brought Freud’s long years of pain to an end.
42 The Psychoanalytic Approach
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LOG ON
Sigmund FreudVarious sites provide biographical information, discussions of his theory, research on rel-evant concepts, and links to other resources.
The Sigmund Freud Museum, LondonVisit the Freud Museum in London to see photos, depictions of Freud’s years in England,and furnishings from his home in Vienna, including the famous psychoanalytic couch.You can also purchase a Freud T-shirt, coffee mug, mouse pad, jigsaw puzzle, or beanie.
Library of Congress: Freud ExhibitionThe exhibition on Freud displayed at the Library of Congress in Washington DC, in1998, contains many photographs and other items of interest.
Instincts: The Propelling Forces of the Personality
Freud wrote that instincts were the basic elements of the personality, the motivatingforces that drive behavior and determine its direction. Freud’s German term for this con-cept is Trieb, which is a driving force or impulse (Bettelheim, 1984). Instincts are a formof energy—transformed physiological energy—that connects the needs of the body withthe wishes of the mind.
The stimuli for instincts—hunger and thirst, for example—are internal. When a needsuch as hunger is aroused in the body, it generates a state of physiological excitation orenergy. The mind transforms this bodily energy into a wish. It is this wish—the mentalrepresentation of the physiological need—that is the instinct or driving force that moti-vates the person to behave in a way that satisfies the need. A hungry person, for exam-ple, will look for food. The instinct is not the bodily state itself (the hunger). Rather, it isthe bodily need transformed into a mental state, a wish.
When the body is in such a state of need, the person experiences a feeling of tensionor pressure. The aim of an instinct is to satisfy the need and thereby reduce the tension.Freud’s theory is therefore a homeostatic approach, meaning that we are motivated torestore and maintain a condition of physiological equilibrium, or balance, to keep thebody free of tension.
Freud believed that we always experience a certain level or amount of instinctual ten-sion and that we must continually act to reduce it. It is not possible to escape the pres-sure of our physiological needs as we might escape some annoying stimulus in ourexternal environment. This means that instincts are always influencing our behavior, ina cycle of need leading to reduction of need.
People may take different paths to satisfy their needs. For example, the sex drive maybe satisfied by heterosexual behavior, homosexual behavior, or autosexual behavior, orthe sex drive may be channeled into a totally different form of activity. Freud believedthat psychic energy could be displaced to substitute objects, and this displacement wasof primary importance in determining an individual’s personality.
Although the instincts are the exclusive source of energy for human behavior, theresulting energy can be invested in a variety of activities. This helps explain the diversitywe see in human behavior. All the interests, preferences, and attitudes we display asadults were believed by Freud to be displacements of energy from the original objectsthat satisfied the instinctual needs.
instincts In Freud’ssystem, mental repre-sentations of internalstimuli, such as hunger,that drive a person totake certain actions.
Chapter 2: Sigmund Freud: Psychoanalysis 43
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Two Types of Instincts
Freud grouped the instincts into two categories: life instincts and death instincts.
The Life Instincts The life instincts serve the purpose of survival of the individualand the species by seeking to satisfy the needs for food, water, air, and sex.
The life instincts are oriented toward growth and development. The psychic energymanifested by the life instincts is the libido. The libido can be attached to or investedin objects, a concept Freud called cathexis. If you like your roommate, for example,Freud would say that your libido is cathected to him or her.
The life instinct Freud considered most important for the personality is sex, which hedefined in broad terms. He was not referring exclusively to the erotic, but also includedalmost all pleasurable behaviors and thoughts. He described his view as enlarging orextending the accepted concept of sexuality. He considered the sexual impulses toinclude “all of those merely affectionate and friendly impulses to which usage appliesthe exceedingly ambiguous word ‘love’ ” (Freud, 1925, p. 38).
Freud regarded sex as our primary motivation. Erotic wishes arise from the body’serogenous zones: the mouth, anus, and sex organs. He suggested that people are predom-inantly pleasure-seeking beings, and much of his personality theory revolves around thenecessity of inhibiting or suppressing our sexual longings.
The Death Instincts In opposition to the life instincts, Freud postulated the destruc-tive or death instincts. Drawing from biology, he stated the obvious fact that all livingthings decay and die, returning to their original inanimate state, and he believed thatpeople have an unconscious wish to die. One component of the death instincts is theaggressive drive, which he saw as the wish to die turned against objects other than theself. The aggressive drive compels us to destroy, conquer, and kill. Freud came to con-sider aggression as compelling a part of human nature as sex.
Freud developed the notion of the death instincts later in his life, as a reflection of hisown experiences. He endured the physiological and psychological debilitations of age, hiscancer got worse, and he witnessed the large-scale carnage of World War I. In addition,one of his daughters died at the age of 26, leaving two young children. All these eventsaffected him deeply, and, as a result, death and aggression became major themes in histheory, and in his own life as well. In his later years, Freud dreaded his own death, andexhibited high levels of hostility, hatred, and aggressiveness toward those colleagues anddisciples who disputed his views and left his psychoanalytic circle.
The concept of the death instincts achieved only limited acceptance, even amongFreud’s most dedicated followers. One psychoanalyst wrote that the idea should be “rele-gated to the dustbin of history” (Sulloway, 1979, p. 394). Another suggested that if Freudwere a genius, then the suggestion of the death instincts was an instance of a genius hav-ing a bad day (Eissler, 1971).
The Levels of Personality
Freud’s original conception divided personality into three levels: the conscious, the pre-conscious, and the unconscious. The conscious, as Freud defined the term, correspondsto its ordinary everyday meaning. It includes all the sensations and experiences of whichwe are aware at any given moment. As you read these words, for example, you may beconscious of the sight of the page, a message you want to send to a friend, and someoneplaying loud music next door.
Freud considered the conscious to be a limited aspect of personality because only asmall portion of our thoughts, sensations, and memories exists in conscious awareness
life instincts The drivefor ensuring survival ofthe individual and thespecies by satisfyingthe needs for food,water, air, and sex.
libido To Freud, theform of psychic energy,manifested by the lifeinstincts, that drives aperson toward plea-surable behaviors andthoughts.
cathexis An invest-ment of psychic energyin an object or person.
death instincts Theunconscious drivetoward decay,destruction, andaggression.
aggressive drive Thecompulsion to destroy,conquer, and kill.
44 The Psychoanalytic Approach
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at any one time. He likened the mind to an iceberg. The conscious is that part above thesurface of the water—the tip of the iceberg.
More important, according to Freud, is the unconscious, that larger, invisible portionbelow the surface. This is the focus of psychoanalytic theory. Its vast, dark depths are thehome of the instincts, those wishes and desires that direct our behavior. The unconsciouscontains the major driving power behind all behaviors and is the repository of forces wecannot see or control.
Between these two levels is the preconscious. This is the storehouse of all our memo-ries, perceptions, and thoughts of which we are not consciously aware at the moment butthat we can easily summon into consciousness. For example, in the unlikely event yourmind strays from this page and you begin to think about what you did last night, youwould be summoning up material from your preconscious into your conscious. Weoften find our attention shifting back and forth from experiences of the moment toevents and memories in the preconscious.
The Structure of Personality
The Id
Freud later revised this notion of three levels of personality and introduced in its place threebasic structures in the anatomy of the personality: the id, the ego, and the superego (seeFigure 2.1). The id corresponds to Freud’s earlier notion of the unconscious (although theego and superego have unconscious aspects as well). The id is the reservoir for the instinctsand libido (the psychic energy manifested by the instincts). The id is a powerful structure ofthe personality because it supplies all the energy for the other two components.
Because the id is the reservoir of the instincts, it is vitally and directly related to thesatisfaction of bodily needs. As we saw earlier, tension is produced when the body is in astate of need, and the person acts to reduce this tension by satisfying the need. The id
Conscious:Contact with outside world
Unconscious:Difficult to retrieve material;well below the surfaceof awareness
Preconscious:Material just beneath the surface ofawareness
EGOReality principle
Secondary process thinking
SUPEREGO
Moral imperativesID
Pleasure principlePrimary process thinking
FIGURE 2.1
Freud’s levels andstructures ofpersonality.
Source: From Weiten, Psychology: Themes and Variations, 2E. © 1992 Cengage Learning.
id To Freud, the aspectof personality alliedwith the instincts; thesource of psychicenergy, the id operatesaccording to the plea-sure principle.
Chapter 2: Sigmund Freud: Psychoanalysis 45
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operates in accordance with what Freud called the pleasure principle. Through its con-cern with tension reduction, the id functions to increase pleasure and avoid pain.
The id strives for immediate satisfaction of its needs and does not tolerate delay orpostponement of satisfaction for any reason. It knows only instant gratification; it drivesus to want what we want when we want it, without regard for what anyone else wants.The id is a selfish, pleasure-seeking structure—primitive, amoral, insistent, and rash.
The id has no awareness of reality. We might compare the id to a newborn baby who criesand frantically waves its legs and arms when its needs are not met but who has no knowledgeof how to bring about satisfaction. Hungry infants cannot find food on their own. The onlyways the id can attempt to satisfy its needs are through reflex action and wish-fulfilling hal-lucinatory or fantasy experience, which Freud labeled primary-process thought.
The Ego
Most children learn that they cannot grab food from other people unless they are willingto face the consequences. For example, kids learn that they have to postpone the pleasureobtained from relieving anal tensions until they get to a bathroom, or that they cannotindiscriminately give vent to sexual and aggressive longings. The growing child is taughtto deal intelligently and rationally with other people and the outside world and todevelop the powers of perception, recognition, judgment, and memory—the powersadults use to satisfy their needs. Freud called these abilities secondary-process thought.
We can sum up these characteristics as reason or rationality, and they are containedin Freud’s second structure of personality, the ego, which is the rational master of thepersonality. Its purpose is not to thwart the impulses of the id but to help the id obtainthe tension reduction it craves. Because the ego is aware of reality, however, it decideswhen and how the id instincts can best be satisfied. It determines appropriate andsocially acceptable times, places, and objects that will satisfy the id impulses.
The ego does not prevent id satisfaction. Rather, it tries to postpone, delay, or redirectit in order to meet the demands of reality. It perceives and manipulates the environmentin a practical and realistic manner and so is said to operate in accordance with thereality principle. (The reality principle stands in opposition to the pleasure principle,by which the id operates.)
The ego thus exerts control over the id impulses. Freud compared the relationship ofthe ego and the id to that of a rider on a horse. The raw, brute power of the horse mustbe guided, checked, and reined in by the rider; otherwise the horse could bolt and run,throwing the rider to the ground.
The ego serves two masters—the id and reality—and is constantly mediating andstriking compromises between their conflicting demands. Also, the ego is never indepen-dent of the id. It is always responsive to the id’s demands and derives its power andenergy from the id.
It is the ego, the rational master, which keeps you working at a job you may not like,if the alternative is being unable to provide food and shelter for your family. It is the egothat forces you to get along with people you dislike because reality demands such behav-ior from you as an appropriate way of satisfying id demands.
This controlling and postponing function of the ego must be exercised constantly. Ifnot, the id impulses might come to dominate and overthrow the rational ego. A personcontrolled by the id can easily become a danger to society, and might end up in treat-ment or in prison. Freud argued that we must protect ourselves from being controlled bythe id and proposed various unconscious mechanisms with which to defend the ego.
So far, we have a picture of Freud’s view of the human personality as being in a con-stant state of battle. It’s trying to restrain the id while at the same time serving it, per-ceiving and manipulating reality to relieve the tensions of the id impulses. Driven by
pleasure principle Theprinciple by which theid functions to avoidpain and maximizepleasure.
primary-processthought Childlike think-ing by which the idattempts to satisfy theinstinctual drives.
secondary-processthought Maturethought processesneeded to deal ratio-nally with the externalworld.
ego To Freud, therational aspect of thepersonality, responsi-ble for directing andcontrolling the instinctsaccording to the realityprinciple.
reality principle Theprinciple by which theego functions to pro-vide appropriate con-straints on theexpression of the idinstincts.
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instinctual biological forces that it strives to satisfy, the personality walks a tightropebetween the demands of the id and the demands of reality, both of which require con-stant vigilance.
The Superego
The id and the ego do not represent Freud’s complete picture of human nature. There isalso a third set of forces—a powerful and largely unconscious set of dictates or beliefs—that we acquire in childhood: our ideas of right and wrong. In everyday language we callthis internal morality a conscience. Freud called it the superego.
He believed that this moral side of the personality is usually learned by the age of 5 or6 and consists initially of the rules of conduct set down by our parents. Through praise,punishment, and example, children learn which behaviors their parents consider good orbad. Those behaviors for which children are punished form the conscience, one part ofthe superego. The second part of the superego is the ego-ideal, which consists of good,or correct, behaviors for which children have been praised.
In this way, Freud believed, children learn a set of rules that earn either acceptance orrejection from their parents. In time, children internalize these teachings, and the rewardsand punishments become self-administered. Parental control is replaced by self-control.We come to behave at least in partial conformity with these now largely unconsciousmoral guidelines. As a result of this internalization, we feel guilt or shame whenever weperform (or even think of performing) some action contrary to this moral code.
As the ultimate arbiter of morality, the superego is relentless, even cruel, in its con-stant quest for moral perfection. It never lets up. In terms of intensity, irrationality, andinsistence on obedience, it is not unlike the id. Its purpose is not merely to postpone thepleasure-seeking demands of the id, as the ego does, but to inhibit them completely, par-ticularly those demands concerned with sex and aggression.
The superego strives neither for pleasure (as the id does) nor for attainment of realis-tic goals (as the ego does). It strives solely for moral perfection. The id presses for satis-faction, the ego tries to delay it, and the superego urges morality above all. Like the id,the superego admits no compromise with its demands.
The ego is caught in the middle, pressured by these insistent and opposing forces.Thus, the ego has a third master, the superego. To paraphrase Freud, the poor ego hasa hard time of it, pressured on three sides, threatened by three dangers: the id, reality,and the superego. The inevitable result of this friction, when the ego is too severelystrained, is the development of anxiety.
Anxiety: A Threat to the Ego
You already have a general idea of what the word anxiety means because you know howyou feel when you’re anxious about something. Anxiety is not unlike fear, but we maynot know what we’re afraid of. Freud described anxiety as an objectless fear, meaningthat we cannot point to its source, to a specific object that caused it.
Freud made anxiety an important part of his personality theory, asserting that it isfundamental to the development of all neurotic and psychotic behavior. He suggestedthat the prototype of all anxiety is the birth trauma.
The fetus in its mother’s womb is in the most stable and secure of worlds, whereevery need is satisfied without delay. But at birth, the organism is thrust into a hostileenvironment. Suddenly, it is required to begin adapting to reality because its instinctualdemands may not always be immediately met. The newborn’s nervous system, immatureand ill prepared, is bombarded with diverse sensory stimuli.
Consequently, the infant engages in massive motor movements, heightened breathing,and increased heart rate. This birth trauma, with its tension and fear that the id instincts
superego To Freud, themoral aspect of per-sonality; the internali-zation of parental andsocietal values andstandards.
conscience A compo-nent of the superegothat contains behaviorsfor which the child hasbeen punished.
ego-ideal A compo-nent of the superegothat contains the moralor ideal behaviors forwhich a person shouldstrive.
anxiety To Freud, afeeling of fear anddread without an obvi-ous cause; realityanxiety is a fear oftangible dangers; neu-rotic anxiety involves aconflict between id andego; moral anxietyinvolves a conflictbetween id andsuperego.
Chapter 2: Sigmund Freud: Psychoanalysis 47
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won’t be satisfied, is our first experience with anxiety, according to Freud. From it, thepattern of reactions and feelings that will occur every time we are exposed to some threatin the future develops.
When we cannot cope with anxiety, when we are in danger of being overwhelmed byit, the anxiety is said to be traumatic. What Freud meant by this is that the person,regardless of age, is reduced to a state of helplessness like that experienced in infancy.In adult life, infantile helplessness is reenacted to some degree whenever the ego isthreatened. Freud proposed three different types of anxiety: reality anxiety, neurotic anx-iety, and moral anxiety.
Reality Anxiety
The first type of anxiety, the one from which the others are derived, is reality anxiety (orobjective anxiety). This involves a fear of real dangers in the real world. Most of us justi-fiably fear fires, hurricanes, earthquakes, and similar disasters. We run from wild ani-mals, jump out of the paths of speeding cars, and run out of burning buildings.
Reality anxiety serves the positive purpose of guiding our behavior to escape or pro-tect ourselves from actual dangers. Our fear subsides when the threat is no longer pres-ent. These reality-based fears can be carried to extremes, however. The person whocannot leave home for fear of being hit by a car or who cannot light a match for fearof fire is carrying reality-based fears beyond the point of normality.
Neurotic Anxiety
The other kinds of anxiety, neurotic anxiety and moral anxiety, are more consistentlytroublesome to our mental health. Neurotic anxiety has its basis in childhood, in a con-flict between instinctual gratification and reality. Children are often punished for overtlyexpressing sexual or aggressive impulses. Therefore, the wish to gratify certain idimpulses generates anxiety.
This neurotic anxiety is an unconscious fear of being punished for impulsively dis-playing id-dominated behavior. Note that the fear is not of the instincts themselves, butof what might happen as a result of gratifying the instincts. The conflict becomes onebetween the id and the ego, and its origin has some basis in reality.
Moral Anxiety
Moral anxiety results from a conflict between the id and the superego. In essence, it is afear of one’s conscience. When you are motivated to express an instinctual impulse thatis contrary to your moral code, your superego retaliates by causing you to feel shame orguilt. In everyday terms, you might describe yourself as conscience-stricken.
Moral anxiety is a function of how well developed the superego is. A person with astrong inhibiting conscience will experience greater conflict than a person with a less strin-gent set of moral guidelines. Like neurotic anxiety, moral anxiety has some basis in reality.
Children are punished for violating their parents’ moral codes, and adults are pun-ished for violating society’s moral code. The shame and guilt feelings in moral anxietyarise from within; it is our conscience that causes the fear and the anxiety. Freudbelieved that the superego exacts a terrible retribution for violation of its tenets.
The Purpose of Anxiety
Anxiety serves as a warning to the person that something is amiss within the personality.Anxiety induces tension in the organism and thus becomes a drive (much like hunger orthirst) that the individual is motivated to satisfy. The tension must be reduced.
Anxiety alerts the individual that the ego is being threatened and that unless action istaken, the ego might be overthrown. How can the ego protect or defend itself? There are
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a number of options: running away from the threatening situation, inhibiting the impul-sive need that is the source of the danger, or obeying the dictates of the conscience. Ifnone of these rational techniques works, the person may resort to defensemechanisms—the nonrational strategies designed to defend the ego.
Defenses against Anxiety
We saw that anxiety is a signal that impending danger, a threat to the ego, must becounteracted or avoided. The ego has to reduce the conflict between the demands ofthe id and the strictures of society as represented by the superego. According to Freud,this conflict is ever present because the instincts are always pressing for satisfaction,while the taboos of society are always working to limit such satisfaction.
Freud believed that the defenses must, to some extent, always be in operation. Allbehaviors are motivated by instincts; similarly, all behaviors are defensive in the senseof defending against anxiety. The intensity of the battle within the personality may fluc-tuate, but it never stops. Freud postulated several defense mechanisms (see Table 2.1)and noted that we rarely use just one; we typically defend ourselves against anxiety byusing several at the same time. Also, some overlap exists among the mechanisms.
Although defense mechanisms vary in their specifics, they share two characteristics incommon: (1) they are all denials or distortions of reality—necessary ones, but distortionsnonetheless, and (2) they all operate unconsciously. We are unaware of them, which meansthat on the conscious level we hold distorted or unreal images of our world and ourselves.
Repression repression, which is the most fundamental and frequently used defensemechanism, is an involuntary removal of something from conscious awareness. It is anunconscious type of forgetting of the existence of something that brings us discomfort orpain. Repression can operate on memories of situations or people, on our perception ofthe present (so that we may fail to see some obviously disturbing event right in front ofus), and even on the body’s physiological functioning. For example, a man can sostrongly repress the sex drive that he becomes impotent.
Once repression is operating, it is difficult to eliminate. Because we use repression toprotect ourselves from danger, in order to remove it, we would have to realize that theidea or memory is no longer dangerous. But how can we find out that the danger no
TABLE 2.1 Some Freudian defense mechanisms
Repression: Involves unconscious denial of the existence of something that causes anxiety
Denial: Involves denying the existence of an external threat or traumatic event
Reaction Formation: Involves expressing an id impulse that is the opposite of the one truly drivingthe person
Projection: Involves attributing a disturbing impulse to someone else
Regression: Involves retreating to an earlier, less frustrating period of life and displaying the childishand dependent behaviors characteristic of that more secure time
Rationalization: Involves reinterpreting behavior to make it more acceptable and less threatening
Displacement: Involves shifting id impulses from a threatening or unavailable object to a substituteobject that is available
Sublimation: Involves altering or displacing id impulses by diverting instinctual energy into sociallyacceptable behaviors
defense mechanismsStrategies the ego usesto defend itself againstthe anxiety provokedby conflicts of every-day life. Defensemechanisms involvedenials or distortions ofreality.
repression A defensemechanism thatinvolves unconsciousdenial of the existenceof something thatcauses anxiety.
Chapter 2: Sigmund Freud: Psychoanalysis 49
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longer exists unless we release the repression so we can once again be aware of the mem-ory? The concept of repression is the basis of much of Freud’s personality theory and isinvolved in all neurotic behavior.
Denial The defense mechanism of denial is related to repression and involves denyingthe existence of some external threat or traumatic event that has occurred. For example,a person with a terminal illness may deny the imminence of death. Parents of a childwho has died may continue to deny the loss by keeping the child’s room unchanged.
Reaction Formation In reaction formation, we defend ourselves against a disturb-ing impulse by actively expressing the opposite impulse. For example, a person who feelsthreatened by sexual longings may become a rabid crusader against pornography. Some-one who is disturbed by extreme aggressive impulses may become overly solicitous andfriendly. Thus, lust becomes virtue and hatred becomes love, in the unconscious mind ofthe person using this mechanism.
Projection Another way of defending against disturbing impulses is to project themon to someone else. This defense mechanism is called projection. Lustful, aggressive,and other unacceptable impulses are seen as being possessed by other people, not byoneself. The person says, in effect, “I don’t hate him. He hates me.” Or a mother mayascribe her sex drive to her adolescent daughter. The impulse is still manifested, but ina way that feels less threatening to the individual.
Regression In regression, the person retreats or regresses to an earlier period of lifethat was more pleasant and free of the current level of frustration and anxiety. Regres-sion usually involves a return to one of the stages of childhood development. The indi-vidual returns to this more secure time of life by behaving as they did at that time, suchas being childish and dependent.
Rationalization Rationalization is a defense mechanism that involves reinterpretingour behavior to make it seem more rational and therefore more acceptable. We excuse orjustify a threatening thought or action by persuading ourselves that there is a rationalexplanation for it. The person who is fired from a job may rationalize by saying thatthey really didn’t like the job anyway. The loved one who turns you down now appearsto have many faults. It is less threatening to blame someone or something else for ourfailures than to blame ourselves.
Displacement If an object that satisfies an id impulse is not available, the person mayshift the impulse to another object. This is known as displacement. For example, chil-dren who hate their parents or adults who hate their bosses, but are afraid to expresstheir hostility for fear of being punished, may displace the aggression onto someoneelse—usually someone who is less likely to fight back or retaliate.
The child may hit a younger brother or sister, or the adult may shout at the dog. Inthese examples, the original object of the aggressive impulse has been replaced by anobject that is not a threat. However, the substitute object will not reduce the tension assatisfactorily as the original object would. If you are involved in a number of displace-ments, a reservoir of undischarged tension accumulates, and you will be increasinglydriven to find new ways of reducing that tension.
Sublimation Whereas displacement involves finding a substitute object to satisfy idimpulses, sublimation involves altering the id impulses themselves. The instinctual
denial A defensemechanismthatinvolvesdenying the existence ofan external threat ortraumatic event.
reaction formation Adefense mechanismthat involves expres-sing an id impulse thatis the opposite of theone that is truly drivingthe person.
projection A defensemechanism thatinvolves attributing adisturbing impulse tosomeone else.
regression A defensemechanism thatinvolves retreating toan earlier, less frus-trating period of lifeand displaying theusually childish beha-viors characteristic ofthat more secure time.
rationalization Adefense mechanismthat involves reinter-preting our behavior tomake it more accept-able and less threat-ening to us.
displacement Adefense mechanismthat involves shifting idimpulses from athreatening object orfrom one that isunavailable to anobject that is available;for example, replacinghostility toward one’sboss with hostilitytoward one’s child.
sublimation A defensemechanism thatinvolves altering ordisplacing id impulsesby diverting instinctualenergy into sociallyacceptable behaviors.
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energy is thus diverted into other channels of expression, ones that society considersacceptable and admirable. Sexual energy, for example, can be diverted or sublimatedinto artistically creative behaviors.
Freud believed that a variety of human activities, particularly those of an artisticnature, are manifestations of id impulses that have been redirected into socially accept-able outlets. As with displacement (of which sublimation is a form), sublimation is acompromise. As such, it does not bring total satisfaction but leads to a buildup of undis-charged tension.
Lying to Ourselves
As we have seen, these defense mechanisms are unconscious denials or distortions ofreality. We are lying to ourselves when we use these defenses, but we are not aware ofdoing so. If we knew we were lying to ourselves, the defenses would not be so effective. Ifthe defenses are working well, they keep threatening or disturbing material out of ourconscious awareness. As a result, we may not know the truth about ourselves. We mayhave a distorted picture of our needs, fears, and desires.
There are situations in which the truth about ourselves emerges, when our defensesbreak down and fail to protect us. This occurs in times of unusual stress (or when under-going psychoanalysis). When the defenses fail, we are stricken with overwhelming anxi-ety. We feel dismal, worthless, and depressed. Unless the defenses are restored, or newones formed to take their place, we are likely to develop neurotic or psychotic symptoms.Thus, according to Freud, defenses are necessary to our mental health. We could notsurvive long without them.
Psychosexual Stages of Personality Development
Freud believed that all behaviors are defensive but that not everyone uses the samedefenses in the same way. All of us are driven by the same id impulses, but there is notthe same universality in the nature of the ego and superego. Although these structures ofthe personality perform the same functions for everyone, their content varies from oneperson to another. They differ because they are formed through experience, and no twopeople have precisely the same experiences, not even siblings raised in the same house.
Thus, part of our personality is formed on the basis of the unique relationships wehave as children with various people and objects. We develop a personal set of characterattributes, a consistent pattern of behavior that defines each of us as an individual.
Growing up Is Not Easy
Freud argued that a person’s unique character type develops in childhood, largely fromparent–child interactions. The child constantly tries to maximize pleasure by satisfyingthe id demands, while parents, as representatives of society, try to impose the demandsof reality and morality. So important did Freud consider childhood experiences that hesaid the adult personality was firmly shaped and crystallized by the age of 5
What persuaded him that these early years are so crucial were his own childhood mem-ories along with the memories revealed by his adult patients. Invariably, as his patients layon his psychoanalytic couch, they reached far back into their childhoods. Increasingly,Freud perceived that the adult neurosis had been formed in the early years of life.
Freud also sensed strong sexual conflicts in the infant and young child, conflicts thatseemed to revolve around specific regions of the body. He noted that each body regionassumed a greater importance as the center of conflict at a different age. From these observa-tions he derived his theory of the psychosexual stages of development; each stage is defined
psychosexual stagesof development ToFreud, the oral, anal,phallic, and genitalstages through whichall children pass. Inthese stages, gratifica-tion of the id instinctsdepends on the stimu-lation of correspondingareas of the body.
Chapter 2: Sigmund Freud: Psychoanalysis 51
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by an erogenous zone of the body (see Table 2.2). In each developmental stage a conflict existsthat must be resolved before the infant or child can progress to the next stage.
Sometimes a person is reluctant or unable to move from one stage to the next becausethe conflict has not been resolved, or because the needs have been so supremely satisfiedby an indulgent parent that the child doesn’t want to move on. In either case, the indi-vidual is said to be fixated at this stage of development. In fixation, a portion of libido orpsychic energy remains invested in that developmental stage, leaving less energy for thefollowing stages.
Central to the psychosexual theory is the infant’s sex drive. Freud shocked his collea-gues and the general public when he argued that babies are motivated by sexualimpulses. Recall, however, that Freud did not define sex in a narrow way. He believedthat the infant is driven to obtain a diffuse form of bodily pleasure deriving from themouth, anus, and genitals, the erogenous zones that define the stages of developmentduring the first 5 years of life.
The Oral Stage: Taking In or Spitting Out
The oral stage, the first stage of psychosexual development, lasts from birth until sometime during the second year. During this period, the infant’s principal source of pleasureis the mouth. The infant derives pleasure from sucking, biting, and swallowing. Ofcourse, the mouth is obviously used for survival—for the ingestion of food and water—but Freud placed a greater emphasis on the erotic satisfactions derived from oralactivities.
During this stage, the infant is totally dependent on the mother or caregiver whobecomes the primary object of the child’s libido. In more familiar terms, we might saythe infant is learning, in a primitive way, to love the mother. How the mother respondsto the infant’s demands, which at this time are solely id demands, determines the natureof the baby’s small world. The infant learns from the mother to perceive the world aseither a good or bad, satisfying or frustrating, safe or perilous place to be.
There are two ways of behaving during this stage: oral incorporative behavior (takingin) and oral aggressive or oral sadistic behavior (biting or spitting out). The oral incor-porative mode occurs first and involves the pleasurable stimulation of the mouth byother people and by food. Adults fixated at the oral incorporative stage become exces-sively concerned with oral activities, like eating, drinking, smoking, and kissing.
If, as infants, they were excessively gratified during this stage, their adult oral person-ality will be predisposed to a high degree of optimism and dependency. Because they
TABLE 2.2 Freud’s psychosexual stages of development
STAGES AGES CHARACTERISTICS
Oral Birth–1 Mouth is the primary erogenous zone; pleasure derived fromsucking: id is dominant.
Anal 1–3 Toilet training (external reality) interferes with gratificationreceived from defecation.
Phallic 4–5 Incestuous fantasies; Oedipus complex; anxiety; superegodevelopment.
Latency 5–Puberty Period of sublimation of sex instinct.
Genital Adolescence–Adulthood Development of sex-role identity and adult social relationships.
fixation A condition inwhich a portion oflibido remains investedin one of the psycho-sexual stages becauseof excessive frustrationor gratification.
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were overindulged in infancy, they continue to depend on and expect others to gratifytheir needs. As a consequence, they become overly gullible, swallow or believe anythingthey are told, and trust other people inordinately. Such people are labeled oral passivepersonality types.
The second oral behavior, oral aggressive or oral sadistic, occurs during the painful,frustrating eruption of teeth. As a result of this experience, infants come to view themother with hatred as well as love. After all, she has been responsible for everything inthe infant’s life so far, so she must also be responsible for the pain.
Those who become fixated at this level are prone to excessive pessimism, hostility,and aggressiveness. They are likely to be argumentative and sarcastic, making so-calledbiting remarks and displaying cruelty toward others. They tend to be envious of otherpeople and try to exploit and manipulate them in an effort to dominate them.
The oral stage concludes at the time of weaning, although some libido remains if fix-ation has occurred. Then the infant’s focus shifts to the other end.
The Anal Stage: Letting Go or Holding Back
Society, in the form of parents, tends to defer to the infant’s needs during the first yearof life, adjusting to its demands and expecting relatively little adjustment in return. Thissituation changes dramatically around the age of 18 months, when a new demand, toilettraining, is made of the child. Freud believed that the experience of toilet training duringthe anal stage had a significant effect on personality development.
In the oral stage ofpsychosexual devel-opment, pleasure isderived from sucking,biting, andswallowing.
PhilipNealey/Photodisc/JupiterImages
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Defecation produces erotic pleasure for the child, but with the onset of toilet training,the child is put under pressure to learn to postpone or delay this pleasure. For the firsttime, gratification of an instinctual impulse is interfered with as parents attempt to regu-late the time and place for defecation.
As any parent can attest, this is a time of conflict for everybody. Children learn thatthey have a weapon that can be used against their parents. The child has control oversomething and can choose to comply or not with the parents’ demands. If the toilettraining is not going well—for example, if the child has difficulty learning or the parentsare excessively demanding—the child may react in one of two ways.
One way is to defecate whenever and wherever the parents don’t want them to, thusdefying their attempts at regulation. Children who find this a satisfactory technique forreducing frustration and use it frequently may develop an anal aggressive personality. ToFreud, this was the basis for many forms of hostile and sadistic behavior in adult life,including cruelty, destructiveness, and temper tantrums. Such a person is likely to be dis-orderly and to consider other people as objects to be possessed.
A second way the child may react to the frustration of toilet training is to hold back orretain the feces. This produces a feeling of erotic pleasure (derived from a full lower intes-tine, Freud said) and can be another successful technique for manipulating the parents.They may become worried, even frantic, if the child goes days without a bowel movement.Thus, the child discovers a new method for securing parental attention and affection.
This behavior is the basis for the development of an anal retentive personality. Such aperson becomes stubborn and stingy, and hoards or retains things because feelings ofsecurity depend on what is saved and possessed, and on the order and in which posses-sions and other aspects of life are maintained. The anal retentive person is likely to berigid, compulsively neat, obstinate, and overly conscientious.
The Phallic Stage
A new set of problems arises around the fourth to fifth year, when the focus of pleasureshifts from the anus to the genitals. Again the child faces a battle between an id impulseand the demands of society, as reflected in parental expectations.
Children at the phallic stage display considerable interest in exploring and manipulat-ing the genitals, their own and those of their playmates. Pleasure is derived from thegenital region not only through behaviors such as masturbation but also through fanta-sies. The child becomes curious about birth and about why boys have penises and girlsdo not. The child may talk about wanting to marry the parent of the opposite sex.
The phallic stage is the last of the pre genital or childhood stages, and phallic conflictsare the most complex ones to resolve. They are also difficult for many people to acceptbecause they involve the notion of incest, a taboo in many cultures. Between incestuousdesires and masturbation we can see the seeds of shock, anger, and suppression beingsown in the parents of the typical 4 year old. Reality and morality come to grips withthe evil id once again.
The Oedipus Complex in Boys The basic conflict of the phallic stage centers on theunconscious desire of the child for the parent of the opposite sex. Accompanying this isthe unconscious desire to replace or destroy the parent of the same sex. Out of Freud’sidentification of this conflict came one of his best-known concepts: the Oedipuscomplex. Its name comes from the Greek myth described in the play Oedipus Rex, writ-ten by Sophocles in the fifth century B.C. In this story, young Oedipus kills his fatherand marries his mother, not knowing who they are.
The Oedipus complex operates differently for boys and girls; Freud developed themale part of the complex more fully. In the Oedipus complex, the mother becomes a
Oedipus complex Dur-ing the phallic stage(ages 4–5), the uncon-scious desire of a boyfor his mother, accom-panied by a desire toreplace or destroy hisfather.
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love object for the young boy. Through fantasy and overt behavior, he displays his sexuallongings for her. However, the boy sees the father as an obstacle in his path and comesto look upon him as a rival and a threat.
He also perceives that the father has a special kind of relationship with the mother inwhich he, the boy, is not allowed to participate. As a result, he becomes jealous of andhostile toward the father. Freud drew his formulation of the Oedipus complex from hisown childhood experiences. He wrote, “I have found love of the mother and jealousy ofthe father in my own case, too” (Freud, 1954, p. 223).
Accompanying the boy’s desire to replace his father is the fear that the father willretaliate and harm him. He interprets his fear of his father in genital terms, becomingfearful that his father will cut off the offending organ (the boy’s penis), which is thesource of the boy’s pleasure and sexual longings. And so castration anxiety, as Freudcalled it, comes to play a role, as it may have done in Freud’s childhood. “There are anumber of indications that [Freud’s father] enjoined little Sigmund not to play with hisgenitals, and even threatened him with castration if he did” (Krüll, 1986, p. 110).
Additional evidence to support this contention comes from Freud’s later writings onmasturbation, in which he saw such threats from fathers as common. Freud alsoreported that his adult dreams contained material relating to the fear of castration by hisfather.
Two other childhood events may have reinforced Freud’s fear of castration. At aroundthe age of 3, he and his nephew engaged in some rough sex play with his niece and dis-covered she did not have a penis. For a 3-year-old boy, this may have been enough
The boy comes toresolve the Oedipuscomplex by identifyingwith his father.
castration anxiety Aboy’s fear during theOedipal period that hispenis will be cut off.
Radius
Images/JupiterImages
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evidence to prove that penises can be cut off. In the opinion of one biographer, “thethreat of castration is particularly realistic to a Jewish boy, since it is easy to establish aconnection between ritual circumcision and castration” (Krüll, 1986, p. 110). Freud con-firmed this in his later writings.
So strong is the boy’s fear of castration that he is forced to repress his sexual desirefor his mother. To Freud, this was a way of resolving the Oedipal conflict. The boyreplaces the sexual longing for the mother with a more acceptable affection and developsa strong identification with the father. In doing that, the boy experiences a degree ofvicarious sexual satisfaction. To enhance the identification, he attempts to become morelike his father by adopting his mannerisms, behaviors, attitudes, and superego standards.
The Oedipus Complex in Girls Freud was less clear about the female phallic con-flict, which some of his followers termed the Electra complex. The name was derivedfrom another happy family story by Sophocles in which Electra persuades her brotherto kill their mother, whom she hated.
According to Freud, a girl’s first object of love, like the boy’s, is the mother, becauseshe is the primary source of food, affection, and security in infancy. During the phallicstage, however, the father becomes the girl’s new love object. Why does this shift frommother to father take place? Freud said it was because of the girl’s reaction to her discov-ery that boys have a penis and girls do not.
The girl blames her mother for her supposedly inferior condition and consequentlycomes to love her mother less. She may even hate the mother for what she imaginesthe mother did to her. She comes to envy her father and transfers her love to himbecause he possesses the highly valued sex organ. Freud wrote: “Girls feel deeply theirlack of a sexual organ that is equal in value to the male one; they regard themselves onthat account as inferior and this envy for the penis is the origin of a whole number ofcharacteristic feminine reactions” (Freud, 1925, p. 212). Thus, a girl develops penis envy,which is a counterpart to a boy’s castration anxiety. She believes she has lost her penis;he fears he will lose his.
This female Oedipus complex, Freud suggested, can never be totally resolved, a situa-tion he believed led to poorly developed superegos in women. Freud wrote that an adultwoman’s love for a man is always tinged with penis envy, for which she can partiallycompensate by having a male child. The girl comes to identify with the mother andrepress her love for her father, but Freud was not specific about how this occurs.
The Phallic Personality Phallic conflicts and their degree of resolution are of majorimportance in determining adult relations with the opposite sex. Poorly resolved conflictscan cause lingering forms of castration anxiety and penis envy. The so-called phalliccharacter or personality type evidences strong narcissism.
Although continually acting in ways to try to attract the opposite sex, they have diffi-culty establishing mature heterosexual relationships. They need constant recognition andappreciation of what they see as their attractive and unique qualities. As long as theyreceive such support they function well, but when it is lacking they feel inadequate andinferior.
Freud described the male phallic personality as brash, vain, and self-assured. Menwith this personality try to assert or express their masculinity through repeated sexualconquests. The female phallic personality, motivated by penis envy, exaggerates her fem-ininity and uses her talents and charms to overwhelm and conquer men.
The tense drama of the phallic stage is repressed in all of us according to Freud. Itseffects motivate us as adults at the unconscious level, and we remember very little, ifanything, about the conflict.
Electra complex Dur-ing the phallic stage(ages 4–5), the uncon-scious desire of a girlfor her father, accom-panied by a desire toreplace or destroy hermother.
penis envy The envythe female feels towardthe male because themale possesses apenis; this is accom-panied by a sense ofloss because thefemale does not have apenis.
56 The Psychoanalytic Approach
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The Latency Period
The storms and stresses of the oral, anal, and phallic stages of psychosexual developmentform the basic material out of which most of the adult personality is shaped. The threemajor structures—the id, ego, and superego—have been formed by around the age of 5,and the relationships among them are being solidified.
Fortunately, because the child and parents certainly could use some rest, the next 5 or6 years are quiet. The latency period is not a psychosexual stage of development. Thesex instinct is dormant during this time, Freud believed, and is temporarily sublimatedin school activities, hobbies, and sports and in developing friendships with members ofthe same sex.
The Genital Stage
The genital stage, the final psychosexual stage of development, begins at puberty. Thebody is becoming physiologically mature, and if no major fixations have occurred at anearlier stage of development, the individual may be able to lead a normal life. Freudbelieved that the conflict during this period is less intense than in the other stages. Theadolescent must conform to societal sanctions and taboos that exist concerning sexualexpression, but he believed that conflict is minimized through sublimation.
The sexual energy pressing for expression in the teenage years can be at least partiallysatisfied through the pursuit of socially acceptable substitutes and, later, through a com-mitted adult relationship. The genital personality type is able to find satisfaction in loveand work, the latter being an acceptable outlet for sublimation of the id impulses.
The Importance of Childhood
Freud stressed the vital importance of the early childhood years in determining the adultpersonality. According to Freud, the first 5 years are the crucial ones. His personalitytheory pays less attention to later childhood and adolescence, and he was little concernedwith personality development in adulthood. To Freud, what we are as adults—how webehave, think, and feel—is determined by the conflicts to which we are exposed andwith which we must cope before many of us have even learned to read.
Questions about Human Nature
Freud did not present us with a flattering or optimistic image of human nature. Quitethe opposite. He argued that each person is a dark cellar of conflict in which a battle iscontinually raging. Human beings are depicted in gloomy, pessimistic terms, condemnedto a struggle with our inner forces, which we are almost always destined to lose. Doomedto anxiety, to the thwarting of at least some of our driving impulses, we experience con-tinuing tension and conflict. We are endlessly defending ourselves against the forces ofthe id, which stand ever alert to topple us. Not a happy prospect.
In Freud’s system, there is only one ultimate and necessary goal in life: to reduce ten-sion. On the nature–nurture issue, Freud adopted a middle ground. The id, the mostpowerful part of the personality, is an inherited, physiologically based structure, as arethe stages of psychosexual development. However, other parts of our personality arelearned in early childhood, from parent–child interactions.
Although Freud recognized universality in human nature, in that we all pass throughthe same stages of psychosexual development and are motivated by the same id forces,he asserted that part of the personality is unique to each person. The ego and superegoperform the same functions for all of us, but their content varies from one person toanother because they are formed through personal experience. Also, different charactertypes can develop during the psychosexual stages.
latency period ToFreud, the period fromapproximately age 5 topuberty, during whichthe sex instinct is dor-mant, sublimated inschool activities,sports, and hobbies,and in developingfriendships with mem-bers of the same sex.
Chapter 2: Sigmund Freud: Psychoanalysis 57
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On the issue of free will versus determinism, Freud held a deterministic view: Virtu-ally everything we do, think, and even dream is predetermined by the life and deathinstincts, the inaccessible and invisible forces within us. Our adult personality is deter-mined by interactions that took place before we were 5, at a time when we had limitedcontrol. These experiences forever hold us in their grip.
Freud also argued, however, that people who undergo psychoanalysis could achievethe ability to exercise increased free will and take responsibility for their choices. “Themore the individual is able to make conscious what had been unconscious, the more heor she can take charge of his or her own life” (Solnit, 1992, p. 66). Thus, Freud suggestedthat psychoanalysis had the potential to liberate people from the constraints ofdeterminism.
Freud’s overall picture of human nature, painted in these bleak hues, reflects his ownpersonal view of humanity, which darkened with age and declining health. His judgmentof people in general was harsh. “I have found little that is ‘good’ about human beings onthe whole. In my experience, most of them are trash” (Freud, 1963, pp. 61–62). We cansee this stern judgment of us in his personality theory.
Assessment in Freud’s Theory
Freud considered the unconscious to be the major motivating force in life. It is therepository of all of our childhood conflicts which have been repressed out of consciousawareness. The goal of Freud’s system of psychoanalysis was to bring those repressedmemories, fears, and thoughts back into conscious awareness. How can the psychoana-lyst evaluate, assess, or even find this invisible portion of the mind, this dark arena thatis otherwise inaccessible to us? Over the course of his work with patients, Freud devel-oped two methods of assessment: free association and dream analysis.
Free Association
Freud’s development of the technique of free association owes much to Josef Breuer, aViennese physician who befriended Freud during Freud’s early years in private practice.In treating a young woman who showed symptoms of hysteria, Breuer found that hyp-notizing her enabled her to remember repressed events. Recalling the events—relivingthe experiences—brought relief from the disturbing symptoms.
Freud then started using hypnosis with some degree of success and called the processcatharsis, from the Greek word for purification. However, he later abandoned hypnosis,partly because he had difficulty hypnotizing some of his patients. Also, some patientsrevealed disturbing events during hypnosis, but were unable to recall them when hequestioned them later.
Looking for a technique other than hypnosis for helping a patient recall repressedmaterial, Freud asked patients to lie on a couch while he sat behind it, out of sight. Hisreason for staying out of sight and hidden from the patients was both personal and pro-fessional. “I cannot put up with being stared at by people for eight hours a day or more,”he wrote. Also, “Since while I am listening to the patient, I too give myself over to thecurrent of my unconscious thoughts, I do not want with my expressions of face to givethe patient the material for interpretations or to influence him in what he tells me”(quoted in Lingiardi & De Bei, 2011, p. 301).
Freud encouraged his patients to relax and concentrate on events in the past. Theywere supposed to engage in a kind of daydreaming out loud, saying whatever came tomind. Patients were told to express spontaneously every idea and image exactly as itoccurred, no matter how trivial, embarrassing, or painful the thought or memory mightseem. The memories were not to be omitted, rearranged, or restructured.
free association Atechnique in which thepatient says whatevercomes to mind. In otherwords, it is a kind ofdaydreaming out loud.
catharsis The expres-sion of emotions that isexpected to lead to thereduction of disturbingsymptoms.
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Freud believed there was nothing random about the information uncovered duringfree association and that it was not subject to a patient’s conscious choice. The materialrevealed by patients in free association was predetermined, forced on them by the natureof their conflict.
Free Association Is Not Always so Free
Freud also found that sometimes the technique did not operate so freely. Some experi-ences or memories were evidently too painful to talk about, and the patient would bereluctant to disclose them. Freud called these moments resistances. He believed theywere significant because they indicated that the analysis was getting close to the sourceof the patient’s problems. Resistance is a sign that the treatment is heading in the rightdirection and that the analyst should continue to probe in that area. Part of the psycho-analyst’s task is to break down or overcome resistances so the patient can confront therepressed experience.
Dream Analysis
Freud believed that dreams represent, in symbolic form, repressed desires, fears, andconflicts. So strongly have these feelings been repressed that they can surface only in dis-guised fashion during sleep.
He argued that there were two aspects of dreams: the manifest content, which refersto the actual events in the dream; and the latent content, which is the hidden symbolicmeaning of the dream. Over the years, Freud found consistent symbols in his patients’dreams, events that signified the same thing for nearly everyone (see Table 2.3).
TABLE 2.3 Dream symbols or events and their latent psychoanalytic meaning
SYMBOL INTERPRETATION
Smooth-fronted house Male body
House with ledges, balconies Female body
King and queen Parents
Small animals Children
Children Genital organs
Playing with children Masturbation
Baldness, tooth extraction Castration
Elongated objects (e.g., tree trunks, umbrellas,neckties, snakes, candles)
Male genitals
Enclosed spaces (e.g., boxes, ovens, closets,caves, pockets)
Female genitals
Climbing stairs or ladders; driving cars; ridinghorses; crossing bridges
Sexual intercourse
Bathing Birth
Beginning a journey Dying
Being naked in a crowd Desiring to be noticed
Flying Desiring to be admired
Falling Desiring to return to a state such as childhoodwhere one is satisfied and protected
resistance In freeassociation, a block-age or refusal to dis-close painfulmemories.
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For example, steps, ladders, and staircases in a dream represented sexual intercourse.Candles, snakes, and tree trunks indicated the penis; and boxes, balconies, and doors sig-nified the female body. Freud warned that despite this apparent universality of symbols,many symbols are specific to the person undergoing analysis and could have a differentmeaning for someone else.
Dreams reveal conflicts in a condensed, intensified form. Dream events rarely resultfrom a single cause, and any event in a dream can have many sources. Dreams mayalso have mundane origins. Physical stimuli, such as the temperature of the bedroom orcontact with one’s partner, can induce a dream, and dreams can also be triggered byinternal stimuli, such as a fever or an upset stomach.
A study in Hong Kong found that people who slept prone, lying flat on their stomach,were more likely to have dreams involving sexual activities, being smothered, locked up,tied, and unable to move than those who slept in other positions (Yu, 2012). A large-scale study in Germany found that the five most typical dreams involved flying, tryingsomething repeatedly, being chased, having sexual experiences, and matters related toschool (Goritz, 2014).
It is interesting that of the more than 40 of his own dreams Freud described in hisbook The Interpretation of Dreams, only a few had a sexual content, despite his convic-tion that dreams typically involve some infantile sexual wish. The dominant theme inFreud’s reported dreams was ambition, a characteristic he vigorously denied having.
Uncovering the Conflicts
Both of these Freudian assessment techniques—free association and dream analysis—reveal to the psychoanalyst a great deal of repressed material, but all of it is in disguisedor symbolic form. The therapist then must interpret or translate the material for thepatient. Freud compared this procedure with the task of an archeologist reconstructinga community that has been destroyed and buried under the accumulation of centuries.Just as the archeologist attempts to reconstruct a building from broken fragments, so apsychoanalyst reconstructs an experience from buried, fragmented memories. Thus, theevaluation or assessment of a patient’s personality, the uncovering of his or her uncon-scious conflicts, depends on the skill, training, and experience of the analyst.
Criticisms of Freud’s Research
Freud’s major research method was the case study which, as we saw in Chapter 1, hasseveral limitations. It does not rely on objective observation, the data are not gathered insystematic fashion, and the situation (the psychoanalytic session) is not amenable toduplication and verification. In addition, we cannot systematically vary the conditionsof childhood in which patients are reared, nor can we replicate in the laboratory a per-son’s home environment. Thus, clinical observations cannot be repeated, as they can incontrolled psychological experiments.
A fundamental criticism of freud’s case studies involves the nature of his data. He didnot keep verbatim records of the therapy sessions, and he warned analysts against takingnotes during the sessions, believing it would distract their attention from their patients’words. Freud made notes several hours after seeing each patient. Describing his techniquefor recording his patients’ comments, Freud said, “I write them down from memory in theevening after work is over” (quoted in Grubrich-Simitis, 1998, p. 20). As a result, it’s pos-sible that his data were incomplete, consisting only of what he remembered hours later.
It is also possible that his memory of the sessions was selective and that he recorded onlyexperiences that supported his theory, or that he interpreted those experiences in ways thatwould support his theory. Of course, Freud’s notes may have been highly accurate, but we
case study A detailedhistory of an individualthat contains data froma variety of sources.
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cannot be certain because we are unable to compare his case reports with what his patientssaid. And even if Freud had kept a complete record of his therapy sessions, we cannot deter-mine the validity of the patients’ comments. Freud made few attempts to verify the accuracyof a patient’s stories, which he might have done by questioning the patient’s friends and rela-tives about the events described. Therefore, the first step in Freud’s research, the collection ofdata, must be characterized as incomplete and possibly inaccurate.
Some critics also suggest that Freud’s patients did not actually reveal childhood sexualexperiences because, in most cases, those experiences had never occurred. These writersargue that Freud inferred the stories of sexual seduction in childhood from his analysisof the patients’ symptoms. For example, although Freud claimed that virtually all hiswomen patients said they had been seduced by their fathers, his case notes do not showthat any patient ever claimed that this had occurred (Kihlstrom, 1994).
Other critics agree that Freud was suggesting accounts of childhood seduction, with-out really hearing his patients say so, because he had already formed the hypothesis thatsuch seductions were the true cause of adult neuroses. Still others charge that Freud mayhave used the power of suggestion to implant alleged memories of childhood seductionthat had never taken place (McCullough, 2001). “Where patients did not of their ownaccord provide material which could be construed in sexual terms, Freud did not hesitateto point them in the ‘right’ direction” (Webster, 1995, p. 197).
Another criticism of Freud’s research is that it is based on a small and unrepresenta-tive sample of people, restricted to himself and those who sought psychoanalysis withhim. Only a dozen or so cases have been detailed in Freud’s writings, and most of thesewere of young, unmarried, upper-class women of good education. It is difficult to gener-alize from this limited sample to the population at large.
In addition, there may be discrepancies between Freud’s notes on his therapy sessionsand the case histories he published, which supposedly were based on these notes. Severalinvestigators compared Freud’s notes with the published case study of the Rat Man, oneof his most famous patients. They found a lengthening of the period of analysis, anincorrect sequence of events disclosed by the patient, and unsubstantiated claims thatthe analysis resulted in a cure (Eagle, 1988; Mahoney, 1986).
Thus, the published version of the case did not agree with the notes Freud made afterhis sessions with the patient. It is not possible to determine whether Freud deliberatelymade these changes to bolster his theory (or his ego) or whether they were the productsof his unconscious. Nor do we know if such distortions characterize other Freudian casestudies. It may remain a mystery forever because Freud destroyed most of his patientfiles not long after he compiled them.
Finally, it has been argued that none of Freud’s handful of published case histories pro-vides compelling supporting evidence for his theory. One of Freud’s biographers concluded:“Some of the cases present such dubious evidence in favor of psychoanalytic theory that onemay seriously wonder why Freud even bothered to publish them” (Sulloway, 1992, p. 160).
We will see in later chapters that these kinds of criticisms leveled against Freud alsoapply to later personality theorists who used the case study as their primary researchmethod, and based their theories on their patients’ reports. This does not automaticallymean that their work is devoid of merit. Freud and other analysts offered a wealth ofmaterial about the human personality. If we accept their views as valid, however, wemust do so on some basis other than experimental verification.
Freud’s Negative Views on Experimental Research
Although Freud was familiar with the experimental method, he had little confidence init, believing that “scientific research and psychoanalysis are inherently incompatible”
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(Chiesa, 2010, p. 99). An American psychologist once sent him information aboutexperiments that had been conducted to validate Freudian concepts. Freud “threw thereprints across the table in a gesture of impatient rejection” and wrote to the psycholo-gist that he did not “put much value on such confirmation” (Rosenzweig, 1985, pp. 171,173). He believed there was no need for the kinds of experiments published in the psy-chology journals of the day because “they told him nothing more than he had alreadylearned from his clinical encounters with patients” (Holzman, 1994, p. 190).
Freud insisted that his work was scientific, that he had amassed ample proof for hisconclusions, and that only psychoanalysts who used his techniques were qualified tojudge the scientific worth of his work. Freud wrote that psychoanalysis was based on“an incalculable number of observations and experiences, and only someone who hasrepeated those observations on himself and on others is in a position to arrive at a judg-ment of his own upon it” (Freud, 1940, p. 144).
Difficulty arises because Freud’s observations cannot be repeated. As we have seen, wehave no way of knowing exactly what he did in collecting his data and in translating hisobservations into hypotheses and generalizations.
Scientific Testing of Freudian Concepts
In the years since Freud’s death in 1939, many of his ideas have been submitted toexperimental testing. An analysis of some 2,500 studies evaluated the scientific credibilityof some of Freud’s ideas. In this evaluation, case histories were not considered. Everyeffort was made to restrict the investigation to data thought to have a high degree ofobjectivity (Fisher & Greenberg, 1977, 1996).
The researchers found that some Freudian concepts—notably the id, ego, superego,death wish, libido, and anxiety—could not be tested by the experimental method. Con-cepts that could be tested, and which evidence appeared to support, however slightly,included the oral and anal character types, the basic concept of the Oedipal triangle, cas-tration anxiety, and the notion that females resolve the Oedipal dilemma by having achild as compensation for the lack of a penis.
Concepts not supported by research evidence include those of dreams as disguisedexpressions of repressed wishes, resolution of the male Oedipus complex by identifica-tion with the father and acceptance of the father’s superego standards out of fear, andthe idea that women have inadequately developed superegos. In addition, researchersfound no evidence to support the psychosexual stages of development or a relationshipbetween Oedipal variables and sexual problems later in life.
The Unconscious The notion that unconscious forces can influence conscious thoughtand behavior is now well established. Current research shows that unconscious influencesmay be even more pervasive than Freud suggested (Custers & Aarts, 2010; Scott & Dienes,2010; Gafner, 2012). One personality researcher observed that “today there is agreementthat much [psychological] functioning occurs without conscious choice and that some ofour behavior actually occurs in opposition to what is consciously desired” (Pervin, 2003,p. 225). Psychologists also recognize that much of the information processing involved incognitive activities is unconscious (Armstrong & Dienes, 2014). Some even propose thatthe causal mechanisms underlying all behavior and thought may be unconscious (Bargh& Chartrand, 1999; Wegner & Wheatley, 1999).
It now appears that the unconscious is “smarter” than first thought, capable of processing com-plex verbal and visual information and even anticipating (and planning for) future events…. Nolonger simply a repository for drives and impulses, the unconscious appears to play a role inproblem solving, hypothesis testing, and creativity. (Bornstein & Masling, 1998, pp. xiii–xxviii)
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Subliminal Perception Much research on the nature of the unconscious involvessubliminal perception in which stimuli are presented to people below their level of con-scious awareness. (The word subliminal derives from sub, meaning below, and limen,meaning threshold.) Despite their inability to perceive the stimuli, their conscious pro-cesses and behavior are activated by the stimuli. In other words, people can be influencedby things they are not consciously aware of seeing.
In one study, subjects were shown a series of words and pictures for such a brief timethat they could not consciously perceive them (Shevrin, 1977). Then, when they wereasked to free-associate, what they talked about reflected the stimuli they had beenshown but had not actually been able to see. For example, when the stimulus was a pic-ture of a bee, the associations included the words sting and honey. The subjects’ thoughtprocesses were affected by the stimuli, even though they were unaware of having seenthem. Many such studies using subliminal perception support the idea that cognitiveactivity is influenced by the unconscious (Westen, 1998).
Effects on Behavior A series of experiments on college students in the United Statesand in Germany showed that goals could be aroused, or activated, outside of consciousawareness. In addition, behaviors to satisfy these goals were then displayed, even thoughthe students were not consciously aware of doing so. For example, the subliminallyaroused goal of performing better on an experimental task led them to actually performbetter. In another instance, the unconsciously activated goal of being cooperative on anexperimental task led to cooperative behaviors. The authors of the study concluded that“behavioral goals can become activated without any consciously made choice required”(Bargh, Gollwitzer, Lee-Chai, Barndollar, & Troetschel, 2001, p. 18).
When college students in the United States were shown happy faces, below the levelof conscious awareness, they consumed more of a beverage that was made available tothem than did students who were exposed to images of angry faces. The happy-facegroup also indicated a greater willingness to pay for their drink and to want more of itthan did the angry-face group. Although none of the students consciously saw the faces,the stimuli had registered in their unconscious and acted to influence their behavior(Winkielman, Berridge, & Wilbarger, 2005).
Effects on Emotional Processes Other imaginative research has demonstrated thatthe unconscious can influence emotional as well as cognitive and behavioral processes. Inone such study, the words Mommy and I are one were flashed for 4 milliseconds toresearch participants, along with a picture of a man and a woman joined together attheir shoulders.
Male schizophrenic patients exposed to this subliminally presented stimulus showed agreater improvement than did a control group not exposed to that message. Femaleschizophrenic patients showed no improvement when exposed to that message but didshow improvement when presented with the subliminal message: Daddy and I are one(Silverman & Weinberger, 1985).
In other studies, the Mommy and I are one message was effective in helping a varietyof research peoples stop smoking and drinking, become more assertive, eat a morehealthful diet, and reduce fears. Thus, a subliminally presented message has beenshown to have therapeutic value (Weinberger & Silverman, 1990).
A study of adults in England found that those who scored high in anxiety sensitivitywere far more likely to see anxiety-related words that were presented below the level ofconscious awareness than were adults who scored low in anxiety sensitivity. The sensitiv-ity of the first group made them more vigilant and thus more likely to perceive anxiety-related words, even though the words were presented so rapidly that the people did notconsciously see them (Hunt, Keogh, & French, 2006).
subliminal perceptionPerception below thethreshold of consciousawareness.
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Other research has shown that subliminally presented stimuli—in this case, fearfulfaces—actually raised the physiological stress levels of the subjects, even though theydid not actually see the stimuli (Hansel & von Kanel, 2013).
The Ego We noted that Freud viewed the ego’s role as constantly mediating betweenreality and the insistent demands of the id. The ego is the rational part of the personalitythat must control and postpone the id’s demands, balancing them against the circum-stances and demands of the real world. Psychoanalytic researchers have identified twocomponents of the ego: ego control and ego resiliency.
Ego control, as you would expect from the name, is close to Freud’s original concep-tion. It refers to the amount of control we are able to exert over our impulses and feel-ings. The degree of ego control ranges from under-controlled (in which we are unable torestrain any impulses and feelings) to over-controlled (in which we tightly inhibit theexpression of our impulses). Both extremes are considered maladaptive.
Ego resiliency refers to our flexibility in adjusting or changing our typical level of egocontrol to meet the daily changes in our environment. Persons with little ego resiliencyare referred to as “ego brittle,” meaning they are unable to alter their level of ego controlto meet challenges or difficult life situations. Those high in ego resiliency are flexible andadaptable, able to tighten or loosen their degree of ego control as the situation warrants.
Mothers between the ages of 21 and 27 who rated their mothering experiences as pos-itive and satisfying were found to have high ego resiliency. Mothers who rated theirmothering experiences as negative were found to have decreased ego resiliency. Theresearchers suggested that difficult life situations, setbacks and failures, or other negativeexperiences tend to lower ego resiliency (Paris & Helson, 2002).
Ego Control among Children Children who score low on measures of ego controlare rated by their teachers as being more aggressive and less compliant and orderly thanchildren who score high on ego control. Children who score high on ego resiliency arerated by their teachers as better able to cope with stress, lower in anxiety, and less inneed of reassurance than children low in ego resiliency.
A study of 5-year-old children in the Netherlands found that those with low ego resil-iency showed physiological signs of greater stress during negative situations, typicallyinteractions with their parents. Children high in ego resiliency did not show such evi-dence of stress in similar situations (Smeekens, Riksen-Walraven, & van Bakel, 2007).
High ego resiliency also correlated positively with general intelligence, good grades inschool, popularity with peers, greater life satisfaction, and better social functioning. Lowego control in boys and girls, and low ego resiliency in girls, was related positively todrug abuse in adolescence. Thus, important aspects of personality and behavior can belinked to ego control and ego resiliency (Block & Block, 1980; Chung, 2008; Hofer,Eisenberg, & Reiser, 2010; Shiner, 1988).
Research using college students found that those low in ego control tended to be unpre-dictable, assertive, rebellious, moody, and self-indulgent. Those very high in ego controlwere described as bland, consistent, dependable, and calm. Students rated high in ego resil-ience were assertive, poised, socially skilled, and cheerful (Letzring, Block, & Funder, 2005).
A longitudinal study that periodically assessed these personality characteristics inAmerican subjects ranging in age from 3 to 23 found that both ego control and ego resil-iency were generally stronger later in life than in childhood. Individual differences in egocontrol were seen at various ages, suggesting that one’s level of ego control could beidentified early (Block & Block, 2006).
Research in Italy found a marked stability in ego resilience from ages 16 to 20 for bothmale and female subjects. In contrast, studies in Sweden found that boys tended to become
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less ego resilient in adolescence while girls became more ego resilient. These results suggestthe possibility of cultural and gender differences in ego resiliency (Chuang, Lamb, &Hwang, 2006; Vecchione, Alessandri, Barbaranelli, & Gerbino, 2010).
Finally, it probably will not surprise you to learn that ego resiliency is also related topositive mental health. Research in a variety of countries including the United States,Italy, Spain, Portugal, South Korea, and Pakistan, using subjects ranging from collegestudents to the elderly to amputee war veterans, showed clearly that those who scorehigh in ego resiliency also score high in subjective well-being, extraversion, and agree-ableness. (Alessandri, Vecchione, Caprara, & Letzring, 2012; Gunsung, 2013; Seaton,2014; Zeb, Naqvi, & Zonash, 2013).
Catharsis To Freud, catharsis involved the physical expression of an emotion by recal-ling a traumatic event, which often led to relief of the disturbing symptom. In popular cul-ture, the term catharsis has come to refer to expressing one’s emotion as a way of reducinghostility and aggression. Self-help books urge us to give vent to anger by taking it out onsome inanimate object—beating a pillow, breaking a dish, or hitting a punching bag. Doesthis work? Does acting out aggressions reduce negative emotions? The answer is no.
In one study of catharsis, two groups of college students were exposed to messagesthat either supported or disputed the notion that cathartic behavior is a good way torelieve anger. Next, some of the students were experimentally provoked to anger; anessay they had written was severely criticized. They were told that their paper was oneof the worst essays ever written.
Students who were thus provoked and who had read the pro-catharsis message weresignificantly more prone to act out their aggression by hitting a punching bag. In a sec-ond experiment, those who received the pro-catharsis message not only hit the punchingbag but also behaved aggressively toward the person who had annoyed them by criticiz-ing their writing. They even displayed heightened aggression toward innocent peoplewho had played no role in promoting their anger.
So, hitting the punching bag had not been cathartic. It had not dissipated their angerbut might even have increased it (Bushman, Baumeister, & Stack, 1999). Other researchconfirmed that venting anger served to increase the likelihood of expressing more anger,and did not reduce negative emotions (Bushman, 2002; Lohr, Olatunji, Baumeister, &Bushman, 2007). Other research has shown that people who believed venting anger wasgood for them were more attracted to violent video games than were those who did notbelieve in the value of catharsis (Bushman & Whitaker, 2010).
Displacement Displacement involves shifting one’s id impulses from a disturbingobject that is not available to a substitute object or person. An analysis of 97 studies sup-ported the contention that displaced aggression is a viable and reliable phenomenon.The analysis found that the more negative and stressful the setting or context in whichdisplacement occurs, the greater the intensity of that displacement (Marcus-Newhall,Pedersen, Miller, & Carlson, 2000).
A study of college students found that those in a group that was experimentally pro-voked to anger, and then left to spend 25 minutes focusing their attention on their angrythoughts and feelings, were far more likely to demonstrate displaced aggression thanthose whose experimental condition did not include the 25 minutes of brooding. Theresearchers concluded that dwelling on our anger maintains the feeling and is likely tocause it to be expressed outwardly in aggressive behavior (Bushman, Bonacci, Pedersen,Vasquez, & Miller, 2005).
Repression Research has provided support for the Freudian defense mechanism ofrepression. In one study, subjects memorized two lists of words that were flashed on a
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screen. Some words on the lists were conceptually similar; for example, cats and dogs areboth animals. The subjects were then given an electric shock with some words on thefirst list. No shocks were administered with the words on the second list.
Then they were tested on how well they remembered the words. They forgot thewords that had been accompanied by the shock but recalled those not accompanied bythe shock. They also repressed words on the second list that were conceptually similar tothe words on the first list that had been accompanied by a shock. The researchersconcluded that the threatening words had been pushed out of conscious awareness(Glucksberg & King, 1967).
Repressors and Non-Repressors A number of differences have been found betweenthose of us who habitually repress bad experiences and memories and those who do not.It is not as though repressors are simply forgetful and have trouble remembering muchof anything. Rather, they only have problems remembering specific experiences that theyfound negative, stressful, fearful, and traumatic (Saunders, Worth, Vallath, & Fernandes,2014).
Repressors tend to be low in anxiety and high in defensiveness, and to havesignificantly poorer recall of negative memories from childhood (Davis, 1987; Myers &Derakshan, 2004). In addition, repressors are far more likely to avoid romantic attach-ments than are non-repressors (Davis, 1987; Vetere & Myers, 2002). Repressors are alsoless likely to smoke and drink, and to score higher than non-repressors on the belief thatexcessive drinking would not lead to harmful personal consequences (Shirachi &Spirrison, 2006).
Repressors have also been shown to be much more likely than non-repressors to denypossessing personality traits they had identified as personally emotionally threatening,such as selfishness, laziness, rudeness, and dishonesty. Repressors also had fewerunpleasant or threatening emotional memories available for retrieval than did non-repressors because they had repressed them (Newman, Duff, & Baumeister, 1997;Newman & McKinney, 2002; Schimmack & Hartmann, 1997).
Repressors and non-repressors have been compared on a number of experimentaltasks. When some were shown pictures of neutral, nonthreatening stimuli and picturesof embarrassing, threatening stimuli, the repressors avoided even looking at the threaten-ing ones. When repressors were asked to free-associate to phrases with sexual or aggres-sive content (presumably threatening material), physiological measurements showedthem to be highly emotionally aroused, yet their verbal responses gave no hint of angeror sexual arousal because they had repressed their emotional reactions. Non-repressorsdid not inhibit their emotional reactions, and this was evident in their verbal responses(Davis, 1987).
In another study, repressors and non-repressors were shown a grisly and disturbingfilm about animal mutation and lingering death from the effects of nuclear testing.When they were asked to recall a personal experience that made them happy, repressorsremembered more pleasant events and thoughts than did non-repressors.
The researchers concluded that the repressors coped with the negative stimuli in thefilm by accessing positive memories. Thus, repressors did not experience to the same fre-quency and degree as non-repressors the distressing emotional states engendered by thefilm. The repressors were not merely pretending to be unaffected; they had repressed theexperience successfully (Boden & Baumeister, 1997).
Repression was also studied in two groups of children in the United States. Some ofthe children were healthy while others had cancer or other chronic debilitating illnesses.The sick children were more likely to be repressors and less likely to express anger thanthe healthy children (Phipps & Steele, 2002).
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Projection Research on projection—attributing one’s negative traits and behaviors tosomeone else—have found that accusing another person of lying and cheating in a gameincreased the amount of blame placed on that person and reduced the amount of blamethe subjects placed on themselves for showing the same negative behaviors (Rucker &Pratkanis, 2001). Adults who were of a higher social class as children are more likely touse projection than those who were raised in lower-class families (Cramer, 2009).
Projection can also influence our judgments about our spouses or partners. A study ofunemployed job seekers found that they projected their feelings of depression about the stres-ses of unemployment onto their partners when asked to make everyday judgments aboutthem. In addition, the more alike the partners were on a psychological measure of depres-sion, the greater was the tendency for one to project that feeling when judging the other.
The researchers noted: “Individuals seem more likely to assume that their spouses arelike them when their spouses actually are like them” (Schul & Vinokur, 2000, p. 997).Thus, in this instance, the subjects were accurate in projecting their own characteristicsonto their spouses or partners.
A Hierarchy of Defense Mechanisms Studies have found a hierarchy among theFreudian defense mechanisms in which the simpler ones are used earlier in life and themore complex ones emerge as we grow older. For example, denial, which is a simple,low-level defense mechanism, is used mostly by young children and less often by adoles-cents. Identification, a more complex defense, is used considerably more by adolescentsthan by younger children. Denial is also used more frequently by boys. Girls are morelikely to use the more complex mechanisms of regression, displacement, and reactionformation (Tallandini & Caudek, 2010).
In research on students from grades 2, 5, 8, 11, and first-year college classes,responses to the Thematic Apperception Test pictures supported the notion of clear agedifferences in defense mechanisms. The use of denial and projection decreased with agewhereas identification increased with age (Porcerelli, Thomas, Hibbard, & Cogan, 1998).A longitudinal study of 150 students ages 11 to 18 found that the projection and identi-fication defenses were used more often than denial, and that their use increased fromearly to late adolescence (Cramer, 2007).
A longitudinal study of people who were first tested in nursery school and later at age23 found a link between preschool personality and the use of denial as young adults. Aswe noted earlier, denial tends to be used as a defense mechanism mostly by children andits use typically declines with age. In this study, however, the male subjects who at age 23were still using denial had a number of psychological problems that had been identifiedwhen they were in nursery school.
Their childhood personalities were high in emotional immaturity and unworthinessand low in personal competence and ego resiliency. For women subjects, no such clearrelationship was found between childhood personality and the continued use of denial atage 23. The authors of the study suggested that boys might be more vulnerable to stressthan girls (Cramer & Block, 1998).
A study of American adults found that the use of displacement and regression asdefense mechanisms decreased from adolescence to early old age in the mid-60s. Subjectsolder than that, however, reverted to the more maladaptive defenses they had used whenthey were younger (Diehl, Chui, Hay, Lumley, Gruhn, & Labouvie-Vief, 2014).
Two studies conducted in Canada demonstrated that adolescent girls with anorexianervosa (an eating disorder), and older women who had been victims of spouse abuse,were far more likely to use denial as a coping mechanism than were girls or womenwho were not in these categories. The researchers suggested that by unconsciously deny-ing their difficulties, the girls and women were attempting to minimize or distance them-selves from their situations (Arokach, 2006; Couturier & Lock, 2006).
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A study of adult men found that those who tried to protect themselves from feelingsof weakness by being more powerful and competitive and avoiding emotional expressiontended to use more immature defense mechanisms. Those men who did not feel so greata need to be more powerful than others and who could express their emotions morefreely used more mature defense mechanisms (Mahalik, Cournoyer, DeFrank, Cherry,& Napolitano, 1998). Research has also found that parents who abuse their childrentend to use the immature defense mechanism of denial (Cramer & Kelly, 2010).
Defense Mechanisms in Asian Cultures The notion of defense mechanisms wasproposed and developed in a European setting from studies of White middle-classpatients. Much of the ensuing research conducted on defense mechanisms was per-formed using American or European subjects. In an unusual study of Asians andAmericans, a group of Americans was compared with a group of Asian Buddhists livingin Thailand. The researchers found a strong similarity between people in the two cul-tures in their use of regression, reaction formation, projection, repression, denial, andcompensation (Tori & Bilmes, 2002).
Later research on college students in China diagnosed with borderline personality dis-orders showed that they used more immature defense mechanisms than students withoutsuch disorders (Xiang, Li, & Shen, 2010).
Dreams Early research on dreams confirmed Freud’s idea that dreams in disguised orsymbolic form reflect emotional concerns. However, research does not support his ideathat dreams represent a fulfillment of wishes or desires. His ideas on dreams have none-theless spurred a large number of studies on various aspects of dreams and dreaming.
Effect of Traumatic Experiences on Dreams It seems clear that dreams are oftencharacterized by highly emotional content from the dreamers’ own lives, both past andpresent. For example, large-scale surveys of Germans between the years 1956 and 2000showed that those old enough to have been affected directly by World War II (1939–1945) were experiencing highly emotional war-related dreams more than 50 years afterthe war ended (Schredl & Piel, 2006).
The same was found in studies of British soldiers who had been prisoners of theGermans in World War II. The themes of their dreams centered on being in battle,imprisonment, attempts to escape, and hunger (Barrett, Sogolow, Oh, Panton, Grayson,& Justiniano, 2014). Studies of survivors of 21st century wars in Iraq and Afghanistanshowed that the soldiers’ dreams were also characterized by flashbacks to traumaticscenes of battle and other forms of combat stress (Phelps & Forbes, 2012).
Studies of Kurdish and of Palestinian children exposed to physical danger in theireveryday lives showed that they dream about threatening and traumatic situations farmore than children of these and other cultures reared in more peaceful surroundings(Valli, Revonsuo, Palkas, & Punamaki, 2006).
More Ordinary Dream Content A great deal of research confirms that dreams alsoreflect mundane, ordinary, everyday experiences, and that the emotional intensity ofthese experiences, as well as the person’s mood, influences the dream stories (see, forexample, Schredl, 2006; Schredl, Funkhouser, & Arn, 2006). It apparently often happensthat if you are having a bad day, you may well have bad dreams that night. And if some-thing in your room smells bad, even that can affect your dreams. Research in a sleeplaboratory in Germany found that a mere 10 seconds’ exposure to the smell of roseswhen the subjects were asleep resulted in more pleasant dreams than being exposed tothe smell of rotten eggs (Hutson, 2010).
68 The Psychoanalytic Approach
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Studies of adults in the United States and in Germany found that women recall theirdreams far more than men do, perhaps because women wake up more frequently duringthe night. Men dream more about male characters, while women dream more or lessequally about both male and female characters. Men have many more aggressive dreamsthan women do (Blume-Marcovici, 2010; Schredl, 2010a).
A long-term study of adults in Canada who kept diaries of their dreams showed asignificant correlation between the nature of their dreams and their psychological well-being. Those with lower levels of psychological well-being (thus presumably less happy)reported more dreams of aggression toward others, negative emotions, and failure andmisfortune. Those with higher levels of psychological well-being reported dreams offriendly interactions with others, positive emotions, and success and good fortune(Pesant & Zadra, 2006).
Finally, it may not surprise you to learn that college students often dream about sex.In addition, male students dream more about bonding with friends, while female stu-dents dream more about pregnancy, weddings, and shopping (Rainville & Rush, 2009).
Effects of Electronic Media on Dreams Exposure to electronic media such as cell-phones, smartphones, computers, DVDs, and video games, as well as interactive Internetuse, have all been shown to influence the content and frequency of dreams (Gackenbach,Kuruvilla, & Dopko, 2009). People who spend a great deal of time playing video gamestend to have more bizarre dreams containing dead and imaginary characters than peoplewho spend considerably less time playing video games (Gackenbach, Kuruvilla, &Dopko, 2009; Schneider & Domhoff, 2006).
Large-scale studies of children in Britain showed clearly that what they watched ontelevision, as well as what they read, affected the contents of their dreams. It was alsofound that the more time the kids spent on any one activity, the more it influencedtheir dreams (Lambrecht, Schredl, Henley-Einion, & Blagrove, 2013; Stephan, Schredl,Henley-Einion, & Blagrove, 2012).
When Chinese college students were asked whether they dreamed in color or in blackand white, those who had watched black-and-white television and films as childrenanswered that they dreamed in black and white. Those who had greater exposure tocolor TV and movies dreamed in color (Schwitzgebel, Huang, & Zhou, 2006).
Did you ever think playing video games might protect you against nightmares? Someresearchers thought so and they found that among students who had experienced trau-mas, those who played a lot of video games were less troubled by nightmares than thosewho did not. However, the protection of video games only worked for men, not women(Gackenbach, Darlington, Ferguson, & Boyes, 2013).
Cultural Differences in Dreams Cultural differences in dreaming have been studiedin several populations. Research on the Parintintin Indians of Brazil’s Amazon rain forestshowed that they believe dreams are a means of telling the future. They take dreams seri-ously, their own and those of relatives and friends (Kracke, 2010).
A comparison of the dreams of college students in the United States and China revealedthat the Chinese students reported more familiar people in their dreams and fewer aggres-sive situations than did the American students (Xian-Li & Guang-Xing, 2006). The dreamsof Chinese were found to contain such sex symbols (according to Freud) as knives, swords,and daggers, much more than the dreams of American subjects (Yu, 2010).
A study of White and Asian-American college students showed that in childhood, theWhites were much more likely to tell their parents about their dreams. They were alsomore likely as they got older to describe their dreams to friends and to place a high valueon their dreams. The Asian-American students were more secretive about their dreamsand were highly reluctant to talk about them (Fiske & Pillemer, 2006).
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Research comparing the contents of dreams reported by Iranian and American collegestudents found that the Iranians were far more likely to dream about people they know, todream about events taking place indoors, and to experience more positive emotions in theirdreams than the American sample (Mazandarani, Aguilar-Valaje, & Domhoff, 2013).
Interpreting Our Dreams People in both Eastern and Western cultures tend toagree that dreams may contain hidden personal truths that can provide useful informa-tion about themselves and their environment (Morewedge & Norton, 2009). As a result,many people are interested in dream interpretation. A study of Islamic students in theUnited Arab Emirates found that approximately two-thirds of the female students andone-third of the male students expressed a great interest in interpreting their dreams(Salem, Ragab, & Abdel, 2009; Schredl, 2010b). Other research has found that Muslimsin the United Arab Emirates are far more interested in dream interpretation than a sam-ple of Canadians of the same age (Salem, 2014).
A group of Japanese researchers have determined that it is possible for computers tointerpret and recognize the visual images that are taking place in dreamers’ minds whenthey are asleep. They awakened sleeping subjects every 6 minutes to ask them to describewhat they were seeing just before they woke up. They then wrote a computer program tosort through the different patterns of brain activity recorded on an MRI (Magnetic Res-onance Imaging) of the subjects’ brain activity while they were both awake and asleep.The computers “learned” to decode the images that appeared in the dreams with anaverage accuracy rate of 66 percent. The researchers claim that this is the first steptoward the day when computers will interpret and analyze our dreams for us (Horikawa,Tamaki, Miyawaki, & Kamitani, 2013).
The Oedipus Complex Most psychological research leads to the conclusion thatthere is no validity at all to Freud’s concept of the Oedipus complex (Kupfersmid,1995). However, there have been a number of studies dealing with the behavior and atti-tudes of children toward parents of the same and opposite sex, which is a major ingredi-ent of Freud’s notion of the Oedipal relationship.
For example, parents of boys and girls ages 3 to 6 were asked to record affectionatebehaviors and aggressive or hostile behaviors their children directed toward them. Theresults showed that acts of affection toward the parent of the opposite sex and aggressiontoward the parent of the same sex occurred much more frequently than the reverse.These types of Oedipal-related behaviors were greatest around age 4 and began todecline by age 5 (Watson & Getz, 1990). A classic study found that significantly moremen reported dreams reflecting castration anxiety; significantly more women reporteddreams reflecting castration wishes or penis envy (Hall & Van de Castle, 1965).
Freud proposed that penis envy in girls leads them to view the father as a love object,a desire later supplanted by the wish for a baby. In an experimental test of this proposal,college-age women were exposed to subliminal messages containing pregnancy themes.Their later responses on an inkblot test were found to contain significantly more phallicimagery than the responses of women in the control group or of college-age menexposed to the same stimuli. The researchers claim that these results support Freud’sbelief that pregnancy has phallic significance for women (R. L. Jones, 1994).
A study conducted in Wales of boys and girls ages 12 to 14 assessed their attitudestoward their parents. The results showed that children who were ambivalent towardtheir fathers (who viewed them with a mixture of both love and hatred) displayed aless secure attachment toward other people than did children who did not feel ambiva-lent about their fathers. The researchers noted that this finding supports Freud’s insis-tence on the importance of the father in influencing the child’s later relationships(Maio, Fincham, & Lycett, 2000).
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Oral and Anal Personality Types An investigation of the oral personality typeshowed a strong relationship between the oral orientation, as identified by theRorschach, and obesity (Masling, Rabie, & Blondheim, 1967). This supports Freud’s con-tention that oral types are preoccupied with eating and drinking. Another study foundoral personality types to be more conforming to the suggestions of an authority figurethan anal personality types (Tribich & Messer, 1974). According to Freud, oral personal-ities are dependent and submissive and should be more conforming than anal personal-ities; anal types tend to be hostile and can be expected to resist conformity.
Freud also contended that women were more orally dependent than men were, butlater research found no such difference between the sexes (O’Neill & Bornstein, 1990).In general, then, there is some research support both for the oral and anal personalitytypes (Westen, 1998). There is little empirical evidence for the phallic personality type.
It has been suggested that Freud’s anal character keeps resurfacing or recycling in psy-chology under different names, such as conscientiousness, orderliness, obstinacy, and theobsessive-compulsive personality disorder (Haslam, 2011).
Age and Personality Development Freud proposed that personality was formed byabout the age of 5 and was subject to little change after that. Later research on personal-ity development over time indicate that the personality characteristics of preschool chil-dren changed dramatically, as shown by follow-up studies conducted over 6 to 7 years(Kagan, Kearsley, & Zelazo, 1978). Other studies suggest that the middle childhoodyears (ages 7–12) may be more important in establishing adult personality patternsthan the early childhood years.
Noted child development psychologist Jerome Kagan reviewed the literature and con-cluded that personality appears to depend more on temperament and experiences in laterchildhood than on early parent–child interactions, as Freud had suggested (Kagan, 1999).Although there is no denying that our first 5 years of life affect our personality, it is nowobvious that personality continues to develop well beyond that time.
The Freudian Slip According to Freud, what appears to be ordinary forgetting or acasual lapse in speech is actually a reflection of unconscious motives or anxieties. Inresearch to test this phenomenon, two groups of men were shown the same pairs ofwords flashed on a computer screen (Motley, 1987). When a buzzer sounded, they wereasked to say the words aloud. One group had electrodes attached to their bodies; theywere told that during the experiment they would receive a painful electric shock. Thissituation was an experimental way of engendering anxiety. In the second group, theexperimenter was an attractive, sexy woman. This group was given a test of sexualanxiety.
Men anxious about the electric shock made verbal slips such as damn shock when thewords on the screen were sham dock. Those in the sexual anxiety condition revealed thatanxiety in verbal slips such as nude breasts for brood nests. Those who scored high onthe sexual anxiety test made the greatest number of sex-related Freudian slips.
Men in a control group exposed to the same words but to neither anxiety-arousingcondition did not make verbal slips. Not all lapses in speech are Freudian slips, of course,but research suggests that at least some may be what Freud said they were—hidden anx-ieties revealing themselves in embarrassing ways.
A recent American president speaking before a teacher’s group said “I’d like to spankall teachers.” Clearly he meant to say that he wanted to thank all teachers. Another well-known American politician said he wanted to encourage “the breast,” when referring to“the best and the brightest” (quoted in Pincott, 2013). Do you think these might havebeen Freudian slips?
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Repressed Memories of Childhood Sexual Abuse In the late 1980s, the issue ofrepressed memories resurfaced in sensational legal proceedings involving people whoclaimed they suddenly recalled incidents of abuse that had occurred years earlier.Women brought criminal charges against fathers, uncles, and family friends; men broughtcharges against priests, coaches, and teachers. Some of the accused were convicted andimprisoned on the basis of memories of incidents said to have taken place as long as20 years before. Such accusations and subsequent trials are still taking place today.
Research on repressed memories of childhood sexual abuse has found ample evidencethat such abuse can be forgotten for many years before being recalled (Delmonte, 2000).A study of women who had either repressed their memories, recovered such memories,or had never forgotten the experiences found that those who reported recovered memo-ries scored higher on measures of fantasy proneness and dissociation (a splitting off ofmental processes into separate streams of awareness) (McNally, Clancy, Schacter, &Pitman, 2000). Such states could, of course, be attributed to the childhood trauma.
Despite evidence to support the existence of repressed memories of childhood sexualabuse that did occur, research has also demonstrated how easily false memories can beimplanted and recollections distorted, to the point where something that never occurredcan be made conscious and appear to be genuine (Loftus & Ketcham, 1994; Ofshe &Watters, 1994).
In one study, young children were interviewed 4 years after they had spent 5 minutesplaying with a man sitting across a table. The man never touched the children. Duringfollow-up interviews, researchers created a climate of accusation by telling the childrenthey would be questioned about an important event in their lives. “Are you afraid to
HIGHLIGHTS: Research on Freud’s Ideas
People who score low in ego control tend to be:
• Aggressive and noncompliant• Unpredictable and assertive• Moody and self-indulgent
People who score low in ego resiliency tend to be:
• Stressed during negative interactions with parents• Anxious and in need of reassurance• Unassertive, sad, and lacking social skills
People who vent anger through catharsis tend to be:
• Even angrier afterward• Attracted to violent video games
Research supports Freud’s concepts of:
• The influence of the unconscious• Displacement• Repression• Denial• Projection• Dreams as a reflection of emotional concerns• The so-called Freudian slip
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tell?” they were asked. “You’ll feel better once you’ve told” (Ceci & Bruck, 1993, p. 421).One-third of the children agreed with the interviewer’s suggestion that they had beenhugged and kissed by the man. Two of the children agreed with the suggestion that theyhad been photographed in the bathroom; one agreed that the man had given her a bath.
A study involving college students in Italy showed that dream interpretation could beused to implant false memories. Half of the students were told by a psychologist who wasalso a popular radio celebrity that their dreams were manifestations of repressed memo-ries of traumatic childhood events. Examples of these incidents included being aban-doned by their parents or lost in an unfamiliar place. The other group of subjects didnot receive such interpretations of their dreams.
All the subjects had been selected on the basis of questionnaire responses completedweeks earlier in which they had stated that no traumatic events had occurred duringtheir childhood. When questioned 10 to 15 days after the dream interpretations, themajority of the experimental subjects agreed that the traumatic experiences had reallyhappened and that they had repressed the memories for years (Mazzoni, Lombardo,Malvagia, & Loftus, 1999).
Elizabeth Loftus, a pioneering researcher in the area, concluded that overall, “there is littlesupport for the notion that trauma is commonly banished out of awareness and later reliablyrecovered by processes beyond ordinary forgetting and remembering…. There can be nodoubt that ‘memories’ for factually fake as well as impossible, or at least highly improbable,horrific traumatic events were developed [or implanted], particularly among persons sub-jected to suggestive memory recovery procedures” (Loftus & Davis, 2006, pp. 6, 8).
However, it is important to keep in mind that childhood sexual abuse does occur. It is ahaunting reality for many people and far more widespread than Sigmund Freud envisionedin the 19th century. The effects can be debilitating. Men and women who were sexuallyabused as children have strong tendencies toward anxiety, depression, self-destructiveness,low self-esteem, and suicide (see, for example, McNally, Perlman, Ristuccia, & Clancy,2006; Pilkington & Lenaghan, 1998; Westen, 1998).
Extensions of Freudian Theory
Several theorists we will cover in the chapters to follow developed positions in oppositionto Freud’s. Other theorists remained faithful to some of Freud’s basic assumptions butattempted to expand, extend, or elaborate on his views. One of the most important ofthis group was Freud’s daughter Anna, who set out to counteract what were seen as weak-nesses or omissions in the Freud’s psychoanalysis and to build on those weaknesses.
Ego Psychology: Anna Freud
Anna Freud (1895–1982) said she never would have been born if a safer contraceptivemethod been available to her parents. Despite that beginning she became the only oneof Freud’s six children to follow in his path (Young-Bruehl, 1988). She was an unhappychild who was jealous of the older sister favored by her mother and was ignored by herother siblings. She later lamented “the experience of being … only a bore to them, and offeeling bored and left alone” (Appignanesi & Forrester, 1992, p. 273).
But Anna was not ignored by her father. She became his favorite, and by the age of 14was dutifully attending meetings of his psychoanalytic group, listening attentively to thecase histories being presented and discussed. At 22, Anna began 4 years of psychoanaly-sis with her father, who was later sharply criticized for analyzing his daughter.
One historian called it “an impossible and incestuous treatment…. an Oedipal acting-in at both ends of the couch” (Mahoney, 1992, p. 307). But another explained: “No one
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else would presume to undertake the task, for Anna’s analysis would inevitably call intoquestion Freud’s role as her father” (Donaldson, 1996, p. 167). To analyze one’s childwas a serious violation of Freud’s own rules for the practice of psychoanalysis, and thesituation with Anna was kept secret for many years.
In her analysis Anna reported violent dreams involving shooting, killing, and dying,as well as defending her father from his enemies. Nevertheless, “she shared with him hersexual fantasies and her forays into masturbation and emerged from the analysis gratefulto her father and more committed to him than ever” (Edmundson, 2007, p. 61).
Anna Freud joined the Vienna Psychoanalytic Society, presenting a paper entitledBeating Fantasies and Daydreams. Although she claimed to be describing the experiencesof a patient, she was actually relating her own fantasies. She spoke of an incestuous loverelationship between father and daughter, a physical beating, and sexual gratificationthrough masturbation.
She devoted her life to the care of her father and to his system of psychoanalysis. Severalyears after he died she described a series of dreams she had about him. “He is here again.All of these recent dreams have the same character: the main role is played not by my long-ing for him but rather his longing for me…. In the first dream of this kind, he openly said:‘I have always longed for you so’ ” (Anna Freud, quoted in Zaretsky, 2004, p. 263).
And while Anna was close to death, some 40 years after her father died, she would sit ina wheelchair wearing his old wool coat, which she had kept all those years (Webster, 1995).
Anna Freud’s Approach to Psychoanalysis Whereas the elder Freud had workedonly with adults, attempting to reconstruct their childhoods by eliciting their recollec-tions and analyzing their fantasies and dreams, Anna worked only with children. Sheestablished a clinic and a center to train analysts in the building next door to her father’shome in London. In 1927 she published Four Lectures on Child Analysis. Sigmund Freudapproved of her work: “Anna’s views on child analysis are independent of mine; I shareher views, but she has developed them out of her own independent experience” (Freudquoted in Viner, 1996, p. 9).
Anna Freud substantially revised orthodox psychoanalysis by greatly expanding therole of the ego, arguing that the ego operates independently of the id. This was a majorextension of the Freudian system that involved a fundamental and radical change.
She proposed those refinements in The Ego and the Mechanisms of Defense, publishedin 1936 (while her father was still alive), in which she clarified the operation of thedefense mechanisms. The book received widespread praise and is considered a basicwork on ego psychology. The standard defense mechanisms discussed earlier in thischapter owe their full development and articulation to Anna Freud. This is only one ofher significant contributions to psychoanalytic theory.
LOG ON
The Anna Freud CentreThe Anna Freud Centre in London carries on her work with emotionally disturbed chil-dren and adolescents.
Reflections on Freud’s Theory
Freud’s system of psychoanalysis has had a phenomenal impact on theory and practice in psy-chology and psychiatry, on our image of human nature, and on our understanding of
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personality. His influence has also been felt in the general culture and his work has been fea-tured in many popular books, magazines, and newspapers. One article called him an “inescap-able force,” exerting an impact even 65 years after his death (see Adler, 2006, p. 43).
Psychoanalysis contributed to the growing interest of American psychologists in thestudy of personality beginning in the 1930s. In the 1940s and 1950s, the ideas of psycho-analysis influenced the emerging study of motivation in psychology. Contemporary psy-chology has absorbed many Freudian concepts, including the role of the unconscious, theimportance of childhood experiences in shaping adult behavior, and the operation of thedefense mechanisms. As we have seen, these and other ideas continue to generate a greatdeal of research.
We will see further evidence of Freud’s importance in the chapters about personalitytheorists who built on Freud’s system or used it as a source of opposition for their ideas.Great ideas inspire not only by being considered valid but also by being perceived asincorrect, thus stimulating the development of other viewpoints.
The Decline of Freudian Psychotherapy
Freud’s theory of personality remains more influential than his system of psychoanalytictherapy. Although research on Freud’s ideas and experimental tests of his concepts con-tinue to be plentiful, psychoanalysis as a therapeutic technique has declined in popular-ity, particularly in the United States.
In China, however, psychoanalysis as a method of therapy has become more popular.Using Skype, the Internet videoconferencing service and software application, Freudianpsychoanalysts in the United States have been offering training programs to a growingnumber of Chinese psychoanalysts (Osnos, 2011; Wan, 2010). In some European coun-tries, conducting traditional psychoanalytic sessions over the Internet has also beengrowing rapidly with initial reports of successful results (Migone, 2013).
In addition, some research has found that the use of social robots can enhance theeffectiveness of psychoanalysis, particularly among the elderly. These so-called “compan-ion robots” have been successful in enhancing physical and cognitive impairments and inimproving well-being among patients (Costescu, Vanderborght, & David, 2014).
Growing numbers of people are seeking therapy for behavioral and emotional pro-blems, but fewer are choosing the expensive, long-term approach Freud developed.Briefer courses of therapy, lasting from 1 to 15 sessions, have become the norm, alongwith the increasing use of psychotherapeutic drugs.
The trend away from orthodox psychoanalysis in the United States has also been rein-forced by the managed-care approach to total health care. It is considerably less costlyfor insurance companies to approve a treatment regimen that involves simply prescribinga drug rather than a course of psychoanalysis that might last several years. In addition,managed care demands empirical evidence of the effectiveness of therapeutic treatmentbefore providing insurance reimbursement and the evidence for the effectiveness of psy-chotherapy is weak (see, for example, Mayes & Horwitz, 2005).
Criticisms of Psychoanalysis
We have already noted the flaws in the case study approach, Freud’s primary method ofresearch. In addition to those issues, raised mainly by experimental psychologists, thereare also questions asked by other personality theorists. Some argue that Freud placed toogreat an emphasis on instinctual biological forces as determinants of personality.
Others challenge Freud’s focus on sex and aggression as major motivating forces andbelieve that we are shaped more by social experiences than by sexual ones. Some theor-ists disagree with Freud’s deterministic view of human nature, suggesting that we have
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more free will than Freud acknowledged, and that we can choose to act and grow spon-taneously, and to be in at least partial control of our fate.
Another criticism focuses on Freud’s emphasis on past behavior to the exclusion ofour goals and aspirations. These theorists argue that we are also influenced by the future,by our hopes and plans, as much as or more than by our experiences before age 5. Stillother personality theorists think Freud paid too much attention to the emotionally dis-turbed, to the exclusion of the psychologically healthy and emotionally mature.
Critics suggest that, if we wish to develop a theory of human personality, why notstudy the best and the healthiest, the positive human qualities as well as the negativeones? Theorists also take exception to Freud’s views on women, specifically to the con-cepts of penis envy, women’s poorly developed superegos, and women’s inferiority feel-ings about their bodies.
Ambiguous definitions of certain Freudian concepts have also been questioned. Criticspoint to confusion and contradiction in such terms as id, ego, and superego. Are theydistinct physical structures in the brain? Are they fluid processes? In his later writingsFreud addressed the difficulties of defining some of his concepts precisely, but the ques-tions remain.
Freud’s Lasting Influence
This book is a history of modern insights into personality. In our personal and socialgrowth we are never free of our past, nor should we want to be. The past offers the foun-dation on which to build, as later personality theorists have built on Freud’s work. Ifpsychoanalysis has served no other purpose than to inspire others and provide a frame-work within which to develop new insights, then Freud’s importance to the world ofideas is secure. Every structure depends on the soundness and integrity of its foundation.Sigmund Freud gave personality theorists a highly original, stimulating, and challengingbase on which to build.
Chapter Summary
Freud’s theory is at least partly autobiographical in thathe based some of his major concepts on his childhoodexperiences, dreams, and sexual conflicts.
Instincts are mental representations of stimuli thatoriginate within the body. Life instincts serve the pur-pose of survival and are manifested in a form of psychicenergy called libido. Death instincts are an unconsciousdrive toward decay, destruction, and aggression.
The three structures of the personality are the id, ego,and superego. The id, the biological component of per-sonality, is the storehouse of instincts and libido. It oper-ates in accordance with the pleasure principle. The ego,the rational component of personality, operates in accor-dance with the reality principle. The superego, the moralside of personality, consists of the conscience (behaviorsfor which the child is punished) and the ego-ideal (beha-viors for which the child is praised). The ego mediatesamong the demands of the id, the pressures of reality,and the dictates of the superego.
Anxiety develops when the ego is pressured toogreatly. Reality anxiety is a fear of dangers in the realworld. Neurotic anxiety is a conflict between instinctualgratification and reality. Moral anxiety is a conflictbetween the id and the superego. Defense mechanismsoperate unconsciously. They are distortions of realitythat protect the ego from the threat of anxiety. Defensemechanisms include repression, reaction formation,projection, regression, rationalization, displacement,and sublimation.
Children pass through psychosexual stages of devel-opment defined by the erogenous zones of the body.The oral stage involves two modes of behavior: oralincorporative and oral aggressive. The anal stageinvolves the first interference with the gratification ofan instinctual impulse. The phallic stage involves theOedipus complex, the child’s unconscious sexual long-ings for the parent of the opposite sex and feelings ofrivalry and fear toward the parent of the same sex.
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Boys develop castration anxiety; girls develop penisenvy. Boys resolve the Oedipus complex by identify-ing with their father, adopting their father’s superegostandards, and repressing their sexual longing fortheir mother. Girls are less successful in resolvingthe complex, which leaves them with poorly devel-oped superegos. During the latency period, the sexinstinct is sublimated in school activities, sports, andfriendships with persons of the same sex. The genitalstage, at puberty, marks the beginning of heterosexualrelationships.
Freud’s image of human nature is pessimistic. Weare doomed to anxiety, to the thwarting of impulses,and to tension and conflict. The goal of life is to reducetension. Much of human nature is inherited, but part islearned through parent–child interactions.
Two methods of personality assessment are freeassociation and dream analysis. In free association, apatient spontaneously expresses ideas and images inrandom fashion. Sometimes resistances develop inwhich a patient resists talking about disturbing memo-ries or experiences. Dreams have both a manifest con-tent (the actual dream events) and a latent content (thesymbolic meaning of those events).
Freud’s research method was the case study, whichdoes not rely on objective observation. It is not
controlled and systematic, nor is it amenable to dupli-cation and verification. Freud’s data are not quantifi-able, may be incomplete and inaccurate, and werebased on a small and unrepresentative sample.
Some Freudian concepts have been supported byempirical research: the unconscious, repression, projec-tion, displacement, verbal slips, and some characteris-tics of oral and anal personality types. Major portionsof Freud’s theory (the id, superego, death wish, libido,catharsis, and anxiety) have not been scientifically vali-dated. Two components of the ego have been identi-fied: ego control and ego resiliency. With regard torepressed memories of childhood sexual abuse, somemay be real, whereas others may be implanted anddistorted.
Freud’s theory has been modified by Anna Freud,who elaborated on the role of the ego. Personality the-orists criticize Freud for placing too much emphasis onbiological forces, sex, aggression, emotional distur-bances, and childhood events. They also criticize hisdeterministic image of human nature, his negativeviews of women, and the ambiguous definitions ofsome of his concepts. However, there is no denyingFreud’s phenomenal impact on Western culture andon later personality theorists, who either elaboratedupon or opposed his system.
Review Questions
1. In what ways did Freud’s theory reflect his child-hood experiences and his own conflicts about sex?
2. How did Freud define instincts? How do instinctsconnect the body’s needs with the mind’s wishes?
3. Distinguish between the life instincts and the deathinstincts. How do they motivate behavior.
4. Define the id, the ego, and the superego. How arethey interrelated.
5. What did Freud mean when he said that the ego iscaught in the middle, pressured by three insistentand opposing forces?
6. What are the three types of anxiety Freud pro-posed? What is the purpose of anxiety? How do wedefend ourselves against anxiety?
7. Describe how each of the following defensemechanisms protects us against anxiety: reactionformation, projection, sublimation.
8. In what ways do the oral and anal stages of psy-chosexual development differ from one anotherand contribute to personality development?
9. What behaviors characterize an adult fixated at theoral incorporative phase? At the anal retentive phase?
10. How do boys and girls resolve the conflicts of thephallic stage of psychosexual development?
11. In your opinion, how would boys and girls rearedby a single mother resolve these conflicts?
12. What are Freud’s views on the relative influencesof heredity and environment? What is Freud’sposition on the issue of free will versusdeterminism?
13. What kind of information can be revealed by freeassociation? What are resistances?
14. Describe two aspects or contents of dreams. Dis-cuss research conducted to test Freud’s ideas aboutdream contents.
15. Which of the propositions in Freud’s theory havereceived empirical support?
16. What criticisms have been made of Freud’s casestudy method?
17. Give examples of research conducted on theconcepts of the Freudian slip, the ego, andcatharsis.
18. How does research on subliminal perception sup-port Freud’s views on the unconscious?
Chapter 2: Sigmund Freud: Psychoanalysis 77
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19. What is the difference between ego control andego resiliency? Describe some personality charac-teristics of people who score high in ego control.
20. In what ways do repressors differ from non-repressors? Which of the two repressive coping stylesis associated with happier and healthier behavior?
21. At what ages are the defense mechanisms ofdenial, identification, and projection most likely tobe used? Why?
22. Does the Freudian defense mechanism of repres-sion explain all instances of repressed memories ofchildhood abuse? What other factors mightaccount for such memories?
23. Describe some of the ways in which Anna Freudextended and modified traditional Freudian theory.
24. Discuss the current status and acceptance of psy-choanalysis as a personality theory and as amethod of psychotherapy.
Suggested Readings
Cohen, D. (2012). The escape of Sigmund Freud.New York: Overlook Press. An account of Freud’sescape from the Nazis in Vienna with the help of aGerman official, and the last two years of his life inLondon.
Coles, R. (1993). Anna Freud: The dream of psycho-analysis. New York: Addison-Wesley. DescribesAnna Freud’s life, her work on defense mechanisms,and her hopes for the future of psychoanalysis.
Ellenberger, H. F. (1970). The discovery of the uncon-scious: The history and evolution of dynamic psy-chiatry. New York: Basic Books. Traces the study ofthe unconscious from primitive times to Freudianpsychoanalysis and its derivatives.
Gafner, G. (2012). Subliminal: How Your UnconsciousMind Rules Your Behavior. New York: Pantheon. Aphysicist’s account summarizing research in neuro-science and psychology showing how much of ourbehavior, emotions and cognitive processes areinfluenced by unconscious processes.
Krüll, M. (1986). Freud and his father. New York:Norton. Examines the lives of Sigmund Freud andhis father and analyzes the influences of Freud’sexperiences as a son on the development ofpsychoanalysis.
Lerman, H. (1986). A mote in Freud’s eye: From psy-choanalysis to the psychology of women. New York:Springer-Verlag. Describes how Freud’s negativebias toward women developed from his personalexperiences and permeated his theory of psycho-analysis. Shows how Freud’s stages of psychosexualdevelopment, as they apply to females, have beenlargely disproved, and offers criteria for a woman-based personality theory.
Markel, Howard. (2011). An Anatomy of Addiction:Sigmund Freud, William Halstead, and the MiracleDrug Cocaine. New York: Vintage. An account of theuses and abuses of cocaine in the 19th century, asrecounted through the lives of two users, Freud andthe noted American physician William Halstead.
Roazen, P. (1975). Freud and his followers. New York:Knopf. A lively, well-written account of Freud’s lifeand of the men and women who became his disci-ples, some of whom later broke away to form theirown schools of thought.
Sulloway, F. J. (1979). Freud, biologist of the mind:Beyond the psychoanalytic legend. New York: BasicBooks. A biography that places Freud’s work in thecontext of its times and disputes the legend thatFreud was a lonely hero working in isolation.
78 The Psychoanalytic Approach
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The Neo-psychoanalyticApproach
Several personality theorists, who initially were loyal to Freud and committed tohis system of psychoanalysis, broke away because of their opposition to certainaspects of his approach. Carl Jung and Alfred Adler were associates of Freud’sbefore they rebelled against him and offered their own views of personality.Karen Horney did not have a personal relationship with Freud but was also anorthodox Freudian before marking out a different path. Erik Erikson’s work isalso derived from Freudian psychoanalysis.
These neo-psychoanalytic theorists differ from one another on a number ofissues but they were equally opposed to Freud’s emphasis on instincts as the pri-mary motivators of human behavior, as well as his deterministic view of person-ality. These neo-psychoanalytic theorists presented more optimistic and flatteringimages of human nature than Freud did. Their work shows how quickly the fieldof personality diversified within only a decade after it formally began.
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chapter 3Carl Jung: AnalyticalPsychology
My life is a story of the self-realization of theunconscious. Everything inthe unconscious seeksoutward manifestation,and the personality toodesires to evolve out of itsunconscious conditions.
—Carl Jung
The Life of Jung (1875–1961)An Unhappy ChildhoodStrange Dreams and FantasiesThe Study of MedicineThe Years with FreudJung’s Neurotic EpisodeJung’s Sex LifeFame and Weird Behavior
Psychic Energy: The Basis of Jung’s
SystemPrinciples of Psychic Energy
Aspects of PersonalityThe EgoThe Attitudes: Extraversion and IntroversionPsychological FunctionsPsychological TypesThe Personal UnconsciousComplexesThe Collective UnconsciousArchetypes
The Development of the PersonalityChildhood to Young AdulthoodMiddle AgeIndividuation: How to Reach Fulfillment
Questions about Human Nature
Assessment in Jung’s TheoryJung’s Assessments of His PatientsWord AssociationSymptom AnalysisDream AnalysisThe Myers-Briggs Type Indicator
Research on Jung’s TheoryResearch on Psychological TypesStudies of College StudentsStudies of Cognitive FunctioningStudies of Diverse CulturesResearch on DreamsIndividuationThe Midlife Crisis in WomenMaking Life changesPersonal Growth or Stagnation?
Reflections on Jung’s TheoryContributionsCriticisms
Chapter Summary
Review Questions
Suggested Readings
Sigmund Freud once designated Carl Jung as his spiritual son and heir, but Jungwent on to develop his own theory of personality that differed dramatically fromorthodox psychoanalysis. He fashioned a new and elaborate explanation ofhuman nature quite unlike any other which he called analytical psychology.
The first point on which Jung came to disagree with Freud was the role of sex-uality. Jung broadened Freud’s definition of libido by redefining it as a more gener-alized psychic energy that included sex but was not restricted to it.
FairUse
analytical psychologyJung’s theory ofpersonality.
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The second major area of disagreement concerned the direction of the forcesthat influence personality. Whereas Freud viewed human beings as prisoners orvictims of past events, Jung believed that “man is not necessarily doomed foreverto be shoved about by traumas over which he could exercise little control” (Obitu-ary, New York Times, June 7, 1961). Jung argued that we are shaped by our futureas well as our past. We are affected not only by what happened to us as children,but also by what we aspire to do in the future.
The third significant point of difference revolved around the unconscious.Rather than minimizing the role of the unconscious, as did the other neo-psychoanalytic dissenters we will discuss, Jung placed an even greater empha-sis on it than Freud did. He probed more deeply into the unconscious andadded an entirely new dimension: the inherited experiences of all human andeven prehuman species. Although Freud had recognized the influence of inher-ited primal experiences, Jung made it the core of his system of personality. Hebrought together ideas from history, mythology, anthropology, and religion toform his own image of human nature.
The Life of Jung (1875–1961)
An Unhappy Childhood
Jung’s difficult and unhappy childhood years were marked by deaths and funerals,neurotic parents in a failing marriage, religious doubts and conflicts, bizarre dreamsand visions, and a wooden doll for his only companion. Born in Switzerland into afamily that included nine clergymen (eight uncles and his father), Jung was intro-duced at an early age to religion and the classics. He was close to his father but con-sidered him weak and powerless. Although kind and tolerant, Jung’s fatherexperienced periods of moodiness and irritability and failed to be the strong authorityfigure his son needed.
Jung’s mother was by far the more powerful parent, but her emotional instabilityled her to behave erratically. She would change in an instant from being cheerful andhappy to suddenly mumbling incoherently and gazing vacantly into space. As a boy,Jung came to view his mother as being two different people inhabiting the samebody. Not surprisingly, this disturbed him. One biographer suggested that “thewhole maternal side of the family appeared to be tainted with insanity” (Ellenberger,1978, p. 149).
As a result of his mother’s odd behavior, Jung became wary of all women, a suspicionthat took many years to dispel. He later described his mother as being fat and unattrac-tive, which may explain why he totally rejected Freud’s notion that every boy has a sex-ual longing for his mother. Clearly, that did not reflect his childhood experience.
To avoid his parents and their continuing marital problems, Jung spent many hoursalone in the attic, carving a doll out of wood, a figure in whom he could confide hisinnermost thoughts and fears. A sister was born when Carl was 9 years old, but her pres-ence in the house did nothing to ease his loneliness and feeling of isolation.
Strange Dreams and Fantasies
Distrustful of his mother and disappointed in his father, Jung felt cut off from the externalworld, the world of conscious reality. As an escape, he turned inward to his unconscious,
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to the world of dreams, visions, and fantasies, in which he felt more secure. This choicewould guide Jung for the rest of his life. Whenever he was faced with a problem, hewould look for a solution through his dreams and visions.
The essence of his personality theory was shaped in essentially the same way. WhenJung was three, he dreamed he was in a cavern. In a later dream, he saw himself diggingdown beneath the earth’s surface, unearthing the bones of prehistoric animals. To Jung,such dreams represented the direction of his approach to the human personality. Theydirected him to explore the unconscious mind, which lies beneath the surface ofbehavior.
So strongly was he guided by these manifestations of his unconscious that heentitled his autobiography Memories, Dreams, Reflections (1961). He believed thathis approach to personality resembled a subjective, personal confession. Thus, likeFreud’s work, Jung’s personality theory was intensely autobiographical. In a lecturegiven at the age of 50, he acknowledged the influence of his life events on histheory.
As a child, Jung deliberately avoided other children, and they avoided him. A biog-rapher wrote: “Carl usually played alone for parents of the village children deliberatelykept them away from the odd little boy whose parents were so peculiar” (Bair, 2003,p. 22). In describing his solitary childhood, Jung wrote, “The pattern of my relation-ship to the world was already prefigured; today as then I am a solitary” (Jung, 1961,pp. 41–42).
Jung’s loneliness is reflected in his theory, which focuses on the inner growth of theindividual rather than on relationships with other people. In contrast, Freud’s theory isconcerned more with interpersonal relationships, perhaps because Freud, unlike Jung,did not have such an isolated and introverted childhood.
The Study of Medicine
Jung disliked school and resented the time he had to devote to formal studies ratherthan to ideas that interested him. He much preferred to read on his own, particularlyabout religious and philosophical issues. To his delight, he was forced to miss6 months of school as a result of a series of fainting spells. He returned to schoolbut his presence was disruptive. His teachers sent him home because his classmateswere more interested in “waiting for Carl to faint than in doing their lessons” (Bair,2003, p. 31).
When Jung overheard his father say, “What will become of the boy if he cannot earnhis living?” his illness suddenly disappeared, and he returned to school to work morediligently than before (Jung, 1961, p. 31). Jung later wrote that the experience taughthim about neurotic behavior. He recognized that he had unconsciously arranged the sit-uation to suit himself, to keep him out of school, and that realization made him feelangry and ashamed.
Jung chose to study medicine at the University of Basel and decided, to the disap-pointment of his professors, to specialize in psychiatry, a field then held in low repute.He believed that psychiatry would give him the opportunity to pursue his interests indreams, the supernatural, and the occult.
Beginning in 1900, Jung worked at a mental hospital in Zurich, under the directionof Eugen Bleuler, the psychiatrist who coined the term schizophrenia. When Jung mar-ried the second-richest heiress in all of Switzerland, he quit his job at the hospital andspent his spare time riding around the countryside in his much-loved red Chryslerconvertible. He also gave lectures at the University of Zurich and developed an inde-pendent clinical practice.
Chapter 3: Carl Jung: Analytical Psychology 83
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The Years with Freud
By the time Jung became associated with Sigmund Freud in 1907, Jung had alreadyestablished a significant professional reputation on his own. When Jung and Freud metfor the first time, they were so congenial and had so much to share that they talked for13 hours. Their friendship became a close one. “I formally adopted you as an eldest son,”Freud wrote to Jung, “and anointed you as my successor and crown prince” (Freud &Jung, 1974, p. 218). Jung considered Freud a father figure. “Let me enjoy your friendshipnot as one between equals,” he wrote to Freud, “but as that of father and son” (Freud &Jung, 1974, p. 122). Their relationship appeared to contain many of the elements of theOedipus complex, with its inevitable wish of the son to destroy the father.
Also, their relationship may have been tainted, even doomed, by a sexual experienceJung said he had at the age of 18. A family friend, an older man who had been a fatherfigure and confidant, made physical overtures to Jung, seeking a homosexual encounter.Repelled and disappointed, Jung broke off the relationship. Years later, when Freud, whowas nearly 20 years older than Jung, attempted to designate Jung as his son and heir,Jung may have felt Freud was, in a sense, forcing himself on Jung and changing thenature of their relationship. Because of Jung’s earlier encounter with the older man, hemay have been similarly disappointed in Freud and unable to sustain an emotionallyclose relationship with him.
For a time, however, the two men remained close. Jung continued to live in Zurich,but he met with Freud periodically and maintained a voluminous correspondence. In1909, he traveled with Freud to the United States to lecture at Clark University. Freudwas grooming Jung to take over the presidency of the International Psychoanalytic Asso-ciation. Concerned that psychoanalysis would be labeled a Jewish science (as it came tobe called during the Nazi era), Freud wanted a non-Jew to assume titular leadership ofthe movement.
Contrary to Freud’s hopes, Jung was not an uncritical disciple. Jung had his own ideasand unique view of the human personality, and when he began to express these notions,it became inevitable that they would part. They severed their relationship in 1913.
Jung’s Neurotic Episode
That same year, when Jung was 38 years old, he suffered a severe neurotic episode thatlasted for 3 years. He believed he was in danger of losing contact with reality and was sodistressed that he resigned his lectureship at the University of Zurich. At times he con-sidered suicide. He “kept a revolver next to his bed in case he felt he had passed beyondthe point of no return” (Noll, 1994, p. 207). Although he felt unable to continue with hisscientific work, he somehow continued to treat his patients.
During the crisis Jung experienced vivid and violent dreams and visions involvinglarge-scale disasters such as ice covering the earth, flowing rivers of blood, even thedestruction of all civilization (see Elms, 2010). Other dreams were more personal butequally terrifying. “Jung travels the land of the dead, falls in love with a woman he laterrealizes is his sister, gets squeezed by a giant serpent and … eats the liver of a little child”(Corbett, 2009, p. 5).
During those years he was haunted by visions of a bloody apocalypse and wide-spread carnage and desolation. He meticulously recorded those dreams in calligraphyand elaborate drawings in some 200 pages of what became known as The Red Book,so called because it was bound in red leather. The journal was kept secret in a Swissbank vault and was not published until 2009, nearly 50 years after his death (seeHarrison, 2009). The book received widespread publicity and quickly became an inter-national sensation.
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Freud, as we saw, had also suffered a neurotic episode at approximately the same ageand resolved it by analyzing his dreams, which formed a basis for his personality theory.Jung’s situation offers a remarkable parallel. Jung overcame his disturbance by confront-ing his unconscious through the exploration of his dreams and fantasies. Although Jung’sself-analysis was less systematic than Freud’s, his approach was similar.
Out of Jung’s confrontation with his unconscious he fashioned his approach to per-sonality. “The years when I was pursuing my inner images,” he wrote, “were the mostimportant in my life—in them everything essential was decided” (Jung, 1961, p. 199).He concluded that the most crucial stage in personality development was not childhood,as Freud believed, but middle age, which was the time of Jung’s own crisis.
Like Freud, Jung established his theory on an intuitive base, which derived from hispersonal experiences and dreams. It was then refined along more rational and empiricallines by data provided by his patients. Nearly two-thirds of them were middle-aged andsuffering from the same difficulties Jung faced.
Jung’s Sex Life
Jung, who minimized the importance of sex in his personality theory, maintained a vig-orous, anxiety-free sex life and enjoyed a number of extramarital affairs. One of theserelationships endured, with his wife’s knowledge, for many years. He surrounded himselfwith adoring women patients and disciples who typically fell deeply in love with him.A biographer noted that this “happened with all of his female disciples sooner or later,as he often told them at the beginning of their treatment” (Noll, 1997, p. 253).
Contrast Jung’s active sex life with Freud’s troubled attitude toward sex and his cessa-tion of sexual relations at the time he was fashioning a theory that focused on sex as thecause of neurotic behavior. “To Jung, who freely and frequently satisfied his sexual needs,sex played a minimal role in human motivation. To Freud, beset by frustrations and anx-ious about his thwarted desires, sex played the central role” (Schultz, 1990, p. 148).
Fame and Weird Behavior
The rest of Jung’s long life was personally and professionally successful, although he didbehave in some really bizarre ways. In the mornings he would greet the kitchen utensils,saying “ ‘greetings to you’ to the frying pans or ‘good morning to you’ to the coffee pot”(Bair, 2003, p. 568). He also worried needlessly about money even though he was quitewealthy. He hid large amounts of cash inside books and then forgot the secret code hehad devised to help him remember which books contained the money. He stuffed moneyinto vases and jars and buried them in his garden and then forgot the elaborate systemhe had concocted to help him find them. After his death, his family recovered much ofthe money from his books but it is likely that the cash in his garden remains there today.
Jung and his wife adopted a cold, formal manner for dealing with their three daugh-ters. There was limited physical contact, no hugging or kissing. “When they said hello orgoodbye, they shook hands, if they touched at all” (Bair, 2003, p. 565).
Jung remained productive in research and writing for most of his 86 years. Hisbooks became popular, and his analytical psychology attracted increasing numbers offollowers. His ideas spread to the English-speaking world, and particularly to theUnited States, primarily through the generous financial support of the wealthy andprominent Rockefeller, McCormick, and Mellon families. A number of the familymembers sought analysis with Jung and in return arranged for the translation andpublication of his books into English. It is interesting to speculate whether Jung’sworks might have remained little known without their help, inaccessible to all but theGerman-speaking community (Noll, 1997).
Chapter 3: Carl Jung: Analytical Psychology 85
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LOG ON
Carl JungVarious sites provide biographical information, discussions of his theory, research on rel-evant concepts, and links to other resources.
The C. G. Jung InstituteLeads to informational web sites for various Jung Institutes, describing training require-ments and educational opportunities.
Psychic Energy: The Basis of Jung’s System
One of the first points on which Jung disagreed with Freud involved the nature of libido.Jung did not believe that libido was primarily a sexual energy; he argued instead that itwas a broad, undifferentiated life energy.
Jung used the term libido in two ways: first, as a diffuse and general life energy, andsecond, from a perspective similar to Freud’s, as a narrower psychic energy that fuels thework of the personality, which he called the psyche. It is through psychic energy thatpsychological activities such as perceiving, thinking, feeling, and wishing are carriedout.
When a person invests a great deal of psychic energy in a particular idea or feeling, itis said to have a high psychic value and can strongly influence the person’s life. Forexample, if you are highly motivated to achieve power, then you will devote most ofyour psychic energy to devise ways of obtaining it.
Principles of Psychic Energy
Jung drew on ideas from physics to explain the functioning of psychic energy. He pro-posed three basic principles: opposites, equivalence, and entropy (Jung, 1928). Theprinciple of opposites can be seen throughout Jung’s system. He noted the existenceof opposites or polarities in physical energy in the universe, such as heat versus cold,height versus depth, creation versus decay. So it is with psychic energy, he argued.Every wish or feeling has its opposite. This opposition—this conflict between polarities—is the primary motivator of behavior and generator of energy. The sharper the conflictbetween polarities, the greater will be the energy produced.
For his principle of equivalence, Jung applied the physical principle of the conserva-tion of energy to psychic events. He stated that energy expended in bringing about somecondition is not lost but rather is shifted to another part of the personality. Thus, if thepsychic value in a particular area weakens or disappears, that energy is transferred else-where in the psyche. For example, if we lose interest in a person, a hobby, or a field ofstudy, the psychic energy formerly invested in that area is shifted to a new one. The psy-chic energy used for conscious activities while we are awake is shifted to dreams whenwe are asleep.
The word equivalence implies that the new area to which energy has shifted must havean equal psychic value; that is, it should be equally desirable, compelling, or fascinating.Otherwise, the excess energy will flow into the unconscious. In whatever direction andmanner energy flows, the principle of equivalence dictates that energy is continually redis-tributed within the personality.
In physics, the principle of entropy refers to the equalization of energy differences.For example, if a hot object and a cold object are placed in direct contact, heat will
libido To Jung, abroader and moregeneralized form ofpsychic energy.
psyche Jung’s term forpersonality.
opposition principleJung’s idea that con-flict between opposingprocesses or tenden-cies is necessary togenerate psychicenergy.
equivalence principleThe continuing redis-tribution of energywithin a personality; ifthe energy expendedon certain conditionsor activities weakensor disappears, thatenergy is transferredelsewhere in thepersonality.
entropy principle Atendency toward bal-ance or equilibriumwithin the personality;the ideal is an equaldistribution of psychicenergy over all struc-tures of the personality.
86 The Neo-psychoanalytic Approach
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flow from the hotter object to the colder object until they are in equilibrium at the sametemperature. In effect, an exchange of energy occurs, resulting in a kind of homeostaticbalance between the objects.
Jung applied this law to psychic energy by proposing that there is a tendency towardmaintaining a balance or equilibrium in the personality. If two desires or beliefs differgreatly in intensity or psychic value, energy will flow from the more strongly held tothe weaker. Ideally, the personality has an equal distribution of psychic energy overall its aspects, but this ideal state is never achieved. If perfect balance or equilibriumwere attained, then the personality would have no psychic energy because, as wenoted earlier, the opposition principle requires conflict for psychic energy to beproduced.
Aspects of Personality
Jung believed that the total personality, or psyche, is composed of several distinct sys-tems or aspects that can influence one another.
The Ego
The ego is the center of consciousness, the part of the psyche concerned with perceiving,thinking, feeling, and remembering. It is our awareness of ourselves and is responsiblefor carrying out all the normal everyday activities of waking life. The ego acts in a selec-tive way, admitting into conscious awareness only a portion of the stimuli to which weare exposed.
The Attitudes: Extraversion and Introversion
Much of our conscious perception of our environment, and how we react to it, is deter-mined by the opposing mental attitudes of extraversion and introversion. Jung believedthat psychic energy could be channeled externally, toward the outside world, or inter-nally, toward the self. Extraverts are open, sociable, and socially assertive, orientedtoward other people and the external world. Introverts are withdrawn and often shy,and tend to focus on themselves, on their own thoughts and feelings.
According to Jung, all of us have the capacity for both attitudes, but only onebecomes dominant in our personality. The dominant attitude then tends to direct ourbehavior and consciousness. The nondominant attitude still remains influential, however,and becomes part of the personal unconscious, where it can affect behavior. For example,in certain situations an introverted person may display characteristics of extraversion,and wish to be more outgoing, or be attracted to an extravert.
Psychological Functions
As Jung came to recognize that there were different kinds of extraverts and introverts, heproposed additional distinctions among people based on what he called the psychologicalfunctions. These functions refer to different and opposing ways of perceiving both theexternal real world and our subjective inner world. Jung posited four functions of thepsyche: sensing, intuiting, thinking, and feeling (Jung, 1927).
Sensing and intuiting are grouped together as nonrational functions because they donot use the processes of reason. These functions accept experiences and do not evaluatethem. Sensing reproduces an experience through the senses the way a photograph copiesan object. Intuiting does not arise directly from an external stimulus. For example, if webelieve someone else is with us in a darkened room, our belief may be based on our intu-ition or a hunch rather than on actual sensory experience.
ego To Jung, the con-scious aspect ofpersonality.
extraversion An atti-tude of the psychecharacterized by anorientation toward theexternal world andother people.
introversion An atti-tude of the psychecharacterized by anorientation towardone’s own thoughtsand feelings.
Chapter 3: Carl Jung: Analytical Psychology 87
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The second pair of opposing functions, thinking and feeling, are rational functionsthat involve making judgments and evaluations about our experiences. Although think-ing and feeling are opposites, both are concerned with organizing and categorizingexperiences. The thinking function involves a conscious judgment of whether an experi-ence is true or false. The kind of evaluation made by the feeling function is expressed interms of like or dislike, pleasantness or unpleasantness, stimulation or dullness.
Just as our psyche contains some of both the extraversion and introversion attitudes,so do we have the capacity for all four psychological functions. Similarly, just as one atti-tude is dominant, only one function is dominant. The others are submerged in the per-sonal unconscious. Further, only one pair of functions is dominant—either the rationalor the irrational—and within each pair only one function is dominant. A person cannotbe ruled by both thinking and feeling or by both sensing and intuiting, because they areopposing functions.
Psychological Types
Jung proposed eight psychological types, based on the interactions of the two attitudesand four functions. (See Table 3.1.)
The extraverted thinking types live strictly in accordance with society’s rules. Thesepeople tend to repress feelings and emotions, to be objective in all aspects of life, andto be dogmatic in thoughts and opinions. They may be perceived as rigid and cold.They tend to make good scientists because their focus is on learning about the externalworld and using logical rules to describe and understand it.
The extraverted feeling types tend to repress the thinking mode and to be highly emo-tional. They conform to the traditional values and moral codes they have been taughtand are unusually sensitive to the opinions and expectations of others. They are emo-tionally responsive, make friends easily, and tend to be sociable and effervescent. Jungbelieved this type was found more often among women than men.
The extraverted sensing types focus on pleasure and happiness and on seeking newexperiences. They are strongly oriented toward the real world and are adaptable to dif-ferent kinds of people and changing situations. Not given to introspection, they tend tobe outgoing, with a high capacity for enjoying life.
The extraverted intuiting types find success in business and politics because of a keenability to exploit opportunities. They are attracted to new ideas, tend to be creative, andare able to inspire others to accomplish and achieve. They also tend to be changeable,moving from one idea or venture to another, and to make decisions based more onhunches than on reflection. Their decisions, however, are likely to be correct.
TABLE 3.1 Jung’s psychological types
Extraverted thinking Logical, objective, dogmatic
Extraverted feeling Emotional, sensitive, sociable; more typical of women than men
Extraverted sensing Outgoing, pleasure seeking, adaptable
Extraverted intuiting Creative, able to motivate others, and to seize opportunities
Introverted thinking More interested in ideas than in people
Introverted feeling Reserved, undemonstrative, yet capable of deep emotion
Introverted sensing Outwardly detached, expressing themselves in aesthetic pursuits
Introverted intuiting Concerned with the unconscious more than everyday reality
psychological types ToJung, eight personalitytypes based on inter-actions of the attitudes(introversion andextraversion) and thefunctions (thinking,feeling, sensing, andintuiting).
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The introverted thinking types do not get along well with other people and have diffi-culty communicating ideas. They focus on thoughts rather than feelings and have poorpractical judgment. Intensely concerned with privacy, they prefer to deal with abstrac-tions and theories, and they focus on understanding themselves rather than other people.Others see them as stubborn, aloof, arrogant, and inconsiderate.
The introverted feeling types repress rational thought. They are capable of deep emo-tion but avoid any outward expression of it. They seem mysterious and inaccessible andtend to be quiet, modest, and childish. They have little consideration for others’ feelingsand thoughts and appear withdrawn, cold, and self-assured.
The introverted sensing types appear passive, calm, and detached from the everydayworld. They look on most human activities with benevolence and amusement. They areaesthetically sensitive, expressing themselves in art or music, and tend to repress theirintuition.
The introverted intuiting types focus so intently on intuition that they have little con-tact with reality. They are visionaries and daydreamers—aloof, unconcerned with practi-cal matters, and poorly understood by others. Considered odd and eccentric, they havedifficulty coping with everyday life and planning for the future.
The Personal Unconscious
The personal unconscious in Jung’s system is similar to Freud’s concept of the precon-scious. It is a reservoir of material that was once conscious but has been forgotten orsuppressed because it was trivial or disturbing. There is considerable two-way trafficback and forth between the ego and the personal unconscious. For example, your atten-tion might wander away from this page to a memory of something you did yesterday. Allkinds of experiences are stored in the personal unconscious, which has been likened to afiling cabinet. Little mental effort is required to take something out, examine it for awhile, and then put it back, where it will remain until the next time we want it or arereminded of it.
Extraverts channelthe libido externally,toward the outsideworld.
personal unconsciousThe reservoir of mate-rial that was onceconscious but hasbeen forgotten orsuppressed.
Age
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Complexes
As we file more and more experiences in our personal unconscious, we begin to groupthem into what Jung called complexes. A complex is a core or pattern of emotions,memories, perceptions, and wishes organized around a common theme. For example,we might say that some people have a complex about power or status, meaning thatthey are preoccupied with that theme to the point where it influences behavior. Theymight try to become powerful by running for elective office, or to identify or affiliatewith power by driving a motorcycle or a fast car. By directing thoughts and behavior invarious ways, the complex determines how that person perceives the world.
Complexes may be conscious or unconscious. Those that are not under consciouscontrol can intrude on and interfere with consciousness. The person with a complex isgenerally not aware of its influence, although other people may easily observe its effects.
Some complexes may be harmful, but others can be useful. For example, a perfectionor achievement complex may lead a person to work hard at developing particular talentsor skills. Jung believed that complexes originate not only from our childhood and adultexperiences, but also from our ancestral experiences, the heritage of the species containedin the collective unconscious.
The Collective Unconscious
The deepest and least accessible level of the psyche, the collective unconscious, is themost unusual and controversial aspect of Jung’s system. Jung believed that just as eachof us accumulates and files all of our personal experiences in the personal unconscious,so does humankind collectively, as a species, store the experiences of all our human andpre-human ancestors in the collective unconscious. This heritage is passed to each newgeneration.
He believed that whatever experiences are universal—that is, are repeated by eachgeneration—become part of our personality. Our primitive past thus becomes the basisof the human psyche, directing and influencing our present behavior. To Jung, the col-lective unconscious was the powerful and controlling repository of ancestral experiences.Thus, Jung linked the personality of each of us with the past, not only with childhoodbut also with the history of the species.
We do not inherit these collective experiences directly. For example, we do not inherita fear of snakes. Rather, we inherit the potential to fear snakes. We are predisposed tobehave and feel the same ways people have always behaved and felt. Whether the predis-position becomes reality depends on the specific experiences we encounter in life.
Jung believed that certain basic experiences have characterized every generationthroughout human history. People have always had a mother figure, for example, andhave experienced birth and death. They have faced unknown terrors in the dark, wor-shipped power or some sort of godlike figure, and feared an evil being. The universalityof these experiences over countless evolving generations leaves an imprint on each of usat birth and determines how we perceive and react to our world. Jung wrote, “The formof the world into which [a person] is born is already inborn in him, as a virtual image”(Jung, 1953, p. 188).
A baby is born predisposed to perceive the mother in a certain way. If the motherbehaves the way mothers typically behave, in a nurturing and supportive manner, thenthe baby’s predisposition will correspond with its reality.
Because the collective unconscious is such an unusual concept, it is important to notethe reason Jung proposed it and the kind of evidence he gathered to support it. In hisstudies of ancient cultures, both mythical and real, Jung discovered what he believed tobe common themes and symbols that appeared in diverse parts of the world. As far as he
complex To Jung, acore or pattern ofemotions, memories,perceptions, andwishes in the personalunconscious organizedaround a commontheme, such as poweror status.
collectiveunconscious The dee-pest level of the psychecontaining the accu-mulation of inheritedexperiences of humanand pre-humanspecies.
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could determine, these ideas had not been transmitted or communicated orally or inwriting from one culture to another.
In addition, Jung’s patients, in their dreams and fantasies, recalled and described thesame kinds of symbols he had discovered in ancient cultures. He could find no otherexplanation for these shared symbols and themes over such vast geographical and tem-poral distances than that they were transmitted by and carried in each person’s uncon-scious mind.
Archetypes
The ancient experiences contained in the collective unconscious are manifested byrecurring themes or patterns, which Jung called archetypes (Jung, 1947). He also usedthe term primordial images. There are many such images, as many as there are com-mon human experiences. By being repeated in the lives of succeeding generations,archetypes have become imprinted in our psyches and are expressed in our dreams andfantasies.
Among the archetypes Jung proposed are the hero, the mother, the child, God, death,power, and the wise old man. A few of these are developed more fully than others andinfluence the psyche more consistently. These major archetypes include the persona, theanima and animus, the shadow, and the self.
The Persona The word persona refers to a mask that an actor wears to display vari-ous roles or faces to the audience. Jung used the term with basically the same meaning.The persona archetype is a mask, a public face we wear to present ourselves as someonedifferent from who we really are. The persona is necessary, Jung believed, because we areforced to play so many roles in life in order to succeed in school and on the job and ingetting along with a variety of people.
Although the persona can be helpful, it can also be harmful if we come to believe thatit reflects our true nature. Instead of merely playing a role, we may then become that
In the fully developedpersonality, a personwill express behaviorsconsidered charac-teristic of the oppositesex.
archetypes Images ofuniversal experiencescontained in the col-lective unconscious.
persona archetype Thepublic face or role aperson presents toothers.
Zero
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role. As a result, other aspects of our personality will not be allowed to develop. Whenthis happens, the ego may come to identify with the persona rather than with the per-son’s true nature, resulting in a condition known as inflation of the persona. Whetherthe person plays a role or comes to believe that role, he or she is resorting to deception.In the first instance, the person is deceiving others; in the second instance, the person isdeceiving himself.
The Anima and Animus The anima and animus archetypes refer to Jung’s recogni-tion that humans are essentially bisexual. On the biological level, each sex secretes thehormones of the other sex as well as those of its own sex. On the psychological level,each sex manifests characteristics, temperaments, and attitudes of the other sex by virtueof centuries of living together. The psyche of the woman contains masculine aspects (theanimus archetype), and the psyche of the man contains feminine aspects (the animaarchetype). (See Figure 3.1.)
These opposite sex characteristics aid in the adjustment and survival of the speciesbecause they enable a person of one sex to understand the nature of the other sex. Thearchetypes predispose us to like certain characteristics of the opposite sex and guide ourbehavior with reference to the opposite sex.
Jung insisted that both the anima and the animus must be expressed. A man mustexhibit his feminine as well as his masculine characteristics, and a woman must expressher masculine characteristics along with her feminine ones. Otherwise, these vital aspectswill remain dormant and undeveloped, leading to a one-sidedness of the personality.
The Shadow The most powerful archetype has the sinister and mysterious name ofshadow, which contains the basic, primitive animal instincts and therefore has the dee-pest roots of all archetypes. Behaviors that society considers evil and immoral reside inthe shadow, and this dark side of human nature must be tamed if people are to live inharmony. We must at all times restrain, overcome, and defend against these primitiveimpulses. If not, society will very likely punish us.
But that presents us with a dilemma because not only is the shadow the source of evil,it is also the source of vitality, spontaneity, creativity, and emotion. Therefore, if theshadow is totally suppressed, the psyche will be dull and lifeless. It’s the job of the egoto repress the animal instincts enough so that we are considered civilized while allowingsufficient expression of the instincts to provide creativity and vigor.
If the shadow is fully suppressed, not only does the personality become flat, but theperson also faces the possibility that the shadow will revolt. The animal instincts do notdisappear when they are suppressed. Rather, they lie dormant, waiting for a crisis or aweakness in the ego so they can gain control. When that happens, the person becomesdominated by the unconscious, which is not a good thing.
FIGURE 3.1
The Yin-Yang symbol illustrates the complementary sides of ournature. The dark right side represents feminine aspects (theanima archetype) and the light left side represents masculineaspects (the animus archetype). The dot of the opposite color ineach portion indicates the expression of the characteristics ofthe opposite archetype.
Animus archetypeMasculine aspects ofthe female psyche.
Anima archetypeFeminine aspects ofthe male psyche.
shadow archetype Thedark side of the per-sonality; the archetypethat contains primitiveanimal instincts.
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The Self The self archetype represents the unity, integration, and harmony of thetotal personality. To Jung, the striving toward that wholeness is the ultimate goal of life.This archetype involves bringing together and balancing all parts of the personality. Wehave already noted Jung’s principle of opposites and the importance of polarities to thepsyche. In the self archetype, the opposites of conscious and unconscious processes mustbecome assimilated so that the self, which is the center of the personality, shifts from theego to a point of equilibrium midway between the opposing forces of the conscious andthe unconscious. As a result, material from the unconscious comes to have a greaterinfluence on the personality.
The full realization of the self lies in the future. It is a goal—something to alwaysstrive for but which is rarely achieved. The self serves as a motivating force, pulling usfrom ahead rather than pushing us from behind (as our past experiences do).
The self cannot begin to emerge until all the other systems of the psyche have devel-oped. This occurs around middle age, a crucial period of transition in Jung’s system, as itwas in his own life. The actualization of the self involves goals and plans for the futureand an accurate perception of one’s abilities. Because development of the self is impossi-ble without self-knowledge, it is the most difficult process we face in life and requirespersistence, perceptiveness, and wisdom.
The Development of the Personality
Jung believed that personality is determined by what we hope to be as well as by what wehave been in the past and by what happened to us then. He criticized Freud for empha-sizing only past events as shapers of personality, to the exclusion of the future. Jungbelieved we develop and grow regardless of age and are always moving toward a morecomplete level of self-realization (see Table 3.2).
Jung took a longer view of personality than Freud, who concentrated on the earlyyears of life and foresaw little development after the age of 5. Jung did not posit sequen-tial stages of growth in as much detail as Freud, but he wrote of two general periods inthe overall developmental process (Jung, 1930).
Childhood to Young Adulthood
The ego begins to develop in early childhood, at first in a primitive way because thechild has not yet formed a unique identity. What might be called children’s personal-ities are, at this stage, little more than a reflection of the personalities of their parents.Obviously, then, parents exert a great influence on the formation of the child’s person-ality. They can enhance or impede personality development by the way they behavetoward their child.
TABLE 3.2 Jung’s developmental stages
Childhood Ego development begins when the child distinguishes between self andothers.
Puberty to young adulthood Adolescents must adapt to the growing demands of reality. The focus isexternal, on education, career, and family. The conscious is dominant.
Middle age A period of transition when the focus of the personality shifts fromexternal to internal in an attempt to balance the unconscious with theconscious.
self archetype To Jung,the archetype thatrepresents the unity,integration, and har-mony of the totalpersonality.
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Parents might try to force their own personalities on their children, wanting them tobe an extension of themselves. Or they might expect their children to develop personal-ities quite different from their own as a way of seeking vicarious compensation for theirown deficiencies. The ego begins to form substantively only when children become ableto distinguish between themselves and other people or objects in their world. In otherwords, consciousness forms when the child is able to say “I.”
It is not until puberty that the psyche assumes a definite form and content. Thisperiod, which Jung called our psychic birth, is marked by difficulties and the need toadapt. Childhood fantasies must end as the adolescent confronts the demands of reality.From the teenage years through young adulthood, we are concerned with preparatoryactivities such as completing our education, beginning a career, getting married, andstarting a family.
Our focus during these years is external, our conscious is dominant, and, in general,our primary conscious attitude is that of extraversion. The aim of life is to achieve ourgoals and establish a secure, successful place for ourselves in the world. Thus, youngadulthood should be an exciting and challenging time, filled with new horizons andaccomplishments.
Middle Age
Jung believed that major personality changes occur between the ages of 35 and 40. Thisperiod of middle age was the time of personal crisis for Jung and for many of hispatients. By that age, the adaptation problems of young adulthood have usuallybeen resolved. The typical 40-year-old is established in a career, a marriage, and a
Middle age is a time oftransition, when one’sfocus and interestschange.
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community. Jung asked why, when success has been achieved, so many people that ageare gripped by feelings of despair and worthlessness. His patients all told him essen-tially the same thing: They felt empty. Adventure, excitement, and zest had disap-peared. Life had lost its meaning.
The more Jung analyzed this period, the more strongly he believed that such drasticpersonality changes were inevitable and universal. Middle age is a natural time of transi-tion in which the personality is supposed to undergo necessary and beneficial changes.Ironically, the changes occur because middle-aged people have been so successful inmeeting life’s demands. They had invested a great deal of energy in the preparatoryactivities of the first half of life, but by age 40 that preparation was finished and thosechallenges had been met. Although they still possess considerable energy, it now hasnowhere to go, and so, Jung believed, it has to be rechanneled into different activitiesand interests.
Jung noted that in the first half of life we must focus on the objective world ofreality—education, career, and family. In contrast, the second half of life must bedevoted to the inner, subjective world that heretofore had been neglected. The attitudeof the personality must shift from extraversion to introversion. The focus on con-sciousness must be tempered by an awareness of the unconscious. Our interests mustshift from the physical and material to the spiritual, philosophical, and intuitive. A bal-ance among all facets of the personality must replace the previous exclusive focus onconsciousness.
Thus, at middle age we must begin the process of realizing or actualizing the self. If weare successful in integrating the unconscious with the conscious, then we are in a positionto attain a new level of positive psychological health which Jung called individuation.
Individuation: How to Reach Fulfillment
Simply stated, individuation involves becoming an individual, fulfilling one’s capacities,and developing one’s self. The tendency toward individuation is innate and inevitable,but it can be helped or hindered by environmental forces, such as one’s educationaland economic opportunities and the nature of the parent–child relationship. There areseveral stages or steps through which we must proceed before we can reach Jung’s idealof self-fulfillment.
Confront the Unconscious To strive for individuation, middle-aged people mustabandon the behaviors and values that guided the first half of their lives and confronttheir unconscious, bringing it into conscious awareness and accepting what it tells themto do. They must listen to their dreams and follow their fantasies, exercising creativeimagination through writing, painting, or some other form of expression. They must letthemselves be guided not by the rational thinking that drove them before, but by thespontaneous flow of the unconscious. Only in that way can the true self be revealed.
Jung cautioned that admitting unconscious forces into conscious awareness does notmean being dominated by them. The unconscious forces must be assimilated and bal-anced with the conscious. At this time of life, no single aspect of personality shoulddominate. An emotionally healthy middle-aged person is no longer ruled by either con-sciousness or unconsciousness, by a specific attitude or function, or by any of the arche-types. All are brought into harmonious balance when individuation is achieved.
Dethrone the Persona Of particular importance in the midlife process of individua-tion is the shift in the nature of the archetypes. The first change involves dethroning thepersona. Although we must continue to play various social roles if we are to function in
individuation A condi-tion of psychologicalhealth resulting fromthe integration of allconscious and uncon-scious facets of thepersonality.
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the real world and get along with different kinds of people, we must recognize that ourpublic personality may not represent our true nature. Further, we must come to acceptthe genuine self that the persona has been covering.
Accept Our Dark Sides Next, we become aware of the destructive forces of theshadow and acknowledge that dark side of our nature with its primitive impulses, suchas selfishness. That does not mean that we submit to them or allow them to dominate us,but simply accept their existence. In the first half of life, we use the persona to shield thisdark side from ourselves, wanting people to see only our good qualities. But in conceal-ing the forces of the shadow from others, we also conceal them from ourselves. Thatmust change as part of the process of learning to know ourselves. A greater awarenessof both the destructive and the constructive aspects of the shadow will give the personal-ity a deeper and fuller dimension, because the shadow’s tendencies bring zest, spontane-ity, and vitality to life.
Once again we see this central theme in Jung’s individuation process, that we mustbring each aspect of the personality into harmony with all other aspects. Awareness ofonly the good side of our nature produces a one-sided development of the personality.As with other opposing components of personality, both sides of this dimension mustbe expressed before we can achieve individuation.
Accept Our Anima and Animus We must also come to terms with our psycholog-ical bisexuality. A man must be able to express his anima archetype, or traditionally fem-inine traits such as tenderness, and a woman must come to express her animus, ortraditionally masculine traits such as assertiveness. Jung believed that this recognition ofthe characteristics of the other sex was the most difficult step in the individuation pro-cess because it represents the greatest change in our self-image. Accepting the emotionalqualities of both sexes opens new sources of creativity and serves as the final release fromparental influences.
Transcend Once the psyche’s structures are individuated and acknowledged, the nextdevelopmental stage can occur. Jung referred to this as transcendence, an innate ten-dency toward unity or wholeness in the personality, uniting all the opposing aspectswithin the psyche. Environmental factors, such as an unsatisfactory marriage or a frus-trating job, can inhibit the process of transcendence and prevent the full achievement ofthe self.
Questions about Human Nature
Jung’s image of human nature is quite different from Freud’s. Jung did not hold sucha deterministic view, but he did agree that personality may be at least partly deter-mined by childhood experiences and by the archetypes. However, there is ampleroom in Jung’s system for free will and spontaneity, the latter arising from the shadowarchetype.
On the nature–nurture issue, Jung took a mixed position. The drive toward individu-ation and transcendence is innate, but it can be aided or thwarted by learning and expe-rience. The ultimate and necessary goal of life is the realization of the self. Although it israrely achieved, we are continually motivated to strive for it.
Jung disagreed with Freud on the importance of childhood experiences. Jungthought they were influential but did not completely shape our personality by age 5.We are affected more by our experiences in middle age and by our hopes and expecta-tions for the future.
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Each individual is unique, in Jung’s view, but only during the first half of life. Whensome progress toward individuation is made in middle age, we develop what Jung desig-nated as a universal kind of personality in which no single aspect is dominant. Thus,uniqueness disappears, and we can no longer be described as one or another particularpsychological type.
Jung presented a more positive, hopeful image of human nature than Freud did, andhis optimism is apparent in his view of personality development. We are motivated togrow and develop, to improve and extend our selves. Progress does not stop in child-hood, as Freud had assumed, but continues throughout life. Jung believed that wealways have the hope of becoming better. Jung argued that the human species also con-tinues to improve. Present generations represent a significant advance over our primi-tive ancestors.
Despite his basic optimism, Jung expressed concern about a danger he saw facingWestern culture. He referred to this danger as a sickness of dissociation. By placing toogreat an emphasis on materialism, reason, and empirical science, we are in danger offailing to appreciate the forces of the unconscious. We must not abandon our trust inthe archetypes that form our heritage. Thus, Jung’s hopefulness about human naturewas a watchful, warning kind.
Assessment in Jung’s Theory
Jung’s techniques for assessing the functioning of the psyche drew on science and thesupernatural, resulting in both an objective and a mystical approach. He investigated avariety of cultures and eras, studying their symbols, myths, religions, and rituals. Heformed his personality theory on the basis of his patients’ fantasies and dreams (aswell as his own), and his explorations of ancient languages, alchemy, and astrology.Yet, the work that first brought Jung to the attention of psychologists in the UnitedStates involved empirical and physiological assessments. His techniques were an unor-thodox blend of opposites, which is not surprising for a theory based on a principle ofopposition.
Jung’s Assessments of His Patients
His sessions with patients were unusual and often chaotic. His patients did not lie on acouch. “I don’t want to put the patient to bed,” he remarked. Usually, Jung and thepatient sat in comfortable chairs facing each other, although sometimes Jung faced awindow so he could look out at the lake near his house. Occasionally, he took patientsout on his sailboat.
One patient recalled that Jung “paced back and forth, gesturing as he talked, whetherabout a human problem, a dream, a personal reminiscence, an allegorical story, or a joke.Yet he could become quiet, serious, and extremely personal, sitting down almost tooclose for comfort and delivering a pointed interpretation of one’s miserable personalproblem so its bitter truth would really sink in” (quoted in Bair, 2003, p. 379).
Sometimes Jung could be rude. When one patient appeared at the appointed time, hesaid, “Oh no. I can’t stand the sight of another one. Just go home and cure yourselftoday” (quoted in Brome, 1981, pp. 177, 185). When a patient began to talk about hermother, a topic Freud would have encouraged, Jung silenced her abruptly: “Don’t wasteyour time” (Bair, 2003, p. 379).
Jung believed that his patients’ fantasies were real to them and he accepted them atface value. When Marie-Louise von Franz (1915–1998), who later became a lifelong dis-ciple, first met Jung, he told her about a patient who lived on the moon. She replied that
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surely Jung meant the patient acted as though she lived on the moon. Jung said no, thewoman truly did live on the moon. Von Franz decided that “either [Jung] was crazy or Iwas” (obituary for Marie-Louise von Franz, New York Times, March 23, 1998).
Three more formal techniques Jung used to evaluate personality were the word-association test, symptom analysis, and dream analysis. A widely used self-report person-ality test, the Myers-Briggs Type Indicator, was developed later by others to assess Jung’spsychological types.
Word Association
The word-association test, in which a subject responds to a stimulus word with what-ever word comes immediately to mind, has become a standard laboratory and clinicaltool in psychology. In the early 1900s, Jung used the technique with a list of 100 wordshe believed were capable of eliciting emotions (see Table 3.3). Jung measured the time ittook for a patient to respond to each word. He also measured physiological reactions todetermine the emotional effects of the stimulus words.
Jung used word association to uncover complexes in his patients. A variety of factorsindicated the presence of a complex, including physiological responses, delays in respond-ing, making the same response to different words, slips of the tongue, stammering,responding with more than one word, making up words, or failing to respond.
Symptom Analysis
Symptom analysis focuses on the symptoms reported by the patient and is based on theperson’s free associations to those symptoms. It is similar to Freud’s cathartic method.Between the patient’s associations to the symptoms and the analyst’s interpretation ofthem, the symptoms will often be relieved or disappear.
Dream Analysis
Jung agreed with Freud that dreams are the “royal road” into the unconscious. Jung’sapproach to dream analysis differed from Freud’s, however, in that Jung was concernedwith more than the causes of dreams, and he believed that dreams were more thanunconscious wishes. First, dreams are prospective; that is, they help us prepare for
TABLE 3.3 Normal and neurotic responses to Jung’s word-association test
STIMULUS WORD NORMAL RESPONSE NEUROTIC RESPONSE
Blue Pretty Color
Tree Green Nature
Bread Good To eat
Lamp Bright To burn
Rich Beautiful Money; I don’t know
To sin Much This idea is totally alien to me; I do notacknowledge it
Needle To prick To sew
To swim Healthy Water
Source: Jung, C. G. (1909/1973). The association method. In The collected works of C. G. Jung (Vol. 2, pp. 442–444). Princeton, NJ: Princeton University Press. Used by permission.
word-association testA projective techniquein which a personresponds to a stimulusword with whateverword comes to mind.
symptom analysisSimilar to catharsis, thesymptom analysistechnique focuses onthe symptoms reportedby the patient andattempts to interpretthe patient’s freeassociations to thosesymptoms.
dream analysis Atechnique involving theinterpretation ofdreams to uncoverunconscious conflicts.
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experiences and events we anticipate will occur. Second, dreams are compensatory; theyhelp bring about a balance between opposites in the psyche by compensating for theoverdevelopment of any one psychic structure.
Instead of interpreting each dream separately, as Freud did, Jung worked with a seriesof dreams reported by a patient over a period of time. In that way, Jung believed hecould discover recurring themes, issues, and problems that persisted in the patient’sunconscious.
Jung also used amplification to analyze dreams. In Freudian free association, thepatient begins with one element in a dream and develops a chain of associations fromit by reporting related memories and events. Jung focused on the original dream elementand asked the patient to make repeated associations and responses to it until he detecteda theme. He did not try to distinguish between manifest and latent dream content, asFreud did.
The Myers-Briggs Type Indicator
An assessment instrument related to Jung’s personality theory is the Myers-BriggsType Indicator (MBTI), developed in the 1920s by Katharine Cook Briggs and IsabelBriggs Myers (Briggs & Myers, 1943, 1976). Today, the MBTI is the most popular andmost frequently used personality test ever devised and is taken by more than two mil-lion people every year for hiring and promotion decisions (Cunningham, 2012). It ishighly likely that in the business world you will have to take this test to get a job or apromotion (see Table 3.4).
TABLE 3.4 Sample items from the Myers-Briggs Type Indicator
Which answer comes closer to telling how you usually feel or act?
1. When you go somewhere for the day, would you rather
(a) plan what you will do and when, or
(b) just go?
2. Do you tend to have
(a) deep friendships with a very few people, or
(b) broad friendships with many different people?
3. When you have a special job to do, do you like to
(a) organize it carefully before you start, or
(b) find out what is necessary as you go along?
4. When something new starts to be the fashion, are you usually
(a) one of the first to try it, or
(b) not much interested?
5. When the truth would not be polite, are you more likely to tell
(a) a polite lie, or
(b) the impolite truth?
Source: Modified and reproduced by special permission of the publisher, CPP, Inc., Mountain View, CA94043 from Myers-Briggs Type Indicator® assessment by Katharine D. Meyers Isabel Briggs Myers. Copyright1943, 1944, 1957, 1962, 1976, 1977, 1983, 1984, 1987, 1991, 1993, 1998, 2012 by Peter B. Myers and KatharineD. Myers. All rights reserved. Further reproduction is prohibited without the publisher’s written consent.
Myers-Briggs TypeIndicator (MBTI) Anassessment test basedon Jung’s psychologi-cal types and the atti-tudes of introversionand extraversion.
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The test was developed in Washington DC, by Katharine Briggs, who doted on her teenagedaughter Isabel. Katharine wrote a book-length manuscript about her remarkable home-schooled daughter, calling her a genius, even a “little Shakespeare.” When Isabel went to col-lege at Swarthmore, near Philadelphia, Pennsylvania, mother and daughter correspondedalmost daily. And then one day Isabel brought home a law student, Clarence Myers.
“Katharine and Isabel were bold and imaginative and intuitive. Myers was practicaland logical and detail-oriented” (Gladwell, 2004, p. 45). Katharine was so shocked bythe personality differences between her daughter and her future son-in-law that sheembarked on an intensive program of self-study in psychology to try to understand him.
In 1923, she read Jung’s book, Psychological Types, and found what she was lookingfor, a way to categorize people and to explain the differences among them. And so, with-out any research grant support, university affiliation, or graduate students, she devel-oped, with Isabel’s help, a test to measure those differences.
In 1975, Isabel Briggs Myers and Mary McCaulley, a psychology professor at theUniversity of Florida, established the Center for Applications of Psychological Type forMBTI training and research. In 1979, the Association for Psychological Type was founded.Two journals published research reports on applications of the test. The MBTI is consid-ered the most visible practical outgrowth of Jung’s work on the human personality.
Research on Jung’s Theory
Jung, like Freud, used the case study method, which Jung called life-history reconstruction.It involved an extensive recollection of a person’s past experiences in which Jung soughtto identify the developmental patterns he believed led to the present neurotic condition.The criticisms of Freud’s data and research methods also apply to Jung’s work. Jung’sdata did not rely on objective observation and were not gathered in a controlled and sys-tematic fashion. Also, the situations in which they were obtained, the clinical interviews,were not amenable to duplication, verification, or quantification.
Like Freud, Jung did not keep verbatim records of his patients’ comments, nor did heattempt to verify the accuracy of their reports. Jung’s case studies involved (as didFreud’s) a small, unrepresentative sample of people, making it difficult to generalize tothe population at large.
Jung’s analysis of the data was subjective and unreliable. We do not know how he ana-lyzed his data because he never explained his procedures. It is obvious that the data weresubjected to some of the most unusual interpretations of any personality theory. We notedearlier that Jung studied a variety of cultures and disciplines. It was on this basis, and that ofhis own dreams and fantasies, that he interpreted the information gathered from his patients.
His work has been criticized for dealing with conclusions he may have slanted to fithis theory. It is also alleged that his visions, which he claimed to have experienced dur-ing his midlife confrontation with his unconscious, can be traced to the material he hadread (Noll, 1993, 1994).
As was the case with Freud’s propositions, many of Jung’s observations cannot besubmitted to experimental test. Jung himself was indifferent to this criticism and com-mented that anyone who “wishes to know about the human mind will learn nothing, oralmost nothing, from experimental psychology” (quoted in Ellenberger, 1970, p. 694).
Research on Psychological Types
Despite Jung’s negative view of experimental psychology, researchers have been able tosubmit some aspects of Jungian theory to experimental test, with results that are sup-portive of some of Jung’s propositions. Most of this research uses the MBTI and focuses
life-historyreconstruction Jung’stype of case study thatinvolves examining aperson’s past experi-ences to identifydevelopmental pat-terns that may explainpresent neuroses.
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on the attitudes of introversion and extraversion. However, not all research supportsJung’s delineation of the psychological types (Pittenger, 2005).
Studies of College Students
One study of college students found that their job interests were closely related to Jungianattitudes and psychological types (Stricker & Ross, 1962). Introverts showed strong inter-ests in occupations that did not involve personal interaction, such as technical and scien-tific work. Extraverts were more interested in jobs that offered high levels of socialinteraction, such as sales and public relations. Other research found that introverted feelingand judging types had higher grade point averages than the other psychological types(DiRienzo, Das, Synn, Kitts, & McGrath, 2010).
Different psychological types may be drawn to different professions (Hanewitz, 1978).The MBTI was given to a large sample of police officers, schoolteachers, and social workand dental school students. The teachers and social work students showed high levels ofintuiting and feeling. Police officers and dental school students, who deal with people indifferent ways from teachers and social workers, scored high in extraversion and in sens-ing and thinking.
College students who scored high in intuiting were inclined toward more creativevocational interests. Those who scored high in sensing favored more conventional voca-tional interests (Apostal, 1991). A study of women admitted to the U.S. Naval Academywho took the MBTI found that the extraverted-sensing-thinking-judging types were themost likely to graduate. In contrast, the women most likely to drop out scored higher infeeling and perceiving (Murray & Johnson, 2001). A 10-year research program on stu-dents at liberal arts colleges also found that those most likely to drop out before gradua-tion scored high on the MBTI in perceiving (Barrineau, 2005).
MBTI scores of medical school students showed that those who became primary carephysicians scored high in feeling and introversion. Those who became surgeons had beenlabeled extraverted and thinking types (Stilwell, Wallick, Thal, & Burleson, 2000). Anothersample of college students who took the MBTI, extraverts scored higher than introverts inpsychological well-being and general life satisfaction (Harrington & Loffredo, 2001).
Studies of Cognitive Functioning
Jungian personality types appear to differ in their cognitive or mental functioning. Peoplecategorized as introverted thinking types have better memories for neutral or impersonalstimuli, such as numbers. Persons labeled extraverted feeling types have better memoriesfor human stimuli with emotional overtones, such as facial expressions (Carlson & Levy,1973). It was also found that brain wave activity, as measured by the EEG, differed foreach of the psychological types, as assessed by the MBTI (Gram, Dunn, & Ellis, 2005).
DILBERT ©2000 Scott Adams. Used By permission of UNIVERSAL UCLICK. All rights reserved.
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Also, introverted thinking and extraverted feeling types differ in their ability to recallsignificant personal experiences (Carlson, 1980). When subjects were asked to recall theirmost vivid experiences involving such emotions as joy, anger, and shame, extravertedfeeling types most often reported memories involving other people. Introverted thinkingtypes more frequently recalled events that occurred when they were alone. In addition,extraverted feeling types recalled highly emotional details, whereas introverted thinkingtypes remembered more emotionally neutral and factual experiences.
Studies of Diverse Cultures
The MBTI has been translated for use in a number of different countries, includingTurkey, Syria, and other Arab countries (Atay, 2012; Ayoubui & Ustwani, 2014). Astudy of Muslims living in England found that “within a Muslim context religious par-ticipation is associated with extraversion rather than introversion and with thinkingrather than feeling” (Francis & Datoo, 2012, p. 1037). A study of Greek Orthodoxchurchgoers living in London showed that they scored high in introversion, sensing,thinking, and judging (Lewis, Varvatsoulias, & George, 2012). Research on women col-lege students in Israel found that extraverts and feeling types scored higher on measuresof happiness than introverts and thinking types (Francis, Yablon, & Robbins, 2013).
Among college students in Singapore, extraverts preferred to communicate with otherpeople in person, whereas introverts preferred online contacts (Goby, 2006). When stu-dents in Bulgaria (ages 13–16) were given the MBTI, the results showed that those whoscored high on intuiting and sensing had greater self-esteem. Those who scored low onsensing and judging had lower self-esteem (Papazova & Pencheva, 2008).
Research on junior and mid-level managers in India showed that those who scoredvery high on the thinking function tended to be collaborative in their efforts to manageconflict. Those who scored high in feeling tended to avoid dealing with conflicts. Themen in this study scored higher on thinking, whereas the women scored higher on feel-ing (Mathew & Bhatewara, 2006).
A study of managers in China, however, did not find any significant differencesbetween men and women in scores on the MBTI (Huifang & Shuming, 2004). Addi-tional research on managers in China found that their MBTI scores were much moresimilar to the scores of managers in the United States than to the general population inChina (Yang & Zhao, 2009).
Perhaps not surprisingly, a study of Australians and Canadians found that the funda-mental motivating feature for people who scored high in extraversion was the socialattention their behavior brought them (Ashton, Lee, & Paunonen, 2002).
Research on Dreams
In research on dreams to study the occurrence of archetypes, subjects were asked torecall their most recent dream, their most vivid dream, and their earliest dream over aperiod of 3 weeks (Cann & Donderi, 1986). They were also given the MBTI and anotherpersonality test. Introverts were more likely than extraverts to recall everyday dreamsthat bore no relation to archetypes. Intuiting types recalled more archetypal dreamsthan did sensing types. Persons who scored high in neuroticism recalled fewer archetypaldreams than those who scored low in neuroticism. The researchers concluded that thesefindings agreed with predictions made on the basis of Jung’s personality theory.
Individuation
An intensive investigation of men and women aged 37 to 55, who held senior executivepositions, found that they displayed behaviors that corroborate Jung’s concept of
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individuation. The study involved interviews with the executives, their colleagues, andtheir family members as well as observations of their behavior on the job. They werealso evaluated on the TAT, the MBTI, and the Adjective Check List. The researcher con-cluded that the executives “looked within [themselves] for direction and energy, ques-tioned their inherited values, relinquished outmoded aspects of their selves, revealednew dimensions of who they are, and allowed themselves to be more playful and sponta-neous” (Lyons, 2002, p. 9). The executives also took actions according to their ownwishes and desires instead of simply reacting to external demands and pressures. Thesebehavioral and emotional characteristics correspond to Jung’s description of the individ-uation process.
The Midlife Crisis in Women
We saw that the onset of middle age, around age 40, was a time of personal crisis for Jungand many of his patients. Jung, and others who have studied this so-called midlife crisis,initially viewed it as a phenomenon far more likely to affect men than women. Morerecently, however, the idea that women undergo a similar crisis has been recognized.
One national survey of women in the United States found that they were in worsehealth than men, felt they had little or no control over their marriages, and had feweropportunities to find employment (Barrett, 2005). Women at midlife who experiencedmore stressful changes in their lives reported lower levels of satisfaction with their lives(Darling, Coccia, & Senatore, 2012).
Lesbian women reported less emotional turmoil at midlife than did heterosexual women.Black women had more positive self-perceptions at middle age than did White women(Brown, Matthews, & Bromberger, 2005; Howell & Beth, 2004). A survey of women intheir 50s, who had been studied periodically since their senior year in college, asked themto describe the most difficult period in their lives since graduation. A variety of self-ratingsrevealed that the early 40s were the time of greatest conflict (Helson, 1992).
Other research demonstrated that many women in midlife undergo an intense period ofself-evaluation, reviewing their lives and judging their relative success or failure. One studyfound that the midlife transition was less difficult for women who had actively pursuedcareers than for women who stayed at home and focused on marriage and family. Manysubjects in the latter group concluded that their marriages had been a partial or completefailure. Their regret over their choice led them to consider drastic changes. The careerwomen felt significantly less need to make major changes at midlife (Levinson, 1996).
Making Life changes
Research involving two samples of college-educated women confirmed these rather bleakfindings. The women were studied initially as students and later when they were in theirlate 30s or early 40s. The majority of the women experienced a period of life reevaluationaround age 40, as Jung had predicted. Approximately two-thirds made major life changesbetween the ages of 37 and 43 as a direct result of their self-evaluation.
When asked at age 37 if they would opt again for the same life choices they hadmade when younger, 34 percent from an affluent private college and 61 percent froma large state university said they would not. If they could do it all over again, thesewomen said they would pursue educational and career opportunities instead of familygoals. Another sample of women studied at midlife also showed that two-thirds ofthem believed they had been less successful in life than their adult daughters whoworked outside the home (Carr, 2004).
A sense of dissatisfaction at midlife motivated many women to change, but not all wereable to go back to school or find a job that made full use of their abilities. Those women
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who were able to make satisfactory life changes by age 43 reported significantly greaterfeelings of general well-being than those women who were unable to make such changes.The changed group experienced an increased sense of personal identity and an enlargedview of their own capabilities. Thus, regret about their earlier choices led to make positivechanges in midlife (Stewart & Ostrove, 1998; Stewart & Vandewater, 1999).
Personal Growth or Stagnation?
A longitudinal study followed women for 20 years after they graduated from college. Theresults showed that the personalities of the women at midlife, based on ratings by inde-pendent judges, could be divided into three levels or prototypes: conflicted, traditional,and individuated. The lowest level, the conflicted prototype, was characterized by per-sonal conflicts, psychological problems, poor relationships with others, anxiety, hostility,and rigidity. The women at this level were considered to be psychologically immature.
The second level, the traditional prototype, was characterized by devotion to others, feel-ings of guilt, an emphasis on fulfilling duties and obligations at the expense of their own self-development and self-expression, and a concern for societal standards and getting theapproval of others. They were also described as competent adults and good citizens whofocused on marriage rather than career but lacking a high degree of psychological maturityand self-understanding.
The third level, the individuated prototype, corresponds to Jung’s concept of individ-uation, the ideal outcome of the midlife personality crisis. Women at this level weredescribed as high in autonomy, creativity, responsiveness and closeness to others, self-actualization, individual achievement orientation, empathy, tolerance, ego resilience, andintellectual and cultural sophistication (John, Pals, & Westenberg, 1998).
Studies of women in the United States and in Australia confirmed that for some, mid-dle age is a time of increasing personal growth, moving in new directions, ridding them-selves of past problems, and experiencing the freedom to be themselves (Arnold, 2005;Leonard & Burns, 2006). In other words, they had reached a higher level of psychologicalmaturity, a finding that supports Jung’s view of individuation as the supreme state ofpsychological health and self-development.
HIGHLIGHTS: Research on Jung’s Ideas
Research on psychological types has found that:
• Introverts are drawn to technical and scientific jobs• Extraverts prefer jobs with a lot of social interaction• Introverted, feeling, and judging types tend to get high grades in school• Extraverts score higher on happiness and life satisfaction• Introverts prefer online rather than personal social contact
Research on the midlife crisis in women has found that:
• Homosexual women experience fewer emotional difficulties than heterosexualwomen
• Black women feel greater self-satisfaction in middle age than White women• The midlife crisis is resolved more easily by women with independent
careers than by those more focused on marriage and family• The concept of individuation applies to women as well as to men
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Reflections on Jung’s Theory
Contributions
Jung’s complex and unusual approach to the human personality has had considerableimpact on a broad range of disciplines, notably psychiatry, sociology, economics, politicalscience, philosophy, and religion. Recognized by the intellectual community at large,Jung received honorary degrees from Harvard and Oxford and has been acknowledgedas a powerful influence on the work of many scholars.
Jung made several important and lasting contributions to psychology (see, for exam-ple, Summerville, 2010). The word-association test became a standard projectivetechnique and inspired the development of the Rorschach inkblot test and the so-calledlie-detection techniques. The concepts of psychological complexes and of introverted ver-sus extraverted personalities are widely accepted in psychology today. The personalityscales that measure introversion and extraversion are standard diagnostic and selectiondevices. A great deal of research is being conducted on the introversion–extraversionpersonality dimensions, as we will see in Chapter 8.
In the following chapters, we will also see evidence of Jung’s influence on the workof some other theorists. Jung’s notion of individuation, or self-actualization, antici-pated the work of Abraham Maslow. Jung was the first to emphasize the role of thefuture in determining behavior, an idea adopted by Alfred Adler. Maslow, ErikErikson, and Raymond Cattell embraced Jung’s suggestion that middle age is a timeof crucial personality change. The idea of a midlife crisis is now seen by many as anecessary stage of personality development and has been supported by considerableresearch.
Criticisms
Despite the significance of these formulations, the bulk of Jung’s theory was not receivedenthusiastically by psychologists. One reason concerns the difficulty of understandingJungian concepts. Sigmund Freud, Alfred Adler, and others wrote in a clear style thatallows their books to be easily read and understood. Jung did not write for the generalpublic. Reading his work can be frustrating, because his books contain many inconsisten-cies and contradictions.
Jung once said, “I can formulate my thoughts only as they break out of me. It is like ageyser. Those who come after me will have to put them in order” (quoted in Jaffé, 1971,p. 8). One Jungian scholar described one of Jung’s major books as only partly intelligible.“The connection between one thought and the next is not clear and … there are manyinternal contradictions” (Noll, 1994, p. 109). This criticism can be applied to many ofJung’s writings. They are difficult to comprehend and lack internal consistency andsystematization.
Jung’s embrace of the occult and the supernatural is probably the source of most ofthe criticism directed at his theory. Evidence from mythology and religion is not in favorin an era when reason and science are considered the most legitimate approaches toknowledge and understanding. Critics charge that Jung accepted as scientific evidencethe mythical and mystical occurrences his patients reported.
Despite these problems, a surge of interest in Jung’s work began in the late 1980s andcontinues today. Formal training in Jungian analysis is available in New York, Chicago,Boston, San Francisco, Los Angeles, and several other major cities in the United Statesand Canada. There are also Jungian training institutes in South America, Europe, andIsrael. The Society of Analytical Psychology, founded in 1947, publishes the JungianJournal of Analytical Psychology.
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Chapter Summary
Parts of Jung’s personality theory were influenced byhis unhappy childhood experiences and his dreamsand fantasies. Jung broadened Freud’s definition oflibido, redefining it as a more generalized dynamicforce. Jung argued that personality is shaped by thefuture as well as the past, and he placed even greateremphasis on the unconscious than Freud did.
Jung used the term libido in two ways: as a diffuse,generalized life energy and as a narrower energy thatfuels the psyche. The amount of energy invested in anidea or feeling is called a value. Psychic energy operatesin accordance with the principles of opposites, equiva-lence, and entropy. The principle of opposites statesthat every aspect of the psyche has its opposite andthat this opposition generates psychic energy. Theprinciple of equivalence states that energy is neverlost to the personality but is shifted from one part toanother. The principle of entropy states that there is atendency toward equilibrium in the personality.
The ego is the center of consciousness and is con-cerned with perceiving, thinking, feeling, and remem-bering. Part of our conscious perception is determinedby the attitudes of introversion and extraversion, inwhich libido is channeled internally or externally.
The psychological functions include thinking, feeling,sensing, and intuiting. Thinking and feeling are rationalfunctions; sensing and intuiting are nonrational. Onlyone attitude and function can be dominant. The eightpsychological types are formed by combinations of theattitudes and functions.
The personal unconscious is a reservoir of material thatwas once conscious but has been forgotten or suppressed.Complexes, which may be conscious or unconscious, arepatterns of emotions, memories, perceptions, and wishescentering on common themes. The collective unconsciousis a storehouse of the experiences of humankind transmit-ted to each individual. Archetypes are recurring themesthat express these experiences. The most powerful arche-types are the persona, anima, animus, shadow, and self.
Psychic birth occurs at puberty, when the psycheassumes a definite content. Preparatory activitiesmark the time from adolescence through young adult-hood. In the period of middle age, when success hasbeen achieved, the personality undergoes changes. Psy-chic energy must be rechanneled into the inner worldof the unconscious, and the attitude must shift fromextraversion to introversion.
Individuation (the realization of one’s capabilities)does not occur until middle age, when people mustconfront their unconscious and abandon the behaviorsand values that guided the first half of their lives. Tran-scendence involves the unification of the personality.
Jung’s image of human nature was more optimisticand less deterministic than Freud’s view. Jung believedthat part of personality is innate and part is learned. Theultimate life goal is individuation. Childhood experiencesare important, but personality is more affected by midlifeexperiences and hopes for the future. Personality isunique in the first half of life but not in the second.
Jung’s methods of assessment include the investigationof symbols, myths, and rituals in ancient cultures; theword-association test, used to uncover complexes; symp-tom analysis, in which patients free-associate to theirsymptoms; and dream analysis. The Myers-Briggs TypeIndicator, an assessment instrument deriving from Jung’sapproach, is a highly popular employee selection tech-nique and is also used for research on Jung’s system.
Jung’s case study method, called life-history recon-struction, did not rely on objective observation, was notsystematic and controlled, and was not amenable toduplication and verification.
Research has supported some of Jung’s ideas on atti-tudes, functions, and psychological types, but broaderaspects of his theory have resisted attempts at scientificvalidation. His work has had considerable influence inseveral fields. Widely accepted Jungian ideas includethe word-association test, complexes, introversion-extraversion, self-actualization, and the midlife crisis.
Review Questions
1. How would you describe the ways in which Jung’spersonality theory was influenced by his childhoodexperiences?
2. What are the principles of opposites, equivalence,and entropy? How do they relate to the concept ofpsychic energy?
3. Describe the three major points of differencebetween Jung’s theory of analytical psychology andFreud’s theory of psychoanalysis.
4. How does the principle of opposites apply to theattitudes and functions?
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5. Explain how the eight psychological types derivefrom the attitudes and functions.
6. In what ways do introverts differ from extraverts?7. Why are thinking and feeling considered to be
rational functions while sensing and intuiting aresaid to be nonrational functions?
8. What is the relationship between the ego and thepersonal unconscious?
9. How does the personal unconscious differ fromthe collective unconscious?
10. What is a complex? How can a complex be help-ful? (Do you have any?)
11. Distinguish between the persona archetype and theself archetype.
12. Explain the similarities and the differencesbetween Jung’s concept of the shadow archetypeand Freud’s concept of the id?
13. What are the anima and animus archetypes? InJung’s view, are they supposed to be suppressed orexpressed? Why?
14. Discuss Jung’s ideas on the development of per-sonality throughout the life span, especially theperiods of adolescence and middle age.
15. What is individuation? How must our archetypeschange if we are to achieve individuation?
16. In what ways does Jung’s image of human naturediffer from Freud’s?
17. What is the purpose of the word-association test?What are the purposes of dreams?
18. Describe Jung’s approach to his sessions with hispatients. How did his typical sessions differ fromthose of Freud?
19. Discuss the research findings using the MBTI thatshow the occupational preferences of extravertsand introverts.
20. Describe the criticisms and the contributions ofJung’s personality theory.
Suggested Readings
Bair, D. (2003). Jung: A biography. Boston: Little,Brown. A thoroughly researched biography thatassesses Jung’s complex personality throughout thelife span and shows its impact on his theories. Alsonotes the censorship the Jung heirs maintain oversignificant amounts of Jung’s correspondence, sug-gesting that the definitive work has yet to be written.
Bishop, P. (2014). Carl Jung. London: Reaktion books.A concise biography of Jung that follows his lifefrom childhood through his years with Freud andbeyond, portraying him as one of the most impor-tant European theorists of the 20th century.
Crellin, C. (2014). Jung’s Theory of Personality: aModern Reappraisal. New York: Routledge/Taylor &Francis Group. A thorough and scholarly criticalanalysis of Jung’s approach to understanding per-sonality, emphasizing its continuing relevance.
Ellenberger, H. F. (1970). The discovery of the uncon-scious: The history and evolution of dynamic psy-chiatry. New York: Basic Books. Traces the study ofthe unconscious from primitive times to Freudianpsychoanalysis and its derivatives. See Chapter 9,“Carl Gustav Jung and Analytical Psychology.”
Freud/Jung letters. (1974). Princeton, NJ: PrincetonUniversity Press. Contains some 360 letters, datingfrom 1906 to 1913, that show the development and
dissolution of the friendship between SigmundFreud and Carl Jung. Edited by William McGuire.
Hannah, B. (1976). Jung: His life and work. New York:Putnam. A biographical memoir by a Jungian ana-lyst who was a friend of Jung’s for more than 30years.
Jung, C. G. (1961). Memories, dreams, reflections. NewYork: Vintage Books. Jung’s recollections of his life,written at the age of 81.
Kerr, J. (1993). A most dangerous method: The story ofJung, Freud, and Sabina Spielrein. New York: Knopf.The story of a woman patient who became involvedin a long-standing relationship with her analyst,Carl Jung.
Roazen, P. (1975). Freud and his followers. New York:Alfred A. Knopf. A lively, well-written account ofFreud’s life and of the men and women who becamehis disciples, some of whom later broke away toform their own schools of thought. See Part 6, “The‘Crown Prince’: Carl Gustav Jung.”
Schultz, D. (1990). Intimate friends, dangerous rivals: Theturbulent relationship between Freud and Jung. LosAngeles: Jeremy Tarcher. Describes the personaland professional relationship between Freud and Jungand the parallels and differences in their childhood,midlife crises, and relationships with women.
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chapter 4Alfred Adler:IndividualPsychology
The goal of the human soulis conquest, perfection,security, superiority. Everychild is faced with so manyobstacles in life that nochild ever grows upwithout striving for someform of significance.
—Alfred Adler
The Life of Adler (1870–1937)Childhood and AdolescenceAdulthoodRelations with FreudBecoming a Celebrity in America
Inferiority Feelings: The Source of All
Human StrivingThe Inferiority ComplexCauses of inferiority ComplexesThe Superiority Complex
Striving for Superiority, or PerfectionFictional Finalism
The Style of LifeThe Creative Power of the SelfFour Basic Styles of Life
Social InterestThe Role of the Mother in Developing Social
InterestThe Role of Adler’s Life Experiences in Devel-
oping Social Interest
Birth OrderThe First-Born Child
Characteristics of First-BornsThe Second-Born ChildCharacteristics of Second-BornsThe Youngest ChildThe Only Child
Questions about Human Nature
Assessment in Adler’s TheoryEarly RecollectionsAdler’s Strange Early MemoryDream AnalysisMeasures of Social Interest
Research on Adler’s TheoryThe Nature of Early RecollectionsBirth-Order Effects: A Matter of Belief?
Reflections on Adler’s TheoryContributionsCriticismsLater Recognition and Influence
Chapter Summary
Review Questions
Suggested Readings
Alfred Adler fashioned an image of human nature that did not portray people asvictims of instincts, biological forces, or childhood experiences. He called hisapproach individual psychology because it focused on the uniqueness of eachperson and denied the universality of biological motives and goals ascribed to usby Sigmund Freud.
In Adler’s view, each of us is primarily a social being. Our personalities areshaped by our unique social environments and interactions, not by attempts to
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individual psychologyAdler’s theory ofpersonality.
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satisfy biological needs. Unlike Freud, who saw sex as being of primary impor-tance in shaping our personalities, Adler minimized the role of sex. To Adler, theconscious, not the unconscious, was at the core of personality. Rather than beingdriven by forces we cannot see and control, we are actively involved in creatingour unique selves and directing our own futures.
With Adler and Freud, we see two vastly different theories created by twomen, only 14 years apart in age, who were brought up in the same city in thesame era and educated as physicians at the same university. As with Freud,certain aspects of Adler’s childhood seemed to have influenced his way of look-ing at human nature.
The Life of Adler (1870–1937)
Childhood and Adolescence
Adler’s early childhood was marked by illness, an awareness of death, and intense jeal-ousy of his older brother. He suffered from rickets (a vitamin D deficiency characterizedby softening of the bones), which kept him from playing with other children. At age 3,his younger brother died in the bed next to his. At 4, Adler himself almost died frompneumonia. When he heard the doctor tell his father, “Your boy is lost,” he decided tobecome a doctor (Orgler, 1963, p. 16).
Adler was pampered by his mother initially, but then was suddenly dethroned at theage of 2 by the arrival of another baby. Biographers have suggested that Adler’s mothermay have then rejected him, but he was clearly his father’s favorite. Therefore, his child-hood relations with his parents were quite different from Freud’s, who was much closerto his mother than to his father. As an adult, Adler had no use for the Freudian conceptof the Oedipus complex because it was so foreign to his childhood experiences.
Adler was always jealous of his older brother, who was vigorous and healthy andcould engage in the physical activities and sports in which Alfred could not take part.“I remember sitting on a bench, bandaged up on account of rickets, with my healthyelder brother sitting opposite me. He could run, jump, and move about quite effortlessly,while for me, movement of any sort was a strain and an effort” (Adler quoted inBottome, 1939, pp. 30–31).
Adler felt inferior to his brother and to the other neighborhood children, who allseemed healthier and more athletic. As a result, he resolved to work hard to overcomehis feelings of inferiority and to compensate for his physical limitations. Despite hissmall stature, clumsiness, and unattractiveness, the legacies of his illness, he forced him-self to join in games and sports.
Gradually he achieved a sense of self-esteem and social acceptance. He also developeda fondness for the company of other people and retained this sociability all his life. In hispersonality theory, Adler emphasized the importance of the peer group and suggestedthat childhood relationships with siblings and with children outside the family weremuch more significant than Freud believed.
In school (the same one Freud had attended), Adler was initially unhappy and only amediocre student. Believing him to be unfit for anything else, a teacher advised Adler’sfather to apprentice him to a shoemaker, a prospect Adler found frightening. He wasparticularly bad in mathematics but persisted and eventually rose from being a failingstudent to the top of his class through sheer hard work.
In many ways, the story of Adler’s childhood reads like a tragedy, but it is also a text-book example of his theory of overcoming childhood weakness and inferiority to shape
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one’s destiny. The theorist who would give the world the notion of inferiority feelingsspoke from the depths of his own childhood. “Those who are familiar with my lifework will clearly see the accord existing between the facts of my childhood and theviews I expressed” (quoted in Bottome, 1939, p. 9).
Adulthood
Fulfilling his childhood ambition, Adler studied medicine at the University of Vienna butgraduated with no better than a mediocre academic record. He first went into privatepractice as an ophthalmologist but soon shifted to general medicine. He was interested inincurable diseases but became so distressed at his helplessness to prevent death, particularlyin younger patients, that he decided to specialize in neurology and psychiatry instead.
Relations with Freud
Adler’s 9-year association with Freud began in 1902, when Freud invited Adler and threeothers to meet once a week at Freud’s home to discuss psychoanalysis. Although theirrelationship never became close, Freud initially thought highly of Adler and praised hisskill as a physician who was able to gain the trust of his patients.
It is important to remember that Adler was never a student or disciple of Freud’s andwas not psychoanalyzed by him. One of Freud’s colleagues charged that Adler did nothave the ability to probe the unconscious mind and psychoanalyze people. It is interest-ing to speculate on whether this supposed lack led Adler to base his personality theoryon the more easily accessible consciousness and to minimize the role of the unconscious.
By 1910, although Adler was president of the Vienna Psychoanalytical Society andcoeditor of its journal, he was also an increasingly vocal critic of the Freudian theory.He soon severed all connection with psychoanalysis and went on to develop his ownapproach to personality.
Freud reacted angrily to Adler’s defection. He belittled Adler’s physical stature (Adlerwas 5 inches shorter than Freud) and called Adler loathsome, abnormal, driven mad byambition, filled with venom and meanness, paranoid, intensely jealous, and sadistic. Healso described Adler’s theory as worthless (Fiebert, 1997; Gay, 1988; Wittels, 1924).
Adler showed similar hostility toward Freud, calling him a swindler and denouncingpsychoanalysis as filth (Roazen, 1975). Adler became irate whenever he was introducedor referred to as a student of Freud’s. In his later years, Adler became just as embitteredtoward defectors from his own approach as Freud had been toward those, like Adler,who deviated from psychoanalysis. Adler was known to “flare suddenly into heatedanger when he felt his authority challenged” (Hoffman, 1994, p. 148).
Becoming a Celebrity in America
In 1912, Adler founded the Society for Individual Psychology. He served in the Austrianarmy during World War I (1914–1918) and later organized government sponsored child-counseling clinics in Vienna. In his clinics, Adler introduced group training and guidanceprocedures, forerunners of modern group therapy techniques. In 1926, he made the first ofseveral visits to the United States, where he taught and gave extremely popular lecture tours.
He moved to New York City in 1929 and continued to develop and promote his indi-vidual psychology. A biographer noted that Adler’s “personal traits of geniality, optimism,and warmth coupled with an intensely ambitious drive … soon catapulted him to Ameri-can prominence as a psychological expert” (Hoffman, 1994, p. 160). Adler’s books andlectures brought him recognition on a national scale, and he became America’s first popu-lar psychologist, a celebrity of the day. In 1937, while on an exhausting 56-lecture tour ofEurope, Adler suffered a heart attack and died in Scotland.
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Alfred AdlerVarious sites provide biographical information, discussions of his theory, research on rel-evant concepts, and links to other resources.
North American Society of Adlerian PsychologyAn organization formed to foster and promote the research, knowledge, training, andapplication of Adlerian Psychology, maintaining its principles and encouraging its growth.
Inferiority Feelings: The Source ofAll Human Striving
Adler believed that inferiority feelings are a constant motivating force in all behavior.“To be a human being means to feel oneself inferior,” Adler wrote (1933/1939, p. 96).Because this condition is common to all of us, then, it is not a sign of weakness orabnormality.
Adler proposed that inferiority feelings are the source of all human striving. Individ-ual growth results from compensation, from our attempts to overcome our real or imag-ined inferiorities. Throughout our lives, we are driven by the need to overcome this senseof inferiority and to strive for increasingly higher levels of development.
The process begins in infancy. Infants are small and helpless and are totally depen-dent on adults. Adler believed that infants are aware of their parents’ greater power andstrength and of their own hopelessness to resist or challenge that power. As a result,infants develop feelings of inferiority relative to the larger, stronger people aroundthem.
Although this initial experience of inferiority applies to everyone in infancy, it is notgenetically determined. Rather, it is a function of the environment, which is the same forall infants, a climate of helplessness and dependence on adults. Inferiority feelings areinescapable, but more important they are necessary because they provide the motivationfor us to strive and grow.
The Inferiority Complex
Suppose a child does not grow and develop as it gets older. What happens when thechild is unable to compensate for those feelings of inferiority? An inability to overcomeinferiority feelings intensifies them, leading to the development of an inferioritycomplex. People with an inferiority complex have a poor opinion of themselves andfeel helpless and unable to cope with the demands of life. Adler found such a complexin the childhood of many adults who came to him for treatment.
Causes of Inferiority Complexes
An inferiority complex can arise from three sources in childhood: organic inferiority,spoiling, and neglect.
Organic Inferiority Adler argued that defective parts or organs of the body shapepersonality through the person’s efforts to compensate for the defect or weakness, justas Adler compensated for rickets, the physical inferiority of his childhood years. A childwho is physically weak, as Adler was, might focus on that weakness and work to developsuperior athletic ability.
inferiority feelings Thenormal condition of allpeople; the source ofall human striving.
compensation A moti-vation to overcomeinferiority, to strive forhigher levels ofdevelopment.
inferiority complexA condition that devel-ops when a person isunable to compensatefor normal inferiorityfeelings.
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History records many examples of that kind of compensation. In ancient times theGreek statesman Demosthenes overcame a stutter to become a great orator. The sicklyTheodore Roosevelt, 26th president of the United States, became a model of physical fit-ness as an adult. Efforts to overcome organic inferiority can result in striking artistic,athletic, and social accomplishments, but if those efforts fail, they can lead to an inferi-ority complex.
Adler saw examples of people who had successfully compensated for physical weak-nesses in his practice. His office in Vienna was located near an amusement park, and hispatients included a number of circus performers and gymnasts. They possessed extraor-dinary physical skills that, in many cases, they developed as a result of hard work toovercome childhood disabilities.
Spoiling Spoiling or pampering a child can also bring about an inferiority com-plex. Spoiled children are the center of attention in the home. Their every need orwhim is satisfied, and little is denied them. Such children naturally develop the ideathat they are the most important people in any situation and that others shouldalways defer to them.
Many people withphysical disabilitiesstrive to compensatefor their weaknesses.
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The first experience at school, where these children are no longer the focus of atten-tion, comes as a shock for which they are unprepared. Spoiled children have little socialfeeling and are impatient with others. They have never learned to wait for what theywant, nor have they learned to overcome difficulties or adjust to others’ needs. Whenconfronted with obstacles to gratification, spoiled children come to believe that theymust have some personal deficiency that is thwarting them; hence, an inferiority com-plex develops.
Neglecting It is easy to understand how neglected, unwanted, and rejected childrencan develop an inferiority complex. Their infancy and childhood are characterized by alack of love and security because their parents are indifferent or hostile. As a result,these children develop feelings of worthlessness, or even anger, and view others withdistrust. Indeed, today, neglect has come to be considered a major form of childabuse (Hickman, 2009).
The Superiority Complex
Whatever the source of the complex, a person may attempt to overcompensate and sodevelop what Adler called a superiority complex. This involves an exaggerated opinionof one’s abilities and accomplishments. Such persons may feel inwardly self-satisfiedand superior and show no need to demonstrate their superiority with actual accom-plishments. Or the person may feel such a need and work hard to become extremelysuccessful. In both cases, persons with a superiority complex are given to boasting,vanity, self-centeredness, and a tendency to denigrate others.
Striving for Superiority, or Perfection
Inferiority feelings are the source of motivation and striving, but to what end? Are wemotivated simply to be rid of inferiority feelings? Adler believed that we work for some-thing more; however, his view of our ultimate goal in life changed over the years.
At first, he identified inferiority with a general feeling of weakness or of femininity, inrecognition of the inferior standing of women in the society of his day. He spoke of tryingto compensate for this feeling as the masculine protest. The goal of the compensation wasa will or a drive toward power in which aggression, a supposedly masculine characteristic,played a large part. Later he rejected the idea of equating inferiority feelings with feminin-ity and developed a broader viewpoint in which we strive for superiority, or perfection.
Adler described his notion of striving for superiority as the fundamental fact of life(Adler, 1930). Superiority is the ultimate goal toward which we strive. He did not meansuperiority in the usual sense of the word, nor did the concept relate to the superioritycomplex. Striving for superiority is not an attempt to be better than everyone else, nor isit an arrogant or domineering tendency or an inflated opinion of our abilities andaccomplishments.
What Adler meant was a drive for perfection. The word perfection is derived from aLatin word meaning to complete or to finish. Thus, Adler suggested that we strive forsuperiority in an effort to perfect ourselves, to make ourselves complete or whole.
This innate goal, the drive toward wholeness or completion, is oriented toward thefuture. Whereas Freud proposed that human behavior is determined by the past (thatis, by the instincts and by our childhood experiences), Adler saw human motivation interms of expectations and aspirations for the future. He argued that instincts and primalimpulses were insufficient as explanatory principles. Only the ultimate, final goal ofsuperiority or perfection could explain personality and behavior.
superiority complex Acondition that developswhen a person over-compensates for nor-mal inferiority feelings.
striving for superiorityThe urge toward per-fection or completionthat motivates eachof us.
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Fictional Finalism
Adler applied the term finalism to the idea that we have an ultimate goal, a final stateof being, and a need to move toward it. The goals for which we strive, however, arepotentialities, not actualities. In other words, we strive for ideals that exist in us subjec-tively. Adler believed that our goals are fictional or imagined ideals that cannot betested against reality. We live our lives around ideals such as the belief that all peopleare created equal or that all people are basically good. Adler’s life goal was to conquerthe death he faced at the age of 4 from pneumonia. His way of striving for that goal,which of course is fictional because ultimately it cannot be won, was to become a phy-sician (Hoffman, 1994).
These beliefs influence the ways we perceive and interact with other people. Forexample, if we believe that behaving a certain way will bring us rewards in a heaven oran afterlife, we try to act according to that belief. Belief in the existence of an afterlife isnot based on objective reality, but it is real to the person who holds that view.
Adler formalized this concept as fictional finalism, the notion that fictional ideasguide our behavior as we strive toward a complete or whole state of being. We directthe course of our lives by many such fictions, but the most pervasive one is the ideal ofperfection. He suggested that the best formulation of this ideal developed by humanbeings so far is the concept of God. Adler preferred the terms subjective final goal orguiding self-ideal to describe this concept, but it continues to be known as “fictional fin-alism” (Watts & Holden, 1994).
There are two additional points Adler made about striving for superiority. First, itincreases rather than reduces tension. Unlike Freud, Adler did not believe that our solemotivation was to reduce tension. Striving for perfection requires great expenditures ofenergy and effort, a condition quite different from equilibrium or a tension-free state.
Second, the striving for superiority is manifested both by the individual and by society as awhole. Most of us are social beings. We strive for superiority or perfection not only as indi-viduals but also as members of a group. We try to achieve the perfection of our culture.
In Adler’s view, individuals and society are interrelated and interdependent. Peoplemust function constructively with others for the good of all. Thus, to Adler, humanbeings perpetually strive for the fictional, ideal goal of perfection. How in our dailylives do we try to attain this goal? Adler answered this question with his concept of thestyle of life.
The Style of Life
Adler stated that the ultimate goal for each of us is superiority or perfection, but we tryto attain that goal in many different ways. Each of us expresses the striving differently.We develop a unique pattern of characteristics, behaviors, and habits, which Adler calleda distinctive character, or style of life.
To understand how the style of life develops, we must go back to the concepts of infe-riority feelings and compensation. Infants are afflicted with inferiority feelings that moti-vate them to compensate for helplessness and dependency. In these attempts atcompensation, they acquire a set of behaviors. For example, the sickly child may striveto increase physical prowess by running or lifting weights. These behaviors become partof the style of life, a pattern of behaviors designed to compensate for inferiority.
Everything we do is shaped and defined by our unique style of life. It determineswhich aspects of our environment we attend to or ignore and what attitudes we hold.The style of life is learned from social interactions and is so firmly crystallized by theage of 4 or 5 that it is difficult to change thereafter.
fictional finalism Theidea that there is animagined or potentialgoal that guides ourbehavior.
style of life A uniquecharacter structure orpattern of personalbehaviors and charac-teristics by which eachof us strives for per-fection. Basic styles oflife include the domi-nant, getting, avoiding,and socially usefultypes.
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The style of life thus becomes the guiding framework for all of our later behavior. Itsnature depends on social interactions, especially the person’s order of birth within thefamily and the nature of the parent–child relationship. Recall that one condition thatcan lead to an inferiority complex is neglect. Neglected children may feel inferior in cop-ing with the demands of life and therefore become distrustful of and hostile towardothers. As a result, their lifestyle may involve seeking revenge, resenting others’ success,and taking whatever they feel is their due.
The Creative Power of the Self
You may have spotted an apparent inconsistency between Adler’s notion of style of lifeand our earlier observation that his theory is less deterministic than Freud’s. Adler saidwe are in control of our fate, not victims of it. But now we find that the style of life isdetermined by social relationships in the early years and subject to little change after that.
This seems almost as deterministic as the Freudian view, which emphasized theimportance of early childhood in the formation of the adult personality. However,Adler’s theory is not as deterministic as it may seem at first. He resolved this seemingdilemma by proposing a concept he called the creative power of the self.
Adler believed that we create our selves, our personality, our character; these are allterms Adler used interchangeably with style of life. We are not passively shaped by child-hood experiences. Those experiences themselves are not as important as our consciousattitude toward them. Adler argued that neither heredity nor environment provides acomplete explanation for personality development. Instead, the way we perceive andinterpret these influences forms the basis for the creative construction of our attitudetoward life.
Adler believed in the existence of individual free will that allows each of us to createan appropriate style of life from the abilities and experiences given us by both ourgenetic endowment and our social environment. Although unclear on specifics, Adlerinsisted that our style of life is not determined for us. We are free to choose and createit ourselves. Once created, however, the style of life remains constant throughout life.
Four Basic Styles of Life
Adler described several universal problems and grouped them into three categories: pro-blems involving our behavior toward others; problems of occupation; problems of love.Further, he proposed four basic styles of life for dealing with these problems: the domi-nant type, the getting type, the avoiding type, and the socially useful type.
The dominant type displays a dominant or ruling attitude with little social awareness.Such a person behaves without any regard for other people. The more extreme of thistype attack others and become sadists, delinquents, or sociopaths. The less virulentbecome alcoholics, drug addicts, or suicides; they believe they hurt others by attackingthemselves. The getting type (to Adler, the most common human type) expects to receivesatisfaction from other people and so becomes dependent on them. The avoiding typemakes no attempt to face life’s problems. By avoiding difficulties, the person avoids anypossibility of failure.
These three types are not prepared to cope with the problems of everyday life. Theyare unable to cooperate with other people and the clash between their style of life andthe real world results in abnormal behavior, which is manifested in neuroses and psycho-ses. They lack what Adler came to call social interest.
The socially useful type, in contrast, cooperates with others and acts in accordancewith their needs. Such persons cope with problems within a well-developed frameworkof social interest.
creative power of theself The ability to cre-ate an appropriatestyle of life.
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Social Interest
Adler believed that getting along with others is the first task we encounter in life. Ourlevel of ability to get along with other people becomes part of our style of life, and there-fore influences how well or poorly we will deal with all of life’s problems. He describedthis as the concept of social interest, which is the individual’s innate potential to coop-erate with other people in order to achieve personal and societal goals. Adler’s term forthis concept in the original German, Gemeinschaftsgefuhl, is best translated as “commu-nity feeling” (Stepansky, 1983, p. xiii). However, social interest has become the acceptedterm in English.
Although we are influenced more strongly by social than biological forces, in Adler’sview, the potential for social interest is innate. In that limited sense, then, Adler’sapproach has a biological element. However, the extent to which our innate potentialfor social interest is developed depends on our early social experiences.
No one can entirely avoid other people or obligations toward them. From earliesttimes, people have congregated in families, tribes, and nations. Communities are indis-pensable to human beings for protection and survival. Thus, it has always been necessaryfor people to cooperate with others to express their social interest. The individual mustcooperate with and contribute to society to realize personal and communal goals. Adlerbelieved that people have a fundamental need to belong in order to be healthy, well-functioning individuals (Ferguson, 2010).
The Role of the Mother in Developing Social Interest
Adler noted the importance of the mother as the first person with whom a baby comesin contact. Through her behavior toward the child, the mother can either foster socialinterest or thwart its development. Adler believed that the mother’s role was vital indeveloping the child’s social interest as well as all other aspects of the personality. Hewrote:
This connection [between mother and child] is so intimate and far reaching that we are neverable in later years to point to any characteristic as the effect of heredity. Every tendencywhich might be inherited has been adapted, trained, educated and made over again by themother. Her skill or lack of skill will influence all the child’s potentiality. (Adler quoted inGrey, 1998, p. 71)
The mother must teach the child cooperation, companionship, and courage. Only ifchildren feel a kinship with others will they be able to act with courage in attemptingto cope with life’s demands. Children (and later, adults) who look upon others with sus-picion and hostility will approach life with the same attitude. Those who have no feelingof social interest may become neurotics or even criminals. Adler believed that a host ofevils ranging from war to racial hatred to public drunkenness stemmed from a lack ofcommunity feeling.
The Role of Adler’s Life Experiences in Developing Social Interest
Early in his career, Adler suggested that people were driven by a lust for power and aneed to dominate. He proposed this idea at the time when he was struggling to establishhis own point of view within the Freudian circle. After he broke with Freud and achievedrecognition for his own work, he changed and said that people are motivated more bysocial interest than by the needs for power and dominance.
When Adler was part of Freud’s group, he was considered cantankerous and ambi-tious, quarreling over the priority of his ideas. But in later years, he mellowed and his
social interest Ourinnate potential tocooperate with otherpeople to achieve per-sonal and societalgoals.
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system also changed, from emphasizing power and dominance as motivating forces tostressing the more benign force of social or community interest. Here we see anotherexample of how Adler’s theory reflected his own life experiences.
Birth Order
One of Adler’s most enduring contributions is the idea that order of birth is a majorsocial influence in childhood, one from which we create our style of life. Even thoughsiblings have the same parents and live in the same house, they do not have identicalsocial environments. Being older or younger than one’s siblings and being exposed todiffering parental attitudes create different childhood conditions that help determine dif-ferent kinds of personalities.
Adler liked to amaze lecture audiences and dinner guests by correctly guessing people’sorder of birth on the basis of their behavior. He wrote about four situations: the first-bornchild, the second-born child, the youngest child, and the only child. Think about your ownorder of birth within your family and see how you think it compares with Adler’s views.
The First-Born Child
First-born children are in a unique and enviable situation, at least for a while. The par-ents are usually very happy at the birth of their first child and devote a great deal of timeand attention to the new baby. First-borns typically receive their parents’ instant andundivided attention. As a result, first-borns have a very happy and secure existence,until the second-born child appears.
Dethronement Suddenly, no longer the focus of attention, no longer receiving con-stant love and care, first-borns are, in a sense, dethroned. The affection and attentionfirst-borns received during their reign will now have to be shared with the new baby.They must often submit to the outrage of waiting until after the newborn’s needs havebeen met, and they are admonished to be quiet so as not to disturb the new baby.
No one could expect first-borns to suffer this kind of drastic displacement withoutputting up a fight. They will try to recapture their former position of power and privi-lege. The first-born’s battle to regain supremacy in the family is lost from the beginning,however. Things will never be the same, no matter how hard the first-born tries.
For a time, first-borns may become stubborn, ill behaved, and destructive and mayrefuse to eat or go to bed. They are striking out in anger, but the parents will probablystrike back, and their weapons are far more powerful. When first-borns are punished fortheir troublesome behavior, they see that as more proof of their fall and may come tohate the second child, who is, after all, the cause of the problem.
Adler believed all first-borns feel the shock of their changed status in the family, but thosewho have been excessively pampered feel a greater loss. Also, the extent of the loss dependson the first-born’s age at the time the rival appears. In general, the older a first-born child iswhen the second child arrives, the less dethronement the first-born will experience. Forexample, an 8-year-old will be less upset by the birth of a sibling than will a 2-year-old.
Characteristics of First-Borns
Adler found that first-borns are often oriented toward the past, locked in nostalgia, andpessimistic about the future. Having once learned the advantages of power, they remainconcerned with it throughout life. They can exercise power over younger siblings, but atthe same time they are more subject to the power of their parents because more isexpected of them.
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There are advantages to being the first-born child, however. As the children age, thefirst-born often has to play the role of teacher, tutor, leader, and disciplinarian, expectedby parents to help care for younger siblings. These experiences often enable the first-born to mature intellectually to a higher degree than the younger children. As one psy-chologist put it:
Second-born children might ask older siblings about the meanings of words, about how somethings work and why, about the whereabouts of candy or of a parent who is late in comingback home, and about countless other matters that older siblings must now explain…. In thisrole of tutor, first-born children gain an intellectual advantage. By virtue of rehearsal, by virtueof having to articulate an explanation or offer the meaning of a word, firstborns gain more ver-bal fluency more quickly than the second-borns. (Zajonc, 2001, p. 491)
Adler believed that first-borns also take an unusual interest in maintaining order andauthority. They become good organizers, conscientious and scrupulous about detail,authoritarian and conservative in attitude. Sigmund Freud was a first-born; Adlerdescribed him as a typical eldest son. First-borns may also grow up to feel insecure andhostile toward others. Adler believed that neurotics, perverts, and criminals were oftenfirst-borns.
The Second-Born Child
Second-born children, the ones who caused so much upheaval in the lives of first-borns,are also in a unique situation. They never experience the powerful position once occu-pied by the first-borns. Even if another child is brought into the family, second-bornsdo not suffer the sense of dethronement felt by the first-borns.
Also, by this time the parents have usually changed their child-rearing attitudes andpractices. A second baby is not the novelty the first was; parents may be less concerned
One’s order of birthwithin the family—being older or youn-ger than one’ssiblings—creates dif-ferent conditions ofchildhood that canaffect personality.
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and anxious about their own behavior and may take a more relaxed approach to the sec-ond child.
From the beginning, second-borns have a pacesetter in the older sibling. The secondchild always has the example of the older child’s behavior as a model, a threat, or asource of competition. Adler was a second-born child who had a lifelong competitiverelationship with his older brother (whose name was Sigmund). Even when Adlerbecame a famous analyst, he still felt overshadowed by his brother.
Alfred [Adler] always felt eclipsed by his “model brother” and resented his favored status in thefamily…. Even in middle age, he would feel moved to comment wearily that wealthy business-man Sigmund, “a good industrious fellow [who] was always ahead of me—is still ahead ofme!”. (Hoffman, 1994, p. 11)
Characteristics of Second-Borns
Competition with the first-born may serve to motivate the second-born, who may try tocatch up to and surpass the older sibling, a goal that spurs language and motor develop-ment in the second-born. Not having experienced power, second-borns are not as con-cerned with it. They are more optimistic about the future and are likely to be competitiveand ambitious, as Adler was.
Other less beneficial outcomes may also arise from the relationship between first-bornsand second-borns. If, for example, the older siblings excel in sports or scholarship, thesecond-borns may feel that they can never surpass the first-borns and may give up trying.In this case, competitiveness would not become part of the second-borns’ lifestyles, andthey may become underachievers, performing below their abilities in many facets of life.
The Youngest Child
Youngest or last-born children never face the shock of dethronement by another childand often become the pet of the family, particularly if the siblings are more than a fewyears older. Driven by the need to surpass older siblings, youngest children often developat a remarkably fast rate. Last-borns are often high achievers in whatever work theyundertake as adults.
The opposite can occur, however, if the youngest children are excessively pamperedand come to believe they needn’t learn to do anything for themselves. As they growolder, such children may retain the helplessness and dependency of childhood. Unaccus-tomed to striving and struggling, used to being cared for, these people find it difficult toadjust to adulthood.
The Only Child
Only children never lose the position of primacy and power they hold in the family.They remain the focus and center of attention. Spending more time in the company ofadults than a child with siblings, only children often mature early and manifest adultbehaviors and attitudes.
Only children may experience problems when they find that in areas of life outsidethe home, such as school, they are not the center of attention. Only children havelearned neither to share nor to compete. If their abilities do not bring them sufficientrecognition and attention, they are likely to feel keenly disappointed.
With his ideas about order of birth, Adler was not proposing firm rules of child-hood development. A child will not automatically acquire a particular kind of characterbased solely on his or her position in the family. What Adler was suggesting was the
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likelihood that certain styles of life will develop as a function of order of birth com-bined with one’s early social interactions. The creative self in constructing the style oflife uses both influences.
Questions about Human Nature
Adler’s system provides a hopeful, flattering image of human nature that is the antithesisof Freud’s dreary, pessimistic view. Certainly it is more satisfying to our sense of self-worth to consider ourselves capable of consciously shaping our own individual develop-ment and destiny rather than being dominated by instinctual forces and childhoodexperiences over which we have no control.
Adler’s image of human nature is optimistic in his belief that people are not driven byunconscious forces. We possess the free will to shape the social forces that influence usand to use them creatively to construct a unique style of life. This uniqueness is anotheraspect of Adler’s flattering picture. Freud’s system, in contrast, offered a depressing uni-versality and sameness in human nature.
Although Adler argued that some aspects of human nature are innate—for example,the potential for social interest and striving for perfection—it is experience that deter-mines how these inherited tendencies will be realized. Childhood influences are impor-tant, particularly order of birth and interactions with our parents, but we are not victimsof our childhood experiences. Instead, we use them to create our style of life.
Adler saw each person as striving to achieve perfection, and he viewed humanity insimilar terms. He believed in the creative power of the individual and was optimisticabout social progress.
Assessment in Adler’s Theory
Like Freud, Adler developed his theory by analyzing his patients; that is, by evaluatingtheir verbalizations and behavior during therapy sessions. Adler’s approach was morerelaxed and informal than Freud’s. Whereas Freud’s patients lay on a couch while hesat behind them, Adler and his patients sat in comfortable chairs facing each other. Thesessions were more like chats between friends than the more formal relationships main-tained by Freud.
Adler also liked to use humor in his therapy, sometimes teasing his patients in a light-hearted, friendly way. He had a storehouse of jokes appropriate for various neuroses andbelieved that making a joke would sometimes lead a patient to “see how ridiculous hissickness is.” When an adolescent patient told Adler he felt guilty when he masturbated,Adler replied: “You mean to say you masturbate and feel guilty? That is too much. Onewould be enough: either masturbate or feel guilty. But both is too much” (Hoffman,1994, pp. 209, 273).
Adler assessed the personalities of his patients by observing everything about them:the way they walked and sat, their manner of shaking hands, even their choice ofwhich chair to sit in. He suggested that the way we use our bodies indicates somethingof our style of life. Even the position in which we sleep is revealing.
For example, according to Adler, restless sleepers and those who sleep flat on theirback want to seem more important than they are. Sleeping on one’s stomach shows astubborn and negative personality. Curling in the fetal position shows that the person isfearful of interacting with others. Sleeping with the arms outstretched reveals a need tobe nurtured and supported.
Adler’s primary methods of assessment, which he referred to as the entrance gates tomental life, are order of birth, early recollections, and dream analysis. In addition,
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psychologists have developed psychological assessment tests based on Adler’s concept ofsocial interest. Adler’s purpose in assessing personality was to discover the patient’s styleof life and to determine whether it was the most appropriate one for that person.
Early Recollections
According to Adler, our personality is created during the first 4 or 5 years of life. Ourearly recollections, our memories from that period, indicate the style of life that con-tinues to characterize us as adults. Adler found that it made little difference whether hisclients’ early recollections were of real events or were fantasies.
In either case, the primary interest of the person’s life revolved around the remem-bered incidents and so, in Adler’s view, early recollections are “the most satisfactory sin-gle indicators of lifestyle” (Manaster & Mays, 2004, p. 114). Adler also found that manyearly memories contained references to actual physical objects as part of the memorythey were drawing forth (Clark, 2009).
Although Adler believed that each early memory should be interpreted within thecontext of the patient’s style of life, he found commonalities among them. He suggestedthat memories involving danger or punishment indicated a tendency toward hostility.Those concerning the birth of a sibling showed a continued sense of dethronement.Memories that focused on one parent showed a preference for that parent. Recollectionsof improper behavior warned against any attempt to repeat the behavior.
Adler believed that:
People remember from early childhood (a) only images that confirm and support their currentviews of themselves in the world … and (b) only those memories that support their directionof striving for significance and security. [His] focus on selective memory and lifestyle emphasizewhat is remembered. In contrast, Freud’s approach to interpreting early memories emphasizeswhat is forgotten through the mechanism of repression. (Kopp & Eckstein, 2004, p. 165)
Adler’s Strange Early Memory
An early memory Adler recalled as an adult was from when he was 5 years old and hadjust started school. He remembered being terribly afraid every day because the path toschool led through a cemetery (Adler, 1924/1963). He was frightened every time hewalked to school but was also confused because other children seemed not to notice thecemetery.
Since he was the only one who was afraid, this heightened his sense of inferiority. Oneday he decided to put an end to his fears. He ran through the cemetery a dozen timesuntil he felt he had overcome his feelings. From then on, he was able to go to schoolwithout being afraid.
Thirty years later Adler met a former schoolmate and asked him if the old cemeterywas still there. The man expressed surprise and told Adler there had never been a ceme-tery near their school. Adler was shocked; his recollection had been so vivid! He soughtout other classmates and questioned them.
They all told him the same thing: There had been no cemetery. Adler finally acceptedthat his memory of the incident was faulty. Nonetheless, it symbolized the fear and infe-riority, and his efforts to overcome them, which characterized his style of life. That earlyrecollection had revealed an important and influential aspect of his personality.
Dream Analysis
Adler agreed with Freud about the value of dreams in understanding personality but dis-agreed on the way in which dreams should be interpreted. Adler did not believe that
early recollectionsA personality assess-ment technique inwhich our earliestmemories, whether ofreal events or fanta-sies, are assumed toreveal the primaryinterest of our life.
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dreams fulfill wishes or reveal hidden conflicts. Rather, dreams involve our feelings abouta current problem and what we intend to do about it.
One of Adler’s own dreams illustrates this point. Before his first visit to the UnitedStates, Adler felt anxious and worried, concerned about how he and his theory of per-sonality would be received. The night before he was scheduled to cross the AtlanticOcean by ship, he dreamed that the ship, with him aboard, capsized and sank.
All of Adler’s worldly possessions were on it and were destroyed by the raging waves. Hurledinto the ocean, Adler was forced to swim for his life. Alone he thrashed and struggled throughthe choppy waters. But through the force of will and determination, he finally reached land insafety. (Hoffman, 1994, p. 151)
This dream revealed Adler’s fear about what he would face in the United States andhis intention to land safely, in other words, to achieve success for himself and for histheory of individual psychology.
In the fantasies of our dreams (both night dreams and daydreams), we believe we cansurmount the most difficult obstacle or simplify the most complex problem. Thus,dreams are oriented toward the present and future, not toward conflicts from the past.
Adler believed that dreams should never be interpreted without knowledge of the per-son and his or her situation. The dream is a manifestation of a person’s style of life andso is unique to the individual. Adler did find common interpretations for some dreams,however. Many people reported dreams involving falling or flying. Freud interpretedsuch dreams in sexual terms.
According to Adler, a dream of falling indicates that the person’s emotional viewinvolves a demotion or loss, such as the fear of losing self-esteem or prestige. A flyingdream indicates a sense of striving upward, an ambitious style of life in which the persondesires to be above or better than others.
Dreams that combine flying and falling involve a fear of being too ambitious and thusfailing. A dream of being chased suggests a feeling of weakness in relation to other peo-ple. Dreaming one is naked indicates a fear of giving oneself away. Additional Adleriandream interpretations are shown in Table 4.1.
Measures of Social Interest
Adler had no desire to use psychological tests to assess personality. He argued that testscreate artificial situations that provide ambiguous results. Instead of relying on tests,Adler thought therapists should develop their intuition. He did, however, support testsof memory and intelligence; it was tests of personality he criticized.
TABLE 4.1 Dream events and their latent meanings
DREAM EVENT ADLERIAN INTERPRETATION
Being paralyzed Facing insoluble problems
School exams Being unprepared for situations
Wearing the wrong clothes Being disturbed by one’s faults
Sexual themes Retreating from sex or inadequate information about sex
Rage An angry or hostile style of life
Death Unresolved issues about the dead person
Source: Adapted from Grey, 1998, p. 93.
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Psychologists have developed tests to measure Adler’s concepts of social interest andstyle of life. The Social Interest Scale (SIS) consists of pairs of adjectives (Crandall, 1981).Subjects choose the word in each pair that best describes an attribute they would like topossess. Words such as helpful, sympathetic, and considerate are thought to indicate one’sdegree of social interest.
The Social Interest Index (SII) is a self-report inventory in which subjects judge the degreeto which statements represent themselves or their personal characteristics (Greever, Tseng, &Friedland, 1973). The items, such as I don’t mind helping out friends, were selected to reflectAdler’s ideas and to indicate a person’s ability to accept and cooperate with others.
People who score high on the SII, indicating a high degree of social interest, tend tobe high in friendliness, empathy, cooperation with others, tolerance, and independence.They have also been found to be lower in anxiety, hostility, depression, and neuroticism(Leak 2006a, 2006b).
The Basic Adlerian Scales for Interpersonal Success (BASIS-A), is a 65-item self-report inventory designed to assess lifestyle as well as degree of social interest. The fivepersonality dimensions measured are social interest, going along, taking charge, wantingrecognition, and being cautious (Peluso, Peluso, Buckner, Curlette, & Kern, 2004).
Research on Adler’s Theory
Adler’s primary research method was the case study. Unfortunately, little of Adler’s datasurvived. He did not publish case histories except for two fragments: one written by apatient, the other written by a patient’s physician. Adler did not know the patientsinvolved, but he analyzed their personalities by examining their writings.
Adler’s data and research method are subject to the same criticisms we discussed forFreud and Jung. His observations cannot be repeated and duplicated, nor were they con-ducted in a controlled and systematic fashion. Adler did not attempt to verify the accu-racy of his patients’ reports or explain the procedures he used to analyze the data, and hehad no interest in applying the experimental method. A follower wrote: “Adler wantedhis psychology to be a science, but it has not been a psychology easily verified by thescientific method” (Manaster, 2006, p. 6).
Although most of Adler’s propositions have resisted attempts at scientific validation,several topics have been the subject of research. These include dreams, inferiority feelings,early recollections, pampering and neglect in childhood, social interest, and order of birth.
Dreams Adler’s belief that dreams help us solve current problems was investigated byexposing subjects to situations in which the failure to solve a puzzle was considered athreat to the personality. They were then allowed to sleep. Some were permitted todream but were awakened only during non-rapid-eye-movement (NREM) sleep. Otherswere awakened during rapid-eye-movement (REM) sleep so that they could not dream.
Those who dreamed later recalled significantly more of the uncompleted puzzle thanthose who did not dream. The researchers concluded that dreaming enabled the subjectsto deal effectively with the current threatening situation—that is, the failure to solve thepuzzle (Grieser, Greenberg, & Harrison, 1972).
In another study, the dreams of two groups were reported (Breger, Hunter, & Lane,1971). One group consisted of college students who were anticipating a stressful psycho-therapy session. The other group consisted of patients about to undergo major surgery.Both groups recalled dreams that focused on their conscious worries, fears, and hopes.They dreamed about the current problems they were facing.
Inferiority Feelings Research has found that adults who scored low on inferiority feel-ings tended to be more successful and self-confident and more persistent in trying to
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achieve their goals than adults who scored high on inferiority feelings. A study of Americancollege students showed that those with moderate inferiority feelings had higher grade pointaverages than those with low or high inferiority feelings (Strano & Petrocelli, 2005).
Research on teenagers and young adults in China showed that they felt inferior aboutdifferent aspects of their life at different ages. Younger teens experienced inferiority feelingsabout poor grades; older teens had inferiority feelings about physical attractiveness. Collegestudents reported inferiority feelings about their lack of social skills (Kosaka, 2008).
Early Recollections Early memories of people diagnosed as anxiety neurotics wereconcerned with fear; early memories of depressed persons centered on abandonment;and early memories of those with psychosomatic complaints involved illness (Jackson &Sechrest, 1962). Early memories of alcoholics contained threatening events, as well assituations in which they were controlled by external circumstances rather than by theirown decisions. The early memories of a control group of non-alcoholics showed neitherof these themes (Hafner, Fakouri, & Labrentz, 1982).
A study of police officers in the United States found that those who had traumaticearly recollections experienced more pronounced symptoms of post-traumatic stress dis-order than those who did not have those kinds of early memories (Patterson, 2014).Early recollections of adult criminals dealt with disturbing or aggressive interactionswith other people. They contained more unpleasant events than the early recollectionsof a control group (Hankoff, 1987). The early memories of adolescent delinquents
Our earliest memoriesof childhood helpreveal our lifestyle.
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involved breaking rules, having difficulty forming social relationships, and being unableto cope with life on their own. They also perceived their parents as untrustworthy and asmore likely to hurt than to help. These themes were not present in the early memories ofa control group (Davidow & Bruhn, 1990).
Recollections of psychiatric patients considered dangerous to themselves and to othersshowed more aggressive early memories than did recollections of non-dangerous psychi-atric patients. The recollections of the dangerous patients revealed that they felt vulnera-ble and powerless and saw others as hostile and abusive (Tobey & Bruhn, 1992).
The Nature of Early Recollections
Research using objective scoring systems for early recollections has shown that thesememories tend to be subjective recreations rather than events that actually occurred,much like Adler’s memory of the cemetery (Statton & Wilborn, 1991).
One study reported that when people were asked to make up early recollections thatmight have happened to someone else, the themes were similar to those revealed by theirown recollections (Buchanan, Kern, & Bell-Dumas, 1991). This study also providedresearch support for Adler’s contention that early recollections reveal one’s current styleof life and therefore can be used as a therapeutic device. (Table 4.2 summarizes possiblethemes of early recollections.)
Early recollections studied in adults in the United States and in Israel have been shownto predict career preferences. For example, the early memories of physicists, mathemati-cians, and psychologists included themes such as curiosity, independent thought, and skep-ticism about information from authority figures (Clark, 2005; Kasler & Nevo, 2005).
Neglect in Childhood Adler suggested that children who were neglected or rejectedby their parents developed feelings of worthlessness. A study of adults hospitalized fordepression found that the patients rated their parents as having been hostile, detached,and rejecting (Crook, Raskin, & Eliot, 1981). Interviews with siblings, relatives, andfriends of the patients confirmed that the parents had indeed behaved in hostile andneglectful ways.
In another study, parents of 8-year-old children completed a questionnaire to assesstheir child-rearing behaviors and their level of satisfaction with their children (Lefkowitz
TABLE 4.2 Early recollections and style of life themes
RECOLLECTION POSSIBLE THEME
First school memory Attitudes toward achievement, mastery, and independence
First punishment memory Attitude toward authority figures
First sibling memory Evidence of sibling rivalry
First family memory Functioning in social situations
Clearest memory of mother Attitudes toward women
Clearest memory of father Attitudes toward men
Memory of person you admire Basis for role models
Happiest memory Basis for how your strongest needs are best gratified
Source: Adapted from Bruhn, A. R. (1992). The early memories procedure. Journal of Personality Assessment,58(1), 1–15.
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& Tesiny, 1984). Ten years later the children, then age 18, were given the depressionscale of the Minnesota Multiphasic Personality Inventory (MMPI). Those whose testscores showed they were more depressed had been neglected in childhood by their par-ents. Those whose parents had not been indifferent or unloving scored lower on thedepression scale.
More recent research has found that neglected children have also been found to experi-ence more shame, depression, symptoms of PTSD, and lower socialization skills than chil-dren who were not neglected (Bennett, Sullivan, & Lewis, 2010; Lowell, Viezel, Davis, &Castillo, 2011; Milot, Plamondon, Ethier, Lemelin, St-Laurent, & Rousseau, 2013).
Children and adolescents in China (ages 5–17) who experienced neglect were farmore likely to develop high anxiety than those who were not neglected (Guan, Deng, &Luo, 2010). Neglected children may also be more prone to acts of violence and excessivealcohol use later in life (Widom, Czaja, Wilson, Allwood, & Chauhan, 2013). It doesappear, then, that children who are neglected in childhood pay a high price for it asthey grow up.
Pampering in Childhood Adler argued that pampering in childhood could lead to apampered style of life in which the person shows little or no social feelings for others.Research supports this idea and also suggests that pampering can lead to excessive nar-cissism, which involves a lack of responsibility or empathy for other people, as well as anexaggerated sense of self-importance, and a tendency to exploit others. Studies haveidentified four types of pampering.
• Overindulgence, which involves the persistent parental gratification of a child’sneeds and desires, leading to feelings of entitlement as well as tyrannical andmanipulative behavior
• Overpermissiveness, which involves allowing children to behave as they please withno consideration for the effects of their behavior on other people, leading to a dis-regard of social rules and the rights of others
• Overdomination, which involves exclusive parental decision-making, leading to achild’s lack of self-confidence and a tendency to become dependent on others inadulthood
• Overprotection, which involves parental caution, excessively warning children ofpotential dangers in their environment, leading to generalized anxiety and a ten-dency to avoid or hide from social situations
Studies with college students found that children of over-domineering mothers weremore likely to seek psychotherapy while in college. Students who rated their parents asboth overindulgent and overprotective tended to be low in self-esteem. Students whoseparents were considered to be overindulgent and over-domineering scored high in nar-cissism (Capron, 2004).
Social Interest Research using the SIS found that those high in social interestreported less stress, depression, anxiety, and hostility than those low in social interest.High social interest scorers scored higher on tests assessing cooperation with others,empathy, responsibility, and popularity (Crandall, 1984; Watkins, 1994; Watkins & St.John, 1994). Research with college students found that those high in social interestscored high in spirituality and religiosity. However, their spirituality was of a positive,tolerant, and helping nature, not necessarily religious ethnocentrism or fundamentalism(Leak, 2006a).
Other studies in the United States and China showed that those high in social interestwere also high in subjective well-being, hope and optimism, agreeableness, self-identity,
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self-determination, and a strong sense of purpose in life (Barlow, Tobin, & Schmidt,2009; Foley, Matheny, & Curlette, 2008; Leak & Leak, 2006).
A study of high school adolescents in grades 9 to 12 found that those high in socialinterest scored significantly higher in overall life satisfaction, as well as satisfactionwith friends and family, than did those who scored low in social interest (Gilman,2001). Other research, conducted with male criminal offenders ranging in age from18 to 40, showed that those who scored high in social interest were far less likely tocommit additional crimes following their release from jail than were those who scoredlow in social interest (Daugherty, Murphy, & Paugh, 2001). Juvenile delinquents scoredlower on social interest than did those who were not identified as delinquents(Newbauer & Stone, 2010).
Studies with the SII showed that women who scored high in social interest weresignificantly higher in self-actualization, a characteristic of the healthy personalitydescribed by Maslow (see Chapter 9). Other research found that social interest washigher in women than in men and that it increased with age for both sexes (Greever,Tseng, & Friedland, 1973).
A study of Latino men and women living in the United States found that those whowere well-adjusted to both cultures scored higher on social interest measures thanthose primarily acculturated to only the Latino or the U.S. lifestyle (Miranda, Frevert,& Kern, 1998).
High social interest may also be good for your health. Social interest, with its relatedfeelings of belonging, cooperation, and a sense of contributing to or receiving supportfrom a social network has been positively associated with physical and mental well-being. For example, people who scored high in social interest tended to have strongerimmune systems, fewer colds, lower blood pressure, and greater subjective well-being(Nikelly, 2005).
Birth Order A great deal of research has been conducted on the effects of one’s orderof birth within the family (Eckstein & Kaufman, 2012). In one survey of 200 birth-orderstudies, the authors concluded that first-borns had higher success and achievement levelsand were more likely to become accountants, lawyers, architects, surgeons, college
HIGHLIGHTS: Research on Adler’s Ideas
Children who are neglected tend to develop
• Feelings of worthlessness and shame• Depression• Anxiety
Children who are pampered tend to
• Have low self-esteem• Become narcissistic• Lack empathy for others
People who score high in social interest tend to
• Score low on depression, anxiety, and hostility• Develop feelings of empathy for others• Become happy and agreeable
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professors, or astronauts. Later-borns, on the other hand, were more likely to becomefirefighters, high school teachers, musicians, photographers, social workers, or stuntmen(Eckstein, et al., 2010).
Obviously, being the first-born, second-born, last-born, or an only child can influencepersonality in a variety of ways. Simply having older or younger siblings, regardless ofone’s own order of birth, can affect personality. For example, studies of nearly 20,000people in England, Scotland, and Wales, and some 3,500 people in the United States,found that the number of older brothers a man had could predict his sexual orientation.Boys with older brothers were more sexually attracted to men than boys who did nothave older brothers. The greater number of older brothers a man had, the greater theattraction to the same sex. Having older sisters did not appear to predict sexual orienta-tion in women (Bogaert, 2003).
Birth order can also affect our choice of friends. First-borns are more likely to associ-ate with other first-borns, second-borns with other second-borns, and so on. Only chil-dren tend to associate with other only children. These preferences held for friendships aswell as for romantic relationships (Hartshorne, 2010; Hartshorne, Salem-Hartshorne, &Hartshorne, 2009).
First-Born Children A study in Finland found that the behavior and characteristicsof first-borns can influence whether the parents decide to have other children, within5 years of the birth of the first. Parents whose first child showed high intelligence, fewbehavior problems, and the ability to adapt to new situations were more likely to haveadditional children (Jokela, 2010).
According to Adler, first-borns are concerned with power and authority. One way forthem to gain power and authority as adults is through achievement in their work. Inmany areas, from college attendance to high-level management, first-borns are overrepresented relative to their proportion of the population. More first-borns thanlater-borns become eminent, and they tend to attain greater intellectual achievementin academic settings and greater power and prestige in their careers (Breland, 1974;Schachter, 1963).
Studies in the United States and in Poland found that first-borns scored higher onmeasures of intelligence, completed more years of formal education, and worked in moreprestigious occupations than later-borns (Herrera, Zajonc, Wieczorkowska, & Cichomski,2003). Research on adults in Sweden showed that first-borns scored higher thanlater-borns on tests of managerial or executive functioning (Holmgren, Molander, &Nilsson, 2006). A study of more than 240,000 male army recruits in Norway showedthat older siblings scored higher on IQ tests than younger siblings (Kristensen &Bjerkedal, 2007).
British research has found that first-borns are far less likely to suffer from PTSD thanthose who are the fifth child or younger in large families. The later-borns were found tobe more subject to stress and adjustment disorders (Green & Griffiths, 2014). Theseresearch results in general are supportive of Adler’s views.
Evidence suggests that first-borns may be more intelligent than later-borns, but not allresearchers agree (see Rodgers, 2001). The IQ scores of 400,000 European men were ana-lyzed with respect to birth order (Belmont & Marolla, 1973). The results showed thatfirst-borns had higher IQ scores than second-borns, second-borns had higher scores thanthird-borns, and so on.
These findings were confirmed for men and women in several nations (Zajonc,Markus, & Markus, 1979). A possible explanation relates not to genetic differences butto the first-born’s exclusive exposure to adults. Consequently, first-borns may have amore stimulating intellectual environment than later-borns.
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Although first-borns may be more intelligent than later-borns, they do not alwaysearn higher grades in school. Studies of U.S. high school students confirm that first-borns have higher IQ scores but later-borns tend to work harder and achieve highergrade point averages (Frank, Turenshine, & Sullivan, 2010; Rettner, 2010).
First-borns tend to be more suggestible and dependent on other people. They are anx-ious in stressful situations and have a higher need for social relationships (Schachter,1963, 1964). These findings can be predicted from Adler’s theory. He noted thatfirst-borns experience anxiety when dethroned by a sibling and attempt to regain theirposition by conforming to parental expectations. Thus, first-borns rely more on thestandards of others to guide their behavior and form the basis of their self-concept(Newman, Higgins, & Vookles, 1992).
Other research found that first-borns scored lower than later-borns on tests of depres-sion and anxiety and higher on self-esteem (Gates, Lineberger, Crockett, & Hubbard,1988). First-borns may also be more extraverted and conscientious (Sulloway, 1995).However, later research in the Netherlands found the opposite: Later-borns were moreextraverted in that they were more dominant and assertive (Pollet, Dijkstra, Barelds, &Buunk, 2010).
First-born girls were found to be more obedient and socially responsible than later-borns and to feel closer to their parents (Sutton-Smith & Rosenberg, 1970). Studies inFrance, Croatia, Canada, and England showed that first-borns were more closely super-vised in childhood, rated by their mothers as less fearful, reported more frighteningchildhood dreams, and scored higher on measures of dominance in college (Beck,Burnet, & Vosper, 2006; Begue & Roche, 2005; Kerestes, 2006; McCann, Stewin, &Short, 1990).
Second-Born Children Less research has been conducted on second-born children.A study of first-born and second-born siblings, conducted over 3 years, found that the atti-tudes, personalities, and leisure activities of second-born children were influenced more bytheir older siblings than by their parents (McHale, Updegraff, Helms-Erikson, & Crouter,2001). Research on major league baseball players found that those who were youngerbrothers were 10 times more likely than older brothers to attempt the high-risk action ofstealing bases during a game. They also had higher batting averages than those who wereolder brothers (Sulloway & Zweigenhaft, 2010).
Last-Born Children Adler predicted that last-born children, if excessively pam-pered, would have adjustment problems as adults. One popular explanation for alcohol-ism is that some people cannot cope with the demands of everyday life. According toAdler’s theory, then, more last-borns than early-borns would become alcoholics. Thisprediction has been supported by considerable research dealing with alcoholism andbirth order. Binge drinking in college has been found to be significantly higher amonglast-borns than first-borns (Laird & Shelton, 2006). Other research suggests that last-borns may feel a greater degree of academic rivalry with their siblings than first-bornsdo (Badger & Reddy, 2009).
Only Children To Adler, only-born adults are overly concerned with being the centerof attention, as they were in childhood. He also considered only-borns to be more selfish.Research has not consistently supported this notion. One study found that only childrenwere more cooperative than first-borns or last-borns (Falbo, 1978). Another study foundthat they were more self-centered and less popular than were children reared with sib-lings (Jiao, Ji, & Jing, 1986).
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An analysis of 115 studies of only-borns reported higher levels of achievement andintelligence and comparable social and emotional adjustment with people who have sib-lings (Falbo & Polit, 1986). Later research (Mellor, 1990) confirmed those results andreported that only children had greater initiative, aspiration, industriousness, and self-esteem. In addition, they have been found to be strongly motivated toward achievementand to score high in confidence and organizational skills (Siribaddana, 2013).
An analysis of several studies shows that the number of siblings in a family is a con-sistent predictor of educational success; people with fewer siblings do perform better inschool (Downey, 2001). Only-borns may also have more educational opportunities andparental resources, enabling them to perform better than children with siblings.
Birth-Order Effects: A Matter of Belief?
And now, after you have read about those studies showing the differences among peoplerelated to their order of birth, we come to one other piece of research. Those who believein the effects of birth order were found to be different from those who do not believethat order of birth affects people in different ways. Believers in birth-order effects, onestudy suggests, score significantly lower in being open to new experiences and signifi-cantly higher in neuroticism than those who do not believe in differential effects oftheir order of birth (Gundersen, Brown, Bhathal, & Kennedy, 2011).
Reflections on Adler’s Theory
Contributions
Adler’s influence within psychology has been substantial. In later chapters we will seeexamples of his ideas in the work of other personality theorists. Those contributionsmake Adler’s personality theory one of the most enduring. He was ahead of his time,
HIGHLIGHTS: Research on Birth Order
First-borns tend to be:
• Intelligent and hardworking• Successful in college and career• Low on measures of depression and anxiety• High in self-esteem
Second-borns tend to be:
• Influenced by older siblings• More likely to take risks when playing baseball
Last-borns (the youngest child) tends to be:
• High in social interest and agreeableness• Can also be rebellious
Only-borns tend to be:
• High in achievement and intelligence• Industrious and perform well in school• High in self-esteem
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and his cognitive and social emphases are more compatible with trends in psychologytoday than with the psychology of his own day (LaFountain, 2009). Abraham Maslowwrote over 30 years after Adler’s death that: “Alfred Adler becomes more and more cor-rect year by year. As the facts come in, they give stronger and stronger support to hisimage of man” (1970a, p. 13).
Adler’s emphasis on social forces in personality will be seen in the next chapter in thetheory of Karen Horney. His focus on the whole person and the unity of personality isreflected in the work of Gordon Allport. The creative power of people to shape their ownstyles of life, and the insistence that future goals are more important than past events,influenced the work of Abraham Maslow. A social-learning theorist, Julian Rotter,wrote that he “continues to be impressed by Adler’s insights into human nature” (Rotter,1982, pp. 1–2).
Adler’s ideas also reached into Freudian psychoanalysis. It was Adler who proposedthe aggressive drive more than 12 years before Freud included aggression with sex asprimary motivating forces. The neo-Freudian ego psychologists, who focus more onconscious and rational processes and less on the unconscious, follow Adler’s leadrather than Freud’s.
Adler disputed Freud’s views on women, arguing that there was no biological basis,such as penis envy, for women’s alleged sense of inferiority. Such a notion, Adlercharged, was a myth invented by men to maintain their alleged sense of superiority. Heacknowledged that women may feel inferior but believed that was due to social condi-tioning and sex-role stereotyping. He also believed in the idea of equality for the sexesand supported the women’s emancipation movements of the day.
Specific Adlerian concepts of lasting importance to psychology include the early workon organic inferiority, which has influenced the study of psychosomatic disorders; theinferiority complex; compensation; and order of birth. Adler is also considered a fore-runner of social psychology and group therapy (see Figure 4.1).
Criticisms
As influential as Adler’s work has been, however, it does have its critics. Freudcharged that Adler’s psychology was oversimplified and would appeal to many peoplebecause it eliminated the complicated nature of the unconscious, had no difficult con-cepts, and ignored the problems of sex. Freud remarked that it could take 2 years ormore to learn about his psychoanalysis, but “Adler’s ideas and technique can be easilylearned in two weeks, because with Adler there is so little to know” (quoted in Sterba,1982, p. 156).
It is true that Adler’s theory seems simpler than Freud’s or Jung’s, but that wasAdler’s deliberate intention. He wrote that it had taken him 40 years to make his psy-chology simple. One point that reinforces the charge of oversimplification is that hisbooks are easy to read because he wrote for the general public and because some ofthem were compiled from his popular lectures.
A related charge is that Adler’s concepts appear to rely heavily on commonsenseobservations from everyday life. A book reviewer in the New York Times noted:“Although [Adler] is one of the most eminent psychologists in the world, when he writesabout psychology there is no other who can equal him in simplicity and non-technicalityof language” (quoted in Hoffman, 1994, p. 276).
Critics allege that Adler was inconsistent and unsystematic in his thinking and thathis theory contains gaps and unanswered questions. Are inferiority feelings the onlyproblem we face in life? Do all people strive primarily for perfection? Can we becomereconciled to a degree of inferiority and no longer try to compensate for it? These and
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other questions cannot all be answered adequately by Adler’s system, but as we haveseen, most theorists leave us with unanswered questions.
Some psychologists dispute Adler’s position on the issue of determinism versus freewill. Early in his career, Adler did not oppose the notion of determinism. It was broadlyaccepted in science at the time, and it characterized Freud’s psychoanalytic theory. Later,Adler felt the need to grant more autonomy to the self, and his final formulation rejecteddeterminism.
His concept of the creative self proposes that before the age of 5, we fashion a style oflife using material provided by our heredity and our environment. However, it is notclear how a child is able to make such momentous decisions. We know that Adlerfavored free will and opposed the idea that we are victims of innate forces and childhoodevents. That position is clear, but the specifics of forming the style of life are not.
Later Recognition and Influence
Although his ideas have been widely accepted, Adler’s public recognition declined afterhis death in 1937, and he has received relatively little subsequent praise or credit for hiscontributions. Many concepts have been borrowed from his theory without acknowledg-ment. A typical instance of this lack of recognition can be found in Sigmund Freud’sobituary in the Times newspaper of London, which named Freud as the originator ofthe term inferiority complex. When Carl Jung died, the New York Times said he had
FIGURE 4.1Adler’s books achievedconsiderable popularityin the United States andspawned the huge genreof self-help books.
Source: Hoffman, E. (1994). The drive for self: Alfred Adler and the founding of individual psychology. Reading,MA: Addison-Wesley.
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coined the term. Neither newspaper mentioned Adler, the originator of the concept.However, Adler did receive one unique honor: A British composer named a string quar-tet for him.
Adler’s followers claim that individual psychology remains popular among psycholo-gists, psychiatrists, social workers, and educators. Individual Psychology: The Journal ofAdlerian Theory, Research and Practice is published quarterly by the North AmericanSociety of Adlerian Psychology. Other Adlerian journals are published in Germany,Italy, and France. Adlerian training institutes have been established in New York,Chicago, and other cities.
Chapter Summary
Adler’s childhood was marked by intense efforts tocompensate for his feelings of inferiority. His systemof individual psychology differs from Freudian psycho-analysis in its focus on the uniqueness of the individ-ual, on consciousness, and on social rather thanbiological forces. It minimizes the role of sex.
Inferiority feelings are the source of all human striv-ing, which results from our attempts to compensate forthese feelings. Inferiority feelings are universal and aredetermined by the infant’s helplessness and depen-dency on adults.
An inferiority complex (an inability to solve life’sproblems) results from being unable to compensatefor inferiority feelings. An inferiority complex can orig-inate in childhood through organic inferiority, spoiling,or neglect. A superiority complex (an exaggeratedopinion of one’s abilities and accomplishments) resultsfrom overcompensation.
Our ultimate goal is superiority or perfection; thatis, making the personality whole or complete. Fictionalfinalism refers to fictional ideas, such as perfection, thatguide our behavior. Style of life refers to unique pat-terns of characteristics and behaviors by which westrive for perfection. The creative power of the selfrefers to our ability to create our selves from the mate-rials provided by our heredity and environment. Fourbasic styles of life are the dominant or ruling type, thegetting type, the avoiding type, and the socially useful
type. Social interest is innate but the extent to which itis realized depends on early social experiences.
Order of birth is a major social influence in childhoodfrom which one’s style of life is created. First-borns areoriented toward the past, pessimistic about the future, andconcerned with maintaining order and authority. Second-borns compete with first-borns and are apt to be ambi-tious. Last-borns, spurred by the need to surpass oldersiblings, may become high achievers. Only childrenmature early but are apt to face a shock in school whenthey are no longer the center of attention.
Adler’s image of human nature is more hopeful thanFreud’s. In Adler’s view, people are unique, and theypossess free will and the ability to shape their owndevelopment. Although childhood experiences areimportant, we are not victims of them.
Adler’s methods of assessment are order of birth, earlyrecollections, and dream analysis. Research has providedsupport for Adler’s views on the following: dreams, earlymemories, and childhood neglect and pampering; his beliefthat social interest is related to emotional well-being; theidea that first-borns are high achievers, dependent onothers, suggestible, and anxious under stress; and the notionthat last-borns are more likely to become alcoholics.
Adler’s emphasis on cognitive and social factors inpersonality, the unity of personality, the creative powerof the self, the importance of goals, and cognitive fac-tors has influenced many personality theorists.
Review Questions
1. In what ways did Adler’s theory of personalityreflect his own childhood experience?
2. On what points did Adler differ with Freud?3. What is the difference between inferiority feelings
and the inferiority complex? How does eachdevelop?
4. How does the superiority complex differ from theidea of striving for superiority? How did Adlerdefine superiority?
5. Describe the concept of fictional finalism andexplain how it relates to the notion of striving forsuperiority.
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6. How, according to Adler, does the self develop? Dopeople play an active or a passive role in thedevelopment of the self?
7. What are Adler’s four basic styles of life?8. What parental behaviors may foster a child’s
development of social interest? Which basic styleof life is identified with social interest?
9. How do people who score high in social interestdiffer from those who score low?
10. Describe the personality characteristics proposedby Adler that may develop in first-born, second-born, and youngest children as a result of theirorder of birth within the family.
11. According to Adler, what are the advantages anddisadvantages of being an only child?
12. If it were possible to choose, which birth-orderposition would you select for yourself in yourfamily? Why?
13. Summarize the research findings on the personal-ities of first-born and only-born children. Do theresults support Adler’s predictions.
14. Discuss the ways in which Adler’s image of humannature differs from Freud’s.
15. How did Adler assess the personalities of hispatients?
16. What is the importance of early recollections inpersonality assessment? Give an example of howone of Adler’s recollections revealed an aspect ofhis personality.
17. What is the purpose of dreams? Does contempo-rary research on sleep and dreaming supportAdler’s views?
18. How do people who score high in social interestdiffer from people who score low?
19. Discuss the contributions of Adler’s system withinpsychology today.
Suggested Readings
Adler, A. (1930). Individual psychology. In C.Murchison (Ed.), Psychologies of 1930 (pp. 395–405). Worcester, MA: Clark University Press. Aclear exposition of the basic principles of Adler’sindividual psychology.
Ansbacher, H. L. (1990). Alfred Adler’s influence on thethree leading cofounders of humanistic psychology.Journal of Humanistic Psychology, 30(4), 45–53.Traces Adler’s influence, in person and through hiswritings, on the development of humanistic psy-chology in the United States, most notably throughhis contact with Maslow and Rogers.
Ansbacher, R. R. (1997). Alfred Adler, the man, seen bya student and friend. Individual Psychology, 53, 270–274. Using Adler’s technique of early recollections,the author evaluates her memories of Adler’s lec-tures and therapy sessions in New York and Vienna.
Carlson, J., & Maniacci, M. P. (Eds). (2011). AlfredAdler revisited. New York: Routledge/Taylor &Francis Group. A collection of readings by Adlerscholars detailing the basic elements of his work andlinking many of his ideas to contemporary devel-opments in psychology.
Ellenberger, H. F. (1970). The discovery of the uncon-scious: The history and evolution of dynamic psy-chiatry. New York: Basic Books. Traces the study ofthe unconscious from primitive times to Freudian
psychoanalysis and its derivatives. See Chapter 8,“Alfred Adler and Individual Psychology.”
Fiebert, M. S. (1997). In and out of Freud’s shadow:A chronology of Adler’s relationship with Freud.Individual Psychology, 53, 241–269. Reviews the 7-year correspondence between Adler and Freuddescribing changes in their personal and profes-sional relationships and their acrimonious breakup.
Grey, L. (1998). Alfred Adler, the forgotten prophet:A vision for the 21st century. Westport, CT: Praeger.A biography and an assessment of the continuinginfluence of Adler’s ideas.
Hoffman, E. (1994). The drive for self: Alfred Adler andthe founding of individual psychology. Reading, MA:Addison-Wesley. Discusses Adler’s contributions topersonality theory, psychoanalysis, and popularpsychology. Recounts events in his life as the basisfor familiar concepts such as inferiority complex,overcompensation, and style of life.
Sulloway, F. J. (1996). Born to rebel: Birth order, familydynamics, and creative lives. New York: Pantheon.Analyzes revolutions in social, scientific, and politi-cal thought dating back to the 16th century todemonstrate the influence of birth order on per-sonality development. Suggests that birth-ordereffects transcend gender, social class, race, nationalorigin, and time.
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chapter 5Karen Horney:Neurotic Needsand Trends
The basic evil is invariablya lack of genuine warmthand affection.
—Karen Horney
The Life of Horney (1885–1952)A Neglected Second-BornA Search for LoveRebellion and HostilityStill Searching for LoveMarriage and CareerHorney’s PsychoanalysisStill Searching for Love
The Childhood Need for Safety and
SecurityWays of Undermining a Child’s SecurityRepressing Hostility toward Parents
Basic Anxiety: The Foundation of
NeurosisSecuring AffectionBeing SubmissiveAttaining PowerWithdrawingCharacteristics of Self-Protective Mechanisms
Neurotic NeedsNeurotic TrendsThe Compliant PersonalityThe Aggressive PersonalityThe Detached PersonalityThe Dominance of One TrendConflictThe Expression of All Three Trends
The Idealized Self-ImageTyranny of the Shoulds
The Neurotic’s Self-ImageExternalization
Feminine PsychologyWomb EnvyThe Flight from WomanhoodThe Oedipus ComplexWhat Did Freud Say about Horney?Motherhood or Career?Cultural Influences on Feminine Psychology
Questions about Human Nature
Assessment in Horney’s TheoryFree AssociationDream AnalysisSelf-Report Inventories
Research on Horney’s TheoryNeurotic TrendsFeminine PsychologyThe Tyranny of the ShouldsNeurotic CompetitivenessTwo Types of Competitiveness
Reflections on Horney’s TheoryContributions of Horney’s TheoryCriticisms of Horney’s TheoryRenewed Interest in Horney’s Ideas?
Chapter Summary
Review Questions
Suggested Readings
Karen Danielsen Horney was another defector from the orthodox Freudian point ofview. Although she was never a colleague of Freud’s, as Jung and Adler had been,Horney was trained in the official psychoanalytic doctrine. She did not remain longin the Freudian camp, however. Her differences with Freud began when she tookissue with his psychological portrayal of women.
An early feminist, she argued that psychoanalysis focused more on men’sdevelopment than on women’s. To counter Freud’s contention that women aredriven by penis envy, she proposed that men are envious of women for their ability
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to give birth. “I know just as many men with womb envy as women with penisenvy,” she said (quoted in Cherry & Cherry, 1973, p. 75). Freud was not happywith that remark, nor were most male analysts.
Horney’s theory was strongly influenced by her personal experiences in child-hood and adolescence, as well as by social and cultural forces that were differentfrom those that had influenced Freud. Horney developed her theory in the UnitedStates, a culture radically different from Freud’s Vienna. Also, by the 1930s and1940s, major changes had occurred in popular attitudes about sex and the rolesof men and women. These changes were occurring in Europe as well, but theywere considerably more advanced in the United States.
Horney found that her American patients were so unlike her earlier Germanpatients, both in their neuroses and their normal personalities, that she believedonly the social forces to which they had been exposed could account for such adifference. She concluded that personality does not depend wholly on biologicalforces, as Freud proposed. If it did, she said, we would not see such major differ-ences from one culture to another.
Horney, like Adler, placed a much greater emphasis than Freud on social relation-ships and interactions as significant factors in the formation of personality. She arguedthat sex is not the governing factor, as Freud claimed, and she questioned hisconcepts of the Oedipus complex, the libido, and the three-part structure of personal-ity. To Horney, people are motivated not by sexual or aggressive forces but rather bythe needs for security and love, which clearly reflected her life experiences.
The Life of Horney (1885–1952)
A Neglected Second-Born
Karen Danielsen grew up in a small village near Hamburg, Germany. She was thesecond-born child who, from an early age, envied her older brother, Berndt. He wasattractive and charming, the adored first-born, but she was smarter and more vivacious.She confided to her diary, “It was always my pride that in school I was better thanBerndt, that there were more amusing stories about me than about him” (Horney,1980, p. 252). She also envied him because he was a boy, and girls were considered infe-rior. “I know that as a child I wanted for a long time to be a boy, that I envied Berndtbecause he could stand near a tree and pee” (Horney, 1980, p. 252).
An even stronger influence was her father. At the time of her birth he was a 50-year-old ship’s captain of Norwegian background. Her mother was 17 years youngerand of vastly different temperament. The father was religious, domineering, imperious,and morose; the mother was attractive, spirited, and freethinking. Horney’s father spentlong periods away at sea but when he was home, the opposing natures of the parents ledto frequent arguments. Her mother made no secret of her wish to see her husband dead,and she told young Karen that she had married him not for love but from fear of becom-ing a spinster.
A Search for Love
We can see the roots of Horney’s personality theory in these and other childhood experi-ences. For most of her youth she doubted that her parents wanted her and believed they
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loved Berndt more than they loved her. At 16, she wrote in her diary, “Why is everythingbeautiful on earth given to me, only not the highest thing, not love!” (Horney, 1980,p. 30). Although she desperately wanted her father’s love and attention, he intimidatedher with his fierce eyes and stern, demanding manner. She felt belittled and rejectedwhen he often made disparaging comments about her intelligence and appearance.
Rebellion and Hostility
As a way of retaining her mother’s affection, she acted the part of the adoring, obedientdaughter. Until the age of 8, she was a model child, clinging and compliant. Despite herefforts, however, she did not think she was getting sufficient love and security. Her self-sacrifice and good behavior were not working, so she changed tactics and deliberatelybecame ambitious and rebellious, deciding that if she could not have love and security,she would take revenge for her feelings of unattractiveness and inadequacy. “If I couldn’tbe beautiful, I decided I would be smart” (Horney quoted in Rubins, 1978, p. 14).
As an adult she realized how much hostility she had developed as a child. Her per-sonality theory describes how a lack of love in childhood fosters anxiety and hostility.A biographer concluded, “In all her psychoanalytic writings Karen Horney was strug-gling to make sense of herself and to obtain relief from her own difficulties” (Paris,1994, p. xxii).
Still Searching for Love
At 14, she developed an adolescent crush on a teacher and filled her diary with emo-tional comments about him. She continued to have infatuations with her male teachers,in the confused and unhappy way of many adolescents (Seiffge-Krenke & Kirsch,2002). At 17, she awakened to the reality of sex and soon met a man she described asher first real love, but the relationship lasted only two days. Another man came intoher life, prompting 76 pages of soul-searching in her diary. Horney decided thatbeing in love eliminated, at least temporarily, her anxiety and insecurity; it offered anescape (Sayers, 1991).
Although Horney’s quest for love and security was often thwarted, her search for acareer was straightforward and successful. She decided at age 12, after being treatedkindly by a physician, that she would become a doctor. Despite the medical establish-ment’s discrimination against women and her father’s opposition, she worked hard inschool to prepare herself for medical studies. In 1906, she entered the University of Frei-burg medical school, only 6 years after the first woman had, reluctantly, been admitted.
Marriage and Career
During her years at medical school, Horney met two men; she fell in love with one andmarried the other. Oskar Horney was studying for a Ph.D. in political science and aftertheir marriage became a successful businessman. Karen Horney excelled in her medicalstudies and received her degree from the University of Berlin in 1913.
The early years of her marriage were a time of great personal distress. She gave birthto three daughters but felt overwhelmed by unhappiness and feelings of oppression. Shecomplained of crying spells, stomach pains, chronic fatigue, compulsive behaviors, frigid-ity, and a longing for sleep, even death. The marriage ended after 17 years.
During and after her marriage, Horney had a number of love affairs. A biographerwrote:
When she did not have a lover, or a relationship was breaking down, she felt lost, lonely, des-perate, and sometimes suicidal. When she was involved in a morbidly dependent relationship,
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she hated herself for her inability to break free. She attributed her desperate need for a man toher unhappy childhood. (Paris, 1994, p. 140)
When she realized these attachments were not helping to alleviate her depression andother emotional problems, she decided to undergo psychoanalysis.
Horney’s Psychoanalysis
The therapist Horney consulted, Karl Abraham (a Freudian loyalist), attributed her pro-blems to her attraction to forceful men, which he told her was a residue of her childhoodOedipal longings for her powerful father. “Her readiness to abandon herself to suchpatriarchal figures, said Abraham, was betrayed by her leaving her handbag [in Freud’sview, a symbolic representation of the female genitals] in his office on her very first visit”(Sayers, 1991, p. 88). The analysis was not a success. She decided that Freudian psycho-analysis was of only minimal help to her, and she turned instead to self-analysis, a prac-tice she continued for the rest of her life.
During her self-analysis, Horney was strongly influenced by Adler’s notion of compen-sation for inferiority feelings. She was particularly sensitive to Adler’s remark that physicalunattractiveness was a cause of inferiority feelings. She concluded that she “needed to feelsuperior because of her lack of beauty and sense of inferiority as a woman, which led herto masculine protest” by excelling in a male-dominated domain, such as medicine was atthe time (Paris, 1994, p. 63). Apparently she believed that by studying medicine, and bypromiscuous sexual behavior, she was acting more like a man.
Still Searching for Love
Horney’s search for love and security continued when she immigrated to the UnitedStates. Her most intense love affair was with another analyst, Erich Fromm, who was15 years younger. When it ended after 20 years, she was deeply hurt. One event thatled to the breakdown of the relationship was that she persuaded Fromm to analyzeher daughter Marriane. Fromm helped the woman to understand her hostility towardher mother, giving Marriane the confidence to confront Horney for the first time(McLaughlin, 1998).1
Horney’s relentless search for love continued, with younger and younger men, manyof whom were analysts whose training she was supervising. Her attitude toward themcould sometimes be detached. She told a friend about one young man, saying that shedidn’t know whether to marry him or get a cocker spaniel. She chose the dog (Paris,1994).
From 1932 to 1952, Horney served on the faculty of psychoanalytic institutes inChicago and New York. She was a founder of the Association for the Advancement ofPsychoanalysis and the American Institute for Psychoanalysis. In l941, she began theAmerican Journal of Psychoanalysis. For many years she was a popular lecturer, writer,and therapist.
LOG ON
Karen HorneyVarious sites provide biographical information, discussions of her theory, research onrelevant concepts, and links to other resources.
1In 2006, in a commemoration of the 120th anniversary of Horney’s birth, Marriane described her mother as aprivate person who “never was a good team player, never a family person” (Eckardt, 2006, p. 3).
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The Childhood Need for Safety and Security
Horney agreed with Freud on one major point—the importance of the early years ofchildhood in shaping the adult personality. However, she differed from him on the spe-cifics of how personality is formed. Horney believed that social forces in childhood, notbiological forces, influence personality development. There are neither universal develop-mental stages nor inevitable childhood conflicts. Instead, the social relationship betweenchildren and their parents is the key factor.
Horney believed that childhood was dominated by the safety need, by which shemeant the need for security and freedom from fear (Horney, 1937). Whether infantsexperience a feeling of security and an absence of fear is decisive in determining the nor-mality of their personality development. A child’s security depends entirely on how theparents treat the child. The major way parents weaken or prevent security is by display-ing a lack of warmth and affection.
That was Horney’s situation in childhood. Her parents provided very little warmthand affection, and she, in turn, later behaved the same way with her three daughters.She believed children could withstand much that is usually considered traumatic, suchas abrupt weaning, occasional beatings, or even premature sexual experiences, as longas they feel wanted and loved and, therefore, secure.
Ways of Undermining a Child’s Security
Parents can act in various ways to undermine their child’s security and thereby inducehostility. These include obvious preference for one sibling over another, unfair punish-ment, erratic behavior, promises not kept, ridicule, humiliation, and isolation of thechild from peers. Horney argued that children know whether their parents’ love is
The state of help-lessness in infancycan lead to neuroticbehavior.
safety need A higher-level need for securityand freedom from fear.
OlegKozlov/Shutterstock.com
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genuine. False demonstrations and insincere expressions of affection do not easily foolchildren. The child may feel the need to repress the hostility engendered by the parents’undermining behaviors for reasons of helplessness, fear of the parents, need for genuinelove, or guilt feelings.
Repressing Hostility toward Parents
Horney placed great emphasis on the infant’s helplessness, which depends totally ontheir parents’ behavior. If children are kept in an excessively dependent state, then theirfeelings of helplessness will be encouraged. The more helpless children feel, the less theydare to oppose or rebel against the parents. This means that the child will repress theresulting hostility, saying, in effect, “I have to repress my hostility because I need you.”
Children can easily be made to feel fearful of their parents through punishment, phys-ical abuse, or more subtle forms of intimidation. The more frightened children become,the more they will repress their hostility. In this instance, the child is saying, “I mustrepress my hostility because I am afraid of you.”
Paradoxically, love can be another reason for repressing hostility toward parents. Inthis case, parents tell their children how much they love them and how much they aresacrificing for them, but the parents’ warmth and affection are not honest. Children rec-ognize that these verbalizations and behaviors are poor substitutes for genuine love andsecurity, but they are all that is available. The child must repress his or her hostility forfear of losing even these unsatisfactory expressions of love.
Guilt is yet another reason why children repress hostility. They are often made to feelguilty about any hostility or rebelliousness. They may be made to feel unworthy, wicked,or sinful for expressing or even harboring resentments toward their parents. The moreguilt the child feels, the more deeply repressed will be the hostility. This repressed hostil-ity, resulting from a variety of parental behaviors, undermines the childhood need forsafety and is manifested in the condition Horney called basic anxiety.
Basic Anxiety: The Foundation of Neurosis
Horney defined basic anxiety as an “insidiously increasing, all-pervading feeling of beinglonely and helpless in a hostile world” (Horney, 1937, p. 89). It is the foundation onwhich all later neuroses develop, and it is inseparably tied to feelings of hostility, help-lessness, and fear (see Hjertass, 2009).
Regardless of how we express basic anxiety, the feeling is similar for all of us. InHorney’s words, we feel “small, insignificant, helpless, deserted, endangered, in a worldthat is out to abuse, cheat, attack, humiliate, betray” (1937, p. 92). In childhood we try toprotect ourselves against basic anxiety in four quite different ways: securing affection andlove, being submissive, attaining power, or withdrawing.
Securing Affection
By securing affection and love from other people, the person is saying, in effect, “If youlove me, you will not hurt me.” There are several ways by which we may gain affection,such as trying to do whatever the other person wants, trying to bribe others, or threaten-ing others into providing the desired affection.
Being Submissive
Being submissive as a means of self-protection involves complying with the wishes ofeither one particular person or of everyone in our social environment. Submissive peopleavoid doing anything that might antagonize others. They dare not criticize or give
basic anxiety A per-vasive feeling ofloneliness and help-lessness; the founda-tion of neurosis.
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offense in any way. They must repress their personal desires and cannot defend againstabuse for fear that such defensiveness will antagonize the abuser. Most people who actsubmissive believe they are unselfish and self-sacrificing. Such persons seem to be saying,“If I give in, I will not be hurt.” This describes Horney’s own childhood behavior untilthe age of 8 or 9.
Attaining Power
By attaining power over others, a person can compensate for helplessness and achievesecurity through success or through a sense of superiority. Such people seem to believethat if they have power, no one will harm them. This could describe Horney’s childhoodonce she decided to strive for academic success.
Withdrawing
These three self-protective devices have something in common—by engaging in any of themthe person is attempting to cope with basic anxiety by interacting with other people. Thefourth way of protecting oneself against basic anxiety involves withdrawing from other peo-ple, not physically but psychologically. Such a person attempts to become independent ofothers, not relying on anyone else for the satisfaction of internal or external needs.
The withdrawn person achieves independence with regard to internal or psychologicalneeds by becoming aloof from others, no longer seeking them out to satisfy emotionalneeds. The process involves a blunting, or minimizing, of emotional needs. By renounc-ing these needs, the withdrawn person guards against being hurt by other people.
Characteristics of Self-Protective Mechanisms
The four self-protective mechanisms Horney proposed have a single goal: to defendagainst basic anxiety. They motivate the person to seek security and reassurance ratherthan happiness or pleasure. They are a defense against pain, not a pursuit of well-beingor happiness. Another characteristic of these self-protective mechanisms is their powerand intensity. Horney believed that they could be more compelling than sexual or otherphysiological needs. These mechanisms may reduce anxiety, but the cost to the individ-ual is usually an impoverished personality.
Often, the neurotic will pursue the search for safety and security by using more than oneof these mechanisms, and the incompatibility among them can lay the groundwork for addi-tional problems. For example, a person may be driven by the needs to attain power and togain affection. A person may want to submit to others while also desiring power over them.Such incompatibilities cannot be resolved and can lead to even more severe conflicts.
Neurotic Needs
Horney believed that any of the self-protective mechanisms could become so permanenta part of the personality that it assumes the characteristics of a drive or need in deter-mining the individual’s behavior. She listed 10 such needs, which she termed neuroticneeds because they are irrational solutions to one’s problems. The 10 neurotic needs are:
1. Affection and approval2. A dominant partner3. Power4. Exploitation5. Prestige6. Admiration
neurotic needs Tenirrational defensesagainst anxiety thatbecome a permanentpart of personality andthat affect behavior.
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7. Achievement or ambition8. Self-sufficiency9. Perfection
10. Narrow limits to life
The neurotic needs encompass the four ways of protecting ourselves against anxiety.Gaining affection is expressed in the neurotic need for affection and approval. Being sub-missive includes the neurotic need for a dominant partner. Attaining power relates to theneeds for power, exploitation, prestige, admiration, and achievement or ambition. With-drawing includes the needs for self-sufficiency, perfection, and narrow limits to life.
Horney noted that we all manifest these needs to some degree. For example, at one timeor another, everyone seeks affection or pursues achievement. None of the needs is abnor-mal or neurotic in an everyday, transient sense. What makes them neurotic is the person’sintensive and compulsive pursuit of their satisfaction as the “only” way to resolve basicanxiety. When that happens, the neurotic need becomes increasingly severe, then tyranni-cal, as it overtakes and comes to dominate the personality (Hess & Hess, 2010).
Satisfying these needs will not make us feel safe and secure but will only help us toescape the discomfort caused by our anxiety. They will do nothing for the underlyinganxiety. In other words, they will help with the symptoms, but not their cause. Also,when we pursue gratification of these needs solely to cope with anxiety, we tend tofocus on only one need and compulsively seek its satisfaction in all situations.
Neurotic Trends
In her later writings, she reformulated the list of needs (Horney, 1945). From her workwith patients, she concluded that the needs could be presented in three groups, eachindicating a person’s attitudes toward the self and others. She called these three catego-ries of directional movement the neurotic trends (see Table 5.1).
Because the neurotic trends evolve from and elaborate on the self-protective mechan-isms, we can see similarities with our earlier descriptions. The neurotic trends involvecompulsive attitudes and behaviors; that is, neurotic persons are compelled to behave in
TABLE 5.1 Horney’s neurotic needs and neurotic trends
NEEDS TRENDS
Components of the compliant personality
Affection and approval Movement toward other people (the compliant personality)
A dominant partner
Components of the aggressive personality
Power Movement against other people (the aggressive personality)
Exploitation
Prestige
Admiration
Achievement
Components of the detached personality
Self-sufficiency Movement away from other people (the detached personality)
Perfection
Narrow limits to life
neurotic trends Threecategories of behaviorsand attitudes towardoneself and others thatexpress a person’sneeds; Horney’s revi-sion of the concept ofneurotic needs.
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accordance with at least one of the neurotic trends. They are also displayed indiscrimi-nately, in any and all situations. The neurotic trends are:
• Movement toward other people—the compliant personality,• Movement against other people—the aggressive personality, and• Movement away from other people—the detached personality.
The Compliant Personality
The compliant personality displays attitudes and behaviors that reflect a desire to movetoward other people. Such a person has an intense and continuous need for affection andapproval, an urge to be loved, wanted, and protected. Compliant personalities displaythese needs toward everyone, although they usually have a need for one dominant per-son, such as a friend or spouse, who will take charge of their lives and offer protectionand guidance.
Compliant personalities manipulate other people, particularly their partners, to achievetheir goals. They often behave in ways others find attractive or endearing. For example,they may seem unusually considerate, appreciative, responsive, understanding, and sensi-tive to the needs of others. Compliant people are concerned with living up to others’ idealsand expectations, and they act in ways others perceive as unselfish and generous.
In dealing with other people, compliant personalities are conciliatory. They subordi-nate their personal desires to those of other people. They are willing to assume blameand defer to others, never being assertive, critical, or demanding. They do whatever thesituation requires, as they interpret it, to gain affection, approval, and love. Their attitudetoward themselves is consistently one of helplessness and weakness. Horney suggestedthat compliant people are saying, “Look at me. I am so weak and helpless that youmust protect and love me.”
Consequently, they regard other people as superior, and even in situations in whichthey are competent, they see themselves as inferior. Because the security of compliantpersonalities depends on the attitudes and behavior of other people toward them, theybecome excessively dependent, needing constant approval and reassurance. Any sign ofrejection, whether actual or imagined, is terrifying to them, leading to increased efforts toregain the affection of the person they believe has rejected them.
The source of these behaviors is the person’s repressed hostility. Horney found thatcompliant persons have repressed profound feelings of defiance and vindictiveness.They have a desire to control, exploit, and manipulate others, the opposite of whattheir behaviors and attitudes express. Because their hostile impulses must be repressed,compliant personalities become subservient, always trying to please and asking nothingfor themselves.
The Aggressive Personality
Aggressive personalities move against other people. In their world, everyone is hostile,and only the fittest and most cunning survive. Life is a jungle in which supremacy,strength, and ferocity are the paramount virtues. Although their motivation is the sameas that of the compliant type, to alleviate basic anxiety, aggressive personalities never dis-play fear of rejection. They act tough and domineering and have no regard for others. Toachieve the control and superiority so vital to their lives, they must consistently performat a high level. By excelling and receiving recognition, they find satisfaction in havingtheir superiority affirmed by others.
Because aggressive personalities are driven to surpass others, they judge everyone interms of the benefit they will receive from the relationship. They make no effort to
compliant personalityBehaviors and atti-tudes associated withthe neurotic trend ofmoving toward people,such as a need foraffection and approval.
aggressive personalityBehaviors and atti-tudes associated withthe neurotic trend ofmoving against people,such as a domineeringand controllingmanner.
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appease others but will argue, criticize, demand, and do whatever is necessary to achieveand retain superiority and power. They drive themselves hard to become the best. As aresult, they may actually become highly successful in their careers, although the workitself will not provide intrinsic satisfaction. Like everything else in their lives, work is ameans to an end, not an end in itself.
Aggressive personalities may appear confident of their abilities and uninhibited inasserting and defending themselves. However, like compliant personalities, aggressivepersonalities are driven by insecurity, anxiety, and hostility.
The Detached Personality
People described as detached personalities are driven to move away from other peopleand to maintain an emotional distance. They must not love, hate, or cooperate withothers or become involved in any way. To achieve this total detachment, they strive tobecome self-sufficient. If they are to function as detached personalities, they must rely ontheir own resources, which must be well developed.
Detached personalities have an almost desperate desire for privacy. They need tospend as much time as possible alone, and it disturbs them to share even such an expe-rience as listening to music. Their need for independence makes them sensitive to anyattempt to influence, coerce, or obligate them. Detached personalities must avoid all con-straints, including timetables and schedules, long-term commitments such as marriagesor mortgages, and sometimes even the pressure of a belt or necktie.
They need to feel superior, but not in the same way aggressive personalities do. Becausedetached people cannot actively compete with other people for superiority—that wouldmean becoming involved with others—they believe their greatness should be recognized auto-matically, without struggle or effort on their part. One manifestation of this sense of superior-ity is the feeling that one is unique, that one is different and apart from everyone else.
Detached personalities suppress or deny all feelings toward other people, particularlyfeelings of love and hate. Intimacy would lead to conflict, and that must be avoided.Because of this constriction of their emotions, detached personalities place great stresson reason, logic, and intelligence.
You have probably noticed the similarity between the three personality types pro-posed by Horney and the styles of life in Adler’s personality theory. Horney’s compliantpersonality is similar to Adler’s getting type, the aggressive personality is like the domi-nant or ruling type, and the detached personality is similar to the avoiding type. This isyet another example of how Adler’s ideas influenced later explanations of personality.
The Dominance of One Trend
Horney found that in the neurotic person, one of these three trends is dominant, whereasthe other two are present to a lesser degree. For example, the person who is predominantlyaggressive also has some need for compliance and detachment. The dominant neurotictrend is the one that determines the person’s behaviors and attitudes toward others. Thisis the mode of acting and thinking that best serves to control basic anxiety, and any devia-tion from it is threatening to the person. For this reason, the other two trends mustactively be repressed, which can lead to additional problems. Any indication that arepressed trend is pushing for expression causes conflict within the individual.
Conflict
In Horney’s system, conflict is defined as the basic incompatibility of the three neurotictrends; this conflict is the core of neurosis. All of us, whether neurotic or normal, suffersome conflict among these basically irreconcilable modes. The difference between the
detached personalityBehaviors and atti-tudes associated withthe neurotic trend ofmoving away frompeople, such as anintense need forprivacy.
conflict To Horney, thebasic incompatibility ofthe neurotic trends.
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normal person and the neurotic person lies in the intensity of the conflict; it is muchmore intense in the neurotic. Neurotic people must battle to keep the non-dominanttrends from being expressed. They are rigid and inflexible, meeting all situations withthe behaviors and attitudes that characterize the dominant trend, regardless of theirsuitability.
The Expression of All Three Trends
In the person who is not neurotic, all three trends can be expressed as circumstanceswarrant. A person may sometimes be aggressive, sometimes compliant, and sometimesdetached. The trends are not mutually exclusive and can be integrated harmoniouslywithin the personality. The normal person is flexible in behaviors and attitudes and canadapt to changing situations.
The Idealized Self-Image
Horney argued that all of us, normal or neurotic, construct a picture of our selves thatmay or may not be based on reality. Horney’s own search for self was difficult and long-lasting. At age 21, she wrote, “There’s still such chaos in me…. Just like my face: a form-less mass that only takes on shape through the expression of the moment. The searchingfor our selves is the most agonizing” (Horney, 1980, p. 174).
In normal people, the self-image is built on a realistic appraisal of our abilities, poten-tials, weaknesses, goals, and relations with other people. This image provides a sense ofunity and integration to the personality and a framework within which to approachothers and ourselves. If we are to realize our full potential, a state of self-realization, ourself-image must clearly reflect our true self.
Neurotics, who experience conflict between incompatible modes of behavior, havepersonalities characterized by disunity and disharmony. They construct an idealizedself-image for the same purpose as normal people do: to unify the personality. Buttheir attempt is doomed to failure because their self-image is not based on a realisticappraisal of their strengths and weaknesses. Instead, it is based on an illusion, an unat-tainable ideal of absolute perfection.
Tyranny of the Shoulds
In attempting to realize this unattainable ideal, neurotics engage in what Horney calledthe tyranny of the shoulds. They tell themselves they should be the best or most perfectstudent, spouse, parent, lover, employee, friend, or child. Because they find their real self-image so undesirable, they believe they must live up to their illusory, idealized self-image,in which they see themselves in a highly positive light, for example, being virtuous, hon-est, generous, considerate, and courageous.
In doing so, they deny their real selves and try to become what they think they shouldbe, or what they need to be to match their idealized self-image. However, their efforts aredoomed to failure. They can never achieve their unrealistic self-image and end up in astate of self-hatred with no ability to forgive themselves or others (Kerr, 1984).
The Neurotic’s Self-Image
Although the neurotic or idealized self-image does not coincide with reality, it is real andaccurate to the person who created it. Other people can easily see through this false pic-ture, but the neurotic cannot. The neurotic person believes that the incomplete and mis-leading self-picture is real. The idealized self-image is a model of what the neuroticthinks he or she is, can be, or should be.
idealized self-imageFor normal people, theself-image is an ideal-ized picture of oneselfbuilt on a flexible,realistic assessment ofone’s abilities. Forneurotics, the self-image is based on aninflexible, unrealisticself-appraisal.
tyranny of the shouldsAn attempt to realizean unattainable ideal-ized self-image bydenying the true selfand behaving in termsof what we think weshould be doing.
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A realistic self-image, on the other hand, is flexible and dynamic, adapting as the indi-vidual develops and changes. It reflects strengths, growth, and self-awareness. The realis-tic image is a goal, something to strive for, and as such it both reflects and leads theperson. By contrast, the neurotic self-image is static, inflexible, and unyielding. It is nota goal but a fixed idea, not an inducement to growth but a hindrance demanding rigidadherence to its proscriptions.
The neurotic’s self-image is an unsatisfactory substitute for a reality-based sense ofself-worth. The neurotic has little self-confidence because of insecurity and anxiety, andthe idealized self-image does not allow for correction of those deficiencies. It providesonly an illusory sense of worth and alienates the neurotic from the true self.
Developed to reconcile incompatible modes of behavior, the idealized self-imagebecomes just one more element in that conflict. Far from resolving the problem, it addsto a growing sense of futility. The slightest crack in the neurotic’s idealized self-picturethreatens the false sense of superiority and security the whole edifice was constructed toprovide, and little is needed to destroy it. Horney suggested that the neurotic self-imageis like a house filled with dynamite, with the always-ready potential for self-destruction.
Externalization
One way in which neurotics attempt to defend themselves against the inner conflictscaused by the discrepancy between idealized and real self-images is by externalization,projecting the conflicts onto the outside world. This process may temporarily alleviatethe anxiety caused by the conflict but will do nothing to reduce the gap between the ide-alized self-image and reality.
Externalization involves the tendency to experience conflicts as though they wereoccurring outside of one. It also entails depicting external forces as the source of the con-flicts. For example, neurotics who experience self-hatred because of the discrepancybetween real and idealized selves may project that hatred onto other people or institu-tions and come to believe that the hatred is emanating from these external sources andnot from themselves.
Feminine Psychology
Early in her career, Horney expressed her disagreement with Freud’s views on women.She began work on her version of feminine psychology in 1922, the year she becamethe first woman to present a paper on the topic at an international psychoanalytic con-gress. That meeting, held in Berlin, was chaired by Sigmund Freud.
Horney was especially critical of Freud’s notion of penis envy, which she believed wasderived from inadequate evidence (that is, from Freud’s clinical interviews with neuroticwomen). Freud described and interpreted this alleged phenomenon from a strictly malepoint of view in a place and time when women were considered second-class citizens.
He suggested that women were victims of their anatomy, forever envious and resent-ful of men for possessing a penis. Freud also concluded that women had poorly devel-oped superegos (a result of inadequately resolved Oedipal conflicts), and inferior bodyimages, because women believed they were really castrated men.
Womb Envy
Horney countered these ideas by arguing that men envied women because of their capac-ity for motherhood. Her position on this issue was based on the pleasure she said shehad experienced in childbirth. She uncovered in her male patients what she calledwomb envy. “When one begins to analyze men only after a fairly long experience of
externalization A wayto defend against theconflict caused by thediscrepancy betweenan idealized and a realself-image by project-ing the conflict onto theoutside world.
feminine psychologyTo Horney, a revision ofpsychoanalysis toencompass the psy-chological conflictsinherent in the tradi-tional ideal of woman-hood and women’sroles.
womb envy The envy amale feels toward afemale because shecan bear children andhe cannot. Womb envywas Horney’s responseto Freud’s concept ofpenis envy in females.
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analyzing women, one receives a most surprising impression of the intensity of this envyof pregnancy, childbirth, and motherhood” (Horney, 1967, pp. 60–61).
Men have such a small part to play in the act of creating new life that they must sub-limate their womb envy and overcompensate for it by seeking achievement in their work(Gilman, 2001). Womb envy and the resentment that accompanies it are manifestedunconsciously in behaviors designed to disparage and belittle women and to reinforcetheir inferior status. By denying women equal rights, minimizing their opportunities tocontribute to society, and downgrading their efforts to achieve, men retain their so-callednatural superiority. Underlying such typical male behavior is a sense of inferiority deriv-ing from their womb envy.
Horney did not deny that many women believed themselves to be inferior to men.What she questioned was Freud’s claim of a biological basis for these feelings. Ifwomen feel themselves to be unworthy, she argued, it is because they have been trea-ted that way in male-dominated cultures. After generations of social, economic, andcultural discrimination, it is understandable that many women saw themselves inthat light.
The Flight from Womanhood
As a result of these feelings of inferiority, women may choose to deny their femininityand to wish, unconsciously, that they were men. Horney referred to this as the flightfrom womanhood, a condition that can lead to sexual inhibitions (Horney, 1926).Part of the sexual fear associated with this condition arises from childhood fantasiesabout the difference in size between the adult penis and the female child’s vagina.The fantasies focus on vaginal injury and the pain of forcible penetration. This pro-duces a conflict between the unconscious desire to have a child and the fear of inter-course. If the conflict is sufficiently strong, it can lead to emotional disturbances thatmanifest themselves in relations with men. These women distrust and resent men andreject their sexual advances.
Horney disputedFreud’s views on theaccepted sex stereo-types of men andwomen.
MatthiasTunger/The
ImageBank/GettyImages
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The Oedipus Complex
Horney also disagreed with Freud about the nature of the Oedipus complex. She did notdeny the existence of conflicts between children and their parents, but she did notbelieve they had a sexual origin. By removing sex from the Oedipus complex, she rein-terpreted the situation as a conflict between dependence on one’s parents and hostilitytoward them.
We discussed parental behaviors that undermine the satisfaction of the childhoodneed for safety and security and lead to the development of hostility. At the same time,the child remains dependent on the parents so that expressing hostility is unacceptable.The child is saying, in effect, “I have to repress my hostility because I need you.”
As we noted, the hostile impulses remain and create basic anxiety. To Horney, “Theresulting picture may look exactly like what Freud describes as the Oedipus complex: pas-sionate clinging to one parent and jealousy toward the other” (Horney, 1939, p. 83). Thus,her explanation for Oedipal feelings lies in neurotic conflicts that evolve from parent–childinteractions. These feelings are not based on sex or other biological forces, nor are theyuniversal. They develop only when parents act to undermine their child’s security.
What Did Freud Say about Horney?
Freud did not respond directly to Horney’s challenge to his views on women, nor did healter his concept of the Oedipus complex. However, in a thinly veiled allusion toHorney’s work, he wrote, “We shall not be very greatly surprised if a woman analyst,who has not been sufficiently convinced of the intensity of her own wish for a penis,also fails to attach proper importance to that factor in her patients” (Freud, 1940). OfHorney herself, Freud remarked, “She is able but malicious” (quoted in Blanton, 1971,p. 65). Horney was bitter about Freud’s failure to recognize the legitimacy of her views.
Motherhood or Career?
As an early feminist, Horney expressed concern about the psychological conflicts indefining women’s roles and pointed out the differences between the traditional ideal ofwomanhood with the more modern view (Horney, 1967). In the traditional scheme, pro-moted and endorsed by most men, the woman’s role was to love, admire, and serve herman. Her identity was solely a reflection of her husband’s.
Horney argued that women must seek their own identity, as she did, by developing theirabilities and pursuing careers. These contrasting traditional and more modern roles createconflicts that some women to this day have difficulty resolving. Drawing on Horney’swork, a feminist at the height of the women’s movement in the 1980s wrote that:
modern women are caught between wanting to make themselves desirable to men and pursu-ing their own goals. The competing purposes elicit conflicting behaviors: seductive versusaggressive, deferential versus ambitious. Modern women are torn between love and work andare consequently dissatisfied in both. (Westkott, 1986, p. 14)
It remains as troublesome for some women in the 21st century to combine marriage,motherhood, and career as it was for Karen Horney in the 1930s. Her decision todevelop her abilities and focus on her work brought her enormous satisfaction, but shecontinued throughout her life to search for security and love.
Cultural Influences on Feminine Psychology
Horney recognized the impact of social and cultural forces on the development of per-sonality. She also noted that different cultures and social groups view women’s roles in
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different ways. Thus, there can be many different feminine psychologies. “The Americanwoman is different from the German woman;” she wrote, “both are different from cer-tain Pueblo Indian women. The New York society woman is different from the farmer’swife in Idaho … Specific cultural conditions engender specific qualities and faculties, inwomen as in men” (Horney, 1939, p. 119).
One example of the power of culture to shape women’s lives and expectations can befound in what was once considered traditional Chinese society. As far back as the firstmillennium B.C., women were subordinate to men. Society was governed by the beliefthat the universe contained two contrasting yet interacting elements, yin and yang.Yang represents the male element and contains all that is vital, positive, strong, andactive. Yin represents the female element and contains all that is dark, weak, and passive.Over time, these elements came to form a hierarchy in which men were consideredsuperior and women inferior.
This idea became part of the teaching of the Chinese philosopher Confucius (551–479B.C.), whose work was the ruling ideology of China for centuries. Strict rules of conductwere established for women. They were expected to be submissive, obedient, respectful,chaste, and unselfish. The Chinese word for woman literally meant “inside person,”denoting her status as restricted to the confines of the home.
A respectable Chinese woman was not to be seen or heard. She was expected never to be freedfrom male domination, as her duty was to obey her father at home, her husband after mar-riage, and her eldest son when widowed. Men were counseled against listening to women forfear that disaster would result. The exercise of willfulness and ambition, considered heroic ina man, was considered wicked and depraved in a woman. (Loo, 1998, p. 180)
When we contrast this attitude with the widely accepted views of a woman’s place incontemporary American society, and in the rapidly changing Chinese society as well, wecan easily accept Horney’s position that the feminine psyche is influenced, even deter-mined, by cultural forces.
Questions about Human Nature
Horney’s image of human nature is considerably more optimistic than Freud’s. One rea-son for her optimism was her belief that biological forces do not condemn us to conflict,anxiety, neurosis, or universality in personality. To Horney, each person is unique. Neu-rotic behavior, when it occurs, results from social forces in childhood. Parent–child rela-tionships will either satisfy or frustrate the child’s need for safety. If that need isfrustrated, the outcome is neurotic behavior. Neuroses and conflicts can be avoided ifchildren are raised with love, acceptance, and trust.
Each of us has the innate potential for self-realization, and this is our ultimate andnecessary goal in life. Our intrinsic abilities and potential will blossom as inevitably andnaturally as an acorn grows into an oak tree. The only thing that can obstruct our devel-opment is the thwarting in childhood of our need for safety and security.
Horney also believed that we have the capacity to consciously shape and change ourpersonality. Because human nature is flexible, it is not formed into immutable shapes inchildhood. Each of us possesses the capacity to grow. Therefore, adult experiences maybe as important as those of childhood.
So confident was Horney of our capacity for self-growth that she emphasized self-analysis in her therapeutic work as well as in her own life. In her book entitled Self-Analysis (Horney, 1942), she noted our ability to help resolve our own problems. Onthe issue of free will versus determinism, then, Horney argued in favor of the former.We can all shape our lives and achieve self-realization.
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Assessment in Horney’s Theory
The methods Horney used to assess the functioning of the human personality wereessentially those favored by Freud—free association and dream analysis—but with somemodification. The most basic difference in technique between Horney and Freud was inthe relationship between analyst and patient. Horney believed that Freud played too pas-sive a role and was too distant and intellectual. She suggested that analysis should be an“exquisitely cooperative enterprise” between patient and therapist (Horney quoted inCherry & Cherry, 1973, p. 84).
Although Horney kept a couch in her office, she did not use it with every patient. Sheadopted an attitude she called constructive friendliness, and wrote that: “This is some-thing one needs to try through trial and error, asking if the patient operates better lyingon the couch or sitting upright. It is particularly helpful to encourage a patient so hefeels free to sit up, lie down, walk around, or whatever he wants” (Horney, 1987, p. 43).
Free Association
With free association, Horney did not follow Freud’s lead in trying to probe the uncon-scious mind. She believed that patients could easily distort or hide aspects of their innerlives or falsify feelings about events that they remembered. Instead, Horney focused onher patients’ visible emotional reactions toward her, believing that these could explainher patients’ attitudes toward other people. She did not delve into presumed infantilesexual fantasies but inquired about the early years of patients’ life only after evaluatingtheir present attitudes, defenses, and conflicts.
Horney believed that each attitude or feeling resulted from a deeper, pre-existing atti-tude, which in turn had resulted from a deeper one, and so on. Through free association,the analyst gradually uncovered the patient’s early experiences and emotions, similar topeeling the layers of an onion.
Dream Analysis
Horney believed that dream analysis could reveal a person’s true self, and that dreamsrepresented attempts to solve problems, in either a constructive or a neurotic way.Dreams can show us a set of attitudes that may differ from those of our self-image. Shedid not offer a list of universal dream symbols but insisted that each dream be explainedwithin the context of the patient’s conflict. Focusing on a dream’s emotional content, sheconcluded that the “safest clue to the understanding of a dream is in the feelings of thepatient as he has them in the dream” (Horney, 1987, p. 61).
Self-Report Inventories
Although Horney did not use psychological tests, later researchers developed severalbased on portions of Horney’s theory.
A 35-item self-report inventory, the CAD, was devised to measure Horney’s threeneurotic trends, the Compliant, Aggressive, and Detached personality types (Cohen,1967). The Horney-Coolidge Type Indicator (HCTI), a 57-item self-report inventory, isanother measure of Horney’s three neurotic trends. Research with children and with col-lege students confirmed the HCTI as a valid measure of the compliant, aggressive, anddetached personality types (Coolidge, Moor, Yamazaki, Stewart, & Segal, 2001; Coolidge,Segal, & Estey, 2010).
Other studies using college student responses on the HCTI found that men tended toscore higher on the aggressive and detached scales, whereas women scored higher incompliance. The research also showed a relationship between Horney’s three neurotic
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types and various personality disorders. For example, aggression and detachment corre-lated highly with psychoticism; compliance was associated with neuroticism (Coolidgeet al., 2001; Shatz, 2004; for additional research support see Coolidge, Segal, Benight, &Danielian, 2004). More recently, a new version of the HCTI, the Horney-CoolidgeTridimensional Inventory, was developed for use with children and adolescents ages 5to 17 (Coolidge, Segal, Estey, & Neuzil, 2011).
Research on Horney’s Theory
Horney used the case study method. Therefore, her approach, data, and interpreta-tions are subject to the same criticisms made earlier of the work of Freud, Jung, andAdler. The weaknesses inherent in the case study method apply to her work no lessthan to theirs.
Horney was opposed to taking verbatim notes of her patients’ recollections. “I don’tsee how anybody can employ a wholehearted receptivity and productivity of attention atthe same time that he is anxiously scribbling everything down” (Horney, 1987, p. 30). Aswith Freud, Jung, and Adler, then, we do not have complete records of her analyticsessions and the data she collected during them. However, she tried to be rigorous andscientific in her clinical observations, formulating hypotheses, testing them in therapeuticsituations, and maintaining that her data were tested the same way scientists in otherfields test theirs.
Neurotic Trends
Researchers have studied Horney’s three proposed neurotic trends, redefining them asfollows (Caspi, Elder, & Bem, 1987, 1988):
• moving against people (ill-tempered),• moving away from people (shy), and• moving toward people (dependent).
The behavior of people belonging to each of these types in late childhood was com-pared with their behavior 30 years later to discover whatever continuities might exist. Ill-tempered children, both boys and girls, tended to become ill-tempered adults, prone todivorce and downward occupational mobility. Gender differences were found in the shyand dependent types. Shy boys became aloof adults who experienced marital and job insta-bility. On the other hand, shy girls manifested no such problems later in life. Dependentboys became agreeable, socially poised, warm, and giving adults with stable marriages andcareers; the opposite was found for dependent girls (Caspi, Bem, & Elder, 1989).
A study dealing with the neurotic trends of moving against people (aggressive) andmoving away from people (detached) compared measures from aggressive and detachedchildren at ages 7 to 13 with their behavior 5 to 7 years later (Moskowitz & Schwartzman,1989). Those high in aggressiveness were found to be low in school achievement and tohave psychiatric problems. Those who were detached or withdrawn were found to haveinaccurate and negative self-images. The researchers concluded that Horney’s proposedpersonality types had predictive value for later behavior.
Research using the CAD inventory found that college students preparing for careersin helping professions such as nursing and social work scored higher in compliance thandid students considering careers in business or science. The business students, on a morecompetitive career path, scored higher on aggression. Science students scored highest onthe detached scale. These results appear to be consistent with Horney’s descriptions ofthe three neurotic trends (Cohen, 1967; Rendon, 1987).
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A study conducted in Iran found, perhaps not surprisingly, that people who scoredhigh in aggression had significantly more automobile accidents than people who scoredlow on aggression (Haghayegh & Oreyzia, 2009).
Feminine Psychology
Some research applies indirectly to Horney’s ideas on feminine psychology. In our dis-cussion of research on the Oedipus complex, we mentioned a classic study on dreamsthat provided support for the Freudian concept of penis envy (Hall & Van de Castle,1965). This study fails to support Horney’s questioning of the concept of penis envy.However, research that refutes Freud’s notion that women have inadequately developedsuperegos and inferior body images can be taken to support Horney’s views.
The Tyranny of the Shoulds
Research with college students asked them to recall three things they did during the weekprior to the study. They were also asked to indicate whether they did those thingsbecause they felt they should or ought to do them, or whether they had really wantedto do them. Students who had done more things because they genuinely wanted to,rather than because they felt they should, scored significantly higher on general life satis-faction than those whose behavior was directed primarily by what they believed theyought to do (Berg, Janoff-Bulman, & Cotter, 2001).
Neurotic Competitiveness
Horney spoke of neurotic competitiveness as a major aspect of contemporary culture.She defined it as an indiscriminate need to win at all costs. The attitude of the personmanifesting this need can be “compared to that of a jockey in a race, for whom onlyone thing matters—whether he is ahead of the others” (Horney, 1937, p. 189).
Self-report inventories, such as the Hyper-competitive Attitude Scale (HCA) and theNeurotic Competitiveness Inventory (NCI), were developed to measure the concept ofneurotic competitiveness (Deneui, 2001; Ryckman, Thornton, & Butler, 1994). The testscontain such items as “Winning in competition makes me feel more powerful as aperson.” Subjects evaluate the items on a five-point scale ranging from “never true ofme” to “always true of me.”
People who scored high on competitiveness were also high in narcissism, neuroti-cism, authoritarianism, dogmatism, and mistrust, and low in self-esteem and psycho-logical health. Those who deliberately avoided competitiveness showed higher levels ofneuroticism and a lower drive to prove themselves in competitive situations (Ryckman,Thornton, & Gold, 2009). Hyper-competitive men were also found to be hyper-masculine or macho, who believe that women are sex objects who deserved neitherrespect nor consideration.
A comparison of college students in the United States and the Netherlands found thatthe Americans scored higher in hyper-competitiveness, suggesting cultural differences inthis aspect of their personality (Dru, 2003; Ryckman, Hammer, Kaczor, & Gold, 1990;Ryckman, Thornton, & Butler, 1994; Ryckman, Thornton, Gold, & Burckle, 2002).These findings support Horney’s description of the neurotic competitive personality.
Two Types of Competitiveness
Researchers identified two types of competitiveness: competing to win (CW) in orderto dominate others, and competing to excel (CE) to surpass one’s personal goals. CEcompeting was linked to high self-esteem and low depression among high school
neuroticcompetitiveness Anindiscriminate need towin at all costs.
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students. In general, teen boys scored higher on CW than teen girls. However, girlswho did score high on CW showed greater depression and loneliness and had fewerclose friends than girls who scored low on this drive to compete in order to win(Hibbard & Buhrmester, 2010).
Reflections on Horney’s Theory
Contributions of Horney’s Theory
Horney’s contributions, although impressive, are not as well known or recognized withinpsychology as those of Freud, Jung, and Adler. However, her work drew a large publicfollowing, partly because of her personal qualities. A student recalled:
There was about her an air of wholeness, of certainty, of total dedication and commitment, of aconviction that her ideas were valuable, that they were worth sharing with colleagues and stu-dents, because knowing them would make a difference to helping those in need. (Clemmens,1987, p. 108)
These characteristics are also evident in her books, which were written in a style read-ily understood by people who do not have professional analytical training. Her theoryhas a commonsense appeal and for many people it seems applicable to their own person-ality or to that of a relative or friend.
Horney’s ideas may be more relevant to problems inherent in American culture todaythan the ideas of Freud, Jung, or Adler were. Many personality researchers see Horney’sconception of the neurotic trends as a valuable way to categorize deviant behavior.Others accept Horney’s emphasis on self-esteem, the need for safety and security, therole of basic anxiety, and the importance of the idealized self-image.
Her work had a significant impact on the personality theories developed by ErikErikson and Abraham Maslow, as we will see later. Maslow used her concept of thereal self and self-realization, and her notion of basic anxiety is similar to Erikson’s con-cept of basic mistrust.
Criticisms of Horney’s Theory
Although Horney was trained in orthodox Freudian theory and paid tribute to Freud forproviding the foundation and tools for her work, her theory deviated from psychoanaly-sis in several ways. Not surprisingly, she received a great deal of criticism from those
HIGHLIGHTS: Research on Horney’s Ideas
People who score high in the aggressive neurotic trend:
• May not do well in school• May have mental health issues• Are more likely to major in business than in the helping professions
People who score high in neurotic competitiveness tend to be:
• Neurotic• Narcissistic• Authoritarian• Low in self-esteem
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who continued to adhere to Freud’s position. To the Freudians, Horney’s denial of theimportance of biological instincts and her reduced emphasis on sexuality and the uncon-scious were obvious weaknesses.
Horney’s personality theory has also been criticized on the grounds that it is not ascompletely or consistently developed as Freud’s. It has been suggested that becauseFreud’s model was constructed so elegantly and precisely, it would have been better forHorney to reject it and start anew rather than attempt to refashion it along differentlines.
Another criticism is that her observations and interpretations were too greatly influ-enced by the middle-class American culture in which she developed so much of her the-ory. Of course, as we have seen, and will continue to see throughout the book, allpersonality theorists are affected by the class, culture, and time in which they worked.
Renewed Interest in Horney’s Ideas?
Primarily due to the women’s movement that began in the 1960s, Horney’s books againattracted attention. Her writings on feminine psychology and sexuality may constitutethe most influential of her contributions, of value to scholars on the role of women insociety well more than 50 years after Horney’s death (see Gilman, 2001; Miletic, 2002).“Had she written nothing else,” a biographer stated, “these papers would have earnedHorney a place of importance in the history of psychoanalysis” (Quinn, 1987, p. 211).
The work of the Karen Horney Clinic and the Karen Horney Psychoanalytic Institute(a training center for analysts), both in New York City, attests to the lasting impact ofher work. The clinic, established in 1945, continues to treat people with mild to moder-ate neurotic problems at a moderate cost (Paul, 2010). A loyal, albeit small, group of dis-ciples carries on her work, much of which is published in the American Journal ofPsychoanalysis.
Chapter Summary
Karen Horney differed from Freud in her views onfeminine psychology and her emphasis on socialrather than biological forces as shapers of personality.Her childhood experiences helped shape her lifelongquest for love and security as well as her theory ofpersonality.
The need for safety refers to security and freedomfrom fear. It depends on being loved and wanted as achild. When security is undermined, hostility is induced.The child may repress this hostility out of a sense ofhelplessness, fear of the parents, the need to receiveparental affection, or guilt about expressing hostility.Repressing hostility leads to basic anxiety, defined as afeeling of being lonely and helpless in a hostile world.
Four ways to protect oneself against basic anxietyare by gaining affection, being submissive, attainingpower, and withdrawing. Any of these protectivedevices may become a neurotic need or drive. Horneyproposed 10 neurotic needs, which she later groupedinto three neurotic trends: moving toward people (the
compliant personality), moving against people (theaggressive personality), and moving away from people(the detached personality). Compliant types need affec-tion and approval and will do what other people want.Aggressive types are hostile toward others and seek toachieve control and superiority. Detached types keepan emotional distance from others and have a deepneed for privacy.
In the normal person, the idealized self-image isbuilt on a realistic appraisal of one’s abilities andgoals. It helps the person achieve self-realization—themaximum development and use of one’s potential. Theidealized self-image in the neurotic person is based onan unrealistic, misleading appraisal of one’s abilities.
Horney argued against Freud’s contention thatwomen have penis envy, poorly developed superegos,and inferior body images. She believed that men envywomen because of their capacity for motherhood and,consequently, experience womb envy, which they sub-limate through achievement. She rejected the sexual
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basis for the Oedipus complex, suggesting that itinvolved a conflict between dependence on and hostil-ity toward parents.
Horney’s image of human nature is more optimisticthan Freud’s. She believed that each person is uniqueand is not doomed to conflict. Although childhoodinfluences are important, later experiences also shapepersonality. The ultimate goal of life is self-realization,an innate urge to grow, which can be helped or hin-dered by social forces. According to Horney, we canconsciously shape and change our personalities.
Horney’s methods of assessment were free associa-tion and dream analysis, and her research method wasthe case study. Some psychologists see value in her con-cepts of neurotic trends, the need for safety, the role ofanxiety, and the idealized self-image. Research supportscertain aspects of her theory, namely, the neurotictrends, feminine psychology, the tyranny of theshoulds, and neurotic competitiveness. The theory hasbeen criticized for not being developed as fully asFreud’s and for being heavily influenced by middle-class American culture.
Review Questions
1. In what ways did Horney’s childhood experiencesinfluence her personality theory?
2. Describe the childhood need for safety and thekinds of parental behaviors necessary to assure achild’s security.
3. What is basic anxiety and how does it originate?4. Describe the four basic types of behavior people
use in childhood to try to protect themselves frombasic anxiety.
5. Discuss the three neurotic trends and the beha-viors associated with each one.
6. How do people labeled “compliant personalities”deal with other people? Why do they behave thatway?
7. In what ways do aggressive personalities differfrom detached personalities? Which type is morelikely to be successful in their career?
8. How are the neurotic trends related to the self-protective defenses against anxiety?
9. Explain the difference between normal and neu-rotic people in terms of the neurotic trends.
10. How does the idealized self-image of the normal,realistic person differ from the idealized self-imageof the neurotic person?
11. Contrast the tyranny of the shoulds with the pro-cess of externalization.
12. How did Horney account for women in earliertimes who experienced feelings of inadequacy?
13. How did Horney reinterpret Freud’s notion of theOedipus complex?
14. Discuss the impact of cultural forces on women’sroles in society. Give examples.
15. In what ways does Horney’s image of humannature differ from Freud’s?
16. How did Horney’s use of free association as amethod of assessment differ from Freud’s?
17. Describe the results of research conducted onneurotic trends, on neurotic competitiveness, andon the tyranny of the shoulds.
18. What criticisms have been directed againstHorney’s theory of personality?
19. In your opinion, what is Horney’s major contri-bution to the study of personality?
Suggested Readings
Berger, M. M. (Ed.). (1991, September). Special issuecommemorating the 50th anniversary of thefounding by Karen Horney, M.D. (1885–1952), ofthe Association for the Advancement of Psycho-analysis; the American Institute for Psychoanalysis;and the American Journal of Psychoanalysis. Amer-ican Journal of Psychoanalysis, 51(3). Includestributes to and personal recollections of KarenHorney, along with an overview and evaluationsof her work.
Gilman, S. L. (2001). Karen Horney, M.D., 1885–1952.American Journal of Psychiatry, 158, 1205. DiscussesHorney’s life and work and assesses the impact ofher ideas on the beginnings of feminist theory.
Horney, K. (1937). The neurotic personality of our time.New York: Norton. Describes the development ofconflict and anxiety within the personality andrelates neuroses to past experiences and to thesociocultural climate.
Chapter 5: Karen Horney: Neurotic Needs and Trends 155
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Horney, K. (1980). The adolescent diaries of KarenHorney. New York: Basic Books. A publication ofdiary entries Horney wrote between the ages of 13and 25; the entries are characterized by intenseemotion and intellectual honesty.
Horney, K. (1987). Final lectures. New York: Norton.Contains lectures Horney delivered during the lastyear of her life. Presents refinements of her views onpsychoanalytic techniques, such as free associationand dream analysis.
Mitchell, J. (2014). Individualism and the moral char-acter: Karen Horney’s depth psychology. Piscataway,NJ: Transaction Publishers. An analysis of howHorney’s approach to personality differed fromFreud’s. Includes her views on how people establishtheir own identities instead of being victims ofchildhood experiences.
Paris, B. J. (1994). Karen Horney: A psychoanalyst’ssearch for self-understanding. New Haven, CT: Yale
University Press. A study of Horney’s life and work,exploring the relationship between her struggle forself-understanding and the evolution of her ideas.Assesses her later work as a contribution to psy-chology, psychoanalysis, and the study of genderand culture.
Quinn, S. (1987). A mind of her own: The life of KarenHorney. New York: Summit Books. DiscussesHorney’s life, her work on feminine psychology, andher conflicts with the orthodox Freudian establishment.
Sayers, J. (1991). Mothers of psychoanalysis: HeleneDeutsch, Karen Horney, Anna Freud, MelanieKlein. New York: Norton. Describes the post-Freudian modification of psychoanalytic theoryfrom patriarchal to matriarchal. Shows howthe experiences of these influential women psy-choanalysts changed the focus from sex,repression, and castration anxiety to identification,projection, and separation anxiety.
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The Life-Span Approach
Most personality theorists devote some attention to the way our personalitiesdevelop over time. They differ, however, about the time period during whichthey believe personality continues to grow and change. For example, Freudwrote that personality evolved only up to the age of 5. Jung, in contrast, arguedthat middle age was the most important time of change. Adler and Horneyagreed that personality may keep on changing well beyond childhood.
The life-span approach to understanding personality, represented here by thework of Erik Erikson, focuses on its development over the entire life span. Histheory attempts to explain human behavior and growth through eight stagesfrom birth to death. Erikson believed that all aspects of personality could beexplained in terms of individual crises or turning points we must face andresolve at each of these stages of development.
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chapter 6Erik Erikson:Identity Theory
The personality is engagedwith the hazards ofexistence continuously,even as the body’smetabolism copes withdecay.
—Erik Erikson
The Life of Erikson (1902–1994)Personal Identity CrisesDropping Out of SocietyBecoming a FreudianThree Marriages and a Stable FoundationComing to AmericaHonors and Accolades—but No Identity
Psychosocial Stages of Personality
DevelopmentThe Role of Genetics and the EnvironmentConflicts and CrisesAdaptive Coping
Basic StrengthsTrust versus MistrustAutonomy versus Doubt and ShameInitiative versus GuiltIndustriousness versus InferiorityIdentity Cohesion versus Role ConfusionIntimacy versus IsolationGenerativity versus StagnationEgo Integrity versus Despair
Basic WeaknessesMaladaptive and Malignant Conditions
Questions about Human Nature
Assessment in Erikson’s TheoryPlay TherapyPsychohistorical AnalysisPsychological Tests
Research on Erikson’s TheoryPlay ConstructionsThe Psychosocial StagesAdolescent DevelopmentSex Differences in Ego IdentityGender and Ego IdentityGenerativityMaturityRacial and Ethnic IdentityGender Preference Identity
Reflections on Erikson’s TheoryContributions and CriticismsRecognition and Influence
Chapter Summary
Review Questions
Suggested Readings
The work of Erik Erikson has had a profound influence on psychoanalysis as wellas the general culture. His books were bestsellers, and his picture appeared on thecovers of Newsweek and the New York Times Magazine, unusual recognition for apersonality theorist. And he achieved this high level of prominence without everearning a university degree in any subject.
Trained in the Freudian tradition by Freud’s daughter Anna, Erikson developedan approach to personality that broadened the scope of Freud’s work while main-taining its core. Although he offered significant innovations, his ties to the Freudianposition were strong. “Psychoanalysis is always the starting point,” he said(quoted in Keniston, 1983, p. 29). Erikson “publicly defined himself as a loyal
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Freudian, even as he departed substantially from orthodox psychoanalytic theory”(Anderson & Friedman, 1997, p. 1063).
Erikson extended Freud’s theory in three ways:
1. He elaborated on Freud’s stages of development, suggesting thatpersonality continues to develop over the entire life span.
2. He placed greater emphasis on the ego than on the id. In Erikson’sview, the ego is an independent part of the personality. It is not depen-dent on or subservient to the id, as Freud had said.
3. He recognized the impact on personality of cultural and historicalforces. He argued that we are not governed entirely by innate biologi-cal factors at work in childhood. Although they are important, they donot provide a complete explanation of personality.
The Life of Erikson (1902–1994)
Personal Identity Crises
It is not surprising that the theorist who gave us the concept of the identity crisis experi-enced several of the same kind of crises of his own which “he was never able, over hislifetime to resolve” (Wallerstein, 2014, p. 657). Erikson was born in Frankfurt, Germany.His Danish mother, from a wealthy Jewish family, had married several years earlier buther husband disappeared within hours of the wedding. She became pregnant by anotherman and was sent to Germany to give birth in order to avoid the social disgrace of hav-ing a child out of wedlock. Despite his pleading to her for years, she never told her sonwho his father was.
She remained in Germany after the baby was born and married Dr. TheodoreHomburger, the infant’s pediatrician. Erik did not know for some years that Homburgerwas not his biological father and said that he grew up unsure of his name and psycho-logical identity. He kept the surname Homburger until age 37 when he became a U.S.citizen and changed his name to Erik Homburger Erikson.
Another crisis of identity occurred when Erik started school. Despite his Danish par-entage he considered himself German, but his German classmates rejected him becausehis mother and stepfather were Jewish. His Jewish classmates rejected him because hewas tall and blond and had Aryan facial features. He earned only mediocre grades, buthe showed some talent for art. After graduating from high school, he used that ability totry to establish an identity.
Dropping Out of Society
Erikson dropped out of conventional society and traveled extensively in Europe, reading,recording his thoughts in a notebook, and observing life around him. He described him-self as morbidly sensitive and neurotic, even close to psychotic. Many years later one ofhis daughters wrote:
My father suffered terribly from the sense that his real father had abandoned him and hadnever cared to know him. He struggled with a depressive tendency all his life. His childhoodexperience of abandonment and rejection had left him plagued with self-doubt. He felt deeplyinsecure and unsure of his footing. He craved constant support, guidance, and reassurancefrom others. (Bloland, 2005, pp. 52, 71)
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Erikson studied at two art schools and had his work exhibited at an art gallery inMunich, but each time he left formal training to continue his wandering, his search foran identity. Later, when discussing his concept of the identity crisis he wrote, “No doubt,my best friends will insist that I needed to name this crisis and to see it in everybody elsein order to really come to terms with it in myself” (Erikson, 1975, pp. 25–26).
As with many personality theorists we can see a close correspondence between Erik-son’s life experiences, particularly in childhood and adolescence, and the personality the-ory he developed as an adult. A biographer noted that what Erikson “saw and felthappening to himself (as with Freud’s examination of his own dreams, memories, fanta-sies) became the ‘research’ that enabled a flow of ideas, articles, books” (Friedman, 1999,p. 16).
Becoming a Freudian
At the age of 25, Erikson received an offer to teach at a small school in Vienna that hadbeen established for the children of Sigmund Freud’s patients and friends. Freud wasattracting patients from all over the world. Being wealthy, they moved to Vienna withtheir families for the duration of their psychoanalysis. Erikson later confessed that hewas drawn to Freud in part because of his search for a father. It was then that Erikson’sprofessional career began and that he felt he had finally found an identity.
He trained in psychoanalysis and was analyzed by Anna Freud. The analytic ses-sions were held almost daily for 3 years, for a fee of $7 a month. Anna Freud, unlikeher father, was interested in the psychoanalysis of children. Her influence, plus Erik-son’s own classroom teaching experiences, made him aware of the importance of socialinfluences on personality and led him to also focus on child development. After hecompleted his program of study, he became a member of the Vienna PsychoanalyticInstitute.
Three Marriages and a Stable Foundation
In 1929, at a masquerade ball in Vienna, Erikson met Joan Serson, a Canadian-born art-ist and dancer who had been analyzed by one of Freud’s disciples. They fell in love, butwhen she became pregnant, Erikson refused to marry her. He told her that he was afraidto make a permanent commitment and that his mother and stepfather would notapprove of a daughter-in-law who was not Jewish. Only the intercession of friends per-suaded him that if he did not marry Joan, he would be repeating the behavior pattern ofthe man who had fathered him, and condemning his child to the stigma of illegitimacy,which Erikson himself felt so keenly.
When he finally decided to marry Joan, he did so three times, in separate Jewish,Protestant, and civil ceremonies. Joan arrived at the synagogue for the Jewish ceremonycarrying a bag that reeked of pork and bacon, strongly forbidden foods, while Erik forgotthe wedding ring. A biographer remarked that the wedding was both a comedy of errorsand a mockery of the strict Jewish customs followed by his mother and stepfather (Fried-man, 1999). Joan abandoned her own career to become Erikson’s lifelong intellectualpartner and editor. She provided a stable social and emotional foundation for his lifeand helped him develop his approach to personality. Erikson’s half-sister commentedthat “he would have been nothing without Joan” (quoted in Friedman, 1999, p. 86). Erik-son agreed.
Coming to America
In 1933, recognizing the growing Nazi menace, the Eriksons immigrated to Denmarkand then to the United States, settling in Boston. Erikson established a private
Chapter 6: Erik Erikson: Identity Theory 161
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psychoanalytic practice specializing in the treatment of children. He also worked at aguidance center for emotionally disturbed delinquents and served on the staff of Massa-chusetts General Hospital.
Erikson began graduate work at Harvard, intending to get a Ph.D. in psychology, buthe failed his first course and dropped out of school. In 1936, with no academic degree,he was invited to the Institute of Human Relations at Yale, where he taught in the medi-cal school and continued his psychoanalytic work with children. Erikson and a Yaleanthropologist collaborated on a study of the child-rearing practices of South Dakota’sSioux Indians.
This research reinforced his belief in the influence of culture on childhood. Eriksoncontinued to expand on his ideas at the Institute of Human Development of the Uni-versity of California at Berkeley. Unlike many psychoanalysts, Erikson wanted his clin-ical experience to be as broad as possible, so he looked for patients from diversecultures and saw those he considered normal as well as those who were emotionallydisturbed.
Honors and Accolades—but No Identity
In his observations of American Indians in South Dakota and in California, Eriksonnoted certain psychological symptoms that could not be explained by orthodox Freudiantheory. The symptoms appeared to be related to a sense of alienation from cultural tradi-tions and resulted in the lack of a clear self-image or self-identity. This phenomenon,which Erikson initially called identity confusion, was similar to the condition he hadobserved among emotionally disturbed veterans after World War II.
Erikson suggested that those men were not suffering from repressed conflicts butrather from confusion brought about by traumatic war experiences and by being tempo-rarily uprooted from their culture. He had described the veterans’ situation as a confu-sion of identity about whom and what they were.
In 1950, Erikson joined the Austen Riggs Center in Stockbridge, Massachusetts, whichwas a treatment facility for emotionally disturbed adolescents. Ten years later hereturned to Harvard to teach a graduate seminar and a popular undergraduate courseon the human life cycle, retiring in 1970.
At the age of 84, Erikson published a book about old age. Even after a lifetime ofaccomplishments, honors, and accolades, however, his daughter wrote that he still feltdisappointed with what he had achieved. “It was still a source of shame to this celebratedman that he had been an illegitimate child” (Bloland, 2005, p. 51).
LOG ON
Erik EriksonVarious sites provide biographical information, discussions of his theory, research on rel-evant concepts, and links to other resources.
Psychosocial Stages of Personality Development
Erikson divided the growth of the personality into eight psychosocial stages. The firstfour are similar to Freud’s oral, anal, phallic, and latency stages. The major differencebetween their theories is that Erikson emphasized psychosocial correlates, whereasFreud focused on biological factors.
psychosocial stages ofdevelopment ToErikson, eight succes-sive stages encom-passing the life span.At each stage, we mustcope with a crisis ineither an adaptive or amaladaptive way.
162 The Life-Span Approach
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The Role of Genetics and the Environment
Erikson suggested that the developmental process was governed by what he called theepigenetic principle of maturation. By this he meant that inherited forces are the deter-mining characteristics of the developmental stages. The prefix epi means “upon”; there-fore, development depends on genetic factors.
However, it is the social and environmental forces to which we are exposed that con-trol the ways in which the genetically predetermined stages of development are realized.Thus, our personality development is affected by both biological and social factors.
Conflicts and Crises
In Erikson’s theory, human development involves a series of personal conflicts. Thepotential for these conflicts exists at birth as innate predispositions, each of which willbecome prominent at different stages when our environment demands certain adapta-tions. Each confrontation with our environment is called a crisis. The crisis involves ashift in perspective, requiring us to refocus our instinctual energy in accordance withthe needs of each stage of the life cycle.
Each developmental stage has its particular crisis or turning point that necessitatessome change in our behavior and personality. We may respond to the crisis in one oftwo ways: a maladaptive (negative) way or an adaptive (positive) way. Only when wehave resolved each conflict can the personality continue its normal developmentalsequence and acquire the strength to confront the next stage’s crisis. If the conflict atany stage remains unresolved, we are less likely to be able to adapt to later problems.A successful outcome is still possible, but it will be more difficult to achieve.
Adaptive Coping
Erikson believed that the ego must incorporate both maladaptive as well as adaptive waysof coping. For example, in infancy, the first stage of psychosocial development, we canrespond to the crisis of helplessness and dependency by developing a sense of trust or asense of mistrust.
Trust, the more adaptive, desirable way of coping, is obviously the healthier psycho-logical attitude. Yet each of us must also develop some degree of mistrust as a form ofprotection. If we are totally trusting and gullible, we will be vulnerable to other people’sattempts to deceive, mislead, or manipulate us.
Ideally, at every stage of development the ego will consist primarily of the positive oradaptive attitude but will be balanced by some portion of the negative attitude. Onlythen can the crisis be considered satisfactorily resolved.
Basic Strengths
Erikson also proposed that each of the eight psychosocial stages provides an opportunityto develop our basic strengths. These strengths, or virtues, emerge once the crisis hasbeen resolved satisfactorily. He suggested that basic strengths are interdependent in thatone strength cannot develop until the strength associated with the previous stage hasbeen confirmed (see Table 6.1).
Trust versus Mistrust
Erikson’s oral-sensory stage of psychosocial development, paralleling Freud’s oral stage,occurs during our first year of life, the time of our greatest helplessness. The infant istotally dependent on the mother or primary caregiver for survival, security, and affection.
epigenetic principle ofmaturation The ideathat human develop-ment is governed bya sequence of stagesthat depend on geneticor hereditary factors.
crisis To Erikson, theturning point faced ateach developmentalstage.
basic strengths ToErikson, motivatingcharacteristics andbeliefs that derive fromthe satisfactory reso-lution of the crisis ateach developmentalstage.
Chapter 6: Erik Erikson: Identity Theory 163
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During this stage, the mouth is of vital importance. Erikson wrote that the infant “livesthrough, and loves with, [the] mouth” (1959, p. 57). However, the relationship betweenthe infant and the world is not exclusively biological. It is also social. The baby’s interac-tion with the mother determines whether an attitude of trust or mistrust for future deal-ings with the environment will be incorporated into his or her personality.
It’s up to the Mother If the mother responds appropriately to the baby’s physicalneeds and provides ample affection, love, and security, then infants will develop a senseof trust, an attitude that will characterize the growing child’s view of themselves andothers. In this way, we learn to expect “consistency, continuity, and sameness” fromother people and situations in our environment (Erikson, 1950, p. 247). Erikson saidthat this expectation provides the beginning of our ego identity.
On the other hand, if the mother is rejecting, inattentive, or inconsistent in herbehavior, infants may develop an attitude of mistrust and will become suspicious, fearful,and anxious. According to Erikson, mistrust can also occur if the mother does not dis-play an exclusive focus on the child. Erikson argued that a new mother who resumes ajob outside the home and leaves her infant in the care of relatives or in a day care centerrisks promoting mistrust in the child.
Trust Can Be Lost Later in Life Although the pattern of trust or mistrust as adimension of personality is set in infancy, the problem may reappear at a later develop-mental stage. For example, an ideal infant–mother relationship produces a high level oftrust, but this can be destroyed if the mother dies or leaves home. If that occurs, mistrustmay overtake the personality. Childhood mistrust can be altered later in life through thecompanionship of a loving and patient teacher or friend.
Hope The basic strength of hope is associated with the successful resolution of the cri-sis during the oral-sensory stage. Erikson described this strength as the belief that ourdesires will be satisfied. Hope involves a persistent feeling of confidence, a feeling wewill maintain despite temporary setbacks or reverses.
Autonomy versus Doubt and Shame
During the muscular-anal stage at the second and third years of life, corresponding toFreud’s anal stage, children rapidly develop a variety of physical and mental abilities
TABLE 6.1 Erikson’s stages of psychosocial development and basic strengths
STAGE AGESADAPTIVE VS. MALADAPTIVEWAYS OF COPING
BASICSTRENGTH
Oral-sensory Birth–1 Trust vs. mistrust Hope
Muscular-anal 1–3 Autonomy vs. doubt, shame Will
Locomotor-genital 3–5 Initiative vs. guilt Purpose
Latency 6–11 Industriousness vs. inferiority Competence
Adolescence 12–18 Identity cohesion vs. role confusion Fidelity
Young adulthood 18–35 Intimacy vs. isolation Love
Adulthood 35–55 Generativity vs. stagnation Care
Maturity—old age 55+ years Ego integrity vs. despair Wisdom
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and are able to do many things for themselves. They learn to communicate more effec-tively and to walk, climb, push, pull, and hold on to an object or let it go. Children takepride in these skills and usually want to do as much as possible for themselves.
Of all these abilities, Erikson believed the most important involved holding on andletting go. He considered these to be prototypes for reacting to later conflicts in beha-viors and attitudes. For example, holding on can be displayed in a loving way or in ahostile way. Letting go can become a venting of destructive rage or a relaxed passivity.
Choice The most important point about this stage is that for the first time childrenare able to exercise some choice, to experience the power of their autonomous will.Although still dependent on their parents, they begin to see themselves as persons intheir own right and want to exercise their newfound strengths. The key questionbecomes how much will society, in the form of parents, allow children to express them-selves and do all they are capable of doing?
The Toilet Training Crisis The major crisis between parent and child at this stagetypically involves toilet training, seen as the first instance when society attempts to reg-ulate an instinctual need. The child is taught to hold on and let go only at appropriatetimes and places. Parents may permit the child to proceed with toilet training at his orher own pace or may become annoyed. In the latter case, parents may deny the child’sfree will by forcing the training, showing impatience and anger when the child doesnot behave correctly. When parents thus frustrate their child’s attempt to exerciseindependence, the child develops feelings of self-doubt and a sense of shame in dealingwith others. Although the anal region is the focus of this stage because of the toilettraining crisis, you can see that the expression of the conflict is more psychosocial thanbiological.
Will The basic strength that develops from autonomy is will, which involves a deter-mination to exercise freedom of choice and self-restraint in the face of society’s demands.
Initiative versus Guilt
The locomotor-genital stage, which occurs between ages 3 and 5, is similar to the phallicstage in Freud’s system. Motor and mental abilities are continuing to develop, and chil-dren can accomplish more on their own. They express a strong desire to take the initia-tive in many activities.
The Oedipal Relationship One initiative that may develop is in the form of fantasies,manifested in the desire to possess the parent of the opposite sex and establish a rivalry withthe parent of the same sex. How will the parents react to these self-initiated activities andfantasies? If they punish the child and otherwise inhibit these displays of initiative, thechild will develop persistent guilt feelings that will affect self-directed activities throughoutthe person’s life.
In the Oedipal relationship, the child inevitably fails, but if the parents guide this sit-uation with love and understanding, then the child will acquire an awareness of what ispermissible behavior and what is not. The child’s initiative can be channeled toward real-istic and socially sanctioned goals in preparation for the development of adult responsi-bility and morality. In Freudian terms, we would call this the superego.
Purpose The basic strength called purpose arises from initiative. Purpose involves thecourage to envision and pursue goals.
Chapter 6: Erik Erikson: Identity Theory 165
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Industriousness versus Inferiority
Erikson’s latency stage of psychosocial development, which occurs from ages 6 to 11,corresponds to Freud’s latency period. The child begins school and is exposed to newsocial influences. Ideally, both at home and at school, the child learns good work andstudy habits, which Erikson referred to as industriousness, primarily as a means of get-ting praise and satisfaction from successfully completing a task.
Developing New Skills The child’s growing powers of deductive reasoning and theability to play by rules lead to the deliberate refinement of the skills displayed in buildingthings. Here Erikson’s ideas reflected the sex stereotypes of the period in which he pro-posed his theory. In his view, boys will build tree houses and model airplanes, whereasgirls will cook and sew.
Whatever the activities associated with this age, however, the children are makingserious attempts to complete a task by applying concentrated attention, diligence, andpersistence. In Erikson’s words, “The basic skills of technology are developed as thechild becomes ready to handle the utensils, the tools, and the weapons used by the bigpeople” (1959, p. 83).
The attitudes and behaviors of parents and teachers largely determine how well childrenperceive themselves to be developing and using their skills. If children are scolded, ridiculed,or rejected, they are likely to develop feelings of inferiority and inadequacy. Praise and rein-forcement foster feelings of competence and encourage continued striving.
Competence The basic strength that emerges from industriousness during the latencystage is competence. It involves the exertion of skill and intelligence in pursuing andcompleting tasks.
The Final Four Developmental Stages The outcome of the crisis at each of thefirst four childhood stages depends on other people. The resolution is a function moreof what is done to children than of what they can do for themselves. Although children
Children take pride indeveloping new skillsand abilities.
ImageSource/JupiterImages
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experience increasing independence from birth to age 11, their development remainsmostly under the influence of parents and teachers, who are typically the most significantpeople in their lives at this time.
In the last four stages of psychosocial development, we have increasing control overour environment. We consciously and deliberately choose our friends, colleges, careers,spouses, and leisure activities. However, these deliberate choices are obviously affectedby the personality characteristics that have developed during the stages from birth toadolescence. Whether our ego at that point shows primarily trust, autonomy, initiative,and industriousness, or mistrust, doubt, guilt, and inferiority, will determine the courseof the rest of our lives.
Identity Cohesion versus Role Confusion
Adolescence, between ages 12 and 18, is the stage at which we must meet and resolve thecrisis of our basic ego identity. This is when we form our self-image, the integration ofour ideas about ourselves and about what others think of us. If this process is resolvedsatisfactorily, the result is a consistent and congruent picture.
Shaping an identity and accepting it are difficult tasks, often filled with anxiety. Ado-lescents experiment with different roles and ideologies, trying to determine the mostcompatible fit. Erikson suggested that adolescence was a hiatus between childhood andadulthood, a necessary psychological moratorium to give the person time and energy toplay different roles and live with different self-images.
The Identity Crisis People who emerge from this stage with a strong sense of self-identity are equipped to face adulthood with certainty and confidence. Those who fail toachieve a cohesive identity—who experience what Erikson called an identity crisis—willexhibit a confusion of roles. They do not know who or what they are, where they belong,or where they want to go.
They may withdraw from the normal life sequence (education, job, marriage) as Eriksondid for a time or seek a negative identity in crime or drugs. Even a negative identity, as soci-ety defines it, is preferable to no identity at all, although it is not as satisfactory as a positiveidentity.
Erikson noted the strong impact of peer groups on the development of ego identity inadolescence. He noted that excessive association with fanatical groups and cults, orobsessive identification with icons of popular culture, could restrict the developing ego.
Fidelity The basic strength that should develop during adolescence is fidelity, whichemerges from a cohesive ego identity. Fidelity encompasses sincerity, genuineness, anda sense of duty in our relationships with other people.
Intimacy versus Isolation
Erikson considered young adulthood to be a longer stage than the previous ones, extend-ing from the end of adolescence to about the age of 35. During this period we establishour independence from our parents and quasi-parental institutions, such as college, andbegin to function more autonomously as mature, responsible adults. We undertake someform of productive work and establish intimate relationships, typically close friendshipsand sexual unions.
Caring and Commitment In Erikson’s view, intimacy was not restricted to sexualrelationships but also encompassed feelings of caring and commitment. These emotionscould be displayed openly without resorting to self-protective or defensive mechanisms
ego identity The self-image formed duringadolescence that inte-grates our ideas ofwhat we are and whatwe want to be.
identity crisis The fail-ure to achieve egoidentity duringadolescence.
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and without fear of losing our sense of self-identity. We can merge our identity withsomeone else’s without submerging or losing it in the process.
People who are unable to establish such intimacies in young adulthood will developfeelings of isolation. They avoid social contacts, reject other people, and may evenbecome aggressive toward them. They prefer to be alone because they fear intimacy asa threat to their ego identity.
Love The basic strength that emerges from the intimacy of the young adult years islove, which Erikson considered to be the greatest of all human virtues. He described itas a mutual devotion in a shared identity, the fusing of oneself with another person.
Generativity versus Stagnation
Adulthood, approximately ages 35–55, is a stage of maturity in which we need to beactively involved in teaching and guiding the next generation. This need extendsbeyond our immediate family. In Erikson’s view, our concern becomes broader and more
Adolescents whoexperience an identitycrisis do not seem toknow where theybelong or what theywant to become.
Anthony
Redpath/Comet/Corbis
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long-range, involving future generations and the kind of society in which they will live.One need not be a parent in order to be able to display generativity, nor does havingchildren automatically satisfy this urge.
Erikson believed that all institutions—whether business, government, social service, oracademic—provide opportunities for us to express generativity. Thus, in whatever orga-nizations or activities we are involved, we can usually find a way to become a mentor,teacher, or guide to younger people for the betterment of society at large.
When middle-aged people cannot or will not find an outlet for generativity, theymay become overwhelmed by “stagnation, boredom, and interpersonal impoverishment”(Erikson, 1968, p. 138). Erikson’s depiction of these emotional difficulties in middle ageis similar to Jung’s description of the midlife crisis. These people may regress to a stageof pseudo-intimacy, indulging themselves in childlike ways. And they may become phys-ical or psychological invalids because of their absorption with their own needs andcomforts.
Care Care is the basic strength that emerges from generativity in adulthood. Eriksondefined care as a broad concern for others and believed it was manifested in the need toteach, not only to help others but also to fulfill one’s identity.
Ego Integrity versus Despair
During the final stage of psychosocial development, maturity and old age, we are con-fronted with a choice between ego integrity and despair. These attitudes govern the waywe evaluate our whole life. Our major endeavors are at or nearing completion. We exam-ine and reflect on life, taking its final measure. If we look back with a sense of fulfillmentand satisfaction, believing we have coped with life’s victories and failures, then we aresaid to possess ego integrity
Simply stated, ego integrity involves accepting one’s place and one’s past. If we reviewour life with a sense of frustration, angry about missed opportunities and regretful ofmistakes that cannot be rectified, then we will feel despair. We become disgusted withourselves, contemptuous of others, and bitter over what might have been.
Erikson’s Own Final Stage At 84, Erikson reported the results of a long-term studyof 29 people in their 80s on whom life-history data had been collected since 1928. Thebook, Vital Involvement in Old Age, indicates in its title Erikson’s prescription for achiev-ing ego integrity (Erikson, Erikson, & Kivnick, 1986).
Older people must do more than reflect on the past. They must remain active, vitalparticipants in life, seeking challenge and stimulation from their environment. Theymust involve themselves in such activities as grandparenting, returning to school, anddeveloping new skills and interests. As an older person himself, Erikson said that gener-ativity (the focus of mature adulthood) was even more important than he had thoughtwhen he was first developing his theory. “Much of the despair [of older people] is infact a continuing sense of stagnation” (quoted in Cheng, 2009, p. 45). Generativity,developed in the seventh stage of life, may be the most important factor contributing toego integrity in the eighth and final stage.
Wisdom The basic strength associated with this final developmental stage is wisdom.Deriving from ego integrity, wisdom is expressed in a detached concern with the wholeof life. It is conveyed to succeeding generations in an integration of experience bestdescribed by the word heritage.
Chapter 6: Erik Erikson: Identity Theory 169
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Basic Weaknesses
Similar to the way basic strengths arise at each stage of psychosocial development, somay basic weaknesses. We saw earlier that the adaptive and maladaptive ways of copingwith the crisis at each stage of life are incorporated into the ego identity in a kind ofcreative balance. Although the ego should consist primarily of the adaptive attitude, itwill also contain a share of the negative attitude.
Maladaptive and Malignant Conditions
In an unbalanced development, the ego consists solely of one attitude, either theadaptive or the maladaptive one. Erikson labeled this condition maldevelopment.When only the positive, adaptive, tendency is present in the ego, the condition issaid to be “maladaptive.” When only the negative tendency is present, the conditionis called “malignant.” Maladaptions can lead to neuroses; malignancies can lead topsychoses.
Erikson believed that both conditions could be corrected through psychotherapy.Maladaptions, which are the less severe disturbances, can also be relieved through a pro-cess of re-adaptation, aided by environmental changes, supportive social relationships, orsuccessful adaptation at a later developmental stage. Table 6.2 lists the maldevelopmentalcharacteristics for each of the eight stages.
Questions about Human Nature
A personality theorist who delineates basic human strengths presents an optimistic viewof human nature. Erikson believed that although not everyone is successful in attaininghope, purpose, wisdom, and the other virtues, we all have the potential to do so. Nothingin our nature prevents it. Nor must we inevitably suffer conflict, anxiety, and neurosisbecause of instinctual biological forces.
Erikson’s theory allows for optimism because each stage of psychosocial growth,although centered on a crisis, offers the possibility of a positive outcome. We are capableof resolving each situation in a way that is both adaptive and strengthening. Even if wefail at one stage and develop a maladaptive response or a basic weakness, there is hopefor change at a later stage.
He believed that we have the potential to consciously direct and shape our growththroughout our lives. We are not exclusively products of childhood experiences.Although we have little control over life during the first four developmental stages, wegain increasing independence and the ability to choose ways of responding to crisesand society’s demands. Childhood influences are important, but events at later stagescan counteract unfortunate early experiences.
Erikson’s theory is only partially deterministic. During the first four stages, the experi-ences to which we are exposed through parents, teachers, peer groups, and variousopportunities are largely beyond our control. We have more chance to exercise free willduring the last four stages, although the attitudes and strengths we have formed duringthe earlier stages will affect our choices.
In general, Erikson believed that personality is affected more by learning and experi-ence than by heredity. Psychosocial experiences, not instinctual biological forces, are thegreater determinant. Our ultimate, overriding goal is to develop a positive ego identitythat incorporates all the basic strengths.
basic weaknessesMotivating character-istics that derive fromthe unsatisfactory res-olution of developmen-tal crises.
maldevelopment Acondition that occurswhen the ego consistssolely of a single wayof coping with conflict.
170 The Life-Span Approach
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Assessment in Erikson’s Theory
Erikson agreed with certain of Freud’s theoretical formulations, but he differed fromFreud in his methods of assessing personality. Erikson questioned the usefulness andeven the safety of some Freudian techniques, beginning with the psychoanalytic couch.
To Erikson, asking patients to lie on a couch could lead to sadistic exploitation, creat-ing an illusion of objectivity, overemphasizing unconscious material, and engenderingimpersonality and aloofness on the part of the therapist. To promote a more personalrelationship between therapist and patient and to ensure that they viewed each other asequals, Erikson preferred that patients and therapists face one another while seated incomfortable chairs.
In dealing with his patients, Erikson relied less on formal assessment techniques thanFreud. Erikson occasionally used free association but rarely attempted to analyze dreams,a technique he called wasteful and harmful. He believed that assessment techniques shouldbe selected and modified to fit the unique requirements of the individual patient.
Play Therapy
For work with emotionally disturbed children and in research on normal children andadolescents, Erikson chose play therapy. He provided a variety of toys and observedhow children interacted with them. The form and intensity of play revealed aspects of
TABLE 6.2 Erikson’s maldevelopmental tendencies
STAGE WAY OF COPING MALDEVELOPMENT
Oral-sensory Trust Sensory maladjustment
Mistrust Withdrawal
Muscular-anal Autonomy Shameless willfulness
Doubt, shame Compulsion
Locomotor-genital Initiative Ruthlessness
Guilt Inhibition
Latency Industriousness Narrow virtuosity
Inferiority Inertia
Adolescence Identity cohesion Fanaticism
Role confusion Repudiation
Young adulthood Intimacy Promiscuity
Isolation Exclusivity
Adulthood Generativity Overextension
Stagnation Rejectivity
Maturity and old age Ego integrity Presumption
Despair Disdain
Source: Adapted from Vital Involvement in Old Age, by Erik H. Erikson, Joan M. Erikson, and Helen Q.Kivnick by permission of W. W. Norton & Company, Inc. Copyright © 1986 by Joan M. Erikson, Erik H.Erikson, and Helen Kivnick.
Chapter 6: Erik Erikson: Identity Theory 171
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personality that might not be manifested verbally because of a child’s limited powers ofverbal expression.
In developing his personality theory, Erikson used data obtained primarily from playtherapy, anthropological studies, and psychohistorical analysis.
Psychohistorical Analysis
Erikson’s most unusual assessment technique is psychohistorical analysis. These analysesare essentially biographical studies. Erikson used the framework of his life-span theory ofpersonality to describe the crises and the ways of coping of significant political, religious,and literary figures, such as Gandhi, Martin Luther, and George Bernard Shaw.
Erikson’s psychohistories typically focus on a significant crisis, an episode that repre-sents a major life theme uniting past, present, and future activities. Using what he called“disciplined subjectivity,” Erikson adopted the subject’s viewpoint as his own to assesslife events through that person’s eyes.
Psychological Tests
Although Erikson did not use psychological tests for personality assessment, severalinstruments were developed later based on his formulations. The Ego-Identity Scale isdesigned to measure the development of ego identity during adolescence (Dignan,1965). The Ego Identity Process Questionnaire, also for adolescents, contains 32 itemsto measure the dimensions of exploration and commitment (Balistreri, Busch-Rossnagel, & Geisinger, 1995). The Loyola Generativity Scale (see Table 6.3) is a 20-item self-report inventory to measure the level of generativity or stagnation in adulthood(McAdams & de St. Aubin, 1992).
Research on Erikson’s Theory
Erikson’s primary research method was the case study. By now you are familiar with theweaknesses of this method—the difficulty of duplicating and verifying case material—butyou also know that much useful information can be obtained through this technique.Erikson argued that case histories yield many insights into personality development andcan help resolve a patient’s problems.
Play Constructions
Erikson used play therapy to conduct research on his theory, focusing on what he calledplay constructions. In one study, boys and girls, ages 10 to 12, were asked to construct ascene from an imaginary movie using dolls, toy animals, toy cars, and wooden blocks.The girls tended to build static, peaceful scenes that contained low, enclosed structures.Intruders (animal figures or male figures, never female figures) tried to force their wayinto the interiors. By contrast, the boys focused on exteriors, action, and height. Theircreations tended to be actionoriented, with tall towering structures and cars and peoplein motion (see Figure 6.1).
Trained as an orthodox Freudian, Erikson interpreted these play constructions alongstandard psychoanalytic lines. He wrote:
Sexual differences in the organization of a play space seem to parallel the morphology of geni-tal differentiation itself: in the male, an external organ, erectable and intrusive in character …in the female, internal organs, with vestibular access, leading to a statically expectant ova.(Erikson, 1968, p. 271)
psychohistoricalanalysis The applica-tion of Erikson’s life-span theory, along withpsychoanalytic princi-ples, to the study ofhistorical figures.
play constructions Apersonality assess-ment technique forchildren in whichstructures assembledfrom dolls, blocks, andother toys areanalyzed.
172 The Life-Span Approach
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In other words, based on the determining effect of biological differences, girls wouldbuild low enclosures in which people are walled in, and boys would build towers.
Erikson has been criticized for this view, which suggests that women are victimsof their anatomy and that their personalities are determined by the absence of a penis.Erikson admitted that differences in play constructions could also result from societalsex-role training, in which girls are less oriented toward action, aggression, and achieve-ment than boys are.
Gender Preferences for Toys More than 50 years after Erikson’s research on playconstructions, traditional gender stereotyping with regard to toys and play behaviors per-sists. Most children still prefer gender-based toys. Boys typically play with trucks, sol-diers, and guns. Girls typically play with dolls, jewelry, and toy kitchen implements.
A study of 2- to 4-year-olds found that boys played more with a toy train than with adoll, whereas girls chose to play with the doll and not the train (Wong & Hines, 2014).Similar results occurred with college students. Men were attracted to a so-called boy’stoy, a model fighter jet plane, but only when it was painted blue; they rejected the objectwhen it was painted pink, a traditional “girls” color (Dinella, Devita, & Weisgram, 2013).
The same kind of gender preference was found with a group of 10- to 11-year-oldswho were asked to choose software for computer-based problems. Boys chose the soft-ware labeled “Pirates,” whereas girls chose the one labeled “Princesses” (Joiner, 1998).
The Role of Parents in Determining Gender Preferences for Toys These pat-terns of toy preferences are still taught and encouraged by some parents, who purchasemost of their young children’s toys. Parents praise children for playing with the appro-priate gender-typed toy and discourage them from playing with toys intended for theother sex. The message is learned quickly. One psychologist observed a boy who “hadbeen playing with a race car and its driver when the driver’s helmet fell off revealinglong blond hair. The driver was a woman. The boy dropped the race car like it was ahot potato” (Martin, 1999, p. 49).
Fathers treat boys and girls in a more stereotypical way than mothers do. Therefore, itis primarily the fathers who teach and reinforce gender-based play. They also instructtheir sons and daughters in other gender-typed behaviors and attitudes. Fathers tend to
TABLE 6.3 Examples of items from a scale to measure generativity
Do these apply to any middle-aged people you know?
1. I try to pass along to others the knowledge I have gained through my experiences.2. I do not believe that other people need me.3. I believe I have made a difference in the lives of other people.4. Other people say I am a productive person.5. I believe I have done nothing that will survive after I die.6. People come to me for advice.7. I believe that society cannot be responsible for providing sustenance and shelter for all
homeless people.8. I have important skills that I try to teach others.9. I do not like to do volunteer work for charities.10. Throughout my life I have made and kept many commitments to people, groups, and activities.
Source: Adapted from D. P. McAdams & E. de St. Aubin. (1992). A theory of generativity and its assessmentthrough self-report, behavioral acts, and narrative themes in autobiography. Journal of Personality and SocialPsychology, 62, 1003–1015.
Chapter 6: Erik Erikson: Identity Theory 173
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encourage and reward passive, compliant behaviors in girls and assertive, aggressivebehaviors in boys (Quiery, 1998).
Trust and Security Erikson emphasized the importance of developing an early senseof trust if we are to achieve feelings of security and well-being later in life. This positionhas received strong research support (see, for example, Jacobson & Wille, 1986; Londer-ville & Main, 1981; Sroufe, Fox, & Pancake, 1983).
Studies of infants aged 12 to 18 months old showed that those who had a strong emo-tional bond with their mothers (therefore presumed to be high in trust) functioned,when observed 3 years later, at a higher social and emotional level than infants whoseattachment to their mothers was less secure.
Children with a well-developed sense of trust were also more curious, sociable, andpopular. They were more likely to be leaders at games and showed greater sensitivity tothe needs and feelings of others. Those low in trust were more withdrawn socially andemotionally, reluctant to play with other children, less curious, and less forceful in pur-suing goals.
A study of survivors of the Holocaust who were interviewed 30 to 40 years after theend of World War II (1945) showed that they had dealt successfully with all of Erikson’sproposed psychosocial stages except the first: trust versus mistrust. Their view of other
FIGURE 6.1Play constructions cre-ated by boys (top) andgirls (bottom).
Source: Redrawn from Childhood and Society, 2nd ed., by Erik H. Erikson, by permission of W. W. Norton &Company, Inc. Copyright 1950, © 1963 by W. W. Norton & Company, Inc. Copyright renewed 1978, 1991 byErik H. Erikson, and reprinted by permission of The Random House Group Limited.
174 The Life-Span Approach
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people included significantly more mistrust than trust (Suedfeld, Soriano, McMurtry,Paterson, Weiszbeck, & Krell, 2005).
However, the fact that they were able to cope with the later developmental crises con-firms Erikson’s notion that positive events at later stages can counteract or overcomenegative early experiences.
The Psychosocial Stages
When children aged 4, 8, and 11 were asked to make up stories based on several testpictures, their stories were analyzed to determine which psychosocial stage they reflected.The results supported the themes proposed in Erikson’s theory. For example, the storiesof the 4-year-olds concerned autonomy (the stage just completed). Similarly, the storiesof the older children reflected their developmental stages (Ciaccio, 1971).
Psychohistorical analysis of the diaries, letters, and novels of Vera Brittain (1893–1970), a well-known British feminist and writer, from age 21 into middle age, showedan initial concern with ego identity. This changed over time to a concern with inti-macy and then generativity, exactly as Erikson’s theory predicted (Peterson & Stewart,1990).
Adaptive and Maladaptive Development A study using the Inventory of Psycho-social Development, a test designed to assess adaptive and maladaptive development inErikson’s first six stages, found a significant relationship between happiness and adaptivedevelopment at each stage (Constantinople, 1969). Another study showed a high correla-tion between maladaptive development in the first six stages and a sense of alienationand uprootedness (Reimanis, 1974).
These findings support Erikson’s work as does a study of adults ages 18 to 25 inCanada, which found that the period of emerging adulthood was a time of increased psy-chological well-being (Galambos, Barker, & Krahn, 2006).
The Effects of Growing Up Psychologists tested Erikson’s belief that positive out-comes in resolving the identity crisis are related to positive outcomes at prior develop-mental stages (Waterman, Buebel, & Waterman, 1970). Adolescents who developed trust,autonomy, initiative, and industriousness (adaptive ways of coping) in the first fourstages of psychosocial development displayed a high level of identity cohesion ratherthan role confusion. Adolescents who had not resolved their identity crisis and whoexperienced role confusion had not developed adaptive ways of coping in the earlierstages.
Three groups of men in Canada (ages 19–25, 35–55, and 65–87) were asked to takeself-report measures of identity, self-worth, and psychological distress. The results con-firmed Erikson’s theory. The younger men experienced the highest levels of distresswhile the older men had the lowest rates of distress. This is in line with Erikson’s viewthat “the older the individual, the better one is able to cope with life’s challenges due toexposure and resolution of earlier psychological dilemmas” (Beaumont & Zukanovic,2005, p. 77).
When adults in Britain ages 62 to 89 were asked to recall memories from earliertimes, the results supported the psychosocial developmental stages. Memories of theirfirst decade of life focused on issues of trust, autonomy, initiative, and industry. Memo-ries of their second decade (ages 11–20) dealt with identity issues, whereas memoriesfrom young adulthood centered on intimacy. Thus, recollections of each succeedingperiod centered on those situations Erikson foresaw as crucial to development in thosestages (Conway & Holmes, 2004).
Chapter 6: Erik Erikson: Identity Theory 175
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Adolescent Development
An extensive research program on the adolescent stage of development identified fivepsychosocial types, or statuses, for that period (Marcia, 1966, 1980). These are identityachievement, moratorium, foreclosure, identity diffusion, and alienated achievement.
Identity Achievement Identity achievement describes adolescents who are commit-ted to occupational and ideological choices. A study of college students found a positivecorrelation between achieved identity status and objective measures of commitment(Streitmatter, 1993). These students had developed a strong ego identity.
They were stable, concerned with realistic goals, and able to cope with changing envi-ronmental demands. They performed better on difficult tasks than adolescents experienc-ing role confusion. These stable adolescents majored in more difficult areas in college,attracted to courses in engineering and the physical sciences (Marcia & Friedman,1970).
Male and female teens who reached the identity status earlier in adolescence werefound to be more likely to have a stable intimate romantic relationship in their twenties(Beyers & Seiffge-Krenke, 2010). They were also less likely to engage in binge drinking,illegal drug use, and high-risk sexual behaviors than those who had not achieved identitystatus (Schwartz et al., 2010).
Studies of American, Chinese, and Turkish high school and college students foundthat the identity achievement status correlated highly with self-esteem, positive forms ofcoping, psychological well-being, and a stronger sense of self. It represented the mostpsychologically and socially mature identity status (Cakir, 2014; Ickes, Park, & Johnson,2012; Markstrom & Marshall, 2007; Meuss, 2011; Wang, Shi, & Chen, 2010). A large-scale research program including more than 120 studies found that identity achievementstatus rose over late adolescence and young adulthood, in line with Erikson’s theory(Kroger, Martinussen, & Marcia, 2010).
There is also evidence that adolescents who thought seriously about what they wantedto do with their lives, and so were more likely to achieve an identity, had parents whoprovided direction and control in a loving and caring way, in contrast to parents whowere either too permissive or too authoritarian (Berzonsky, 2004). This was also foundin a study of Iranian college students. Those least likely to reach identity achievementhad parents who were either too authoritarian or too permissive in their child-rearingbehavior (Mohammadi, 2013).
Moratorium Moratorium, the second adolescent status, describes people who are stillundergoing their identity crisis. Their occupational and ideological commitments arevague. They hold ambivalent views toward authority figures, alternately rebelling andneeding guidance from them. Their behavior ranges from indecisive to active and creative,and they score high in anxiety (Blustein, Devenis, & Kidney, 1989; Lillevoll, Kroger, &Martinussen, 2013; Podd, Marcia, & Rubin, 1968). They also tend to daydream, believein supernatural phenomena, and enjoy behaving childishly (Bilsker & Marcia, 1991).
Foreclosure Foreclosure describes adolescents who have not yet experienced an iden-tity crisis but who express commitment to an occupation and an ideology. However,these commitments often have been determined for them by their parents and do notresult from the adolescents’ deliberate choice. These teens tend to be rigid and authori-tarian and have difficulty coping with change (Marcia, 1967). Those in the foreclosurestatus tend to be achievement-oriented, but they focus their energy toward externalrather than internal goals (Stephen, Fraser, & Marcia, 1992).
176 The Life-Span Approach
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Identity Diffusion The identity diffusion status characterizes people who have nooccupational or ideological commitments in adolescence and who may not have experi-enced an identity crisis. Their chosen lifestyle may actively reject any kind of commit-ments and in the extreme may result in aimless drifting and wandering, as Erikson didin his late teens. These adolescents have distant relationships with their parents, whomthey see as indifferent and rejecting (Waterman, 1982).
Studies of adolescents in Greece, Belgium, and the United States in the identity diffu-sion status showed that they ranked lower in psychological adjustment and subjectivewell-being and higher in unstable self-image and interpersonal relationships. They werealso more likely to engage in impulsive and self-destructive behavior, to show an exces-sive need for attention, and to have grandiose fantasies (Crawford, Cohen, Johnson,Sneed, & Brook, 2004; Luyckx, Goossens, Soenens, Beyers, & Vansteenkiste, 2005;Vleioras & Bosma, 2005).
Alienated Achievement The fifth and final status, alienated achievement, describesadolescents who have experienced an identity crisis, have no occupational goal, andcling to beliefs that are critical of the social and economic system. Their strong commit-ment to this rationale precludes any career that would entangle them in the very systemthey oppose. As students they tend to be cerebral, philosophical, and cynical (Marcia &Friedman, 1970; Orlofsky, Marcia, & Lesser, 1973).
Achieving an Integrated Ego Identity Four of these statuses, in the following order(identity diffusion, foreclosure, moratorium, and identity achievement), representincreasingly successful resolutions of the identity problem. Erikson predicted that peoplewho have achieved an integrated ego identity will have greater ego strength than thosewho are farther from resolving their identity dilemma. That prediction was supportedby research on college men (Bourne, 1978a, 1978b).
The Effect of Other Activities on Ego Identity A study of high school studentsfound that those who were more heavily involved in extracurricular and volunteer activitieswere higher in the ego strength of fidelity than were those not so involved (Markstrom, Li,Blackshire, & Wilfong, 2005). Similar results were found with physical activity and partici-pation in sports and exercise programs with both Japanese and American students. Themore time they devoted to those kinds of activities, the stronger was their sense of egoidentity (Fukama & Mizuochi, 2011; Jones, Dick, Coyl-Shepherd, & Ogletree, 2014).
Sex Differences in Ego Identity
Sex differences have been found in the resolution of the identity crisis. Men in one studyshowed a tendency toward separation and detachment from other people, whereaswomen showed a tendency toward connection and attachment to others (Mellor, 1989).Other studies support and extend that finding, showing that male identity focuses onindividual competence and knowledge, whereas female identity is more centered onrelating to others.
Therefore, when women establish an identity, they depend heavily on social rela-tionships. Men focus more on self and individual skills and abilities (Curry, 1998).Data from teenagers in the Netherlands also suggest that female adolescents form anidentity at an earlier age than male adolescents, but that most males achieve somelevel of identity by the end of the teen years (Klimstra, Hale, Raaijmakers, Branje, &Meeus, 2010).
Chapter 6: Erik Erikson: Identity Theory 177
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A Stressful Time to Search for Identity As you may well know, adolescence can bea turbulent and stressful period. Three key elements for this developmental stage havebeen identified.
• Conflict with parents, characterized by a forceful resistance to adult authority;• Mood disruption, characterized by a volatile emotional life, mood swings, and epi-
sodes of depression; and• Risky behaviors, characterized by reckless, rule-breaking, and antisocial behavior
that may harm themselves and others.
A study in which 155 adolescents kept diaries of their daily interactions over a 2-weekperiod showed that 31 percent of their interactions involved conflicts with other people.The teenage subjects reported that conflicts with their parents were more important tothem, and more emotionally intense, than were conflicts with their peers (Jensen-Campbell & Graziano, 2000).
Studies tracking individuals from childhood to adolescence found that many of thosewho experienced depression and other emotional problems during the teen years hadalso suffered some form of psychological distress as children. This suggests that difficul-ties reported in adolescence do not necessarily arise because of adolescence (Steinberg &Morris, 2001).
Virtual Identity Computer games and social media sites offer adolescents a unique,high-tech opportunity to do precisely what Erikson said was so necessary at that devel-opmental stage: to try different roles to see which offers the best fit. This is exemplifiedin the role-playing games such as Second Life (SL) and Dungeons and Dragons, whichallowed young people to take on fictional personas to act out complex fantasies.
HIGHLIGHTS: Research on Childhood and Adolescence
Children with a well-developed sense of trust tend to be:
• Well-developed socially and emotionally• Popular• High in curiosity• Sensitive to the needs and feelings of other people
Adolescence includes the following types or statuses:
• Identity achievement• Moratorium• Foreclosure• Identity diffusion• Alienated achievement
Adolescents high in identity achievement tend to:
• Have a strong sense of ego identity• Be concerned with realistic goals• Score high in self-esteem• Establish mature romantic relationships in young adulthood
178 The Life-Span Approach
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The word dungeon is part of a specialized computer vocabulary to denote a virtualplace. Virtual places shared by a number of computer users simultaneously are known asmulti-user dungeons or MUDs. MUDs allow a player to interact with others and also tobuild a personal virtual world whose imaginary characters interact with others.
Building a Persona Online Participants can play roles as like or unlike their realselves as they choose without revealing their real identity. “You can be whoever you wantto be,” one writer noted. “You can completely redefine yourself if you want” (Turkle, 1995,p. 184). That is precisely what Erikson urged us to do during adolescence, to experimentwith different identities.
A study of MUD players in Germany, average age 25, found that interpersonal attrac-tion among the players increased the longer they played, as did the intensity of theirsocial identification with the virtual community (Utz, 2003). The degree of identificationwith their virtual world was thought to be as intense and satisfying as identifying withthe real world (Calvert, Strouse, Strong, Huffaker, & Lai, 2009).
An online study of Second Life users suggested that they may not be creating entirelynew “second lives” online as much as they are bringing portions of their own real, offlinelives into their online presentations of themselves. In other words, they are not present-ing totally fictional or imaginary personas online but projecting at least portions of theirreal lives into the situation (Linares, Subrahmanyam, Cheng, & Guan, 2011).
Advantages and Disadvantages of an Online Persona Research has found thatdisclosing too much personal information online can lead some teenagers to an extendedperiod of adolescence, delaying the construction of a sound ego identity for themselves(Jordan-Conde, Menneckem, & Townsend, 2014).
A study of seventh to ninth graders found that those who had not yet developed asense of their true selves were prone to greater use of the social media than those whohad a stronger sense of self and personal identity (Israelashvili, Kim, & Bukobza, 2012).This can lead to the danger that a person could become so absorbed in a virtual identitythat it comes to replace the true developing self. Of course, that can also happen in thereal world when adopting a different persona.
Research in Australia demonstrated that children and adolescents who score high inloneliness and social anxiety were far more likely to communicate online with othersabout personal and intimate matters than children and adolescents who score lower inloneliness and anxiety (Bonetti, Campbell, & Gilmore, 2010).
Other data confirms that one’s personal home page plays an important and positiverole in identity formation. These researchers concluded: “Children who create personalhome pages have strong feelings of mastery and use personal home pages to expresswho they are in a way that may be more comfortable than telling people face-to-face”(Schmitt, Dayanim, & Matthias, 2008, p. 504).
Gender and Ego Identity
Effects of Social Forces over Time Erikson believed that social and historical factorsaffect the formation of ego identity, which in turn affects the nature of the personality.The women’s movement of the 1960s and 1970s provided a real-world laboratory inwhich to test the effects of those changing social forces. Specifically, psychologists askedwhether women then at the adolescent stage of psychosocial development, the time ofstriving for an ego identity, were more influenced by the women’s movement thanwomen who were older at that time. It was assumed that the identity of the olderwomen had already been formed.
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Two major studies answered “yes.” Both studied women who had graduated from col-lege during the 1940s to the mid-1960s. Data were gathered from interviews, question-naires, and self-report personality tests. Women attending college when the women’smovement began were found to have greater aspirations. They valued their independencemore than did the older women and eventually attained higher levels of education, jobstatus, and income. They were more assertive and self-confident in middle age thanwomen who had passed through the adolescent stage before the advent of the women’smovement (Duncan & Agronick, 1995; Helson, Stewart, & Ostrove, 1995).
Effects of a Career Orientation One legacy of the women’s movement was thatmore adolescent women included a career orientation as part of their ego identity. Thisviewpoint has been found to affect dating behavior as well as age at the time of marriage.Questionnaire studies of several hundred women college students revealed that thosewho are career-oriented tended to marry later in life. They dated less while in collegeand were more wary of committed relationships.
The same study found the opposite situation for men. Questionnaire results for col-lege men revealed that the stronger their career identity, the more committed they wereto a dating relationship. Indeed, they were unlikely to become involved in a dating rela-tionship until they felt a definite commitment to an occupation.
Differences in Emotional Life over Time Additional longitudinal research studiedwomen who graduated from college in the 1960s and the men they married. It focusedon changes in their emotional life over time, specifically,
• Changes in positive emotionality (PEM), defined as an active, happy involvement inone’s work and social environments, and
• Negative emotionality (NEM), characterized by feelings of stress, anxiety, anger, andother negative emotions.
Measures of these two factors, taken at various ages from the late 20s to the middle50s, showed that in young adulthood women tended to score higher on NEM than didtheir husbands and to score higher on PEM in late middle age. These findings indicatedthat women showed greater feelings of social power, accomplishment, and breadth ofinterest, along with reduced stress and alienation, once the period of child rearingended. Thus, social factors were seen to influence the affective dimension of ego identity(Helson & Klohnen, 1998).
Adjustment to Changing Demands Erikson defined identity consolidation as theprocess of dealing successfully with the social realities of adult life. This involves makingadjustments to the changing demands of our social world. He believed that identity con-solidation usually occurs during the 20s, as people assume adult responsibilities of mar-riage, family, and career. A study of women college graduates evaluated at ages 21 and 27found that those who ranked high in ego resiliency and had found an identity in mar-riage were higher in identity consolidation than those who did not meet these criteria(Pals, 1999).
A study of women ages 22 to 60 found a positive relationship between their readinessand willingness to change, and changes in their identity commitment at different devel-opmental stages. Looking ahead and contemplating life changes was positively linked tothe likelihood of exploring a different identity later in life (Anthis & LaVoie, 2006).
Some women must also deal with changing physical realities of adult life, such asbody image in breast cancer patients after surgery. A study of these women in Britain
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found that the alteration of body image led to an identity crisis that was difficult toresolve (Piot-Ziegler, Sassi, Raffoul, & Delaloye, 2010).
The Identity Crisis Erikson suggested that the identity crisis began around age12 and was resolved, one way or another, by approximately age 18. However, forsome people the identity crisis may not occur until later. In one study, up to 30percent of the people studied were still searching for an identity as late as age 24(Archer, 1982).
Also, college may delay the resolution of the identity crisis and prolong the periodduring which young adults experiment with different roles and ideologies (Cote &Levine, 1988). When college students were compared with people of the same age whoheld full-time jobs, it was found that employed persons had achieved ego identity at anearlier age than students had. The students remained longer in the moratorium status(Adams & Fitch, 1982).
Additional research suggests that the construction of a person’s identity may even bea continuing process that occurs over the entire life span (McAdams, 2001). A large-scalestudy of adolescents in India found that the girls were higher in ego identity than wereboys (Janarthanam & Gnanadevan, 2014).
Generativity
Antecedents of Generativity Generativity in middle age appears to be significantlyrelated to having experienced warm, affectionate parenting in childhood (Franz, McClel-land, & Weinberger, 1991). Research supports the importance of both the mother andfather to a child’s emotional well-being. Middle-aged adults who scored high in genera-tivity tended to believe in the goodness and worth of human life and to feel happier andmore satisfied with their own life than did people who scored low in generativity (McA-dams & de St. Aubin, 1992; Van de Water & McAdams, 1989).
When a group of men and women were asked to describe the major themes of theirlives, those who had previously scored high on the Loyola Generativity Scale revealeddifferent issues from those who scored low. Common themes of the high scorersincluded some event of good fortune in their early lives, sensitivity to the suffering ofothers, a stable personal belief system, and clear goals for themselves and for society.Low scorers did not record any of these themes (McAdams, Diamond, de St. Aubin, &Mansfield, 1997).
A group of middle-aged adults were asked to write accounts of personally meaningfulepisodes from their past, including events that were high points, low points, and turningpoints. Those who scored high in generativity were far more likely to describe scenes inwhich a negative life experience had been transformed into a positive redemptive experi-ence. Those who scored low in generativity tended to describe the opposite, in which apositive life experience had been transformed into a negative life event (McAdams,Reynolds, Lewis, Patten, & Bowman, 2001).
When a group of college students were studied 20 years later and again 30 years later,it was found that most of those who were slow to reach ego identity in their youngeryears were able to catch up by middle age and reach the stage of generativity(Whitbourne, Sneed, & Sayer (2009).
Correlates of Generativity Research on the adulthood stage of psychosocial develop-ment has shown that generativity in middle age is positively correlated with power andwith intimacy motivation (McAdams, Ruetzel, & Foley, 1986). Thus, as Erikson’s theorypredicts, generativity evokes the needs to feel close to others and to feel strong in relation
Chapter 6: Erik Erikson: Identity Theory 181
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to them. Another study associated generativity with nurturance (Van de Water & McAdams,1989). All these are necessary characteristics for teaching and mentoring the next generation,which is the adaptive way of coping in midlife according to Erikson.
The Benefits of Generativity People high in generativity have scored higher onextraversion, self-esteem, conscientiousness, altruism, competence, dutifulness, andopenness to new experiences than people low in generativity (Cox, Wilt, Olson, &McAdams, 2010; Peterson, Smirles, & Wentworth, 1997; Van Hiel, Mervielde, & DeFruyt, 2006). Those high in generativity are also more likely to be involved in satisfyingsocial relationships, to feel attached to their community, and to be more emotionallystable (McAdams, Hart, & Maruna, 1998). In addition, those high in generativity aremore likely to have successful marriages, greater success at work, and more closefriendships. They display more altruistic behavior than those who score low on gener-ativity (Westermeyer, 2004).
A strong positive association has also been found between generativity and psycholog-ical well-being. This held for people at midlife who did not have children as well as forthose who were parents. This relationship between generativity and well-being was high-est among people who reported satisfaction and success from their job and career, how-ever, rather than satisfaction and success as a parent (Clark & Arnold, 2008; Rothrauff &Cooney, 2008).
Generativity in Women Two longitudinal studies of college-educated women testedat intervals from ages 31 to 48 found that those who were high in generativity at midlifescored significantly higher in emotional well-being than those low in generativity (Van-dewater, Ostrove, & Stewart, 1997). Another longitudinal study of college-educatedwomen found that those who valued social recognition and achievement had more fullydeveloped identities in their 40s, and were significantly higher in generativity, than thosewho did not value social recognition and achievement (Helson & Srivastava, 2001).
Additional research on college-educated women in their 40s found that, as Eriksonpredicted, generativity was higher during that stage of life than it was when the womenwere in their 20s. However, this study also reported, contrary to Erikson’s view, that thelevel of generativity remained at the same level in these women well into their 60s(Zucker, Ostrove, & Stewart, 2002).
In a related study, college-educated women who scored high in generativity at age 43maintained that level 10 years later. They also demonstrated a higher level of care-givingto their aging parents and reported a higher level of care for their spouses and childrenthan women scoring low in generativity at age 43 (Peterson, 2002).
The Effect of Technology on Generativity Large-scale technological changes mayhave a negative impact on the attitude of younger generations toward their elders, whichmay prevent useful mentoring activities from occurring. Research in Hong Kong found amarked decrease in generativity among those older people who felt out of touch with thedevelopments in modern technology. They felt obsolete with regard to the use of the Inter-net and social media and so were unable to relate to and mentor younger generations. Theycame to believe they were not valued or respected, which led to a disengagement from gen-erative goals and behaviors (Cheng, 2009).
Maturity
Reflecting on Our Lives Erikson believed that people in the maturity and old age stageof psychosocial development spend time recalling and examining their lives, accepting orregretting past choices. A study of older psychologists found that most of their memories
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were of college and early adult years, the period involving the greatest number of criticaldecisions that affected the course of their lives (Mackavey, Malley, & Stewart, 1991).
Other research found that elderly subjects who scored high in ego integrity devoted farmore time to reviewing their lives to resolve troubling issues and come to a better under-standing of their circumstances than those who scored low in ego integrity (Taft &Nehrke, 1990). A study of people over the age of 65 in Portugal confirmed that reminisc-ing about their past lives brought on a feeling of ego integrity as well as psychologicalwell-being (Alfonso, Bueno, Loureiro, & Pereira, 2011).
Studies of adults in their 50s and 60s found that, as Erikson predicted, acknowledgingregrets and missed opportunities related directly to their degree of life satisfaction andphysical health for both men and women (Torges, Stewart, & Duncan, 2008; Torges, Stew-art, & Miner-Rubino, 2005). Other research on people between the ages of 60 and 69 foundan increased awareness of mortality, a downsizing of goals and life activities and, for many,a continuing struggle with ego integrity (Robinson & Stell, 2014).
Concern with Ego Integrity A study in Belgium of adults in their 60s and 70s foundthat the achievement of ego integrity was linked to high feelings of subjective well-being,positive psychological health, a lower fear of death, and less bitterness and resentment(Van Hiel & VanSteenkiste, 2009).
A comparison of the younger and older stages of the life span in a sample of adultsages 17–82 found that older people were far more concerned with generativity and ego
HIGHLIGHTS: Research on Ego Identity
Establishing a virtual identity online:
• Allows you to try on different identities• Can be as satisfying as establishing an identity in the real world• Can play both a positive and a negative role in identify formation• May be used more by people who are lonely and socially anxious
Formation of ego identity in women:
• Was influenced (for those at the time) by the women’s movement of the1960s and 1970s
• Is more influenced by career concerns• Is linked to the willingness to change• May be affected by changes in body image
People high in generativity tend to be:
• Happy and satisfied with their lives, and successful in their marriages andcareers
• Extraverted, conscientious, and open to new experiences• High in self-esteem
People high in ego integrity:
• Spend quality time examining their past• Can acknowledge regrets and missed opportunities• Have few feelings of bitterness and resentment
Chapter 6: Erik Erikson: Identity Theory 183
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integrity, and less concerned with ego identity, than were younger people. These find-ings support Erikson’s views. The results also found a significant positive correlationbetween age and subjective well-being; in general, older people were happier thanyounger people (Sheldon & Kasser, 2001). A study of men and women in Australiaages 55 to 93 showed that continued involvement in family and community activitiesled to continued feelings of generativity well into old age (Warburton, McLaughlin, &Pinsker, 2006).
When younger adults (ages 25–35) were compared with older adults (ages 60–85),there were no significant differences between the groups in reported frequency of lifereflections. However, the reasons for reflecting on life events did differ. Younger peopleengaged in reflection to gain self-insight and find solutions to current problems. Olderpeople reflected on their past to evaluate their lives and achieve a sense of ego integrity(Staudinger, 2001a, 2001b).
Gender Differences in Aging Gender differences in aging may make it more diffi-cult for women than for men to engage in a dispassionate process of reflection, or takingstock of life, such as Erikson described. This was demonstrated in research involvingadults in their 60s. Men reported much higher levels of identity, certainty, confidence,and power than women did (Miner-Rubino, Winter, & Stewart, 2004).
The so-called double standard in society considers aging as more negative forwomen and sees women as “old” at an earlier age than men. For example, whereas a50-year-old male actor may still be offered powerful movie roles, a 50-year-old femaleactor is often stereotyped as a widow or grandmother, if she is offered movie rolesat all.
In addition, women tend to live longer than men, so they are more likely to have todeal with issues of illness and incapacity, bereavement, loss of social support, andreduced income. This may contribute to the observation that women’s retrospectivereviews of their lives are often less positive than those of men and more likely to leadto the condition Erikson noted as despair in later years, rather than ego integrity(Rainey, 1998).
Racial and Ethnic Identity
One aspect of ego development not considered by Erikson is the impact of racial identityand its positive benefits.
Benefits of Racial Identity Research on this topic consistently shows the importanceof developing and maintaining a racial or ethnic identity for minority groups. Denyingone’s racial identity can be stressful (see, for example, Franklin-Jackson & Carter, 2007).Many studies of Latino, Asian, and Black teenagers in the United States, Hong Kong,and Canada show clearly that a strong ethnic identity is related to psychological well-being, high self-esteem, strong social bonds, satisfaction with life, and good academicmotivation (Chae & Foley, 2010; Kiang, Witkow, Baldomar, & Fuligni, 2010; Lam &Tam, 2011; Lee & Lee, 2014; Smith & Silva, 2011; Usborne & Taylor, 2010; Whittaker& Neville, 2010; Yap, Settles, & Pratt-Hyatt, 2011).
Research involving Black adolescents showed clear, consistent, and strong relation-ships between racial identity and psychological health. Those who scored high on racialidentity were also high in subjective well-being, life satisfaction, and self-esteem. Theywere also less likely to have mental health problems, including anxiety and depression(Constantine, Alleyne, Wallace, & Franklin-Jackson, 2006; Cross, Grant, & Ventunaec,2012; Pillay, 2005).
184 The Life-Span Approach
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A study of Black, Asian, and biracial teens found that self-esteem was highest amongBlacks and lowest among Asians. The self-esteem of the biracial adolescents was signifi-cantly lower than for Blacks and significantly higher than for Asians (Bracey, Bamaca, &Umana-Taylor, 2004). Thus, racial identity appeared to be a stronger and more importantfactor for self-esteem among Black adolescents than among biracial or Asian adolescents.
Group esteem (that is, how people feel about being members of their racial or ethnicgroup) has been shown to increase in African-American and Latino-American teenagersduring the period of early and middle adolescence. Group esteem among White studentsremained stable, measuring high at both the beginning and the end of the period studied(French, Seidman, Allen, & Aber, 2006).
Other research found that Black adolescents high in ethnic identity expressed more neg-ative attitudes toward drugs and more positive attitudes toward school, which were relatedto positive behaviors at school. However, those who scored high on a measure of anti-White attitudes were far more likely to use drugs, have negative attitudes toward school,and misbehave at school (Resnicow, Soler, Braithwaite, Ben Selassie, & Smith, 1999).
Students who experienced more racism reported higher stress and lower psychologicalfunctioning than those who experienced little or no racism (Bynum, Burton, & Best,2007). Another study of Black adolescents found that, in addition to ethnic identity, gen-der identity also assumes a greater importance as they got older. Those who were high inboth racial and gender identity scored high in mental health and adjustment to school(Rogers, 2013).
Research on teenagers in the United States who had been born in Mexico found thatthose who had a more traditional and easily recognizable Latino appearance were higherin racial identity (Santos & Updegraff, 2014).
Women and Racial Identity A study of Black and Hispanic women found thatidentity confusion (a conflict in identity between one’s minority culture and the majorityculture) may lead to eating disorders. Identification with a North American model ofbeauty that emphasizes extreme thinness created in some women a tendency to exhibitdisorders such as anorexia. The researchers suggested that this condition resulted fromattempts to emulate the appearance standards of the ideal woman of the majorityWhite culture (Harris & Kuba, 1997).
Racial Identity and Ego Identity Studies of Asian-American and Hispanic-American adolescents confirm that ethnicity is central to forming an ego identity. A strongethnic identity was associated with high self-esteem and with better peer and family rela-tions (Phinney & Chavira, 1992). A study of Hispanic-American teens found that thosewho attended predominantly White schools reported significantly higher levels of ethnicidentity than those who attended more ethnically balanced schools (Umana-Taylor,2004). Other research found that a strong ethnic identity commitment among Latinosserved as a buffer or protector against stress and also enhanced subjective well-being andacademic achievement (Chang & Le, 2010; French & Chavez, 2010; Torres & Ong, 2010).
Young Asian Americans with high ethnic identity showed stronger resistance todrinking alcoholic beverages and smoking marijuana than Asian Americans with ahigher degree of assimilation into the majority culture (Suinn, 1999). Similar resultswere found in young Hispanic adolescents in immigrant families (Schwartz, Mason,Pantin, & Szapocznik, 2008).
In Canada, among those adolescents identified as members of the First Nation(Indians), those who identified more strongly with their own culture scored higher on mea-sures of identity strength than those who considered themselves bicultural (Gfellner &Armstrong, 2012).
Chapter 6: Erik Erikson: Identity Theory 185
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Stages of Developing Racial Identity One model of ethnic identity for African-American adolescents is the Revised Racial Identity Model proposed by William Cross.He published the 64-item Cross Racial Identity Scale to measure the developmentalstages of his model. Research has shown the scale to be a valid test of ethnic identity(Vandiver, Cross, Worrell, & Fhagen-Smith, 2002). Cross posits four stages in the devel-opment of a psychologically healthy Black identity (Cokley, 2002): Pre-encounter,Encounter, Immersion-Emersion, and Internalization.
The pre-encounter stage includes three identity clusters. The pre-encounter assimila-tion identity contains little racial awareness or racial identity. The pre-encounter mised-ucation identity internalizes negative stereotypes about being Black. The pre-encounterself-hatred identity involves holding highly negative views about Blacks, resulting inanti-Black and self-hating attitudes.
In the encounter stage the person is subjected to racism or discrimination, whichcauses a shift in the adolescent’s worldview.
The immersion-emersion stage proposes two identities. The immersion-emersionintense Black involvement identity celebrates everything Black as good anddesirable. The immersion-emersion anti-White identity views everything White as eviland wrong.
The internalization stage also consists of two identities. One is Black nationalism,which adheres to a pro-Black Afrocentric perspective, whereas the multiculturalist inclu-sive identity embraces not only a Black identity but also other types of ethnic, racial, andgender identity.
A study of Black men (average age 20) showed that those in the pre-encounter stageof their ethnic identity reported significantly less self-esteem, greater psychologicaldistress, and lower psychological well-being than those in the internalization stage(Pierre & Mahalik, 2005). And a study of Black college students found that as racialidentity proceeded from the earliest through the more mature stages of this model, thelevel of defense mechanisms changed from the least sophisticated and immature defensesto more mature ones. This is what could be predicted as a person’s racial identitybecomes more fully developed (Nghe & Mahalik, 2001).
The importance of this kind of minority ego identity development model lies in therecognition of ethnic identity as a vital component of ego identity and in the suggestionthat ethnic identity develops over a series of stages, similar to the concept of Erikson’spsychosocial stages. As we noted, Erikson did not deal directly with the concept of ethnicidentity, but this model adheres to the same developmental pattern he proposed.
Gender Preference Identity
Another aspect of ego identity not considered directly by Erikson is gender preferenceidentity, which may affect overall ego identity and vary as a function of ethnic identity.For example, a study of White, Black, and Hispanic children (average age 11) found thatthe Black and Hispanic children reported far more pressure for gender conformity thandid White children (Corby, Hodges, & Perry, 2007).
Stages of Identity Researchers have proposed that lesbian, gay, bisexual, and trans-gender (LGBT) identity develops over a series of stages, similar to the way Eriksonexplained the development of ego identity or ethnic identity. One model lists four stagesin the development of gender preference identity (Frable, 1997).
1. Sensitization. This stage, which occurs prior to adolescence, refers to one’s initialperception of being different from peers of the same sex.
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2. Identity confusion. This adolescent stage is marked by the confusing, perhapsfrightening, realization that one’s feelings and thoughts could be characterized ashomosexual.
3. Identity assumption. During this stage the person comes to believe that he or she ishomosexual and begins to accept the beginnings of a gay identity.
4. Commitment. In this stage the person fully accepts the gay identity as a way of life.
Consequences of Gay Identity Even though there has been greater acceptance ofpeople with transgender identities, they often have to confront significant challenges intheir everyday lives. In general, those with nontraditional gender preference identitiesexperience higher levels of stress, depression, suicide, feelings of failure and guilt,and physical and mental health problems (Blosnich, Brown, Shipherd, Kauth, Piegeri,& Bossarte, 2013; Budge, Adelson, & Howard, 2013; Glicksman, 2013; Liu, Rochlen, &Mohr, 2005).
They are also subject to bullying, harassment, and discrimination, particularly inschool, which can affect emotional well-being as well as school grades. However, seeingother students intervene to stop such harassment can soften the impact and encourageother students to also intervene. Having strong social support from family and friendscan greatly reduce the effects of harassment (Wernick, Kulick, & Inglehart, 2014).
Coming out, or identifying themselves publicly, and expressing pride in their identitywith no desire to alter or conceal it results in higher scores on measures of mental andemotional well-being (Bockting, 2014). These people were found to experience higherself-esteem and lower levels of depression than those who had not announced their iden-tity (Frable, 1997; Kosciw, Palmen, & Kull, 2014).
A study of male inmates in a medium-security prison found that those whose person-ality style included a strong need for personal relationships had less gender role conflict.“This need for others may override their homophobia or fear of appearing feminine” in aculture such as prison, which typically dictates a wariness of forming close relationshipswith other inmates. Those whose personalities showed less need for personal contact hadgreater gender role conflict about homosexual tendencies (Schwartz, Buboltz, Seemann,& Flye, 2004, p. 63).
HIGHLIGHTS: Research on Erikson’s Ideas
People of ethnic minorities who score high in ethnic and racial identity tendto:
• Score high in subjective well-being and self-esteem• Have less positive attitudes toward illegal drugs• Get along well with family and peers• Perform better in school• Experience less stress
Gender preference research shows that:
• Black and Hispanic children feel great pressure to conform to gender roles• Conflicts over gender preference are related to low self-esteem, guilt, and
stress• Those high in gay identity show high self-esteem and no desire to change
Chapter 6: Erik Erikson: Identity Theory 187
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Reflections on Erikson’s Theory
Contributions and Criticisms
Erikson’s substantial contributions to psychology include the recognition that personalitycontinues to develop throughout the life span, the concept of the identity crisis in ado-lescence, and the incorporation in his theory of the impact of cultural, social, and histor-ical forces. However, his system does not lack critics. Some point to ambiguous termsand concepts, conclusions drawn in the absence of supporting data, and an overall lackof precision (Rosenthal, Gurney, & Moore, 1981; Waterman, 1982).
Erikson agreed that these charges were valid and blamed them on his artistic temper-ament and lack of formal training in science. He wrote, “I came to psychology from art,which may explain, if not justify, the fact that at times the reader will find me paintingcontexts and backgrounds where he would rather have me point to facts and concepts”(Erikson, 1950, p. 13).
A more specific criticism relates to the incomplete description of the developmentalstage of maturity, which Erikson attempted to correct in his 1986 book, Vital Involve-ment in Old Age. (Erikson et al., 1986). Also, some psychologists question whether per-sonality development after age 55 is likely to be as positive as Erikson suggested with hisconcept of ego integrity. For many people, this stage of life is characterized by pain, loss,and depression, even for people who develop the basic strength of wisdom.
Erikson’s position on sex differences, as revealed in his interpretation of the play-constructions research, has also come under attack. What he saw as biologically baseddifferences in personality for boys and girls, emerging from the presence or absence ofa penis, could as well be cultural differences or the result of sex-role training. Eriksonlater admitted these possibilities.
Erikson’s developmental stages may not be applicable to women. When social psychol-ogist Carol Tavris read Erikson’s description of his so-called stages of man, she wrote, “Itwas worrying. I wasn’t having any of my crises in the right order…. My identity wasshaky, although I was no longer a teenager, and I hadn’t married when I was supposedto, which was putting my intimacy and generativity crises on hold” (Tavris, 1992, p. 37).
Some critics charge that Erikson’s personality theory does not apply to people inreduced economic circumstances who cannot afford a moratorium in adolescence toexplore different roles and develop an ego identity. This stage may be a luxury availableonly to those with the means to attend college or take time out to travel, as Erikson didfor seven years trying to find himself (Slugoski & Ginsburg, 1989).
Erikson showed little interest in responding to his critics. He recognized that there aremany ways of describing personality development and that no single view was adequate.His influence grew through his books and the work of succeeding generations of psy-chologists, psychiatrists, teachers, and counselors who found in his ideas useful ways todescribe personality development from infancy through old age.
Recognition and Influence
Erikson’s ideas have been recognized in both professional and popular circles. Time mag-azine called him the “most influential living psychoanalyst” (March 17, 1975), and Psy-chology Today described him as “an authentic intellectual hero” (Hall, 1983, p. 22). Hisconcepts are useful in education, social work, vocational and marriage counseling, andclinical practice with children and adolescents. His work “continues to prove meaningfulfor contemporary psychology and social thought” (Clark, 2010, p. 59). The EriksonInstitute for Early Childhood Education was established for graduate training in 1966 atChicago’s Loyola University.
188 The Life-Span Approach
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The field of life-span developmental psychology, which has seen a massive increase inresearch and theory in recent years, owes much of its spark to Erikson’s approach, asdoes the current interest in developmental problems of middle and old age. In addition,Erikson’s method of play therapy has become a standard diagnostic and therapeutic toolfor work with emotionally disturbed and abused children. Youngsters who cannot ver-balize the details of a physical or sexual attack can express their feelings through play,using dolls to represent themselves and their abusers.
Chapter Summary
Erikson suffered several personal identity crises anddeveloped a personality theory in which the searchfor identity plays a major role. He built on Freud’s the-ory by elaborating on the developmental stages,emphasizing the ego over the id, and recognizing theimpact on personality of culture, society, and history.
The growth of personality is divided into eightstages. A conflict at each stage confronts the personwith adaptive and maladaptive ways of coping. Devel-opment is governed by the epigenetic principle; eachstage depends on genetic forces but the environmenthelps determine whether they are realized.
The oral-sensory stage (birth to age 1) can result in trustor mistrust. The muscular-anal stage (ages 1–3) leads to anautonomous will or to self-doubt. The locomotor-genitalstage (3–5) develops initiative or guilt. The latency stage(6–11) results in industriousness or inferiority.
Adolescence (12–18) is the stage in which the egoidentity is formed (the time of the identity crisis), leadingto identity cohesion or role confusion. Young adulthood(18–35) results in intimacy or isolation. Adulthood (35–55) leads to generativity or stagnation. Maturity (over 55)is expressed in ego integrity or despair.
Each stage allows for the development of basicstrengths that emerge from the adaptive ways of copingwith the conflicts. The basic strengths are hope, will,purpose, competence, fidelity, love, care, and wisdom.Maldevelopment can occur if the ego consists solely ofeither the adaptive or the maladaptive tendency.
Erikson presented a flattering, optimistic image ofhuman nature. We have the ability to achieve basic
strengths, to resolve each conflict in a positive way,and to consciously direct our growth. We are not vic-tims of biological forces or childhood experiences andare influenced more by learning and social interactionsthan by heredity.
Erikson’s assessment methods were play therapy,anthropological studies, and psychohistorical analysis.His research relied on case studies. There is consider-able research support for the first six stages of psycho-social development and for the concept of ego identity.However, the identity crisis may occur later thanErikson believed, and attending college may delay res-olution of the crisis.
Other research confirms the importance of develop-ing a sense of trust early in life and the benefits ofgenerativity in middle age. Among minority groupmembers, the formation of ethnic identity in adoles-cence may affect the development of ego identity andinfluence subsequent behavior.
The Cross Racial Identity Model describes fourstages in the development of a psychologically healthyadolescent Black identity. Gender preference identitymay also affect characteristics of ego identity. Peoplewho have conflicts about their gender preferenceappear to be less psychologically healthy than peoplewho experience no such conflicts.
Criticisms of Erikson’s theory focus on ambiguousterminology, incomplete descriptions of the psycho-social stages, and poorly supported claims of male-female personality differences based on biologicalfactors.
Review Questions
1. What identity crises did Erikson experience in hischildhood and adolescence? How were theyreflected in his theory?
2. In what ways does Erikson’s theory differ fromFreud’s?
3. What did Erikson mean by the concept of identityconfusion? What evidence did he find for it amongNative Americans and among combat veterans ofWorld War II?
Chapter 6: Erik Erikson: Identity Theory 189
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4. How does Erikson’s epigenetic principle of matu-ration account for the effects of both genetic andsocial factors on personality?
5. Describe the role of conflict in the stages of psy-chosocial development.
6. What are two ways of responding to the crisis thatdevelops at each stage of growth?
7. Describe the four childhood stages of psychosocialdevelopment.
8. Contrast identity cohesion and role confusion asadaptive versus maladaptive ways of coping duringadolescence.
9. What is the major difference between the first fourdevelopmental stages and the last four develop-mental stages?
10. What factors affect the development of ego iden-tity? Why do some people fail to achieve an iden-tity at this stage?
11. How can the conflicts of the adult stages of psy-chosocial development be resolved in positiveways?
12. Describe the concept of generativity and give anexample of how it can be achieved.
13. What are the two ways of adapting to maturity andold age? How can a person achieve the positiveway of adapting?
14. Describe the basic strengths at each stage of psy-chosocial development.
15. Distinguish between the two types of maldevelop-ment. How can these conditions be corrected?
16. How does Erikson’s image of human nature differfrom Freud’s?
17. What methods of assessment did Erikson use indeveloping his theory?
18. Based on the results of his play-constructionsresearch, what did Erikson conclude about sexdifferences in personality? Do you agree with hisconclusion?
19. Describe research findings on the development ofego identity in adolescence and on generativity inmiddle age.
20. Discuss how the ethnic identity of ethnic-minorityadolescents can affect the formation of ego identityas well as subsequent attitudes and behavior.
21. How can online role-playing games help adoles-cents establish an ego identity?
22. In what ways do people high in generativity differfrom people low in generativity?
23. According to Erikson, what role did generativityplay in old age, the last stage of development?
24. What are the proposed stages for the developmentof gender preference identity?
25. What criticisms have been made of Erikson’sapproach to personality?
26. What is your opinion of Erikson’s theory relative tothe others you have studied so far in this course?
Suggested Readings
Erikson, E. H. (1950). Childhood and society. NewYork: Norton. A collection of essays covering child-rearing practices, family life, and social and culturalstructures, illustrating their relationship to person-ality development. The book was an instant successwith scholars and the general public.
Erikson, E. H. (1968). Identity: Youth and crisis. NewYork: Norton. Erikson’s classic work on the identitycrisis and ways of coping with conflict at this stageof development.
Erikson, E. H. (1987). A way of looking at things:Selected papers from 1930 to 1980. New York: Nor-ton. A collection of Erikson’s writings on children’splay constructions, adult dreams, cross-culturalresearch, and development over the life cycle. Editedby Stephen Schlein.
Erikson, E. H., Erikson, J. M., & Kivnick, H. Q. (1986).Vital involvement in old age. New York: Norton.
A sensitive psychosocial analysis of the need forstimulation and challenge in old age and apersonal perspective on Erikson as he approachedthe age of 90.
Evans, R. I. (1967). Dialogue with Erik Erikson. NewYork: Harper & Row. Conversations with Eriksonabout his life and work.
Friedman, L. J. (1999). Identity’s architect: A biographyof Erik H. Erikson. New York: Simon & Schuster. Asympathetic treatment showing how Erikson’s ideasof the identity crisis and the stages of the life cyclegrew out of his own complicated life.
Josselson, R. (1996). Revising herself: The story of women’sidentity from college to midlife. New York: OxfordUniversity Press. In an outgrowth of Erikson’s theory,this longitudinal account compiled from interviewstraces the cultural changes in women’s roles andidentities in the last third of the 20th century.
190 The Life-Span Approach
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The Genetics Approach
A trait is a distinguishing personal characteristic or quality. In our daily lives, weoften use trait names to describe the personalities of people we know. We tend toselect an outstanding characteristic or feature to summarize what we think a par-ticular person is like. We may say, “Kayla is very self-assured,” or “Ian is so com-petitive,” or “Brandi is really compulsive.”
Grouping people by traits is easy and has a commonsense appeal to it, whichmay explain why the trait approach to personality has been popular for so long.Trait classifications date from the time of the Greek physician Hippocrates (460–377 B.C.), more than 2,000 years before the theories described in this book.Hippocrates distinguished four types of people: happy, unhappy, temperamental,and apathetic. The causes of these different types were internal bodily fluids, or“humors.” He believed that these personality traits were constitutionally based,determined by biological functioning rather than by experience or learning.
In the 1940s, an American physician William Sheldon (1899–1977) offered apersonality typology based on body build (see Figure 7.1). He proposed threebody types, each associated with a different temperament (Sheldon, 1942). Likethe approach taken by Hippocrates, Sheldon’s work considered personality traitsor characteristics to be largely fixed, that is, constant and unvarying regardless ofthe situations in which we find ourselves.
The trait approach to personality begun by Gordon Allport decades ago hasbecome central to the study of personality today, as we shall see in this and thenext chapter.
EndomorphicSociable,relaxed,affectionate,even-tempered
MesomorphicEnergetic,competitive,aggressive,bold
EctomorphicInhibited,apprehensive,intellectual,introverted,self-conscious
FIGURE 7.1The body types andpersonality characteris-tics proposed bySheldon has not beensupported by research,but his work shows an-other attempt to classifypersonality according totraits.
191
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chapter 7Gordon Allport:Motivation andPersonality
As the individual matures,the bond with the past isbroken.
—Gordon Allport
Allport Brings Personality into the
Classroom and the Psychology LabAllport Challenges FreudAllport Makes Each Person Unique
The Life of Allport (1897–1967)Restrictions, Morality, and No Bright ColorsIsolation and RejectionInferiorityCollege YearsAllport Meets FreudBecoming a Success
The Nature of PersonalityThe Roles of Heredity and EnvironmentTwo Distinct Personalities for Two Stages
of Life
Personality TraitsPersonal Dispositions
Motivation: What We Strive forFunctional Autonomy
Personality Development in Childhood:
The Unique SelfStages of Development
The Importance of the Infant–MotherBond
The Healthy Adult Personality
Questions about Human Nature
Assessment in Allport’s TheoryThe Personal-Document TechniqueThe Study of Values
Research on Allport’s TheoryExpressive BehaviorCultural Differences in Facial
ExpressionsComputer Recognition of Facial
Expressions
Reflections on Allport’s TheoryQuestions and CriticismsRecognition and Influence
Chapter Summary
Review Questions
Suggested Readings
Allport Brings Personality into the Classroomand the Psychology Lab
During a career that spanned more than four decades, Gordon Allport made personalityan academically respectable topic. Psychoanalysis and the personality theories thatderived from it that we have discussed so far were not considered part of mainstreamscientific psychology.
The formal and systematic study of personality was not recognized by the psychol-ogy establishment until Allport published Personality: A Psychological Interpretation in1937. The book was an immediate success and became a classic in the study of person-ality. Thus, Allport served two purposes: He helped bring personality into the main-stream, and he formulated a theory of personality development in which traits play aprominent role.
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Allport Challenges Freud
Allport challenged Freud’s psychoanalysis on several points. First, Allport did not acceptthe notion that unconscious forces dominate the personality of normal mature adults. Heargued that emotionally healthy people function rationally and consciously, aware and incontrol of many of the forces that motivate them. According to Allport, the unconsciousis important only in the behavior of neurotic or disturbed people.
Second, with regard to historical determinism—the importance of the past in deter-mining the present—Allport said that we are not prisoners of childhood conflicts andpast experiences, as Freud believed. Instead, we are guided more by the present and byour view of the future. Allport wrote that people are “busy leading their lives intothe future, whereas psychology, for the most part, is busy tracing them into the past”(Allport, 1955, p. 51).
Third, Allport opposed collecting data from abnormal personalities. Whereas Freudsaw a continuum between the normal and abnormal, Allport saw a clear distinction. ToAllport, the abnormal personality functioned at an infantile level.
The only proper way to study personality, he believed, was to collect data from emotion-ally healthy adults. Other populations, such as neurotics, children, and animals, should notbe compared with normal adults. No functional similarity in personality existed betweenchild and adult, abnormal and normal, or animal and human, as far as he was concerned.
Allport Makes Each Person Unique
Another distinguishing feature of Allport’s theory is his emphasis on the uniqueness of per-sonality as defined by each person’s traits. He opposed the traditional scientific emphasis onforming general constructs or laws to be applied universally. He argued that personality isnot general or universal but is particular and specific to the individual.
The Life of Allport (1897–1967)
Restrictions, Morality, and No Bright Colors
Born in Montezuma, Indiana, Allport was the youngest of four sons. His mother was ateacher, and his father was a salesman who decided to become a doctor. They were in suchdire financial circumstances while the elder Allport attended medical school in Baltimore thathe smuggled drugs from Canada into the United States and sold them to support the family.
When the law came knocking on the front door, he skipped out the back and escapedover a fence. He took the family to Indiana and opened a private practice in whichAllport believed his own birth was his father’s first case.
The devout religious beliefs and practices of Allport’s mother dominated the house-hold. No smoking, drinking, dancing, or card playing were allowed, nor could a familymember wear bright colors, distinctive clothing, or jewelry of any kind. Allport wrotethat his mother was “on the severe side with a strong sense of right and wrong andquite strict in her moral ideals” (quoted in Nicholson, 2003, p. 17).
Isolation and Rejection
Too young to be a playmate to his older brothers, Allport was isolated from childrenoutside the family as well. “I fashioned my own circle of activities,” he wrote later. “Itwas a select circle, for I never fitted the general boy assembly” (Allport, 1967, p. 4).
“I suffered agonies on the playground. I never really got on with my brothers. Theydidn’t like me and they weren’t kind and I couldn’t possibly compete with them. Theywere all a little more masculine in type than I was” (quoted in Nicholson, 2003, p. 25).
194 The Genetics Approach
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He described himself as skillful with words but not good at sports or games and as some-one who worked hard to be the center of attention of the few friends he did have.
In Allport’s personality theory, one of the major propositions is that psychologicallyhealthy adults are unaffected by childhood events. Perhaps reflecting this belief, Allportrevealed very little about his childhood years. What he did tell, however, demonstrates aparallel between his own early experiences and the theory he later developed.
Inferiority
Arising from his childhood conditions of isolation and rejection, Allport developed inferi-ority feelings for which he attempted to compensate by striving to excel. He wrote aboutthe identity quest that resulted from his inferiority feelings with regard to his brothers andother children. As Allport grew older, he began to identify with his oldest brother, Floyd,envious of his brother’s accomplishments. Well into adulthood, Gordon Allport continuedto feel inferior compared to Floyd, whose achievements he tried to emulate. He followedFloyd to Harvard and earned a Ph.D. in psychology, just as Floyd had done.
Floyd became a notedsocial psychologist, and even when Gordon was becoming well knownhimself in the field, the feelings of being in his brother’s shadow persisted. At the age of 31, Gor-don wrote that he had “published several articles of no great importance and [was] not to beconfused with my more eminent brother” (quoted in Nicholson, 2003, pp. 168–169).
The attempt to emulate Floyd may have threatened Gordon’s sense of identity. Toassert his individuality, Gordon Allport may have been motivated to refute his identifica-tion with Floyd by declaring in his personality theory that his adult motives and interestswere independent of his childhood feelings. He later formalized this idea as the conceptof functional autonomy.
College Years
Although Allport ranked second in his high school graduating class of 100, he admittedto being uninspired about what to do next. At the end of the summer of 1915, he appliedto Harvard and was accepted. He wrote, “Overnight my world was remade.” Allport’scollege years were a great adventure for him as he discovered new frontiers of intellectand culture. But shocked by low grades on his first exams, he doubled his efforts andfinished the year with straight A’s.
Allport’s interest in social ethics and social service, acquired from his parents, wasreinforced at Harvard. He did volunteer work for a boy’s club, a group of factory work-ers, and a contingent of foreign students. He also worked as a probation officer. Hefound these activities satisfying because he genuinely liked to help people. “It gave me afeeling of competence, to offset a generalized inferiority feeling.” He believed this kind ofservice reflected his search for an identity (Allport, 1967, pp. 5–7).
He took several undergraduate courses in psychology but at that time did not intendto pursue a career in the field. He graduated in 1919 with a bachelor’s degree, on thesame day Floyd received his Ph.D. After graduation, Gordon spent a year on the facultyof Robert College in Istanbul, Turkey, and later accepted the fellowship Harvard offeredfor graduate study in psychology. His biographer noted, “The thought of becoming apsychologist and perhaps becoming more like his successful brother appealed to Allport”(Nicholson, 2003, p. 67).
Allport Meets Freud
On his return trip to the United States, Allport stopped in Vienna to see one of hisbrothers. While there, he sent a note to Sigmund Freud and received an invitation to
Chapter 7: Gordon Allport: Motivation and Personality 195
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visit the great man. When Allport entered Freud’s office, he found Freud waitingpatiently, expecting the young American to explain the purpose of his visit.
The awkward period of silence lengthened until an uncomfortable Allport, lookingdesperately for something to say, blurted out an account of an incident he had seen onthe streetcar ride to Freud’s office. He told of watching a small boy who had an obviousfear of dirt. Everything seemed dirty to the child. He even changed his seat, telling hismother not to let a dirty man sit beside him.
Freud studied the prim, proper, carefully groomed young man and asked, “Was thatlittle boy you?” By asking this question, Freud was expressing his belief that the storyAllport told betrayed his own unconscious fears and conflicts.
Allport appeared to Freud to be “neat, meticulous, orderly and punctual—possessingmany of the characteristics [he] associated … with the compulsive personality” (Pervin,1984, p. 267). Another psychologist commented that “Freud just hit [Allport] right onthe head, right on the nose” (quoted in Anderson, 1990, p. 326).
Allport was shaken by Freud’s question. For the rest of his life, Allport denied that he wasthe super-clean, proper little boy in the story but the incident clearly left a deep impression onhim. Years later he wrote, “My single encounter with Freud was traumatic” (Allport, 1967,p. 22). He suspected that psychoanalysis probed the unconscious too deeply, as Freud triedto do with him. Psychology, Allport decided, should pay more attention to conscious or visi-ble motivations. This was the path he chose for his study of personality.
Many years later, two American psychologists used this Freud story in a study, whichfound that the use of this kind of anecdote made classroom lectures, and presumablytextbooks as well, more enjoyable to students. As a result, they found that studentslearn and remember information better when it is presented in this kind of social andpersonal context (Kaufman & Bristol, 2001).
Becoming a Success
Allport completed his Ph.D. at Harvard in 1922, after two years of graduate study. His disser-tation, “An Experimental Study of the Traits of Personality,” foreshadowed his lifelong workand was the first research ever to be conducted on personality traits in the United States.Awarded a traveling fellowship, Allport spent two years studying with noted psychologists inGermany and England. He returned to Harvard as an instructor, offering a course on the psy-chological and social aspects of personality, which was apparently the first formal Americancollege course on the subject. He spent nearly four decades at Harvard, conducting researchon personality and social psychology and instructing several generations of students.
Considered an elder statesman in the field, Allport received many awards, including theAmerican Psychological Foundation’s Gold Medal, the American Psychological Associa-tion’s Distinguished Scientific Contribution Award, and the presidencies of the AmericanPsychological Association and the Society for the Psychological Study of Social Issues.
LOG ON
Gordon AllportVarious sites provide biographical information, discussions of his theory, research on rel-evant concepts, and links to other resources.
The Nature of Personality
In his book Pattern and Growth in Personality, Allport reviewed some 50 definitions ofpersonality before offering his own. “Personality is the dynamic organization within the
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individual of those psychophysical systems that determine … characteristic behavior andthought” (Allport, 1961, p. 28).
By dynamic organization, Allport means that although personality is constantlychanging and growing, the growth is organized, not random. Psychophysical means thatpersonality is composed of both mind and body functioning together as a unit. It is nei-ther all mental nor all biological.
By determine, Allport means that all facets of personality activate or direct specific beha-viors and thoughts. The phrase characteristic behavior and thought means that everythingwe think and do is characteristic, or typical, of us. Thus, each person is unique.
The Roles of Heredity and Environment
To support his emphasis on the uniqueness of the individual personality, Allport statedthat we reflect both our heredity and our environment. Heredity provides the personalitywith raw materials, such as physique, intelligence, and temperament, that may then beshaped, expanded, or limited by the conditions of our environment. In this way, Allportinvokes both personal and situational variables to indicate the importance of both genet-ics and learning.
However, our genetic background is responsible for the major portion of our unique-ness. An infinite number of possible genetic combinations exist, and, except for identicaltwins, the chance that someone else’s genetic endowment will be duplicated in any oneof us is too small to consider.
Allport believed that our genetic endowment interacts with our social environment,and no two people, not even siblings brought up in the same house, have precisely thesame environment. The inevitable result is a unique personality. Therefore, Allport con-cluded that to study personality, psychology must deal with the individual case and notwith average findings among groups.
Two Distinct Personalities for Two Stages of Life
Allport considered personality to be discrete, or discontinuous. Not only is each persondistinct from all others, but each adult is also divorced from his or her past. He found nocontinuum of personality between childhood and adulthood. Primitive biological urgesand reflexes drive infant behavior, whereas adult functioning is more psychological innature. In a sense there are two personalities: one for childhood and one for adulthood.The adult personality is not constrained by childhood experiences.
This unique view of Allport’s emphasizes the conscious rather than the unconscious,and the present and future rather than the past. He recognized the uniqueness of person-ality rather than proposing generalities or similarities for large groups of people. And hechose to study the normal rather than the abnormal personality.
Personality Traits
Allport considered personality traits to be predispositions to respond, in the same or asimilar manner, to different kinds of stimuli. In other words, traits are consistent andenduring ways of reacting to our environment. He summarized the characteristics oftraits as follows (Allport, 1937):
1. Personality traits are real and exist within each of us. They are not theoretical con-structs or labels made up to account for behavior.
2. Traits determine or cause behavior. They do not arise only in response to certainstimuli. They motivate us to seek appropriate stimuli, and they interact with theenvironment to produce behavior.
traits To Allport,distinguishing charac-teristics that guidebehavior. Traits aremeasured on a contin-uum and are subject tosocial, environmental,and cultural influences.
Chapter 7: Gordon Allport: Motivation and Personality 197
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3. Traits can be demonstrated empirically. By observing behavior over time, we caninfer the existence of traits in the consistency of a person’s responses to the same orsimilar stimuli.
4. Traits are interrelated; they may overlap, even though they represent different char-acteristics. For example, aggressiveness and hostility are distinct but related traitsand are frequently observed to occur together in a person’s behavior.
5. Traits vary with the situation. For example, a person may display the trait of neat-ness in one situation and the trait of disorderliness in another situation.
Initially, Allport proposed two types of traits: individual and common. Individualtraits are unique to a person and define his or her character. Common traits are sharedby a number of people, such as the members of a culture.
It follows that people in different cultures will have different common traits. Commontraits are also likely to change over time as social standards and values change. Thisdemonstrates that common traits are subject to social, environmental, and culturalinfluences.
Personal Dispositions
Allport later realized that some confusion could result from calling both of these phe-nomena traits, and so he revised his terminology. He relabeled common traits as traitsand individual traits as personal dispositions. Our personal dispositions do not all havethe same intensity or significance. They may be cardinal traits, central traits, or second-ary traits.
A cardinal trait is so pervasive and influential that it touches almost every aspect of aperson’s life. Allport described it as a ruling passion, a powerful force that dominatesbehavior. He offered the examples of sadism and chauvinism. Not everyone has a rulingpassion, and those who do may not display it in every situation.
Everyone has a few central traits, some 5 to 10 themes that best describe our behav-ior. Allport’s examples are aggressiveness, self-pity, and cynicism. These are the kinds ofcharacteristics we would mention when discussing a friend’s personality or writing a let-ter of recommendation.
The least influential individual traits are the secondary traits, which appear much lessconsistently than cardinal and central traits. Secondary traits may be so inconspicuous orweak that only a close friend would notice evidence of them. They may include, forexample, a minor preference for a particular type of music or for a certain food.
Motivation: What We Strive for
Allport believed that the central problem for any personality theory is how it treats theconcept of motivation. Allport emphasized the influence of a person’s present situationnot only in his personality theory but also in his view of motivation. It is the individual’scurrent state that is important, not what happened in the past during toilet training,school, or some other childhood crisis. Whatever happened in the past is exactly that:past. It is no longer active and does not explain adult behavior unless it exists as a cur-rent motivating force.
Cognitive processes, that is, our conscious plans and intentions, are a vital aspect ofour personality. Allport criticized approaches such as Freud’s that focused on uncon-scious, irrational forces at the expense of the conscious and rational. Deliberate inten-tions are an essential part of our personality. What we want and what we strive for arethe keys to understanding our behavior. Thus, Allport attempted to explain the presentin terms of the future rather than in terms of the past.
personal dispositionsTraits that are peculiarto an individual, asopposed to traitsshared by a number ofpeople.
cardinal traits Themost pervasive andpowerful human traits.
central traits Thehandful of outstandingtraits that describe aperson’s behavior.
secondary traits Theleast important traits,which a person maydisplay inconspicu-ously andinconsistently.
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Functional Autonomy
Allport’s concept of functional autonomy proposes that the motives of mature, emo-tionally healthy adults are not functionally connected to the prior experiences in whichthey initially appeared. Forces that motivated us early in life become autonomous, orindependent, of their original circumstances.
Allport offered the example of a tree. It is obvious that the tree’s development can betraced back to its seed. Yet when the tree is fully grown, the seed is no longer required asa source of nourishment. The tree is now self-determining, no longer functionally relatedto its seed.
Similarly, when we grow up, we become independent of our parents. Although weremain related to them, we are no longer functionally dependent on them and they(should) no longer control or guide our lives.
Consider the example of new college graduates embarking on a career in business.They may be motivated to work hard in order to achieve financial success and security.Eventually their investment of time and energy may pay off, and they amass enoughmoney to be able to retire. Yet, some continue to work just as hard as they did whenthey started out.
The retired 55-year-old is no longer striving for the same goals that the 25-year-olddid. The goal of financial security has been reached and surpassed. The motivation towork hard, once a means to a specific end (money, for example), has now become anend in itself. The motive has become independent of its original source, transformedinto something autonomous. Therefore, adult motives cannot be understood by explor-ing the person’s childhood, as Freud believed. The only way to understand adult motives,Allport stressed, is to investigate why people behave as they do today.
Allport proposed two levels of functional autonomy: perseverative functional auton-omy and propriate functional autonomy.
Perseverative Functional Autonomy Perseverative functional autonomy, themore elementary level, is concerned with such behaviors as addictions and repetitivephysical actions such as habitual ways of performing some routine, everyday task. Thebehaviors continue or persevere on their own without any external reward. The actionsonce served a purpose but they no longer do and are at too basic and low a level to beconsidered an integral part of personality.
Allport cited both animal and human examples as evidence for perseverativefunctional autonomy. When a rat that has been trained to run a maze for food isgiven more than enough food, it may still run the maze, but obviously for some pur-pose other than the food. At the human level, he noted our preference for routine,familiar behaviors that we continue to perform even in the absence of externalreinforcement.
Propriate Functional Autonomy Propriate functional autonomy is more impor-tant than perseverative functional autonomy and is essential to understanding adultmotivation. The word propriate derives from proprium, Allport’s term for the ego orself.
Propriate motives are unique to each individual. The ego determines which motiveswill be maintained and which will be discarded. We retain motives that enhance ourself-esteem or self-image. Thus, a direct relationship exists between our interests andour abilities: We enjoy doing what we do well.
The original motivation for learning a skill such as playing the piano may have noth-ing to do with our interests. For example, in childhood we may be coerced by our
functional autonomy ofmotives The idea thatmotives in the normal,mature adult are inde-pendent of the child-hood experiences inwhich they originallyappeared.
perseverativefunctional autonomyThe level of functionalautonomy that relatesto low-level and routinebehaviors.
propriate functionalautonomy The level offunctional autonomythat relates to ourvalues, self-image, andlifestyle.
proprium Allport’s termfor the ego or self.
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parents into taking piano lessons and to practice. As we become proficient, however, wemay become more committed to playing the piano. The original motive (fear of parentaldispleasure) has disappeared, and the continued behavior of playing the piano becomesnecessary to our self-image.
The Organizing of Our Propriate Functioning Our propriate functioning is anorganizing process that maintains our sense of self. It determines how we perceive theworld, what we remember from our experiences, and how our thoughts are directed.These perceptual and cognitive processes are selective. They choose from the mass of sti-muli in our environment only those that are relevant to our interests and values. Thisorganizing process is governed by the following three principles: organizing the energylevel, mastery and competence, and propriate patterning.
The first principle, organizing the energy level, explains how we acquire new motives. Thesemotives arise from necessity, to help consume excess energy that we might otherwise expressin destructive and harmful ways. For example, when people retire from their jobs, they haveextra time and energy that, ideally, they should direct toward new interests and activities.
Mastery and competence, the second principle, refers to the level at which we chooseto satisfy motives. It is not enough for us to achieve at an adequate level. Healthy,mature adults are motivated to perform better and more efficiently, to master new skills,and to increase their degree of competence.
The third principle, propriate patterning, describes a striving for consistency and inte-gration of the personality. We organize our perceptual and cognitive processes aroundthe self, keeping what enhances our self-image and rejecting the rest. Thus, our propriatemotives are dependent on the structure or pattern of the self.
Allport noted that not all behaviors and motives could be explained by these princi-ples of functional autonomy. Some behaviors, such as reflexes, fixations, neuroses, andbehaviors arising from biological drives, are not under the control of functionally auton-omous motives.
Personality Development in Childhood:The Unique Self
As we noted, Allport chose the term proprium for the self or ego. He rejected the wordsself and ego because of the diversity of meanings ascribed to them by other theorists. Wecan best understand the word proprium by considering it in the sense of the adjectiveappropriate. The proprium includes those aspects of personality that are distinctive andthus appropriate to our individual emotional life. These aspects are unique to each of usand unite our attitudes, perceptions, and intentions.
Stages of Development
Allport described the nature and development of the proprium over seven stages frominfancy through adolescence (see Table 7.1).
Before the proprium begins to emerge, the infant experiences no self-consciousness,no awareness of self. There is not yet a separation of “me” from everything else. Infantsreceive sensory impressions from the external environment and react to them automati-cally and reflexively, with no ego to mediate between stimulus and response. Allportdescribed infants as pleasure seeking, destructive, selfish, impatient, and dependent. Hecalled them “unsocialized horrors.” They possess little of what could be called a
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“personality.” The infant simply is driven by reflexes to reduce tension and maximizepleasure.
The first three stages in the development of the proprium span the years from birth toabout age 4. The bodily self develops when infants begin to be aware of what Allportreferred to as a “bodily me.” For example, infants begin to distinguish between theirown fingers and the object they are grasping.
The self-identity stage is marked by a sense of continuity of one’s identity. Childrenrealize that they remain the same people despite changes in their bodies and theirabilities. Self-identity is enhanced when children learn their names and see themselvesas distinct from others.
Self-esteem develops when they discover that they can accomplish things on their own.They are motivated to build, explore, and manipulate objects, behaviors that sometimes canbe destructive. If parents frustrate their child’s need to explore at this stage, then the emerg-ing sense of self-esteem can be thwarted, replaced by humiliation and anger.
The extension-of-self stage involves the growing awareness of objects and people inthe environment and the identification of them as belonging to the child. Childrenspeak of “my house,” “my parents,” and “my school.”
A self-image develops next, incorporating how children see and would like to seethemselves. These actual and ideal self-images develop from interaction with the parents,who make the child aware of their expectations and of the extent to which the child issatisfying or failing to satisfy those expectations. The self-extension and self-image stagestypically occur between the ages of 4 and 6.
The self-as-a-rational-coper stage occurs between ages 6 and 12, when children realizethat reason and logic can be applied to solving everyday problems. The propriate strivingstage follows, when adolescents begin to formulate plans and goals for the future. Untilthey do so, their sense of self (their proprium) will remain incomplete.
TABLE 7.1 The development of the proprium
STAGE DEVELOPMENT
1. Bodily self Stages 1–3 emerge during the first three years. In this stage,infants become aware of their own existence and distinguish theirown bodies from objects in the environment.
2. Self-identity Children realize that their identity remains intact despite the manychanges that are taking place.
3. Self-esteem Children learn to take pride in their accomplishments.
4. Extension of self Stages 4 and 5 emerge during the fourth through sixth year. Inthis stage, children come to recognize the objects and people thatare part of their own world.
5. Self-image Children develop actual and idealized images of themselvesand their behavior and become aware of satisfying (or failingto satisfy) parental expectations.
6. Self as a rational coper Stage 6 develops during ages 6–12. Children begin to apply rea-son and logic to the solution of everyday problems.
7. Propriate striving Stage 7 develops during adolescence. Young people begin toformulate long-range goals and plans.
Adulthood Normal, mature adults are functionally autonomous, independentof childhood motives. They function rationally in the presentand consciously create their own lifestyles.
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The Importance of the Infant–Mother Bond
Our social interaction with our parents is vitally important throughout all the stages ofdevelopment of the proprium. Most important of all, however, is the infant–motherbond as a source of affection and security.
If the mother or primary caregiver provides sufficient affection and security, the pro-prium will develop gradually and steadily, and the child will achieve positive psychologi-cal growth. Childhood motives will be free to be transformed into the autonomouspropriate strivings of adulthood. A pattern of personal dispositions will form and theresult will be a mature, emotionally healthy adult.
If childhood needs are frustrated, however, the self will not mature properly. The childbecomes insecure, aggressive, demanding, jealous, and self-centered. Psychological growthis stunted. The result is a neurotic adult who functions at the level of childhood drives.
Adult motives do not become functionally autonomous but remain tied to their origi-nal conditions. Traits and personal dispositions do not develop and the personalityremains undifferentiated, as it was in infancy.
The Healthy Adult Personality
In Allport’s view, the healthy personality changes and grows from being a biologicallydominated organism in infancy to a mature psychological organism in adulthood. Ourmotivations become separated from childhood and are oriented toward the future. As
Children developactual and idealizedself-images, reflect-ing how they actuallysee and would like tosee themselves.
Radius
Images/JupiterImages
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we noted, if our childhood needs for affection and security have been met, the propriumwill develop satisfactorily. The adult personality grows out of childhood and is no longerdominated or determined by childhood drives.
Allport described six criteria for normal, mature, emotionally healthy adultpersonalities:
1. Mature adults extend their sense of self to people and activities beyond the self.2. Mature adults relate warmly to other people, exhibiting intimacy, compassion, and
tolerance.3. Mature adult’s high degree of self-acceptance helps them to achieve emotional
security.4. Mature adults hold a realistic perception of life, develop personal skills, and make a
commitment to some type of work.5. Mature adults have a sense of humor and self-objectification (an understanding of or
insight into the self).6. Mature adults subscribe to a unifying philosophy of life, which is responsible for
directing the personality toward future goals.
By meeting these six criteria, adults can be described as emotionally healthy and func-tionally autonomous, independent of childhood motives. As a result, they cope with thepresent and plan for the future without being victimized by what happened to them intheir early years.
Questions about Human Nature
Allport’s view of functional autonomy and personality development holds that emotion-ally healthy adults are not tied to or driven by childhood conflicts. Thus, his theory pre-sents an optimistic view of adults in conscious control of their lives, rationally attendingto current situations, planning for the future, and actively fashioning an identity. Always
Normal, mature adultsare functionallyautonomous, inde-pendent of childhoodmotives. They func-tion rationally in thepresent and con-sciously create theirown lifestyles.
Onoky
-FabriceLerouge/BrandXPictures/JupiterImages
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in the process of becoming, we creatively design and implement an appropriate style oflife, influenced more by events of the present and plans for the future than by our past.
Allport took a moderate stance on the question of free will versus determinism. Hegranted free choice in our deliberations about our future, but he also recognized thatsome behaviors are determined by traits and personal dispositions. Once these behaviorsare formed, they are difficult to change.
On the nature–nurture issue, he believed that both heredity and environment influ-ence personality. Our genetic background supplies our basic physique, temperament,and level of intelligence. These raw materials are then shaped by learning and experience.Allport believed in each person’s uniqueness. Although common traits show some uni-versality in behavior, individual traits or personal dispositions describe our nature moreprecisely.
To Allport, the ultimate and necessary goal of life is not to reduce tension, as Freudproposed, but rather to increase tension, impelling us to continually seek new sensationsand challenges. When we have met one challenge, we are motivated to seek another. Thereward is the process of achieving rather than the specific achievement, striving for thegoal rather than reaching it. In essence, he meant that “getting there is more fun thanbeing there.” We constantly need new goals to motivate us and to maintain an optimallevel of tension in the personality.
Allport’s optimistic image of human nature was reflected in his personal liberal stanceand his interest in social reform. The humanistic attitude expressed in his work was mir-rored in his own personality. His colleagues and students described him as someone whogenuinely cared about people and that these feelings were reciprocated.
Assessment in Allport’s Theory
Allport wrote more about personality assessment techniques than most other theoristsdid. In his popular book Pattern and Growth in Personality (1961), he noted that, despitethe existence of many approaches to assessment, there was no single best technique.
Personality is so complex that to evaluate it we must employ many techniques. Helisted 11 major methods:
• Constitutional and physiological diagnosis• Cultural setting, membership, role• Personal documents and case studies• Self-appraisal• Conduct analysis• Ratings• Tests and scales• Projective techniques• Depth analysis• Expressive behavior• Synoptic procedures (combining information from several sources in a synopsis)
Allport relied heavily on the personal-document technique and the Study of Values.He also observed expressive behavior, which we will discuss in the section on research.
The Personal-Document Technique
The personal-document technique involves examining diaries, autobiographies, letters,literary compositions, and other samples of a person’s written or spoken records todetermine the number and kinds of personality traits.
personal-documenttechnique Thepersonal-documenttechnique involves thestudy of a person’swritten or spokenrecords.
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Allport’s most famous case is an analysis of a collection of more than 300 letters writ-ten over a 12-year period by a middle-aged woman identified as Jenny (Allport, 1965,1966). It was later revealed that Jenny was the mother of Allport’s college roommateand had written the letters to Allport and his wife (Winter, 1993a).
In the personal-document approach, a group of judges read the autobiographical orbiographical material on the subject and record the traits they find in it. Given a reason-able degree of agreement among the judges, the assessments can be grouped into a rela-tively small number of categories. In the research with Jenny’s letters, 36 judges listednearly 200 traits. Because many terms were synonymous, Allport was able to reducethem to eight categories.
One of Allport’s students performed a computer analysis on the letters to find catego-ries of words that might indicate the existence of a particular trait (Paige, 1966). Forexample, words expressing anger, rage, hostility, and aggression were coded as constitut-ing the trait of aggression.
This approach is more sophisticated and quantitative than Allport’s original analysisof the letters because it involves fewer subjective judgments. The computer analysisyielded eight prominent traits in Jenny’s personality that were similar to the categoriesAllport had identified. Because of that consistency, he concluded that his subjectiveapproach to personality assessment provided information on traits that was valid andcomparable to the more objective computer analysis.
The Study of Values
Allport and two colleagues developed an objective self-report assessment test called theStudy of Values (Allport, Vernon, & Lindzey, 1960). They proposed that our personalvalues are the basis of our unifying philosophy of life, which is one of the six criteriafor a mature, healthy personality.
Our values are personality traits and represent strongly held interests and motiva-tions. Allport believed that everyone possesses some degree of each type of value, butone or two of these will be more dominant in the personality. The categories of valuesare as follows.
1. Theoretical values are concerned with the discovery of truth and are characterizedby an empirical, intellectual, and rational approach to life.
2. Economic values are concerned with the useful and practical.3. Aesthetic values relate to artistic experiences and to form, harmony, and grace.4. Social values reflect human relationships, altruism, and philanthropy.5. Political values deal with personal power, influence, and prestige in all endeavors,
not just in political activities.6. Religious values are concerned with the mystical and with understanding the
universe as a whole.
Research on Allport’s Theory
Allport criticized psychologists who insisted that experimental and correlational methodswere the only legitimate ways to study personality. He argued that not every aspect ofpersonality could be tested in those ways, and that psychologists should be more openand eclectic in their research methodology.
He also opposed applying methods used with the emotionally disturbed, such as casestudies and projective techniques, to the study of emotionally healthy people. Becausecase studies focus on the past, Allport considered them to be of no value for understand-ing normal adults because their personality is divorced from childhood influences.
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He also argued that projective techniques, such as the Thematic Apperception Testand the Rorschach inkblot test, may present a distorted picture of the normal personalitybecause they deal with unconscious forces that have little effect on the normal adult per-sonality. Allport suggested that more reliable information could be obtained by simplyasking people to describe themselves, a method that reveals their dominant traits.
Allport favored the idiographic approach, that is, the study of the individual case, asindicated by his use of personal documents. However, he did also use some nomotheticmethods involving the statistical analysis of differences among large samples of subjectswhen he believed them to be appropriate. Psychological tests, such as the Study ofValues, use the nomothetic approach.
Expressive Behavior
Allport conducted considerable research on what he called expressive behavior,described as behavior that expresses our personality traits. He also identified copingbehavior, which is oriented toward a specific purpose and is consciously planned andcarried out. Coping behavior is determined by needs inspired by the situation and isordinarily directed toward bringing about some change in our environment.
The Nature of Expressive Behavior Expressive behavior is spontaneous and reflectsbasic aspects of the personality. In contrast to coping behavior, expressive behavior isdifficult to change, has no specific purpose, and is usually displayed without our aware-ness. Allport offered the example of public speaking. The speaker communicates with theaudience on two levels.
The formal, planned level (coping behavior) includes the lecture’s content. The infor-mal, unplanned level (expressive behavior) consists of the speaker’s movements, gestures,and vocal inflections. The speaker may be nervous, or may talk rapidly, pace back andforth, or fidget with an earring. These spontaneous behaviors can express elements of thespeaker’s personality.
In his landmark study of expressive behavior, Allport gave subjects a variety of tasksto perform and then judged the consistency of their expressive movements over the dif-ferent situations (Allport & Vernon, 1933). He found a high level of consistency in voice,handwriting, posture, and gestures. From these behaviors, he deduced the existence ofsuch traits as introversion and extraversion.
There has been considerable theoretical and experimental work describing both facialand vocal expressive behavior (see Russell, Bachorowski, & Fernandez-Dols, 2003). Thisresearch has shown that personality can be assessed from voice recordings, films, andvideotapes. Facial expressions, vocal inflections, and idiosyncratic gestures and manner-isms can reveal personality traits to a trained observer. The expressive behaviors linkedto specific traits have even been assessed from still photographs (Allport & Cantril, 1934;Berry, 1990; DePaulo, 1993; Riggio & Friedman, 1986; Riggio, Lippa, & Salinas, 1990).
Researchers have accumulated an impressive body of evidence to show that some peo-ple can form reliable impressions of a stranger’s personality based solely on facialappearance and expression (Berry & Wero, 1993). For example, observers have accu-rately assessed personality factors such as anxiety from watching a film of the personfor no more than 30 seconds (Ambody & Rosenthal, 1992).
Effects of Gender and Age It has been found that women and younger people arebetter at correctly recognizing emotions in facial expressions than men and older people
expressive behaviorSpontaneous andseemingly purposelessbehavior, usually dis-played without ourconscious awareness.
coping behavior Con-sciously plannedbehavior determinedby the needs of a givensituation and designedfor a specific purpose,usually to bring about achange in one’senvironment.
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(Sasson, Pinkham, Richard, Hughett, Gur, & Gur, 2010). The ability of children to readfacial expressions accurately can occur as early as the age of 5 and improves rapidlythereafter (Gao & Maurer, 2010).
An analysis of the yearbook photographs of women college graduates found thatthose who exhibited positive emotional expressions at age 21 scored higher on self-report inventories of feelings of subjective well-being when tested again later at ages 27,43, and 52. They also reported better marriages and scored higher in affiliation, compe-tence, and achievement orientation than did those who displayed less positive emotionsin their yearbook pictures at age 21 (Harker & Keltner, 2001).
Interpreting Facial Expressions Sometimes our personal experiences influence ourability to recognize emotions in the facial expressions of others. For example, a study of8- to 10-year-old children who had been physically abused showed that they could morereadily identify facial displays of anger in pictures of female adults than could a controlgroup of children who had not been abused (Pollak & Sinha, 2002).
A study of adults demonstrated that emotional state may influence the ability to readthe facial expressions of other people. Those diagnosed with major depression needed tosee facial expressions of greater intensity in order to identify correctly happiness on thefaces of the pictures they were shown. In contrast, to correctly identify sadness theyrequired less intense facial expressions (Joormann & Gotlib, 2006).
Children who scored high on a scale of social anxiety were better at correctly inter-preting facial expressions. Adults high in depression were better in recognizing sad facialexpressions than adults who were not depressed (Ale, Chorney, Brice, & Morris, 2010;Gollan, McCloskey, Hoxha, & Coccaro, 2010).
A study of Japanese children found that those who spent more time playing videogames were better at recognizing facial expressions correctly than those who did notplay video games as much (Tamamiya & Jiraki, 2013).
It has also been found that close friends are far more accurate in decoding emotionssuch as sadness, anger, and happiness than are casual acquaintances (Zhang & Parmley,2011). These and similar studies provide strong support for Allport’s proposition thatexpressive behavior reflects our personality traits.
Coding Facial Expressions A long-term research program conducted by PaulEkman identified facial expressions of seven emotions that can be objectively and consis-tently distinguished from one another. These emotions are anger, contempt, disgust, fear,sadness, surprise, and happiness (Ekman, Matsumoto, & Friesen, 1997). Ekman, directorof the Human Interaction Laboratory at the University of California at San Francisco,and his colleagues, have developed a coding system based on their analysis of 43 facialmuscles. The system provides 3,000 different configurations useful in reading the emo-tional expressions in a person’s face.
This Facial Action Coding System (FACS) is used in the United States by policedepartments, as well as the CIA and the FBI, to detect lying by criminal suspects andby terrorists. According to the FACS, tiny movements of their facial muscles will betraythem (Kaufman, 2002). In 2009, Ekman was named by Time magazine as one of theworld’s 100 most influential people (Taylor, 2009).
Other research has also shown that some basic aspects of personality are revealed byfacial expressions. For example, neuroticism reveals itself in looks of anger, contempt,and fear. Agreeableness shows in laughter and other expressions of friendly socialinteraction.
Chapter 7: Gordon Allport: Motivation and Personality 207
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Extraversion appears in smiles, laughter, and other expressions of enjoyment andamusement. Conscientiousness is marked by expressions of embarrassment including atightly controlled smile, an averted gaze, and head movements down and away fromthe observer (Keltner, 1997).
We recognize smiles by unconsciously mimicking them. Using the same muscles as theperson we are looking at sends the same message to activate the regions of the brain thatare active in the person who is smiling at us (Niedenthal, Mermillod, Maringer, & Hess,2010; Zimmer, 2011).
Emotional States and Facial Expressions Type A behavior, the pattern suggestedto be associated with the potential for heart disease, has been distinguished from Type Bbehavior by expressions of disgust, glaring, grimacing, and scowling (Chesney, Ekman,Friensen, Black, & Hecker, 1997). A study of depressed patients in Switzerland foundthat facial expressions distinguished those who later attempted suicide from those whodid not (Heller & Haynal, 1997).
Research on Japanese college students found that those who scored high on a test ofanxiety exhibited different facial expressions, particularly around the mouth and the leftside of the face, than did those who scored low on anxiety (Nakamura, 2002). Theseresults confirm Allport’s ideas.
Cultural Differences in Facial Expressions
Are facial expressions the same the world over? Or do they differ from one culture toanother? Studies of American and Chinese infants and adults found that some basicemotions were revealed by identical facial expressions in both cultures and in both agegroups (Albright et al., 1997; Camras, Oster, Campos, Miyake, & Bradshaw, 1998).
However, a study comparing facial expressions of American, Chinese, and Japaneseinfants reached a different conclusion. Chinese infants showed consistently less varietyin facial expressive behavior than American and Japanese infants. American infants dif-fered significantly in facial expressions of emotions from Chinese infants but not somuch from Japanese infants (Camras, 1998).
A study comparing facial expressions from a remote tribe in NorthwesternNamibia in Africa found that their facial expressions of emotions did not matchthose of American subjects. The researchers noted that these results suggest that per-ceptions of emotions are not universal (Gendron, Roberson, van der Vyver, & Barrett,2014).
Additional research involving 3-year-old girls found that White children smiled morethan mainland Chinese or Chinese-American children. The degree of maternal strictnessand the number of other children and adults in the home also influenced the intensity offacial expression in those cultures. The depth to which the girls’ faces expressed theiremotions was found to vary as a function of both cultural and family characteristics(Camras, Bakeman, Chen, Norris, & Cain, 2006).
Research involving adults in the United States and in Japan showed that each groupwas much better at recognizing the facial expressions of people of their own culture(Dailey et al., 2010). The same cultural differences between East and West in recognizingfacial expressions were found when subjects were shown different faces on robots(Trovato, Kishi, Endo, Zecca, Hashimoto, & Takanishi, 2014).
A study in which pictures of faces had been digitized so as to be neutral (not display-ing any emotion) found that White faces were judged to have angry expressions moreoften than Black faces, and Black faces were judged to have happy or surprised expres-sions more often (Zebrowitz, Kikuchi, & Fellous, 2010).
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Consistent differences were found in facial recognition of emotions between Easternand Western cultures. Even the ways in which faces changed to represent emotions dif-fered. In one study, people in Eastern cultures expressed emotion primarily with theeyes, while those in Western cultures were more likely to use eyebrows and mouth toexpress their feelings (Jack, Caldara, & Schyns, 2012). Another comparison found thatpeople in Hong Kong, Singapore, and Taiwan showed less intense facial expressions ontheir Facebook pictures than Americans did (Huang & Park, 2013).
When Caucasian Americans and Asian Americans who scored high in depressionwere shown a humorous film, the Caucasian Americans exhibited fewer smiles andother facial reactions than did the Asian Americans (Chentsova-Dutton, Tsai, & Gotlib,2010).
Computer Recognition of Facial Expressions
If some people can accurately interpret the facial expressions of others, can computerrecognition be far behind? Apparently not. A computer program has been developedthat monitors video images of faces at the rate of 30 frames per second. The computerachieved a high degree of accuracy in recognizing basic emotions including happiness,sadness, fear, disgust, anger, and surprise (Susskind, Littlewort, Bartlett, Movellan, &Anderson, 2007).
And if computers can recognize the emotions expressed in the human face, can theyalso be used to transmit emotional states? In a study of adolescents in the Netherlands,average age 16, emoticons were used to study the online transmission of personal feel-ings. In simulated chat rooms the teenagers were found to use more emoticons in theircommunication in a social context than in a task- or job-oriented context.
They used more positive icons, such as those representing smiles, in positive situa-tions and more negative icons, such as those representing sadness, in negative situations,just the way people do in face-to-face contact. Thus the researchers concluded that peo-ple express emotions in computer-mediated communication in a similar way as in face-to-face situations (Derks, Bos, & von Grumbkow, 2007).
HIGHLIGHTS: Research on Expressive Behavior
Research on expressive behavior has found that:
• Personality traits can be assessed from facial expressions• Women and children are better than men and older people at reading
facial expressions• Close friends are better than strangers at decoding facial expressions of
emotion• As many as seven separate emotions can be identified in facial
expressions• We recognize smiles in others by unconsciously mimicking them• Depressed people are better at recognizing sad expressions• Computers can recognize and express basic emotions
Chapter 7: Gordon Allport: Motivation and Personality 209
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Reflections on Allport’s Theory
Although considerable research has been conducted on expressive behavior, Allport’stheory as a whole has stimulated little research to test its propositions. His idiographicresearch approach ran counter to the main current of thought in contemporary psychol-ogy, which accepted nomothetic research instead (the study of large subject groupsthrough sophisticated statistical analysis). Allport’s focus on emotionally healthy adultswas also at variance with the then prevalent position in clinical psychology, which dealtwith the neurotic and psychotic.
Questions and Criticisms
It is difficult to translate Allport’s concepts into specific terms and propositions suitablefor study by the experimental method. For example, how do we observe functionalautonomy or propriate striving in the laboratory? How can we manipulate these con-cepts to test their effects?
Criticisms have been leveled against the concept of functional autonomy. Allport didnot make clear how an original motive is transformed into an autonomous one. Forexample, once a person is financially secure, by what process is the motive to workhard for financial gain altered to become a motive to continue to work hard for thesake of the task itself? If the mechanism of transformation is not explained, how canwe predict which childhood motives will become autonomous in adulthood?
Allport’s emphasis on the uniqueness of personality has been challenged because his posi-tion focuses so exclusively on the individual that it is impossible to generalize from one per-son to another. Many psychologists find it difficult to accept Allport’s proposed discontinuitybetween child and adult, animal and human, normal and abnormal. They point out thatresearch on the behavior of children, animals, and emotionally disturbed subjects has yieldedconsiderable knowledge about the functioning of the normal, emotionally healthy adult.
Recognition and Influence
Despite these criticisms, Allport’s theory has been well received by a number of psychol-ogists who continue to maintain that Allport’s views provide a better basis for under-standing personality than the approaches of most other theorists (Piekkola, 2011). Hisapproach to personality development, his emphasis on uniqueness, and his focus on theimportance of goals are reflected in the work of the humanistic psychologists AbrahamMaslow and Carl Rogers (see Chapters 9 and 10).
Allport is often considered to be one of the first psychologists to bring humanisticvalues and concerns to the field (Jeshmaridian, 2007). Interest in Allport’s work hasbeen revived recently as part of the current focus on personality traits, which is provid-ing empirical support for some of his ideas.
Allport’s major work on the expression of emotions has been of vital importance in thedevelopment of the field of cognitive neuroscience. There has also been a revival of interest inhis personal-document technique for studying personality (Barenbaum, 2008; Zunshine, 2010).
His books are written in a readable style and his concepts have a commonsenseappeal. The emphasis on conscious, rational determinants of behavior provides an alter-native to the psychoanalytic position that sees people irrationally and unconsciouslydriven by uncontrollable forces.
Allport’s view that people are shaped more by future expectations than by past eventsis congenial with a hopeful and humanistic philosophy. His most enduring contributionsto psychology are making the study of personality academically respectable and empha-sizing the role of genetic factors within a trait approach to personality.
210 The Genetics Approach
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Chapter Summary
Gordon Allport focused on the conscious instead of theunconscious. He believed that personality is guidedmore by the present and future than by the past. Hestudied normal rather than emotionally disturbedpeople.
Personality is defined as the dynamic organizationwithin the individual of those psychophysical systemsthat determine characteristic behavior and thought. Itis a product of heredity and environment and divorcedfrom childhood experiences.
Traits are consistent, enduring predispositions torespond in the same or a similar way to different sti-muli. Individual traits (personal dispositions) areunique to the person; common traits are shared bymany people. Cardinal traits are powerful and perva-sive; central traits are less pervasive. Secondary traitsare displayed less conspicuously and less consistentlythan other types of traits.
Functional autonomy means that a motive in thenormal adult is not functionally related to the pastexperiences in which it originally appeared. Two levelsof functional autonomy are perseverative (behaviorssuch as addictions and repeated physical movements)and propriate (interests, values, attitudes, intentions,lifestyle, and self-image related to the core of personal-ity). Three principles of propriate functional autonomyare organizing the energy level, mastery and compe-tence, and propriate patterning.
The proprium (self or ego) develops from infancy toadolescence in seven stages: bodily self, self-identity,self-esteem, extension of self, self-image, self as a ratio-nal coper, and propriate striving. An infant is con-trolled by drives and reflexes and has littlepersonality.
The mature, healthy adult personality is character-ized by an extension of self to other people and activi-ties, a warm relating to others, emotional security, arealistic perception, the development of skills, a com-mitment to work, self-objectification, and a unifyingphilosophy of life.
Allport presented an optimistic image of humannature and emphasized the uniqueness of the individ-ual. We are not driven by childhood events. In con-scious control of our lives, we creatively design alifestyle and grow through an inherent need for auton-omy, individuality, and selfhood. Our ultimate goal isfor increases in tension that impel us to seek new sen-sations and challenges.
The personal-document approach to personalityassessment involves the examination of diaries, letters,and other personal records to uncover personalitytraits. The Study of Values is a psychological test toassess six types of values.
Research on expressive behavior reveals a consis-tency in expressive facial movements and relates themto a variety of emotions and personality patterns. Someresearch suggests a consistency of facial expressionsfrom one culture to another and that computer pro-grams can recognize facial expressions and can beused to recognize and to communicate emotions toothers.
Allport’s theory has been criticized on the groundsthat it is difficult to test empirically such concepts asfunctional autonomy. Allport’s focus on the uniquenessof personality and on the discontinuity between child-hood and adult personalities has also been questioned.
Review Questions
1. What problems and issues did Allport have to dealwith in his childhood and adolescence that mayhave influenced his approach to personality?
2. In what ways does Allport’s personality theorydiffer from Freud’s?
3. Explain Allport’s definition of personality. InAllport’s system, how do heredity and environ-ment influence personality?
4. Describe four characteristics of traits.5. How do cardinal traits, central traits, and second-
ary traits differ from one another? Which type
exerts the most powerful influence on thepersonality?
6. According to Allport, what is the relationshipbetween personality and motivation?
7. What is propriate functional autonomy? Describethree principles that govern propriate functionalautonomy.
8. What is the role of cognitive processes in person-ality development?
9. What is the relationship between adult motivesand childhood experiences?
Chapter 7: Gordon Allport: Motivation and Personality 211
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10. According to Allport, what are the first threestages of human development? Describe briefly thechanges that occur at each stage.
11. Describe the concept of proprium.12. What parental behaviors are necessary for a child
to achieve positive psychological growth?13. How does Allport’s theory account for emotional
disturbances in adulthood?14. What are the characteristics of the mature, healthy
adult personality?
15. What is Allport’s proposed ultimate and necessarygoal of life. How do we achieve it?
16. Describe the research findings on how expressivebehavior can reveal aspects of our personality.
17. Is there a universality of facial expressions overall cultures or do they vary from one culture toanother?
18. How are people able to express emotions incomputer-mediated communication? How doyou express your own emotions online?
Suggested Readings
Allport, G. W. (1937). Personality: A psychologicalinterpretation. New York: Holt. Allport’s classicbook that established the study of personality as anintegral part of scientific academic psychology anddefined the focus of personality psychology as theunique individual.
Allport, G. W. (1955). Becoming: Basic considerationsfor a psychology of personality. New Haven, CT: YaleUniversity Press. Outlines Allport’s approach topersonality, emphasizing the human capacity forgrowth and development.
Allport, G. W. (1967). Autobiography. In E. G. Boring& G. Lindzey (Eds.), A history of psychology inautobiography (Vol. 5, pp. 1–25). New York:Appleton-Century-Crofts. Allport’s account of hislife and career.
Elms, A. C. (1994). Uncovering lives: The uneasy alli-ance of biography and psychology. New York:Oxford University Press. Chapter 5, “Allport meetsFreud and the clean little boy” (pp. 71–84), discusses
Gordon Allport’s 1920 encounter with SigmundFreud.
Evans, R. I. (1971). Gordon Allport: The man and hisideas. New York: Dutton. Interviews with Allportabout his life and work.
Nicholson, I. (2003). Inventing personality: GordonAllport and the science of selfhood. Washington, DC:American Psychological Association. Focuses onAllport’s early career in developing his theory ofpersonality and relates his work to the social climateof the times in America in the 1920s and 1930s.
Rosenzweig, S., & Fisher, S. L. (1997). “Idiographic”vis–à–vis “idiodynamic” in the historical perspectiveof personality theory: Remembering GordonAllport, 1897–1997. Journal of the History of theBehavioral Sciences, 33, 405–419. A reappraisal ofAllport’s focus on the uniqueness of the humanpersonality. Considers the extent to which his per-sonal spirituality and religious views may haveaffected his image of human nature.
212 The Genetics Approach
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chapter 8
Raymond Cattell,Hans Eysenck, TheFive-Factor Theory,HEXACO, and theDark Triad
Personality is that whichpermits a prediction ofwhat a person will do in agiven situation.
—Raymond Cattell
Predicting BehaviorA Scientific ApproachFactor AnalysisPersonality Traits
The Life of Cattell (1905–1998)An Older Brother and Wounded SoldiersPsychology: A Bad ChoiceA Time of HardshipSuccess in America
Cattell’s Approach to Personality TraitsCommon Traits and Unique TraitsAbility, Temperament, and Dynamic TraitsSurface Traits and Source TraitsConstitutional Traits and Environmental-Mold
Traits
Source Traits: The Basic Factors of
Personality
Dynamic Traits: The Motivating Forces
The Influences of Heredity and
Environment
Stages of Personality DevelopmentInfancyChildhoodAdolescenceMaturityLate MaturityOld Age
Questions about Human Nature
Assessment in Cattell’s TheoryLife records (L-data)Questionnaires (Q-data)Personality tests (T-data)The 16 PF (Personality Factor) Test
Research on Cattell’s TheoryThe Bivariate ApproachThe Clinical Approach
The Multivariate ApproachA Sample of Research Findings
Reflections on Cattell’s Theory
Behavioral Genetics
Hans Eysenck (1916–1997)Resigned to PsychologyA Prolific Record
The Dimensions of PersonalityA Joint EffortThree Dimensions of PersonalityStability over TimeThe Role of IntelligenceExtraversionNeuroticismPsychoticismThe Primary Role of Heredity
Robert McCrae and Paul Costa:
The Five-Factor ModelMeasuring the Five FactorsOrigin and Overlap of FactorsCross-Cultural ConsistencyThe Relative Value of the Factors in Different
CulturesGender DifferencesHow People View Themselves and
OthersStability of the Factors over TimePredicting Changes over TimeEmotional CorrelatesBehavioral Correlates
Michael Ashton and Kibeom Lee:
HEXACO: The Six-Factor ModelAssessing the Six Factors
Delroy Paulhus and Kevin Williams:
The Dark Triad of PersonalityAssessing the Dark TriadBehavioral Correlates
FairUse
213
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Personality Traits and the InternetEysenck’s Personality DimensionsFive-Factor Model
Reflections on the Trait Approach
Chapter Summary
Review Questions
Suggested Readings
Predicting Behavior
Cattell’s goal in his study of personality was to predict how a person will behave inresponse to a given stimulus situation. Cattell was not interested in changing or modify-ing behavior from abnormal to normal, which had been the approach of other personal-ity theorists.
Those more clinically oriented theorists based their work on case studies of patientswho were unhappy or emotionally disturbed and wanted to change. In contrast, Cattell’ssubjects were normal people. His aim was to study their personality, not to treat it. Hebelieved it was impossible, or at least unwise, to attempt to change a personality beforeunderstanding fully what was to be modified.
A Scientific Approach
Cattell’s approach to personality was rigorously scientific, relying on observations ofbehavior and masses of data. In his research, it was not unusual for more than50 kinds of measurements to be taken from a single subject. “His theory of personality[was] rivaled by no other in its comprehensiveness and adherence to evidence derivedfrom empirical research” (Horn, 2001, p. 72).
Factor Analysis
The hallmark of Cattell’s approach was his treatment of the data. He submitted themto the statistical procedure called factor analysis, which involves assessing therelationship between each possible pair of measurements taken from a group of sub-jects to determine common factors. For example, scores on two different psychologicaltests or on two subscales of the same test would be analyzed to determine theircorrelation.
If the two measures showed a high correlation with one another, Cattell concluded thatthey measured similar or related aspects of personality. For example, if the anxiety andintroversion scales of a personality test yielded a high correlation coefficient, we could con-clude that both scales were measuring the same personality characteristic. Thus, two sets ofdata about a person are combined to form a single dimension, or factor.
Personality Traits
Cattell referred to these factors as traits, which he defined as the mental elements of thepersonality. Only when we know someone’s traits can we predict how that person willbehave in a given situation. Thus, to be able to understand someone fully, we must beable to describe in precise terms the entire pattern of traits that define that person as anindividual.
The Life of Cattell (1905–1998)
An Older Brother and Wounded Soldiers
Cattell was born in Staffordshire, England. His parents had high, exacting standards ofbehavior for their children but were also permissive about how the children spent their
factor analysis Astatistical techniquebased on correlationsbetween several mea-sures, which may beexplained in terms ofunderlying factors.
214 The Genetics Approach
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spare time. Cattell, his brothers, and friends spent much time outdoors, sailing andswimming, exploring caves, and fighting mock battles, although they “occasionallydrowned or fell over cliffs.”
Cattell’s life changed dramatically at the age of 9, when England entered World War I.A nearby mansion was converted to a hospital, and he saw trainloads of wounded soldiersreturning from the battlefields of France. He wrote that this experience made him unusu-ally serious for a young boy and aware of the “brevity of life and the need to accomplishwhile one might.”
His lifelong, intense dedication to work may have originated from these experiences.He also felt highly competitive with an older brother and wrote of the problems of main-taining his own freedom of development while confronted with this brother who couldnot be “overcome” (1974a, pp. 62–63).
Psychology: A Bad Choice
At age 16, Cattell enrolled at the University of London to study physics and chemistry,graduating with honors in 3 years. His time in London intensified his interest in socialproblems, and he came to realize that the physical sciences did not equip him to dealwith social ills. He decided that the best solution was to study the human mind.
That was a courageous decision to make in 1924 because the field of psychology in Englandofferedfewprofessionalopportunitiesandonlysixacademicprofessorshipsinthe entire coun-try. It was regarded as a discipline for eccentrics. Against the advice of friends, Cattell begangraduate studies at the University of London, working with the eminent psychologist-statistician Charles E. Spearman, who had developed the technique of factor analysis.
Awarded his Ph.D. in 1929, Cattell found that his friends were right. There were veryfew jobs for psychologists. He did some lecturing at Exeter University, wrote a bookabout the English countryside, and set up a psychology clinic for the schools in the cityof Leicester, all while pursuing his own research interests. Whereas Spearman had usedfactor analysis to measure mental abilities, Cattell resolved to apply the method to thestructure of personality.
A Time of Hardship
During this period, Cattell developed chronic digestive disorders from overwork, a defi-cient diet, and being forced to live in a cold basement apartment. His wife left him dueto his poor economic prospects and total absorption in his work. However, Cattell didclaim some positive benefits from that time of hardship.
The experience forced him to focus on practical problems rather than theoretical orexperimental issues, which he might have done given more secure and comfortable cir-cumstances. “Those years made me as canny and distrustful as a squirrel who has knowna long winter. It bred asceticism and impatience with irrelevance, to the point of ruth-lessness” (1974b, p. 90).
Success in America
Eight years after he earned his doctoral degree, Cattell finally received an opportunity towork full-time in his chosen field. The prominent American psychologist Edward L.Thorndike invited Cattell to spend a year at Thorndike’s laboratory at Columbia Univer-sity in New York. The following year, Cattell accepted a professorship at Clark Univer-sity in Worcester, Massachusetts, and in 1941 moved to Harvard, where, he said, the“sap of creativity” rose (1974a, p. 71).
His colleagues included Gordon Allport and William Sheldon, who was then develop-ing his theory of personality and body type. Cattell married a mathematician who shared
Chapter 8: Raymond Cattell, Hans Eysenck, The Five-Factor Theory, HEXACO, and the Dark Triad 215
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his research interests, and at the age of 40 settled at the University of Illinois as aresearch professor. He published more than 500 articles, as well as 43 books, a monu-mental accomplishment that reflected his dedication and perseverance.
For the next twenty years, my life was that of a humming dynamo—smooth but powerful. Iwas generally the last out of the parking lot at midnight. There is a story that I arrived at thelaboratory one day to find, to my amazement, not a soul there. I phoned [home] and was told,“We are just sitting down to Thanksgiving dinner.” All days were the same to me. (Cattell,1993, p. 105)
In his 70s, Cattell joined the graduate faculty of the University of Hawaii, where hepermitted himself the luxury of swimming in the ocean every day. It was said that heworked “as hard as an assistant professor up for tenure and not sure that it will begranted” (Johnson, 1980, p. 300).
He died in Honolulu at the age of 92, one year after he had been awarded the GoldMedal Award for Life Achievement in Psychological Science from the American Psy-chological Association, for his “prodigious, landmark contributions to psychology,including factor analytic mappings of the domains of personality” (Gold MedalAward, 1997, p. 797).
LOG ON
Raymond CattellVarious sites provide biographical information, discussions of his theory, research on rel-evant concepts, and links to other resources.
Raymond Cattell InterviewAn informative interview with Raymond Cattell was originally published in The Eugen-ics Bulletin, Spring–Summer 1984.
16 PF QuestionnaireSeveral sites provide information on the origins and research results of this significanttest to measure personality factors.
Cattell’s Approach to Personality Traits
Cattell defined traits as relatively permanent reaction tendencies that are thebasic structural units of the personality. He classified traits in several ways (seeTable 8.1).
Common Traits and Unique Traits
Cattell distinguished between common traits and unique traits. A common trait is onethat is possessed by everyone to some degree. Intelligence, extraversion, and gregarious-ness are examples of common traits. Everyone has these traits, but some people havethem to a greater extent than others. Cattell’s reason for suggesting that common traitsare universal is that all people have a similar hereditary potential and are subject to sim-ilar social pressures, at least within the same culture.
People differ, as we said, in that they possess different amounts or degrees of thesecommon traits. They also differ because of their unique traits, those aspects of personal-ity shared by few other people. Unique traits are particularly apparent in our interestsand attitudes. For example, one person may have a consuming interest in genealogy,
traits To Cattell, reac-tion tendencies,derived by the methodof factor analysis, thatare relatively perma-nent parts of thepersonality.
common traits Traitspossessed in somedegree by all persons.
unique traits Traitspossessed by one or afew persons.
216 The Genetics Approach
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whereas another may be passionately interested in Civil War battles or baseball orChinese martial arts.
Ability, Temperament, and Dynamic Traits
A second way to classify traits is to divide them into ability traits, temperament traits,and dynamic traits. Ability traits determine how efficiently we will be able to worktoward a goal. Intelligence is an ability trait; our level of intelligence will affect the waysin which we strive for our goals.
Temperament traits describe the general style and emotional tone of our behavior;for example, how assertive, easygoing, or irritable we are. These traits affect the wayswe act and react to situations.
Dynamic traits are the driving forces of behavior. They define our motivations, inter-ests, and ambitions.
Surface Traits and Source Traits
A third class of traits is surface traits versus source traits according to their stability andpermanence. Surface traits are personality characteristics that correlate with one anotherbut do not constitute a factor because they are not determined by a single source. Forexample, several behavioral elements such as anxiety, indecision, and irrational fear com-bine to form the surface trait labeled neuroticism. Thus, neuroticism does not derivefrom a single source. Because surface traits are composed of several elements, they areless stable and permanent and, therefore, less important in describing personality.
Of greater importance are source traits, which are unitary personality factors that aremuch more stable and permanent. Each source trait gives rise to some aspect of behav-ior. Source traits are those individual factors derived from factor analysis that combine toaccount for surface traits.
TABLE 8.1 Ways of classifying traits
Common traits Everyone shares common traits to some degree; for example, everyonehas some measure of intelligence or of extraversion.
Unique traits Each of us has unique traits that distinguish us as individuals; forexample, a liking for politics or an interest in baseball.
Ability traits Our skills and abilities determine how well we can work toward ourgoals.
Temperament traits Our emotions and feelings (whether we are assertive, fretful, or easy-going, for example) help determine how we react to the people andsituations in our environment.
Dynamic traits The forces that underlie our motivations and drive our behavior.
Surface traits Characteristics composed of any number of source traits, or behavioralelements; they may be unstable and impermanent, weakening orstrengthening in response to different situations.
Source traits Single, stable, permanent elements of our behavior.
Constitutional traits Source traits that have biological origins, such as the behaviors thatresult from drinking too much alcohol.
Environmental-mold traits Source traits that have environmental origins, such as the behaviorsthat result from the influence of our friends, work environment, orneighborhood.
ability traits Traits thatdescribe our skills andhow efficiently we willbe able to work towardour goals.
temperament traitsTraits that describe ourgeneral behavioralstyle in responding toour environment.
dynamic traits Traitsthat describe ourmotivations andinterests.
surface traits Traitsthat show a correlationbut do not constitute afactor because theyare not determined bya single source.
source traits Stableand permanent traitsthat are the basic fac-tors of personality,derived by the methodof factor analysis.
Chapter 8: Raymond Cattell, Hans Eysenck, The Five-Factor Theory, HEXACO, and the Dark Triad 217
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Constitutional Traits and Environmental-Mold Traits
Source traits are classified by their origin as either constitutional traits or environmental-mold traits. Constitutional traits originate in biological conditions but are not necessar-ily innate. For example, alcohol or drug use can lead to behaviors such as carelessness,talkativeness, and slurred speech.
Environmental-mold traits derive from influences in our social and physical environ-ments. These traits are learned characteristics and behaviors that impose a pattern on thepersonality. The behavior of a person reared in an impoverished inner-city neighborhoodis molded differently from the behavior of a person reared in upper-class luxury. Acareer military officer shows a different pattern of behavior from a jazz musician. Thus,we see that Cattell recognized the interaction between personal and situational variables.
Source Traits: The Basic Factors of Personality
After more than two decades of intensive factor-analytic research, Cattell (1965) identi-fied 16 source traits as the basic factors of personality. These factors are best known inthe form in which they are most often used, in an objective personality test called theSixteen Personality Factor (16 PF) Questionnaire (see Table 8.2).
As you can see from Table 8.2, the personality characteristics associated with thesetraits are expressed in words we use in our everyday conversation when describing our
TABLE 8.2 Cattell’s source traits (factors) of personality
FACTOR LOW SCORERS HIGH SCORERS
A Reserved, aloof, detached Outgoing, warmhearted, easygoing
B Low in intelligence High in intelligence
C Low ego strength, easily upset, lessemotionally stable
High ego strength, calm, emotionallystable
E Submissive, obedient, docile, unsure,meek
Dominant, assertive, forceful
F Serious, sober, depressed, worrying Happy-go-lucky, enthusiastic, cheerful
G Expedient, low in superego Conscientious, high in superego
H Timid, shy, aloof, restrained Bold, adventurous
I Tough-minded, self-reliant, demanding Tender-minded, sensitive, dependent
L Trusting, understanding, accepting Suspicious, jealous, withdrawn
M Practical, down-to-earth, concerned withdetail
Imaginative, absentminded
N Forthright, naïve, unpretentious Shrewd, worldly, insightful
O Self-assured, secure, complacent Apprehensive, insecure, self-reproaching
Q1 Conservative, holds traditional values,dislikes change
Radical, liberal, experimenting, embraceschange
Q2 Group-dependent, prefers to join andfollow others
Self-sufficient, resourceful, independent
Q3 Uncontrolled, lax, impulsive Controlled, compulsive, exacting
Q4 Relaxed, tranquil, composed Tense, driven, fretful
constitutional traitsSource traits thatdepend on our physio-logical characteristics.
environmental-moldtraits Source traits thatare learned from socialand environmentalinteractions.
218 The Genetics Approach
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friends and ourselves. No doubt you can tell at a glance whether you score high, low, orsomewhere in between on these basic personality factors.
Cattell later identified additional factors he designated as temperament traits becausethey relate to the general style and emotional tone of behavior. He gave as examplesexcitability, zest, self-discipline, politeness, and self-assurance (Cattell, 1973; Cattell &Kline, 1977).
It is important to remember that in Cattell’s system, source traits are the basic ele-ments of personality just as atoms are the basic units of the physical world. He arguedthat psychologists cannot understand or generate laws about personality without describ-ing precisely the nature of these elements.
Dynamic Traits: The Motivating Forces
Cattell described dynamic traits as the traits concerned with motivation, which is animportant issue in many personality theories. Cattell believed that a personality theorythat failed to consider the impact of dynamic, or motivating, forces is incomplete, liketrying to describe an engine but failing to mention the type of fuel on which it runs.
The Influences of Heredity and Environment
Cattell showed great interest in the relative influences of heredity and environment inshaping personality. He investigated the importance of hereditary and environmentalfactors by statistically comparing similarities found between twins reared in the samefamily, twins reared apart, non-twin siblings reared in the same family, and non-twinsiblings reared apart. Thus, he was able to estimate the extent to which differences intraits could be attributed to genetic or to environmental influences.
The results of his analyses showed that for some traits, heredity plays a majorrole. For example, Cattell’s data suggest that 80 percent of intelligence (Factor B) and80 percent of timidity versus boldness (Factor H) can be accounted for by genetic fac-tors. Cattell concluded that overall, one-third of our personality is genetically based, andtwo-thirds is determined by social and environmental influences.
Stages of Personality Development
Cattell proposed six stages in the development of personality covering the entire life span(see Table 8.3).
TABLE 8.3 Cattell’s stages of personality development
STAGE AGE DEVELOPMENT
Infancy Birth to 6 Weaning; toilet training; formation of ego, superego, and socialattitudes
Childhood 6–14 Independence from parents and identification with peers
Adolescence 14–23 Conflicts about independence, self-assertion, and sex
Maturity 23–50 Satisfaction with career, marriage, and family
Late maturity 50–65 Personality changes in response to physical and socialcircumstances
Old age 65þ Adjustment to loss of friends, career, and status
Chapter 8: Raymond Cattell, Hans Eysenck, The Five-Factor Theory, HEXACO, and the Dark Triad 219
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Infancy
The period of infancy, from birth to age 6, is the major formative period for personality.The child is influenced by parents and siblings and by the experiences of weaning andtoilet training. Social attitudes develop along with the ego and the superego, feelings ofsecurity or insecurity, attitudes toward authority, and a possible tendency to neuroticism.Cattell was not a follower of Freud’s, but he incorporated several Freudian ideas into histheory; namely, that the early years of life are crucial in personality formation, and thatoral and anal conflicts can affect personality.
Childhood
Between ages 6 and 14, the childhood stage of personality formation, there are few psy-chological problems. This stage marks the beginning of a move toward independencefrom parents and an increasing identification with peers.
Adolescence
The childhood stage is followed by a more troublesome and stressful stage, adolescence,ages 14 to 23. Emotional disorders and delinquency may be evident as young peopleexperience conflicts centered on the drives for independence, self-assertion, and sex.
Maturity
The fourth phase of development, maturity, lasts from approximately age 23 to 50. It isgenerally a productive, satisfying time in terms of career, marriage, and family situations.The personality becomes less flexible, compared with earlier stages, and thusemotional stability increases. Cattell found little change in interests and attitudes duringthis period.
Adolescence can bea stressful stage ofdevelopment.
Oliverom
g/Shutterstock.com
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Late Maturity
Late maturity, ages 50 to 65, involves personality developments in response to physical,social, and psychological changes. Health, vigor, and physical attractiveness may declineand the end of life may be in view. During this phase, people reexamine their values andsearch for a new self. This period is somewhat similar to Carl Jung’s view of the midlifeperiod.
Old Age
The final stage, old age, from 65 onward, involves adjustments to different kinds oflosses—the death of spouses, relatives, and friends; a career lost to retirement; loss of sta-tus in a culture that worships youth; and a pervasive sense of loneliness and insecurity.
Questions about Human Nature
Cattell’s definition of personality gives us clues about his view of human nature. Hewrote, “Personality is that which permits a prediction of what a person will do in agiven situation” (1950, p. 2). For behavior to be considered predictable, it must be lawfuland orderly. Prediction would be difficult without regularity and consistency in thepersonality.
For example, one spouse can usually predict with considerable accuracy what theother spouse will do in a given situation because that person’s past behavior has beenconsistent and orderly. Therefore, Cattell’s view of human nature admits little spontane-ity because that would make predictability more difficult. On the free will versus deter-minism issue, then, Cattell falls more on the side of determinism.
Cattell did not propose any ultimate or necessary goal that dominates behavior, nodrive for self-actualization to pull us toward the future, no psychosexual conflicts topush us from the past. Although he noted the impact of early life events, he did notbelieve that childhood forces determine the personality permanently.
In late maturity, afterone’s children haveleft home, there isoften a reexaminationof the values of one’slife.
Alexander
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Chapter 8: Raymond Cattell, Hans Eysenck, The Five-Factor Theory, HEXACO, and the Dark Triad 221
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Cattell accepted the influence on personality of both nature and nurture. For example,constitutional traits are innate, whereas environmental-mold traits are learned. On theuniqueness versus universality issue, Cattell took a moderate position, noting the exis-tence of common traits, which apply to everyone in a culture, and unique traits, whichdescribe the individual.
Cattell’s personal view of human nature is clearer. In his younger years, he was opti-mistic about our ability to solve social problems. He predicted that we would gain greaterawareness of and control over our environment. He expected to see the level of intelli-gence rise, along with the development of “a more gracious community life of creativelyoccupied citizens” (1974b, p. 88). Reality did not live up to his expectations, however,and eventually he came to believe that human nature and society had regressed.
Assessment in Cattell’s Theory
Cattell’s objective measurements of personality used three primary assessment techni-ques, which he called L-data (life records), Q-data (questionnaires), and T-data (tests).
Life records (L-data)
The L-data technique involves observers’ ratings of specific behaviors exhibited by peo-ple in real-life settings such as a classroom or office. For example, observers might recordfrequency of absence from work, grades at school, conscientiousness in performing jobduties, emotional stability on the soccer field, or sociability in the office.
The important point about L-data is that they involve overt behaviors that can beseen by an observer and occur in a naturalistic setting rather than in the artificial situa-tion of a psychology laboratory.
Questionnaires (Q-data)
The Q-data technique relies on questionnaires. Whereas the L-data technique calls forobservers to rate the subjects, the Q-data technique requires them to rate themselves.Cattell recognized the limitations of Q-data. First, some people may have only superficialself-awareness, so their answers will not reflect the true nature of their personality.
Second, even if they do know themselves well, they may not want researchers to knowthem. Therefore, they may deliberately falsify their responses. Because of these problems,Cattell warned that Q-data must not automatically be assumed to be accurate.
Personality tests (T-data)
The T-data technique involves the use of what Cattell called “objective” tests, in which aperson responds without knowing what aspect of behavior is being evaluated. These testscircumvent the Q-data’s shortcomings by making it difficult for a subject to know pre-cisely what a test is measuring.
If you cannot guess what the experimenter is trying to find out, then you cannot dis-tort your responses to conceal your traits. For example, if you were shown an inkblot,you probably would not be able to predict whether the researcher’s interpretation ofyour response revealed that you were conservative, relaxed, adventurous, orapprehensive.
Cattell considered tests such as the Rorschach, the Thematic Apperception Test, andthe word-association test to be objective because they are resistant to faking. However, itis important to note that to most psychologists, this use of the word objective is mislead-ing; such tests are usually called subjective because of the biases that affect scoring andinterpretation.
L-data Life-record rat-ings of behaviorsobserved in real-lifesituations, such as theclassroom or office.
Q-data Self-reportquestionnaire ratingsof our characteristics,attitudes, and interests.
T-data Data derivedfrom personality teststhat are resistant tofaking.
222 The Genetics Approach
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The 16 PF (Personality Factor) Test
Cattell developed several tests to assess personality. The most notable is the 16 PF Test,which is based on the 16 major source traits. The test is intended for use with people16 years of age and older and yields scores on each of the 16 scales. The responses arescored objectively; computerized scoring and interpretation are available. The 16 PF Testis widely used to assess personality for research, clinical diagnosis, and predicting successon a job. It has been translated into some 40 languages.
Consider a sample 16 PF Test profile for a hypothetical airline pilot (see Figure 8.1).By reading the high and low points of the plot of test scores, we can see that this personis emotionally stable, conscientious, adventurous, tough-minded, practical, self-assured,controlled, and relaxed. The pilot is not tense, apprehensive, or timid.
Cattell developed several variations of the 16 PF Test. Scales have been prepared tomeasure specific aspects of personality—such as anxiety, depression, and neuroticism—and for special purposes such as marriage counseling and performance evaluation ofbusiness executives. There are also versions of the test for use with children and withadolescents.
Research on Cattell’s Theory
In discussing research methods, Cattell listed three ways to study personality: bivariate,clinical, and multivariate approaches.
Reserved
Lessintelligent
Affected byfeelings
Submissive
Serious
Expedient
Timid
Tough-minded
Trusting
Practical
Forthright
Self-assured
Conservative
Group-dependent
Uncontrolled
Relaxed
Low ScoreDescription
Percentile Rank High ScoreDescription0 10 20 30 40 50 60 70 80 90 100
Outgoing
Moreintelligent
Emotionallystable
Dominant
Happy-go-lucky
Conscientious
Adventurous
Sensitive
Suspicious
Imaginative
Shrewd
Apprehensive
Experimenting
Self-sufficient
Controlled
Tense
FIGURE 8.1Sample 16 PF Test pro-file for a hypotheticalairline pilot.
Based on Cattell, Eber, and Tatsuoka, 1970.
Chapter 8: Raymond Cattell, Hans Eysenck, The Five-Factor Theory, HEXACO, and the Dark Triad 223
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The Bivariate Approach
The bivariate, or two-variable, approach is the standard laboratory experimental method.The psychologist manipulates the independent variable to determine its effect on thesubjects’ behavior (the dependent variable). This approach has also been called univari-ate because only one variable is studied at a time.
Cattell agreed that bivariate research is scientific, rigorous, and quantitative but arguedthat it dealt with only limited aspects of personality. In reality, personality is affected bymany interacting variables. Also, in the typical artificial laboratory situation, significantemotional experiences cannot be manipulated and duplicated. Thus, for Cattell, the bivari-ate approach was too restrictive to reveal much about personality traits.
The Clinical Approach
The clinical approach, which includes case studies, dream analysis, free association, andsimilar techniques, is highly subjective, as noted in Chapters 2 and 5. These methods donot yield verifiable and quantifiable data. Cattell wrote, “The clinician has his heart inthe right place, but perhaps we may say that he remains a little fuzzy in his head”(1959, p. 45).
The Multivariate Approach
Cattell chose to study personality through the multivariate approach, which yields highlyspecific data. It involves the sophisticated statistical procedure of factor analysis. Cattellfavored two forms of factor analysis: the R technique and the P technique.
The R technique involves collecting large amounts of data from a group of people.Correlations among all the scores are made to determine personality factors or traits.The P technique involves collecting a large amount of data from a single subject over along period.
A Sample of Research Findings
Let us consider a few of the hundreds of factor-analytic studies Cattell and his associatesconducted, as well as more recent examples of research using Cattell’s test. We notedthat he was interested in the relative effects on personality of heredity andenvironment.
From a factor analysis of 16 PF Test data from 3,000 male subjects ages 12 to 18,Cattell (1982) concluded that three of the source traits were determined primarily byheredity. These source traits are Factor F (serious versus happy-go-lucky), Factor I(tough-minded versus tender-minded or sensitive), and Factor Q3 (uncontrolled versuscontrolled). Three other traits were found to be determined primarily by environmentalinfluences: Factor E (submissive versus dominant), Factor G (expedient versus conscien-tious), and Factor Q4 (relaxed versus tense).
Cattell used the 16 PF Test to define the relationship between personality traits andmarital stability (Cattell & Nesselroade, 1967). The subjects were married couples identi-fied as having either a stable or an unstable marriage. The criterion for stability waswhether a couple had taken steps toward dissolving the marriage.
Factor analysis showed that marital stability could be predicted from the test scores.Partners in stable marriages had similar personality traits, whereas partners in unstablemarriages showed highly different personality traits.
It has also been found that the 16 PF Test, like other personality tests, can be dis-torted or faked. In one study, college students, prisoners, and substance abusers tookthe test twice. The first time they were asked to answer honestly, whereas thesecond time they were asked to answer in ways that would present them in a more
224 The Genetics Approach
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favorable light. The results showed significant differences in the two sets of responses(Simon, 2007).
A study conducted in South Africa found that translation into the Tshivenda languagechanged the meanings of the test questions so much that the responses were invalid. Aswith other personality tests and some languages, a literal translation proved impossible(Van Eeden & Mantsha, 2007).
Research using the Greek version of the 16 PF Test (which had been translated satis-factorily) clearly distinguished the personality characteristics of Greek elementary andpreschool teachers from the test norms for the population of Greece as a whole(Roussi-Vergou, Angelosopoulou, & Zafiropoulou, 2009; Roussi-Vergou & Zafiropoulou,2011). A Turkish translation of the 16 PF Test has also been found to be valid measureof personality differences (Aksu, Sekercioglu, Ehtiyar, Yildiz, & Yimaz, 2010).
Reflections on Cattell’s Theory
Despite Cattell’s legitimate claim that factor analysis is an objective, precise technique,critics argue that the opportunity exists for subjectivity to affect the outcome. At severalstages in the research process, decisions are required that may be influenced by personalpreferences.
In the initial step of data collection, researchers must decide which tests to use and whataspects of behavior to measure. They must then determine which factor-analytic techniqueto apply and what level of statistical significance will be accepted as appropriate.
Once the factors, or traits, have been identified, the researcher labels them. If thesenames are ambiguous in any way, they may not accurately express the nature of the fac-tors. This criticism does not suggest inherent weaknesses in Cattell’s theory but thatthere is potential for subjective error in the factor-analytic approach. Perhaps it is thisvery subjectivity that accounts for the difficulty other researchers have in replicatingCattell’s findings and confirming his 16 basic source traits.
Cattell understood his failure to persuade other psychologists of the wisdom of hisviews and defended his approach as the only one of value for studying personality. Atthe age of 85, he reiterated this point, criticizing contemporary psychologists for failingto master and apply factor analysis and lamenting that his work remained isolated fromthe mainstream of personality theorizing. He remained convinced that one day his workwould allow for the prediction of human behavior with the same degree of accuracy withwhich astronomers predict the movements of planets (1974a, 1974b, 1990, 1993).
HIGHLIGHTS: Research on Cattell’s Ideas
Studies have shown that the 16 PF Test:
• Can predict marital stability• Can be faked if you want to present yourself in a more favorable light• Can be used in many cultures, but for some languages a literal translation
of the test items is not possible• Yielded results indicating that some source traits are primarily inherited
while others are determined primarily by environmental influences• Can identify 16 source traits of personality• Can be used for research, clinical diagnosis, and predicting success on the job
Chapter 8: Raymond Cattell, Hans Eysenck, The Five-Factor Theory, HEXACO, and the Dark Triad 225
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The consensus of current opinion among personality psychologists affirms Cattell’sbelief in the value of his approach. He is generally considered to be not only the fatherof the personality trait approach but also one of the 20th century’s most influential psy-chologists (see Denis, 2009; Revelle, 2009; Tucker, 2009). Whatever the eventual outcomeof Cattell’s specific proposals, it is clear that the trait approach to personality and theinvestigation of genetic influences, which he initiated, continue to fascinate contempo-rary researchers, as we shall see throughout the rest of this chapter.
Behavioral Genetics
We have mentioned the growing evidence to support the idea that some traits are influ-enced by hereditary factors. The area of study focusing on the connection between genet-ics and personality is often called behavioral genetics. Regardless of the method used toevaluate or investigate personality, a significant genetic component must be considered.
Allport and Cattell were among the first to suggest that inherited factors shapepersonality and that they rank in importance with environmental factors. Let us nowconsider other researchers who have pursued this causal connection between geneticinheritance and personality.
Hans Eysenck (1916–1997)
Resigned to Psychology
Hans Eysenck was born in Berlin, and immigrated to England in 1934, after Adolf Hitlercame to power in Germany. Eysenck wanted to study physics at the University ofLondon, but was told that he lacked the requisite academic background. Greatly discour-aged, he asked university officials if there was any other science in which he could major.
Eysenck recalled, “I was told there was always psychology. ‘What on earth is that?’ Iinquired in my ignorance. ‘You’ll like it,’ they said. And so I enrolled in a subject whosescientific status was perhaps a little more questionable than my advisers realized” (1980,p. 156). More than 40 years later, the highly successful and productive Eysenck wasasked if he had ever regretted his career choice. Often, he replied, but admitted that hewas resigned to it.
A Prolific Record
Over the course of his career, Eysenck published amazing 79 books, including some forthe general public, and an equally amazing 1,097 journal articles. At the time of hisdeath, he was the world’s most frequently cited psychologist (Farley, 2000). Unfortu-nately, when he died, his wife destroyed all of his personal and professional papers(Harris, 2011).
He developed several personality assessment devices including the Eysenck Personal-ity Inventory, the Eysenck Personality Profiler, the Maudsley Medical Questionnaire, andthe Maudsley Personality Inventory. His work has been pivotal in supporting the role ofinheritance in personality and in integrating the scientific study of personality into psy-chology as a whole (see Corr, 2007; Revelle & Oehlberg, 2008; Rose, 2010).
The Dimensions of Personality
Eysenck spent most of his career at the University of London’s Maudsley Hospital andInstitute of Psychiatry, conducting research on the measurement of personality. Heagreed with Cattell that personality is composed of traits, or factors, derived by the
behavioral geneticsThe study of the rela-tionship betweengenetic or hereditaryfactors and personalitytraits.
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factor-analytic method. However, Eysenck was also a critic of factor analysis and ofCattell’s research because of the potential subjectivity in the technique and the difficultyin replicating Cattell’s findings. Although Eysenck used factor analysis to uncover per-sonality traits, he supplemented the method with personality tests and experimentalstudies that considered a wide range of variables.
A Joint Effort
Eysenck and his second wife, Sybil (Ph.D., University of London), together developedmany of the questionnaires used in their research (Furnham, Eysenck, & Saklofske,2010). The Eysenck Personality Inventory (Eysenck & Eysenck, 1963) required 12 yearsof joint research and 20 factor analyses. Hans Eysenck wrote, “Although published in ourjoint names, [it] is largely a monument to her skill, patience, and endurance” (1980,p. 172). Few scientists in any discipline have been so straightforward in acknowledgingthe research contributions of their spouses.
Three Dimensions of Personality
The result of their efforts is a personality theory based on three dimensions, defined as com-binations of traits or factors. We might think of the dimensions as superfactors (Eysenck,1990a, 1990b; Eysenck & Eysenck, 1985). The three personality dimensions are:
E—Extraversion versus introversion
N—Neuroticism versus emotional stability
P—Psychoticism versus impulse control (or superego functioning)
Eysenck noted that the dimensions of extraversion and neuroticism have been recog-nized as basic elements of personality since the time of the ancient Greek philosophers.Eysenck (1997) also suggested that formulations of the same dimensions could be foundon nearly every personality assessment device ever developed. The Eysenck PersonalityInventory has since been used with great success in translated forms in nearly 40 countries,including those as diverse as Italy and Kuwait (see Abdel-Khalek, 2012; Dazzi, 2011).
Consider the list of personality traits associated with Eysenck’s three personalitydimensions (see Table 8.4). You can see clearly, for example, that people who scorehigh on the traits of the E dimension would be classified as extraverts, whereas peoplewho score low would be classified as introverts.
TABLE 8.4 Traits of Eysenck’s personality dimensions
EXTRAVERSION/INTROVERSION
NEUROTICISM/EMOTIONALSTABILITY
PSYCHOTICISM/IMPULSECONTROL
Sociable Anxious Aggressive
Lively Depressed Cold
Active Guilt feelings Egocentric
Assertive Low self-esteem Impersonal
Sensation seeking Tense Impulsive
Carefree Irrational Antisocial
Dominant Shy Creative
Venturesome Moody Tough-minded
Chapter 8: Raymond Cattell, Hans Eysenck, The Five-Factor Theory, HEXACO, and the Dark Triad 227
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Stability over Time
The traits and dimensions Eysenck proposed tend to remain stable throughout the lifespan despite our different social and environmental experiences. Our situations maychange but the dimensions remain consistent. For instance, the introverted child tendsto remain introverted through adolescence and into adulthood (see Ganiban, Saudino,Ulbricht, Neiderhiser, & Reiss, 2008). Other studies in England and the Scandinaviancountries confirm the stability over time of Eysenck’s dimensions, particularly extraver-sion and neuroticism (Billstedt et al., 2014; Gale, Booth, Mottus, Kuh, & Deary, 2013).
The Role of Intelligence
Eysenck also conducted considerable research on intelligence. Although he did not listintelligence as a personality dimension, he considered it an important influence on person-ality. He noted that a person with an IQ of 120, which is high, is likely to have a more com-plex and multidimensional personality than a person with an IQ of 80. His research alsosuggested that some 80 percent of our intelligence is inherited, leaving only 20 percent asthe product of social and environmental forces (Eysenck & Eysenck, 1985).
LOG ON
Hans EysenckVarious sites provide biographical information, discussions of his theory, research on rel-evant concepts, and links to other resources.
Extraversion
Based on your own experience, you can probably describe most extraverts and introvertspretty accurately. Extraverts are oriented toward the outside world, prefer the companyof other people, and tend to be sociable, impulsive, adventurous, assertive, and dominant.
In addition, people who score high in extraversion on the Eysenck Personality Inventoryhave been found to experience more pleasant emotions and to be happier than those whoscore low in extraversion (Fisher & Francis, 2013; Holder & Klassen, 2010; Lucas & Fujita,2000). Extraverted businessmen have been shown to be much better at performing difficulttasks than introverted businessmen (Campbell, Alana, Davalos, McCabe, & Troup, 2011).
Eysenck was interested in how extraverts and introverts might differ biologically andgenetically. He found that extraverts have a lower base level of cortical arousal than intro-verts do. Because the cortical arousal levels for extraverts are low, they need, and activelyseek, excitement and stimulation. In contrast, introverts shy away from excitement andstimulation because their cortical arousal levels are already high (Eysenck, 1990b).
As a result, introverts react more strongly than extraverts to sensory stimulation.Studies have shown that introverts exhibit greater sensitivity to low-level stimuli andhave lower pain thresholds than extraverts. Other research supports differentialresponses to sensory stimulation but reports less convincing evidence that such differ-ences can be attributed to variations in cortical arousal levels (Bullock & Gilliland,1993; Hagemann & Naumann, 2009; Stelmack, 1997). Nevertheless, as Eysenck pre-dicted, these differences are genetically based.
Neuroticism
As you can see in Table 8.4, neurotics are characterized as anxious, depressed, tense, irra-tional, and moody. They may also have low self-esteem and be prone to guilt feelings.
228 The Genetics Approach
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Eysenck suggested that neuroticism is largely inherited, a product of genetics rather thanlearning or experience.
Research on 16- to 70-year-old Americans conducted over a 2-year period showedthat increasing satisfaction gained from work and social relationships was associatedwith a lower level of neuroticism and a higher level of extraversion (Scollon & Diener,2006). Studies in Australia found that people who scored high in neuroticism on theEysenck Personality Inventory outperformed those who scored low when their workenvironment was fast-paced and stressful. In other words, neurotics seem to functionbest in busy situations where they were forced to work harder (Smillie, Yeo, Furnham,& Jackson, 2006).
A study in England showed that people high in neuroticism scored lower in verbalabilities than did people low in neuroticism (Chamorro-Premuzic, Furnham, & Petrides,2006). And research on people in Sweden found that those who scored high in neuroti-cism in middle age were much more likely to show cognitive impairments when testedagain 25 years later (Crowe, Andel, Pedersen, Fratiglioni, & Gatz, 2006).
People high in neuroticism have greater activity in the brain areas that control thesympathetic branch of the autonomic nervous system. This is the body’s alarm system,which responds to stressful or dangerous events by increasing breathing rate, heart rate,blood flow to the muscles, and release of adrenaline. Eysenck argued that in neurotics,the sympathetic nervous system overreacts even to mild stressors, resulting in chronichypersensitivity.
This condition leads to heightened emotionality in response to almost any difficultsituation. Indeed, neurotics react emotionally to events other people consider insignifi-cant. According to Eysenck, these differences in biological reactivity on the neuroticismdimension are innate. People are genetically predisposed either toward neuroticism ortoward emotional stability.
Psychoticism
People who score high in psychoticism are aggressive, antisocial, tough-minded, cold,and egocentric. Also, they have been found to be cruel, hostile, and insensitive to theneeds and feelings of others. In addition, they score low on emotional well-being andhave greater problems with alcohol, drug abuse, and violent criminal behavior thanpeople who score low in psychoticism (Boduszek, Shevlin, Adamson, & Hyland, 2013;Ciarrochi & Heaven, 2007; Sher, Bartholow, & Wood, 2000).
Paradoxically, people who score high in psychoticism can also be highly creative. Theresearch evidence tends to suggest a large genetic component. However, it has also beenfound that those who scored high in psychoticism had more authoritarian and control-ling parents than those who scored low, thus supporting the potentially harmful influ-ence of the childhood environment (Heaven & Ciarrochi, 2006).
Men generally tend to score higher on psychoticism than women, which led Eysenckto suggest that psychoticism may be related to male hormones. He also speculated thatpeople who score high on all three dimensions may be apt to display criminal behaviorbut cited only modest empirical support for this idea (Eysenck & Gudjonsson, 1989).Research conducted in China has demonstrated a significant positive correlation betweencriminal behavior and high scores on both the psychoticism and neuroticism dimensions(Huo-Liang, 2006).
Eysenck believed that society needs the diversity provided by people characterized byall aspects of these three personality dimensions. An ideal society affords people theopportunity to make the best use of their traits and abilities. However, some people willadapt to the social environment better than others will.
Chapter 8: Raymond Cattell, Hans Eysenck, The Five-Factor Theory, HEXACO, and the Dark Triad 229
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The person high in psychoticism, for example, typified by hostile and aggressive beha-viors, may become emotionally disturbed, or exhibit criminal tendencies, or channel theaggressive traits into a socially acceptable enterprise such as coaching college football.
The Primary Role of Heredity
To Eysenck, traits and dimensions are determined primarily by heredity, although theresearch evidence shows a stronger genetic component for extraversion and neuroticismthan for psychoticism. Eysenck did not rule out environmental and situational influenceson personality, such as family interactions in childhood, but he believed their effects onpersonality were limited (Eysenck, 1990a).
His research design involved comparisons of identical (monozygotic) and fraternal(dizygotic) twins. The studies showed that identical twins are more alike in their person-alities than are fraternal twins, even when the identical twins were reared by differentparents in different environments during childhood. Studies of adopted children demon-strate that their personalities bear a greater similarity to the personalities of their biolog-ical parents than of their adoptive parents, even when the children had no contact withtheir biological parents. This is additional support for Eysenck’s idea that personalityowes more to our genetic inheritance than to our environment.
Cross-cultural research demonstrates that Eysenck’s three personality dimensions havebeen found consistently in more than 35 nations including the United States, England,Australia, Japan, China, Nigeria, and Sweden (see, for example, Bouchard, 1985; Eaves,Eysenck, & Martin, 1989; Floderus-Myrhed, Pedersen, & Rasmuson, 1980; Hur, 2009;Martin & Jardine, 1986; Tellegen, Lykken, Bouchard, Wilcox, Segal, & Rich, 1988). Theconfirmation of the same three personality dimensions in diverse cultures is further evi-dence for the primacy of inherited factors in the shaping of personality.
Robert McCrae and Paul Costa: The Five-FactorModel
Using the factor-analytic method, the personality traits Cattell and Eysenck derived var-ied in number. This does not indicate an inherent weakness in the method but insteadreflects the way each theorist chose to measure personality. Some more recent personal-ity researchers have expressed dissatisfaction with both theories, suggesting that Eysenckhad too few dimensions (three) and Cattell had too many factors (sixteen).
HIGHLIGHTS: Research on Eysenck’s Ideas
Research on Eysenck’s three dimensions of personality shows that:
• Extraverts experience more pleasant emotions• Extraverts have lower base levels of cortical arousal• Neurotics have low self-esteem and high guilt feelings• Neurotics function well in fast-paced, stressful jobs• Neurotics score lower in verbal ability• Psychotics can be cruel, hostile, and insensitive• Psychotics have more problems with alcohol and drug abuse• Psychotics are aggressive, antisocial, and egocentric• All three personality dimensions are determined primarily by heredity
230 The Genetics Approach
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Working at the Gerontology Research Center of the National Institutes of Health inBaltimore, Maryland, Robert McCrae (1949–) and Paul Costa (1942–) embarked on anextensive research program starting in the 1980s that identified five so-called robust orBig Five factors (McCrae & Costa, 1985b, 1987). These factors are neuroticism, extraver-sion, openness, agreeableness, and conscientiousness. More than 25 years and hundredsof studies later, one of the originators of the five-factor model accurately described it asmarking “a turning point in the history of personality psychology” (McCrae, 2011,p. 210).
Measuring the Five Factors
The factors were confirmed through a variety of assessment techniques including self-ratings, objective tests, and observers’ reports. McCrae and Costa then developed a per-sonality test, the NEO Personality Inventory, using an acronym derived from the initialsof the first three factors. The test is available in a number of revised forms.
A shorter version has been developed for research use on the Internet (Buchanan,Johnson, & Goldberg, 2005). The consistent finding of the same factors from differentassessment procedures suggests that these factors can be relied on as distinguishingaspects of personality. The five factors and their characteristic traits are listed inTable 8.5.
Other researchers, following the lead provided by McCrae and Costa, developedadjective checklists that have proven to be quicker measures of the five factors. Researchsubjects typically respond to the lists by selecting the words that best describethemselves. One such list uses 100 adjectives to measure the five factors; another usesonly 40.
It is important to note that even though other tests have been proposed as ways tomeasure the Big Five factors, the NEO remains the most frequently used technique.However, research has shown that the results of the NEO, like all self-report inventories,can be distorted by the deliberate behavior of subjects who want to create the impressionof positive psychological adjustment.
Origin and Overlap of Factors
Studies of twins have found that four of the five factors show a stronger hereditary com-ponent: neuroticism, extraversion, openness, and conscientiousness. Agreeableness wasfound to have a stronger environmental component (Bergeman et al., 1993; Pedersen,Plomin, McClearn, & Friberg, 1988).
There is a similarity between the extraversion and neuroticism factors of McCrae andCosta and the extraversion and neuroticism dimensions proposed by Eysenck. Further,agreeableness and conscientiousness in the McCraeCosta model may represent the low
TABLE 8.5 McCrae and Costa’s Big Five personality factors
FACTOR DESCRIPTION
Neuroticism Worried, insecure, nervous, highly strung
Extraversion Sociable, talkative, fun-loving, affectionate
Openness Original, independent, creative, daring
Agreeableness Good-natured, softhearted, trusting, courteous
Conscientiousness Careful, reliable, hardworking, organized
Chapter 8: Raymond Cattell, Hans Eysenck, The Five-Factor Theory, HEXACO, and the Dark Triad 231
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end of Eysenck’s psychoticism dimension (impulse control). Openness shows a high pos-itive correlation with intelligence. Similarly, agreeableness correlates with Adler’s conceptof social interest, which we discussed in Chapter 4.
Cross-Cultural Consistency
The five factors have been consistently observed in Eastern as well as Western cultures, afinding that also supports a genetic component. McCrae and Costa noted that the BigFive factors and their traits appear to represent a “common human structure of person-ality” that transcends cultural differences (1997, p. 515).
These five factors and their traits have been found in more than 50 diverse nationsincluding Britain, Germany, Portugal, the Czech Republic, Turkey, Israel, China, Korea,Japan, France, the Philippines, Russia, India, Denmark, Italy, Lebanon, Canada, andRomania, and among both native-born and Hispanic residents of the United States (seeAllik, Realo, Mottus, Pullmann, Trifonova, & McCrae, 2009; Heine & Buchtel, 2009;Ispas, Iliescu, Llie, & Johnson, 2014).
It is important to note that those countries in which the five factors have been mea-sured tend to be urban, literate, well-educated societies. No evidence of the five factorswas found in an extensive study of a small, isolated, largely illiterate tribal group residingin a remote area of Bolivia (Gurven, von Rueden, Massenkoff, Kaplan, & Lero Vie,2013).
The Relative Value of the Factors in Different Cultures
Although the same factors are common to virtually all urban cultures, major differenceshave been recognized in their relative importance and social desirability from one cultureto another. For example, Australians consider extraversion and agreeableness to be moredesirable to have than the other three factors.
By contrast, Japanese consider conscientiousness to be more important than all otherfactors. In other words, in Japanese society it is more important for a person to be con-scientious than to be extraverted, agreeable, open, or even emotionally stable.
In Hong Kong and in India, agreeableness was found to be the most important factor.In Singapore, emotional stability was more important, whereas in Venezuela, the primarycharacteristic to praise is extraversion.
No single factor was found to be more significant than others in Chile, Finland,Germany, the Netherlands, Norway, Turkey, and the United States. Overall, Europeansand Americans tended to score higher in extraversion and openness to experience andlower in agreeableness than did Asians and Africans (Allik & McCrae, 2004; McCrae &Terracciano, 2005).
Gender Differences
There seem to be consistent sex differences in the five factors. Research carried out in55 countries, both Eastern and Western, found that women reported higher levels of neu-roticism, extraversion, agreeableness, and conscientiousness than men. These differenceswere most pronounced in prosperous and egalitarian nations where women had greateropportunity for education and employment (Schmitt, Realo, Voracek, & Allik, 2008).
How People View Themselves and Others
There appears to be a consistency across cultures in how people view their own person-alities and those of others. People tend to see themselves as being more neurotic andopen to experience than others see them. They also tend to see others as higher in
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conscientiousness than they believe themselves to be (Allik, Realo, Mottus, Borkenau,Kuppens, & Hrebickova, 2010).
Stability of the Factors over Time
There are a large number of studies dealing with the stability of the five factors overtime, some of which may appear to offer contradictory findings. Note carefully how theresults may vary by country and, most important, by the range of ages included in thesestudies. Some cover longer time periods then others.
The five factors have been found in children as well as adults. Longitudinal researchstudying the same people over a 6-year period demonstrated a high level of stability forall five traits (Costa & McCrae, 1988). Those high in agreeableness as children werelikely to remain so as adults. A study in Finland of twins ages 18 to 59 found a highdegree of stability for both men and women on extraversion and neuroticism over that40-year age span (Viken, Rose, Kaprio, & Koskenvuo, 1994).
A study of American men and women from late adolescence into adulthood, foundmodest but statistically significant stability for the extraversion and neuroticism factors(Carmichael & McGue, 1994). A comparison of American and Belgian adolescents over a4-year period showed that the factors of extraversion, agreeableness, and conscientious-ness remained stable, whereas openness to experience increased for both males andfemales during those 4 years (McCrae et al., 2002).
Men and women college graduates were tested for extraversion when they were stu-dents and again 20 years later. The researchers found a significant positive correlationbetween the test scores at the two ages, suggesting that those who were extraverted incollege remained so at midlife. The study also showed that those who scored high inextraversion were, as expected, more sociable and outgoing than those who scored low(Von Dras & Siegler, 1997).
Another large-scale study comparing measures taken 40 years apart from adults in theUnited States found that the factors of extraversion and conscientiousness remained themost stable over the duration of the research period (Hampson & Goldberg, 2006).
Changes in personality over a shorter time period, from adolescence to adulthood, asstudied in the Czech Republic and in Russia, showed that neuroticism, extraversion, andopenness to experience declined during those years, whereas agreeableness and conscien-tiousness rose (McCrae et al., 2004a, 2004b). Research on adults in Germany in their 40sand then again in their 60s showed that neuroticism declined from the earlier decade tothe later one (Allemand, Zimprich, & Hertzog, 2007).
A large-scale research review showed that neuroticism, extraversion, and opennessappeared to decrease as people reached their 60s, whereas agreeableness and conscien-tiousness seem to increase with age (Debast et al., 2014).
Predicting Changes over Time
Preschool teachers were asked to predict what their 3- to 6-year-old students would belike in 20 years. Their expectations, based on observations of the children’s behavior,corresponded with the students’ scores on the Big Five personality factors. These resultssuggest that the teachers assumed that preschool behavior would be closely related toadult behavior (Graziano, Jensen-Campbell, & Sullivan-Logan, 1998).
This raises the question of whether such expectations might lead teachers and parentsto reinforce certain behaviors to strengthen genetically based personality characteristics.Do parents and teachers treat extraverted children differently from introverted children,for example, in ways that would strengthen each group’s differential inherited behavioraltendencies?
Chapter 8: Raymond Cattell, Hans Eysenck, The Five-Factor Theory, HEXACO, and the Dark Triad 233
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Emotional Correlates
Emotional well-being and happiness In a number of studies, extraversion waspositively related to emotional well-being (see, for example, Heller, Watson, & Hies,2004; Lischetzke & Eid, 2006). Neuroticism has been negatively related to emotionalwell-being. Researchers have concluded that people high in extraversion and low in neu-roticism were genetically predisposed to emotional stability (Costa & McCrae, 1984;Watson, Clark, McIntyre, & Hamaker, 1992).
A study of men and women college students found that those scoring high in extraver-sion were able to cope with everyday life stress better than those scoring low in extraver-sion. Extraverts were also more likely to seek social support to help them deal with stress(Amirkhan, Risinger, & Swickert, 1995). It has also been found that the depression facet ofneuroticism and the positive emotions/cheerfulness facet of extraversion are the most con-sistent predictors of general life satisfaction and emotional well-being (Schimmack, Oishi,Furr, & Funder, 2004).
Other studies of teenagers conducted in the United States, Brazil, and Italy confirmedthat extraversion was related to happiness, optimism, and life satisfaction. Openness tonew experiences, conscientiousness, and low scores on neuroticism were also involvedin having positive feelings (Bassi, Steca, Monzani, & Fave, 2014; Suldo, Minch, &Hearon, 2014; Zanon, Bastianello, Pacico, & Huiz, 2014).
In another study, persons high in agreeableness and conscientiousness showed greateremotional well-being than persons low in these traits (McCrae & Costa, 1991). Peoplehigh in the agreeableness factor were also found to be cooperative, helpful, altruistic,honest, and selfless (Digman, 1990; John, 1990). A study of workers in China foundthat the factors of extraversion, conscientiousness, and low neuroticism were related tosubjective well-being (Zhai, Willis, O’Shea, Zhai, & Yang, 2013).
Psychological distress has been associated with high scores on the neuroticism factor(DeRaad, 2000; Larsen & Kasimatis, 1991; Ormel & Wohlfarth, 1991). People high inneuroticism have been found to be prone to depression, anxiety, substance abuse, andself-blame (Jorm, 1987; Kotov, Gamez, Schmidt, & Watson, 2010; Parkes, 1986).
A large-scale study in Germany found that those who scored high on neuroticism andopenness had a greater risk for suicide. Those with the lowest risk were high in extraver-sion and conscientiousness (Bluml, Kapusta, Doering, Brahler, Wagner, & Kersting,2013).
HIGHLIGHTS: Research on McCrae and Costa’s Ideas
Research on the five factors of personality shows that:
• Neuroticism, extraversion, openness, and conscientiousness have astrong hereditary component
• The factor of agreeableness has a strong environmental component• All five factors have been found in diverse cultures• Most of the factors remain stable to some degree over the life span• Women report higher levels of neuroticism, extraversion, agreeableness,
and conscientiousness than men• We tend to see others as being more conscientious and less neurotic
than ourselves
234 The Genetics Approach
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Popularity and Success Studies of college students in the United States found thatthose who scored high in extraversion enjoyed higher status and prominence amongtheir peers than those who scored low in extraversion (Anderson, John, Keltner, &Kring, 2001). Those high in extraversion rated social situations as positive only if the sit-uation was pleasant, indicating the importance of positive emotions in the factor ofextraversion (Lucas & Diener, 2001).
A study of fifth- to eighth-grade students showed that those high in conscientiousnesswere more likely to be accepted by their peers, to have more and better quality friend-ships, and to be less likely to be the target of aggression than those low in conscientious-ness (Jensen-Campbell & Malcolm, 2007).
Other research with college students found that over a 4-year period, extraverts werelikely to experience a greater number of positive events, such as a good grade, a payraise, or marriage. Students scoring high in neuroticism were more predisposed to nega-tive events such as illness, weight gain, traffic tickets, or rejection by graduate school(Magnus, Diener, Fujita, & Pavot, 1993). Research on adults in the United States, ages25 to 74, found that everyday life stressors had significantly higher negative emotionaleffects for the people who scored high in neuroticism (Mroczek & Almeida, 2004).
A study in Sweden of identical and fraternal twins reared together and apart con-firmed the relationship for women between personality variables and desirable lifeevents. Women who scored high in extraversion and openness to experience were signif-icantly more likely to experience positive life events. Women who scored high in neurot-icism were significantly more likely to experience negative life events (Saudino, Pedersen,Lichtenstein, McClearn, & Plomin, 1997).
Teenagers in the Netherlands who scored high in extraversion, emotional stability,and agreeableness were judged by their classmates to be more popular and likeable(Van der Linden, Scholte, Cillessen, Nijenhuis, & Segers, 2010). Research in the UnitedStates found that people high in extraversion and agreeableness were rated by others asphysically more attractive than those low in extraversion and agreeableness (Meier,Robinson, Carter, & Hinsz, 2010).
Behavioral Correlates
Personal characteristics People high in openness tend to have a wide range ofintellectual interests and to seek challenges. They are more likely to change jobs,try different careers, and expect more varied life experiences than people scoring lowin openness (McCrae & Costa, 1985a, 1985b). Those high in both openness andextraversion are more likely to be self-employed. Extraverts are also likely to be moreactive during their retirement years and more satisfied with retirement (Lockenhoff,Terracciano, & Costa, 2009; Robinson, Demetre, & Corney, 2010; Shane, Nicolaou,Cherkas, & Spector, 2010).
Not surprisingly, people high in conscientiousness tend to be reliable, responsible,punctual, efficient, and dependable, and usually earn better grades in school than peoplelow in conscientiousness (Back, Schmukle, & Egloff, 2006; Chowdhury & Amin, 2006;Wagerman & Funder, 2007). A study of British university students found that thosehigh in conscientiousness were more organized, self-disciplined, and achievement ori-ented in terms of planning for future goals (Conner & Abraham, 2001).
In other research, the factors of agreeableness, conscientiousness, and openness corre-lated positively with academic performance in college. Those high in all three got bettergrades (Poropat, 2009). Other research found that those high in those three factors werealso rated as better parents and better at coping with stress (Carver & Connor-Smith,2010; Prinzie, Stams, Dekovic, Reijntjes, & Belsky, 2009).
Chapter 8: Raymond Cattell, Hans Eysenck, The Five-Factor Theory, HEXACO, and the Dark Triad 235
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In research conducted in the workplace, it was found that people who scored high inconscientiousness were more likely than low scorers to set high goals for themselves andstrive to achieve them, to initiate desirable work behaviors, and to receive high perfor-mance ratings. The conscientiousness factor was also shown to be a valid predictor ofjob performance for professional, police, managerial, sales, and skilled labor jobs (Barrick& Mount, 1996; Barrick, Mount, & Strauss, 1993; Stewart, Carson, & Cardy, 1996).
Physical health Research indicates that high scorers in conscientiousness are likely tobe healthier and live longer (Friedman & Martin, 2011). A study of adult smokersshowed that those who were more conscientious were less likely to smoke at home thanthose who were less conscientious. This suggests that the conscientious smokers weremore aware of the health risks of smoking indoors (both to themselves and to othersliving with them) and acted to reduce those risks (Hampson, Andrews, Barckley,Lichtenstein, & Lee, 2000).
American college students high in conscientiousness are more likely to wear seat belts,exercise, get sufficient sleep, and eat more fruits and vegetables than those low in consci-entiousness (Raynor & Levine, 2009).
Research on adolescents and young adults who had been diagnosed with diabetesshowed that those who scored higher in conscientiousness sought more informationabout managing their condition and were more diligent about self-care than those whoscored lower in conscientiousness (Skinner, Hampson, & Fife-Schau, 2002).
British university students who were more conscientious were far less likely to displayhypochondriacal complaints (that is, to believe they were sick) than those who were lessconscientious (Ferguson, 2000). And a telephone survey of American adults showed thatthose who scored higher in conscientiousness took greater responsibility for engaging inhealthy behaviors than did those who scored lower in conscientiousness (Tucker, Elliott,& Klein, 2006).
Research on people diagnosed with attention deficit/hyperactivity disorder found thatsymptoms such as hyperactivity, impulsivity, inattention, and cognitive and behavioraldisorganization were significantly lower in those who scored higher in agreeablenessthan those who scored lower in agreeableness (Nigg et al., 2002).
A study of male and female patients with chronic renal insufficiency (a kidney disor-der), conducted over a 4-year period, found that those who scored higher in neuroticismon the NEO had a mortality rate 37.5 percent higher than those who scored lower inneuroticism (Christensen et al., 2002).
More contradictory findings relate to neuroticism. Although high neuroticism predictedreduced physical health and subjective well-being in old age, it was also associated withgreater longevity. This suggests that neurotics may live longer but are not happy about itand have more health problems (Eysenck, 2009; Friedman, Kern, & Reynolds, 2010).Those who score high in neuroticism appear to show fewer declines in cognitive function-ing of the type associated with dementia in old age (Williams, Suchy, & Kraybill, 2010).
Two large-scale studies of Americans found that higher extraversion was linked to anincreased risk for stroke (cerebrovascular accidents). In addition, high conscientiousnesswas associated with a lower risk of death from both stroke and coronary heart disease.Those scoring high in neuroticism were found to be more likely to have heart disease(Jokela, Pulkki-Raback, Elovainio, & Kivmaki, 2014; Lee, Offidani, Ziegelstein, Bienvenu,Samuels, Eaton, & Nestadt, 2014).
Two characteristics related to health—weight and sleep—may also be affected by per-sonality type. Research in Australia and in Finland showed that those who scored high inextraversion, agreeableness, and conscientiousness got more and better quality sleep,whereas those high in neuroticism reported worse sleep (Hintsanen et al., 2014).
236 The Genetics Approach
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A study in Korea found that men who were classified as overweight to obese scoredhigh on openness to new experiences and low on conscientiousness. Overweight womenscored low on neuroticism and openness to new experiences (Shim et al., 2014).
Addictive and criminal behavior A study of adults showed that those who scoredlow in conscientiousness and agreeableness were far more likely to be heavy users ofalcohol or illegal drugs than were those who scored high in these factors (Walton &Roberts, 2004). Among members of sexual minorities (gays, lesbians, and transgenderedpersons), those high in extraversion and conscientiousness were likely to show highlevels of drug and alcohol use (Livingston, Oost, Heck, & Cochran, 2014).
A study of young adults found that those who scored high in neuroticism and open-ness to new experiences were more likely to use prescription drugs that had not beenprescribed for them (Benotsch, Jefers, Snipes, Martin, & Koester, 2013).
A 25-year study of residents of Finland found that those high in agreeablenessreported less alcoholism and lower levels of depression, had lower arrest records, andshowed greater career stability than those low in agreeableness (Laursen, Pulkkinen, &Adams, 2002). A study of adolescents in Ireland found that the factors of agreeableness,conscientiousness, neuroticism, and extraversion were linked to criminal behavior(O’Riordan & O’Connell, 2014).
Among college students in Norway, it was found that neuroticism was linked to Inter-net addiction, exercise addiction, compulsive buying, and study addiction. Extraversionwas linked to being addicted to Facebook and smartphone usage as well as exerciseaddiction and compulsive buying (Andreassen, Griffiths, Gjertsen, Krossbakken, Kvam,& Pallesen, 2013).
Social relationships An 18-month study of university students in Germany fromthe beginning of their first year of college found significant effects of three of the BigFive personality factors on the students’ social relationships. Students scoring high inextraversion made more friends during the 18-month period and were more likely tofall in love than students scoring low in extraversion. Those high in agreeablenessexperienced less conflict with acquaintances of the opposite sex, and those high in con-scientiousness were more likely to maintain contact with their parents and siblings.The factor of openness showed no significant effect on social relationships (Asendorpf& Wilpers, 1998).
A study of high school graduates in Germany found that those who stayed living withtheir parents scored low on openness to new experiences. Those who chose to live withroommates showed increases in openness, whereas those who chose to live with aromantic partner showed increases in conscientiousness (Jonkmann, Thoemmes, Ludtke,& Trautwein, 2013).
A study of couples in the Netherlands showed that low scores in neuroticism andhigh scores in extraversion for both partners was related to marital happiness (Barelds,2005). Research on newlywed couples in the United States showed that self-ratings ofagreeableness and conscientiousness increased significantly and self-ratings in neuroti-cism decreased significantly over the first two years of the marriage.
Ratings of each person made by their spouses were different, however. Those showedsignificant decreases in conscientiousness, agreeableness, extraversion, and openness overthe 2-year period (Watson & Humrichouse, 2006). In other words, the adults believedthey were becoming better people during the two years they had been married but theirspouses did not agree.
When American college students were asked to rate the importance they placed on avariety of life goals—for example, marriage, fun-filled activities, and the serious pursuit
Chapter 8: Raymond Cattell, Hans Eysenck, The Five-Factor Theory, HEXACO, and the Dark Triad 237
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of a career—it was found that those who desired higher economic, social, andpolitical status scored high in extraversion and low in agreeableness (Roberts & Robins,2000).
The five-factor model pinpointed differences between so-called dog people and catpeople. Those who prefer dogs score higher in extraversion, agreeableness, and conscien-tiousness but lower in neuroticism and openness than those who prefer cats (Gosling,Sandy, & Potter, 2010).
Comment The evidence is clear from studies of a wide range of emotions and beha-viors that the five-factor model of personality has a high predictive value. Most researchuses the five factors as self-contained entities and not the individual traits of which theyare composed (see Table 8.5).
Research comparing the predictive value of the five factors and of the traits found thathigher level factors and lower level traits have high predictive validities but that validitiesof the traits were higher than those of the factors (Paunonen, 1998; Paunonen & Ashton,2001).
McCrae and Costa’s findings have been replicated and continue to inspire consider-able research. They provided an intriguing and well-supported approach to personalityand to our understanding of the relative importance of heredity and environment. How-ever, as you might suspect, not all psychologists agree that these are the only factors thatmake up our personalities.
HIGHLIGHTS: Research on the Five Factors
People who score high in extraversion tend to:
• Be high in emotional stability and life satisfaction• Be better able to cope with everyday stress• Get high grades• Enjoy high status and prominence in college
People who score high in conscientiousness are likely to:
• Be reliable, efficient, and punctual• Get better grades• Be well-organized and disciplined• Set high personal goals• Be accepted by their peers and have more friends• Be healthier and live longer• Wear seat belts, exercise, get enough sleep, and eat more fruits and
vegetables
People who score high in conscientiousness, agreeableness, openness, andextraversion are likely to:
• Be popular and judged more attractive• Get good grades• Cope well with stress• Be good parents• Prefer dogs over cats
238 The Genetics Approach
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Michael Ashton and Kibeom Lee: HEXACO:The Six-Factor Model
Michael Ashton, of the Psychology Department at Brock University in St. Catherine’s,Ontario, Canada, and Kibeom Lee, of the Psychology Department at the University ofCalgary, Alberta, Canada, have proposed a six-factor model of personality (2007, 2009).Two of the factors—extraversion and conscientiousness—are similar to those found inthe five-factor model; the other four differ in various degrees from the earlier work andare unique to this model of personality (Ashton & Lee, 2008; Shepherd & Belicki, 2008).The six factors or dimensions of the HEXACO (an acronym derived from the factors)model are listed in Table 8.6.
Assessing the Six Factors
The dimensions of this six-factor model can be assessed by two self-report inventories: the100-item HEXACO Personality Inventory, Revised, or the 60-item HEXACO-60. Bothhave been shown to be valid and reliable tests (Ashton & Lee, 2009). The factors havebeen documented in several different cultures including Dutch, French, German, Hungar-ian, Italian, Korean, Polish, Greek, Croatian, Turkish, and Filipino (Ashton et al., 2006;Ashton et al., 2004; DeRaad & Barelds, 2008).
Research is ongoing to determine the behavioral and emotional correlates of the six-factor model. For example, in a study of adults in Italy, a high score on the HEXACOfactor of conscientiousness was linked to the tendency to vote for right-wing politicalparties, whereas people who tended to vote for left-wing political parties scored higherin honesty, agreeableness, and openness (Chirumbolo & Leone, 2010).
Research with college students in New Zealand found that those low in openness toexperience and emotionality scored high in right-wing authoritarianism and prejudicetoward dissident groups (Sibley, Harding, Perry, Asbrock, & Duckitt, 2010).
A study of employed Americans found that those who scored high in honesty/humil-ity received higher job performance ratings than those who scored low (Johnson, Rowatt,& Petrini, 2011). Research in Egypt found that high scores on the honesty/humility fac-tor correlated with stronger religious feelings but not with happiness (Aghababaei, 2012;
TABLE 8.6 Six personality factors of the HEXACO model
FACTOR DESCRIPTION
Honesty/humility Sincere, honest, faithful VERSUS greedy, pretentious, hypocritical, boastful
Emotionality Emotional, oversensitive, faithful, anxious VERSUS brave, tough, self-assured, stable
Extraversion Outgoing, lively, sociable, cheerful VERSUS shy, passive, withdrawn,reserved
Agreeableness Tolerant, peaceful, gentle, agreeable VERSUS quarrelsome, stubborn, andill-tempered
Conscientiousness Disciplined, diligent, thorough, precise VERSUS reckless, lazy, irresponsi-ble, absent-minded
Openness to experience Creative, innovative, unconventional VERSUS shallow, conventional,unimaginative
Source: Hexaco Personality Inventory—Revised. © 2007. Used by kind permission of Michael C. Ashtonand Kibeom Lee.
Chapter 8: Raymond Cattell, Hans Eysenck, The Five-Factor Theory, HEXACO, and the Dark Triad 239
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Aghababaei & Arji, 2014). Among college students in Portugal, the honesty/humility fac-tor did correlate with happiness (Oliveira, 2013). Adult delinquents in England and thoseconvicted of crimes in Australia scored low on honesty/humility and high on Eysenck’spsychoticism dimension (Dunlop, Morrison, Loenig, & Silcox, 2012; Rollison, Hanoch, &Gummerum, 2013).
Delroy Paulhus and Kevin Williams: The Dark Triadof Personality
Paulhus and Williams, of the University of British Columbia, Vancouver, Canada, intro-duced a three-factor approach to understanding the darker side of personality, whichincludes the following traits (2002):
• Narcissism: extreme selfishness, an inflated sense of one’s abilities and talents, andthe constant need for admiration and attention.
• Machiavellianism: the need to manipulate others, characterized by cunning, deceit,and unscrupulous behaviors.
• Psychopathy: callous, insensitive, egocentric, antisocial, takes advantage of otherpeople, using great charm and often violence.
Assessing the Dark Triad
You can get a better idea of what people exhibiting these characteristics are like by con-sidering the items in the so-called Dirty Dozen Scale, a self-rating test developed as aquick way of assessing the Dark Triad (Jonason & Webster, 2010, p. 429). How wouldyou rate yourself on these items?
• I tend to manipulate others to get my way.• I have used deceit or lied to get my way.• I have used flattery to get my way.• I tend to exploit others toward my own end.• I tend to lack remorse.• I tend to be unconcerned with the morality of my actions.• I tend to be callous or insensitive.• I tend to be cynical.• I tend to want others to admire me.• I want others to pay attention to me.• I tend to seek prestige or status.• I tend to expect special favors from others.
Behavioral Correlates
Studies have found that those who scored high on all three traits engaged in more anti-social activities than those who scored low. They also derived greater satisfaction fromthe misfortune of others (James, Kavanagh, Jonason, Chonody, & Scrutton, 2014; Porter,Bhanwer, Woodworth, & Black, 2014).
They were given to strong acts of self-promotion and tended to be cold, duplicitous,and aggressive (Paulhus & Webster, 2010). Another study found that the verbal contentof subjects’ Facebook updates was a valid predictor of their levels of psychopathy andnarcissism. Their updates tended to be emotionally cold, aggressive, and highly self-promoting (Garcia & Silkstrom, 2014).
Those who scored high in machiavellianism and psychopathy also scored low on theBig Five factors on conscientiousness, agreeableness, and openness. In addition, they
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showed little empathy or consideration for others, a high level of aggression, a vengefuland unforgiving attitude, and low scores on emotional stability (Giammarco & Vernon,2014; Muris, Meesters, & Timmermans, 2013; Oliveira, 2013).
The Dark Triad is also associated with short-term exploitative sexual relationships.Psychopathy is linked to a high sex drive with strong sexual and sadomasochistic themesand fantasies. People who scored high in psychopathy and narcissism engaged in a num-ber of short-term sexual relationships with no intention of commitment (Adams,Luevano, & Jonason, 2014; Baughman, Jonason, Veselka, & Vernon, 2014).
Personality Traits and the Internet
We saw in Chapter 1 that the Internet, particularly social networking sites, can influenceas well as reflect our personality. Much research is being done to determine how thetraits discussed in this chapter influence Internet use.
Eysenck’s Personality Dimensions
A study of college students in Germany found that becoming addicted to Internet use isgreater among those who score high in neuroticism and are excessively focused on them-selves (Montag, Jurkiewicz, & Reuter, 2010). Research on college students in Turkeyfound that those scoring high on Eysenck’s trait of psychoticism relied on the Internetas a substitute for face-to-face social interaction. Often their friendships were only main-tained via the Internet (Tosun & Lajunen, 2010).
Five-Factor Model
• In Israel, people who scored high in conscientiousness had more Facebook friendsthan those who scored low. Those in the highly neurotic group posted more of theirphotos on Facebook than those who scored low in neuroticism (Amichai-Hamburger & Vinitzky, 2010).
• In Finland, those who scored high in extraversion had more Facebook friends thanthose who scored low (Lonnqvist, Itkonen, Verkasaio, & Poutvaara, 2014).
• In the Netherlands, high Internet use bordering on the compulsive and addictive wasgreatest among introverted, disagreeable, and emotionally less stable and lonely ado-lescents (Van der Aa, Overbeek, Engels, Scholte, Meerkerk, & Van den Eijnden, 2009).
• In Germany, addiction to video gaming was highest among those high in neuroti-cism and low in conscientiousness and extraversion (Muller, Beutel, Egloff, &Wolfling, 2014).
• In the United States and in Germany, college students high in conscientiousness,agreeableness, and emotional stability were far less likely to post on Facebook aboutpersonal matters such as substance abuse or sexual behavior. Overall, however, moreAmerican students were inclined to post such content than German students, inde-pendent of personality traits (Karl, Peluchette, & Schlaegel, 2010).
• American adults high in extraversion were more likely to use social media than thoselow in extraversion (Mark & Ganzach, 2014). American men high in emotional insta-bility were even more likely to use these sites (Correa, Hinsley, & deZuniga, 2010).
• In Taiwan, research on college students showed that those high in conscientiousnessshopped online for convenience; those high in openness shopped online to have anew adventure; those high in neuroticism shopped online in order to avoid otherpeople (Huang & Yang, 2010).
• In Australia, adults who scored high in extraversion, low in conscientiousness, andreported being socially lonely were more likely to use Facebook (Ryan & Xenos, 2011).
Chapter 8: Raymond Cattell, Hans Eysenck, The Five-Factor Theory, HEXACO, and the Dark Triad 241
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• A study of 11- to 16-year-old Americans who scored high in openness to newexperiences spent more time using computers and playing video games than thosewho scored low in openness to experience (Witt, Massman, & Jackson, 2011).
• Among American college students, those more likely to engage in sexting by sendingsuggestive and sexy photos were found to be high in neuroticism and low in agree-ableness (Delevi & Weisskirch, 2013).
Reflections on the Trait Approach
The theories presented in this chapter, together with their supporting research, indicatethat inheritance may account for as much as 50 percent of personality (Brody, 1997;Buss, 1988; Stelmack, 1997). The evidence is greatest for the factors of extraversion, neu-roticism, and psychoticism, but virtually every other dimension investigated by personal-ity researchers displays a strong biological component.
In many cases, a shared family environment has only a minor influence. Someresearchers hold a more uncompromising view, arguing that twins, whether rearedtogether or apart, will be alike in all facets of their personality regardless of the familysituation in which they were raised, suggesting that the genetic effect far outweighs theenvironmental effect.
This area of research has practical and theoretical implications for personality psy-chologists, who in the past tended to concentrate on the family and social interactionsin early childhood. Findings from behavioral genetics may require a restructuring ofresearch efforts in the future if we are to account fully for the development ofpersonality.
However, we must not conclude prematurely that family and other environmentalfactors can be completely discounted as shapers of personality. The various componentsof personality remain products of both our genetic makeup and the experiences of ourlife. The task for psychologists remains to determine the relative importance of each.
Chapter Summary
According to Cattell, factors, or traits, are the basicstructural units of personality. We all possess the com-mon traits to some degree; unique traits typify one or afew persons. Ability traits determine how efficiently wework toward a goal. Temperament traits define emo-tional style of behavior. Dynamic traits are concernedwith motivation.
Surface traits are personality characteristics that cor-relate with one another but do not constitute a factorbecause they are not determined by a single source. The16 source traits Cattell identified are single factors, andeach is the sole source of some aspect of behavior.Source traits may be constitutional traits, which origi-nate in internal bodily conditions, or environmental-mold traits, which derive from environmentalinfluences.
Cattell’s research suggests that one-third of person-ality is genetically determined, with the rest determined
by environmental influences. Thus, Cattell holds adeterministic view of personality. He does not suggestany ultimate life goals. Childhood influences areimportant in personality development, as are heredityand environment.
Cattell’s three major assessment techniques are L-data (ratings made by observers), Q-data (self-ratingsmade through questionnaires, personality inventories,and attitude scales), and T-data (data from tests thatare resistant to faking).
Cattell developed the 16 PF Test. He used two formsof factor analysis: the R technique, which gathers largeamounts of data from groups of research participants,and the P technique, which collects a large amount ofdata from a single subject over time. Cattell’s work ishighly technical, and the amount of supporting data ismassive. Factor analysis has been criticized for itspotential subjectivity.
242 The Genetics Approach
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Research on behavioral genetics shows a significantinfluence of genetic factors on personality. Eysenckdemonstrated a genetic influence on the personalitydimensions of extraversion, neuroticism, andpsychoticism.
McCrae and Costa proposed five biologically basedfactors: neuroticism, extraversion, openness, agreeable-ness, and conscientiousness. The factors are stable overthe lifetime, appear in many cultures, are valid predic-tors of emotions and behaviors in many situations, andcan influence many aspects of our behavior.
HEXACO, a six-factor model of personality, addsthe dimension of Honesty/humility to the five-factormodel. That factor has been documented in morethan a dozen different cultures.
The Dark Triad of personality includes narcissism,machiavellianism, and psychopathy, which can lead toantisocial, duplicitous, and aggressive behavior.
Personality traits influence our Internet behavior,including how we interact with others on social net-working sites, to becoming addicted to the Internet,and to our online shopping habits.
Review Questions
1. How does Cattell’s concept of personality traitsdiffer from Allport’s view of traits?
2. Explain how traits can be identified through theuse of factor analysis.
3. Describe three ways to categorize traits.4. Define surface traits and source traits. Give
examples of each.5. What is the difference between source traits and
environmental-mold traits?6. According to Cattell’s research, which source traits
are determined primarily by heredity?7. Describe how Cattell’s image of human nature
differs from Freud’s.8. What is self-sentiment? What is its role in
personality?9. What Freudian ideas did Cattell incorporate into
his stages of personality development?10. Identify the three types of data collected by Cattell.
Give an example of each.11. Describe the three personality types proposed by
Eysenck. Does Eysenck suggest that personalitytraits are determined largely by genetic factors orby environmental factors?
12. In what ways do people who score high in extra-version on Eysenck’s personality test differ frompeople who score low?
13. Describe the behavior of people who score high inpsychoticism on Eysenck’s personality test.
14. How does Eysenck’s research on identical andfraternal twins and on adopted children supporthis conclusion about the role of genetic factors inpersonality?
15. Describe McCrae and Costa’s five factors ofpersonality. What is the role of heredity and ofenvironment in each of these factors?
16. In what ways do people who score high inextraversion and in conscientiousness differ frompeople who score low in these factors?
17. What are the emotional and behavioral correlatesof high scores in neuroticism?
18. What are the dimensions of personality in theHEXACO model? How do they differ from thoseof the five-factor model?
19. What traits constitute the Dark Triad of person-ality? Give examples of ways in which they canaffect our behavior.
20. In what ways do our personality traits influenceour behavior online? Give examples from yourown online behavior.
Suggested Readings
Buchanan, R. (2010). Playing with fire. The controver-sial career of Hans Eysenck. New York: OxfordUniversity Press. A thoughtful discussion ofEysenck’s long and distinguished career and hiswork on the dimensions of personality.
Cattell, R. B. (1974). Autobiography. In G. Lindzey(Ed.), A history of psychology in autobiography(Vol. 6, pp. 59–100). Englewood Cliffs, NJ: Prentice-Hall; Travels in psychological hyperspace. InT. S. Krawiec (Ed.), The psychologists (Vol. 2,
Chapter 8: Raymond Cattell, Hans Eysenck, The Five-Factor Theory, HEXACO, and the Dark Triad 243
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pp. 85–133). New York: Oxford University Press.Two essays by Cattell about his life and work.
Cattell, R. B. (1993). Planning basic clinical research. InE. C. Walker (Ed.), The history of clinical psychologyin autobiography (Vol. 2, pp. 101–111). PacificGrove, CA: Brooks/Cole. Cattell’s evaluation of hislife’s work, concluding that his approach to themeasurement of personality structures and pro-cesses was the only correct one to pursue.
Eysenck, H. J. (1976). H. J. Eysenck. In R. I. Evans(Ed.), The making of psychology: Discussions withcreative contributors (pp. 255–265). New York:Alfred A. Knopf. Interviews with Eysenck about hiswork, especially his criticisms of psychoanalysis andhis controversial views on the genetic basis ofintelligence.
Eysenck, H. J. (1990). Genetic and environmentalcontributions to individual differences: The threemajor dimensions of personality. Journal of Person-ality, 58, 245–261. Describes the relative impact ofheredity and environment on Eysenck’s proposeddimensions of personality (extraversion, neuroti-cism, and psychoticism) and emphasizes theimportance to psychology of the study of behavioralgenetics.
Eysenck, H. J. (1997). Rebel with a cause: The autobi-ography of Hans Eysenck. London: Transaction
Publishers. Eysenck’s reflections on his life andwork. Notes how some of his ideas on personalitydimensions have stood the test of time, and suggeststhe relative importance of heredity versus environ-ment in his own personality.
Farley, F. (2000). Hans J. Eysenck (1916–1997).American Psychologist, 55, 674–675. An obituaryarticle describing Eysenck’s contributions topsychology.
Horn, J. (2001). Raymond Bernard Cattell(1905–1998). American Psychologist, 56, 71–72. Anobituary article describing Cattell’s contributions topsychology.
Lee, K., & Ashton, M. (2012). The H factor of person-ality: Why some people are manipulative, self-entitled, materialistic, and exploitive—and why itmatters for everyone. Waterloo, Canada: WilfredLaurier University Press. Covers the H Factor(honesty/humility) in the HEXACO model ofpersonality and how it influences people inways both good and bad, desirable and undesirable.
Tucker, W. (2009). The Cattell controversy: Race,science, and ideology. Chicago: University of IllinoisPress. Examines Cattell’s career, his use of thefactor-analytic method, and his personalphilosophy.
244 The Genetics Approach
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The Humanistic Approach
The humanistic approach to personality flourished in the 1960s and 1970s andstill continues to influence psychology today. The goal of this movement was toradically change psychology’s methods and subject matter. Humanistic psychol-ogists objected to psychoanalysis and to behaviorism, which were then the twomajor forces in American psychology, arguing that they presented too limitedand demeaning an image of human nature.
Humanistic psychologists criticized Freud and other psychoanalysts for study-ing only the emotionally disturbed side of human nature. They questioned howwe could ever learn about positive human characteristics and qualities if we lim-ited our focus to neuroses and psychoses. Instead, humanistic psychologists pro-posed to study our strengths and virtues; the best of human behavior, not itsworst.
The humanistic psychologists believed that behavioral psychologists were toonarrow and sterile in their outlook because they disavowed conscious andunconscious forces, dealing instead only with the objective observation of overtbehavior.
But a psychology based on conditioned responses to stimuli depicts people aslittle more than mechanized robots, reacting to events in predetermined ways.Humanistic psychologists insisted that people were not just big laboratory ratsor slow computers. Human behavior is too complex to be explained solely bythe behaviorists’ methods.
The humanistic approach to personality is represented here by the works ofAbraham Maslow and Carl Rogers. Their theories emphasize human strengthsand aspirations, conscious free will, and the fulfillment of human potential.They present a flattering and optimistic image of human nature and describe usas active, creative beings concerned with growth and self-actualization.
245
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chapter 9Abraham Maslow:Needs-HierarchyTheory
What humans can be, theymust be. They must be trueto their own nature.
—Abraham Maslow
The Life of Maslow (1908–1970)A Miserable ChildhoodAlone in the WorldFinding a New Style of LifeBecoming a BehavioristFrom Monkeys to Self-Actualization
Personality Development: The Hierarchy
of NeedsCharacteristics of NeedsPhysiological NeedsSafety NeedsBelongingness and Love NeedsEsteem NeedsThe Self-Actualization NeedConditions for Achieving Self-ActualizationAchieving Self-Actualization in Non-Traditional
WaysCognitive Needs
The Study of Self-ActualizersMetamotivation
Characteristics of Self-ActualizersFailure to Become Self-Actualizing
Questions about Human Nature
Assessment in Maslow’s TheoryThe Personal Orientation InventoryThe Smartphone Basic Needs Scale
Research on Maslow’s TheoryThe Hierarchy of NeedsThe Belongingness NeedSelf-Esteem
Self-Determination TheoryIntrinsic Motivation
Reflections on Maslow’s Theory
Chapter Summary
Review Questions
Suggested Readings
Abraham Maslow is considered the founder and spiritual leader of the humanisticpsychology movement. He objected to both behaviorism and psychoanalysis, par-ticularly Freud’s approach to personality. According to Maslow, when psycholo-gists study only abnormal or emotionally disturbed examples of humanity, theyignore all the positive human qualities such as happiness, contentment, andpeace of mind.
We underestimate human nature, Maslow charged, when we fail to examinethe best in people, that is, the most creative, healthy, and mature individuals.Therefore, Maslow decided that his approach to personality would assesssociety’s outstanding representatives. When you want to determine how fast peo-ple can run, he reasoned, you study not the average runner but the fastest runneryou can find.
Only in this way is it possible to determine the full range of human potential. Histheory does not derive from case histories of clinical patients but from research on
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creative, independent, self-sufficient, fulfilled adults. He concluded that each per-son is born with the same set of instinctive needs that enable us to grow, develop,and fulfill our potential.
The Life of Maslow (1908–1970)
A Miserable Childhood
The oldest of seven children, Maslow was born in 1908 in Brooklyn, New York. Hisparents were immigrants with little education and few prospects of rising above theirdesperately poor circumstances. Maslow’s childhood was not pleasant. He told an inter-viewer, “with my childhood, it’s a wonder I’m not psychotic” (quoted in Hall, 1968,p. 37). In a statement found in his unpublished papers years after his death, Maslowhad written, “My family was a miserable family and my mother was a horrible creature”(quoted in Hoffman, 1996, p. 2).
Isolated and unhappy, he grew up without close friends or loving parents. His father wasaloof and periodically abandoned his wife and children. Maslow said that his father “lovedwhiskey and women and fighting” (quoted in Wilson, 1972, p. 131). Eventually Maslow rec-onciled with his father but as a child and adolescent he felt anger and hostility toward him.
Maslow’s relationship with his mother was even worse. A biographer reported thatMaslow “grew to maturity with an unrelieved hatred toward [her] and he never achievedthe slightest reconciliation” (Hoffman, 1988, p. 7). She openly favored his younger sib-lings, never showed the slightest sign of affection for him, and constantly punished himfor the slightest wrongdoing. She told him that God would retaliate for his misbehavior.
When Maslow once brought home two stray kittens, his mother killed them in frontof him by bashing their heads against a wall. Maslow never forgave her, and when shedied many years later he refused to go to her funeral. The experience affected not onlyhis emotional life but also his work in psychology. “The whole thrust of my life-philosophy, and all my research and theorizing … has its roots in a hatred for and revul-sion against everything she stood for” (quoted in Hoffman, 1988, p. 9).
Alone in the World
As if his mother was not difficult enough, Maslow faced other problems. Convinced hewas ugly because of his prominent nose, he also felt inferior because of his scrawnybuild. His parents taunted him about his appearance and often told him how unattrac-tive and awkward he was. At a large family gathering, his father pointed to the boy andsaid, “Isn’t Abe the ugliest kid you’ve ever seen?” (quoted in Hoffman, 1996, p. 6).
He remembered his teenage years as marked by a huge inferiority complex. “I was allalone in the world,” Maslow told an interviewer. “I felt peculiar. This was really in myblood, a very profound feeling that somehow I was wrong. Never any feelings that I wassuperior. Just one big aching inferiority complex” (quoted in Milton, 2002, p. 42). Else-where he wrote, “I tried to compensate for what I felt was a great [physical] lack by forc-ing my development in the direction of athletic achievements” (quoted in Hoffman,1988, p. 13). Thus, the man who would later become interested in Alfred Adler’s workwas a living example of Adler’s concept of compensation for inferiority feelings.
Finding a New Style of Life
When Maslow’s early attempts at compensation to achieve recognition and acceptance asan athlete did not succeed, he turned to books. The library became the playground of his
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childhood and adolescence, and reading and education marked the road out of his ghettoof poverty and loneliness.
Maslow’s early memories are significant because they indicate the style of life, the lifeof scholarship, he would fashion for himself. He recalled going to the neighborhoodlibrary early in the morning and waiting on the steps until the doors opened. He typi-cally arrived at school an hour before classes began, and his teacher would let him sit inan empty classroom reading books she loaned him.
Although his grades remained mediocre, they were good enough to be accepted atCity College of New York. He failed a course during his first semester and by the endof his freshman year was on academic probation, but with persistence his gradesimproved. He began to study law at his father’s request, but decided after two weeksthat he did not like it. What he really wanted to do was study “everything.”
Becoming a Behaviorist
Maslow’s desire for learning was matched by his great passion for his cousin Bertha. Hesoon left home, first for Cornell and then for the University of Wisconsin, where she joinedhim. He was 20 and she was 19 when they married. The union provided Maslow with a feel-ing of belonging and a sense of direction. He later said that his life had little meaning untilhe married Bertha and began his studies at Wisconsin. At Cornell, he had enrolled in a psy-chology course and pronounced it “awful and bloodless.” It had “nothing to do with people,so I shuddered and turned away from it” (quoted in Hoffman, 1988, p. 26).
At Wisconsin, however, he found the behavioral psychology of John B. Watson,leader of the revolution to make psychology a science of behavior. Like many people inthe early 1930s, Maslow became enraptured, believing that behaviorism could solve allthe world’s problems. His training in experimental psychology included work on domi-nance and sexual behavior in primates. It was a giant step from this type of research inthe behaviorist framework to developing the ideas of humanistic psychology—frommonkeys to self-actualization.
From Monkeys to Self-Actualization
Several influences brought about this profound shift in his thinking. He was deeplyaffected by the onset of World War II and by the birth of his first child. About thebaby he said, “I was stunned by the mystery and by the sense of not really being in con-trol. I felt small and weak and feeble before all this. I’d say anyone who had a babycouldn’t be a behaviorist” (quoted in Hall, 1968, p. 56).
Maslow received his Ph.D. from the University of Wisconsin in 1934 and returned toNew York for a postdoctoral fellowship under E. L. Thorndike at Columbia University,and later to teach at Brooklyn College where he remained until 1951. Maslow took sev-eral intelligence and scholastic aptitude tests, scoring an IQ of 195, which Thorndikedescribed as within the genius range. At first Maslow was surprised, but soon heaccepted the revelation and thereafter considered it a triumph. He often managed towork the information about his high IQ into social conversations.
A Parade Changes His Life Teaching in New York in the late 1930s and early1940s, Maslow had the opportunity to meet the wave of emigrant intellectuals fleeingNazi Germany, including Karen Horney and Alfred Adler. Maslow “talked about Adlerall the time and was tremendously excited by his theories” recalled Bertha Maslow(quoted in Hoffman, 1988, p. 304). He also met the Gestalt psychologist Max Werthei-mer and the American anthropologist Ruth Benedict. His admiration for Wertheimerand Benedict later kindled his ideas about self-actualization.
Chapter 9: Abraham Maslow: Needs-Hierarchy Theory 249
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In 1941, Maslow witnessed a parade shortly after Japan’s surprise attack on theAmerican naval base at Pearl Harbor in Hawaii, precipitating U.S. involvement inWorld War II. The experience changed his thinking and he resolved to devote himselfto developing a psychology that would deal with the highest human ideals. He wouldwork to improve the human personality and to demonstrate that people are capable ofdisplaying better behavior than prejudice, hatred, and aggression.
Becoming Famous From 1951 to 1969, Maslow taught at Brandeis University inMassachusetts. A foundation grant enabled him to move to California to work on hisphilosophy of politics, economics, and ethics based on a humanistic psychology. Hebecame an immensely popular figure in psychology and among the general public. Hereceived many awards and honors and was elected president of the American Psycholog-ical Association in 1967.
At the peak of his fame, Maslow developed a variety of ailments including stomachdisorders, insomnia, depression, and heart disease. In the face of these growing physicallimitations, he pushed himself to work even harder to accomplish his goal of humanizingpsychology. “I find myself getting narrow,” he said in a 1968 interview. “I’ve given upplays and poetry and making new friends.… I love my work so much, and am soabsorbed with it, that everything else starts to look smaller and smaller” (quoted inFrick, 2000, p. 135).
Maslow died in 1970 of a massive heart attack while jogging around his swimmingpool, an exercise recommended by his cardiologist.
LOG ON
Abraham MaslowVarious sites provide biographical information, discussions of his theory, research on rel-evant concepts, and links to other resources.
Personality Development: The Hierarchyof Needs
Maslow proposed a hierarchy of five innate needs that activate and direct humanbehavior (1968, 1970b). They are the physiological, safety, belongingness and love,esteem, and self-actualization needs, as shown in Figure 9.1. Maslow described theseneeds as instinctoid, by which he meant that they have a hereditary component.Although we come equipped with these needs at birth, however, the behaviors we useto satisfy them are learned and, therefore, subject to variation from one person toanother.
The needs are arranged in order from strongest at the bottom to the weakest at thetop. Lower needs must be at least partially satisfied before higher needs become influen-tial. For example, hungry people feel no urge to satisfy the higher need for esteem. Theyare preoccupied with satisfying the physiological need for food, not with obtainingapproval and esteem from other people. It is only when people have adequate food andshelter, and when the rest of the lower needs are satisfied, that they are motivated byneeds that rank higher in the hierarchy.
Thus, we are not driven by all the needs at the same time. In general, only one needwill dominate our personality at any one point in time. Which one it will be depends on
hierarchy of five innateneeds An arrangementof innate needs, fromstrongest to weakest,that activates anddirects behavior.
instinctoid needsMaslow’s term for theinnate needs in hisneeds-hierarchytheory.
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which of the others have been satisfied. For example, people who are successful in theircareers are no longer driven by their physiological and safety needs. Those needs havebeen amply taken care of. Successful people are more likely to be motivated by theneeds for esteem or self-actualization.
However, the order of the needs can be changed. If an economic recession causessome people to lose their jobs, then the safety and physiological needs may reassumepriority. Being able to pay the mortgage becomes more prized than popularity with col-leagues or an award from a civic organization.
Characteristics of Needs
• The lower the need is in the hierarchy, the greater is its strength, potency, andpriority. The higher needs are weaker needs.
• Higher needs appear later in life. Physiological and safety needs arise in infancy.Belongingness and esteem needs arise in adolescence. The need for self-actualizationdoes not arise until midlife.
• Because higher needs are less necessary for actual survival, their gratification can bepostponed. Failure to satisfy a higher need does not produce a crisis. Failure to sat-isfy a lower need, on the other hand, does produce a crisis. For this reason, Maslowcalled lower needs deficit, or deficiency, needs; failure to satisfy them produces adeficit or lack in the individual.
• Although higher needs are less necessary for survival, they can contribute to ourpersonal growth. Satisfaction of higher needs leads to improved health, happiness,contentment, fulfillment, and longevity. For this reason, Maslow called higher needsgrowth or being needs.
• Gratification of higher needs requires better external social, economic, and politicalcircumstances than does gratification of lower needs. For example, pursuing self-actualization requires greater freedom of expression and opportunity than pursuingsafety needs.
• A need does not have to be satisfied fully before the next need in the hierarchybecomes important. Maslow proposed a declining percentage of satisfaction for eachneed. Offering a hypothetical example, he described a person who satisfied, in turn,
Need for self-actualization
Esteem needs (fromself and others)
Belongingnessand love needs
Safety needs: security, order,and stability
Physiological needs: food,water, and sex
FIGURE 9.1Maslow’s hierarchyof needs
deficit (deficiency)needs The lowerneeds; failure to satisfythem produces a defi-ciency in the body.
growth (being) needsThe higher needs;although growth needsare less necessarythan deficit needs forsurvival, they involvethe realization andfulfillment of humanpotential.
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85 percent of the physiological needs, 70 percent of the safety needs, 50 percent ofthe belongingness and love needs, 40 percent of the esteem needs, and 10 percent ofthe self-actualization need.
Physiological Needs
If you have ever been swimming and had to struggle for air while under water, orif you have gone too long without eating, you can understand how trivial the needsfor love or esteem or anything else can be when your body is experiencing a physio-logical deficiency. A starving person craves only food. But once that need is satisfied,the person is no longer driven by it. The need then ceases to direct or controlbehavior.
That is the situation for most people in an affluent, industrialized culture. It is rare formiddle-class Americans to be concerned with satisfying their basic survival needs. Physi-ological needs have a greater personal impact as motivating forces in cultures wherebasic survival remains an everyday concern. Because a need that has been gratified nolonger serves to motivate behavior, the physiological needs play a minimal role formost of us.
Safety Needs
Maslow believed that the needs for safety and security are important drives for infantsand neurotic adults. Emotionally healthy adults have usually satisfied their safety needs,a condition that requires stability, security, and freedom from fear and anxiety. Forinfants and children, the safety needs can be seen clearly in their behavior becauseyoungsters react visibly and immediately to any threat to their security. Adults havelearned ways to inhibit their reactions to dangerous situations.
Another visible indication of children’s safety needs is their preference for a structureor routine, for an orderly and predictable world. Too much freedom and permissiveness
When the basic needsfor food and shelterare unsatisfied, thehigher needs, such asesteem and self-actualization, are ofless importance.
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leads to an absence of structure and order. This situation is likely to produce anxiety andinsecurity in children because it threatens their security. Some measure of freedom mustbe granted to children, but only within the limits of their capacity to cope. This freedommust be offered with guidance because children are not yet capable of directing theirown behavior and realizing the consequences.
Neurotic and insecure adults also need structure and order because their safety needsstill dominate their personality. Neurotics compulsively avoid new experiences. Theyarrange their world to make it predictable, budgeting their time and organizing theirpossessions. Pencils must be kept in orderly neat rows with none out of line, and shirtshung in the closet facing the same direction.
Maslow pointed out that although most normal adults have satisfied the safety needs,those needs may still have an impact on behavior. Many of us choose the predictableover the unknown and prefer order to chaos. That is why we save for the future, buyinsurance, and opt to remain in a secure job rather than risk a new venture. However,the safety needs are not as overwhelming a driving force for normal adults as they are forchildren or neurotics.
Belongingness and Love Needs
Once our physiological and safety needs have been reasonably well satisfied, we attend to theneeds for belongingness and love. These needs can be expressed through a close relationshipwith a friend, lover, or mate, or through social relationships formed within a group. They canalso be developed and maintained through the various forms of social media that allow us tokeep in touch with others at a moment’s notice anywhere and anytime.
The need to give and receive love can be satisfied in an intimate relationship withanother person. Maslow did not equate love with sex, which is a physiological need, buthe recognized that sex is one way of expressing the love need. He suggested that the fail-ure to satisfy the need for love is a fundamental cause of emotional maladjustment.
Esteem Needs
Once we feel loved and have a sense of belonging, we may find ourselves driven by twoforms of the need for esteem. We require esteem and respect from ourselves, in the formof feelings of self-worth, and from other people, in the form of status, recognition, orsocial success. Satisfaction of the need for self-esteem allows us to feel confident of ourstrength, worth, and adequacy, which will help us become more competent and produc-tive in all aspects of our life. When we lack self-esteem, we feel inferior, helpless, anddiscouraged with little confidence in our ability to cope.
The Self-Actualization Need
The highest need in Maslow’s hierarchy, self-actualization, involves the maximum reali-zation and fulfillment of our potentials, talents, and abilities. Although a person may sat-isfy all the other needs in the hierarchy, if that person is not self-actualizing, he or shewill be restless, frustrated, and discontent. Maslow wrote, “A musician must make music,an artist must paint, a poet must write … to be ultimately at peace” (1970b, p. 46).
The self-actualizing process may take many forms, but Maslow believed that everyone,regardless of occupation or interests, is capable of maximizing personal abilities and reach-ing the fullest personality development. Self-actualization is not limited to creative andintellectual superstars such as musicians, artists, and writers. What is important is to fulfillone’s own potentials, whatever they are, at the highest level possible. Maslow put it thisway, “A first-rate soup is more creative than a second-rate painting … cooking or parent-hood or making a home could be creative, while poetry need not be” (1987, p. 159).
self-actualization Thefullest development ofthe self.
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Conditions for Achieving Self-Actualization
The following conditions are necessary in order for us to satisfy the self-actualizationneed:
• We must be free of constraints imposed by society and by ourselves.• We must not be distracted by the lower-order needs.• We must be secure in our self-image and in our relationships with other people,
and we must be able to love and be loved in return.• We must have a realistic knowledge of our strengths and weaknesses, virtues and
vices.
Achieving Self-Actualization in Non-Traditional Ways
Although the hierarchy of needs Maslow proposed applies to most of us, there can beexceptions. Some people dedicate their lives to an ideal and willingly sacrifice everythingfor their cause. People have been known to fast until death in the service of their beliefs,thus denying their physiological and safety needs. Religious figures may abandon allworldly goods to fulfill a vow of poverty, thus satisfying the self-actualization needwhile frustrating the lower-order needs. Artists throughout history have imperiled theirhealth and security for the sake of their work. A more common reversal in the hierarchyoccurs when people place a greater importance on esteem than on love, believing thatthe belongingness and love needs can be satisfied only if they first feel self-confident.
Belongingness andlove needs can besatisfied through arelationship with afriend.
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Cognitive Needs
Maslow later proposed a second set of innate needs, the cognitive needs—to know andto understand, which exist outside the hierarchy we have described. The need to know isstronger than the need to understand, and must therefore be at least partially satisfiedbefore the need to understand can emerge.
Evidence for the Cognitive Needs Several points of evidence support the existenceof cognitive needs (Maslow, 1970b).
• Laboratory studies show that animals explore and manipulate their environment forno apparent reason other than curiosity, that is, a desire to know and to understand.
• Historical evidence shows that people often have sought knowledge at the risk oftheir lives, thus placing the needs to know and to understand above the safety needs.
• Studies suggest that emotionally healthy adults are attracted to mysterious andunexplained events and are motivated to improve their knowledge about them.
• Emotionally healthy adults in Maslow’s own clinical practice complained of bore-dom and a lack of zest and excitement in their lives. He described them as “intelli-gent people leading stupid lives in stupid jobs” and found that they improved whenthey took steps to fulfill the needs to know and to understand by becoming involvedin more challenging activities.
How the Cognitive Needs Affect Personality The needs to know and to under-stand appear in late infancy and early childhood and are expressed by children as a nat-ural curiosity. Because the needs are innate, they do not have to be taught, but theactions of parents and teachers can serve to inhibit a child’s spontaneous curiosity. Fail-ure to satisfy the cognitive needs is harmful and hampers the full development and func-tioning of the personality.
The hierarchy of these two needs overlaps the original five-need hierarchy. Knowingand understanding—essentially, finding meaning in our environment—are basic to inter-acting with that environment in an emotionally healthy, mature way to satisfy physiolog-ical, safety, belongingness and love, esteem, and self-actualization needs. It is impossibleto become self-actualizing if we fail to meet the needs to know and to understand.
The Study of Self-Actualizers
According to Maslow’s theory, self-actualizers differ from others in terms of their basicmotivation. Maslow proposed a distinct type of motivation for self-actualizers which hecalled metamotivation (sometimes called B-motivation or Being). The prefix meta-means after or beyond. Metamotivation, then, indicates that it goes beyond psychology’straditional idea of motivation.
Metamotivation
Metamotivation implies a condition in which motivation, as we know it, plays no role.Self-actualizers are not motivated to strive for a particular goal. Instead, they are said tobe developing from within. Maslow described the motivation of people who are not self-actualizers as a condition of D-motivation or Deficiency. D-motivation involves strivingfor something specific to make up for something that is lacking within us. For example,failure to eat produces a deficiency in the body that we feel as discomfort. This feelingmotivates us to take some action to reduce the resulting tension.
cognitive needs Innateneeds to know and tounderstand.
metamotivation Themotivation of self-actualizers, whichinvolves maximizingpersonal potentialrather than striving fora particular goalobject.
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Thus, a specific physiological need (hunger) that requires a specific goal object (food)produces a motivation to act to attain something we lack (we search for food). Maslow’s(1971) writing about the development of B-motivation and D-motivation is incomplete,but apparently D-motivation applies not only to physiological needs, as in this example,but also to safety, belongingness and love, andesteem needs.
Fulfilling Potential In contrast, self-actualizers are concerned with fulfilling theirpotential and with knowing and understanding their environment. In their state of meta-motivation, they are not seeking to reduce tension, satisfy a deficiency, or strive for aspecific object. Their goal is to enrich their lives by acting to increase tension so as toexperience a variety of stimulating and challenging events. Because their lower-orderdeficiency needs have been met, self-actualizers function at a level beyond striving forspecific goal objects to satisfy a deficit. Thus, they are in a state of “being,” spontane-ously, naturally, and joyfully expressing their full humanity.
Metaneeds Having explained that self-actualizers are thus, in a sense, unmotivated,Maslow proposed a list of metaneeds toward which self-actualizers evolve (see Table 9.1).Metaneeds are states of being—such as goodness, uniqueness, and perfection—rather thanspecific goal objects.
Failure to satisfy metaneeds is harmful and produces a kind of metapathology, whichthwarts the full development of the personality. Metapathology prevents self-actualizersfrom expressing, using, and fulfilling their potential. They may come to feel helpless anddepressed, unable to pinpoint a source for these feelings or identify a goal that mightalleviate the distress.
Characteristics of Self-Actualizers
Maslow’s research on emotionally healthy people formed the basis of his personality the-ory (1970b, 1971). He did not find many examples of self-actualizers and estimated thatthey constitute 1 percent or less of the population. However, he concluded that theyshare certain characteristics (see Table 9.2).
• An efficient perception of reality. Self-actualizers perceive their world, includingother people, clearly and objectively, unbiased by prejudgments orpreconceptions.
• An acceptance of themselves, others, and nature. Self-actualizers accept theirstrengths and weaknesses. They do not try to distort or falsify their self-image, andthey do not feel guilty about their failings. They also accept the weaknesses of otherpeople and of society in general.
• A spontaneity, simplicity, and naturalness. The behavior of self-actualizers is open,direct, and natural. They rarely hide their feelings or emotions or play a role to sat-isfy society, although they may do so to avoid hurting other people. Self-actualizersare individualistic in their ideas and ideals but not necessarily unconventional intheir behavior. They feel secure enough to be themselves without being overlyassertive.
• A focus on problems outside themselves. Self-actualizers have a sense of mission, acommitment, to which they devote their energy. This dedication to a cause orvocation is a requirement for self-actualization. Self-actualizers find pleasure andexcitement in their hard work. Through their intense dedication, self-actualizersare able to satisfy the metaneeds. Their commitment challenges and develops theirabilities and helps define their sense of self.
metaneeds States ofgrowth or being towardwhich self-actualizersevolve.
metapathology Athwarting of self-development related tofailure to satisfy themetaneeds.
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• A sense of detachment and the need for privacy. Self-actualizers can experience iso-lation without harmful effects and seem to need solitude more than persons who arenot self-actualizing. Self-actualizers depend on themselves, not on others, for theirsatisfactions. This independence may make them seem aloof or unfriendly, but thatis not their intent. They are simply more autonomous than most people and do notcrave social support.
• A freshness of appreciation. Self-actualizers have the ability to perceive and experi-ence the world around them with freshness, wonder, and awe. An experience maygrow stale for someone who is not self-actualizing, but self-actualizers will enjoyeach recurrence as though it was the first. Whether it is a sunset, a painting, a sym-phony, a baseball game, or a birthday gift—all of these experiences can be viewedwith delight. Self-actualizers appreciate what they have and take little for granted.
• Mystical or peak experiences. Self-actualizers know moments of intense ecstasy, notunlike deep religious experiences, that can occur with virtually any activity. Maslowcalled these events peak experiences, during which the self is transcended and theperson feels supremely powerful, confident, and decisive.
TABLE 9.1 Maslow’s metaneeds and metapathologies
METANEEDS METAPATHOLOGIES
Truth Mistrust, cynicism, skepticism
Goodness Hatred, repulsion, disgust, reliance only upon self and for self
Beauty Vulgarity, restlessness, loss of taste, bleakness
Unity, wholeness Disintegration
Dichotomy-transcendence Black/white thinking, either/or thinking, simplistic view of life
Aliveness, process Deadness, robotizing, feeling oneself to be totally determined, loss ofemotion and zest in life, experiential emptiness
Uniqueness Loss of feeling of self and individuality, feeling oneself to beinterchangeable or anonymous
Perfection Hopelessness, nothing to work for
Necessity Chaos, unpredictability
Completion, finality Incompleteness, hopelessness, cessation of striving and coping
Justice Anger, cynicism, mistrust, lawlessness, total selfishness
Order Insecurity, wariness, loss of safety and predictability, necessity forbeing on guard
Simplicity Over-complexity, confusion, bewilderment, loss of orientation
Richness, totality,comprehensiveness
Depression, uneasiness, loss of interest in the world
Effortlessness Fatigue, strain, clumsiness, awkwardness, stiffness
Playfulness Grimness, depression, paranoid humorlessness, loss of zest in life,cheerlessness
Self-sufficiency Responsibility given to others
Meaningfulness Meaninglessness, despair, senselessness of life
Source: Adapted from The Farther Reaches of Human Nature, by A. H. Maslow. Copyright © 1971 by BerthaG. Maslow.
peak experienceA moment of intenseecstasy, similar to areligious or mysticalexperience, duringwhich the self istranscended.
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• Social interest. Maslow adopted Alfred Adler’s concept of social interest to indicatethe sympathy and empathy self-actualizing persons have for all humanity. Althoughoften irritated by the behavior of other people, self-actualizers feel a kinship withand an understanding of others as well as a desire to help them.
• Profound interpersonal relations. Although their circle of friends is not large, self-actualizers have deep, lasting friendships. They tend to select as friends those withpersonal qualities similar to their own, just as we all choose as friends the people wefind compatible. Self-actualizers often attract admirers or disciples. These relation-ships are usually one-sided; the admirer asks more of the self-actualizer than theself-actualizer is able or willing to give.
• Creativeness. Self-actualizing people are highly creative and exhibit inventivenessand originality in their work and other facets of their lives. They are flexible, spon-taneous, and willing to make mistakes and learn from them. They are open andhumble, in the way children are before society teaches them to be embarrassed orshy about possibly doing something foolish.
• Resistance to enculturation. Self-actualizers are autonomous, independent, and self-sufficient. They feel free to resist social and cultural pressures to think or behave in acertain way. They do not openly rebel against cultural norms or social codes, butthey are governed by their own nature rather than the strictures of society.
This is quite an amazing set of attributes. According to Maslow’s research, self-actualizers seem almost perfect. But they do have human flaws and imperfections. Onoccasion they can be rude, even ruthless, and they experience doubts, conflicts, and ten-sion. Nevertheless, such incidents are rare and less intense than for the person who is notself-actualizing.
Failure to Become Self-Actualizing
If the need for self-actualization is innate and, therefore, does not have to be taught andlearned, then why isn’t everyone self-actualizing? Why does less than 1 percent of thepopulation reach this state of being? One reason is that the higher the need in Maslow’sproposed hierarchy, the weaker it is. As the highest need, self-actualization is the weakestof all; it can easily be inhibited. For example, hostile or rejecting parents make it difficult
TABLE 9.2 Characteristics of self-actualizing people
Clear perception of reality
Acceptance of self, others, and nature
Spontaneity, simplicity, and naturalness
Dedication to a cause
Independence and need for privacy
Freshness of appreciation
Peak experiences
Social interest
Deep interpersonal relationships
Tolerance and acceptance of others
Creativeness and originality
Resistance to social pressures
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for a person to satisfy love and esteem needs. In this case, the self-actualization need maynot emerge at all. At a lower level, poor economic conditions can make it difficult tosatisfy physiological and safety needs, so self-actualization assumes less importance.
The Importance of Childhood in Self-Actualization Inadequate education andimproper child-rearing practices can thwart the drive for self-actualization in adulthood.Maslow cited the typical sex-role training for boys, who are taught to inhibit qualities suchas tenderness and sentimentality. Thus, this aspect of their nature is not encouraged to fullydevelop. If children are overprotected and not permitted to try new behaviors, explore newideas, or practice new skills, then they are likely to be inhibited as adults, unable to expressthemselves fully in activities vital to self-actualization.
The opposite behavior, excessive parental permissiveness, can also be harmful. Toomuch freedom in childhood can lead to anxiety and insecurity, thus undermining thesafety needs. To Maslow, the ideal situation in childhood is a balance of permissivenessand regulation.
Sufficient love in childhood is a prerequisite for self-actualization, as well as for satisfac-tion of physiological and safety needs within the first two years of life. If children feel secureand confident in the early years, they will remain so as adults. This position is similar to ErikErikson’s emphasis on the development of trust in early childhood and to Karen Horney’sideas on the childhood need for security. Without adequate parental love, security, andesteem in childhood, it is difficult to strive for self-actualization in adulthood.
Among the self-actualizers Maslow studied by analyzing biographies and other written records were the noted physi-cist Albert Einstein and Harriet Tubman, a leader of the antislavery movement at the time of the American Civil War.
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The Jonah Complex Another reason for the failure to self-actualize is what Maslowcalled the Jonah complex. This idea is based on the biblical tale of Jonah, describedby Maslow as “called by God to prophesy, but [Jonah] was afraid of the task. He triedto run away from it. But no matter where Jonah ran, he could find no hidingplace. Finally, he understood that he had to accept his fate” (quoted in Hoffman,1996, p. 50).
Thus, the Jonah complex refers to our doubts about our own abilities. We may fearthat taking action to maximize our potential will lead to new situations with which wemay be unable to cope. Simultaneously, we are afraid of and thrilled by the possibilitiesbut too often the fear takes precedence.
It Takes Courage! Self-actualization requires courage. Even when the lower needshave been satisfied, we cannot simply sit back and wait to be swept along some flower-strewn path to ecstasy and fulfillment. The self-actualizing process takes effort, discipline,and self-control. For many people it may seem easier and safer to accept life as it israther than seek new challenges. Self-actualizers will constantly test themselves by aban-doning secure routines and familiar behaviors and attitudes.
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Questions about Human Nature
Maslow’s view of personality is humanistic and optimistic. He focused on psychologicalhealth rather than illness, growth rather than stagnation, virtues and potentials ratherthan weaknesses and limitations. He had a strong sense of confidence in our ability toshape our lives and our society.
We have the free will to choose how best to satisfy our needs and to actualize ourpotential. We can either create an actualizing self or refrain from pursuing that supremestate of achievement. Thus, we are ultimately responsible for the level of personalitydevelopment we reach, or fail to reach.
Although the needs in Maslow’s hierarchies are innate, the behaviors by which wesatisfy them are learned. Therefore, personality is determined by the interaction ofheredity and environment, of personal and situational variables. Although not explicitin his writings, Maslow seemed to favor the uniqueness of personality.
Our motivations and needs are universal, but the ways in which the needs are satisfied willvary from one person to another because these ways of behaving are learned. Even amongself-actualizers, although they share certain qualities, their behaviors are not identical.
Maslow recognized the importance of early childhood experiences in fostering orinhibiting adult development, but he did not believe that we are victims of these
Jonah complex Thefear that maximizingour potential will leadto a situation withwhich we will beunable to cope.
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experiences. We have more potential than we may realize to manage our lives and oursociety and would be happier and more productive if we would learn to do so.
Self-actualization as the ultimate and necessary goal reflects Maslow’s belief that,given the proper conditions, we are capable of reaching the highest level of humanfunctioning.
Maslow argued that human nature is basically good, decent, and kind, but he did notdeny the existence of evil. He believed some people were evil beyond reclamation andwrote in his journal that “nothing will work ultimately [with them] but shooting”(1979, p. 631).
He suggested that wickedness was not an inherited trait but rather the result of aninappropriate environment. Maslow’s compassion for humanity is clear in his writings,and his optimism is expressed in the belief that each of us is capable of fulfilling ourvast human potential.
Assessment in Maslow’s Theory
Maslow’s work on self-actualization did not begin as a formal program of personalityassessment and research. He started his investigation simply to satisfy his own curiosityabout two well-known people who impressed him, the anthropologist Ruth Benedict andthe Gestalt psychologist Max Wertheimer. Maslow admired them greatly and wanted tounderstand what made them so outstandingly different from other people. After muchcareful observation, he concluded that they shared certain qualities that set them apartfrom the average person.
Maslow attempted to assess those qualities in other people. His first research subjectswere college students, but he found only 1 out of 3,000 he could describe as self-actualizing. He decided that the characteristics for the self-actualizing personality, thosequalities he had identified in Benedict and Wertheimer, were not yet developed in youngpeople. His next step was to study people who were middle-aged and older. However,even among this group Maslow found less than 1 percent of the population capable ofmeeting his criteria for self-actualization.
The self-actualizers he finally identified included several dozen whom he designatedas certain or highly probable cases, partial cases, or potential cases. Some were Maslow’scontemporaries. Others were historical figures such as Thomas Jefferson, Albert Einstein,George Washington Carver (an African-American scientist in the early 20th century),Harriet Tubman (an African-American former slave who became an abolitionist beforethe Civil War), and Eleanor Roosevelt (wife of the president and a prominent socialactivist).
Maslow used a variety of techniques to assess their personalities. For historical figures,he worked with biographical material, analyzing written records for similarities in per-sonal characteristics. For the living subjects he relied on interviews, free association,and projective tests. He found that many of these people were self-conscious when ques-tioned, so often he was forced to study them indirectly, although he did not explain pre-cisely how that was done.
The Personal Orientation Inventory
The Personal Orientation Inventory (POI), a self-report questionnaire consisting of150 pairs of statements, was developed by psychologist Everett Shostrom (1964, 1974)to measure self-actualization. People taking the test must indicate which of each pair ismore applicable to them (see Table 9.3).
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The POI is scored for 2 major scales and 10 subscales. The major scales are time com-petence, which measures the degree to which we live in the present, and inner directed-ness, which assesses how much we depend on ourselves rather than on others forjudgments and values.
The Smartphone Basic Needs Scale
The Smartphone Basic Needs Scale is a 20-item self-report inventory designed to assessthe degree to which smartphone use can satisfy the needs in Maslow’s system. It wasdeveloped using college students in the United States and in South Korea as subjects,and the developers reported high levels of validity and reliability (Kang & Jung, 2014).For example, the following items were used to measure Maslow’s belongingness need—respondents were instructed to select the statement or statements that applied to them:
By using my Smartphone, I can.…
1. Get closer to important people around me2. Can meet nice people3. Develop relationships with others4. Get along with people well5. Work and communicate together
Research on Maslow’s Theory
Maslow did not use case studies or the experimental or correlational methods in hisresearch. Critics have charged that Maslow’s methods for studying self-actualizers werenot rigorous or controlled. Maslow agreed; he knew his investigations failed to adhereto the requirements of scientific research. He wrote, “By ordinary standards of laboratoryresearch, this simply was not research at all” (1971, p. 42). But he believed that becauseself-actualization could not be studied by accepted scientific procedures, the alternative
TABLE 9.3 Sample items from the Personal Orientation Inventory. Respondentsselect the item in each pair that is more descriptive of them.
I do what others expect of me.I feel free to not do what others expect of me.
I must justify my actions in the pursuit of my own interests.I need not justify my actions in the pursuit of my own interests.
I live by the rules and standards of society.I do not always need to live by the rules and standards of society.
Reasons are needed to justify my feelings.Reasons are not needed to justify my feelings.
I only feel free to express warm feelings to my friends.I feel free to express both warm and hostile feelings to my friends.
I will continue to grow only by setting my sights on a high-level, socially approved goal.I will continue to grow best by being myself.
People should always control their anger.People should express honestly felt anger.
Source: From “An Inventory for the Measurement of Self-Actualization,” by E. L. Shostrom, 1964,Educational and Psychological Measurement, 24, pp. 207–218.
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was to wait until appropriate techniques were developed—or not to study the issue at all.Maslow was too impatient to postpone his research, too committed to the convictionthat he could help humanity. He wrote that he did not have enough time to performcareful experiments. “They take too long in view of the years I have left and the extentof what I want to do” (1979, p. 694).
He referred to his program as consisting of pilot studies only. Convinced that hisresults were valid, he expected other researchers to eventually confirm his theory.Maslow also believed that to support and justify his conclusions, which he was convincedwere correct, he somehow needed to collect less data than did other theorists.
The Hierarchy of Needs
In support of Maslow’s theory, a study of male and female college students found thatsatisfaction of the needs for safety, belongingness, and esteem was negatively related toneuroticism and depression (Williams & Page, 1989). This research also showed thatesteem needs were stronger than belongingness needs. The subjects expressed less con-cern with safety needs, as expected among people able to afford to go to college.
A study using the Need Satisfaction Inventory, a self-report questionnaire designed tomeasure how well a person satisfies Maslow’s needs, correlated test scores of college stu-dents with their scores on the Eysenck Personality Inventory. Again, the results showedthat those who were higher in need satisfaction were lower in neuroticism (Lester, 1990).
An elaborate test of the hierarchy using a sample representative of the general popu-lation supported the order of the five needs (Graham & Balloun, 1973). The study alsodemonstrated that the amount of concern people expressed about each need increasedfrom the lowest to the highest need. Physiological needs, presumably well satisfied inthese subjects, were of little concern to them. The self-actualization need was of thegreatest interest, presumably because it was not so easily satisfied.
Research on economically disadvantaged youth in Midwestern United States foundthat they were primarily focused on trying to satisfy the safety needs and showed littleconcern for higher needs (Noltemeyer, Bush, Patton, & Bergen, 2012). This is in linewith Maslow’s theory. A study of more than 40,000 people in 123 countries supportedhis view that the basic physiological and safety needs must be satisfied before peoplecan achieve fulfillment and happiness (Tay & Diener, 2011).
Other studies have found that the more the basic needs are satisfied, the greater thechances that the higher needs will also be satisfied, and that people older than 36 are farmore likely to achieve self-actualization than those who are younger (Taormina & Gao,2013; Ivtzan, Gardner, Bernard, Sekhon, & Hart, 2013).
The Belongingness Need
Maslow’s proposed need for belongingness can only be satisfied through associationwith, and, more important, acceptance by, other people. Some psychologists considerthe need to belong to be as powerful a drive as the physiological needs for food andwater.
In one study, American college students who were led to believe they were interactingwith others in an Internet chat room were then excluded and rejected by those otherperceived participants. No one responded to their messages; no one replied to their com-ments and questions. All the other participants seemed to be engaged in convivial onlineconversation. But the participants in the study had been made social isolates.
Following that experience, they were asked to read a diary, allegedly written by a col-lege student. They were then instructed to write down as many of the activities men-tioned in the diary as they could remember. Those students whose need to belong had
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been thwarted by the online experience recalled significantly more social events from thediary than did students whose need to belong had been satisfied in the simulated chatroom.
The researchers concluded that failure to satisfy the need to belong can influence acognitive activity such as memory and affect the type of events a person will recall(Gardner, Pickett, & Brewer, 2000).
When another group of college students were led to believe that they had beenexcluded or rejected by members of an Internet chat room, they reported lower levels ofself-esteem, control, and belongingness than students who had not been told they hadbeen ostracized (Smith & Williams, 2004). These negative feelings developed withinonly 8 minutes of being informed of their exclusion.
It has also been found that people in the Netherlands and the United States who werehigh in the need to belong perceived that other people must also be high in the belong-ingness need, and that the need to belong triggers a feeling of nostalgia for the pastwhere, in their memories at least, they had a greater sense of belonging (Collisson,2013; Seehusen et al., 2013).
American teenagers who felt a sense of belonging were found to be physically health-ier than those who did not express a sense of belonging (Begen & Turner-Cobb, 2012).Thus, it seems that satisfying the need to belong can have important consequences onour behavior and feelings.
Self-Esteem
Numerous studies have been conducted on many aspects of Maslow’s need for self-esteem, a characteristic we all possess to some degree or another.
High Self-Esteem Research supports Maslow’s position that people high in self-esteem have greater self-worth and self-confidence. They also feel more competent andproductive than those low in self-esteem. People high in self-esteem function better inmany situations. Among college students applying for jobs, those with high self-esteemreceived more job offers and were rated more favorably by recruiters than were studentswith low self-esteem (Ellis & Taylor, 1983).
People with high self-esteem are able to cope more effectively with the difficulties ofjob loss than those with low self-esteem (Shamir, 1986). In addition, people high in self-esteem perceive themselves to be significantly higher in intellectual skills, agreeableness,and morality, and to be more extraverted, than those low in self-esteem (Campbell,Rudich, & Sedikides, 2002).
Young adults in the United States and in Canada who measured high in self-esteemwere much more likely to participate in school sports and to have lower levels of anxietyand defensive behaviors than those who scored low (Bowker, 2006; Pyszczynski, Greenberg,Solomon, Arndt, & Schimel, 2004).
A study of women college students whose self-esteem levels were unstable (shiftingbetween high and low self-esteem) exhibited a much stronger desire to become famousthan those who had more stable levels of self-esteem (Noser & Zeigler-Hill, 2014).
Low Self-Esteem Large-scale research programs in several countries including theUnited States, Iceland, Canada, China, Norway, and New Zealand found that low self-esteem was related to anxiety, depression, smoking addiction, school dropout rates,criminal convictions, financial problems, strong emotional reactions to negative out-comes, and difficulties at work (Brown, 2010; Cai, Wu, & Brown, 2009; Donnellan,
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Trzesniewski, Robins, Moffitt, & Caspi, 2005; Jonsdottir, Arnarson, & Smari, 2008;Moksnes, Moljord, Espnes, & Byrne, 2010; Trzesniewski, Donnellan, Moffitt, Robins,Poulton, & Caspi , 2006).
Research in Canada and in China showed that people with low self-esteem suffermore physical health problems and more anxiety about death than those with high self-esteem (Routledge, Ostafin, Juhl, Sedikides, Cathey, & Jiangqun, 2010; Stinson et al.,2008). College students who rated low in self-esteem experienced significantly moresocial problems of adjustment and getting along with other people than those ratedhigh in self-esteem (Crocker & Luhtanen, 2003).
A study of adolescents in Canada in the 7th, 9th, and 11th grades of school foundthat more than one-third reported that their perceived physical appearance (how attrac-tive they thought they were) determined their level of self-esteem. The results alsoshowed that teenagers who were more concerned with their appearance reported lowerself-esteem than those who were less concerned with their appearance. No differenceswere found between boys and girls on these variables (Seidah & Bouffard, 2007).
People who measured low in self-esteem and who had been led to believe they hadbeen deliberately excluded from a laboratory group by the other members reported a sig-nificantly greater feeling of rejection than did people who measured high in self-esteem(Nezlek, Kowalski, Leary, Blevins, & Holgate, 1997).
Failure to achieve self-esteem goals, such as high grades in school or success on thejob, can lead to increased anger, shame, sadness, and feelings of worthlessness (Crocker& Park, 2004). Thus, one’s level of self-esteem can have enduring effects. People with lowself-esteem may think and act in self-defeating ways that “diminish their quality of life”(Swann, Chang-Schneider, & McClarty, 2007, p. 92).
College students who reported lower self-esteem spent more time on Facebook andother social networking sites than those who had higher self-esteem (Kalpidou, Costin,& Morris, 2011; Mehdizadeh, 2010; Vogel, Rose, Roberts, & Eckles, 2014). And collegestudents placed a far greater value on activities that boosted their self-esteem, such aspraise or high grades, than they did on eating a favorite food, drinking alcohol, spendingtime with a friend, getting a paycheck, or having sex (Bushman, Moeller, & Crocker,2011; Salamon, 2011).
Effects of Self-Esteem on Other Behaviors Self-esteem can affect our politicalviews and voting behavior. Studies in Belgium and the United States found that amongolder people (average age 71), conservative political beliefs were related to high self-esteem. In other words, with age, people became more conservative and also felt betterabout themselves (Van Hiel & Brebels, 2011).
In the U.S. 2008 presidential primaries and election, people were much more likely tovote for candidates they believed had greater self-esteem (Ziegler-Hill & Myers, 2009).
Stability of Self-Esteem over Time Our self-esteem tends to change over the lifespan, increasing during adolescence and adulthood, peaking at approximately age 60,and then declining (Gentile, Twenge, & Campbell, 2010; Orth & Robins, 2014; Orth,Trzesniewski, & Robins, 2010). Research in Taiwan, however, found that self-esteemincreased throughout childhood, adolescence, and early adulthood but changed very littleafter age 30 (Huang, 2010b).
Among subjects in Germany it was found that being married, which does not usuallyoccur until the post-adolescent years, and scoring high in subjective well-being, werelinked to high self-esteem (Wagner, Lang, Neyer, & Wagner, 2014).
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Ethnic and Cultural Differences in Self-Esteem Studies have found that Blackteenagers report higher self-esteem than White teenagers. Self-esteem has been shownto increase for Blacks throughout adulthood but to decline more steeply than for Whitesafter age 60 (Shaw, Liang, & Krause, 2010).
Self-esteem among Black women college students seems to be much higher amongthose who identify strongly with Black culture (Eaton, Livingston, & McAdoo, 2010).However, Black college students who feel they are incompetent or inadequate, despiteevidence to the contrary, score high in stress and low in self-esteem (Peteet, Brown,Lige, & Lanaway, 2014).
Cultural and ethnic differences have also been documented in self-esteem in compara-tive studies across more than 50 countries. College students in Japan consistently scoredthe lowest in self-esteem among all the nations surveyed (Schmitt & Allik, 2005; Tafarodi,Shaughnessy, Yamaguchi, & Murakoshi, 2011; Yamaguchi et al., 2007).
Among college students in the United States, Asian Americans generally reportedlower self-esteem than European Americans. However, those Asian-American studentswho felt they had greater social connections in their dorms or residence halls scoredhigher in self-esteem than those who did not (Fong & Mashek, 2014).
High self-esteem also appears to correlate with delinquency rates, as documented in asample of Mexican-American teenage boys (Caldwell, Beutler, Ross, & Silver, 2006;Swenson & Prelow, 2005). Among first-generation Mexican immigrants to the UnitedStates, those who felt the greatest pressure to adopt the practices of American cultureexperienced lower self-esteem than those who did not feel such pressure (Kim, Hogge,& Salvisberg, 2014).
A study in the Netherlands found that among immigrants from Turkey and fromMorocco, people who identified more strongly with their ethnic background had greaterself-esteem than those who did not (Verkuyten, 2009). Similar results were found amongU.S. immigrants from Puerto Rico; the stronger the ethnic identity, the greater the self-esteem (Lopez, 2008).
Self-Actualization Scores indicating higher self-actualization on the POI havebeen positively related to several factors: emotional health, creativity, well-beingfollowing therapy, academic achievement, autonomy, and racial tolerance. Otherstudies report negative correlations between high self-actualization scores and alcohol-ism, institutionalization for mental disturbances, neuroticism, depression, andhypochondriasis.
These results are in the expected directions based on Maslow’s description of self-actualizers. POI research on women, ages 19 to 55, confirmed Maslow’s view that self-actualization occurs gradually over the life span.
Peak Experiences Research on Americans between the ages of 40 and 65 found thatthe three most frequently reported peak experiences involved joyful experiences withother people, a sense of achievement, and personal growth (Hoffman, Kaneshiro, &Compton, 2012).
Cross-cultural comparisons found that mainland Chinese reported more experi-ences involving serenity, whereas Chinese residents of Hong Kong reported morepeak experiences involving interpersonal joy and external achievement. People inBrazil and Portugal reported that their most frequent peak experiences involvedachieving some developmental landmark, such as finishing college, getting married,or finding their first job (Ho, Chen, & Hoffman, 2012; Ho, Chen, Hoffman, Guan, &Iversen, 2013).
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Self-Determination Theory
A contemporary outgrowth of the essence of Maslow’s self-actualization theory is theself-determination theory, which suggests that people have an innate tendency to expresstheir interests, to exercise and develop their capabilities and potentials, and to overcomechallenges (Deci & Ryan, 2009; Ryan & Deci, 2000; Deci & Ryan, 2012).
Research supporting the notion of self-determination has come from diverse groupssuch as football players in Australia, teenagers in India and Nigeria, and older womenin the United States. Those who scored highest in self-determination showed the greatestimprovement in overall behavior and subjective well-being (Deci, 2011; Podlog &Eklund, 2010; Sheldon, Abad, & Omoile, 2009; Stephan, Boiche, & LeScanff, 2010).
More recent research studying people in the United States, Belgium, China, Peru,Australia, Mexico, Venezuela, the Philippines, Malaysia, and Japan have provided furthersupport for the role of self-determination in facilitating positive growth needs and self-actualization (Chen et al., 2014; Church et al., 2013).
Intrinsic Motivation
Self-determination is facilitated by a person’s focus on intrinsic motivation, such asengaging in an activity solely because of the interest and challenge of the activity itself.Extrinsic motivation, on the other hand, involves engaging in some activity only for thesake of some external reward such as praise, a promotion or pay raise, or a higher grade.
There is a basic similarity between the notions of intrinsic motivation and self-determination, and Maslow’s description of self-actualization. Both are concerned with
HIGHLIGHTS: Research on Maslow’s Ideas
People high in self-esteem:
• Feel competent and productive• Receive more job offers and cope better with job loss• Are less likely to have anxiety or depression or to drop out of school• Get along well with others• Are emotionally healthy and creative• Are likely to have strong ethnic identities• Have a greater sense of self-worth and confidence• May spend less time on Facebook and other social networking sites
People low in self-esteem tend to
• Become depressed• Drop out of school and get criminal convictions• Experience social problems and poor health• Have a lower quality of life and psychological well-being• Spend more time on social media
People high in self-determination tend to:
• Have satisfied the needs for competence, autonomy, and relatedness• Be high in self-esteem and self-actualization• Possess an innate tendency to overcome challenges and develop their
capabilities
Chapter 9: Abraham Maslow: Needs-Hierarchy Theory 267
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fulfilling or realizing one’s talents and abilities for the goal of inner satisfaction ratherthan any kind of external reward.
Three Basic Needs Self-determination theory specifies three basic needs; it is throughthe satisfaction of these needs that a person can reach a state of well-being.
1. Competence—the need to feel that one can master difficult tasks2. Autonomy—the freedom to base one’s course of action on one’s own interests,
needs, and values3. Relatedness—the need to feel a close connection with other people
Satisfaction of these needs among both the young and the elderly in cultures as diverse asthe United States, France, and Russia was positively associated with high self-esteem,self-actualization, and psychological well-being (Ferrand, Martinent, & Dumaz, 2014;Milyavskaya & Koestner, 2011; Ryan & Deci, 2000, Strizhitskaya & Davedyuk, 2014).
Reflections on Maslow’s Theory
Criticisms of Maslow’s theory center on his research methods and lack of experimentallygenerated supporting data. The sample of self-actualizing people from which the datawere derived, fewer than half of whom were interviewed in person, is too small for gen-eralization to the population at large. Critics also charge that the ways in which Maslowamassed information about his original self-actualizing subjects are inconsistent andvague. He did not describe how he interpreted test results or analyzed biographical mate-rials, nor did he indicate precisely what led him to identify those particular people asself-actualizing. However, as we have seen with other theorists, weakness in scientificmethodology is not unique to Maslow.
For his subjects Maslow selected people he admired, according to his own personalcriteria for self-actualization. These criteria were not specified at the time, and he lateradmitted that self-actualization was difficult to describe accurately. His list of character-istics of self-actualizers derives solely from his clinical interpretations of the data andmay easily have been influenced by his personal philosophy and moral values. Thus,the descriptions may actually reflect Maslow’s own ideal of the worthy and emotionallyhealthy individual.
Other criticisms have been directed at Maslow’s definitions of various concepts suchas metaneeds, metapathology, peak experiences, and self-actualization. His use of theseterms could be inconsistent and ambiguous. Critics also have asked on what basis self-actualization is presumed to be innate. Why could it not be learned behavior, the resultof some unique combination of childhood experiences?
Maslow’s defense against these charges was that although his theory was not widelysupported by laboratory research, it was successful in social, clinical, and personalterms. He wrote, “It has fitted very well with the personal experience of most people,and has often given them a structured theory that has helped them to make bettersense of their inner lives” (1970b, p. xii).
Partly because of Maslow’s optimism and compassion, his theory, and the human-istic approach to psychology in general, became extremely popular in the 1960s and1970s. The trappings of a formal school of thought were then set in place. Journalsand organizations were founded, and a division of humanistic psychology was formedwithin the American Psychological Association. The concerns of humanistic psychol-ogists experienced a rebirth in the positive psychology movement (Chapter 14).Leaders of that movement credit humanistic psychology as a forerunner of positivepsychology.
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Thus, Maslow’s legacy still flourishes today, influencing personality, social psychology,developmental psychology, and organizational behavior (Kenrick, Griskevicius, Neuberg,& Schaller, 2010). Few theories have had such a broad impact beyond the discipline. Tea-chers and counselors, business and government leaders, health care professionals, andmany ordinary people trying to cope with the hassles of everyday life have foundMaslow’s views compatible with their needs and useful in solving their problems.
Chapter Summary
Maslow argued that each person is born with instinc-toid needs that lead to growth, development, and actu-alization. The hierarchy of needs includes physiologicalneeds (for food, water, air, sleep, and sex) and theneeds for safety, belongingness and love, esteem, andself-actualization.
The lower needs must be satisfied before the higherneeds emerge. The lower the need, the greater itsstrength. Lower needs are called deficit needs becausefailure to satisfy them produces a deficit in the body.Higher needs (growth or being needs) are less neces-sary for survival but enhance physical and emotionalwell-being.
Safety needs (for security, stability, order, and free-dom from fear and anxiety) are most important ininfants and neurotic adults. Belongingness and loveneeds can be satisfied through association with agroup or affectionate relations with one person orwith people in general. Esteem needs include self-esteem and esteem from others. Self-actualizationinvolves the realization of one’s potential and requiresa realistic knowledge of one’s strengths and weaknesses.The needs to know and to understand form a hierarchyof cognitive needs that emerges in late infancy andearly childhood.
Motivation in self-actualizers (metamotivation)serves not to make up for deficits or reduce tensionbut to enrich life and increase tension. Metaneeds arestates of growth toward which self-actualizers move.Frustration of metaneeds produces metapathology, aformless illness for which no specific cause can beidentified.
Self-actualizers constitute less than 1 percent of thepopulation. They share the following characteristics:efficient perception of reality; acceptance of themselvesand others; spontaneity and simplicity; focus on pro-blems rather than self in which metaneeds are satisfiedthrough commitment to work; privacy and indepen-dence; freshness of appreciation; peak experiences; socialinterest; intense interpersonal relationships; creativeness;
democratic character structure; and resistance to encul-turation. Not everyone becomes self-actualizing becauseself-actualization is the weakest need in the hierarchyand easily interfered with. Too much freedom or lackof security in childhood inhibits self-actualization.Also, some people fear realizing their highest potential,what Maslow termed the Jonah complex.
Maslow’s image of human nature is optimistic,emphasizing free will, conscious choice, uniqueness,the ability to overcome childhood experiences, andinnate goodness. Personality is influenced both byheredity and by environment. Our ultimate goal isself-actualization.
Maslow used interviews, free association, projectivetechniques, and biographical material to assess personal-ity. The POI is a self-report test to measure self-actualization. The Smartphone Basics Needs Scale is anattempt to measure how the use of smartphones mightsatisfy Maslow’s hierarchy of needs. Some research sup-ports the characteristics of self-actualizers, the relation-ship between self-esteem and self-competence and self-liking, the order of the needs in the hierarchy, and thegreater concern with higher than lower needs. Peoplehigh in self-esteem feel better about themselves, workharder at tasks, and see themselves as more intelligent,agreeable, and moral than people low in self-esteem.Self-esteem levels are reported to be high in childhoodand low in adolescence, rising in adulthood and fallingin middle age and old age. A contemporary outgrowthof Maslow’s work is self-determination theory, whichposits three needs: competence, autonomy, andrelatedness.
Maslow has been criticized for using too small asample as the basis for his theory and for not makingexplicit his criteria for selecting self-actualizing sub-jects. His theory has had a broad impact on education,counseling, health care, business, and government. Ithas proven to be a stimulus for the positive psychol-ogy movement, which focuses on subjective well-being.
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Review Questions
1. What criticisms did the humanistic psychologistsmake of behaviorism and psychoanalysis?
2. In what ways was Maslow’s childhood an exampleof Adler’s theory of personality?
3. How did Maslow’s childhood influence the theoryhe developed as an adult?
4. Describe the hierarchy of needs Maslow proposed.5. What are the differences between the higher needs
and the lower needs?6. Distinguish between deficiency needs and growth
needs. Which type was Maslow more concernedwith?
7. Describe Maslow’s characteristics of needs. Do wealways seek to satisfy these needs in a particularorder of importance? Why or why not?
8. Describe the differences between the safety needsand the belongingness and love needs.
9. What conditions are necessary in order to satisfythe self-actualization need?
10. At what age do we develop the needs to know andto understand? Which of these needs is thestrongest?
11. Define metaneeds and metapathology.12. Describe the characteristics of self-actualizing
people.
13. What are peak experiences? Are they necessary forself-actualization?
14. Why do so few people satisfy the need for self-actualization?
15. What child-rearing practices can thwart the drivefor self-actualization?
16. How does Maslow’s image of human nature differfrom Freud’s?
17. What does correlational research reveal about therelationship between self-actualization and certainpersonality characteristics?
18. What cultural and ethnic differences have beenfound with regard to self-esteem?
19. How do people who are high in self-esteem differfrom people who are low in self-esteem?
20. Describe the developmental changes in self-esteemfrom childhood to old age. Has your own self-esteem changed as you have matured?
21. Describe the nature of self-determination theory.Identify the three needs proposed by the theory.
22. On what grounds has Maslow’s work on self-actualization been criticized? How did he respondto his critics?
Suggested Readings
Frick, W. B. (2000). Remembering Maslow: Reflectionson a 1968 interview. Journal of Humanistic Psy-chology, 40, 128–147. Excerpts from an interviewwith Maslow and commentary on his personaldifficulties with his work, his ideas aboutself-actualization, and the future of third-forcepsychology.
Hall, M. H. (1968, July). A conversation with AbrahamH. Maslow. Psychology Today, pp. 35–37, 54–57. Aninterview with Maslow about the scope of his work.
Hoffman, E. (1988). The right to be human: A biogra-phy of Abraham Maslow. Los Angeles: JeremyTarcher. A biography based on published andunpublished material describing Maslow’s difficultchildhood and tracing his career from his early workwith primates to his involvement with the humanpotential movement.
Maslow, A. H. (1968). Toward a psychology of being(2nd ed.). New York: Van Nostrand Reinhold. StatesMaslow’s view that humans can be loving, noble,and creative and are capable of pursuing the highest
values and aspirations. Also acknowledges theimportance of Freud’s concept of the unconscious.
Maslow, A. H. (1970). Motivation and personality (2nded.). New York: Harper & Row. Presents Maslow’stheory of motivation and personality, emphasizingpsychological health and self-actualization. A thirdedition (Harper & Row, 1987), revised and edited byRobert Frager and James Fadiman, includes materialon Maslow’s life, the historical significance of hiswork, and applications of self-actualization tomanagement, medicine, and education.
Maslow, A. H. (1996). The unpublished papers ofAbraham Maslow. Edited by E. Hoffman. ThousandOaks, CA: Sage. Includes previously unpublishedessays, articles, and papers with annotations and abiographical sketch.
Milton, J. (2002). The road to malpsychia: Humanisticpsychology and our discontents. San Francisco, CA:Encounter Books. A biography of Maslow in thecontext of a cultural history of the rise and fall of thehumanistic psychology movement.
270 The Humanistic Approach
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chapter 10Carl Rogers:Self-ActualizationTheory
The organism has onebasic tendency andstriving—to actualize,maintain, and enhance theexperiencing organism.
—Carl Rogers
The Life of Rogers (1902–1987)Relying on His Own ExperienceA Unique Approach to Counseling
The Self and the Tendency toward
ActualizationSelf-InsightActualizing TendencyOrganismic Valuing Process
The Experiential World
The Development of the Self
in ChildhoodPositive RegardConditions of WorthIncongruenceCongruence and Emotional Health
Characteristics of Fully Functioning
Persons
Questions about Human Nature
Assessment in Rogers’s TheoryPerson-Centered TherapyEncounter GroupsPsychological Tests
Research on Rogers’s TheoryEvaluating Person-Centered TherapyOpenness to ExperienceAcceptance of SelfEmotional Adjustment
Reflections on Rogers’s TheoryCriticismsThe Influence of World War II on Person-
Centered TherapyAcceptance of Rogers’s TherapyRogers’s Personality Theory
Chapter Summary
Review Questions
Suggested Readings
Carl Rogers originated a popular approach to psychotherapy known initially asnon-directive or client-centered therapy, which later came to be called person-centered therapy. This form of psychotherapy has generated an enormous amountof research and is widely used today in counseling situations (see, for example,Cain, 2014; Kirschenbaum, 2009).
Rogers’s personality theory, like Maslow’s, is rooted in humanistic psychology,which Rogers made the framework for the patient–therapist relationship. Rogersdid not develop his theory from experimental research conducted in laboratories,but rather from his experiences working with patients, or clients as he preferredto call them. Rogers’s view of the therapeutic situation tells us much about hisview of human nature.
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Consider the phrase person-centered therapy. It tells us that the ability tochange and improve personality is centered within the person. In other words, itis the person and not the therapist who directs such change. The therapist’s roleis to assist or facilitate the change (see Bozarth, 2012).
Rogers believed that we are rational beings ruled by a conscious perception ofour selves and our experiential world. He gave very little importance to uncon-scious forces or other Freudian explanations. He also rejected the notion thatevents from our past exert a controlling influence on our present behavior.Although he recognized that childhood experiences affect the way we perceiveour environment, and ourselves, Rogers insisted that current feelings and emo-tions have a greater impact on personality.
Because of this emphasis on the conscious and the present, Rogers believed thatpersonality could only be understood from our own viewpoint, based on our subjec-tive experiences. Rogers dealt with reality as consciously perceived by each of us,and he noted that this perception did not always coincide with objective reality.
Rogers proposed one single, innate, overriding motivation: the inborn tendencyto actualize, to develop our abilities and potentials to the fullest. This ultimate goalis to actualize the self, to become what Rogers called a fully functioning person.His approach to therapy and theory, and the optimistic and humanistic picture hepainted, received enthusiastic acceptance in psychology, education, and family-liferesearch.
The Life of Rogers (1902–1987)
Relying on His Own Experience
The fourth child in a family of six, Rogers was born in 1902 in Oak Park, Illinois, a sub-urb of Chicago. His parents held extremely strict religious views and emphasized moralbehavior, suppressing all displays of emotion, and the virtue of hard work. Rogers laterwrote that their fundamentalist teachings gripped him like a vise throughout his child-hood and adolescence. His parents’ beliefs forced him to live by their view of the worldrather than his own. His parents promoted their influence in subtle and loving ways, asRogers later did in his nondirective approach to counseling. It was understood by all thechildren that they must never “dance, play cards, attend movies, smoke, drink, or showany sexual interest” (Rogers, 1967, p. 344). He would soon make their beliefs a target forrevolt.
An Older Brother and a Lonely Childhood Rogers had little social life outside hisfamily, and he came to believe that his parents favored an older brother. As a result, therewas considerable competitiveness between them. Rogers described himself as shy, solitary,dreamy, and often lost in fantasy. A biographer noted that Rogers grew up with “bittermemories of being the inevitable butt of his brother’s jokes, even as he was starved of joyby his mother” (Milton, 2002, p. 128).
In an attempt to escape his loneliness, he read incessantly, any book he could find,even dictionaries and encyclopedias. His solitude led him to depend on his ownresources and experiences, his personal view of the world. That characteristic remained
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with him throughout his life and became the foundation of his personality theory. Inlater years, he realized how strongly his loneliness had influenced his theory as well ashis own personality.
As I look back, I realize that my interest in interviewing and in therapy certainly grew out ofmy early loneliness. Here was a socially approved way of getting really close to individuals andthus filling some of the hunger I had undoubtedly felt. (Rogers, 1980, p. 34)
Moths and Bizarre Fantasies When Rogers was 12, the family moved to a farm 30miles from Chicago where rural life awakened his interest in science. First, he became fasci-nated by a species of moth he discovered in the woods. He observed, captured, and bredthem over many months. Second, he became interested in farming, which his father pur-sued with modern, scientific methods.
Rogers read about agricultural experiments and came to appreciate the value of thescientific approach with its use of control groups, isolation of a variable for study, andstatistical analysis of data. It was an unusual undertaking for an adolescent. At thesame time, his emotional life continued in turmoil, the nature of which he never fullyexplained. He wrote, “My fantasies during this period were definitely bizarre, and proba-bly would be classified as schizoid by a diagnostician, but fortunately, I never came incontact with a psychologist” (1980, p. 30).
Finding Freedom in China Rogers decided to study agriculture at the University ofWisconsin, the college his parents, two older brothers, and a sister had attended. But follow-ing his sophomore year, he gave up the scientific study of agriculture to prepare for the min-istry. In his junior year at Wisconsin, Rogers was selected to attend an internationalChristian student conference in Beijing, China. During his 6 months of travel, he wrote tohis parents that his philosophy of life was changing. His religious views had swung fromfundamentalist to liberal.
Freeing himself of his parents’ ways grieved them, but brought him emotional andintellectual independence. He realized, he later wrote, that he could “think my ownthoughts, come to my own conclusions, and take the stands I believed in” (1967,p. 351). This liberation, and the confidence and direction it gave him, reinforced hisopinion that all human beings must learn to rely on their own experiences, ideas, andbeliefs. But reaching that conclusion was a difficult process, and he paid a high emo-tional price. After being hospitalized for 5 weeks for ulcers, which may have beeninduced by stress, he remained at the family farm for a year to recuperate before return-ing to college.
A Unique Approach to Counseling
In 1924, Rogers graduated from the University of Wisconsin, married a childhood friend,and enrolled at Union Theological Seminary in New York to become a clergyman. Aftertwo years, however, he transferred to Teachers College of Columbia University across thestreet to study clinical and educational psychology. He received his Ph.D. in 1931 andjoined the staff of the Child Study Department of the Society for the Prevention ofCruelty to Children in Rochester, New York. His job involved diagnosing and treatingdelinquent and underprivileged children.
In 1940, he moved from a clinical to an academic setting with an appointment asprofessor of psychology at Ohio State University. There, Rogers began to formulate hisperson-centered views on counseling for the emotionally disturbed. He also worked to
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bring clinical psychology into the mainstream of contemporary psychological thought.He spent the years 1945 to 1957 at the University of Chicago, teaching and developingthe Counseling Center.
A Breakdown and Therapy Finding himself unable to help a severely disturbed cli-ent, he became so upset that he fell ill himself, suffering what was then called a nervousbreakdown. His self-confidence was shattered. He wrote that he felt “deeply certain ofmy complete inadequacy as a therapist, my worthlessness as a person, and my lack ofany future in the field of psychology” (1967, p. 367).
He and his wife left Chicago and set out for their cabin in upstate New York, whereRogers remained secluded for the next 6 months. When he felt well enough to return tothe university, he also began undergoing therapy for himself, becoming aware of justhow deep his feelings of insecurity were. He said he believed that “no one could everlove me, even though they might like what I did” (quoted in Milton, 2002, p. 131).
Finally Finding Himself Rogers’s therapy was apparently successful, and heemerged with a newfound ability to give and receive love and to form deep emotionalrelationships with other people, including his clients.
He taught at the University of Wisconsin from 1957 to 1963. During those years, hepublished many articles and books that brought his personality theory and person-centered therapy to a wide audience. His clinical experience while in academia wasmostly with college students in the counseling centers. Thus, the kind of person hetreated during that time—young, intelligent, highly verbal, and, in general, facingadjustment problems rather than severe emotional disorders—was vastly differentfrom the kind of person treated by the Freudians or by clinical psychologists in privatepractice.
In 1964, Rogers became a resident fellow at the Western Behavioral Sciences Insti-tute in California, working to apply his person-centered philosophy to internationalproblems such as the reduction of tension between Protestants and Catholics in North-ern Ireland, and Jews and Arabs in the Middle East. He served as president of theAmerican Psychological Association in 1946 and received that organization’s Distin-guished Scientific Contribution Award and Distinguished Professional ContributionAward.
LOG ON
Carl RogersVarious sites provide biographical information, discussions of his theory, research onrelevant concepts, and links to other resources.
Person-Centered TherapySeveral sites provide information on the development and applications of Rogers’sunique approach to psychotherapy.
The Self and the Tendency toward Actualization
During his trip to China, Rogers came to recognize the importance of an autonomousself as a factor in his own development. His early research reinforced the importance ofthe self in the formation of the personality. In the 1930s, he developed a method fordetermining whether a child’s behavior was healthy and constructive or unhealthy and
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destructive. He investigated the child’s background and had the child rated on factors hebelieved would influence behavior. These factors included the family environment,health, intellectual development, economic circumstances, cultural influences, socialinteractions, and level of education. All of these factors are external, that is, part of thechild’s environment.
Rogers also investigated a potential internal influence, the child’s self-understandingor self-insight. Rogers described self-insight as an acceptance of self and reality, and asense of responsibility for the self. But he continued to believe that the external factorswere of greater importance in shaping one’s personality.
Self-Insight
Ten years later, William Kell, one of Rogers’s students, attempted to predict the behaviorof delinquent children. Rogers predicted that the factors of family environment and socialinteractions (external factors) would correlate most strongly with delinquent behavior, buthe was wrong. The factor that most accurately predicted later behavior was self-insight.
Surprised to learn that family environment did not relate highly to later delinquentbehavior, Rogers wrote, “I was simply not prepared to accept this finding, and thestudy was put on the shelf” (1987, p. 119). Two years later, Helen McNeil replicatedthe study using a different group of subjects and got results similar to those of Kell. Aperson’s level of self-insight was the single most important predictor of behavior.
This time, faced with such an accumulation of data, Rogers accepted the findings and,on reflection, came to appreciate their significance. If one’s attitude toward the self wasmore important in predicting behavior than the external factors widely thought to be soinfluential in childhood, then counselors and social workers were emphasizing the wrongthings in trying to treat delinquent children and adolescents!
Counselors traditionally focus on external factors such as a poor family environmentand alter the circumstances by removing children from a threatening home situation andplacing them in foster care. Instead, they should be trying to modify the children’s self-insight. That realization was important to Rogers personally.
This experience helped me decide to focus my career on the development of a psychotherapythat would bring about greater awareness of self-understanding, self-direction, and personalresponsibility, rather than focusing on changes in the social environment. It led me to placegreater emphasis on the study of the self and how it changes. (Rogers, 1987, p. 119)
Thus, the idea of the self became the core of Rogers’s theory of personality, as it hadbecome the core of his own life.
Actualizing Tendency
Rogers believed people are motivated by an innate tendency to actualize, maintain, andenhance the self. This drive toward self-actualization is part of a larger actualizationtendency, which encompasses all of our physiological and psychological needs. Byattending to basic requirements, such as the needs for food, water, and safety, the actual-ization tendency serves to maintain the organism, providing for sustenance and survival.
Rogers believed that the actualization tendency begins in the womb, facilitatinghuman growth by providing for the differentiation of the physical organs and the devel-opment of physiological functioning. It is responsible for maturation—the geneticallydetermined development of the body’s parts and processes—ranging from the growthof the fetus to the appearance of the secondary sex characteristics at puberty. Thesechanges, programmed into our genetic makeup, are all brought to fruition by the actual-ization tendency.
actualization tendencyThe basic humanmotivation to actualize,maintain, and enhancethe self.
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Even though such changes are genetically determined, progress toward full humandevelopment is neither automatic nor effortless. To Rogers, the process involves struggleand pain. For example, when children take their first steps, they may fall and hurt them-selves. Although it would be less painful to remain in the crawling stage, most childrenpersist. They may fall again and cry, but they persevere despite the pain because the ten-dency to actualize is stronger than the urge to regress simply because the growth processis difficult.
Organismic Valuing Process
The governing process throughout the life span, in Rogers’s view, is the organismicvaluing process. Through this process, we evaluate all life experiences by how well theyserve the actualization tendency. Experiences that we perceive as promoting actualizationare evaluated as good and desirable; we assign them a positive value. Experiences per-ceived as hindering actualization are undesirable and, thus, earn a negative value. Theseperceptions influence behavior because we prefer to avoid undesirable experiences andrepeat desirable experiences.
The Experiential World
In developing his theory, Rogers weighed the impact of the experiential world in whichwe operate daily. This provides a frame of reference or context that influences ourgrowth. We are exposed to countless sources of stimulation every day. Some are trivialand some important, some threatening and others rewarding. He wanted to know howwe perceive and react to this multifaceted world of experiences to which we are con-stantly exposed.
Rogers answered the question by saying that the reality of our environment dependson our perception of it, which may not always coincide with reality. We may react to anexperience far differently from the way our best friend does. You may judge the behaviorof your roommate in a dramatically different way than does someone decades older. Ourperceptions change with time and circumstances. Your own opinion of what you con-sider to be acceptable behavior for college students will probably change by the timeyou are 70.
As the actualization tendency in infancy leads us to grow and develop, our experien-tial world broadens. Infants are exposed to more and more sources of stimulation andrespond to them as they are subjectively perceived. Our experiences become the onlybasis for our judgments and behaviors. Rogers wrote, “Experience is, for me, the highestauthority. The touchstone of validity is my own experience” (1961, p. 23). Higher levelsof development sharpen our experiential world and ultimately lead to the developmentof the self.
The Development of the Self in Childhood
As infants gradually develop a more complex experiential field from widening socialencounters, one part of their experience becomes differentiated from the rest. This sep-arate part, defined by the words I, me, and myself, is the self or self-concept. The for-mation of the self-concept involves distinguishing what is directly and immediately apart of the self from the people, objects, and events that are external to the self. Theself-concept is also our image of what we are, what we should be, and what we wouldlike to be.
organismic valuingprocess The processby which we judgeexperiences in terms oftheir value for fosteringor hindering our actu-alization and growth.
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Ideally, the self is a consistent pattern, an organized whole. All aspects of the selfstrive for consistency. For example, people who are disturbed about having aggressivefeelings and choose to deny them dare not express any obvious aggressive behaviors.To do so would mean behaving in ways that are inconsistent with their self-concept,because they believe they should not be aggressive.
Positive Regard
As the self emerges, infants develop a need for what Rogers called positive regard. Itincludes acceptance, love, and approval from other people, most notably from themother during infancy. This need is probably learned, although Rogers said the sourcewas not important. The need for positive regard is universal and persistent.
Infants find it satisfying to receive positive regard and frustrating not to receive it orto have it withdrawn. Because positive regard is crucial to personality development,infant behavior is guided by the amount of affection and love bestowed. If the motherdoes not offer positive regard, then the infant’s innate tendency toward actualizationand development of the self-concept will be hampered.
Infants perceive parental disapproval of their behavior as disapproval of their newlydeveloping self. If this occurs frequently, infants will cease to strive for actualizationand development. Instead, they will act in ways that will bring positive regard fromothers, even if these actions are inconsistent with their self-concept.
Unconditional Positive Regard Even though infants may receive sufficient accep-tance, love, and approval, some specific behaviors may bring punishment. However, ifpositive regard for the infant persists despite the infant’s undesirable behaviors, the con-dition is called unconditional positive regard. By this, Rogers meant that the mother’slove for the child is granted freely and fully; it is not conditional or dependent on thechild’s behavior.
An important aspect of the need for positive regard is its reciprocal nature. Whenpeople perceive themselves to be satisfying someone else’s need for positive regard, theyin turn experience satisfaction of that need themselves. Therefore, it is rewarding to sat-isfy someone else’s need for positive regard.
Because of the importance of satisfying the need for positive regard, particularly ininfancy, we become sensitive to the attitudes and behaviors of other people. By interpret-ing the feedback we receive from them (either approval or disapproval), we refine ourself-concept. Thus, in forming the self-concept we internalize the attitudes of otherpeople.
Positive Self-Regard In time, positive regard will come more from within us thanfrom other people, a condition Rogers called positive self-regard. Positive self-regardbecomes as strong as our need for positive regard from others, and it may be satisfiedin the same way. For example, children who are rewarded with affection, approval, andlove when they are happy will come to generate positive self-regard whenever theybehave in a happy way. Thus, in a sense, we learn to reward ourselves.
Positive self-regard can be defined as a feeling of contentment with oneself and isrelated to positive mental health (Leising, Borkenau, Zimmermann, Roski, Leonhardt, &Schutz, 2013). Like positive regard, positive self-regard is reciprocal. When people receivepositive regard and develop positive self-regard, in turn they may provide positive regard toothers.
positive regardAcceptance, love, andapproval from others.
unconditional positiveregard Approvalgranted regardlessof a person’s behavior.In Rogers’s person-centered therapy, thetherapist offers theclient unconditionalpositive regard.
positive self-regardThe condition underwhich we grant our-selves acceptance andapproval.
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Conditions of Worth
Conditions of worth evolve from this developmental sequence of positive regard leadingto positive self-regard. Positive self-regard is Rogers’s version of the Freudian superego,and it derives from conditional positive regard. We noted that unconditional positiveregard involves the parents’ love and acceptance of the infant without conditions, inde-pendent of the child’s behavior.
Conditional positive regard is the opposite. Parents may not react to everything theirinfant does with positive regard. Some behaviors annoy, frighten, or bore them and forthose behaviors they may not provide affection or approval. Thus, infants learn thatparental affection has a price; it depends on behaving in certain acceptable ways. Theycome to understand that sometimes they are prized, and sometimes they are not.
If a parent expresses annoyance every time the infant drops an object out of the crib,the child learns to disapprove of himself or herself for behaving that way. External stan-dards of judgment become internal and personal. In a sense, then, children come to pun-ish themselves as their parents did. Children develop self-regard only in situations thathave brought parental approval, and in time the self-concept, thus formed, comes tofunction as a parental surrogate.
As a result, children develop conditions of worth. They come to believe they are wor-thy only under certain conditions, the ones that brought parental positive regard andthen personal positive self-regard. Having internalized their parents’ norms and stan-dards, they view themselves as worthy or unworthy, good or bad, according to theterms their parents defined.
Ideally, a parent pro-vides unconditionalpositive regard.
conditions of worth ToRogers, a belief that weare worthy of approvalonly when we expressdesirable behaviorsand attitudes andrefrain from expressingthose that bring disap-proval from others;similar to the Freudiansuperego.
conditional positiveregard Approval, love,or acceptance grantedonly when a personexpresses desirablebehaviors andattitudes.
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A study of adolescents found that when their mothers used conditional positive self-regard to reward them for academic achievement, and punish them for non-achievement, their feelings of self-worth became erratic. When they got good grades,for example, they behaved in self-aggrandizing ways. But when they did not get goodgrades, they felt shame and tend to downplay or devalue their sense of self-worth(Assor & Tai, 2012).
Children thus learn to avoid certain behaviors and no longer function freely. Becausethey feel the need to evaluate their behaviors and attitudes so carefully, and refrain fromtaking certain actions, they are prevented from fully developing or actualizing the self.They inhibit their development by living within the confines of their conditions of worth.
Incongruence
Not only do children learn, ideally, to inhibit unacceptable behaviors, but they also maycome to deny or distort unacceptable ways of perceiving their experiential world. Byholding an inaccurate perception of certain experiences, they risk becoming estrangedfrom their true self. We learn to evaluate experiences, and to accept or reject them, notin terms of how they contribute to our overall actualization tendency, but in terms ofwhether they bring positive regard from others. This leads to incongruence between theself-concept and the experiential world, the environment as we perceive it.
Experiences that are incongruent or incompatible with our self-concept becomethreatening and are manifested as anxiety. For example, if our self-concept includes thebelief that we love all humanity, once we meet someone toward whom we feel hatred, weare likely to develop anxiety.
Hating is not congruent with our image of us as loving persons. To maintain our self-concept, we must deny the hatred. We defend ourselves against the anxiety that accom-panies the threat by distorting it, thus closing off a portion of our experiential field. Theresult is a rigidity of some of our perceptions.
Congruence and Emotional Health
Our level of psychological adjustment and emotional health is a function of the degree ofcongruence or compatibility between our self-concept and our experiences. Psychologi-cally healthy people are able to perceive themselves, other people, and events in theirworld much as they really are. They are open to new experiences because nothing threa-tens their self-concept. They have no need to deny or distort their perceptions because aschildren they received unconditional positive regard and did not have to internalize anyconditions of worth.
They feel worthy under all conditions and situations and are able to use all their experi-ences. They can develop and actualize all facets of the self, proceeding toward the goal ofbecoming a fully functioning person and leading what Rogers called “the good life.”
Characteristics of Fully Functioning Persons
To Rogers, the fully functioning person is the most desirable end result of psychologicaldevelopment and social evolution (Rogers, 1961). He described several characteristics offully functioning (self-actualizing) people (see Table 10.1).
Fully functioning persons are aware of all experiences No experience is distortedor denied; all of it filters through to the self. There is no defensiveness because there isnothing to defend against, nothing to threaten the self-concept. Fully functioning personsare open to positive feelings such as courage and tenderness, and to negative feelings
incongruence A dis-crepancy between aperson’s self-conceptand aspects of his orher experience.
fully functioningperson Rogers’s termfor self-actualization,for developing allfacets of the self.
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such as fear and pain. They are more emotional in the sense that they accept a widerrange of positive and negative emotions and feel them more intensely.
Fully functioning persons live fully and richly in every moment All experiencesare potentially fresh and new. Experiences cannot be predicted or anticipated but areparticipated in fully rather than merely observed.
Fully functioning persons trust in their own organism By this phrase Rogersmeant that fully functioning persons trust their own reactions rather than being guidedby the opinions of others, by a social code, or by their intellectual judgments. Behavingin a way that feels right is a good guide to behaving in a way that is satisfying. Rogersdid not suggest that fully functioning persons ignore information from their own intel-lect or from other people. Rather, he meant that all data are accepted as congruent withthe fully functioning person’s self-concept.
Nothing is threatening; all information can be perceived, evaluated, and weighedaccurately. Thus, the decision about how to behave in a particular situation results froma consideration of all experiential data. Fully functioning persons are unaware of makingsuch considerations, however, because of the congruence between their self-concept andexperience, so their decisions appear to be more intuitive and emotional than intellectual.
Fully functioning persons feel free to make choices without constraints orinhibitions This brings a sense of power because they know their future depends ontheir own actions and not present circumstances, past events, or other people. They donot feel compelled, either by themselves or by others, to behave in only one way.
Fully functioning persons are creative and live constructively and adaptively asenvironmental conditions change Allied with creativity is spontaneity. Fully func-tioning persons are flexible and seek new experiences and challenges. They do notrequire predictability, security, or freedom from tension.
Fully Functioning Persons are in a State of Actualizing Rogers used the wordactualizing, not actualized, to characterize the fully functioning person. The latter termimplies a finished or static personality, which was not Rogers’s intent. Self-development isalways in progress. Rogers wrote that being fully functioning is “a direction, not a destina-tion” (1961, p. 186). If striving and growing cease, then the person loses spontaneity, flexi-bility, and openness. Rogers’s emphasis on change and growth is neatly captured in theword becoming in the title of his book, On Becoming a Person (1961).
TABLE 10.1 Characteristics of fully functioning persons
Awareness of all experience; open to positive as well as negative feelings
Freshness of appreciation for all experiences
Trust in one’s own behavior and feelings
Freedom of choice, without inhibitions
Creativity and spontaneity
Continual need to grow, to strive to maximize one’s potentialIn a state of actualizing
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Being fully functioning is not always easy Being fully functioning involves con-tinually testing, growing, striving, and using all of one’s potential, a way of life thatbrings complexity and challenge. Rogers did not describe fully functioning persons ashappy, blissful, or contented, although at times they may be. More appropriately, theirpersonality may be described as enriching, exciting, and meaningful.
Questions about Human Nature
On the issue of free will versus determinism, Rogers’s position is clear. Fully functioningpersons have free choice in creating their selves. In other words, no aspect of personalityis predetermined for them. On the nature–nurture issue, Rogers gave prominence to therole of the environment. Although the actualization tendency is innate, the actualizingprocess itself is influenced more by social than by biological forces.
Childhood experiences have some impact on personality development, but experi-ences later in life have a greater influence. Our present feelings are more vital to ourpersonality than the events of our childhood.
Rogers recognized a universal quality in personality when he noted that fully func-tioning persons share certain characteristics. However, we may infer from his writingsthat there is opportunity for uniqueness in the ways these characteristics are expressed.The ultimate and necessary goal of life is to become a fully functioning person.
A personality theorist who credits people with the ability, motivation, and responsibil-ity to understand and improve themselves obviously views people in an optimistic andpositive light. Rogers believed we have a basically healthy nature and an innate tendencyto grow and fulfill our potential. Rogers never lost this optimism. In an interview at theage of 85, he said, “in working with individuals and working with groups my positiveview of human nature is continually reinforced” (1987, p. 118).
In Rogers’s opinion, we are not doomed to conflict with our selves or with our soci-ety. We are not ruled by instinctive biological forces or controlled by events of the first5 years of life. Our outlook is progressive rather than regressive, toward growth rather
Fully functioning per-sons feel a sense offreedom and have theability to live richlyand creatively inevery moment.
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than stagnation. We experience our world openly, not defensively, and we seek challengeand stimulation instead of the security of the familiar. Emotional disturbances mayoccur, but these are uncommon.
Through Rogers’s person-centered therapy, people are able to overcome difficulties byusing their inner resources, the innate drive for actualization.
I am quite aware that out of defensiveness and inner fear individuals can and do behave inways which are incredibly cruel, horribly destructive, immature, regressive, antisocial, hurtful.Yet one of the most refreshing and invigorating parts of my experience is to work with suchindividuals and to discover the strongly positive directional tendencies which exist in them, asin all of us. (Rogers, 1961, p. 27)
The urge to become a fully functioning person benefits society as well. As more peo-ple in a given culture become self-actualizing, the improvement of society will naturallyfollow.
Assessment in Rogers’s Theory
To Rogers, the only way to assess personality is in terms of the person’s subjectiveexperiences, the events in the person’s life as he or she perceives them and acceptsthem as real. Rogers maintained that his clients (he never called them “patients”) hadthe ability to examine the roots of their problems and to redirect the personality growththat had been impeded by some incongruence between their self-concept and theirexperiences.
Person-Centered Therapy
In person-centered therapy, Rogers explored the client’s feelings and attitudes towardthe self and toward other people. He listened without any preconceptions, trying tounderstand the client’s experiential world as the client viewed it. Although Rogers con-sidered person-centered therapy the only worthwhile approach to personality assessment,he realized that it was not infallible. By focusing on subjective experiences, the therapistlearns only about those events the client consciously expresses.
Experiences that are not in conscious awareness remain hidden. The danger in tryingto infer too much about these non-conscious experiences is that the inferences the thera-pist draws may represent the therapist’s own projections more than the client’s actualexperiences.
Also, what the therapist learns about a client depends on the client’s ability to com-municate. Because all forms of communication are imperfect, the therapist necessarilywill see the client’s world of experience imperfectly and incompletely.
Within these limits, Rogers argued that person-centered therapy provides a clearerview of a person’s experiential world than all other forms of assessment and therapy.One advantage Rogers claimed for his approach is that it does not rely on a predeter-mined theoretical structure, such as Freudian psychoanalysis, into which the therapistmust fit the patient’s problem.
The only predetermined belief of the person-centered therapist is the client’s inherentvalue and worth. Clients are accepted as they are. The therapist gives them unconditionalpositive regard and offers no judgments about their behavior or advice on how tobehave. Everything centers on the client, including the responsibility for changing behav-ior and reevaluating relationships.
Rogers opposed assessment techniques such as free association, dream analysis, andcase histories. He believed they made clients dependent on the therapist, who then
person-centeredtherapy Rogers’sapproach to therapyin which the client isassumed to beresponsible forchanging his or herpersonality.
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assumed an aura of expertise and authority. These techniques removed personal respon-sibility from the clients by giving them the impression that the therapist knew all aboutthem. Clients could conclude that the therapist would then solve their problems and allthey needed to do was sit back and follow the expert’s instructions.
Encounter Groups
Rogers demonstrated that person-centered therapy could help individuals who were out oftouch with their feelings and closed to life’s experiences. He then wanted to bring this stateof enhanced psychological health and functioning to a greater number of people, and so hedeveloped a group technique in which people could learn more about themselves and howthey related to, or encountered, one another. He called his approach the encounter group(Rogers, 1970).
Group sizes ranged from 8 to 15 people. They typically met 20 to 60 hours over sev-eral sessions. They began with no formal structure or agenda. The group facilitators whoconducted the sessions were not leaders in the usual sense. They established an atmo-sphere in which group members could express themselves and focus on how othersperceived them. The job of the facilitator was to make it easier for members to achieveself-insight and become more fully functioning. Rogers believed that most (though notall) participants would become more fully functioning.
Not all psychologists agreed. A large-scale analysis of studies on encounter groupsrevealed that the results were comparable to traditional psychotherapies (Faith, Wong,& Carpenter, 1995). The analysis also showed that larger groups that met more fre-quently produced more favorable outcomes than smaller groups that met less often.
Encounter groups are no longer as popular today as when Rogers himself was pro-moting them, but they are still conducted by some of his followers as a way of inducingpeople to enhance their potentials and become more fully functioning.
Psychological Tests
Rogers did not use psychological tests to assess personality, nor did he develop any tests.However, other psychologists have devised tests to measure aspects of the experientialworld. The Experience Inventory (Coan, 1972), a self-report questionnaire, attempts toassess openness or receptivity to experience, a characteristic of the fully functioning person.The Experiencing Scale (Gendlin & Tomlinson, 1967) measures our level of self-trust.
Persons being assessed by this test do not respond directly. They may talk about what-ever they choose, and their recorded comments are later rated for degree of self-trust; forexample, how much they claim their feelings are an important source of information onwhich to base behavior, or how much they deny that personal feelings influence theirdecisions.
The Experiencing Scale has been used with person-centered therapy. For example, onestudy found that people who made the greatest improvement during therapy revealed anincrease in self-trust from before therapy to after therapy. Those who showed littleimprovement during therapy showed a small or no increase in self-trust over the period.Those with less severe emotional disorders showed greater self-trust than those withmore severe emotional disorders (Klein, Malthieu, Gendlin, & Kiesler, 1969).
Research on Rogers’s Theory
Rogers believed that person-centered interviews, which rely on clients’ self-reports, were ofgreater value than experimental methods. In his view, the more orthodox scientificapproaches yielded less information on the nature of personality than did his clinical
encounter groups Agroup therapy tech-nique in which peoplelearn about their feel-ings and about howthey relate to (orencounter) oneanother.
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approach. He said, “I never learned anything from research. Most of my research has beento confirm what I already felt to be true” (quoted in Bergin & Strupp, 1972, p. 314).
Although Rogers did not use laboratory methods to collect data about personality, hedid use them to attempt to verify and confirm his clinical observations. He was enthusi-astic about research on the nature of the therapy sessions, an idea resisted by many clin-icians who saw it as a violation of privacy.
What Rogers did was to introduce what was then a radical procedure (Goldfried,2007). He recorded and filmed therapy sessions to enable researchers to study theclient–therapist interaction. Before Rogers’s innovation, the only data available fromtherapy sessions were the therapist’s after-the-fact reconstructions—the notes made onthe therapy session some time after it was over. In addition to distortions of memorywith the passage of time, a written record misses the client’s emotional state and bodylanguage. Sometimes a facial expression or tone of voice might reveal more than words.With recorded therapy sessions, everything became available for study.
Rogers referred to it as a microscope with which to examine the “molecules of personal-ity change” (1974, p. 120). He always obtained the client’s permission to record the sessionsand he found that the presence of the equipment did not impede the course of therapy.
Evaluating Person-Centered Therapy
Rogers and his associates also studied how the self-concept changes during a course oftherapy. Using qualitative and quantitative techniques in the scientific tradition (despiteRogers’s claim of not being a scientist), they analyzed the therapy sessions. By applyingrating scales and content analyses of a client’s verbalizations, they investigated changes inthe self-concept.
Much of the research used the Q-sort technique, a procedure developed by WilliamStephenson (1953). In this technique, clients sort a large number of statements about theself-concept into categories that range from most descriptive to least descriptive. Thus,the Q sort is a way of empirically defining the client’s self-image.
Typical Q-sort statements include the following:
• I enjoy being alone.• I feel helpless.• I am emotionally mature.
The Q-sort can be used in several ways. For example, after sorting the statements interms of the perceived self, clients can be asked to sort the same statements in terms ofan ideal self, that is, the person they would most like to be. Applying the correlationalmethod, Rogers used Q-sort responses to determine how closely a client’s self-image orperceived self corresponded to the ideal self.
He also noted how greatly the self-concept changed from the period before therapy tothe period following therapy. For one client, identified as “Mrs. Oak,” the data yielded aninitial correlation coefficient of þ.36 between perceived self and ideal self. A year aftertherapy, the correlation coefficient had shown an increase to þ.79, indicating to Rogersthat Mrs. Oak’s perceived self had become much more congruent with her ideal ordesired self (Rogers, 1954). He concluded that this dramatic change reflected an increasein emotional health.
Mrs. Oak chose different Q-sort phrases to describe herself before and after therapy.Prior to her sessions with Rogers, she saw her self-image as dependent and passive. Shealso felt rejected by other people. After the course of therapy, Mrs. Oak believed she wasmore like the self she really wanted to be. She felt more secure, less fearful, and betterable to relate to other people (see Table 10.2).
Q-sort technique Aself-report techniquefor assessing aspectsof the self-concept.
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A study by Rogers’s associates measured the discrepancy between perceived selfand ideal self in 25 clients (Butler & Haigh, 1954). The researchers found that the dis-crepancy decreased over time during and following therapy. Before therapy, the averagecorrelation coefficient between perceived self and ideal self was �.01. After therapy, itwas þ.31.
More recent research has shown that person-centered therapy is more likely to besuccessful when clients perceive their therapists to:
1. Be empathic and understanding2. Demonstrate unconditional positive regard for them3. Show congruence by demonstrating that they are being genuine in the therapeutic
relationship (Cain, 2013).
More recently, a Sexual Satisfaction Q-Sort technique has been developed in whichpeople sort 63 statements concerning their behaviors, feelings, and experiences duringsexual satisfaction. Initial findings suggest that most people taking the test sort their sex-ual experiences into one or more of four categories: emotional and masculine, relationaland feminine, partner focused, or orgasm focused (McClelland, 2014a, 2014b).
Conditional Positive Regard Research conducted on three generations of womenand on college students demonstrated that the use of conditional positive regard by par-ents had successfully brought about the behaviors they desired in their children. How-ever, self-reports from children whose parents used conditional regard showed poorcoping skills, fluctuating levels of self-esteem, low self-worth, feelings that their parentsdisapproved of them, and resentment toward their parents. No such negative conse-quences were reported by children whose parents did not use conditional regard(Assor, Roth, & Deci, 2004).
Organismic Valuing Process There is some evidence to support Rogers’s concept ofthe organismic valuing process. Studies have also suggested that positive self-regard maynot be as prevalent in a collectivist culture such as Japan as it is in a more individualisticculture such as the United States (Heine, Lehman, Markus, & Kitayama, 1999; Joseph &Linley, 2005; Sheldon, Arndt, & Houser-Marko, 2003).
TABLE 10.2 Mrs. Oak’s Q-sort statements of perceived self beforeand after therapy
SELF BEFORE THERAPY SELF 12 MONTHS AFTER THERAPY
I usually feel driven. I express my emotions freely.
I am responsible for my troubles. I feel emotionally mature.
I am really self-centered. I am self-reliant.
I am disorganized. I understand myself.
I feel insecure within myself. I feel adequate.
I have to protect myself with excuses, withrationalizing.
I have a warm emotional relationship with others.
Source: From Rogers, C. R. (1954). The case of Mrs. Oak: A research analysis. In C. R. Rogers & R. F. Dymond(Eds.), Psychotherapy and personality change. Chicago: University of Chicago Press.
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Openness to Experience
In a classic study, college students completed the Q-sort list to test Rogers’s propositionthat fully functioning persons are open to all experiences, whereas psychologicallyunhealthy people erect defenses to protect themselves against experiences thatthreaten their self-image (Chodorkoff, 1954). A separate Q-sort description of each sub-ject was prepared by clinicians who based their reports on a variety of data, includingresponses to the Thematic Apperception Test and the Rorschach inkblot test. Based onthese clinical measurements, the students were divided into good- and poor-adjustmentgroups.
Measures of perceptual defense against material perceived to be threatening wereobtained from the subjects’ reactions to neutral words such as table and to allegedlythreatening words such as penis. The results showed that all subjects were slower to per-ceive threatening words than neutral words, but this response was more marked in thedefensive subjects of the poorly adjusted group. Significantly less perceptual defense wasshown by people in the good-adjustment group, presumed to be psychologically health-ier. With regard to agreement between the students’ self-descriptions and the clinicians’descriptions, researchers found that the closer the two sets of Q-sort statements, the bet-ter adjusted that person was found to be.
Acceptance of Self
A study of 56 mothers explored the relationship between their self-acceptance and theextent to which they accepted their children as they were rather than as they wishedthem to be (Medinnus & Curtis, 1963). This early research was based on Rogers’s ideathat people who accept their own nature realistically (whose perceived and ideal selvesare congruent) are more likely to accept others as they really are.
The results revealed significant differences between self-accepting mothers and thosewho were not self-accepting. Self-accepting mothers were more accepting of their chil-dren’s nature. Also, the child’s degree of self-acceptance depended to some extent onthe mother’s degree of self-acceptance.
Racial identity A study of multiracial adults in the United States found that peoplewho showed a high degree of self-acceptance about their racial identities had strongerpositive growth than those who showed a lesser degree of self-acceptance about theirracial identities (Pedrotti & Edwards, 2010).
Parental behavior Parents who accept their children unconditionally and displaydemocratic child-rearing practices were found to have children with higher self-esteemand greater emotional security than parents who failed to accept their children andwho displayed authoritarian behavior (Baldwin, 1949).
Parents of children with high self-esteem displayed their affection and used rewardrather than punishment to guide their child’s behavior. Parents of children with lowself-esteem were more aloof, less loving, and more likely to use punishment (Cooper-smith, 1967).
Adolescents whose parents provided unconditional positive regard and allowed themto express themselves without restraint developed greater creative potential than did ado-lescents whose parents did not provide those conditions (Harrington, Block, & Block,1987).
It has also been found that adolescents who received unconditional positive regardfrom their parents were more confident and hopeful about their ability to receive
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support from others in the future. They also engaged in more behaviors that were con-sistent with their perception of their interests and talents.
Teens who received conditional positive regard from their parents lacked such confi-dence and hope. They took more actions that were inconsistent with their true selves inan effort to obtain support and approval from their parents (Harter, Marold, Whitesell,& Cobbs, 1996). High school students who received unconditional positive regard fromtheir teachers were found to score higher in positive self-esteem than those who did notreceive unconditional positive regard from their teachers (Nolan, 2008).
Age Growing older has been found to increase the level of self-adjustment, as well asto decrease feelings of anger and anxiety (Shallcross, Ford, Floerke, & Mauss, 2013).
Emotional Adjustment
Several studies provide support for Rogers’s suggestion that incongruence between per-ceived self and ideal self indicates poor emotional adjustment. Researchers have con-cluded that the greater the discrepancy, the higher the anxiety, insecurity, self-doubt,depression, social incompetence, and other psychological disorders.
Also, high inconsistency between perceived and ideal self correlates with low levelsof self-actualization and self-esteem (Achenbach & Zigler, 1963; Gough, Fioravanti, &Lazzari, 1983; Mahoney & Hartnett, 1973; Moretti & Higgins, 1990; Straumann, Vookles,Berenstein, Chaiken, & Higgins, 1991). Persons with a great discrepancy betweenperceived and ideal selves were rated by others as awkward, confused, and unfriendly(Gough, Lazzari, & Fioravanti, 1978).
Rogers believed that failure to realize our innate actualization tendency can lead to malad-justment. To test this idea, one researcher studied the inherited temperaments proposed byBuss and Plomin (Emotionality, Activity, and Sociability, or EAS) in male and female collegestudents (Ford, 1991). Using the EAS Temperament Survey to assess behavior, the collegestudents’ parents were asked to recall their children’s temperaments when very young.
These temperament profiles were compared with the college students’ current self-perceptions on the three temperaments. The results supported Rogers’s views. Thegreater the discrepancy in temperament between childhood potential and adult realiza-tion, the greater was the level of maladjustment.
HIGHLIGHTS: Research on Rogers’s Ideas
Research on Rogers’s approach has found that:
• Positive self-regard may be more important in individualistic cultures• Fully functioning persons are open to all experiences• A child’s self-acceptance depends in part on the mother’s degree of self-
acceptance• Children whose parents accept them unconditionally have high self-esteem• Those who possess incongruence between perceived self and ideal self
are poorly adjusted emotionally and have low self-esteem and self-actualization
• Failing to realize our innate potential can lead to maladjustment
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Reflections on Rogers’s Theory
Criticisms
Rogers insisted that the only way to explore personality is through person-centered ther-apy to examine a person’s subjective experiences. He did this by listening to a client’sself-reports. Critics charge that he ignored those factors of which the client was not con-sciously aware but which could influence behavior. People may distort reports of theirsubjective experiences, repressing some events and elaborating on or inventing others,to conceal their true nature and present an idealized self-image.
The Influence of World War II on Person-Centered Therapy
Rogers’s person-centered psychotherapy quickly became popular. Its rapid acceptancewas fostered in part by social circumstances in the United States at the end of WorldWar II (1945). Veterans returning from service overseas needed help readjusting to civil-ian life. The result was a demand for psychologists and for a counseling technique theycould master and put into practice quickly.
Training in traditional psychoanalysis required a medical degree and a lengthy periodof specialization. However, “person-centered psychotherapy,” wrote one analyst, “wassimple, informal, and brief, and it required little training” (DeCarvalho, 1999, p. 142).
More than 400 college counseling centers based on Rogers’s teachings were estab-lished after World War II under the auspices of the Veterans Administration to helpreturning veterans adjust to civilian life. Client-centered therapy received an enormousboost and hundreds more colleges established their own counseling centers.
Rogers later acknowledged that the stresses of post–World War II America had catapultedhis method and his name to prominence and worldwide fame as a leader in a new approachto understanding and treating personality (see Barrett-Lennard, 2012; McCarthy, 2014).
Acceptance of Rogers’s Therapy
Rogers’s therapy has since found broad application not only as a treatment for emotionaldisturbances but also as a means of enhancing the self-image. In the business world, ithas been used as a training method for managers. In the helping professions, it is usedto train clinical psychologists, social workers, and counselors.
In addition, psychotherapists of many different orientations have accepted some ofRogers’s core concepts in their therapeutic work with clients. Thus, the person-centeredapproach remains influential in counseling and psychotherapy (see Bohart, 2014; Hazler,2011; Kirschenbaum & Jourdan, 2005; Patterson & Joseph, 2007).
More than 200 training centers, mostly in Europe, promote Rogers’s form of therapy.In addition, several dozen journals are devoted to research and application of Rogers’sideas (Murdock, 2008). The journal Person-Centered & Experiential Psychotherapiesbegan publication in 2002 and remains influential today.
Rogers’s Personality Theory
Rogers’s personality theory, although less influential than his psychotherapy, has alsoreceived wide recognition, particularly for its emphasis on the self-concept. However,Rogers did not believe he had influenced academic or scientific psychology. Nonetheless,his theory and therapy have stimulated research on the nature of psychotherapy, theclient–therapist interaction, and the self-concept. His ideas have had a significant impacton psychology’s theoretical and empirical definitions of the self.
Rogers’s background was a unique combination of clinic, lecture hall, and laboratory.He drew on his considerable experience with emotionally disturbed clients and on theintellectual stimulation of colleagues and students. He attracted large numbers of fol-lowers who continue to test his ideas in the clinic and in the laboratory.
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Chapter Summary
Rogers’s person-centered theory proposes that we areconscious, rational beings not controlled by uncon-scious forces or past experiences. Personality can onlybe understood by a phenomenological approach, thatis, from an individual’s own viewpoint based on his orher subjective experiences (one’s experiential field).
Our goal in life is self-actualization, an innate ten-dency toward growth and development. The organis-mic valuing process evaluates life experiences in termsof how well they serve the actualizing tendency. Experi-ences that promote actualization will be sought; experi-ences that hinder it will be avoided.
Positive regard is a need for acceptance, love, andapproval from others, particularly from the mother, dur-ing infancy. Inunconditional positiveregard,the mother’slove and approval are granted freely and are not condi-tional onthe child’s behavior. When love and approval areconditional, a state of conditional positive regard exists.Once we internalize the attitudes of others, positive regardcomes from ourselves (positive self-regard).
Conditionsof worth (similar tothe Freudian superego)involve seeing ourselves as worthy only under conditionsacceptableto ourparents.Weavoidbehaviors andpercep-tions that oppose our parents’ conditions of worth.
Incongruence develops between the self-concept andbehaviors that threaten the self-image. We defendagainst anxiety by denying threatening aspects of theexperiential field.
The fully functioning person represents the peak ofpsychological development. Characteristics of the fullyfunctioning person are an awareness of all experiences,
no conditions to defend against, the ability to live fullyin each moment, trust in one’s self, a sense of freedomand personal power, creativity, and spontaneity.
Rogers’s optimistic image of human nature encom-passed a belief in free will, the prominence of environ-ment over heredity, and some universality in personality.Individuals and societies can grow unhampered by pastevents.
Personality can be assessed in terms of subjectiveexperiences as revealed in self-reports. In this person-centered approach, the therapist gives the client uncon-ditional positive regard. Rogers opposed free associa-tion and dream analysis because they make the clientdependent on the therapist. By recording therapy ses-sions, Rogers enabled researchers to investigate thenature of the client–therapist interaction.
The Q-sort technique, in which clients sort statementsabout their self-concept into categories ranging frommost to least descriptive, is a way of quantifying theself-image. Q-sort research has revealed a greater corre-spondence between perceived self and ideal self aftertherapy. The better adjusted a person is, the greater theagreement between self-descriptions and descriptionsmade by others. Discrepancies between perceived selfand ideal self indicate poor psychological adjustment.
Rogers’s work has been criticized for ignoring theimpact of unconscious forces, and for accepting the pos-sible distortion of a client’s subjective experiences in self-reports. Nevertheless, his person-centered approach totherapy remains influential in the fields of counselingand psychotherapy.
Review Questions
1. How Rogers’s childhood led to his interest ininterviewing and in therapy?
2. In what ways did Carl Rogers’s clinical experiencediffer from Sigmund Freud’s?
3. Describe the research on delinquent children that influ-enced Rogers’s view of the role of the self in personality.
4. Explain how the need to actualize promotes bio-logical and psychological growth?
5. What is the organismic valuing process? How doesit influence behavior?
6. What is the experiential field? How does ourexperiential field change with age?
7. Explain the differences between positive regardand positive self-regard.
8. What parental behaviors affect a child’s develop-ment of positive self-regard?
9. Compare Rogers’s concept of conditions of worthwith Freud’s concept of the superego.
10. Describe Rogers’s concept of incongruence. How isincongruence related to anxiety?
11. Describe the roles of (a) the intellect, (b) positiveand negative feelings, and (c) spontaneity inbecoming a fully functioning person.
12. What are the characteristics of the fully function-ing person? Can we say that a fully functioningperson is self-actualized?
13. How does Rogers’s image of human nature differfrom that of Freud?
Chapter 10: Carl Rogers: Self-Actualization Theory 289
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14. Would you describe Rogers as an optimist or apessimist in his view of human nature?
15. How does the clinical interview in Rogers’s systemdiffer from the psychoanalytic clinical interview?
16. What did Rogers call his approach? Why?17. How does the Q-sort technique measure a person’s
self-image?18. What has Q-sort research shown about the self-
concept before and after therapy?19. What do studies show to be the results of parental
use of conditional positive regard?
20. Describe the ways in which parents’ behavior canaffect the behavior of their children, according toRogers.
21. What was Rogers’s position on the importance ofchildhood experiences and adult experiences inpersonality development?
22. What criticisms have been made of Rogers’s per-sonality theory?
23. Why was his person-centered therapy accepted soquickly?
Suggested Readings
Barrett-Lennard, G. (2013). Origins and evolutionof the person-centered innovation in Carl Rogers’lifetime. In Cooper, M., O’Hara, M., Schmid, P.,Bohart, A. (Eds.), Handbook of person-centeredpsychotherapy and counseling (2nd ed.). New York:Palgrave Macmillan, pp. 32–45. An overview ofRoger’s early life and family background, includinghis travels and the World War II era that influencedhis outlook and the acceptance of his form oftherapy.
Cornelius-White, J. (2013). Carl Rogers: The Chinadiary. Las Vegas: CreateSpace Independent Pub-lishing. A replica of the diary Rogers kept at age 20in China (including his unique spelling and gram-mar!). A foreword by his daughter provides herviews.
Evans, R. I. (1975). Carl Rogers: The man and his ideas.New York: Dutton. Interviews with Rogers on theevolution of the self, techniques of person-centeredtherapy, and applications of his theory to education.Contrasts Rogers’s humanistic views with B. F.Skinner’s behaviorist views.
Kirschenbaum, H. (1979). On becoming Carl Rogers.New York: Delacorte Press. (2009). The life andwork of Carl Rogers. Alexandria, VA: AmericanCounseling Association. Biographies of Rogersand his contributions to humanistic psychologyand psychotherapy.
Milton, J. (2002). The road to Malpsychia: Humanisticpsychology and our discontents. San Francisco:Encounter Books. A cultural and social history of
the humanistic psychology movement including anassessment of the contributions of Carl Rogers.
Rogers, C. R. (1961). On becoming a person: A thera-pist’s view of psychotherapy. Boston: HoughtonMifflin. Summarizes Rogers’s views on psychother-apy, especially problems in communication andinterpersonal relations. Discusses the effects ofenhanced personal growth on personal and family life.
Rogers, C. R. (1967). Autobiography. In E. G. Boring &G. Lindzey (Eds.), A history of psychology in auto-biography (Vol. 5, pp. 341–384). New York:Appleton-Century-Crofts. Rogers’s assessment ofhis work and the influence of his early experiences.
Rogers, C. R. (1974). In retrospect: Forty-six years.American Psychologist, 29, 115–123. Rogersevaluates the impact of his work on the fields ofcounseling, psychotherapy, education, leadership,and international relations and on the empiricalinvestigation of subjective phenomena.
Rogers, C. R. (1980). A way of being. Boston: HoughtonMifflin. Presents the work of Rogers’s later yearsconcerning individual and group psychotherapy,the helping professions, scientific progress, andpersonal growth.
Rogers, C. R. (1989). The Carl Rogers reader. Boston:Houghton Mifflin. A selection of Rogers’s writingsover 60 years, edited by Howard Kirschenbaum andValerie Henderson. Includes personal recollections,case studies, and essays on personality change,psychotherapy, education, marriage, aging, interna-tional relations, and world peace.
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The Cognitive Approach
The word cognition means the act or process of knowing. The cognitiveapproach to personality focuses on the ways in which people come to knowtheir environments and themselves. It deals with the question of how we per-ceive, evaluate, learn, think, make decisions, and solve problems.
This is a truly psychological approach to personality because it focuses exclu-sively on conscious mental activities. In the cognitive approach, we will not findneeds, drives, or emotions as separate activities of the personality. Instead, theyare aspects of personality under the control of the cognitive processes.
Contemporary psychoanalysts acknowledge the importance of cognitive pro-cesses. So did Erikson, who, as we saw, granted greater autonomy to the egoand to cognitive functioning. Humanistic psychologists Maslow and Rogers alsodealt with perceptions, how we evaluate and mentally process our experiences.Allport wrote about human reasoning, and Adler proposed a creative self,which results from our perception or interpretation of experience. Social-learning theorists (Chapter 13) also invoke cognitive processes.
The difference between these approaches and George Kelly’s cognitive theoryof personality is that Kelly attempted to describe all aspects of personality,including its emotional components, strictly in terms of cognitive processes.
291
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chapter 11George Kelly:Personal ConstructTheory
It occurred to me thatwhat seemed true of myselfwas probably no less trueof others. If I initiated myactions, so did they.
—George Kelly
The Cognitive Movement in PsychologyAn Experiential-Based TheoryAre Psychologists Superior Beings?Kelly and the Cognitive Movement
The Life of Kelly (1905–1967)An Erratic EducationNo Interest in PsychologyFinding Himself and PsychologyFinding an Intellectual Approach to
CounselingBecoming a Major Force
Personal Construct TheoryLife Is a ConstructConstructive Alternativism: Adapting to the
World
Ways of Anticipating Life EventsThe Construction CorollaryThe Individuality CorollaryThe Organization CorollaryThe Dichotomy CorollaryThe Choice CorollaryThe Range CorollaryThe Experience Corollary
The Modulation CorollaryThe Fragmentation CorollaryThe Commonality CorollaryThe Sociality Corollary
Questions about Human Nature
Assessment in Kelly’s TheoryThe InterviewSelf-Characterization SketchesThe Role Construct Repertory TestThe Role of DichotomiesFixed Role Therapy
Research on Kelly’s TheoryStability of Constructs over TimeEffects of Emotional StateReal-World ApplicationsResearch on Personal ConstructsCognitive Complexity and Cognitive Simplicity
Reflections on Kelly’s Theory
Chapter Summary
Review Questions
Suggested Readings
The Cognitive Movement in Psychology
Kelly’s personal construct theory of personality differs substantially from every otherapproach discussed in this book. Kelly warned us that we would not find in his systemsuch familiar concepts as the unconscious, the ego, needs, drives, stimuli and responses,and reinforcement—not even motivation and emotion. The obvious question is how canwe understand the human personality without considering these ideas, especially motiva-tion and emotion?
Kelly’s answer was that each person creates a set of cognitive constructs about theenvironment. By that he meant that we interpret and organize the events and social rela-tionships of our lives in a system or pattern. On the basis of this pattern, we make
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personal constructtheory Kelly’s descrip-tion of personality interms of cognitive pro-cesses: We are capa-ble of interpretingbehaviors and eventsand of using thisunderstanding to guideour behavior and topredict the behavior ofother people.
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predictions about ourselves and about other people and events, and we use these predic-tions to formulate our responses and guide our actions. Therefore, in order to under-stand personality, we must first understand our patterns, the ways we organize orconstruct our world. According to Kelly, our interpretation of events is more importantthan the events themselves.
Like Maslow, Kelly was opposed to the behavioral and the psychoanalytic approachesto the study of personality. He viewed them both as denying the human ability to takecharge of our own lives, to make our own decisions, and to pursue our chosen course ofaction.
He argued that behaviorism viewed people as merely passive responders to stimuli intheir environment, and that psychoanalysis viewed people as passive responders to theirunconscious forces. In contrast, “for Kelly, [people] are forms of motion and we propelourselves. No one or no thing does it to us” (Fransella & Neimeyer, 2003, p. 25).
An Experiential-Based Theory
The personality theory Kelly offered derived from his experience as a clinician. For sev-eral reasons, he interpreted his clinical experience differently from Freud and other the-orists who treated patients. The model of human nature Kelly developed from his clinicalwork is unusual. He concluded that people function in the same way scientists do.
Scientists construct theories and hypotheses and test them against reality by perform-ing experiments in the laboratory. If the results of their experiments support the theory,the theory is retained. If the data do not support the theory, the theory must be rejectedor modified and retested.
As we have seen, this is how psychologists who study personality typically proceed.Yet Kelly believed that psychologists do not attribute to their subjects the same intellec-tual and rational abilities they ascribe to themselves. It is as if psychologists have twotheories about human nature, one that applies to scientists and their way of looking atthe world, and another that applies to everybody else.
The logical assumption, then, is that psychologists consider their subjects to be inca-pable of rational functioning, as being motivated by all sorts of conflicting drives, or asvictims of rampant unconscious forces. Thus, human beings are believed to functionlargely on an emotional level, unlikely to use their cognitive processes to learn, think,evaluate experiences, or solve problems. Surely this is quite unlike the way psychologistsfunction.
Are Psychologists Superior Beings?
Are psychologists really superior beings? You know the answer to that as well as Kellydid. He said they are no different from the people they study. What works for oneworks for the other; what explains one explains the other. Both are concerned with pre-dicting and controlling the events in their lives, and both are capable of doing sorationally.
Like scientists, all of us construct theories, which Kelly called personal constructs, bywhich we try to predict and control the events in our lives. He proposed that the way tounderstand someone’s personality is to examine his or her personal constructs.
Kelly and the Cognitive Movement
How does Kelly’s cognitive theory fit with the cognitive movement that began around1960 and now dominates mainstream experimental psychology? Despite the similarityin terminology, the cognitive movement has not embraced Kelly’s work because the the-ory is not consistent with the movement’s subject matter and methods.
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Kelly’s approach is that of a clinician dealing with the conscious constructs by whichpeople arrange their lives. In contrast, cognitive psychologists are interested in both cog-nitive variables and overt behavior, which they study primarily in an experimental, not aclinical, setting. Also, cognitive psychologists do not limit their focus to personality. Theystudy overt behavior and learning in social situations. They believe that cognitive pro-cesses such as learning influence a person’s response to a given stimulus situation.
Although cognitive psychology took hold some time after Kelly proposed his explana-tion of personality, his theory had little influence on it. At best, Kelly’s theory could be con-sidered a precursor to contemporary cognitive psychology. The two approaches share theterm cognitive, with its implied interest in conscious activities, but little else. Kelly’s recog-nition of the importance of cognitive processes is noteworthy, but we must place it in per-spective. It is not part of mainstream American psychology as defined by experimentalpsychologists, but that does not detract from its usefulness for studying personality.
The Life of Kelly (1905–1967)
Kelly was born on a farm in Kansas. An only child, he received a great deal of attentionand affection from his parents, who were fundamentalist in their religious beliefs andcommitted to helping the less fortunate. They opposed every form of frivolous entertain-ment such as dancing and card playing. When Kelly was 4 years old, the family traveledby covered wagon to Colorado to try farming but soon returned to Kansas.
An Erratic Education
Kelly’s early education was erratic and conducted as much by his parents as by school-teachers. At 13, he went to high school in Wichita and seldom lived at home after that.In 1926, he earned a bachelor’s degree in physics and mathematics from Park College inParkville, Missouri. But his interests had shifted from science to social problems. Kelly’sfuture was uncertain.
He worked briefly as an engineer, and then took a teaching job at a labor college inMinneapolis. Next, he became an instructor in speech for the American Banking Associ-ation and also taught citizenship courses to immigrants. He then enrolled in graduateschool and received a master’s degree in educational sociology from the University ofKansas in Lawrence. Accepting a job offer from a junior college in Iowa, Kelly taughtvarious courses and coached the drama program.
No Interest in Psychology
His career certainly showed no inclination toward psychology. In college, he had notbeen impressed by the coursework in the field.
In the first course in psychology, I sat in the back row of a very large class, tilted my chairagainst the wall, made myself as comfortable as possible, and kept one ear cocked for anythinginteresting that might turn up. One day the professor, a very nice person who seemed to betrying hard to convince himself that psychology was something to be taken seriously, turnedto the blackboard and wrote an “S,” an arrow, and an “R.” Thereupon I straightened up inmy chair and listened, thinking to myself that now, after two or three weeks of preliminaries,we might be getting to the meat of the matter. (Kelly, 1969, p. 46)
Kelly paid attention for several more class meetings and then gave up. He said hecould not understand what the arrow connecting the stimulus (S) and the response (R)stood for. He never did figure it out. The traditional behaviorist, experimental approachto psychology had failed to spark his interest. He also explored psychoanalysis, whichwas not successful either. He wrote, “I don’t remember which one of Freud’s books I
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was trying to read, but I do remember the mounting feeling of incredulity that anyonecould write such nonsense, much less publish it” (1969, p. 47).
Finding Himself and Psychology
Kelly’s professional training took a different turn in 1929 when he was awarded a fellow-ship at the University of Edinburgh, Scotland. During his year there, he earned a Bache-lor of Education degree and finally developed an interest in psychology. He returned tothe United States for doctoral studies at the State University of Iowa and received hisPh.D. in 1931.
Finding an Intellectual Approach to Counseling
Kelly began his academic career at Fort Hays Kansas State College in the midst of theeconomic depression of the 1930s. There was no money to conduct research in physio-logical psychology, the specialty in which he had trained, so he switched to clinical psy-chology for which there was a need. He developed a clinical psychology service for thelocal public school system and for the students at his college. He established travelingclinics, going from school to school, which gave him the opportunity to deal with a vari-ety of problems and to try different approaches to treatment.
Kelly was not committed to any particular therapeutic technique or to a specific the-ory about the nature of personality. He felt free to use traditional methods of assessmentand treatment as well as those of his own design. He pretty much taught himself how todo therapy by assuming that each new patient was just as much a scientist as himself(Routh, 2011).
His clinical experiences strongly influenced the nature of his personal construct the-ory. The people he treated were not severely disturbed psychotics in mental hospitals orneurotics with troublesome emotional problems. His patients were students who hadbeen referred by their teachers for counseling.
Thus, unlike the emotionally maladjusted patients in a psychiatric ward or a psycho-analyst’s office, Kelly’s clients were much more capable of discussing their concernsrationally, of expressing their problems in intellectual terms, the level of functioningexpected in an academic setting.
In the classroom, we are taught to analyze, to think and process information logically.This intellectual attitude carried over from the classroom to the counseling situation.Had circumstances placed Kelly during his formative professional years at work withschizophrenics in a mental institution, his theory might not have depended so heavilyon cognitive information-processing abilities.
Becoming a Major Force
World War II interrupted Kelly’s academic career. He joined the U.S. Navy and servedas a psychologist in the Bureau of Medicine and Surgery in Washington DC. When thewar ended in 1945, he taught for a year at the University of Maryland before joining thefaculty of Ohio State University replacing Carl Rogers.
There he spent 19 years teaching, refining his personality theory, and conductingresearch. Kelly also lectured at universities throughout the world about how his personalconstruct theory of personality could be used to resolve international tensions. In 1965,he accepted an invitation from Abraham Maslow for an appointment to an endowedchair at Brandeis University but Kelly died shortly thereafter.
Kelly was a major force in the development of the clinical psychology profession dur-ing its rapid growth following World War II. He held several honored positions in the
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field, including the presidencies of the Clinical and Consulting divisions of the AmericanPsychological Association and the American Board of Examiners in ProfessionalPsychology.
LOG ON
George KellyVarious sites provide biographical information, discussions of his theory, research onrelevant concepts, and links to other resources
Personal Construct Theory
Kelly suggested that people perceive and organize their world of experiences the sameway scientists do, by formulating hypotheses about the environment and testing themagainst the reality of daily life. In other words, we observe the events of our life—thefacts or data of our experience—and interpret them in our own way. This personal inter-preting, explaining, or construing of experience is our unique view of events (Winter &Proctor, 2014). It is the pattern within which we place them. Kelly said that we look atthe world through “transparent patterns that fit over the realities of which the world iscomposed” (Kelly, 1955, pp. 8–9).
We might compare these patterns to sunglasses that add a particular tint or color toeverything we see around us. One person’s glasses may have a bluish tint, whereasanother’s may have a greenish tint. As a result, several people can look at the samescene and perceive it differently, depending on the tint of the lenses that frame theirpoint of view. So it is with the hypotheses or patterns we construct to make sense ofour world. This special view, the unique pattern created by each individual, is whatKelly called our construct system.
Life Is a Construct
A construct is a person’s unique way of looking at life, an intellectual hypothesis devisedto explain or interpret events. We behave in accordance with the expectation that ourconstructs will predict and explain the reality of our world. Like scientists, we constantlytest these hypotheses. We base our behavior on our constructs, and we evaluate theeffects.
Consider a student who is in danger of failing an introductory psychology courseand is trying to persuade the professor to give a passing grade. After observing theprofessor for most of the semester, the student concludes that the professor behavesin a superior and authoritarian manner in class and has an inflated sense of personalimportance. From this observation, the student forms the hypothesis, or construct,that acting to reinforce the professor’s exaggerated self-image will bring a favorableresponse.
The student tests this idea against reality by reading an article the professor has writ-ten and praising it to the professor. If the professor feels flattered and gives the student agood grade, then the student’s construct has been confirmed. It has been found to beuseful and can be applied the next time the student takes a course with that professoror with any other professor who behaves similarly. However, if the student receives afailing grade, then the construct was found to be inappropriate. A new one will berequired for dealing with that professor.
construct An intellec-tual hypothesis that wedevise and use tointerpret or explain lifeevents. Constructs arebipolar, or dichoto-mous, such as tall ver-sus short or honestversus dishonest.
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Constructive Alternativism: Adapting to the World
Over the course of our lives, we develop many constructs, one for almost every type ofperson or situation we encounter. We expand our inventory of constructs as we meetnew people and face new situations. Further, we may alter or discard constructs periodi-cally as situations change. Revising our constructs is a necessary and continuous process;we must always have an alternative construct to apply to a situation.
If our constructs were inflexible and incapable of being revised (which is what wouldhappen if personality was totally determined by childhood influences), then we wouldnot be able to cope with new situations. Kelly called this adaptability constructive alter-nativism to express the view that we are not controlled by our constructs but we are freeto revise or replace them with other alternatives.
Ways of Anticipating Life Events
Kelly’s personal construct theory is presented in a scientific format, organized into a fun-damental postulate and 11 corollaries (see Table 11.1). The fundamental postulate statesthat our psychological processes are directed by the ways in which we anticipate events.
By using the word processes, Kelly was suggesting that personality was a continuallyflowing, moving process. Our psychological processes are directed by our constructs, bythe way each of us construes our world. Another key word in the fundamental postulateis anticipate. Kelly’s notion of constructs is anticipatory. We use constructs to predict thefuture so that we have some idea of the consequences of our actions, of what is likely tooccur if we behave in a certain way.
TABLE 11-1 Corollaries of personal construct theory
Construction Because repeated events are similar, we can predict or anticipate how we willexperience such an event in the future.
Individuality People perceive events in different ways.
Organization We arrange our constructs in patterns, according to our view of their similaritiesand differences.
Dichotomy Constructs are bipolar; for example, if we have an opinion about honesty, thatidea must also include the concept of dishonesty.
Choice We choose the alternative for each construct that works best for us, the one thatallows us to predict the outcome of anticipated events.
Range Our constructs may apply to many situations or people, or they may be limited toa single person or situation.
Experience We continually test our constructs against life’s experiences to make sure theyremain useful.
Modulation We may modify our constructs as a function of new experiences.
Fragmentation We may sometimes have contradictory or inconsistent subordinate constructswithin our overall construct system.
Commonality Although our individual constructs are unique to us, people in compatible groupsor cultures may hold similar constructs.
Sociality We try to understand how other people think and predict what they will do, andwe modify our behavior accordingly.
constructivealternativism The ideathat we are free torevise or replace ourconstructs with alter-natives as needed.
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The Construction Corollary
Similarities among repeated events Kelly believed no life event or experience couldbe reproduced exactly as it occurred the first time. An event can be repeated, but it willnot be experienced in precisely the same way. For example, if you watch a movie todaythat you first saw last month, your experience of it may be different the second time.
Your mood may not be the same, and during the elapsed month you were exposed toevents that affected your attitudes and emotions. Maybe you read something unpleasantabout an actor in the film. Or you may feel more content because your grades are improving.
However, although such repeated events are not experienced identically, recurrent fea-tures or themes will emerge. Some aspects of a situation will be similar to those experi-enced earlier. It is on the basis of these similarities that we are able to predict or establishanticipations about how we will deal with that type of event in the future. Our predic-tions rest on the idea that future events, though they are not exact duplicates of pastevents, will nevertheless be similar.
For example, some scenes in the movie probably affect you the same way every time.If you liked the car chase scenes the first time, you will probably like them again. Youbase your behavior on your anticipation of liking the chases, so that explains why youchoose to watch the film again. Themes of the past reappear in the future, and we for-mulate our constructs on the basis of these recurring themes.
The Individuality Corollary
Individual differences in interpreting events With this corollary, Kelly introducedthe notion of individual differences. He pointed out that people differ from one another inhow they perceive or interpret an event, and because people construe events differently,they thus form different constructs. Our constructs do not so much reflect the objectivereality of an event as they constitute the unique interpretation each of us places on it.
The Organization Corollary
Relationships among constructs We organize individual constructs into a patternaccording to our view of their interrelationships, their similarities and differences. Peoplewho hold similar constructs may still differ from one another if they organize those con-structs in different patterns.
Typically, we organize our constructs into a hierarchy, with some constructs subordi-nate to others. A construct can include one or more subordinate constructs. For example,the construct good may include among its subordinates the constructs intelligent andmoral. Thus, if we meet someone who fits our idea of a good person, we anticipate thathe or she will also have the attributes of intelligence and high moral standards.
The relationships among constructs are usually more enduring than the specific con-structs themselves, but they, too, are open to change. A person who feels insulted bysomeone who appears more intelligent may switch the construct intelligent from a sub-ordinate place under the construct good to a place under the construct bad. The onlyvalid test for a construct system is its predictive efficiency. If the organization of our con-structs no longer provides a useful way to predict events, we will modify it.
The Dichotomy Corollary
Two mutually exclusive alternatives All constructs are bipolar or dichotomous.This is necessary if we are to anticipate future events correctly. Just as we note similari-ties among people or events, we must also account for dissimilarities. For example, it isnot enough to have a construct about a friend that describes the personal characteristicof honesty. We must also consider the opposite, dishonesty, to explain how the honestperson differs from someone who is not honest.
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If we did not make this distinction—if we assumed that all people are honest—thenforming a construct about honesty would not help us anticipate or predict anythingabout people we might meet in the future. A person can be expected to be honest onlyin contrast to someone who is expected to be dishonest. The appropriate personal con-struct in this example, then, is honest versus dishonest. Our constructs must always beframed in terms of a pair of mutually exclusive alternatives.
The Choice Corollary
Freedom of choice The notion that people have freedom of choice is found throughoutKelly’s writings. According to the dichotomy corollary described previously, each constructhas two opposing poles. For every situation we must choose the alternative that works bestfor us, the one that allows us to anticipate or predict the outcome of future events.
Kelly suggested that we have some latitude in deciding between the alternatives, and hedescribed it as a choice between security and adventure. Suppose you have to decide which oftwo courses to take next semester. One is easy because it is not much different from a courseyou’ve already taken and is taught by a professor known to give high grades for little work.
There is virtually no risk involved in choosing that course, but there may not be muchreward either. You know the professor is dull, and you have already studied much of thecourse material. However, it is the secure choice, because you can make a highly accurateprediction about the consequences of deciding to take it.
The other course is more of a gamble. The professor is new and rumored to be tough,and you don’t know much about the subject, but it would expose you to a field of studyyou’ve been curious about. In this case, you cannot make an accurate prediction about
People differ from oneanother in the waysthey perceive andinterpret the sameevent.
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the outcome of your choice. This more adventurous alternative means more risk, but thepotential reward and satisfaction are greater.
Low Risk versus High Risk You must choose between the low-risk, minimal-rewardsecure option and the high-risk, high-reward adventurous option. The first has a highpredictive efficiency, the second a lower predictive efficiency. Kelly believed we facesuch choices throughout our lives, choices between defining or extending our personalconstruct system. The secure choice, which is similar to past choices, further definesand limits our construct system by repeating experiences and events. The more adven-turous choice extends our construct system by encompassing new experiences andevents.
The popular tendency to opt for the secure, low-risk alternative may explain whysome people persist in behaving in an unrewarding way. For example, why do some peo-ple act aggressively toward others even when they are continually rebuffed? Kelly’sanswer was that they are making the low-risk choice because they have come to knowwhat to expect from others in response to aggressive behavior. These hostile people donot know how others will react to friendliness because they have rarely tried it. Thepotential rewards may be greater for friendly behavior but so is the uncertainty.
Remember that our choices are made in terms of how well they allow us to anticipateor predict events, not necessarily in terms of what is best for us. And it is Kelly’s conten-tion that each of us, in the best scientific tradition, desires to predict the future with thehighest possible degree of certainty.
The Range Corollary
The range of convenience Few personal constructs are appropriate or relevant for allsituations. Consider the construct tall versus short, which obviously has a limited rangeof convenience or applicability. It can be useful with respect to buildings, trees, or bas-ketball players, but it is of no value in describing a pizza or the weather.
Some constructs can be applied to many situations or people, whereas others aremore limited, perhaps appropriate for one person or situation. The range of convenienceor relevance for a construct is a matter of personal choice. For example, we may believethat the construct loyal versus disloyal applies to everyone we meet or only to our familymembers or to our pet dog. According to Kelly, if we are to understand personality fully,it is just as important to know what is excluded from a construct’s range of convenienceas it is to know what is included.
The Experience Corollary
Exposure to new experiences We have seen that each construct is a hypothesis gen-erated on the basis of past experience to predict or anticipate future events. Each con-struct is then tested against reality by determining how well it predicts a given event.Most of us are exposed to new experiences daily, so the process of testing the fit of aconstruct to see how well it predicted the event is ongoing. If a construct is not a validpredictor of the outcome of the situation, then it must be reformulated or replaced.
As a result, we evaluate and reinterpret our constructs as our environment changes.Constructs that worked for us at age 16 may be useless, or even harmful, at age 40. Inthe intervening years, our experiences will have led us to revise our construct system. Ifyou never have any new experiences, then your construct system would never have tochange. But for most of us, life involves meeting new people and coping with new chal-lenges. Therefore, we must re-construe our experiences and constructs accordingly.
range of convenienceThe spectrum of eventsto which a constructcan be applied. Someconstructs are relevantto a limited number ofpeople or situations;other constructs arebroader.
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The Modulation Corollary
Adapting to new experiences Constructs differ in their permeability. To permeatemeans to penetrate or pass through something. A permeable construct is one that allowsnew elements to penetrate or be admitted to the range of convenience. Such a construct isopen to new events and experiences and is capable of being revised or extended by them.
How much our construct system can be modulated, or adjusted, as a function of newexperience and learning depends on the permeability of the individual constructs. Animpermeable or rigid construct is not capable of being changed, no matter what ourexperiences tell us.
For example, if a bigoted person applies the construct high intelligence versus low intelli-gence in a fixed or impermeable way to people of a certain ethnic minority group, believingthat all members of this group have low intelligence, then new experiences will not pene-trate or alter this belief. The prejudiced person will not modify that construct, no matterhow many highly intelligent people of that ethnic group he or she meets. The construct isa barrier to learning and to new ideas because it is incapable of being changed or revised.
The Fragmentation Corollary
Competition among constructs. Kelly believed that within our construct systemsome constructs might be incompatible even though they coexist within the overall pat-tern. Recall that our construct system may change as we evaluate new experiences. How-ever, new constructs do not necessarily derive from old ones. A new construct may becompatible or consistent with an old one in a given situation, but if the situationchanges, these constructs can become inconsistent.
Consider the following situation. A man meets a woman in a psychology class anddecides that he is attracted to her. She is also a psychology major, and her interestsseem similar to his. She fits the friend alternative of the construct friend versus enemy.
People may acceptone another asfriends in one situa-tion, such as playing aboard game, but mayact as adversaries inanother situation,such as a politicaldebate.
permeability The ideathat constructs can berevised and extendedin light of newexperiences.
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Thus, she is someone to be liked and respected. He sees her the next day at a politicalrally and is disappointed to find her loudly expressing conservative views that are theopposite of his own liberal opinions. Now she also fits the opposite alternative of theconstruct. In that situation she has become the enemy.
This inconsistency in the man’s construct about this woman is at a subordinate levelin his overall construct system. In one situation she is a friend, and in another situationshe is an enemy. However, his broader construct, that liberals are friends and conserva-tives are enemies, remains undisturbed. According to Kelly, this is the process by whichwe tolerate subordinate inconsistencies without damaging our overall construct system.
The Commonality Corollary
Similarities among people in interpreting events Because people differ in theways they construe events, each person develops unique constructs. However, peoplealso show similarities in their ways of construing events. Kelly suggested that if severalpeople construe an experience similarly, we can conclude that their cognitive processesare similar.
Consider a group of people with the same cultural norms and ideals. Their anticipa-tions and expectations of one another will have much in common and they will construemany of their experiences in the same way. People from the same culture may show aresemblance in their behaviors and characteristics even though they are exposed to dif-ferent individual life events.
The Sociality Corollary
Interpersonal relationships As already noted, people in the same culture tend toconstrue events similarly. Although this accounts for some commonalities among people,it does not in itself bring about positive social relationships. It is not enough for one per-son to construe or interpret experiences in the same way as another person. The first per-son must also construe the other person’s constructs. In other words, we must understandhow another person thinks if we are to anticipate how that person will predict events.
Construing another person’s constructs is something we do routinely. Think aboutdriving a car. We stake our lives on being able to anticipate what other drivers on theroad will do. We anticipate that they will stop at a red light and move ahead at a greenlight. It is only when we can predict with some certainty what drivers, friends, bosses, orteachers will do that we can adjust our behaviors to theirs. And while we are adapting tothem, they are doing the same to us.
Each person assumes a role with respect to others. We play one role with a partner,another with a child, another with our supervisor at work. Each role is a behavior pat-tern that evolves from understanding how the other person construes events. In a sense,then, we fit ourselves into the other person’s constructs.
LOG ON
Personal Construct TheorySeveral sites provide information on the development and applications of Kelly’sapproach to personality.
Centre for Personal Construct Psychology, EnglandOffers courses and workshops on the theory and practice of George Kelly’s personal con-struct psychology.
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Questions about Human Nature
Kelly’s personality theory presents an optimistic, even flattering, image of human nature(Kelly, 1969). He treated people as rational beings capable of forming a framework ofconstructs through which to view the world. He believed we are the authors, not the vic-tims, of our destiny.
His view endows us with free will, the ability to choose the direction our lives will take,and we are able to change when necessary by revising old constructs and forming new ones.We are not committed to a path laid down in childhood or adolescence. Our direction isclearly toward the future because we formulate constructs to predict or anticipate events.
Thus, Kelly did not accept the notion of determinism. He did not consider past eventsto be the determinants of our present behavior. We are not prisoners of toilet training,early sex experiences, or parental rejection, nor are we bound by biological instincts orunconscious forces. We need no push from internal drives or needs because we are moti-vated by the fact of being alive. Kelly saw no reason to invoke any other explanation.
Although Kelly did not discuss the role of heredity in personality, he noted that weare not totally determined by environmental influences. We live by constructs based onour interpretation of events. Therefore, it is the operation of our rational mental pro-cesses and not the specific events that influence the formation of personality.
Kelly did not posit an ultimate and necessary life goal, but we may infer that our goalis to establish a construct system that enables us to predict events.
On the question of uniqueness versus universality, Kelly took a moderate position.The commonality corollary states that people in the same culture develop similar con-structs, whereas the individuality corollary emphasizes the uniqueness of many of ourconstructs and therefore of the self.
Assessment in Kelly’s Theory
The Interview
Kelly’s primary assessment technique was the interview. As he put it, “If you don’t knowwhat is going on in a person’s mind, ask him; he may tell you!” (1958, p. 330). Adoptingwhat he called a “credulous attitude,” Kelly accepted the client’s words at face value,believing this was the best way to determine the person’s constructs. He also recognizedthat a person might deliberately lie or distort the reported version of events. However,what the client said must be respected, even if not always fully believed.
Self-Characterization Sketches
Another technique used to assess a construct system is to have the person write a self-characterization sketch. Kelly’s instructions to the client were as follows. “I want you towrite a character sketch of [client’s name] just as if he were the principal character in aplay. Write it as it might be written by a friend who knew him very intimately and verysympathetically, perhaps better than anyone ever really could know him” (1955, p. 323).Kelly found this technique useful for learning how clients perceive themselves in relationto other people.
The Role Construct Repertory Test
Kelly devised the Role Construct Repertory (REP) Test to uncover the constructs we applyto the important people in our lives. The client is asked to list by name the people who haveplayed a significant role in his or her life such as mother, father, spouse, closest friend, andthe most intelligent or interesting person he or she knows (see Table 11.2).
self-characterizationsketch A techniquedesigned to assess aperson’s constructsystem; that is, how aperson perceives him-self or herself in rela-tion to other people.
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The names are sorted, three at a time, and clients are asked to select from each groupof three the two people who are most alike, noting how they differ from the third. Forexample, the client may be given the names of most threatening person, successful per-son, and attractive person and must describe how any two of them are similar in someaspect of behavior or character and how they differ from the other.
The Repertory Grid This information is presented in a diagram called a repertorygrid. For each row the client judges the three people indicated by circles and formulatesa construct about them, such as happy versus sad. The client writes a word or phrase thatdescribes two of them in the column labeled Emergent Pole. The client writes the oppo-site word (sad) to describe the third person in the group in the column labeled ImplicitPole. The client places a check mark in the squares of anyone else in the grid who sharesthe Emergent Pole characteristics—anyone significant in the client’s life who could bedescribed as happy.
The Role of Dichotomies
The assumption underlying the REP Test is that people construe events in dichotomies,according to the dichotomy corollary, in terms of like versus unlike or similar versus dis-similar. By forcing clients to make repeated judgments about their social relationships,Kelly believed he could uncover their anticipations and expectations. The dichotomies
TABLE 11-2 Role title list from the Role Construct Repertory Test
1. A teacher you liked.2. A teacher you disliked.3. Your wife/husband or present boyfriend/girlfriend.4. An employer, supervisor, or officer under whom you worked or served and whom you found
hard to get along with.5. An employer, supervisor, or officer under whom you worked or served and whom you liked.6. Your mother or the person who has played the part of a mother in your life.7. Your father or the person who has played the part of a father in your life.8. Your brother nearest your age or the person who has been most like a brother.9. Your sister nearest your age or the person who has been most like a sister.10. A person with whom you have worked who was easy to get along with.11. A person with whom you have worked who was hard to understand.12. A neighbor with whom you get along well.13. A neighbor whom you find hard to understand.14. A boy you got along well with when you were in high school.15. A girl you got along well with when you were in high school.16. A boy you did not like when you were in high school.17. A girl you did not like when you were in high school.18. A person of your own sex whom you would enjoy having as a companion on a trip.19. A person of your own sex whom you would dislike having as a companion on a trip.20. A person with whom you have been closely associated recently who appears to dislike you.21. The person whom you would most like to be of help to or whom you feel most sorry for.22. The most intelligent person whom you know personally.23. The most successful person whom you know personally.24. The most interesting person whom you know personally.
Source: Reprinted from The Psychology of Personal Constructs, by George A. Kelly. Copyright © 1991 byRoutledge, Chapman & Hall, Inc. Reproduced by permission of Taylor & Francis Books UK.
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or alternatives by which we guide our life will show the pattern of our personalconstructs.
Interpreting the REP Test Interpretation of the REP Test depends on the skill andtraining of the psychologist who administers it. Kelly did not intend the test to be a stan-dardized, objective self-report inventory. He designed it as a way to assess constructs as anecessary stage in psychotherapy, to induce clients to reveal the constructs by which theyorganize their world. However, computer programs have since been developed to analyzeindividual repertory grids in more objective terms (Grice, 2002).
Fixed Role Therapy
After assessing a client’s system of personal constructs, Kelly attempted to bring about achange in undesirable or ineffective constructs. He promoted a form of psychotherapy hecalled fixed role therapy. To help clients formulate new constructs and discard old ones,he asked them to write a self-characterization sketch describing them as the lead charac-ter in a play.
Playing a Role In fixed role therapy, the therapist prepares a fixed role sketch con-taining constructs that differ from the client’s negative self-perceptions as revealed in theself-characterization sketch. The client is told that the fixed role sketch is about a ficti-tious character and is asked to act out that character in the therapist’s office and later ineveryday life. Through this role-playing, the client is expected to project personal needsand values onto the fictitious character.
The therapist expects the client to discover that the new constructs in the fixed rolesketch work better in anticipating events than do the old constructs by which the cli-ent was living. Once the client realizes this, he or she can incorporate the new con-structs into the overall construct system and function in a more satisfying andeffective way.
Kelly developed fixed role therapy from observing a friend who began to live the rolehe was performing in a college play. The friend was so strongly influenced by the partthat his behavior offstage gradually became more and more like the character. The goalof fixed role therapy, then, is to first play a role and then come to live it.
A Sample Fixed Role Therapy Based on interviews with a male client named RoyTaylor, his written self-characterization sketch, and his REP Test results, a therapistconcluded that the client was overly concerned with finding a female companion. Hisattempts to do so were having a negative impact on his other social relationships.
The client had difficulty being open and assertive because in his construct systemassertiveness and extraversion were negative personality characteristics. Yet, in dealingwith other people, he was convinced that his opinions were the correct ones and thateverybody else was wrong. At work, he felt isolated, believing he belonged to a highersocial class than his colleagues.
The therapist’s fixed role sketch for this client made no mention of the client’s desireto have an intimate relationship with a woman. Instead, taking as a framework theclient’s skill at tennis, the therapist encouraged the client, through the fictitious charac-ter, to be more curious about and tolerant of different kinds of people and their views(Winter, 1992, pp. 270–271).
fixed role therapy Apsychotherapeutictechnique in which theclient acts out con-structs appropriate fora fictitious person. Thisshows the client howthe new constructs canbe more effective thanthe old ones he or shehas been using.
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FIGURE 11.1A grid for the RoleConstruct RepertoryTest.
Source: Reprinted from The Psychology of Personal Constructs, by George A. Kelly. Copyright © 1991 byRoutledge, Chapman & Hall, Inc. Reproduced by permission of Taylor & Francis Books UK.
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Roy Taylor’s philosophy of life very much reflects his approach to his favorite sport, tennis: It’snot whether a player wins or loses that’s important but whether they’ve played the game to thebest of their ability. Whether at work or at play, he believes that if a job is worth doing it’sworth doing well, and he brings to everything that he does a certain passion and conviction,which cannot fail to earn your respect. Although you might perhaps think that this wouldmake him appear a little too serious and intense, once you get to know him you soon realizethat his main concern is to live life to the full and that this includes having fun as well asworking hard. Life doesn’t always run smoothly for him, of course, but when he has a disap-pointment he always seems able to learn something from it, and to look to the future ratherthan brooding on his present or past misfortunes.
One of his greatest strengths at tennis is his ability to anticipate the moves of the otherplayers, be they his opponents or doubles partners. In other areas of his life, he also alwaystries to see the world through the eyes of the people with whom he comes into contact, per-haps because he has mixed with people from so many different walks of life. His lively curiosityin what makes other people tick is usually reciprocated and leads him, almost before he knowsit, into some very rewarding relationships. He also, of course, has his fair share of disagree-ments with others, but when this happens he always makes an effort to understand the otherperson’s point of view, even though he might not accept it. Because of this, he has a reputationboth for commitment to those causes that are close to his heart and tolerance of the right ofothers to hold different opinions.
The Role of the Therapist The therapist reviewed the fixed role sketch with the cli-ent and asked whether the character seemed like someone that the client might want toknow. The client agreed to try behaving like the character in the sketch while in thetherapist’s office. He was asked to try acting, thinking, and talking like the character forthe next two weeks. Behavioral changes instilled by fixed role therapy are reported to lastfar beyond the two-week role-playing period.
However, positive case reports on treatment outcomes such as this for individual cli-ents must be balanced by the fact that there has been little controlled research on thetechnique’s effectiveness. One of the few studies to be conducted found that the fixedrole therapy did reduce social anxiety in a small sample of clients in Japan (Abe, Imai,& Nedate, 2011).
Research on Kelly’s Theory
Stability of Constructs over Time
Studies using the REP Test have shown that a person’s constructs remain stable overtime. One group of subjects took the test twice, using the names of different people asrole figures each time. Although the role models changed, the constructs that wereimportant to the subjects remained the same. However, research has shown that thevalidity of the REP test depends heavily on the skill of the psychologist interpreting theresults.
One REP Test study investigated the complexity of a person’s construct system. Theresults showed that the pattern becomes increasingly differentiated and integrated overthe life span and can process more information as it is able to function in more abstractterms (Crockett, 1982). Another study suggested that forming friendships depends on asimilarity of personal constructs.
A group of students took the REP Test during their first week at college and again sixmonths later. The results showed that the similarity in constructs or attitudes among
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friends did not develop during the six-month period but had existed before the relation-ships were formed.
The researchers concluded that we seek as friends those whose constructs are alreadysimilar to ours (Duck & Spencer, 1972). Also, for married subjects, spouses whose con-structs were more alike reported greater happiness with their marriage than did coupleswhose constructs were more unlike (Neimeyer, 1984).
Effects of Emotional State
Other research showed a correspondence between one’s personal characteristics and theways of construing other people. For example, among a group of student nurses, thoseidentified as highly anxious tended to use anxious versus non-anxious as a construct forevaluating others. Those who were judged by peers as friendly tended to view others interms of a friendly versus unfriendly construct (Sechrest, 1968).
The REP Test has been used to study schizophrenics, neurotics, depressives, and per-sons with organic brain damage. Compared with normal subjects, schizophrenics werefound to be unstable and inconsistent in construing other people. However, their con-struing of objects was stable and consistent, suggesting that their thought disordersapplied only to social situations. Their thought processes were also characterized byparanoid delusions and irrational links between constructs (see, for example, Bannister,Fransella, & Agnew, 1971; Bannister & Salmon, 1966; Winter, 1992).
A study using a modified version of the REP Test compared the personal constructsystems of repeat patients in psychiatric hospitals with those hospitalized for the firsttime. The repeat patients construed their social network as small, limited to a few peopleon whom they believed they could depend. First-time patients construed their socialnetwork as significantly larger (Smith, Stefan, Kovaleski, & Johnson, 1991).
REP Test research with juvenile and adult offenders revealed that delinquents tendedto identify with action-oriented television heroes rather than with real adults. Newlyreleased prisoners showed poor self-esteem and lowered aspirations for the future.Rapists felt inadequate, immature, and preoccupied with personal failure (Needs,1988).
Real-World Applications
The REP Test has been used in market research to assess the criteria consumers use toevaluate products. Industrial-organizational psychologists have used the REP Test forvocational counseling, employee selection, evaluation of performance on the job, andevaluation of training programs (Benjafield, 2008).
Research on Personal Constructs
Studies in nontherapeutic situations have dealt with a variety of behaviors that might beaffected by one’s personal constructs. A study in Australia found that the degree of auto-mobile drivers’ reckless behavior on the road could be related to the constructs they held(McNally & Bradley, 2014). An American professor teaching in Paris was able to coachhis beginning statistics students not only to understand statistics, but also to getthem enthusiastic about the subject, by relating the methods to their personal constructs(Clayson, 2013).
A groundbreaking study by British psychologists on the personal constructs developedby convicted Islamic terrorists in India found that those who were unable to re-construetheir future lives in ways not linked to terrorism were the least likely to disengage them-selves from future terrorist acts (Canter, Sarangi, & Youngs, 2014).
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Cognitive Complexity and Cognitive Simplicity
An outgrowth of Kelly’s work on personal constructs relates to cognitive styles, that is,differences in how we perceive or construe the persons, objects, and situations in ourenvironment. Research on cognitive styles was derived from the REP Test and focuseson the concept of cognitive complexity.
Cognitive complexity is defined as the ability to discriminate in the process of apply-ing personal constructs to other people. People high in cognitive complexity are able tosee variety among people and can easily place a person in many categories.
The other extreme, cognitive simplicity, refers to being less capable of perceiving dif-ferences when judging other people. People high in cognitive simplicity are likely to placeothers in only one or two categories, unable to see much variety.
Effects on Personality and Behavior Research has found personality differences interms of cognitive style. Those high in cognitive complexity are better able to make pre-dictions about other people’s behavior. They more readily recognize differences betweenthemselves and others, display more empathy toward others, and deal better with incon-sistent information in construing others than do people high in cognitive simplicity(Crockett, 1982).
Studies of college students in the United States and Canada have found that thosehigh in cognitive complexity are lower in anxiety and instability, adjust better to thestresses of college life, and tend to possess more than the traditional five factors of per-sonality. People with lower cognitive complexity display fewer than the five factors ofpersonality, suggesting that they are less complex emotionally (Bowler, Bowler, &Phillips, 2009; Lester, 2009; Pancer, Hunsberger, Pratt, & Alisat, 2000).
Studies of politicians in the United States and England found that conservatives werehigh in cognitive simplicity, whereas moderates and liberals displayed higher levels ofcognitive complexity (Tetlock, 1983, 1984). Mental health counselors and therapistswith more training and experience demonstrated greater cognitive complexity thanthose with less training and fewer years of experience (Granello, 2010; Owen & Lindley,2010).
In Kelly’s theory, cognitive complexity is the more desirable and useful cognitivestyle. Our goal in developing a construct system is to reduce uncertainty by being ableto predict or anticipate what people will do. This gives us a guide for our own behavior.People with a more complex cognitive style will be more successful at this task than willpeople with a simpler cognitive style. Therefore, cognitive style is an important dimen-sion of personality.
Changes over Time Cognitive complexity has been shown to increase with age withadults generally displaying greater cognitive complexity than children. However, age isnot a complete explanation for cognitive complexity. Many adults still possess cognitivesimplicity. Much depends on the level of complexity of our childhood experiences.
Those adults high in cognitive complexity typically had more diverse experiences inchildhood. In addition, their parents were less authoritarian and more likely to grantautonomy than parents of adults high in cognitive simplicity (Sechrest & Jackson,1961).
Becoming Alike or Being Alike? A study of 40 couples found that although thewomen scored significantly higher in cognitive complexity than the men did, there was
cognitive complexity Acognitive style or wayof construing the envi-ronment characterizedby the ability to per-ceive differencesamong people.
cognitive simplicity Acognitive style or wayof construing the envi-ronment characterizedby a relative inability toperceive differencesamong people.
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a high correlation in cognitive complexity between men and women who were partners.The researcher suggested that these partners may have chosen each other because oftheir similar pre-existing levels of cognitive complexity, or else they developed this simi-larity as a result of living together. Either way, these partners tended to construe theirworlds in a similar manner (Adams-Webber, 2001).
Cultural Factors Comparisons were made of monocultural Anglo-American andbicultural Chinese-American college students. The Chinese-American students had beenborn in China and lived at least five years in the United States. The results showed thatthe bicultural students scored higher in cognitive complexity than the monocultural stu-dents (Benet-Martinez, Lee, & Leu, 2006).
Attributional Complexity A variant of cognitive complexity is attributional com-plexity, which is defined as the extent to which people prefer complex rather than simpleexplanations for social behavior. In other words, they attribute the behavior of other peo-ple to complicated, multifaceted, and more sophisticated causes.
People who measure high in attributional complexity have been shown to be moresensitive to and perceptive of subtle signs of racism. They also show greater empathytoward and greater understanding of other people (Foels & Reid, 2010; Reid &Foels, 2010). Business leaders high in attributional complexity are more effective intheir management behavior than those low in attributional complexity (Sun & Anderson,2012).
HIGHLIGHTS: Research on Kelly’s Ideas
Research using the REP Test has found that:
• Our personal constructs remain stable over time• We chose friends whose constructs are like ours• Spouses whose constructs were alike were happier• Schizophrenics formed stable constructs of objects but not of people• Delinquents identified with action heroes rather than real people
People who score high in cognitive complexity tend to:
• Score low in anxiety• Have more than the traditional five factors of personality• Be good at predicting how others will behave• Have moderate to liberal political views• Had more diverse experiences in childhood• Adjust better to the stresses of college
People high in attributional complexity:
• Attribute the behavior of others to complex causes• Have greater empathy and understanding of others• Are sensitive to subtle signs of racism
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Reflections on Kelly’s Theory
Kelly developed a unique and radical personality theory that did not derive from or buildon other theories. It emerged from his interpretation, his own construct system, of dataprovided by his clinical practice. It is a personal view, and its originality parallels its mes-sage, that we are capable of developing the framework for our own lives.
Kelly’s system has been criticized on several points. It focuses on intellectual andrational aspects of human functioning to the exclusion of emotional aspects. Kelly’simage of a person rationally constructing the present and future, forming and testinghypotheses, and making predictions as the basis for behavior does not coincide with theeveryday experiences of clinical psychologists who see more extreme examples of humanbehavior. To them, Kelly’s rational being seems to be an ideal that exists in the abstractbut not in reality. Although Kelly did not deal explicitly with emotions, he recognizedthem as personal constructs, similar in their formation to other constructs.
We saw that Sigmund Freud’s view of personality derived from his exposure to neu-rotic, middle-class Viennese patients, who presented him with a distorted, unrepresenta-tive sample of human nature. Other theorists have been similarly criticized. Kelly’sviewpoint was also unrepresentative, limited largely to Midwestern young adults in theprocess of defining a construct system that would help them cope with college life.
Kelly’s theory, like many others, leaves unanswered questions. Each of us is able toconstrue events in a unique way, but why does one person construe an event in oneway while another person construes the same event in a different way? What process ormechanism accounts for the difference? A person makes choices about defining orextending the construct system. What determines whether to opt for security or foradventure, for the safer or the riskier alternative?
Personal construct theory continues to enjoy a large and growing base of support,although this is much broader in Europe, Canada, and Australia than in the UnitedStates. In the mid-1980s, the Centre for Personal Construct Psychology was establishedin England to train clinicians in Kelly’s psychotherapeutic techniques and to promoteapplications of the theory. The International Journal of Personal Construct Psychologyand the Journal of Constructivist Psychology began publication in the late 1980s, and in1990 the first volume of the series Advances in Personal Construct Psychology appeared.
Kelly’s work is not as popular in the United States for several reasons. First, manypsychologists see it as too different from prevailing ideas. Personality psychologists typi-cally think in terms of the familiar concepts of motivation and emotion, unconsciousforces, drives, and needs, which form no part of Kelly’s system. Second, Kelly publishedfew books, articles, or case studies, devoting most of his time to clinical work and totraining graduate students. The writing style of his two major books is scholarly, notintended for the public or for the therapist looking for explanations of human passionsand emotions, loves and hatreds, fears and dreams. Such was not the style of the man orhis theory.
Kelly recognized the limitations of his program and made no pretense of setting fortha finished theory. Just as an individual’s constructs change in light of new experiences, soKelly expected the personal construct theory to change with further research and appli-cation. His contributions have been recognized with honors from the profession andfrom former students.
His theory is one of the most unusual to appear in a century of theorizing about thenature of the human personality. Adherents continue to apply it to problems in clinicalpsychology, industrial psychology, anthropology, criminology, and urban planning as away of modifying and predicting behavior in many walks of life (Butt, 2008; Walker &Winter, 2007).
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Chapter Summary
Kelly viewed people as similar to scientists who constructhypotheses and test them against reality. A personal con-struct is a unique way of looking at events in our lives totry to explain and predict future events. Kelly’s funda-mental postulate states that psychological processes aredirected by the ways we anticipate events and construeour world. The theory includes 11 corollaries.
Kelly presented an optimistic image of humannature that depicts us as rational beings with free will,capable of directing our destiny. We are not bound byconstructs developed at one stage of life or by pastexperiences, unconscious conflicts, and biologicalinstincts. Our goal is to define a set of constructs thatenables us to predict events.
Kelly assessed personality by accepting a person’swords at face value, by having the person write a self-characterization sketch, and by the Role ConstructRepertory (REP) Test. The REP Test uncovers
dichotomies important in a person’s life, revealing thepattern of personal constructs.
People high in cognitive complexity are better ableto predict the behavior of others. They more readilyrecognize differences between themselves and others.They are more empathic, less anxious and unstable,deal better with inconsistent information in construingothers, and experience greater complexity in childhoodthan people high in cognitive simplicity.
Those high in attributional complexity view thebehavior of other people as being more complex andmultifaceted than do those low in attributionalcomplexity.
Kelly’s work has been criticized for omitting familiarconcepts such as motivation and emotion, for focusingon the rational aspects of human functioning to theexclusion of emotional aspects, and for relying on anunrepresentative sample of subjects.
Review Questions
1. What did Kelly mean when he suggested that weall function like scientists in trying to predict andcontrol the events in our lives?
2. How does Kelly’s approach to personality differfrom the other approaches we have discussed?
3. What is the relationship between Kelly’s cognitivetheory and modern cognitive psychology?
4. How might Kelly’s theory have been influenced bythe kinds of clients he treated?
5. What is Kelly’s definition of the term construct?Why must constructs be dichotomous?
6. Why did Kelly believe that we must always berevising our constructs?
7. What factors influence the ways we anticipatethose events that are similar to past events?
8. How do we choose between the two alternativesoffered by a construct?
9. How does our anticipation of events, and of howother people will behave, influence ourpersonality?
10. Explain how the individuality corollary differsfrom the organization corollary.
11. What is a construct’s range of convenience?12. In your construct system, what is the range of
convenience for the construct cheerful versus sad?
13. What mechanism did Kelly propose to account forchanges in a construct’s range of convenience?
14. How is it possible to hold incompatible or incon-sistent constructs?
15. Why is it important to construe the constructs ofother people in our daily lives?
16. What is Kelly’s position on the issue of free willversus determinism?
17. What is a self-characterization sketch? How is itused in therapy?
18. Describe how the Role Construct Repertory Testworks with clients.
19. What is fixed role therapy? How does it relate torole-playing?
20. How do people high in cognitive complexity differfrom people high in cognitive simplicity?
21. How do people who are high in attributionalcomplexity view the behavior of those aroundthem, compared to people who are low in attri-butional complexity?
22. Discuss some of the criticisms that have beenmade of Kelly’s approach to personality.
Chapter 11: George Kelly: Personal Construct Theory 313
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Suggested Readings
Butler, R. (Ed.). (2009). Reflections in personal constructtheory. New York: Wiley. Essays by leading practi-tioners of Kelly’s approach to therapy from a varietyof countries, offering advice on how to conducttherapeutic relationships with patients usingpersonal construct psychology.
Butt, T. (2008). George Kelly and the psychology ofpersonal constructs (mind shapers). New York:Palgrave Macmillan. Explores Kelly’s idea thatpersonality is not caused by what happens to us butrather by our widely differing interpretations ofwhat happens. Sets the theory in its historical andphilosophical context.
Caputo, P., Viney, l., Walker, B., & Crittenden, N.(Eds.). (2012). Articles by followers of Kelly’sapproach detailing techniques for gathering andanalyzing data along with descriptions and examplesof applications of personal construct psychology inclinical and nonclinical settings.
Epting, F. R. (1984). Personal construct counseling andpsychotherapy. New York: Wiley. The first majortextbook on the principles of Kelly’s personalitytheory and their clinical applications.
Fransella, F. (1995). George Kelly. London: Sage.Describes Kelly’s life and the development andapplications of personal construct theory. Reviewsthe concept of constructive alternativism usingKelly’s personality as an example.
Jancowicz, A. D. (1987). Whatever became of GeorgeKelly? Applications and implications. AmericanPsychologist, 42, 481–487. Published on the 20thanniversary of Kelly’s death, this article reviews andassesses the impact of Kelly’s work.
Kelly, G. A. (1969). Clinical psychology and personality:The selected papers of George Kelly. New York:Wiley. Selections from Kelly’s writings, edited byBrendan Maher. See Chapter 2, “The Autobiographyof a Theory,” for Kelly’s description of the impact ofhis personal experiences on the development of histheory.
Thompson, G. G. (1968). George Alexander Kelly:1905–1967. Journal of General Psychology, 79,19–24. Reviews and assesses Kelly’s life and work.
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The Behavioral Approach
You already know of John B. Watson, the founder of behaviorism, from yourother courses in psychology. His behaviorist psychology focused solely on overtbehavior, on how people respond to external stimuli. This natural-scienceapproach to psychology, based on careful experimental research and the precisequantification of stimulus and response variables, became immensely popular inthe 1920s and remained a dominant force in psychology for more than 60 years.
Watson’s behaviorism had no place for conscious or unconscious forcesbecause they could not be seen, manipulated, or measured under laboratory con-ditions. Watson believed that whatever might be happening inside an organism,be it a person or an animal, between the presentation of the stimulus and theelicitation of the response had no role to play in science. Why? Because scientistscould not perform experiments on internal, unobservable conditions.
In the behavioral approach to psychology, therefore, we find no reference toanxiety, drives, motives, needs, or defense mechanisms—the kinds of internalprocesses invoked by most other personality theorists. To behaviorists, personal-ity is merely an accumulation of learned responses to various stimuli. Personalityrefers only to what can be objectively observed and manipulated.
The behavioral approach to personality is represented here by the work ofB. F. Skinner, who, continuing with Watson’s approach, rejected as irrelevant anyalleged internal forces or processes. His sole concern was with overt behavior andthe external stimuli that shape it.
Skinner attempted to understand what we call “personality” through labora-tory research with rats and pigeons rather than clinical work with patients. Hisideas turned out, however, to become immensely useful in the clinical setting,through the application of behavior-modification techniques.
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chapter 12B. F. Skinner:ReinforcementTheory
It is the environmentwhich must be changed.
—B. F. Skinner
Rats, Pigeons, and an Empty OrganismWhere Are the People?
The Life of Skinner (1904–1990)A Strict ChildhoodMachines and AnimalsA Dark YearA New IdentityA Period of DepressionQuirky, Conscientious, and Somewhat
Neurotic
Reinforcement: The Basis of BehaviorRespondent BehaviorOperant Behavior
Operant Conditioning and the Skinner
BoxFrom the Skinner Box to the Real WorldOperating on the EnvironmentPersonality: A Collection of Operant Behaviors
Schedules of ReinforcementFixed IntervalFixed RatioVariable IntervalVariable Ratio
The Shaping of BehaviorSuccessive ApproximationShaping the Behavior of a Person in Five
Minutes
Superstitious BehaviorHow to Shape Superstitious Behavior
The Self-Control of BehaviorStimulus AvoidanceSelf-Administered SatiationAversive StimulationSelf-ReinforcementBenefits of Self-Control
Applications of Operant ConditioningToken Economy ProgramsBehavior Modification ProgramsPunishment and Negative Reinforcement
Questions about Human Nature
Assessment in Skinner’s TheoryDirect Observation of BehaviorSelf-Reports of BehaviorPhysiological Measurements
of Behavior
Research on Skinner’s Theory
Reflections on Skinner’s TheoryCurrent Status
Chapter Summary
Review Questions
Suggested Readings
Rats, Pigeons, and an Empty Organism
Skinner did not offer a personality theory that can easily be contrasted and comparedwith others discussed in this book. In fact, he did not offer a personality theory at all,nor did his research deal specifically with personality. His work attempted to accountfor all behavior, not just personality, in factual, descriptive terms. Skinner argued thatpsychologists must restrict their investigations to facts, to only what they can see, manip-ulate, and measure in the laboratory. That meant an exclusive emphasis on the overtresponses a subject makes and nothing more. Skinner’s contention was that psychologyis the science of behavior, of what an organism does. His study of behavior was the
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antithesis of the psychoanalytic, trait, life-span, cognitive, and humanistic approaches,differing not only in subject matter but in methodology and aims.
In explaining personality, most other theorists look inside the person for clues. Thecauses, motives, and drives—the forces that direct our development and behavior—originate within each of us. In contrast, Skinner made no reference to internal, subjectivestates to account for behavior. Unconscious influences, defense mechanisms, traits, andother driving forces cannot be seen, he argued, and therefore they have no place in ascientific psychology.
They have no more value for science than the old theological concept of the soul.Skinner did not deny the existence of internal forces, only their usefulness for science.Skinner applied similar reasoning to physiological processes, which are not overtlyobservable and so have no relevance for science. He said, “The inside of the organismis irrelevant either as the site of physiological processes or as the locus of mentalisticactivities” (quoted in Evans, 1968, p. 22). He saw no need to look inside the organismfor some form of inner activity. To Skinner, human beings are “empty organisms,”by which he meant that there is nothing inside us that can explain behavior in scientificterms.
Where Are the People?
Another way Skinner differed from other theorists is in his choice of experimental sub-ject. Some personality theorists focus on emotionally disturbed persons, others on nor-mal or average individuals. At least one, Abraham Maslow, based his theory on the bestand brightest people. Although Skinner’s ideas about behavior have been applied to peo-ple, the research for his behavioral approach used rats and pigeons. What can we learnfrom pigeons about the human personality? Remember that Skinner’s interest was inbehavioral responses to stimuli, not in childhood experiences or adult feelings.
Responding to stimuli is something animals do well, sometimes better than people do.Skinner admitted that human behavior is more complex than animal behavior but sug-gested that the differences are in degree, not in kind. He believed that the fundamentalprocesses are similar. And because a science must proceed from simple to complex, themore elemental processes should be studied first. Thus, he chose animal behaviorbecause it is simpler than human behavior.
Despite Skinner’s focus on studying animal behavior, his work has had wide prac-tical applications for changing human behavior. Techniques such as behavior therapyderived from his research are used in clinical settings to treat a variety of disordersincluding psychoses, mental retardation, and autism. His behavior-modification tech-niques are also widely used in schools, businesses, correctional institutions, andhospitals.
The Life of Skinner (1904–1990)
A Strict Childhood
B. F. Skinner was born in Susquehanna, Pennsylvania, the older of two sons, but hisbrother died at the age of 16. His parents were hardworking people who constantly dic-tated to him clear rules of proper behavior. “I was taught to fear God, the police, andwhat people will think” (Skinner, 1967, p. 407). His mother never deviated from herstrict standards. Her method of control was to say “tut tut.”
Skinner’s grandmother made certain that he understood the punishments of Hell bypointing out the red-hot coals in the parlor stove. Skinner’s father contributed to his
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son’s moral education by teaching him what happens to criminals. He showed Skinnerthe county jail and took him to a lecture about what life was like in a notorious NewYork state prison.
In his autobiography, Skinner made many references to the impact of these childhoodwarnings on his adult behavior. He wrote of visiting a cathedral as an adult and takingcare to avoid stepping on the gravestones set in the floor. As a child he had been toldtime and time again that such behavior wasn’t proper.
Those kinds of experiences made it clear to Skinner that his adult behaviors had beendetermined by the rewards and punishments (the “reinforcements”) he had received asa child. Thus, his system of psychology and his view of people as “complex system[s]behaving in lawful ways” clearly reflected his own early life experiences (Skinner,1971, p. 202).
Machines and Animals
Also prophetic of his view of people as machines that operate predictably were themany hours he spent as a child constructing mechanical devices such as wagons, see-saws, carousels, slingshots, model airplanes, and a steam cannon that shot potato andcarrot plugs over neighboring houses. Skinner also worked on a perpetual-motionmachine, which perpetually failed. His interest in animal behavior also derived fromchildhood.
He made pets of turtles, snakes, toads, lizards, and chipmunks. A flock of performingpigeons at a county fair fascinated him. He watched the pigeons race onstage, pull a toyfire engine up to a burning building, and shove a ladder against the wall. One pigeon,wearing a fireman’s hat, climbed up the ladder to an upper-story window and rescued astranded pigeon. Skinner would later train pigeons to play Ping-Pong and guide a missileto its target. He also taught his daughters’ cat to play the piano and his pet Beagle how toplay hide and seek.
A Dark Year
Skinner majored in English at Hamilton College in upstate New York and after gradua-tion expected to become a novelist. He built a study in the attic of his parents’ home inScranton, Pennsylvania, and sat down to write. The results were disastrous. He read,listened to the radio, played the piano, and built ship models while waiting for inspira-tion, which never came. He considered seeing a psychiatrist, but his father told him itwould be a waste of money. Skinner was 22 years old and a failure at the only thing hewanted to do.
He later referred to that time as his dark year, what Erikson would call an identitycrisis. Skinner’s occupational identity as a writer, which he had so carefully constructedduring his college years, had collapsed and took with it his sense of self-worth. He leftScranton for New York City’s Greenwich Village but found he could not write thereeither. Worse, in his view, was that several women spurned his proclaimed love forthem, leaving him so upset that he branded one woman’s initial on his arm, where itremained for years (Skinner, 1983).
A New Identity
Just when Skinner thought he had lost all hope, he discovered a new identity that suitedhim, to which he would cling for the rest of his life. He decided that since writing hadfailed him (rather than the other way around), he would study human behavior by the
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methods of science rather than the methods of fiction. He read Pavlov and Watsonand committed himself to behaviorism in thought and deed. Finally, his self-image andidentity were secure, at least for a while.
He entered Harvard in 1928 to study psychology. He had never taken a course in thefield before, but he earned his Ph.D. in three years. His choice of behaviorism led him toreject all the feelings and emotions he had tried to draw on as a writer. As one historianof psychology noted:
[There are] essential differences between a career devoted to writing poetry and fiction andone devoted to promoting the cause of behaviorism. The former requires commitment tosuch intra-psychic processes as inspiration, intuition, free association, the stream of con-sciousness, and the participation of the unconscious, as well as considering fantasies andfeelings important parts of one’s being. The latter denies it all—makes fantasies and feel-ings, indeed the entire intra-psychic domain, recede into a background of (to use Skinner’sfavorite term) “pre-scientific” notions, while attention is focused on observable behaviorand the operations necessary to record, predict, and control it effectively. (Mindess, 1988,p. 105)
Psychic processes appeared in Skinner’s work only as objects of derision.
A Period of Depression
With postdoctoral fellowships, Skinner stayed at Harvard until 1936. He then taught atthe University of Minnesota and Indiana University, returning to Harvard in 1947. In his40s, Skinner experienced a period of depression, which he resolved by returning to hisfailed identity as a writer. He projected all of his emotional and intellectual discontentonto the protagonist of a novel, Walden Two, letting the character vent his personaland professional frustrations (Skinner, 1948).
The book, which is still in print, has sold more than two million copies. It describes asociety in which all aspects of life are controlled by positive reinforcement, which is thebasic principle of Skinner’s system of psychology (Altus & Morris, 2009). It has beensuggested that Walden Two can be seen as a precursor to the major themes in themore recent positive psychology (Adams, 2012) (Chapter 14).
Quirky, Conscientious, and Somewhat Neurotic
Early on in his career, Skinner allowed himself to be tested using both the Rorschachand the Thematic Apperception Test. In 2012, a group of psychologists in Norwayexamined his test results and drew several conclusions about Skinner’s personality(Gronerod, Overskeid, & Hartmann, 2013; Koren, 2013; Overskeid, Gronnerod, &Simonton, 2012).
They rated him high in conscientiousness and openness to new experiences, some-what extraverted, and neurotic. He was also characterized as quirky and driven in hiswork, with strained social relationships and a lack of liveliness. One of his daughterssaid he was a wonderful father who spent a great deal of time with his children(Freeman, 2013).
Well into his 80s, Skinner continued to work with enthusiasm and dedication. He reg-ulated his habits, recording his daily work output and the average time spent per pub-lished word (2 minutes). Thus, he became a living example of his definition of humansas complex systems behaving in lawful ways.
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He once commented to a friend that he was cited in the psychology literature morefrequently than Freud was. When asked if that had been his goal, Skinner said, “Ithought I might make it” (quoted in Bjork, 1993, p. 214).
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B. F. SkinnerVarious sites provide biographical information, discussions of his theory, research onrelevant concepts, and links to other resources.
B. F. Skinner FoundationProvides biographical information, publications, and videos, as well as Operants, whichare free reports to download.
Reinforcement: The Basis of Behavior
Skinner’s approach to behavior, simple in concept, is based on thousands of hours ofwell-controlled research. His fundamental idea is that behavior can be controlled by itsconsequences, that is, by what follows the behavior. Skinner believed that an animal or ahuman could be trained to perform virtually any act and that the type of reinforcementthat followed the behavior would be responsible for determining it. This means thatwhoever controls the reinforcers has the power to control human behavior, in the sameway an experimenter can control the behavior of a laboratory rat.
Respondent Behavior
Skinner distinguished between two kinds of behavior: respondent behavior and operantbehavior. Respondent behavior involves a response made to or elicited by a specificstimulus. A reflexive behavior such as a knee jerk is an example of respondent behavior.A stimulus is applied (a tap on the knee) and the response occurs (the leg jerks). Thisbehavior is unlearned. It occurs automatically and involuntarily. We do not have to betrained or conditioned to make the appropriate response.
Conditioning At a higher level is respondent behavior that is learned. This learning,called conditioning, involves the substitution of one stimulus for another. The conceptoriginated in the work of the Russian physiologist Ivan Pavlov in the early 1900s. Later,Pavlov’s ideas on conditioning were adopted by John B. Watson as the basic researchmethod for behaviorism.
Working with dogs, Pavlov discovered that they would salivate to neutral stimuli suchas the sound of their keeper’s footsteps. Previously, the salivation response had been eli-cited by only one stimulus, the sight of food. Intrigued by this observation, Pavlov stud-ied the phenomenon systematically.
He sounded a bell shortly before feeding a dog. At first, the dog salivated only inresponse to the food and not to the bell because the bell had no meaning. However,after a number of pairings of the bell followed by the food, the dog began to salivate atthe sound of the bell. Thus, the dog had been conditioned, or trained, to respond to thebell. The dog’s response shifted from the food to what previously had been a neutralstimulus.
respondent behaviorResponses made to orelicited by specificenvironmental stimuli.
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Reinforcement This classic experiment by Pavlov demonstrated the importance ofreinforcement. The dogs would not learn to respond to the bell unless they wererewarded for doing so. In this example, the reward was food. Pavlov then formulated afundamental law of learning: A conditioned response cannot be established in theabsence of reinforcement. The act of reinforcing a response strengthens it and increasesthe likelihood that the response will be repeated.
Extinction However, an established conditioned response will not be maintained inthe absence of reinforcement. Consider a dog conditioned to respond to the sound of abell. Every time the bell rings, the dog salivates. Then the experimenter stops presentingfood after sounding the bell. The dog hears the bell and nothing happens—no morefood, no more reinforcement or reward. With successive ringing of the bell, the dog’ssalivary response decreases in frequency and intensity until no response occurs at all.
This process is called extinction. The response has been wiped out or extinguishedbecause reinforcers or rewards for it were no longer provided. A great deal of researchhas demonstrated that the greater the reinforcement given during training, the moreresistant the conditioned response will be to extinction (Shull & Grimes, 2006). Eventu-ally, however, extinction will occur.
Operant Behavior
Respondent behavior depends on reinforcement and is related directly to a physical stim-ulus. Every response is elicited by a specific stimulus. To Skinner, respondent behaviorwas less important than operant behavior. We are conditioned to respond directly tomany stimuli in our environment, but not all behavior can be accounted for in thisway. Much human behavior appears to be spontaneous and cannot be traced directly toa specific stimulus. Such behavior is emitted rather than elicited by a stimulus. It involves
Animals can be con-ditioned by reinfor-cing them with foodwhen they exhibitdesired behaviors.
reinforcement The actof strengthening aresponse by adding areward, thus increas-ing the likelihood thatthe response will berepeated.
extinction The processof eliminating abehavior by withhold-ing reinforcement.
operant behaviorBehavior emittedspontaneously or vol-untarily that operateson the environment tochange it.
LuisMarden/NationalGeographicVintagePrem
ium/Corbis
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acting in a way that appears to be voluntary rather than reacting involuntarily to a stim-ulus to which we have been conditioned.
The nature and frequency of operant behavior will be determined or modified by thereinforcement that follows the behavior. Respondent behavior has no effect on the envi-ronment. In Pavlov’s experiment, the dog’s salivary response to the ringing bell did noth-ing to change the bell or the reinforcer (the food) that followed. In contrast, operantbehavior operates on the environment and, as a result, changes it.
Operant Conditioning and the Skinner Box
To illustrate the operant-conditioning process, let us follow the progress of a rat inSkinner’s operant-conditioning apparatus, also known as the Skinner box (Figure 12.1).When a food-deprived rat is placed in the box, its behavior at first is spontaneous andrandom. The rat is active, sniffing, poking, and exploring its environment. These beha-viors are emitted, not elicited; in other words, the rat is not responding to any specificstimulus in its environment.
At some time during this random activity, the rat will depress a lever or bar locatedon one wall of the Skinner box, causing a food pellet to drop into a trough. The rat’sbehavior (pressing the lever) has operated on the environment and, as a result, has chan-ged it. How? The environment now includes a food pellet. The food is a reinforcer forthe behavior of depressing the bar.
The rat now begins to press the bar more often. What happens? It gets morefood—more reinforcement—and so presses the bar even more frequently. The rat’sbehavior is now under the control of the reinforcers. Its actions in the box are lessrandom and spontaneous because it is spending most of its time pressing the bar, andeating.
If we put the rat back in the box the next day, we can predict its behavior and we cancontrol its bar-pressing actions by presenting or withholding the reinforcers or by pre-senting them at a different rate. Withholding the food extinguishes operant behavior inthe same way that it extinguishes respondent behavior. If the unreinforced behavior nolonger works, in that it no longer brings a reward, after a while it will stop. Thus, theperson who controls the reinforcers controls the subjects’ behavior.
FIGURE 12.1A simple operant-conditioning apparatus
operant conditioningThe procedure bywhich a change in theconsequences of aresponse will affect therate at which theresponse occurs.
PhotoResearchers/ScienceSource
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From the Skinner Box to the Real World
A variety of animals have been taught to perform a great many behaviors through oper-ant conditioning. Dogs have been conditioned to sniff out drugs or explosives, giantAfrican rats in Mozambique have been trained to detect buried land mines, lobsters havebeen taught to grasp a bar with their claws to receive food, whales and dolphins have beentaught how to perform a variety of tricks in places like SeaWorld, and calves have beentaught to urinate only in designated places (Gillaspy, Brinegar, & Bailey, 2014; Poling,Weetjens, Cox, Beyene, Bach, & Sully, 2010; Tomina & Takahata, 2010; Vaughan, dePassille, Stookey, & Rushen, 2014).
Operating on the Environment
Skinner believed that most human and animal behavior is learned through operant con-ditioning. Consider how babies learn. An infant initially displays random, spontaneousbehaviors, only some of which are reinforced (rewarded with food or hugs or toys, forexample) by parents, siblings, or caregivers. As the infant grows, the positively reinforcedbehaviors, those of which the parents approve, will persist, whereas those of which theparents disapprove will be extinguished or discontinued.
The concept is the same with the rat in the Skinner box. Behaviors that work (like press-ing the bar to obtain food) are displayed frequently, and behaviors that do not work are notrepeated. Thus, the organism’s behavior operates on the environment. And in turn, theenvironment, in the form of reinforcement, operates on the organism’s behavior.
You can see how powerful reinforcement can be in determining and controllingbehavior. Skinner wrote, “Operant conditioning shapes behavior as a sculptor shapes alump of clay” (1953, p. 91). If that lump of clay, that organism, needs the reinforcerbadly enough, there is virtually no limit to how its behavior can be shaped—by an exper-imenter with a food pellet, a puppy owner with a dog biscuit, a mother with a smile, aboss with a pat on the back, or a government with a promise.
Personality: A Collection of Operant Behaviors
From infancy on, we display many behaviors, and those that are reinforced willstrengthen and form patterns. This is how Skinner conceived of personality, as a patternor collection of operant behaviors. What other psychologists called neurotic or abnormalbehavior was nothing more mysterious to Skinner than the continued performance ofundesirable behaviors that somehow have been reinforced.
Having demonstrated how behavior could be modified by continuous reinforcement,that is, by presenting a reinforcer after every response, Skinner decided to consider howbehavior would change if he varied the rate at which the behavior was reinforced.
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Operant ConditioningVarious sites provide descriptions and examples of operant conditioning experiments,including videos.
Schedules of Reinforcement
Skinner pointed out that in everyday life outside the psychology laboratory, our behavioris rarely reinforced every time it occurs. Babies are not picked up and cuddled every timethey cry. Baseball superstars do not hit a home run every time at bat. The bagger in the
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supermarket does not receive a tip for each bag packed. And your favorite singing groupdoesn’t win a Grammy for every new song. You can think of many more examples ofbehaviors that persist even though they are reinforced only occasionally.
After observing that his rats continued to press the bar at a fairly constant rate evenwhen they were not being reinforced for each response, Skinner decided to investigatedifferent reinforcement schedules to determine their effectiveness in controlling behav-ior. Among the rates of reinforcement he tested are the following.
• Fixed interval• Fixed ratio• Variable interval• Variable ratio
Fixed Interval
A fixed-interval schedule of reinforcement means that the reinforcer is presented follow-ing the first response that occurs after a fixed time interval has elapsed. That intervalmight be 1 minute, 3 minutes, or any other fixed period of time. The timing of the rein-forcement has nothing to do with the number of responses. Whether the rat responds 3times or 20 times per minute during the fixed time interval, the reinforcer still arrivesonly after the passage of a given time period and the emission of the correct response.
Many situations operate in accordance with the fixed-interval reinforcement schedule.A job in which your salary is paid once a week or once a month operates on the fixed-interval schedule. You are not paid according to the number of items you produce or thenumber of sales you make (the number of responses) but by the number of hours, days,or weeks that elapse.
Skinner’s research showed that the shorter the interval between presentations of thereinforcer, the greater the frequency of response. The response rate declined as the inter-val between reinforcements lengthened. How frequently reinforcers appeared alsoaffected how quickly the response could be extinguished.
A parent’s smile ofapproval can rein-force a child’sbehavior.
reinforcementschedules Patterns orrates of providing orwithholdingreinforcers.
©LuckyImages/Shutterstock.com
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The response stopped sooner if the rat had been reinforced continuously and the reinforce-ment was then stopped if the rat had been reinforced intermittently. The fixed-intervalschedule has been found to be highly effective in real-world situations, including specialeducation classrooms where disruptive behavior can be reduced by its use (Tomlin & Reed, 2012).
Fixed Ratio
In the fixed-ratio schedule of reinforcement, reinforcers are given only after a specifiednumber of responses have been made. For example, the experimenter could reinforceafter every 10th or 20th response. In this schedule, unlike the fixed-interval schedule, thepresentation of reinforcers depends on how often the subject responds. The rat will not geta food pellet until it performs the required number of responses. This reinforcementschedule brings about a faster rate of responding than does the fixed-interval schedule.
The higher response rate for the fixed-ratio reinforcement schedule also applies tohumans. In a job in which your pay is determined on a piece-rate basis, how much youearn depends on how much you produce. The more items you produce, the higher yourpay. Your reward is based directly on your response rate. The same is true for a salesper-son working on commission. Income depends on the number of products sold; the moresold, the more earned. In contrast, a salesperson on a weekly salary (a fixed-intervalschedule) earns the same amount each week regardless of the number of items sold.
Variable Interval
Everyday life doesn’t always permit a fixed-interval or fixed-ratio reinforcement sched-ule. Sometimes reinforcers are presented on a variable basis. In the variable-intervalschedule of reinforcement, the reinforcer might appear after 2 hours the first time, after1 hour 30 minutes the next time, and after 2 hours and 15 minutes the third time. Aperson who spends the day fishing might be rewarded, if at all, on a variable-intervalbasis. The reinforcement schedule is determined by the random appearance of fish nib-bling at the bait.
Variable Ratio
A variable-ratio schedule of reinforcement is based on an average number of responsesbetween reinforcers, but there is great variability around that average. Skinner foundthat the variable-ratio schedule is effective in bringing about high and stable responserates, as the people who operate gambling casinos can happily attest.
Slot machines, roulette wheels, horse races, and state lottery games pay on a variable-ratio reinforcement schedule, an extremely effective means of controlling behavior. Vari-able reinforcement schedules result in enduring response behaviors that tend to resistextinction. Most everyday learning occurs as a result of variable-interval or variable-ratio reinforcement schedules.
Skinner’s research on reinforcement schedules shows that they are effective for con-trolling, modifying, and shaping behavior. If you are in charge of rats, salespeople, orassembly-line workers, or are trying to train your pet or your child, these operant-conditioning techniques can bring about the behaviors you want.
The Shaping of Behavior
In Skinner’s original operant-conditioning experiment, the operant behavior (pressingthe lever) is a simple behavior that a laboratory rat would be expected to display eventu-ally in the course of randomly exploring its environment. Thus, the chance is high thatsuch a behavior will occur, assuming the experimenter has sufficient patience.
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It is obvious, however, that animals and humans demonstrate many more complexoperant behaviors that have a much lower probability of occurring in the normal courseof events. How are these complex behaviors learned? How can an experimenter or a par-ent reinforce and condition a pigeon or a child to perform behaviors that are not likelyto occur spontaneously?
Successive Approximation
Skinner answered these questions with the method of successive approximation, orshaping (Skinner, 1953). He trained a pigeon in a very short time to peck at a specificspot in its cage. The probability that the pigeon on its own would peck at that exactspot was low. At first, the pigeon was reinforced with food when it merely turned towardthe designated spot. Then reinforcement was withheld until the pigeon made somemovement, however slight, toward the spot.
Next, reinforcement was given only for movements that brought the pigeon closer tothe spot. After that, the pigeon was reinforced only when it thrust its head toward thespot. Finally, the pigeon was reinforced only when its beak touched the spot. Althoughthis sounds like a time-consuming process, Skinner conditioned pigeons in less than 3minutes.
The experimental procedure itself explains the term successive approximation. Theorganism is reinforced as its behavior comes in successive, or consecutive, stages toapproximate the final behavior desired. Skinner suggested that this is how children
Parents teach theirchildren acceptablebehaviors by reinfor-cing those activitiesthat approximate thefinal desiredbehaviors.
successiveapproximation Anexplanation for theacquisition of complexbehavior. Behaviorsuch as learning tospeak will be rein-forced only as it comesto approximate orapproach the finaldesired behavior.
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learn the complex behavior of speaking. Infants spontaneously emit meaningless sounds,which parents reinforce by smiling, laughing, and talking.
After a while, parents reinforce this babbling in different ways, providing strongerreinforcers for sounds that approximate real words. As the process continues, parentalreinforcement becomes more restricted, given only for appropriate usage and properpronunciation. Thus, the complex behavior of acquiring language skills in infancy isshaped by providing differential reinforcement in stages.
Shaping the Behavior of a Person in Five Minutes
Skinner once shaped the behavior of a noted psychoanalyst, Erich Fromm, whose com-ments during a lecture annoyed him.
Fromm proved to have something to say about almost everything, but with little enlighten-ment. When he began to argue that people were not pigeons, I decided that something had tobe done. On a scrap of paper I wrote [to a colleague] “Watch Fromm’s left hand. I am going toshape a chopping motion” … [Fromm] gesticulated a great deal as he talked, and whenever hisleft hand came up, I looked straight at him. If he brought the hand down, I nodded andsmiled. Within five minutes he was chopping the air so vigorously that his wristwatch keptslipping out over his hand. (Skinner, 1983, pp. 150–151)
Superstitious Behavior
We know that life is not always as orderly or well controlled as events in a psychologylaboratory. Sometimes we are reinforced accidentally after we have displayed somebehavior. As a result, that behavior, which did not lead to or cause the reinforcementin any way, may be repeated in a similar situation.
Consider two examples from football. An offensive lineman for the Tampa Bay (FL)Buccaneers was having a terrible season early in his career. He asked his roommate toswitch beds so that he could sleep closer to the bathroom. Immediately thereafter, hisplaying improved. For the rest of his career, he insisted on the bed nearest the bathroomdoor in every motel in which the team stayed.
Then there was an NFL kicker who hugged the goal posts before each game. He haddone it once just before making a successful kick, and so because it had worked then, hecontinued the practice. He told a reporter that he wanted the goal posts to know heloved them and to implore them to stay still when he kicked.
How to Shape Superstitious Behavior
Skinner called this phenomenon superstitious behavior and demonstrated it in the lab-oratory. A hungry pigeon was placed in the operant-conditioning apparatus and rein-forced every 15 seconds on a fixed-interval schedule. It is highly likely that the pigeonwould be doing something, displaying some behavior or activity, when the reinforcingfood pellet was presented. It might be turning, raising its head, strutting, hopping, orstanding still. Whatever behavior was being emitted at the moment of reward would bereinforced.
Skinner found that a single reinforcement was powerful enough to lead the pigeon torepeat the accidentally reinforced behavior more frequently for a while, which increased theprobability that another food pellet would appear while the same behavior was being shown.And with short intervals between reinforcers, superstitious behaviors are learned quickly.
Like the football players in the examples mentioned previously, the superstitiousbehaviors displayed by the pigeon have no functional relationship to the reinforcers.
superstitious behaviorPersistent behaviorthat has a coincidentaland not a functionalrelationship to thereinforcementreceived.
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The connection is unintentional. In humans, such behaviors may persist throughout lifeand require only occasional reinforcement to sustain them.
A study of major league baseball players in the United States and Japan found that 74percent of the players admitted engaging in superstitious behavior. It was also found thatAmerican players were more superstitious than Japanese players, suggesting that culturaldifferences may influence the extent of these actions (Burger & Lynn, 2005).
The Self-Control of Behavior
According to Skinner, behavior is controlled and modified by variables that are externalto the organism. There is nothing inside us—no process, drive, or other internalactivity—that determines behavior. However, although these external stimuli and reinfor-cers are responsible for shaping and controlling behavior, we do have the ability to usewhat Skinner called self-control, which he described as acting to alter the impact ofexternal events. Skinner did not mean acting under the control of some mysterious “self.”
He suggested that to some extent we can control the external variables that determineour behavior through four self-control techniques:
• Stimulus avoidance• Self-administered satiation• Aversive stimulation• Self-reinforcement
Stimulus Avoidance
In stimulus avoidance, for example, if your roommate is too noisy and interferes withyour studying for an exam in the morning, you could leave the room and go to thelibrary, removing yourself from an external variable that is affecting your behavior. Byavoiding a person or situation that makes you angry, you reduce the control that personor situation has over your behavior. Similarly, alcoholics can act to avoid a stimulus thatcontrols their behavior by not allowing liquor to be kept in their homes.
Self-Administered Satiation
Through the technique of self-administered satiation, we exert control to cure ourselvesof some bad habit by overdoing the behavior. Smokers who want to quit can chain-smoke for a period of time, inhaling until they become so disgusted, uncomfortable, orsick that they quit. This technique has been successful in formal therapeutic programsdesigned to eliminate smoking.
Aversive Stimulation
The aversive stimulation technique of self-control involves unpleasant or repugnant con-sequences. Obese people who want to lose weight declare their intention to their friendsin person or to a larger audience through Facebook or other social networking sites. Ifthey do not keep their resolution, they face the unpleasant consequences of personal fail-ure, embarrassment, and criticism.
Self-Reinforcement
In self-reinforcement, we reward ourselves for displaying good or desirable behaviors. Ateenager who agrees to strive for a certain grade point average or to take care of a youn-ger brother or sister might reward himself or herself by buying concert tickets or new
self-control The abilityto exert control overthe variables thatdetermine ourbehavior.
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clothes. To Skinner, then, the crucial point is that external variables shape and controlbehavior. But sometimes, through our own actions, we can modify the effects of theseexternal forces.
Benefits of Self-Control
A large-scale study of American college students found that that those who scored highon a measure of self-control had better grades, higher psychological adjustment scores,and greater self-acceptance and self-esteem. They also had better interpersonal skillsand family relationships, as well as lower levels of anger compared to those who scoredlow on self-control (Tangney, Baumeister, & Boone, 2004). A high level of self-control isalso related to satisfaction with life, happiness, and the avoidance of frequent conflict(Hofmann, Luhmann, Fisher, Vohs, & Baumeister, 2014).
A study of African-American children (average age of 11.2 years) found that thosewhose parents were more nurturing and involved in their upbringing had higher levels ofself-control than those whose parents were less nurturing and involved (Wills et al.,2007).
Recently, a researcher noted that self-control had become a “hot topic,” and that“most of the problems that plague modern individuals in our society—addiction, over-eating, crime, domestic violence, sexually transmitted diseases, prejudice, debt, unwantedpregnancy, underperformance at school and work, lack of savings, failure to exercise—have some degree of self-control failure as a central aspect” (Baumeister, quoted inWeir, 2012, p. 36).
Applications of Operant Conditioning
Psychologists have applied Skinner’s operant-conditioning techniques to modify humanbehavior in clinical, business, and educational settings. Behavior modification has beenused successfully with children and adults, with the mentally healthy and the mentallydisturbed, and with individual as well as group behaviors.
Token Economy Programs
The classic application of behavior modification is the token economy. In the pioneeringstudy, a ward of female psychotic patients in a state mental institution was treated as agiant Skinner box (Ayllon & Azrin, 1968). The patients could no longer be helped byconventional treatments. They had been institutionalized for a long time and wereunable to care for themselves.
In this setting of utter hopelessness, the patients were offered opportunities to work atjobs, usually performed by paid hospital attendants, for which they would receive tokens.The tokens functioned like money, hence the term token economy. Like people outside theinstitution, the patients could buy goods and privileges to improve the quality of life.
With a certain number of tokens, they could purchase candy, cigarettes, lipstick,gloves, and newspapers, or go to a movie on the ward, walk around the hospital grounds,or upgrade to a better room. The most expensive privileges, requiring 100 tokens, werean escorted trip into town and a private meeting with a social worker. A private meetingwith a psychologist was worth only 20 tokens.
What kinds of behaviors did the patients have to emit to be reinforced and receivetokens? If they took baths at the designated time, brushed their teeth, made their beds,combed their hair, and dressed properly, they earned a token for each activity.They would be paid up to 10 tokens for each period of work in the hospital kitchen orlaundry, or for helping to clean the ward, run errands, or take other patients for walks.
behavior modificationA form of therapy thatapplies the principlesof reinforcement tobring about desiredbehavioral changes.
token economy Abehavior-modificationtechnique in whichtokens, which can beexchanged for valuedobjects or privileges,are awarded for desir-able behaviors.
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The tasks may seem simple to us, but before the token economy program began, thesepatients were considered helpless, aimless, and incapable of doing almost anything forthemselves.
The conditioning worked dramatically. Not only did the patients groom themselvesand clean their surroundings, but they also busied themselves at a variety of tasks. Theybegan interacting socially with one another and with the staff and even assumed someresponsibility for patient care. Their self-esteem improved markedly, and they becameless dependent.
Token economy programs have worked in a variety of institutional settings as a wayof reducing problem behaviors. For example, aggressive behaviors among cognitivelyimpaired patients in a psychiatric hospital were reduced by 79 percent following a nine-month token economy program (DePhilippis, Quintieri, Noble, Reyes, & Akundi, 2008).The use of the token-economy approach also proved highly effective in changing thebehavior of autistic children in Japan (Ogasahara, Hirono, & Kato, 2013).
The Token Economy Online This token-economy approach to changing behaviorhas also worked online, as shown in a study of heavy smokers. Over a four-week periodthe smokers made video recordings of themselves at home twice a day. They also used aweb camera to provide a carbon monoxide sample, which was sent electronically to thesmoking clinic.
The subjects could earn vouchers by reducing their carbon monoxide level over afour-day period and by maintaining a level consistent with that of a non-smoker.The vouchers could be exchanged for various items purchased over the Internet. Thetechnique proved effective. Subjects showed significant decreases in carbon monoxidelevels and sustained abstinence throughout the period of the study (Dallery, Glenn, &Raiff, 2007).
What Happens When the Tokens Stop? A note of caution about these impressiveresults. Reinforcement must be continued if the desired behavior changes are to persist.When tokens are no longer provided, reinforced behaviors usually revert to their originalstate (Kazdin & Bootzin, 1972; Repucci & Saunders, 1974). However, if caregivers aretrained to reward desirable behaviors with reinforcers such as smiles, praise, hugs, andother signs of affection, then behaviors conditioned in the institutional token-economysituation are more likely to be continued in the home setting (Kazdin, 1989).
Behavior Modification Programs
Behavior modification programs have been successfully applied to education, where ithas improved academic performance and social behavior in classrooms, and reducedbehavioral, emotional, and developmental behavioral problems (Lang & Rispoli, 2015).Operant-conditioning techniques have also been applied to problems in business andindustry. Behavior modification programs at major manufacturers, financial institu-tions, and government agencies have been shown to reduce absenteeism, lateness,and abuse of sick-leave privileges, and to lead to improvements in job performanceand safety.
The techniques can also be used to teach low-level job skills. Reinforcers used in busi-ness include pay, job security, recognition from supervisors, perks and status within thecompany, and the opportunity for personal growth. No attempt is made to deal with anyalleged anxieties, repressed traumas, or unconscious motivating forces. The focus is onchanging overt behavior, defining the nature of the appropriate reinforcers, and deter-mining their optimal rate of presentation to modify behavior.
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Punishment and Negative Reinforcement
Most operant-conditioning applications involve positive reinforcement rather thanpunishment. The token-economy patients were not punished for failing to behaveappropriately. Instead, they were reinforced when their behavior changed in positiveways. Skinner said that punishment was ineffective in changing behavior from undesir-able to desirable or from abnormal to normal. Positive reinforcement administered fordesirable behaviors is much more effective than punishment.
What’s wrong with punishments is that they work immediately, but give no long-term results.The responses to punishment are either the urge to escape, to counterattack, or a stubborn apa-thy. These are the bad effects you get in prisons or schools, or wherever punishments are used.(Skinner quoted in Goleman, 1987)
Negative reinforcement is not the same as punishment. A negative reinforcer is anaversive or noxious stimulus, the removal of which is rewarding. In the laboratory orclassroom, an operant-conditioning situation can be established in which theunpleasant stimulus (such as a loud noise or an electric shock) will continue untilthe subject emits the desired response. As with positive reinforcement, the environ-ment changes as a consequence of the behavior; in this case, the noxious stimulus willdisappear.
We can see examples of negative reinforcement in everyday situations. A person maystop smoking to avoid the aversive stimulus of a nagging spouse or colleague. The aver-sive stimulus (the nagging) should cease when the desirable behavior (not lighting a cig-arette in the home or office) is displayed. Skinner opposed using noxious stimuli tomodify behavior, noting that the consequences were not as predictable as with positivereinforcement. Also, negative reinforcement does not always work, whereas positive rein-forcement is more consistently effective.
Questions about Human Nature
Skinner’s position is clear on the nature–nurture issue. People are primarily products oflearning, shaped more by external variables than genetic factors. We may infer thatchildhood experiences are more important in Skinner’s view than are later experiencesbecause our basic behaviors are formed in childhood. However, this does not mean thatbehavior cannot change in adulthood.
What is learned in childhood can be modified, and new behavior patterns can beacquired at any age. The success of behavior modification programs verifies that assertion.Skinner’s belief that behavior is shaped by learning also leads us to conclude that eachperson is unique. Because we are shaped by experience—and we all have different experi-ences, particularly in childhood—no two people will behave in precisely the same way.
Skinner did not address the issue of an ultimate and necessary goal. He made no ref-erence to overcoming inferiority, reducing anxiety, or striving for self-actualization. Suchmotives assume internal, subjective states, which Skinner did not accept.
Any indication of a life goal in Skinner’s work seems to be societal, not individual. Inhis novel Walden Two and in other writings, he discussed his notion of the ideal humansociety. He stated that individual behavior must be directed toward the type of societythat has the greatest chance of survival.
On the issue of free will versus determinism, Skinner believed people function likemachines, in lawful, orderly, predetermined ways. He rejected all suggestions of aninner being or autonomous self that determines a course of action or chooses to actfreely and spontaneously.
punishment The appli-cation of an aversivestimulus following aresponse in an effort todecrease the likelihoodthat the response willrecur.
negativereinforcement Thestrengthening of aresponse by theremoval of an aversivestimulus.
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From Skinner’s scholarly writings to his popular novel about a utopian society basedon operant conditioning his message is the same: Behavior is controlled by reinforcers. In asense, this means that it is pointless to blame or punish people for their actions. In this view,a dictator who orders the mass killing of thousands of people, or a serial killer who murdersa dozen, can no more be held responsible for their actions than can a driverless car thatplunges down a hill. Both operate in lawful, predictable ways, controlled by externalvariables.
Are we left, then, with a pessimistic conception of people as helpless and passiverobots, unable to play any active role in determining their behavior? That is notSkinner’s complete view. Despite his belief that behavior is controlled by external stimuliand reinforcers, we are certainly not victims. Although controlled by our environment,we are responsible for designing that environment.
Our buildings, cities, consumer goods, factories, media, and government institutionsare the result of human fabrication. So, too, are our social systems, languages, laws, cus-toms, and recreations. We constantly change our environment, often to our advantage.When we do so, we are acting as both controller and controlled. We design the control-ling culture, and we are products of that culture. “We may not be free agents,” he wrote,“but we can do something about our lives, if we would only rearrange the controls thatinfluence our behavior…. I am not trying to change people. All I want to do is changethe world in which they live” (quoted in Bjork, 1993, pp. 16, 233).
Assessment in Skinner’s Theory
Skinner did not use the typical assessment techniques favored by other theorists. Therewas no place in his work for free association, dream analysis, or projective techniques.Because he was not dealing directly with personality, he really had no interest in asses-sing it. He did, however, assess behavior.
In the application of his behavior-modification techniques, it is necessary to first assessspecific behaviors, both desirable and undesirable. Also to be assessed are the environmen-tal factors that serve as reinforcers and that can be manipulated to alter behavior. Nobehavior can be modified appropriately without such prior assessment. Skinner’s approachto assessing behavior is called functional analysis and it involves three aspects of behavior.
1. The frequency of the behavior2. The situation in which the behavior occurs3. The reinforcement associated with the behavior
Unless these factors have been evaluated, it is not possible to plan and implement abehavior modification program.
Consider a functional analysis for cigarette smokers who want to break the smokinghabit. The smokers are asked to keep an accurate record of the number of cigarettes theysmoke each day and the situations in which they smoke. Does smoking occur in a par-ticular place or at a certain time? In the presence of others or when alone? After meals orwhile driving? And what are the reinforcers? Most smokers smoke more frequently inthe presence of certain stimuli. Identifying these stimuli is necessary because modifyingthe stimuli should lead to a change in the smoking behavior.
Direct Observation of Behavior
Three approaches to assessing behavior are direct observation, self-reports, and physio-logical measurements. Many behaviors can be assessed through direct observation. Usu-ally, two or more people conduct the observation to assure accuracy and reliability. Forexample, in a classic report of a behavior modification situation, a woman sought
functional analysis Anapproach to the studyof behavior thatinvolves assessing thefrequency of a behav-ior, the situation inwhich it occurs, andthe reinforcers associ-ated with it.
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treatment for her 4-year-old son whose behavior was considered unruly (Hawkins, Peter-son, Schweid, & Bijou, 1966). Two psychologists observed the mother and child in theirhome to evaluate the nature and frequency of the child’s undesirable behaviors, whenand where they occurred, and the reinforcers the child received for the behaviors.
Nine undesirable behaviors were identified, including kicking, throwing things, biting,and pushing a sibling. The psychologists observed that the mother reinforced the childby giving him toys or food when he behaved badly. Her intention was to get him tostop misbehaving. Instead, she was rewarding him and thus reinforcing the misbehavior.The direct observation assessment lasted 16 hours, but without it the psychologistswould not have known exactly which undesirable behaviors to try to eliminate or whatreinforcers the child expected.
With a comprehensive direct-observation program, it is possible to plan a course ofbehavior modification. In this case, the psychologists instructed the mother to use atten-tion and approval as reinforcers when the child behaved in positive ways and never toreward him when he displayed one of the nine observed undesirable behaviors. The fre-quency of the undesirable behaviors, as determined in the direct observation assessment,provided a baseline against which to compare behavior during and after treatment.
Self-Reports of Behavior
Another approach to assessing behavior is the self-report technique carried out throughinterviews and questionnaires. The person observes his or her own behavior and reportson it. For example, a questionnaire may assess the extent of a person’s fear in situationssuch as driving a car, going to the dentist, or speaking in public. Questionnaires for asses-sing behavior are similar in format to self-report inventories that assess personality.
Physiological Measurements of Behavior
Physiological assessments of behavior include heart rate, muscle tension, and brainwaves. By recording such measurements, it is possible to evaluate the physiologicaleffects of various stimuli. The measures can also be used to confirm the accuracy ofinformation obtained by other assessment methods. For example, a person who is tooembarrassed to reveal in an interview or on a questionnaire a fear of being in an elevatormight exhibit a change in heart rate or muscle tension when asked about elevators.
Whatever assessment technique is chosen to assess behavior in different stimulussituations, the focus remains on what people do, not on what might have motivatedthem to do it. The ultimate goal is to modify behavior, not to change personality.
Research on Skinner’s Theory
As you can see, Skinner’s assessment methods differ radically from those used by othertheorists we have discussed. His research methods also diverged from mainstream exper-imental psychology. The usual procedure is to study large groups of animal or humansubjects and to statistically compare their average responses. In contrast, Skinner pre-ferred the intensive study of a single subject. He argued that data on the average perfor-mance of groups is of little value in dealing with a particular case. A science that dealswith averages provides little information to help in understanding the unique individual.
Skinner believed that valid and replicable results could be obtained without statisticalanalysis as long as sufficient data were collected from a single subject under well-controlled experimental conditions. The use of large groups of subjects forced the exper-imenter to deal with average behavior. The resulting data could not reflect individualresponse behavior and individual differences in behavior.
334 The Behavioral Approach
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Skinner and his followers conducted thousands of operant-conditioning experimentson topics such as reinforcement schedules, language acquisition, behavior shaping, super-stitious behavior, and behavior modification. The results have been highly supportive ofSkinner’s ideas.
Reflections on Skinner’s Theory
Skinner’s approach has been criticized on several points. Those who oppose determinismfind much to dislike in Skinner’s views. The humanistic psychologists, who believe thatpeople are more complex than machines or rats or pigeons, object to Skinner’s image ofhuman nature. They argue that the exclusive emphasis on overt behavior ignoresuniquely human qualities such as conscious free will.
There has been criticism of the type of subject and the simplicity of the situations inSkinner’s experiments. He made broad assertions and predictions about human behaviorand society—about social, economic, religious, and cultural issues—with considerableconfidence. But, some critics ask, can we extrapolate from a pigeon pecking at a disc toa person functioning in the real world? The gap seems too vast to permit broad general-izations. Many aspects of human behavior cannot be reduced meaningfully to the level atwhich Skinner conducted his research.
Skinner’s belief that all behaviors are learned was challenged by two of his former stu-dents who conditioned more than 6,000 animals of 38 different species to perform fortelevision commercials and tourist attractions. The animals included pigs, raccoons,chickens, hamsters, porpoises, whales, and cows. The animals displayed a tendencytoward instinctive drift by substituting instinctive behaviors for the behaviors that hadbeen reinforced, even when the instinctive behaviors interfered with receiving food.
In one example, pigs and raccoons were conditioned to pick up a coin, carry it somedistance, and deposit it in a toy bank (a piggy bank, of course). When the animals haddeposited a certain number of coins, they were given food as a reinforcer. They learnedthe desired behaviors quickly,
but after having performed the sequence nicely for some time, they began to engage in unde-sirable behaviors, at least from the viewpoint of the trainers. Pigs would stop on their way [tothe bank], bury the coin in the sand, and take it out with their snout; raccoons would spend alot of time handling the coin, with their well-known washing-like movements. This was at firstamusing, but eventually it became time-consuming and would make the whole show appearvery imperfect to the spectator. Commercially, it was a disaster. (Richelle, 1993, p. 68)
What had happened was that instinctive behavior, such as the pigs’ rooting in the dirtand the raccoons’ rubbing their paws as if washing their hands, came to take precedenceover the learned behavior, even though it meant a delay in receiving the reinforcement(the food). The trainers published an article on the phenomenon called “The Misbehav-ior of Organisms” (Breland & Breland, 1961). This was a parody of the title of Skinner’sgroundbreaking book, The Behavior of Organisms (1938), and it reportedly left Skinnerfeeling displeased (Gillaspy, 2009).
Skinner ignored most of the criticisms of his work. He told an interviewer about onecritic’s book review, “I read a bit of it and saw that he missed the point…. There arebetter things to do with my time than clear up their misunderstandings” (quotedin Rice, 1968). When asked how he dealt with being misunderstood so frequently, hesaid, “I find that I need to be understood only three or four times a year” (quoted inBlackman, 1995, p. 126).
Skinner was a potent force in 20th-century American psychology. He shaped the fieldperhaps more than any other individual. The Journal of the Experimental Analysis of
instinctive drift Thesubstitution of instinc-tive behaviors forbehaviors that hadbeen reinforced.
Chapter 12: B. F. Skinner: Reinforcement Theory 335
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Behavior, begun in 1958, publishes research on the behavior of individual subjects. In1968, the Journal of Applied Behavior Analysis was established as an outlet for work onbehavior-modification techniques.
The American Psychological Foundation awarded Skinner its Gold Medal, and theAmerican Psychological Association gave him the Distinguished Scientific Contribu-tion Award (1958). The citation reads: “Few American psychologists have had soprofound an impact on the development of psychology and on promising youngerpsychologists.”
Skinner’s first book on behaviorism, The Behavior of Organisms: An ExperimentalAnalysis (Skinner, 1938), was described as one of the few books to truly change thenature of the field (Thompson, 1988). Skinner also received the U.S. National Medalof Science and appeared on the cover of Time, headlined as the world’s most famousAmerican psychologist. His controversial 1971 book, Beyond Freedom and Dignity,became a best seller and made him a celebrity.
Skinner was, for a short period, the hottest item on national and big-city talk shows…. Withina month, millions of Americans had read or heard about B. F. Skinner and Beyond Freedomand Dignity. He was “completely swamped” by mail, telephone calls, and visits…. Strangersoften asked to shake his hand in restaurants. He had, as one writer noted, “acquired the celeb-rity of a movie or TV star.” (Bjork, 1993, p. 192)
Current Status
Although Skinner’s radical behaviorist position continues to be applied in laboratory,clinical, and organizational settings, its dominance has been challenged by the cogni-tive movement in psychology, which began in the 1960s. Skinner conceded that hisform of psychology lost ground to the cognitive approach. Other psychologistsagreed, noting that Skinnerian behaviorism had “fallen from favor among the major-ity of active workers in the field [and was] often referred to in the past tense” (Baars,1986, pp. viii, 1).
Despite the inroads of cognitive psychology, however, Skinner’s position remains influ-ential in many areas, from classrooms to assembly lines, from Skinner boxes to treatmentprograms for behavior disorders. Skinner believed that with operant conditioning heoffered a technique to improve human nature and the societies people design.
HIGHLIGHTS: Research on Skinner’s behaviorism has
found that
• The greater the reinforcement given during training, the more resistant isthe conditioned response to extinction
• Operant conditioning can shape most forms of behavior in humans andanimals
• Even a lobster can be conditioned• American major league baseball players engage in more superstitious
behaviors than Japanese players do• College students who measure high in self-control get better grades, are
better adjusted psychologically, and have higher self-esteem• Token economy programs have reduced aggressive acts by cognitively
impaired patients by as much as 79 percent
336 The Behavioral Approach
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Chapter Summary
Skinner denied the existence of an entity called person-ality and did not seek causes of behavior within theorganism. Mental and physiological processes are notovertly observable, so they have no relevance for sci-ence. The causes of behavior are external to the organ-ism. Behavior can be controlled by its consequences, bythe reinforcer that follows the behavior. Respondentbehavior involves a response elicited by specific envi-ronmental stimuli. Conditioning (respondent behaviorthat is learned) involves substituting one stimulus foranother.
Conditioning will not occur without reinforcement.Operant behavior is emitted and is determined andmodified by the reinforcer that follows it. Operantbehavior operates on the environment and changes it.Personality is simply a pattern of operant behaviors.Reinforcement schedules include fixed interval, fixedratio, variable interval, and variable ratio. Shaping (suc-cessive approximation) involves reinforcing the organ-ism only as its behavior comes to approximate thebehavior desired. Superstitious behavior results whenreinforcement is presented on a fixed- or variable-interval schedule. Whatever behavior is occurring atthe moment of reinforcement will come to be displayedmore frequently.
Self-control of behavior refers to altering or avoidingcertain external stimuli and reinforcers. Other self-control techniques are satiation, aversive stimulation,and self-reinforcement for displaying desirable behaviors.
Behavior modification applies operant-conditioningtechniques to real-world problems. Desirable behaviors
are positively reinforced; undesirable behaviors areignored. The token-economy approach rewards desir-able behaviors with tokens that can be used to acquireobjects of value. Behavior modification deals only withovert behavior and uses positive reinforcement, notpunishment. Negative reinforcement involves remov-ing an aversive or noxious stimulus. It is less effectivethan positive reinforcement.
Skinner’s image of human nature emphasizes deter-minism, uniqueness, the importance of the environ-ment, and the design of a society that maximizes theopportunity for survival. Although people are con-trolled by the environment, they can exert control bydesigning that environment properly.
Skinner assessed behavior (not personality) usingfunctional analyses to determine the frequency of thebehavior, the situation in which the behavior occurred,and the reinforcers associated with the behavior. Threeways to assess behavior are direct observation, self-report, and physiological measures.
Skinner’s system has considerable empirical supportbut has been criticized for its deterministic view, thesimplicity of the experimental situations, the lack ofinterest in behavior other than response rate, and thefailure to consider human qualities that set us apartfrom rats and pigeons. Skinner’s techniques for themodification of behavior using operant conditioningremain popular, but his behavioristic position hasbeen overtaken by the cognitive movement withinpsychology.
Review Questions
1. In what ways does Skinner’s approach to person-ality differ from other approaches we havediscussed?
2. How did Skinner justify the use of rats and pigeonsinstead of humans as subjects in the study ofbehavior?
3. How did Skinner’s childhood experiencesinfluence his later approach to studying behavior?
4. Distinguish between operant behavior andrespondent behavior. Give an example of each.
5. Describe Pavlov’s classical-conditioning experi-ment with dogs. How did Pavlov extinguish con-ditioned responses?
6. Distinguish between positive reinforcement, nega-tive reinforcement, and punishment.
7. In Skinner’s view, why is positive reinforcementmore effective than punishment in changingbehavior?
8. Explain the difference between the fixed-intervaland variable-interval schedules of reinforcement.
9. Which reinforcement schedule applies to the per-son who sells computer software on commission?Which schedule applies to the child who is allowedto have an ice-cream cone for good behavior onlyoccasionally?
Chapter 12: B. F. Skinner: Reinforcement Theory 337
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10. Explain how a complex behavior such as learningto speak is acquired through successiveapproximation.
11. Describe how you would use the method of suc-cessive approximation to train a dog to walk in acircle.
12. How does the notion of reinforcement account forthe acquisition of superstitious behaviors?
13. Explain the use of self-administered satiation ingetting rid of bad habits.
14. What are the techniques for the self-control ofbehavior?
15. Describe the token-economy approach to behaviormodification. Give an example.
16. Why did Skinner prefer to study the individualcase rather than groups of subjects?
17. What was Skinner’s position on the nature–nurture issue? On free will versus determinism?
18. What techniques do Skinner’s followers use toassess human behavior?
19. Discuss the impact of cognitive psychology onSkinnerian behaviorism.
20. In your opinion, what is the value of Skinnerianbehaviorism compared to the other approaches wehave discussed so far?
Suggested Readings
Antony, M., & Roemer, L. (2011). Behavior therapy.Washington, DC: American Psychological Associa-tion. A readable and concise overview of the historyand nature of behavior therapy, focusing on boththe theoretical and practical aspects.
Baumeister, R., & Tierney, J. (2012). Willpower: Redis-covery of the greatest human strength. New York:Penguin. Covers the current status of self-control inpsychology and in daily life—how to achieve andstrengthen it; reviews the extensive research on thetopic as well as real-world applications.
Miltenberger, R. (2015). Behavior modification: Princi-ples and procedures (6th ed.). San Francisco:Cengage. A textbook on behavior modification andthe wide range of applications in everyday situa-tions; everything you might need to know aboutbehavior modification and how to use it!
Nye, R. D. (1992). The legacy of B. F. Skinner: Conceptsand perspectives, controversies and misunderstand-ings. Pacific Grove, CA: Brooks/Cole. A primer onSkinner’s basic concepts and their relevance forbehavior in today’s world. Examines controversiesand misunderstandings surrounding Skinner’s viewsand compares his system with those of Freud andRogers.
O’Donohue, W., & Ferguson, K. E. (2001). The psy-chology of B. F. Skinner. Thousand Oaks, CA: Sage.Presents a clearly written and balanced look at thecontroversies surrounding Skinner’s work onbehaviorism, cognition, verbal behavior, and appliedbehavior analysis. Includes Skinner’s ideas forimproving society as a whole, as well as a briefbiography.
Pryor, K. (2006). Don’t shoot the dog: The new art ofteaching and training. (3rd ed.). Lydney, England:Ringpress Books. Shows the practical value ofbehavior-modification techniques in teaching dogs,children, students, and employees.
Skinner, B. F. (1948). Walden Two. New York: Mac-millan. Skinner’s novel about human values andconduct in a utopian society based on behavioristprinciples.
Skinner, B. F. (1976). Particulars of my life; (1979). Theshaping of a behaviorist; (1983). A matter of conse-quences. New York: Alfred A. Knopf. Skinner’sthree-volume autobiography.
Skinner, B. F. (1987). Upon further reflection.Englewood Cliffs, NJ: Prentice-Hall. Essays on cog-nitive psychology, verbal behavior, education, andself-management in old age.
338 The Behavioral Approach
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The Social-Learning Approach
The social-learning approach to personality, represented here by the work ofAlbert Bandura, is an outgrowth of, and rebellion against, Skinner’s behavioristapproach. Like Skinner, Bandura focused on overt behavior rather than on innerneeds, traits, drives, or defense mechanisms. Unlike Skinner, Bandura allowed forinternal cognitive variables that mediate between stimulus and response. ForBandura, the organism is not empty.
Bandura investigated cognitive variables with a high degree of experimentalsophistication and rigor, drawing inferences from careful observations of behav-ior in the laboratory. He observed the behavior of human subjects in social set-tings, whereas Skinner dealt with animal subjects in individual settings. Banduraagreed with Skinner that behavior is learned and that reinforcement is vital tolearning, but he differed from Skinner in his interpretation of the nature ofreinforcement.
Bandura and Skinner both attempted to understand personality through labo-ratory research rather than clinical work, but their principles have been widelyapplied in the clinical setting through behavior-modification techniques. BecauseBandura used cognitive variables, his work reflected and reinforced the cognitivemovement in psychology. His approach has also been called cognitive-behavioralin recognition of this emphasis.
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chapter 13Albert Bandura:Modeling Theory
Virtually everyphenomenon that occursby direct experience canoccur vicariously as well—by observing other peopleand the consequences forthem.
—Albert Bandura
Vicarious ReinforcementThe Role of Cognitive ProcessesA Less Extreme Form of Behaviorism
The Life of Bandura (1925–)Get Drunk or Go to SchoolFinding Psychology
Modeling: The Basis of Observational
LearningBobo the Inflatable DollOther Modeling StudiesDisinhibitionThe Effects of Society’s ModelsCharacteristics of the Modeling Situation
The Processes of Observational
LearningAttentional ProcessesRetention ProcessesProduction ProcessesIncentive and Motivational Processes
Self-Reinforcement and Self-EfficacySelf-ReinforcementSelf-Efficacy, or “Believing You Can”
Developmental Stages of Self-EfficacyChildhood
AdolescenceAdulthoodOld Age
Behavior ModificationFears and PhobiasAdvantages of Modeling TherapyAnxietyEthical Issues in Behavior Modification
Questions about Human Nature
Assessment in Bandura’s Theory
Research on Bandura’s TheorySelf-EfficacyCollective EfficacySelf-Efficacy and the InternetThe Relationship between Aggressive Behavior
and Televised and Online Violence
Reflections on Bandura’s TheoryThe Widespread Use of Role Models
Chapter Summary
Review Questions
Suggested Readings
Bandura agreed with Skinner that behavior is learned, but with that point their sim-ilarity ends. Bandura criticized Skinner’s emphasis on individual animal subjectsrather than on human subjects interacting with one another. Bandura’s approachis a social-learning theory that investigates behavior as it is formed and modifiedin a social context. He argued that we cannot expect data from experiments thatinvolve no social interaction to be relevant to the everyday, real world, becausevery few people live in social isolation.
FairUse
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Vicarious Reinforcement
Although Bandura agreed with Skinner that much learning takes place as a result of rein-forcement, he also stressed that virtually all forms of behavior can be learned withoutdirectly experiencing any reinforcement. Bandura’s approach is also called observationallearning, indicating the importance in the learning process of observing other people’sbehavior.
Rather than experiencing reinforcement ourselves for each of our actions, we learnthrough vicarious reinforcement by observing the behavior of other people and theconsequences of that behavior. This focus on learning by observation or example,rather than always by direct reinforcement, is a distinctive feature of Bandura’stheory.
The Role of Cognitive Processes
Another feature of Bandura’s observational-learning approach is its treatment of inter-nal cognitive or thought processes. Unlike Skinner, Bandura believed that cognitiveprocesses can influence observational learning. We do not automatically imitate thebehaviors we see other people displaying. Rather, we make a deliberate, consciousdecision to behave in the same way. To learn through example and vicarious rein-forcement we must be capable of anticipating and appreciating the consequences ofthe behaviors we observe.
We can regulate and guide our behavior by visualizing or imagining those conse-quences, even though we have not experienced them ourselves. No direct link existsbetween stimulus and response or between behavior and reinforcer, as Skinner proposed.Instead, our cognitive processes mediate between the two.
A Less Extreme Form of Behaviorism
Bandura presented a less extreme form of behaviorism than Skinner. He emphasizedthe observation of others as a means of learning, and he considered learning to bemediated by cognitive processes. His theory is based on rigorous laboratory researchwith normal people in social interaction rather than a rat in a cage or a neuroticperson on a couch.
The Life of Bandura (1925–)
Get Drunk or Go to School
Bandura was born in the province of Alberta, Canada, in a town so small that hishigh school had only two teachers and 20 students. His parents were immigrantsfrom Poland who emphasized the value of education. “You have a choice,” hismother told him when he was young. “You can work in the field and get drunk inthe beer parlor, or you might get an education” (quoted in Foster, 2007, p. 3). Hechose an education.
During the summer following his graduation from high school, he took a constructionjob in the wilderness of the Yukon Territory, filling holes in the Alaska Highway. It wasa unique experience for a bright, inquisitive young person.
Finding himself in the midst of a curious collection of characters, most of whom had fled cred-itors, alimony, and probation officers, Bandura quickly developed a keen appreciation for thepsychopathology of everyday life, which seemed to blossom in the austere tundra. (Distin-guished Scientific Contribution Award, 1981, p. 28)
observational learningLearning newresponses by observ-ing the behavior ofother people.
vicariousreinforcement Learn-ing or strengthening abehavior by observingthe behavior of others,and the consequencesof that behavior, ratherthan experiencing thereinforcement or con-sequences directly.
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Finding Psychology
He went to the University of British Columbia in Vancouver as an undergraduate andtook a course in psychology out of expediency. The carpool in which he commuted tothe campus every day included engineering and pre-med students, all of whom hadearly-morning classes. Psychology was also offered in that time period, and so Banduraenrolled in the course, not out of any real interest, but simply because it was a conve-nient time. He quickly found the material fascinating and went on to earn his Ph.D. in1952 from the University of Iowa.
After a year at the Wichita, Kansas, Guidance Center, he joined the faculty of Stan-ford University, where he began his new approach to psychology. Challenging the lead-ing position in the field (Skinner’s behaviorism) was a risky undertaking for a youngunknown psychologist. “When I began my career, more than half a century ago,” hewrote in 2011, “behaviorism had a stranglehold on the field of psychology. . . . It wasin this inhospitable conceptual climate that I launched a program of research on thedeterminants of observational learning” (Bandura, 2011).
He quickly became very successful and compiled an extensive record of publications.In 1973, only 21 years after getting his Ph.D., he was elected president of the AmericanPsychological Association. In 1980, he received its Distinguished Scientific ContributionAward and in 2006 was presented with the American Psychological Foundation’s GoldMedal Award for Life Achievement.
Bandura’s sense of humor has often been directed at himself. When he was once askedwhether he walked to his office every day or drove his car, he said, “Both, sometimes in thesame day.” Having driven to work, he would become so absorbed in his ideas that he wouldabsentmindedly walk home, leaving his car in the university parking lot.
LOG ON
Albert BanduraVarious sites provide biographical information, discussions of his theory, research on rel-evant concepts, and links to other resources.
Modeling: The Basis of Observational Learning
Bandura’s basic idea is that learning can occur through observation or example ratherthan solely by direct reinforcement. Bandura did not deny the importance of direct rein-forcement as a way to influence behavior, but he challenged the notion that behavior canbe learned or changed only through direct reinforcement. He argued that operant condi-tioning, in which trial-and-error behavior continues until the person happens upon thecorrect response, is an inefficient and potentially dangerous way to learn certain skillssuch as swimming or driving.
A person could drown or crash before finding the correct sequence of behaviors thatbrings positive reinforcement. To Bandura, most human behavior is learned throughexample, either intentionally or accidentally. We learn a wide and varied range of beha-viors in our daily lives by simply observing other people and patterning our behaviorafter theirs (see Gaskins & Paradise, 2010; Oates, 2012).
Bobo the Inflatable Doll
Through modeling, by observing the behavior of a model and repeating the behaviorourselves, it is possible to acquire responses that we have never performed or displayed
modeling A behavior-modification techniquethat involves observingthe behavior of others(the models) and par-ticipating with them inperforming the desiredbehavior.
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before and to strengthen or weaken existing responses. Bandura’s now-classic demon-stration of modeling involves the Bobo doll, an inflatable plastic figure about 4 feet tall(Bandura, Ross, & Ross, 1963).
In Bandura’s studies, preschool children watched an adult hit and kick Bobo. Whileattacking the doll, the adult model shouted, “Sock him in the nose!” and “Throw him inthe air!” When the children were left alone with the doll, they modeled their behaviorafter the example they had just witnessed. Their behavior was compared with that of acontrol group of children who had not seen the model attack the Bobo doll. The experi-mental group was found to be twice as aggressive as the control group.
The intensity of the aggressive behavior remained the same in the experimental sub-jects whether the model was seen live, on television, or as a cartoon character. The effectof the model in all three media was to elicit aggressive behavior that was not displayedwith the same strength by children who had not seen the models.
Other Modeling Studies
In his early research on the impact of modeling on learning, Bandura compared thebehavior of parents of two groups of children (Bandura & Walters, 1963). One groupconsisted of highly aggressive children, the other of more inhibited children. Accordingto Bandura’s theory, the children’s behavior should reflect their parents’ behavior. Theresearch showed that the parents of the inhibited children were inhibited, and the par-ents of the aggressive children were aggressive. The children had modeled their behavioron the examples provided by their parents.
Verbal modeling can induce certain behaviors, as long as the activities involved arefully and adequately explained. Verbal modeling is often used to provide instructions, atechnique applicable to teaching such skills as driving a car. Verbal instructions are usu-ally supplemented by behavioral demonstrations, such as when a driving instructorserves as a model performing the behaviors involved in driving.
In the Bobo doll studies, children exhibited aggressive behavior after observing an aggressive model.
Courtesy
ofDr.AlbertBandura,Stanford
University
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Disinhibition
Research has shown that behaviors a person usually suppresses or inhibits may be per-formed more readily under the influence of a model (Bandura, 1973, 1986). This phe-nomenon, called disinhibition, refers to the weakening of an inhibition or restraintthrough exposure to a model. For example, people in a crowd may start a riot, breakingwindows and shouting, exhibiting physical and verbal behaviors they would never per-form when alone. They are more likely to discard their inhibitions against aggressivebehavior if they see other people around them doing so.
The disinhibition phenomenon can influence sexual behavior. In an experiment thatdemonstrated how sexual responses could be disinhibited by models, a group of maleundergraduate college students was shown a film that contained erotic pictures of nudemales and females (Walters, Bowen, & Parke, 1963). The students were told that a spotof light would move over the film, indicating the eye movements of a previous subject, toshow what parts of the pictures that subject looked at. Those alleged eye movements ofthe previous subject represented the model. For half the subjects, the spot of light con-centrated on breasts and genitals. For the other half, the light stayed in the background,as though the model had avoided looking at the naked bodies.
After watching the film, the students were shown stills from the movie while theireye movements were recorded. Those subjects whose model was considereduninhibited (who had looked directly at the erotic parts of the bodies) behaved in thesame way. Those whose model had avoided looking at the nudes spent significantly moretime examining the background of the pictures. The researchers concluded that modelingaffected the subjects’ perceptual responses to the stimuli. In other words, modeling deter-mined not only what the subjects did but also what they looked at and perceived.
Trolling Posting comments online following the example or model of others offersthe same anonymity as being in a large crowd. This can lead to an online form of disin-hibition known as trolling—the posting of inflammatory, derogatory, or hateful messagesabout a person or a group. Some adolescents have been driven to suicide by the crueland widespread comments directed at them by name (Zhuo, 2010).
Research on frequent video gamers found that those most into trolling were youngerand male. The reasons they gave for trolling were varied. Some did it for deliberaterevenge on someone else, while others trolled simply because they were bored, andothers out of amusement with no other purpose in mind (Thacker & Griffiths, 2012).
The good news is that the disinhibition effect seems to decline with age. A study ofyoung Americans ages 18 to 25 showed that disinhibition was strong among the 18- to19-year-olds but greatly reduced among the 22- to 25-year-olds (Vaidya, Latzman,Markon, & Watson, 2010).
The Effects of Society’s Models
On the basis of his extensive research, Bandura concluded that much of our behavior—good and bad, normal and abnormal—is learned by imitating the behavior of otherpeople. From infancy on, we develop responses to the models our society offers us.Beginning with parents as models, we learn their language and become socialized bythe culture’s customs and acceptable behaviors. People who deviate from culturalnorms have learned their behavior the same way as everyone else. The difference is thatdeviant individuals have followed models the rest of society considers undesirable.
Bad Models Bandura was an outspoken critic of the type of society that providesthe wrong models for its children, particularly the examples of violent behavior that are
disinhibition Theweakening of inhibi-tions or constraints byobserving the behaviorof a model.
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standard fare on television and in movies and video games. His research clearly showsthe effect of models on behavior. If what we see is what we become, then the distance betweenwatching an aggressive animated character and committing a violent act ourselves is notvery great.
Among the many behaviors children acquire through modeling are non-rational fears.A child who sees that his or her parents are fearful during thunderstorms or are nervousaround strangers will easily adopt these anxieties and carry them into adulthood withlittle awareness of their origin. Of course, positive behaviors such as strength, courage,and optimism will also be learned from parents and other models. In Skinner’s system,reinforcers control behavior; for Bandura, it is the models who control behavior.
Characteristics of the Modeling Situation
Bandura and his associates (Bandura, 1977, 1986) investigated three factors found toinfluence modeling:
• the characteristics of the models• the characteristics of the observers• the reward consequences associated with the behaviors
Characteristics of the models
Models Who Are Like Us The characteristics of the models affect our tendency to imi-tate them. In real life, we may be more influenced by someone who appears to be similarto us than by someone who differs from us in obvious and significant ways. In the labo-ratory, Bandura found that although children imitated the behavior of a child model inthe same room, a child in a film, and a filmed cartoon character, the extent of themodeling decreased as the similarity between the model and the subject decreased.
The children showed greater imitation of a live model than an animated character,but even in the latter instance the modeled behavior was significantly greater than thatof the control group that observed no models.
Age and Sex of Models Other characteristics of the model that affect imitation are ageand sex. We are more likely to model our behavior after a person of the same sex than aperson of the opposite sex. Also, we are more likely to be influenced by models our ownage. Peers who appear to have successfully solved the problems we are facing are highly influ-ential models.
Status of Models Status and prestige are also important factors. For example, pedes-trians are much more likely to cross a street against a red light if they see a well-dressed person crossing than if they see a poorly dressed person crossing. Televisioncommercials make effective use of high-status, high-prestige models with athletes orcelebrities who claim to use a particular product. The expectation is that consumerswill imitate their behavior and buy the advertised product.
Type of Behavior Displayed by Models The type of behavior the model performsaffects the extent of imitation. Highly complex behaviors are not imitated as quicklyand readily as simpler behaviors. Hostile and aggressive behaviors tend to be stronglyimitated, especially by children.
In one study, infants as young as 16 months learned to imitate the behavior of amodel using a tool, but only if they had been previously shown the object or purposeof using the tool. They successfully imitated the behavior of a model using a rake afterthey had been shown the use of the rake in retrieving a toy that was out of their reach(Esseilly, Rat-Fischer, O’Regan, & Fagard, 2013).
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Research on American college students found that those who had observed a positiverelationship between a caregiver and a child successfully modeled that behavior in theirongoing romantic relationships (Kuhn & Kinsky, 2013).
Size and Weight of Models The size and weight of a model can also influence behav-ior. A study of 9th- and 10th-grade students in Canada found that those who attended aschool where the older students tended to be overweight, even obese, gained more weightthan students who attended a school where the older students were not overweight(Leatherdale & Papadakis, 2011).
Characteristics of the observers
Age of Observers In infancy, modeling is limited to immediate imitation. Infants havenot yet developed the cognitive capacities (the imaginal and verbal representational sys-tems) needed to imitate a model’s behavior some period of time after observing it. Ininfancy, it is necessary for the modeled behavior to be repeated several times after theinfant’s initial attempt to duplicate it. Also, the modeled behavior must be within theinfant’s range of sensorimotor development. By about age 2, children have developed suffi-cient attentional, retention, and production processes to begin imitating behavior sometime after the observation rather than immediately.
Children tend to imi-tate the behavior ofan adult model of thesame sex who isconsidered high instatus.
selim
aksan/iStockphoto.com
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The behaviors we find reinforcing, and thus choose to imitate, will change with age.Younger children are reinforced primarily by physical stimuli such as food, affection, orpunishment. Older children associate positive physical reinforcers with signs of approvalfrom significant models and unpleasant reinforcers with signs of disapproval. Eventuallythese rewards or punishments become self-administered.
Attributes of the Observers The attributes of the observers also determine the effec-tiveness of observational learning. People who are low in self-confidence and self-esteem are much more likely to imitate a model’s behavior than are people high inself-confidence and self-esteem. A person who has been reinforced for imitating abehavior—for example, a child rewarded for behaving like an older sibling—is more sus-ceptible to the influence of models than a child who has not been so reinforced.
The reward consequences associated with the behaviors The reward conse-quences linked to a particular behavior can affect the extent of the modeling and even over-ride the impact of the characteristics of the models and the observers. A high-status modelmay lead us to imitate a certain behavior, but if the rewards are not meaningful to us, wewill discontinue the behavior and be less likely to be influenced by that model in the future.
Seeing a model being rewarded or punished for displaying a particular behavior affectsimitation. In a Bobo doll study, some of the children watched as the model who hit the Bobodoll was given praise and a soda and candy. Another group of children saw the modelreceive verbal and physical punishment for the same aggressive behavior. The childrenwho observed the punishment displayed significantly less aggression toward the Bobo dollthan did the children who saw the model being reinforced (Bandura, 1965).
The Processes of Observational Learning
Bandura analyzed the nature of observational learning and found it to be governed byfour related mechanisms: attentional processes, retention processes, production pro-cesses, and incentive and motivational processes (see Table 13.1).
Attentional Processes
Observational learning or modeling will not occur unless the subject pays attention tothe model. Merely exposing the subject to the model does not guarantee that the subjectwill be attentive to the relevant cues and stimulus events or even perceive the situationaccurately. The subject must perceive the model accurately enough to acquire the infor-mation necessary to imitate the model’s behavior.
Several variables influence attentional processes. In the real world, as in the laboratory,we are more attentive and responsive to some people and situations than to others. Thus,the more closely we pay attention to a model’s behavior, the more likely we are to imitate it.
We mentioned such characteristics as age, status, sex, and the degree of similaritybetween model and subject. These factors help determine how closely a subject attendsto the model. It has also been found that celebrity models, experts, and those who appearconfident and attractive command greater attention and imitation than models who lackthese attributes. Some of the most effective models in American culture today appear ontelevision, YouTube, and other online sites. Viewers often focus on them even in theabsence of reinforcement.
Attention to modeled behavior varies as a function of the observers’ cognitive and per-ceptual skills and the value of the behavior being modeled. The more highly developed areour cognitive abilities and the more knowledge we have about the behavior being modeled,the more carefully we will attend to the model and perceive the behavior.
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When observers watch a model doing something they expect to do themselves, theypay greater attention than when the modeled behavior has no personal relevance. Obser-vers also pay closer attention to modeled behavior that produces positive or negativeconsequences rather than neutral outcomes.
Retention Processes
We must be able to remember significant aspects of the model’s behavior in order torepeat it later. To retain what has been attended to, we must encode it and represent itsymbolically. We can retain information about a model’s behavior in two ways: throughan imaginal internal representational system or through a verbal system. In the imaginalsystem, we form vivid, easily retrievable images while we are observing the model.
This common phenomenon accounts for your being able to summon up a picture ofthe person you dated last week or the place you visited last summer. In observationallearning, we form a mental picture of the model’s behavior and use it as a basis for imi-tation at some future time.
The verbal representational system operates similarly and involves a verbal coding ofsome behavior we have observed. For example, during observation we might describe toourselves what the model is doing. These descriptions or codes can be rehearsed silently,without overtly displaying the behavior.
For example, we might talk ourselves through the steps in a complicated skill, men-tally rehearsing the sequence of behaviors we will perform later. When we wish to per-form the action, the verbal code will provide hints, reminders, and cues. Together, theseimages and verbal symbols offer the means by which we store observed situations andrehearse them for later performance.
Production Processes
Translating imaginal and verbal symbolic representations into overt behavior requiresthe production processes, described more simply as practice. Although we may have
TABLE 13.1 Observational learning processes
Attentionalprocesses
Developing our cognitive processes and perceptual skills so that we canpay sufficient attention to a model, and perceiving the model accuratelyenough, to imitate displayed behavior. Example: Staying awake duringdriver’s education class.
Retention processes Retaining or remembering the model’s behavior so that we can imitate orrepeat it at a later time; for this, we use our cognitive processes to formmental images and verbal descriptions of the model’s behavior. Example:Taking notes on the lecture material or the video of a person driving a car.
Productionprocesses
Translating the mental images or verbal symbolic representations of themodel’s behavior into our own overt behavior by physically producingthe responses and receiving feedback on the accuracy of our continuedpractice. Example: Getting in a car with an instructor to practice shiftinggears and dodging the traffic cones in the school parking lot.
Incentive and moti-vational processes
Perceiving that the model’s behavior leads to a reward and thusexpecting that our learning—and successful performance—of the samebehavior will lead to similar consequences. Example: Expecting thatwhen we have mastered driving skills, we will pass the state test andreceive a driver’s license.
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attended to, retained, and rehearsed symbolic representations of a model’s behavior, westill may not be able to perform the behavior correctly. This is most likely to occur withhighly skilled actions that require the mastery of many component behaviors.
Consider learning how to drive a car. We learn fundamental motions from watching amodel drive. We may consider the symbolic representations of the model’s behaviormany times, but at first our translation of these symbols into actual driving behaviorwill be clumsy. We may apply the brakes too soon or too late, or overcorrect the steer-ing. Our observations may not have been sufficient to ensure immediate and skilled per-formance of the actions. Practice of the proper physical movements, and feedback ontheir accuracy, is needed to produce the smooth performance of the behavior.
Incentive and Motivational Processes
No matter how well we attend to and retain behaviors we observe or how much ability wehave to perform them, we will not do so without the incentive or motivation processes.When incentives are available, observation is more quickly translated into action. Incentivesalso influence the attentional and retention processes. We may not pay as much attentionwithout an incentive to do so, and when less attention is paid, there is less to retain.
Anticipation of Reinforcement Our incentive to learn is influenced by our antici-pation of the reinforcement or punishment for doing so. Seeing that a model’s behaviorproduces a reward or avoids a punishment can be a strong incentive for us to pay atten-tion to, remember, and perform that same behavior correctly. The reinforcement is expe-rienced vicariously during our observation of the model, after which we expect ourperformance of the same behavior to lead to the consequences we saw.
Reinforcement Is Not Always Necessary Bandura also pointed out that althoughreinforcement can facilitate learning, reinforcement is not always required for learningto occur. Many factors other than the reward consequences of the behavior determinewhat we attend to, retain, and rehearse. For example, loud sounds, bright lights, andexciting videos may capture our interest even though we may not have received any rein-forcement for paying attention to them.
Bandura’s research showed that children watching a model on television or in a videogame imitate the model’s behavior regardless of whether they have been promised areward. Therefore, reinforcement can assist in modeling but is not vital to it. When rein-forcement does occur, it can be given by another person, experienced vicariously, oradministered by oneself.
Self-Reinforcement and Self-Efficacy
In Bandura’s approach to personality, the self is not some psychic agent that determinesor causes behavior. Rather, the self is a set of cognitive processes and structures con-cerned with thought and perception. Two important aspects of the self are self-reinforcement and self-efficacy.
Self-Reinforcement
Self-reinforcement is as important as reinforcement administered by others, particularlyfor older children and adults. We set personal standards of behavior and achievement.We reward ourselves for meeting or exceeding these expectations and standards, andwe punish ourselves for our failures. Self-administered reinforcement can be tangiblesuch as buying yourself a new pair of gym shoes or a car, or it can be emotional suchas pride or satisfaction from a job well done.
self-reinforcementAdministering rewardsor punishments tooneself for meeting,exceeding, or fallingshort of one’s ownexpectations orstandards.
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Self-administered punishment can be expressed in feelings of shame, guilt, or depressionabout not behaving the way we wanted to. Self-reinforcement appears conceptually similarto what other theorists call conscience or superego, but Bandura denies that it is the same.
A continuing process of self-reinforcement regulates much of our behavior. It requiresinternal standards of performance, subjective criteria or reference points against whichwe evaluate our behavior. Our past behavior may become a reference point for evaluat-ing present behavior and an incentive for better performance in the future. When wereach a certain level of achievement, it may no longer challenge, motivate, or satisfy us,so we raise the standard and require more of ourselves. Failure to achieve may result inlowering the standard to a more realistic level.
Unrealistic Performance Standards People who set unrealistic performancestandards—who observed and learned behavioral expectations from unusually talentedand successful models, for example—may continue to try to meet those excessively highexpectations despite repeated failures. Emotionally, they may punish themselves withfeelings of worthlessness and depression. These self-produced feelings can lead to self-destructive behaviors such as alcohol and drug abuse or a retreat into a fantasy world.
We learn our initial set of internal standards, whether realistic or not, from the behav-ior of models, typically our parents and teachers. Increasingly, however, we are learningperformance standards from online sources such as celebrity blogs and social media sites.Once we adopt a given style of behavior, we begin a lifelong process of comparing ourbehavior with theirs.
Self-Efficacy, or “Believing You Can”
How well we meet our behavioral standards determines our self-efficacy. In Bandura’ssystem, self-efficacy refers to feelings of adequacy, efficiency, and competence in copingwith life. Meeting and maintaining our performance standards enhances self-efficacy;failure to meet and maintain them reduces it (Bandura, 2012, 2013).
Another way Bandura described self-efficacy was in terms of our perception of thecontrol we have over our lives.
People strive to exercise control over events that affect their lives. By exerting influence inspheres over which they can command some control, they are better able to realize desiredfutures and to forestall undesired ones. The striving for control over life circumstances perme-ates almost everything people do. (Bandura, 1995, p. 1)
Another psychologist defined self-efficacy quite simply and effectively as the “powerof believing you can,” and added that “believing that you can accomplish what youwant to accomplish is one of the most important ingredients … in the recipe for success”(Maddux, 2002, p. 277). Thus, believing that you have the ability to be successfulbecomes a powerful asset as you strive for achievement.
Low and High Self-Efficacy People low in self-efficacy feel helpless, unable to exer-cise control over life events. They believe any effort they make is futile. When theyencounter obstacles, they quickly give up if their initial attempt to deal with a problemdid not work. People who are extremely low in self-efficacy will not even attempt to copebecause they are convinced that nothing they do will make a difference. Why, they ask,should they even try? Low self-efficacy can destroy motivation, lower aspirations, inter-fere with cognitive abilities, and adversely affect physical health.
People high in self-efficacy believe they can deal effectively with events and situations.Because they expect to succeed in overcoming obstacles, they persevere at tasks and oftenperform at a high level. These people have greater confidence in their abilities than do
self-efficacy Ourfeeling of adequacy,efficiency, and compe-tence in coping withlife.
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those who are low in self-efficacy, and they express little self-doubt. They view difficultiesas challenges instead of threats and actively seek novel situations. High self-efficacyreduces fear of failure, raises aspirations, and improves problem solving and analyticalthinking abilities.
Sources of information about self-efficacy Our judgment about our self-efficacy isbased on the following four sources of information:
• performance attainment• vicarious experiences• verbal persuasion• physiological and emotional arousal
Performance Attainment The most influential source of efficacy judgments is perfor-mance attainment. Previous success experiences provide direct indications of our levelof mastery and competence. Prior achievements demonstrate our capabilities andstrengthen our feelings of self-efficacy. Prior failures, particularly repeated failures inchildhood, lower self-efficacy.
An important indicator of performance attainment is getting feedback on one’s per-formance on a task, such as a work assignment or a classroom quiz. One study of collegestudents performing complicated puzzles found that those who received positive feed-back on their performance reported higher levels of perceived competence at that taskthan did those who received negative feedback (Elliot, Faler, McGregor, Campbell, Sedi-kides, & Harackiewicz, 2000). Older adults who completed a six-month training programin the Chinese art of Tai Chi reported significant increases in feelings of self-efficacy ascompared to those who did not undertake the training (Li, McAuley, Harmer, Duncan,& Chaumeton, 2001).
Female college students who completed a 16-hour physical self-defense trainingcourse showed significantly higher levels of self-efficacy in a variety of areas includingphysical competence, general coping skills, and interpersonal assertiveness. A controlgroup that had not taken the self-defense course showed no change in self-efficacy (Wei-tlauf, Cervone, Smith, & Wright, 2001). Thus, put simply, the more we achieve, the morewe believe we can achieve, and the more competent and in control we feel.
Vicarious Experiences Vicarious experiences—seeing other people performsuccessfully—strengthen self-efficacy, particularly if the people we observe are similar tous in their abilities. In effect, we are saying, “If they can do it, so can I.” In contrast,seeing others fail can lower self-efficacy: “If they can’t do it, neither can I.” Therefore,effective models are vital in influencing our feelings of adequacy and competence.These models also show us appropriate strategies for dealing with difficult situations.
Verbal Persuasion Verbal persuasion, which involves simply reminding people thatthey have the ability to achieve whatever they want to achieve, can enhance self-efficacy. This may be the most common of the four informational sources and one fre-quently used by parents, teachers, spouses, coaches, friends, and therapists who say, ineffect, “You can do it.” To be effective, verbal persuasion must be realistic. It is probablynot the best advice to encourage someone 5 feet tall to play professional basketball whenother sports, such as martial arts, might be more appropriate.
Physiological and Emotional Arousal The fourth and final source of informationabout self-efficacy is physiological and emotional arousal. How fearful or calm do wefeel in a stressful situation? We often use this type of information as a basis for judgingour ability to cope. We are more likely to believe we will master a problem successfully if
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we are not agitated, tense, or bothered by headaches. The more calm and composed wefeel, the greater our self-efficacy. The higher our level of physiological and emotionalarousal, the lower our self-efficacy. The more fear, anxiety, or tension we experience ina given situation, the less we feel able to cope.
Ways of Increasing Self-Efficacy Bandura concluded that certain conditionsincrease self-efficacy:
1. Exposing people to success experiences by arranging reachable goals increases per-formance attainment.
2. Exposing people to appropriate models who perform successfully enhances vicarioussuccess experiences.
3. Providing verbal persuasion encourages people to believe they have the ability toperform successfully.
4. Strengthening physiological arousal through proper diet, stress reduction, and exer-cise programs increases strength, stamina, and the ability to cope.
Bandura applied these conditions to enhance self-efficacy in a variety of situations. Hehas helped subjects learn to play musical instruments, relate better to people of the oppo-site sex, master computer skills, give up cigarette smoking, and conquer phobias andphysical pain.
LOG ON
Self EfficacyVarious sites provide definitions, discussions of research results, and self-tests to deter-mine your level of self-efficacy.
Developmental Stages of Self-Efficacy
Childhood
Self-efficacy develops gradually over time. Infants begin to develop self-efficacy as theytry to exercise greater influence over their physical and social environments. They learnabout the consequences of their own abilities such as their physical prowess, social skills,and language competence. These abilities are in almost constant use acting on the envi-ronment, primarily through their effects on parents. Ideally, parents are responsive totheir growing child’s activities and attempts to communicate, and will provide stimulat-ing surroundings that permit the child the freedom to grow and explore.
These early efficacy-building experiences are centered on the parents. Parental beha-viors that lead to high self-efficacy in children differ for boys and girls. High self-efficacymen tend to have had, when they were children, warm relationships with their fathers.Mothers were more demanding than fathers, expecting higher levels of performance andachievement. In contrast, high self-efficacy women experienced, as children, pressurefrom their fathers for high achievement (Schneewind, 1995).
Reduction of Parental Influence The significance of parental influence diminishes asthe child’s world expands and admits additional models such as siblings, peers, and otheradults. Like Adler, Bandura considered birth order within the family to be important. Heargued that first-born children and only children have different bases for judging theirown abilities than do later-born children.
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Also, siblings of the same sex are likely to be more competitive than are siblings of theopposite sex, a factor also related to the development of self-efficacy. Among playmates,children who are the most experienced and successful at tasks and games serve as high-efficacy models for other children. Peers provide comparative reference points forappraising one’s own level of achievement.
Teachers influence self-efficacy judgments through their impact on the developmentof cognitive abilities and problem-solving skills, which are vital to efficient adult func-tioning. Children often rate their own competence in terms of their teachers’ evaluationsof them. In Bandura’s view, schools that use ability groupings undermine self-efficacyand self-confidence in students who are assigned to the lower groups. Competitive prac-tices such as grading on a curve also doom poor achievers to average or low grades.
Adolescence
The transitional experiences of adolescence involve coping with new demands and pressures,from a growing awareness of sex to the choice of college and career. Adolescents must estab-lish new competencies and appraisals of their abilities. Bandura noted that the success of thisstage typically depends on the level of self-efficacy established during the childhood years.
Adulthood
Bandura divided adulthood into two periods: young adulthood and the middle years.Young adulthood involves new adjustments such as marriage, parenthood, and tryingto establish a career. High self-efficacy is necessary for successful outcomes of theseexperiences. People low in self-efficacy will not be able to deal adequately with thesesituations and are likely to fail to adjust.
Women who feel high in self-efficacy about their parenting skills are likely to promoteself-efficacy in their children. Women who believe they are good parents are less subjectto despondency and emotional strain in their role as a parent than are women low inself-efficacy (Olioff & Aboud, 1991; Teti & Gelfand, 1991). High self-efficacy motherswho worked outside the home experienced significantly less physical and emotionalstrain from work–family conflicts than did women low in self-efficacy (Bandura, 1995).
The middle years of adulthood are also stressful as people reevaluate their careers andtheir family and social lives. As we confront our limitations and redefine our goals, wemust reassess our skills and find new opportunities for enhancing our self-efficacy.
Old Age
Self-efficacy reassessments in old age are difficult. Declining mental and physical abilities,retirement from active work, and withdrawal from social life may force a new round ofself-appraisal. A lowering of self-efficacy can further affect physical and mental function-ing in a kind of self-fulfilling prophecy. For example, reduced self-confidence about sex-ual performance can lead to a reduction in sexual activity.
Lower physical efficacy can lead to fatigue and a curtailing of physical activities. If weno longer believe we can do something we used to enjoy and do well, then we may nolonger even try to do it as we get older. To Bandura, self-efficacy is the single mostimportant factor in determining success or failure throughout the entire life span.
Behavior Modification
Bandura’s goal in developing his social-cognitive theory was to modify or change thoselearned behaviors that society considers undesirable or abnormal. Like Skinner’sapproach to therapy, Bandura focused on external aspects, those inappropriate or
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destructive behaviors, in the belief that they are learned, just as all behaviors are learned.Bandura did not attempt to deal with any supposed underlying unconscious conflicts. Itis the behavior or symptom, rather than any presumed internal neurosis that is the targetof the social-learning approach.
Bandura developed three forms of behavior therapy: modeling, guided participation,and covert modeling. We shall see examples of these approaches in dealing with fears,phobias, and anxieties.
Fears and Phobias
If modeling is the way we learn our behaviors originally, then it should also be an effec-tive way to relearn or change behavior. Bandura applied modeling techniques to elimi-nate fears and other intense emotional reactions. In one early study, children who wereafraid of dogs observed a child of the same age playing with a dog (Bandura, Grusec, &Menlove, 1967). While the subjects watched from a safe distance, the model made pro-gressively bolder movements toward the dog. The model petted the dog through the barsof a playpen, then went inside the pen and played with the dog. The observers’ fear ofdogs was considerably reduced as a result of this observational learning situation.
In a classic study of snake phobia, Bandura and his associates eliminated an intense fearof snakes in adults (Bandura, Blanchard, & Ritter, 1969). The subjects watched a film inwhich children, adolescents, and adults made progressively closer contact with a snake. Atfirst, the filmed models handled plastic snakes, then touched live snakes, and finally let alarge snake crawl over their body. The phobic subjects were allowed to stop the film when-ever the scenes became too threatening. Gradually, their fear of snakes was overcome.
The technique called guided participation involves watching a live model and then par-ticipating with the model. For example, to treat a snake phobia, subjects watch through anobservation window while a live model handles a snake. The subjects then enter the roomwith the model and observe the handling of the snake at close range. Wearing gloves, sub-jects are coaxed into touching the middle of the snake while the model holds the head andtail. Subjects eventually come to touch the snake without gloves.
Modeling has been shown to be effective even in the absence of an observable model.In covert modeling, subjects are instructed to imagine a model coping with a feared orthreatening situation; they do not actually see a model. Covert modeling has been usedto successfully treat snake phobias and social inhibitions.
You may not think that a fear of snakes is so terrible, but overcoming this fear hasbrought about significant changes in many people’s lives, even for those who neverencounter snakes. In addition to bolstering self-esteem and self-efficacy, eliminating asnake phobia can alter personal and work habits. A woman was able to wear a necklacefor the first time after modeling therapy. Previously she had not been able to do so becausenecklaces reminded her of snakes. A realtor treated successfully for snake phobia was ableto increase his income because he no longer feared visiting properties in rural areas. Manyother phobics treated by modeling therapy were freed from nightmares about snakes.
Phobias restrict our daily lives. For example, many people who fear spiders react withrapid heartbeat, shortness of breath, and vomiting just from seeing a picture of a spider.Phobics doubt their self-efficacy in these fear-provoking situations and have little confi-dence in their ability to deal with the source of the phobia. To relieve people of thesefears greatly expands their environment and increases their self-efficacy.
Advantages of Modeling Therapy
Modeling therapy, particularly using online video techniques, offers several practicaladvantages. Complex behaviors can be seen as a whole. Extraneous behaviors can be
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edited out so that the subject’s time is spent viewing only relevant behaviors. The samevideos can be repeated with many patients and used by a number of therapists simulta-neously. Modeling techniques can also be used with groups, saving time and money intreating people with the same problem.
This approach has been effective with phobias, obsessive-compulsive disorders, andsexual dysfunction. The positive effects have been reported to last for years. Considerableresearch has been conducted on self-efficacy during and after behavior modificationtherapy. The results have shown that as the subjects’ self-efficacy improved during treat-ment, they were increasingly able to deal with the source of the fear. It was the therapeu-tic procedure itself that enhanced self-efficacy.
Anxiety
We noted that many behaviors can be modified through the modeling approach. We willconsider two instances: fear of medical treatment and test anxiety.
Fear of medical treatment Some people have such an intense fear of medical situa-tions that they are prevented from seeking treatment. One early study dealt with childrenwho were scheduled for surgery and had never been in a hospital before. They weredivided into two groups: an experimental group that watched a film about a boy’s expe-rience in the hospital and a control group that saw a film about a boy taking a trip(Melamed & Siegel, 1975).
The child in the hospital film was an exemplary model. Despite some initial anxiety,he coped well with the doctors and the medical procedures. The modeling film was effec-tive in reducing anxiety. In addition, those who had seen the hospital film had fewerbehavior problems after hospitalization than did those in the control group.
Similar procedures have been used to reduce fear of hospitalization in adults as wellas fear of dental treatment. One study involved a medical procedure considered so stress-ful that more than 80 percent of patients initially refused to undergo it or quit it prema-turely (Allen, Danforth, & Drabman, 1989). Those who watched a video of a modelhaving the procedure and describing how he coped with his distress were more likelyto complete the treatment with less anxiety and a shorter hospital stay.
Test anxiety For some college students, test anxiety is so serious a problem that theirexam scores do not accurately reflect their knowledge of the material being tested. In a clas-sic research study, a sample of college students was divided into groups based on their per-sonality test scores: those high in test anxiety and those low in test anxiety (Sarason, 1975).
Some of the students saw a filmed model talking about her anxiety when taking testsand her ways of dealing with it. Other students saw a film of the same model who talkedabout test anxiety but not about coping mechanisms. Under a third condition, studentswatched the filmed model talking about other college activities.
Then the subjects were given a list of nonsense syllables to memorize and were testedon their ability to recall them. The results showed that subjects high in test anxiety weremost strongly affected by the model who talked about coping mechanisms. They per-formed significantly better on the recall test than did high-anxiety subjects who hadbeen exposed to the other two conditions.
Ethical Issues in Behavior Modification
Although the results of behavior modification are impressive, the techniques have drawncriticism from some educators, politicians, and even psychologists. They suggest thatbehavior modification exploits people, manipulating and controlling them against theirwill. Bandura argued that these charges are misleading. Behavior modification does not
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occur without the client’s awareness. Indeed, self-awareness and self-regulation are vital forthe effectiveness of any program to change or relearn behaviors. In other words, behavior-modification techniques will not be successful unless the person is able to understand whatbehaviors are being reinforced. They are not being treated against their will.
Further, the clients themselves decide what they want to change. They are not beingcontrolled by anyone else. People come to a therapist to eliminate specific fears and anx-ieties that inhibit their ability to function or to cope with daily life. Bandura noted thatthe client–therapist relationship is a contract between two consenting individuals, not arelationship between a sinister master-controller and a spineless puppet.
Bandura also explained that far from manipulating or enslaving, modeling techniquesactually increase personal freedom. People who are afraid to leave the house or who havea compulsion to wash their hands continually are not truly free. They are living withinthe constraints imposed by their phobic or compulsive behavior. Those constraints allowlittle choice. Removing the constraints through behavior-modification techniques canincrease our feelings of freedom and the opportunity for personal growth.
Many such techniques have derived from Bandura’s work and are popular alternativesto psychoanalysis and other therapeutic approaches.
Questions about Human Nature
Bandura’s position is clear on the issue of free will versus determinism. Behavior is con-trolled by the person through the cognitive processes, and by the environment throughexternal social situations. Bandura calls this view reciprocal determinism. He noted thatpeople are neither “powerless objects controlled by environmental forces nor free agentswho can become whatever they choose. Both people and their environments are recipro-cal determinants of each other” (1977, p. vii).
Assessment in Bandura’s Theory
Like Skinner, Bandura focused on overt behavior rather than on internal motivating vari-ables. He did not use assessment measures such as free association, dream analysis, orprojective techniques. Unlike Skinner, Bandura accepted the operation of cognitive vari-ables. It is these cognitive variables, as well as behavior, that can be assessed.
For example, in the modeling study we described involving children about to undergosurgery, assessment techniques included direct observation of their behavior, self-reportinventories, and physiological measurements. In studies of self-efficacy, behavioral andcognitive variables were assessed quantitatively. Self-efficacy with regard to phobias wasassessed by the subjects’ self-ratings of the number of tasks on a behavioral-avoidancetest they expected they could complete. College students’ test anxiety was assessed bypersonality inventories. Thus, the assessment of behavioral and cognitive variables isimportant in the social-learning approach to personality.
Research on Bandura’s Theory
Bandura favored well-controlled laboratory investigations in the rigorous tradition ofexperimental psychology. We noted his use of experimental and control groups and theprecise measurement of independent and dependent variables. He studied large subjectgroups and compared their average performance by statistical analysis. To illustrate fur-ther the kind of research that has proceeded from Bandura’s theory, we consider repre-sentative studies on self-efficacy, collective efficacy, and the effect of televised models onaggressive behavior.
reciprocaldeterminism The ideathat behavior is con-trolled or determinedby the individual,through cognitive pro-cesses, and by theenvironment, throughexternal social stimulusevents.
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Self-Efficacy
Age and gender differences Self-efficacy differs as a function of gender and age. Onthe average, men score higher than women in self-efficacy. These gender differences peakduring the 20s and then decline in later years. For both men and women, self-efficacyincreases through childhood and early adulthood, peaks in middle age, and then declinesafter age 60 (Gecas, 1989; Lachman, 1985).
However, even though self-efficacy appears to decline with age, there exists a widerange of individual differences in our beliefs about our capabilities. For example, in astudy of adults in the Netherlands, average age 66, the people who believed that theirmemory was getting worse performed significantly less well on tests of memory func-tioning six years later than did those whose sense of self-efficacy included the beliefthat their memory capabilities were high (Valentijn et al., 2006). A large-scale analysisof more than 100 studies confirms this finding that low memory self-efficacy, that is,the level of our belief about how good our memory is, can affect performance on testsof memory (Beaudoin & Desrichard, 2011). This research provides further support forthe proposition that our belief in our own abilities may, indeed, affect those abilities.The more we believe we can do something, the more likely we will do it.
The role of parental self-efficacy We noted earlier the influence of parents, siblings,peers, and others in affecting self-efficacy. Research in Italy showed that adolescentswhose parents scored high in parental self-efficacy (who believed they were effective par-ents) also scored higher in their own self-efficacy beliefs than those whose parents scoredlow in parental self-efficacy. And those teens with high self-efficacy parents also hadfewer behavioral problems, less anxiety, performed better in school, and were moreopen and honest in communicating with their parents than those with low self-efficacyparents (Steca, Bassi, Caprara, & Fave, 2011).
A study of African-American teenage boys in a public housing project found thatthose with higher levels of parental support, control, and self-efficacy had higher levels ofself-efficacy themselves. Lack of parental support and guidance as well as low parentalself-efficacy led to greater substance abuse and other delinquent behavior (Nebbitt,2009).
Research on teenagers in Chicago found that having supportive parents was positivelyrelated to the students’ sense of self-efficacy. The more supportive the parents, the highertheir children’s self-efficacy (McCoy & Bowen, 2014). A study of Mexican-Americanfamilies showed that high parental self-efficacy was related to higher self-efficacy andfewer behavioral problems among both male and female adolescents (Dumka, Gonzales,Wheeler, & Millsap, 2010).
American young adults whose parents had exercised tight control over their upbring-ing showed lower self-efficacy than those whose parents were less controlling (Givertz &Segrin, 2014). A study of teenagers in Malaysia showed that involvement in theirupbringing on the part of their fathers was just as important as involvement by theirmothers in their development of self-efficacy and overall happiness (Yap & Baharudin,2015).
Physical appearance We noted Bandura’s suggestion that physical appearance caninfluence the reinforcers people receive from others and, thus, how they feel about them-selves. A study of adult men and women aged 25 to 76 showed that physical appearancehad a greater effect on their feelings of being in control of their lives than did their levelof self-esteem or their health (Andreoletti, Zebrowitz, & Lachman, 2001).
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For example, having a round face, large eyes, small nose bridge, and small chin(“baby-faceness”) was found to be strongly related to low control beliefs in young andmiddle adulthood. Older baby-faced adults reported stronger feelings of control, perhapsbecause people reacted to them differently since they looked younger than thin-facedpeople of the same age. The findings were stronger for women. A more youthful appear-ance later in life was shown to have definite advantages both socially and in theworkplace.
Another major finding in this study was the significant effect of physical attractive-ness on control beliefs. People who were rated less attractive reported lower feelings ofcontrol in both job and social situations. In addition, shorter people reported lower feel-ings of control in young adulthood than did taller people or those of average height.
Academic performance There is a significant positive relationship between self-efficacy and academic performance. Teachers with a high degree of self-efficacy or confi-dence in their teaching abilities create more opportunities for their students to achieve ata high level. Self-efficacy in students has also been positively related to motivation, levelof effort, level of aspiration, and persistence in classroom situations (see, for example,Bassi, Steca, Fave, & Caprara, 2007; Gibson & Dembo, 1984; Multon, Brown, & Lent,1991; Zimmerman, 1995).
Classroom teachers in Germany who were high in self-efficacy were rated by theirstudents as being more effective teachers than those low in self-efficacy. In addition,those whose students rated them high in quality of classroom instruction developedhigher levels of self-efficacy. In other words, the positive feedback from their students’ratings made them feel even surer of themselves (Holzberger, Philipp, & Kunter, 2013).
Bandura also found differences in the ways schools inculcate self-efficacy in their stu-dents. In high-achieving schools, principals were more concerned with education thanwith implementing policies and regulations, and teachers set high expectations and stan-dards for their students. In low-achieving schools principals functioned more as admin-istrators and disciplinarians than as educators, and teachers expected little in the way ofacademic performance from their students (Bandura, 1997).
Cultural differences have been shown to influence self-efficacy in children. A studywas conducted with elementary school students in grades two to six in East and WestGermany, before those nations were reunified in 1990. Students in the East Germancommunist-collectivist culture scored lower in self-efficacy than children in the WestGerman capitalist-individualist culture. The East German children had less confidencein their ability to perform well in school and considered themselves less intelligent thanWest German students (Oettingen & Maier, 1999). High school students in Iran whohad a higher sense of ethnic identity had a higher level of self-efficacy than did thosewith a poor sense of ethnic identity (Hejazi & Hasany, 2014).
Career choice and job performance Gender differences in self-efficacy can influ-ence our choice of career. Research has shown that men perceive themselves to be highin self-efficacy for so-called traditional “male” as well as traditional “female” occupations.In contrast, women perceive themselves high in self-efficacy for so-called female occupa-tions but low in self-efficacy for traditional male occupations.
The male and female subjects in this research performed at comparable levels on stan-dardized tests of verbal and quantitative skills. Thus, they possessed similar measurableabilities but perceived these abilities differently. Their feelings about their own compe-tence for various careers differed as a function of gender (Hackett, 1995).
Self-efficacy can affect the amount of time spent job hunting as well as future job suc-cess. Employees high in self-efficacy set higher personal goals and are more committed
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to them than employees low in self-efficacy. Those high in self-efficacy tend to focus onanalyzing and solving problems on the job. Those low in self-efficacy focus on personaldeficiencies and the fear of failure, which can undermine their productivity (Locke &Latham, 1990). In addition, failure in performing a computer-based task was shown toreduce a person’s level of self-efficacy (Hardy, 2014).
The significant positive relationship between self-efficacy and job performance wassupported by a meta-analysis of 114 research studies involving more than 21,600 sub-jects. The higher the level of self-efficacy, the better was the performance on the job(Stajkovic & Luthans, 1998). An update of this research found that self-efficacy was abetter predictor of performance for jobs of low complexity than it was for jobs ofmedium or high complexity (Judge, Jackson, Shaw, Scott, & Rich, 2007). Also, thosehigh in self-efficacy are much more likely to be more fully engaged in their work andto experience less burnout from their jobs (Ventura, Salanova, & Llorens, 2015).
Those high in self-efficacy perform better when they receive greater feedback abouttheir job performance. They often do not perform well in situations that provide littleor no feedback. In other words, not knowing how well they are doing can be a negativefactor for people who score high in self-efficacy (Schmidt & DeShon, 2010). Otherresearch has demonstrated that people high in self-efficacy are more successful in jobtraining programs and report higher levels of job satisfaction, organizational commit-ment, and job performance than do people who are low in self-efficacy (Gupta, Ganster,& Kepes 2013; Salas & Cannon-Bowers, 2001).
Physical health Self-efficacy also affects several aspects of physical well-being,including pain tolerance, living a healthy lifestyle, and recovering from illness.
Pain Tolerance In one study, pregnant women who had been taught relaxation andbreathing exercises to reduce pain during childbirth believed they had greater controlover that pain than did women who had not been taught relaxation techniques. Thehigher the women’s self-efficacy and feeling of control, the longer they were able to tol-erate the discomfort experienced during delivery before requesting pain medication. Inaddition, the higher their perceived self-efficacy, the less pain medication they required(Manning & Wright, 1983).
Other research supports the positive relationship between self-efficacy and pain toler-ance. One study of more than 15,000 patients in China found that those higher in self-efficacy suffered less impairment, emotional distress, and severity of pain than those whowere lower in self-efficacy (Jackson, Wang, Wang, & Fan, 2014).
Coping techniques that improve self-efficacy produce substantial increases in endor-phins, which are the body’s natural painkillers. In a study on chronic pain, patients suf-fering from low back pain were given a pain-rating scale and a self-efficacy rating scale.Their progress in a three-week rehabilitation program was monitored. After six monthsit was found that patients higher in self-efficacy reported better physical functioning andless back pain than did patients lower in self-efficacy (Altmaier, Russell, Kao, Lehmann,& Weinstein, 1993).
Maintaining a Healthy Lifestyle Self-efficacy is also related to the maintenance ofhealthy behaviors. Bandura wrote that:
Life-style habits can enhance or impair health. This enables people to exert some behavioralcontrol over their vitality and quality of health. Efficacy beliefs affect every phase of personalchange—whether people even consider changing their health habits; whether they enlist themotivation and perseverance needed to succeed should they choose to do so; and how wellthey maintain the habit changes they have achieved. (Bandura, 1995, p. 28)
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It has been found, for example, that the use of techniques for enhancing feelings ofself-efficacy among adults 60 years and older led to increased levels of physical activity.Those whose self-efficacy remained lower led more sedentary, unhealthy lives (French,Olander, Chrisholm, & McSharry, 2014).
A study of Native American and native Alaskan adults showed a clear relationshipbetween self-efficacy and alcohol use. The lower the level of self-efficacy, the greater thealcohol consumption (Taylor, 2000). In the case of cigarette smoking, studies of adoles-cents show that the higher their self-efficacy, the more resistant they are to peer pressureto start smoking (Schwarzer & Fuchs, 1995; Stacy, Sussman, Dent, Burton, & Floy, 1992).
Recovering from Illness Self-efficacy can affect recovery from physical illness. Forexample, one study found that people high in self-efficacy responded better to cognitiveand behavioral treatment for pulmonary disease than did patients low in self-efficacy.Men who suffered heart attacks showed a higher rate of return to normal activities andless fear and depression when both they and their spouses believed in their cardiacfitness.
The higher the patients’ self-efficacy, the more likely they were to follow prescribedexercise programs and the more they improved (Kaplan, Atkins, & Reinsch, 1984;McLeod, 1986). These findings were confirmed in a large-scale study of heart patientsin Italy. Higher levels of self-efficacy eased the impact of their illness and led to higheroverall feelings of health satisfaction (Greco, Steca, Monzani, Malfatto, & Parati, 2015).
Research in Israel on patients with diabetes found that those high in self-efficacy werefar more likely to persist in their self-care treatment programs than were those low inself-efficacy (Mishali, Omer, & Heymann, 2011).
Adult patients recovering from orthopedic surgery (hip or knee replacement) whoscored high in self-efficacy performed significantly better in rehabilitation therapy pro-grams than did those low in self-efficacy (Waldrop, Lightsey, Ethington, Woemmel, &Coke, 2001). And a study of breast cancer patients found that the higher the expectationof remaining cancer-free in the future, the better the emotional adjustment to the disease(Carver et al., 2000).
Mental health Self-efficacy has been found to affect several aspects of our mentalhealth, including depression and anxiety, as well as social interest and self-esteem.
Depression and Anxiety In Italy, a study of boys and girls, average age 11.5 years,found that children who rated themselves low in social and academic efficacy were signifi-cantly more likely to experience depression than were children who rated themselves highin efficacy. Low social efficacy has also been significantly related to depression in a sampleof adolescents in the United States (Bandura, Pastorelli, Barbarelli, & Caprara, 1999).
Research on adolescents in the Netherlands found that low social efficacy was relatedto high levels of anxiety, neuroticism, and symptoms of depression (Muris, 2002). Studiesin such diverse cultures as China and Nigeria showed that those high in self-efficacyexperienced less on-the-job stress and less test anxiety than those low in self-efficacy(Li, 2010; Onyeizugbo, 2010).
A similar relationship was documented with adults. Low social efficacy was found tocontribute to feelings of depression, partly because a lack of coping skills inhibited thedevelopment of a social support network (Holahan & Holahan, 1987). These findingsmay indicate a circular relationship rather than simple cause-and-effect.
Low self-efficacy can lead to depression, and depression can further reduce self-efficacy. People who are depressed believe that they are far less capable than others ofperforming effectively in many areas of life and that they have little control over theirsituations (Bandura, 1997).
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Social Interest and Self-Esteem A study of American college students related self-efficacy to several of the characteristics of mental health proposed by Alfred Adler. Stu-dents who scored high in self-efficacy also scored higher in social interest, the desire tostrive for perfection, and a sense of belonging than did students who scored low in self-efficacy (Dinter, 2000).
Research in Canada, Iran, and the United States showed that high school students andadults who scored high on a measure of self-efficacy were likely also to score high in self-esteem. They were less likely to procrastinate or to give up trying when dealing with anobstacle than were subjects low in self-efficacy (Hoseinzadah, Azizi, & Tavakoli, 2014;Lightsey, Burke, Ervin, Henderson, & Yee, 2006; Steel, 2007).
Coping with stress Enhanced self-efficacy and a sense of control over life events arepositively related to the ability to cope with stress and to minimize its harmful effects onbiological functioning. Bandura wrote, “A strong sense of coping efficacy reduces vulner-ability to stress and depression in taxing situations and strengthens resiliency to adver-sity” (Bandura, 2001, p. 10). High self-efficacy has been associated with strengthening thebody’s immune system, lowering the release of stress-related hormones, and reducingsusceptibility to respiratory infections.
High self-efficacy has been shown to help women cope with the stress of abortion.Subjects higher in self-efficacy adjusted more satisfactorily with significantly less depres-sion and higher mood states than did those lower in self-efficacy (Cozzarelli, 1993).Another study dealt with stress experienced following the birth of one’s first child.Women higher in self-efficacy coped better with the demands than did those lower inself-efficacy (Ozer, 1995).
A study of refugees migrating from East to West Germany after the destruction of theBerlin Wall in 1990 showed that people higher in self-efficacy adapted significantly betterto the change from an economically disadvantaged lifestyle under a communist system toan affluent lifestyle under a capitalist system.
Perceived self-efficacy proved to be a powerful personal resource regarding the impact ofmigration stress on cognitive appraisals as well as on psychological and physical wellbeing….Highly self-efficacious migrants perceived the demands in their new life more as challengesand less as threats. They experienced lower anxiety, better health, and fewer health complaintsthan low self-efficacious migrants. (Jerusalem & Mittag, 1995, p. 195)
Among adults in the Netherlands who had suffered facial disfigurement as a result oftreatment for cancers of the head or neck, those who measured lower in self-efficacyexperienced higher levels of stress in response to unpleasant or rejecting behaviors ofother people. Those who scored higher in self-efficacy experienced less stress becausethey believed they could exercise some control over how other people reacted to them(Hagedoorn & Molleman, 2006).
Collective Efficacy
Just as an individual may develop a sense of self-efficacy, a group of people workingtogether in a common enterprise to achieve specific goals may develop a sense of collec-tive efficacy (Dithurbide & Feltz, 2012). For example, a sports team, a department withina large organization, a military combat unit, or a group of neighbors uniting to fightdrug dealers can engender the strong feeling that they will be able to overcome obstaclesand achieve their goals.
The value of collective efficacy has been studied in college basketball teams. It wasdemonstrated that a high sense of collective efficacy arose in teams that had highly
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competent leaders early in the season and that had won most of their games in the pre-vious season. Teams with the highest collective efficacy at the beginning of the new sea-son placed better in end-of-season standings than did teams that scored low in collectiveefficacy (Watson, Chemers, & Preiser, 2001).
Collective Efficacy in Family and Schools High levels of collective efficacy infamilies have been shown to result in more open family communications, more truthfuldisclosures by teenagers to their parents, and a greater sense of satisfaction with familylife by both parents and children (Bandura, Caprara, Barbaranelli, Regalia, & Scabini,2011).
High collective efficacy among teachers in the Netherlands led to higher studentachievements and better grades (Moolenaar, Sleegers, & Daly, 2012). Higher collectiveefficacy among a large group of 5th-, 8th-, and 11th-grade students in the United Statesled to a reduction of bullying (Williams & Guerra, 2011). Among 11- to 14-year-olds inGreece enrolled in classes shown to be high in collective efficacy displayed and receivedfar less bullying from classmates than those in classes with low collective efficacy(Sapouna, 2010).
Collective Efficacy in Neighborhoods and Organizations The feeling of highcollective efficacy in a neighborhood, even a tough inner city one, has been related todecreases in alcoholism, drug use, violence, and criminal behavior (including murder)(Ahern, Cerda, Lippnnan, Tardiff, Vlahov, & Galea, 2013; Fagan, Wright, & Pinchevsky,2014; Maxwell, Garner, & Skogan, 2011).
HIGHLIGHTS: Research on Self-Efficacy
Studies on self-efficacy have shown that:
• Men score higher than women in self-efficacy when younger• Self-efficacy increases into adulthood, peaks in middle age, and declines
after age 60• Those whose parents scored high in parental self-efficacy were high in
personal self-efficacy• Those whose parents were high in self-efficacy did better in school and
had less anxiety and fewer behavior problems• Self-efficacy is higher in individualistic cultures
People high in self-efficacy:
• Earn better grades in school• Set higher career goals, are more committed to attaining those goals, and
perform better on the job• Are in better health, are better able to tolerate pain, and recover faster
from illness• Are less likely to drink alcohol and smoke cigarettes• Are less likely to experience depression, test anxiety, on-the-job stress, or
become neurotic• Score higher in self-esteem; they feel good about themselves.
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The collective efficacy of employing organizations has been shown to increase on-the-job performance and helping behavior among employees, and to reduce stress inthe workplace. These findings have been found in Western cultures and in China (Du,Shin, & Choi, 2015; Esnard & Roques, 2014).
In Italy, air force military personnel who showed higher collective efficacy scoredhigher in commitment to their organization and satisfaction with their job than thosein units with low collective efficacy (Borgogni, Petitta, & Mastrorilla, 2010).
Self-Efficacy and the Internet
Research on Internet self-efficacy (our feelings of confidence in our ability to effectivelyuse the Internet) conducted on 8th-grade students in Taiwan found no gender differ-ences. However, girls ranked higher than boys in level of confidence in communicatingonline, whereas boys were higher in level of confidence in exploring online (Tsai & Tsai,2010). A study of American college students found that men ranked higher in computerself-efficacy than women (Buse, 2010).
Research with college students in Turkey found that those high in social self-efficacy(confidence in their ability to initiate social contact and make new friends easily) hadgreater self-esteem and emotional well-being, but were far more likely to becomeaddicted to Internet use than those who scored low in social self-efficacy (Iskender &Akin, 2010).
Adults in Germany who scored high in self-efficacy regarding their ability to make afavorable impression on other people tended to post more informal personal photos(such as at a party) and to present themselves as relaxed, funny, and cool on their Face-book pages than those low in that aspect of personal self-efficacy (Kramer & Winter,2008).
The Relationship between Aggressive Behaviorand Televised and Online Violence
Bandura and researchers in many countries have demonstrated convincingly that in lab-oratory situations and in the real world, seeing violence begets violence whether on atelevision or computer screen, movies, video games, or in homes, streets, and schools(Elson & Ferguson, 2014). The evidence on the effects of the exposure to violence inthe media or in person is so strong that the U.S. Surgeon General, the National Instituteof Mental health, the American Psychological Association, the American Medical Asso-ciation, and the American Psychiatric Association agree that exposure to violence is asignificant risk factor in producing violence in those who witness it (Pozios, Kamban, &Bender, 2013).
Television A large-scale literature review confirms the relationship between the view-ing of violent television programs in childhood and later aggressive behavior (Rogoff,Paradise, Arauz, Correa-Chavez, & Angelillo, 2003). A study of people in their early andmid-20s found a strong positive correlation between the amount of violence they hadwatched on television between the ages of 6 and 10 and their aggressive behavior asadults.
In other words, the more TV violence to which they had been exposed as children,the more aggressive they were in their 20s (Huesmann, Moise-Titus, Podolski, & Eron,2003). Research on teenagers in Germany also found that exposure to violence in themedia was highly related to aggressive behavior (Krahe, Busching, & Moller, 2012).
In a different approach to the relationship between observed violence and aggressivebehavior, researchers investigated the incidence of aggressive acts shortly after people
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viewed televised models committing violent acts. One analysis found a brief butsharp rise in violent actions peaking three to four days following highly publicized riots(Phillips, 1985).
Murder rates in the United States were found to increase by more than 12 percentover the expected rate for the three-day period following a televised championship box-ing match, a phenomenon that was maintained over a 15-year period (Phillips, 1983).Self-directed violence also appears to increase following exposure to similar violencewidely reported in the news media. The incidence of suicide tends to climb followingthe suicide of a movie star or other celebrity (Phillips, 1974).
Video Games Research on large samples of children, teenagers, and college studentsin the United States, Japan, and several other countries showed that playing violent videogames resulted in increases in aggressive and hostile behaviors and greater drinking anddrug use than among people who did not play violent video games. Those who playedviolent games were more likely to get into fights, argue with teachers, do poorly inschool, and also were less likely to help others. In addition, they were found to havehigher levels of cardiovascular arousal. In general, the more violent the games, the moreviolent the resulting behavior (Anderson, et al., 2010; Bartholow, Sestir, & Davis, 2005;Gentile, Lynch, Linder, & Walsh, 2004; Holtz & Appel, 2011; Huesmann, 2010; Krahe &Moller, 2004; Padilla-Walker, Nelson, Carroll, & Jensen, 2010; Uhlmann & Swanson,2004).
Cyberbullying Studies in the United States, Canada, and Spain concluded that havinga computer without parental control or monitoring can lead to a high level of onlineaggression, including cyberbullying, among boys and girls ages 12 to 17 (Calvete, Orue,Estevez, Villardon, & Padilla, 2010; Law, Shapka, & Olson, 2010; Werner & Bumpus,2010).
People high in self-efficacy and self-esteem are much less bothered by being targets ofcyberbullying than those who are low on those characteristics (Raskauskas, Rubiano,Offen, & Wayland, 2015). Those who are high in disinhibition, whose moral constraintsare weakened by watching a model performing a harmful act, are much more given tocyberbullying (Bussey, Fitzpatrick, & Raman, 2015; Udris, 2014).
HIGHLIGHTS: Research on Bandura’s Ideas
Groups that score high in collective efficacy:
• Win more basketball games and get better grades in school• Show a higher level of commitment to their organization• Score high in job satisfaction and job performance• Engage in less bullying in the classroom• Experience greater openness and satisfaction with their family
Research on Internet self-efficacy has found that:
• Male college students in the United States score higher than females• In Taiwan, girls in the 8th grade score higher than boys• Those high in social self-efficacy (confident in their ability to make new
friends) are more likely to become addicted to the Internet
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Reflections on Bandura’s Theory
Social-learning theory focuses on overt behavior. Critics charge that this emphasisignores distinctly human inner aspects of personality such as motivation and emotion.They draw an analogy with a physician whose patients have stomach pains. The physi-cian who deals only with overt behavior may treat such patients by asking them to stopgroaning and complaining and clutching their stomachs. What may be required insteadis medication or surgery. The physician must diagnose and treat the afflicted internalorgan, the underlying cause of the pain. If just the symptom is treated and not thecause, critics say, substitute symptoms may appear.
The social-learning approach has several distinct advantages. First, it is objective andamenable to laboratory methods of investigation, making it compatible with the empha-sis in experimental psychology. Most experimental psychologists reject theoretical workin personality that posits unconscious or other internal driving forces that cannot bemanipulated or measured under laboratory conditions. Therefore, Bandura’s approachboasts a great amount of empirical support. This is particularly true for his concept ofself-efficacy. Research continues to confirm its usefulness in the laboratory and in real-world situations.
Second, observational learning and behavior modification are compatible with thefunctional, pragmatic spirit of American psychology. More readily than otherapproaches, observational-learning techniques can be taken from the laboratory andapplied to practical problems. The techniques also provide more immediate reinforce-ment for the practitioner than do other approaches. For example, in clinical situations,dramatic changes can be seen in client behavior within weeks or even days.
The Widespread Use of Role Models
Behavioral changes on a larger scale in some 60 nations have also been demonstrated.Bandura’s central idea, that people learn behaviors from role models whom they wishto emulate, has been used in radio and television programs in less well-developed nationsto promote such social issues as population control, improving the status of women, anddecreasing the spread of AIDS (Kaufman, Cornish, Zimmerman, & Johnson, 2014).
The stories presented in these media revolve around characters who modeledbehaviors designed to achieve public health goals not only for themselves but for societyas a whole. Studies have demonstrated significant changes in safe sex practices andfamily planning among millions of people following exposure to these models,
• Those who feel sure of their ability to make a good impression on othersuse more informal photos such as selfies on their Facebook page
Studies show that aggressive behavior is related to:
• Watching violent behavior on television and online in childhood• Playing violent video games in childhood, adolescence, and young
adulthood
Cyberbullying
• Is more likely to be practiced by those who are high in disinhibition• Has fewer effects on those who are high in self-efficacy
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reinforcing the notion that Bandura’s ideas can be applied to national as well as individ-ual problems (Smith, 2002). It is not surprising, then, that many researchers and clini-cians continue to study and promote Bandura’s social-learning theory. The greatnumber of books, articles, and research studies still deriving from it attests to its continu-ing popularity as a way to study behavior in the laboratory and to modify behavior inthe real world.
Chapter Summary
Behavior can be learned through vicarious reinforce-ment by observing the behavior of others and anticipat-ing the rewards for behaving in the same way.Cognitive processes are the mediating mechanismsbetween stimulus and response and bring aboutcontrol of behavior through self-regulation and self-reinforcement.
In the classic Bobo doll study, children patternedtheir behavior on the model’s aggressive behaviorwhether the model was observed live, on television, orin a cartoon. Disinhibition involves weakening an inhi-bition through exposure to a model. Three factors thatinfluence modeling are the model’s characteristics, theobserver’s characteristics, and the behavior’s rewardconsequences. Watching violence on television andonline has been shown to lead to aggressive and violentbehavior in children, teenagers, college students, andyoung adults. Playing violent video games also canresult in aggressive behavior toward others.
Observational learning is governed by attentional,retention, production, and incentive and motivationalprocesses. The self is a set of cognitive processesconcerned with thought and perception. Self-reinforcement requires internal performance standardsagainst which to evaluate behavior. Self-efficacy refersto the ability to control life events. People low in self-efficacy feel helpless and give up quickly when facedwith obstacles. People who score high in self-efficacypersevere at tasks and perform at a high level. Judg-ments of self-efficacy are based on performance attain-ment, vicarious experiences, verbal persuasion, andphysiological arousal. Using these information sources,it is possible to increase self-efficacy. Infants and chil-dren are reinforced primarily by physical stimuli. Olderchildren are reinforced more by others’ approval ordisapproval; this is internalized so that reinforcementbecomes self-administered.
In behavior therapy, models are used to demon-strate ways of coping with threatening situations.
Behavior can be modified through observation andguided participation. In covert modeling, subjectsimagine how a model copes with a feared situation.Bandura’s approach to behavior modification dealswith overt behavior and cognitive variables, particularlyself-efficacy. As self-efficacy improves during treat-ment, the client is increasingly able to deal with threat-ening situations. Behavior modification has beencriticized for manipulating people against their will,but Bandura argues that with self-awareness and self-regulation, people undergoing behavior modificationunderstand what is being reinforced.
Behavior is controlled by internal cognitive pro-cesses and external stimuli; a position Bandura callsreciprocal determinism. Most behavior is learned andgenetic factors play only a minor role. Learning inchildhood may be more influential than learning inadulthood but adults are not victims of childhoodexperiences.
Our ultimate goal is to set realistic performancestandards to maintain an optimal level of self-efficacy.Self-efficacy varies with age and gender and can influ-ence career choice, school performance, job perfor-mance, physical and mental health, and the ability tocope with stress. In addition, groups have been shownto develop collective efficacy. Computer self-efficacystrongly influences our online behavior.
Bandura assesses behavior and cognitive variablesthrough direct observation, self-report inventories,and physiological measures. He favors controlled labo-ratory investigations using large groups of subjects andstatistical analysis of data. Criticisms of Bandura’s the-ory relate to his focus on overt behavior to the exclu-sion of emotions and conflicts, his treatment ofsymptoms rather than possible internal causes, andhis failure to state precisely how cognitive variablesaffect behavior. Social-learning theory and the success-ful use of modeling to change behavior remainextremely popular.
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Review Questions
1. In what ways does the observational-learningapproach to personality differ from the otherapproaches we have discussed?
2. How does Bandura deal with internal cognitive, orthought, processes, and with the unconscious?
3. What is Bandura’s position on the role of rein-forcement in learning?
4. Describe a typical experiment in which modelingis used to change behavior.
5. Explain disinhibition. How can the same phe-nomenon of disinhibition explain both the behav-ior of people in a mob and the behavior of peopletrolling online?
6. How does modeling vary as a function of thecharacteristics of the models, the characteristics ofthe observers, and the reward consequences of thebehavior?
7. What are the four processes of observationallearning? How are they related?
8. Explain how the production processes can be usedto teach a person to play tennis.
9. How do the types of behaviors we acquire throughmodeling change with age?
10. What is the self in Bandura’s view? How does self-reinforcement operate to change behavior?
11. What does Bandura mean by self-efficacy? Give anexample of how we can use self-efficacy to exertcontrol over our lives.
12. How do people high in self-efficacy differ frompeople low in self-efficacy in terms of their abilityto cope with life?
13. On what sources of information do we base ourjudgment about our own level of efficacy?
14. Describe the developmental changes that occur inself-efficacy from infancy to old age. How can self-efficacy be increased?
15. Describe the guided participation and the covertmodeling approaches to behavior modification.
16. Give an example of how modeling can be used toreduce anxiety.
17. What is the relationship between self-efficacy andphysical health and mental health?
18. What is Bandura’s position on the issue of free willversus determinism? On the relative influences ofheredity and environment?
19. How does self-efficacy differ as a function of gen-der, age, and physical attractiveness?
20. In what ways does self-efficacy influence perfor-mance in school and on the job? How does self-efficacy affect our ability to cope with stress?
21. Describe how exposure to televised violence andvideo-game violence affects behavior.
22. In what ways can collective efficacy influence thebehavior of members of a group?
23. What is computer self-efficacy? How might itinfluence our behavior online?
Suggested Readings
Bandura, A. (Ed.). (1995). Self-efficacy in changingsocieties. New York: Cambridge University Press.Discusses various ways in which self-efficacy beliefsshape lifestyles and goals. Considers these issuesfrom life-span and social-cultural perspectives.
Bandura, A. (1997). Self-efficacy: The exercise of control.New York: Freeman. Describes 20 years of researchon the idea that we can accomplish what we trulywant to accomplish; we are capable of consciouslydirecting our actions to achieve success. Extends theconcept of efficacy to society at large—to politicalbeliefs, social practices, and collective action.
Bandura, A. (2001). Social cognitive theory: An agenticperspective. Annual Review of Psychology, 52, 1–26.
Discusses the basis of social-cognitive theory asthe capacity to exercise control over the natureand quality of one’s life.
Bandura, A. (2013). The role of self-efficacy in goal-based motivation. In E. Locke & G. Latham (Eds.),New developments in goal setting and task perfor-mance (pp. 147–157). New York: Routledge/Taylor& Francis. Bandura’s views, at age 88, of the role ofself-efficacy in determining life goals and the stan-dards we set for ourselves.
Evans, R. (1989). Albert Bandura: The man and hisideas: A dialogue. New York: Praeger. A detailedinterview about many aspects of Bandura’s lifeand work.
368 The Social-Learning Approach
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The Limited-Domain Approach
Personality theorists have generally attempted to deal with all aspects of person-ality. However, an increasing number of contemporary personality psychologistshave concluded that no single theory can provide a comprehensive explanationfor all aspects of personality 2and behavior.
This has given rise to a newer, limited-domain approach to personality that ismore restricted in scope, focusing on more circumscribed personality factors.These factors can be experimentally tested more easily than a global theory thatattempts to explain the total personality.
It is easy to see why the global theory approach to personality characterizedthe field for so long. The early theorists—such as Freud, Jung, and Adler—treated individual patients in their clinical practices in an attempt to cure abnor-mal behavior in order to help people function in the real world. Of necessity,then, these theorists focused on the total person, not just one or two traits orcharacteristics.
The focus began to shift away from the whole person when the study of per-sonality was brought out of the clinic and into the research laboratory. Experi-mental psychologists typically study only one variable at a time, controlling orholding constant all others. In this way, they concentrate on a limited area ofinvestigation.
They collect large amounts of data from their research on the ways in whichan experimental variable relates to its antecedents and its behavioral conse-quences. Thus, the newer, more limited-domain theories are distinguished bysupporting data that are different from the data generated in the clinicalapproach.
Proponents of these limited-domain theories place less emphasis on the ther-apeutic value of their ideas. Typically they are researchers, not clinicians, and, asa result, are more interested in investigating personality than in changing it. Thisdoes not mean that this limited-domain approach offers no treatment applica-tions. Rather, it says that the theories were not developed specifically for usewith patients, as was the case with many of the earlier personality theories.
In this chapter, we describe some personality variables currently being investi-gated: locus of control, sensation seeking, learned helplessness, optimism–pessimism, and the happy personality. They represent two approaches we dis-cussed earlier—the trait approach and the social-learning (social-cognitive)approach.
Sensation seeking is one of the traits in Eysenck’s personality dimension E(extraversion versus introversion). It is primarily an inherited attribute and
369
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reflects the impact of behavioral genetics on personality. Locus of control andlearned helplessness are learned behaviors. They have a strong cognitive compo-nent, reflecting the influence of the behaviorist, social learning, and cognitivemovements in personality. The happy personality is an outgrowth of the positivepsychology movement.
These facets of personality are presented as examples of the limited-domainapproach. They are not comprehensive systems, nor are they the only theoriesthat focus on limited facets of personality. Our aim here is to give you the flavorof each and acquaint you with the idea of studying personality in this way.
370 The Limited-Domain Approach
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chapter 14Facets of Personality: TakingControl, Taking Chances, andFinding HappinessJulian Rotter: Locus of ControlInternal versus External Control of
ReinforcementAssessment of Locus of ControlAge and Gender DifferencesCultural DifferencesBehavioral DifferencesMental Health DifferencesPhysical Health DifferencesDeveloping Locus of Control in ChildhoodReflections on Locus of Control
Marvin Zuckerman: Sensation SeekingAssessing Sensation SeekingCharacteristics of Sensation SeekersBehavioral Differences between High and Low
Sensation SeekersPersonality DifferencesCognitive ProcessesOccupational PreferencesAttitudesHeredity versus EnvironmentReflections on Sensation Seeking
Martin E. P. Seligman: Learned Help-
lessness and the Optimistic/Pessimistic
Explanatory StyleA Shocking FindingEarly ResearchLearned Helplessness as TortureLearned Helplessness and Emotional HealthAnimal Research on Learned Helplessness and
Physical Health
Explanatory Style: Optimism and PessimismThe Development of Learned Helplessness in
ChildhoodReflections on Learned Helplessness
Martin Seligman: Positive PsychologyThe Life of Seligman (1942–)Characteristics and Causes of HappinessMoneyPhysical AttractivenessHealthAgeAdolescenceOlder PeopleMarriage and Social SupportCultureGeography: Where You Live Is ImportantRace and EthnicityPersonalitySelf-Efficacy and Internal Locus of ControlThinking PositivelyGoalsHappiness and SuccessInternet UseDifferent Kinds of Happiness: Meaning and
FlourishingComment
Chapter Summary
Review Questions
Suggested Readings
Julian Rotter Marvin Zuckerman Martin E. P. Seligman
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371
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Julian Rotter: Locus of Control
Rotter (1916–2014) was born in Brooklyn, New York, the youngest of three brothers.He said they “fit quite well into Adler’s descriptions of the oldest, the middle, and the‘fighting’ youngest child” (1993, p. 273). The family lived comfortably until the 1929economic depression when Rotter’s father lost his business.
This dramatic change in circumstances was a pivotal event for the teenage boy.“It began in me a lifelong concern with social injustice and provided me with apowerful lesson on how personality and behavior were affected by situational conditions”(1993, p. 274).
In high school, Rotter discovered books about psychoanalysis by Freud and Adler. Asa game, he began trying to interpret the dreams of his friends, and decided he wanted tobecome a psychologist. Disappointed to learn that there were not many jobs for psychol-ogists, however, he chose to major in chemistry at Brooklyn College. Once there, hehappened to meet Alfred Adler and switched his major to psychology after all, eventhough he knew it was impractical.
He wanted to pursue an academic career but found out about the widespread preju-dice against hiring Jewish faculty in American colleges and universities at the time. “AtBrooklyn College and again in graduate school,” he wrote, “I had been warned that Jewssimply could not get academic jobs, regardless of their credentials. The warnings seemedjustified” (Rotter, 1982, p. 346).
After Rotter received his Ph.D. from Indiana University in 1951, he went to work at astate mental hospital in Connecticut. He served as a psychologist with the U.S. Armyduring World War II and then accepted a teaching position at Ohio State University,where George Kelly was director of the clinical psychology program.
At Ohio State, Rotter advanced his social-learning approach to personality. Hisresearch program attracted many outstanding graduate students who went on to produc-tive careers. One of them later referred to that time at Ohio State as the “glory days,”with “Rotter and Kelly right in the midst of refining their theoretical positions andwriting their magnum opuses” (Sechrest, 1984, p. 228).
In 1963 Rotter left Ohio State for the University of Connecticut at Storrs. In 1988 hereceived the Distinguished Scientific Contribution Award from the American Psycholog-ical Association. Well into his 80s, he kept up his vigorous tennis and squash gamesand his weekly poker sessions (Strickland, 2014). By the time of his death in 2014,he had become “one of the most eminent psychologists of the 20th century” (Rotter,2014, p. 1).
Internal versus External Control of Reinforcement
Rotter tried to explain personality and behavior by looking both outside and insidethe organism, considering external reinforcements as well as internal cognitive pro-cesses. In the course of an extensive research program, he found that some peoplebelieve that their reinforcers depend on their own actions, whereas others believetheir reinforcers are controlled by other people and by outside forces. He called thisconcept locus of control.
People who have an internal locus of control believe that the reinforcementthey receive is under the control of their own behaviors and abilities. Those with an externallocus of control believe that other people, fate, or luck control the rewards they receive.They are convinced that they are powerless with respect to outside forces.
You can see how the source of our locus of control can have a considerable influenceon our behavior. External locus-of-control people, who believe that their own behaviors
internal locus ofcontrol A belief thatreinforcement isbrought about by ourown behavior.
external locus ofcontrol A belief thatreinforcement is underthe control of otherpeople, fate, or luck.
372 The Limited-Domain Approach
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and abilities make no difference in the reinforcers they receive, see little value in exertingany effort to improve their situation. Why should they even try when they have noexpectation of being able to control present or future events?
In contrast, internal locus-of-control people believe they have a firm grip on theirown lives and behave accordingly. They perform at a higher level on their jobs than doexternal locus-of-control people. In addition, internals are less susceptible to attempts toinfluence them, place a higher value on their skills, and are more alert to environmentalcues that they use to guide behavior. They report lower anxiety, higher self-esteem, andgreater happiness. They enjoy greater mental and physical health than those who arehigh in external control (Saric & Pahic, 2013).
Assessment of Locus of Control
Rotter developed self-report inventories to assess locus of control. The Internal-External(I-E) Scale (Rotter, 1966) consists of 23 forced-choice alternatives. From each pair ofitems, subjects select the one that best describes their beliefs (see Table 14.1). It is notdifficult to determine which of each pair of alternatives represents an internal or anexternal locus of control.
Another scale to assess locus of control is the Children’s Nowicki-Strickland Internal-External Scale, a widely used 40-item test that has been translated into two dozen lan-guages (Nowicki & Strickland, 1973; Strickland, 1989). An adult form of the scale isavailable, as well as a cartoon version for use with preschool children (Nowicki &Duke, 1983). Variants of the I-E Scale measure specific behaviors such as the relationshipbetween locus of control and factors relating to successful dieting and weight loss as wellas performance in a variety of situations.
Age and Gender Differences
Attempts to control our external environment begin in infancy, becoming more pro-nounced between ages 8 and 14. A study of 14- and 15-year-olds in Norway found that
TABLE 14-1 Sample items from the I-E Scale
1. a. Many of the unhappy things in people’s lives are partly due to bad luck.b. People’s misfortunes result from the mistakes they make.
2. a. One of the major reasons why we have wars is because people don’t take enough interest inpolitics.
b. There will always be wars, no matter how hard people try to prevent them.
3. a. In the long run people get the respect they deserve in this world.b. Unfortunately, an individual’s worth often passes unrecognized no matter how hard he or shetries.
4. a. The idea that teachers are unfair to students is nonsense.b. Most students don’t realize the extent to which their grades are influenced by accidentalhappenings.
5. a. Without the right breaks one cannot be an effective leader.b. Capable people who fail to become leaders have not taken advantage of their opportunities.
6. a. No matter how hard you try some people just don’t like you.b. People who can’t get others to like them don’t understand how to get along with others.
Source: Rotter, J. B. (1966). Generalized expectancies for internal versus external control of reinforcement.Psychological Monographs, 80, 11.
Chapter 14: Facets of Personality: Taking Control, Taking Chances, and Finding Happiness 373
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girls scored significantly higher than boys did on internal locus of control (Manger &Ekeland, 2000). College students generally have been found to show an internal ratherthan an external orientation.
People apparently become more internally oriented as they grow older, reaching apeak in middle age (Heckhausen & Schulz, 1995). Also, a study of men and women inthe United States, ages 60 to 75, found that their internal locus of control was signifi-cantly improved by cognitive training (Wolinsky et al., 2009).
In terms of overall scores on the I-E Scale, no significant differences betweenadult men and women in the United States were found (DeBrabander & Boone, 1990).However, a more recent study of men and women in England, ages 18 to 29, found thatwomen had more external control than men (Holland, Geraghty, & Shah, 2010). InChina, men have been found to score higher than women in internal control (Tong &Wang, 2006).
Cultural Differences
Ethnic Group Comparisons Studies conducted in Africa found that native Africans,like American-born Blacks in general, scored higher in external locus of control than didAmerican-born Whites (Okeke, Draguns, Sheku, & Allen, 1999). In the African nation ofBotswana, Black male and female adolescents scored higher in external locus of controlthan did White adolescents in the United States. In both countries, however, teens whowere higher in socioeconomic status scored higher in internal control than did teenslower in socioeconomic status (Maqsud & Rouhani, 1991).
A comparison of adolescent Caucasian, Hispanic, Asian, and African-American teen-agers found that having a more internal locus of control was considered to be moreimportant for the Caucasians but less so for the other groups (Kang, Chang, Chen, &Greenberger, 2015). A comparison between native-born people in the Netherlands andimmigrants to that country found that the immigrants (in this case from Morocco andTurkey) scored much higher on external locus of control than the natives (van Dijk,Dijkshoorn, van Dijk, Cremer, & Agyemang, 2013).
Research on Hispanic immigrants to the United States showed that those with ahigher internal locus of control were more effective in adapting to the demands oftheir new culture and in dealing with the effects of discrimination or being marginalized(Llamas & Consoli, 2014).
Collectivist versus Individualistic Cultural Differences In general, Asians havebeen shown to be more externally oriented than Americans, a finding that may beexplained in terms of different cultural beliefs. Whereas American culture traditionallyprizes self-reliance and individualism, Asian culture emphasizes collectivism, communityreliance, and interdependence.
Therefore, for Asians, success is viewed more as a product of external than internalfactors. The more contact Asians have with Americans, however, the more internally ori-ented they become. For example, Chinese residents of Hong Kong measured higher inexternal locus of control than did Americans of Chinese heritage, and Americans ofChinese heritage were more externally oriented than Americans of European heritage(Uba, 1994).
A large-scale comparison of 18 cultures confirmed that people in collectivist culturessuch as China scored higher in external control than those in Westernized countrieswho placed a greater value on having an internal locus of control (Cheng, Cheung, Chio, &Chan, 2013).
374 The Limited-Domain Approach
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A study of college students in South Africa and in Lebanon found that the SouthAfrican students scored significantly higher in internal locus of control than theLebanese students. This provides another example of the difference in locus of controlbetween an individualistic culture such as South Africa and the more collectivist,structured culture of Lebanon (Nasser & Abouchedid, 2006).
Behavioral Differences
Studies of workers in China and of athletes in Sweden found that those who measuredhigh in internal locus of control were more able to adapt and commit to change; theyalso scored higher on tests of mental skills than those with a more external locus of con-trol (Chen & Wang, 2007; Fallby, Hassmen, Kentta, & Durand-Burand, 2006). Otherresearch concluded that high internal locus of control at work was positively related tojob satisfaction, job commitment, and general satisfaction with life (Wang, Bowling, &Eschleman, 2010).
Research in Korea found that people high in internal academic locus of control(believing they would do well in school) were more likely to persist in an online collegeprogram than those who scored low in internal academic locus of control (Joo, Joung, &Sim, 2011). A study of college students in Turkey found that those high in internal aca-demic locus of control were far less likely to become addicted to Internet use than thosewho scored low in internal academic locus of control (Iskender & Akin, 2010).
Similar to the idea of a collective self-efficacy, there may be a kind of collective locusof control that defines groups that work or study together. This was demonstrated inresearch in Austria on entrepreneurial work teams. The results showed that teams show-ing the highest internal locus of control performed at a far more efficient and effectivelevel than teams lower in internal control (Khan, Breitenecker, & Schwarz, 2014).
Mental Health Differences
People high in internal locus of control are less likely to have emotional problems or tobecome alcoholics. They also cope better with stress, as was demonstrated in a study ofnurses in Germany. Those who reported higher levels of work-related stress and burnoutscored higher in external locus of control than those less bothered by stress and burnout(Owen, 2006; Schmitz, Neumann, & Oppermann, 2000).
Other research among diverse populations—including pregnant women, female pris-oners, and police officers—found that those high in external control are more prone tofantasies, anxiety, depression, fear of death on the job (police), psychotic episodes, andhopelessness. They were also more likely to become victims of cyberbullying than thosehigh in internal control (Ariso & Reyero, 2014; Asberg & Renk, 2014; Hutcheson,Fleming, & Martin, 2014; Marcano, Michaels, & Pierce, 2014; Ryon & Gleason, 2014;Samreen & Zubair, 2013).
College students in Greece, a family-oriented and highly protective culture, werefollowed as they dealt with the social and emotional challenges of leaving home, manyfor the first time. Students who scored high in internal control adjusted more readilythan those high in external control (Leontopoulou, 2006). A study of first-year collegestudents in Turkey found that those high in external locus of control were far more inde-cisive in new situations than those high in internal locus of control (Bacanli, 2006).
High external locus of control has been associated with compulsive hoarding behavior(Benson-Townsend & Silver, 2014). People suffering from various kinds of addictionhave been found to benefit from therapy when they are able to develop a greater internallocus of control (Amram & Benbenishty, 2014). People high in internal control
Chapter 14: Facets of Personality: Taking Control, Taking Chances, and Finding Happiness 375
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experience less anxiety and depression, are less likely to be lonely or attempt suicide, andfind greater meaning in life (Castro, Echavarria, & Velasquez, 2010; Keltikangas-Jaruinen& Raikkonen, 1990; Kulshrestha & Sen, 2006; O’Neal, Vosvick, Catalano, & Logan, 2010;Petrosky & Birkhimer, 1991; Spann, Molock, Barksdale, Matlin, & Puri, 2006).
A study of teenagers in Israel during the 1990 Persian Gulf War, when frequentexplosions of Scud missiles caused widespread injury and destruction, found that theadolescents who scored higher on perceived control experienced significantly less anxietyand fewer stress-related symptoms during the fighting than adolescents who scoredlower in perceived control (Zeidner, 1993). Similarly, people high in internal controlshow higher levels of mental health, experience more meaningful lives, and score higheron measures of subjective well-being than those high in external control (Shojaee &French, 2014; Singh & Choudhri, 2014).
Physical Health Differences
Internally oriented people tend to be physically healthier than externally oriented peopleand to have lower blood pressure and fewer heart attacks. When they do develop cardiacproblems, they cooperate better with the hospital staff and are released earlier thanpatients who are externally oriented. A study in Norway found that they also tend togo back to work sooner than those with a high external locus of control (Bergvik, Sorlie,& Wynn, 2012).
Research on patients recovering from coronary artery bypass surgery found that thosehigh in internal control had achieved a higher level of physical functioning at six weeksand six months after surgery than those low in internal control (Barry, Kasl, Lichtman,Vaccarino, & Krumholz, 2006). Among older cancer patients in the Netherlands, thosehigh in internal control experienced less depression than those high in external control(Aarts, Deckx, Abbema, Tjan-Heijnen, Akker, & Buntinx, 2015).
Some studies show that internals tend to be more cautious about their health and aremore likely to wear seat belts, eat well, exercise regularly, and quit smoking (Cobb-Clark,Kassenboehmer, & Schurer, 2014; Phares, 1993; Seeman, Seeman, & Sayles, 1985; Segall& Wynd, 1990). Research in Nigeria found that those high in internal control were morelikely to undergo screening for cervical and breast cancers (Adebimpe & Oladimeji,2014). Cancer patients in the Netherlands who were high in external control had moretrust in their oncologists than those low in external control (Hillen et al., 2014).
However, studies in France, Germany, and South Africa found that people high in internalhealth locus of control took less care of their health in general, but had fewer eating disordersand undertook fewer behaviors that put them at risk for HIV (Grotz, Hapke, Lampert, &Baumeister, 2011; Gwandure & Mayekiso, 2010; Scoffier, Paquet, & d’Arripe-Longueville,2010).
Research in Sweden found that up to one-third of older people, those with littleformal education, and immigrant groups all scored low in internal health locus of con-trol (Lindstrom, 2011).
Developing Locus of Control in Childhood
Evidence suggests that locus of control is learned in childhood and is directly related toparental behavior (Ahlin & Lobo Antunes, 2015). External control beliefs are likely to beexpressed by children reared in homes without an adult male role model. Also, externalcontrol beliefs tend to increase with the number of siblings. Children in large single-parent families headed by women were found to be more likely to develop an externallocus of control (Schneewind, 1995). Later research shows that children whose mothersare depressed and have little formal education or income are likely to develop an
376 The Limited-Domain Approach
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external locus of control (Freed & Tompson, 2011). Children raised in low-income fami-lies have a lower sense of control in all aspects of their lives than children from higher-income families (Mittal & Griskevicius, 2014).
Parents of children who possess an internal locus of control were found to be highlysupportive, to offer praise (positive reinforcement) for achievements, and to be consistentin their discipline; they were not authoritarian. As their children grew older, theseparents continued to foster an internal orientation by encouraging independence.
Reflections on Locus of Control
A large-scale research program using both college students and sales representatives assubjects reported a strong relationship between Rotter’s concept of locus of control andBandura’s concept of self-efficacy (Judge, Erez, Bono, & Thoresen, 2002). Some research-ers have suggested that both ideas deal with our perception or belief about the degree ofcontrol we have over events in our life and our ability to cope with them. A majordifference between the two concepts is that locus of control can be generalizedover many situations, whereas self-efficacy tends to be specific to a particular situation.However, Bandura insisted there was little overlap between the concepts of self-efficacyand locus of control. He wrote,
Beliefs about whether one can produce certain actions (perceived self-efficacy) cannot, by anystretch of the imagination, be considered the same as beliefs about whether actions affect out-comes (locus of control). (1997, p. 20)
Nevertheless, Rotter’s research has been highly rigorous and well controlled, and heused objective measures wherever possible. Studies have provided considerable empiricalsupport. The I-E Scale has generated a wealth of research and has been applied in clinicaland educational settings. Rotter noted that locus of control has become “one of the moststudied variables in psychology” (1990, p. 489). Well into the second decade of the 21stcentury, locus of control continues to be the subject of research.
LOG ON
Julian RotterVarious sites provide biographical information, discussions of his theory, research on rel-evant concepts, and links to other resources.
HIGHLIGHTS: Research on Rotter’s Ideas
People with high internal locus of control tend to:
• Live in wealthy individualistic cultures• Perform well in school• Not become addicted to Internet use• Score high in job satisfaction and life satisfaction• Score low in anxiety and depression• Cope better with stress• Be physically healthy• Have parents who score high in internal control
Chapter 14: Facets of Personality: Taking Control, Taking Chances, and Finding Happiness 377
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Marvin Zuckerman: Sensation Seeking
Beginning in the 1970s, psychologist Marvin Zuckerman (1928–), at the University ofDelaware, has conducted research on a limited-domain aspect of personality he calls sen-sation seeking. This trait has a large hereditary component initially noted by Eysenck.Zuckerman describes sensation seeking as a desire for “varied, novel, complex, andintense sensations and experience, and the willingness to take physical, social, legal, andfinancial risks for the sake of such experience” (Zuckerman, 1994a, p. 27). We might callit simply “taking chances.”
Assessing Sensation Seeking
To measure sensation seeking Zuckerman constructed the Sensation Seeking Scale (SSS),a 40-item paper-and-pencil questionnaire. When developing this test, he administered itto many people whose behavior corresponded to his definition of sensation seeking.These included people who volunteered for psychological experiments that exposedthem to novel experiences, people whose jobs involved physical danger (police officersand race-car drivers), and people who admitted to experimenting with drugs or variedsexual experiences.
Their SSS scores were compared with the scores of people who deliberately avoidednovel or risky activities. Those who deliberately sought unusual activities scored highon the SSS, and those who preferred less venturesome activities scored low. Sampleitems from the test are shown in Table 14.2. Over the years, the test has been revisedand is now in its fifth version; there is also a scale developed for use with children.
TABLE 14-2 Sample items from the Sensation Seeking Scale, Form VChoose the statement in each pair that you prefer
1. a. I like wild uninhibited parties.b. I prefer quiet parties with good conversation.
2. a. I get bored seeing the same old faces.b. I like the comfortable familiarity of everyday friends.
3. a. A sensible person avoids activities that are dangerous.b. I sometimes like to do things that are a little frightening.
4. a. I would like to take off on a trip with no preplanned or definite routes or timetables.b. When I go on a trip I like to plan my route and timetable fairly carefully.
5. a. I would like to try parachute jumping.b. I would never want to try jumping out of a plane with or without a parachute.
6. a. There is altogether too much portrayal of sex in movies.b. I enjoy watching many of the sexy scenes in movies.
7. a. I am not interested in experience for its own sake.b. I like new, exciting experiences and sensations even if they are a bit frightening, unconven-tional, or illegal.
8. a. People should dress according to some standard of taste, neatness, and style.b. People should dress in individual ways, even if the effects are sometimes strange.
Source: Zuckerman, M. (1994). Behavioral expressions and biosocial bases of sensation seeking (pp. 389–392).Cambridge, England: Cambridge University Press.
sensation seeking Theneed for varied, novel,and complex sensa-tions and experiences.
378 The Limited-Domain Approach
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Components of Sensation Seeking Using the method of factor analysis, Zuckerman(1983; Zuckerman & Aluja, 2015) identified four components of sensation seeking.
• Thrill and adventure seeking: A desire to engage in physical activities involvingspeed, danger, novelty, and defiance of gravity such as parachuting, scuba diving, orbungee jumping.
• Experience seeking: The search for novel experiences through travel, music, art, or anonconformist lifestyle with similarly inclined people.
• Disinhibition: The need to seek release in uninhibited social activities such as riskysex, impulsiveness, aggressiveness, and antisocial behaviors.
• Boredom susceptibility: An aversion to repetitive experiences, routine work, andpredictable people, and a reaction of restless discontent when exposed to suchsituations.
Good and Bad Sensation Seeking Zuckerman later noted a distinction between so-called good and bad sensation seeking:
• The good type, or non-impulsive socialized sensation seeking, involves the thrill- andadventure-seeking component.
• The bad type, impulsive unsocialized sensation seeking, consists of high scores on thedisinhibition, experience seeking, and boredom susceptibility components, as well ashigh scores on Eysenck’s psychoticism scale (Roberti, 2004; Zuckerman, 1994b).
Other scales for assessing sensation seeking have been developed in the United Statesand in other countries. German psychologists published the “Need Inventory of Sensa-tion Seeking” in both German and English languages (Roth & Hammelstein, 2012).Later research suggested that it might be an even more reliable and valid test for measur-ing sensation seeking than the original Zuckerman scale (Marker & Schneider, 2015).
Another sensation seeking scale for use in China is the Brief Sensation Seeking Scale,which has been proven to be reliable and valid in that culture for predicting recklessbehavior in motorcycle riding, excessive use of alcohol and cigarettes, and risky sexualbehaviors (Chen et al., 2013; Fan, Lin, Bai, Huang, Chiang, & Chiu, 2014).
LOG ON
Sensation Seeking ScaleVarious sites offer definitions, research results, and examples of tests to measure the con-cept of sensation seeking.
Characteristics of Sensation Seekers
Age Differences Zuckerman found that differences in sensation seeking occur at a veryyoung age. A study of second-grade schoolchildren in the United States showed that thosewho scored high in sensation seeking chose to watch a video about scary sharks, whereasthose who scored low selected a video about a funny bunny instead (Trice, 2010).
In general, younger people are more inclined to seek adventure, risk, and novelexperiences than older people. Among high school and college students in the UnitedStates and in Canada, those who scored high in sensation seeking were more likely toengage in reckless and risky behaviors and uncontrolled gambling than those who scoredlow (Collado, Felton, MacPherson, & Lejuez, 2014; George, Baechtold, Frost, & Camp-bell, 2006; Gupta, Derevensky, & Ellenbogen, 2006).
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Test scores on subjects ranging from adolescents to 60-year-olds showed that sensa-tion seeking begins to increase during the middle school years and decrease in one’stwenties (Lynne-Landsman, Graber, Nichols, & Botvin, 2011). No significant differenceswere reported as a function of educational level. College students did not score signifi-cantly higher or lower on the SSS than those who did not attend college.
Zuckerman’s Sensation-Seeking Experiences The research results on the effects ofage on sensation seeking were confirmed by Zuckerman’s own life experiences. He saidthat when he was a college student he “reached my full sensation-seeking potentialthrough drinking, sex, and hitch-hiking around the country.” At age 74, he wrote,
When I was a young sensation seeker I imagined that after I retired I would do all kinds ofadventurous things like hang gliding, parachute jumping, and learning to fly an airplane. Butwhereas thrill and adventure seeking and disinhibition fall rapidly with age, experience seekingdoes not change. (Zuckerman, 2004, pp. 13, 21)
Zuckerman reports that he continues to seek new experiences, but they are less phys-ically adventurous than when he was younger.
Gender Differences In countries as diverse as the United States and Iran, men con-sistently scored higher in sensation seeking and lower in impulse control than women(Khodarahimi, 2014; Shulman, Harden, Chein, & Steinberg, 2015). Significant genderdifferences were also found in the four individual components of sensation seeking.Men scored higher on thrill and adventure seeking, disinhibition, and boredom suscepti-bility. Women scored higher on experience seeking. Similar results were obtained fromsubjects in the United States, England, Scotland, Japan, and Thailand.
Racial and Cultural Differences Researchers found significant racial and culturaldifferences in SSS scores. Asians scored lower on the SSS than people in Western coun-tries, and white subjects scored higher in sensation seeking than non-Whites.
The need for sensa-tion seeking manifestsitself in the desire forvaried, novel, andsometimes dangerousexperiences.
Mayo5/iStockphoto.com
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Behavioral Differences between High and Low Sensation Seekers
Physical Risk Taking Physical risk-taking behavior has been related to sensationseeking. Skydivers, firefighters, riot-control police officers, bungee jumpers, and race-cardrivers score higher on the SSS than groups not engaged in these activities. A study ofAmerican Motocross drivers found that the most experienced (those who participated inthe most races) had the highest scores on a measure of sensation seeking (Smith, Bissett,& Russo, 2014). Research on male college undergraduates in Israel found that high sen-sation seekers were more likely than low sensation seekers to participate in risky sportsand to volunteer for military combat units (Hobfoll, Rom, & Segal, 1989).
Different Types of Risk Taking Research has identified three types of risktakers: antisocial risk takers, adventurous risk takers, and pro-social risk takers. Thoseidentified as antisocial (such as drug addicts and criminals) or as adventurous (mountainclimbers and sky divers) showed significantly higher SSS scores than pro-social risktakers (police officers and firefighters). The motives of the pro-social group are relatedto factors other than thrill and adventure seeking (Levenson, 1990). High sensation see-kers also appear more willing than low sensation seekers to relocate from familiar tounfamiliar surroundings and to travel to exotic places, even when the journey involvesphysical hazards.
Drugs, Drinking, Crime, Fast Cars, and Online Poker! High sensation seekersare more likely than low sensation seekers to use and sell illicit drugs (and to do so at anearlier age), to drink alcoholic beverages, to shoplift, and to commit delinquent behavior.The subjects in these studies included Blacks in the United States (9 to 15 years old), univer-sity students in South Africa (16 to 49 years old), high school students and adults in theUnited States, and teens in Norway (12 to 16 years old) (see Bacon, Burak, & Rann, 2014;Hampson, Tildesley, Andrews, Barckley, & Peterson, 2013; Hansen & Breivik, 2001; Maho-ney, Thompson-Lake, Cooper, Verrico, Newton, & De la Garza, 2015; Peltzer, Malaka, &Phaswana, 2001; Stanton, Li, Cottrell, & Kaljee, 2001).
Studies of American high school and college students found that high sensation seekerswere more likely to smoke, use alcohol and drugs, drive fast, have more car accidents andconvictions for reckless or drunk driving, and engage in frequent sex (McAdams & Donnel-lan, 2009; Ortin, Kleinman, & Gould, 2012; Ravert, Schwartz, Zamboanga, Kim,Weisskirch, & Bersamin, 2009). Research in Spain and in France confirmed the linkbetween high sensation seeking and speeding and drunk driving (Delhomme, Chaurand,& Paran, 2012; Gonzales-Iglesias, Gomez-Fraguela, & Luengo, 2014).
Online poker players in France tended to score higher in sensation seeking and toexperience strong feelings of arousal while doing so than those who did not play pokeronline (Barrault & Varesconi, 2013).
Risky Sexual Behaviors A study of young Black women in the United States (ages 15–21) found that those who scored high on a measure of sexual sensation seeking reportedgreater sexual risk-taking behaviors—such as more instances of intercourse with morepartners and less use of condoms—than those who scored low (Spitalnick et al., 2007).
In Zuckerman’s research, 16 percent of the high sensation seekers reported riskyhomosexual encounters, as compared with 7 percent of low sensation seekers. Amongcollege men, high sensation-seeking scores correlated positively with risky sexual behav-ior which the men knew could expose them to AIDS (Zuckerman, 1994b). These find-ings were confirmed by research on older subjects.
The correlation between sensation-seeking scores and risky sexual behavior amonggay men (both Blacks and Whites) was so strong that the researchers concluded that
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high-sensation-seeking males constitute a high-risk group for AIDS (Fisher & Misovich,1990; Kalichman, Johnson, Adair, Rompa, Multhauf, & Kelly, 1994).
Cheating, Color Choices, and Tattoos There are several other ways in which highsensation seekers have been found to differ from low sensation seekers. Studies in Israelshowed that high sensation seekers are more likely to cross a street on foot against a redlight. They show a preference for so-called hot colors such as red and orange, rather thanpastels such as light blue (Rosenbloom, 2006a, 2006b).
A study of young people in Germany (ages 14–24) found that significantly more highsensation seekers had tattoos and body piercings than low sensation seekers (Stirn, Hinz,& Braehler, 2006). American college students who scored high in sensation seeking weremore likely to cheat on academic tests than those who scored low (DeAndrea, Carpenter,Shulman, & Levine, 2009).
Computer Use High school and college students in China who scored high in sensa-tion seeking were more likely to become obsessed with computer games and Internet use(Qing-Xin, Rong-Gang, & Yan, 2005; Zheng, Ming-Yi, Chun-Li, Jing, Jing, & Xiao-Yun,2006). Research on workers in the United States showed that high sensation seekers fre-quently used their workplace computers for personal reasons such as sending emails,playing computer games, and viewing Web sites with sexual content (Everton, Mas-trangelo, & Jolton, 2005). However, research with American college students did not sup-port such a relationship (Velezmoro, Lacefield, & Roberti, 2010).
Job Performance A study of 233 low-level employees in the United States found thathigh sensation seekers scored lower on job performance than low sensations seekers.High sensation seekers were also less likely to establish social relationships at theirplace of employment or try to obtain information from co-workers or supervisors. Theresearchers suggested that such lower level jobs might not be sufficiently stimulating forhigh sensation seekers (Reio & Sanders-Reio, 2006).
Personality Differences
Zuckerman and other researchers correlated sensation-seeking scores with a number ofdistinct personality factors. They found that SSS scores, particularly on disinhibition,were related to Eysenck’s factor of extraversion and to the asocial tendencies associatedwith psychoticism. As a result of this finding, Zuckerman suggested that high sensationseekers are egocentrically extraverted, which means they are concerned with other peopleonly as an audience or a source of stimulation. They do not relate to other people in adependent or nurturing way.
High sensation-seeking scores also correlated positively with extraversion as describedby Carl Jung and measured by the Myers-Briggs Type Indicator (Morehouse, Farley, &Youngquist, 1990). However, investigations of sensation seeking and neuroticism showedno correlation. Zuckerman suggested that SSS scores did not point to abnormal or neu-rotic behavior but that neuroses such as phobias and obsessive-compulsive behaviorsmight be related to low sensation seeking.
Research on college students and adults in the Netherlands found that high sensationseekers also scored high on the personality factors of openness to experience, extraver-sion, and conscientiousness (three of the factors of the five-factor model). They alsoscored high on two factors of the HEXACO model: emotionality and honesty-humility(de Vries, de Vries, & Feij, 2009).
High scores on the SSS correlated with a high degree of autonomy. High scorersopenly express their emotions. They are assertive in relating to others, nonconforming,
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and confirmed risk takers. They act independently of social conventions and of otherpeople’s needs and attitudes. Governed primarily by their own needs, they order theirlives to maximize opportunities for self-fulfillment. High scores on the SSS were alsopositively correlated with the openness to experience and the agreeableness dimensionsof the five-factor model of personality (Roberti, 2004).
Cognitive Processes
Correlations between sensation seeking and intelligence test scores are generally positivebut not high. A study of children in the Republic of Mauritius, an island nation in theIndian Ocean off the coast of Africa, found that those who scored high in sensation seek-ing at age 3 scored 12 points higher on intelligence tests at age 11 than children whoscored low in sensation seeking at age 3. The results were similar for boys and girls andwere not affected by the parents’ occupation or level of education (Raine, Reynolds, Ven-ables, & Mednick, 2002).
It has also been found that high sensation seekers did not earn better grades in school.Zuckerman suggested that because high sensation seekers were more involved in activerecreational pursuits, they used less time for study. Tests of creativity and originalityrevealed that high sensation seekers have a greater capacity for original thinking but donot always express it in their schoolwork. High SSS scorers seem to be attracted to spec-ulative, bizarre, even pseudoscientific ideas.
They also tend to engage in what Sigmund Freud called primary-process thought.They may have images, dreams, and daydreams so vivid that the distinction blursbetween these internal stimuli and the real world. Zuckerman suggested that becausehigh sensation seekers continually search for novel experiences, if they cannot findthem in external situations they may look inward and create a fantasy world.
Occupational Preferences
Because high sensation seekers have a greater need for stimulating and varied experi-ences, they tend to choose different jobs than low sensation seekers. On tests of voca-tional interests, such as the Kuder Occupational Interest Survey, high and low sensationseekers showed significant differences. High SSS scores correlated positively with scien-tific interests and negatively with clerical interests. Men with high SSS scores also scoredhigh on the Strong Interest Inventory scales showing interest in the helping professionssuch as psychologist, physician, psychiatrist, social worker, and minister.
Their scores correlated negatively with business sector jobs such as accountant, pur-chasing agent, and banker. Women with high SSS scores had high interest test scores forthe profession of lawyer and low interest test scores for elementary school teacher. Highsensation seekers of both sexes who were interested in the helping professions expresseda preference for risky, cutting-edge jobs such as crisis intervention work or paramedicduty on emergency response teams.
Attitudes
High sensation seekers tend to be more liberal in their political and religious attitudes thanlow sensation seekers. Those with high SSS scores are more likely to express atheistic viewsrather than belief in any conventional religion. High scorers on the SSS also express morepermissive attitudes toward sexual behavior, whether their own or that of other people. Lowsensation seekers are more likely to be frequent churchgoers. They scored high on measuresof authoritarianism, a personality style typically characterized by rigid opinions and preju-diced attitudes. Low sensation seekers also show a low tolerance for ambiguity. They believethat ambiguous ideas and situations are threats rather than challenges (Zuckerman, 1994a).
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Heredity versus Environment
A large amount of research consistently shows a strong hereditary basis for thesensation-seeking personality factor (Zuckerman, 2013). A study by Eysenck suggestedthat 58 percent of this trait could be accounted for by genetic factors (Eysenck, 1983).A twin study conducted jointly by Zuckerman and Sybil Eysenck found an even greatergenetic component (Zuckerman, 1993). However, research comparing 14- to 20-year-olds in Turkey and in Wales on their motivation to undertake risky behaviorsfound small but significant differences between the two cultures, which suggest theimportance of learning (an environmental factor) (Kloep, Guney, Cok, & Simsek, 2009).
Zuckerman also recognized the influence of other situational or environmentalfactors, such as parental sensation seeking. Low-sensation-seeking parents may be overlyfearful, protective, and inhibiting of their children, forbidding them to engage in adven-turous behaviors. High-sensation-seeking parents may encourage and reinforce theirchildren for engaging in unusual activities, thus providing an environment that promotesadditional sensation-seeking behaviors.
Ongoing research suggests that other environmental factors in childhood and adoles-cence that may affect the level of sensation seeking. A study of teenagers in Swedenfound that those who scored high in impulsivity and sensation seeking and who attendedmore privileged schools committed fewer crimes than those with equally high levels ofsensation seeking and impulsivity who went to less privileged schools (Eklund & Fritzell,2014).
It has also been found that children who were raised in orphanages or other types ofinstitutionalized care and who scored high in sensation seeking were much less likely toget into trouble than those with equally high sensation-seeking scores brought up inprivate homes (Loman, Johnson, Quevedo, Lafavor, & Gunnar, 2014).
Scores on the SSS in early studies supported the idea that first-borns and only-borns(both boys and girls) were higher in sensation seeking than later-borns. Because first-borns and only-borns receive more stimulation and attention from their parents at anearly age, they are likely to be exposed to a greater optimal level of stimulation, predis-posing them to sensation-seeking behavior as adults (Zuckerman, 1979). However, laterresearch conducted in England failed to find any correlation between birth order andsensation seeking (Crozier & Birdsea, 2003).
HIGHLIGHTS: Research on Zuckerman’s Ideas
People who score high in sensation seeking tend to:
• Score high in adventure-seeking, disinhibition, and susceptibility to boredom• Live in Westernized cultures• Takes risks, do drugs and alcohol, drive fast, and engage in frequent sex• Spend a lot of time playing computer games• Be extraverted, open to new experiences, conscientious, and emotional• Be interested in the helping professions (such as psychologist or social
worker) rather than in business• Have liberal political and religious views• Be the only child or the first-born child in their family• Have more body piercings and tattoos
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Reflections on Sensation Seeking
Zuckerman’s focus on the sensation-seeking personality trait continues to stimulateresearch. Sensation seeking has been related to a wide range of behavioral, cognitive,personality, and physiological variables. His emphasis on the heritability of sensationseeking places his work in a different category from the behavioral and social-learningapproaches to personality, which focus on the influences of situational factors and oflearning.
Sensation-seeking theory has a commonsense appeal. It is easy to accept the ideathat people differ in their need for excitement and risk, change and adventure. We areusually aware of our own level of sensation seeking and make fairly accurate judgmentsabout the levels of our friends and relatives by considering the activities they enjoy oravoid. Zuckerman asked high and low sensation seekers to choose from a list of adjec-tives those that best described themselves. The results are shown in Table 14.3. Whichones would you choose?
Martin E. P. Seligman: Learned Helplessness andthe Optimistic/Pessimistic Explanatory Style
In the mid-1960s, psychologist Martin Seligman (1942–) at the University of Pennsylvania,who would later lead the happiness and positive psychology trend in psychology,began research on a limited-domain facet of personality called learned helplessness. Hefirst saw this phenomenon in an experiment on dogs on his first day as a graduatestudent. It marked the beginning of the direction of his future in psychology, and the futureof psychology itself.
The dogs were being conditioned to associate a high-pitched sound with an electric shock.This was a simple Pavlovian classical conditioning situation involving respondent behavior(the pairing of the tone with the shock). But that was only the first part of the study.
In the second part, the dogs were placed one at a time in a large box that contained twocompartments divided by a low wall. A shock was delivered through the floor of the compart-ment in which the dog had been placed. To escape the shock, the dog had to show the appro-priate operant behavior, that is, to simply jump over the low barrier into the othercompartment where there was no electric shock. Once the dogs learned to jump over the
TABLE 14-3 Self-descriptions of high and low sensation seekers
HIGH SENSATION SEEKERS LOW SENSATION SEEKERS
Enthusiastic Frightened
Playful Panicky
Adventurous Tense
Elated Nervous
Imaginative Shaky
Daring Fearful
Zany Worried
Mischievous Upset
Source: From Zuckerman, M. (1978). Sensation seeking. In H. London and J. E. Exner, Jr. (Eds.), Dimensionsof Personality. New York: Wiley.
learned helplessnessA condition resultingfrom the perceptionthat we have no controlover our environment.
Chapter 14: Facets of Personality: Taking Control, Taking Chances, and Finding Happiness 385
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wall—something dogs can be expected to do quickly—they would be tested to see if the high-pitched tone without the electric shock would bring about the same response.
A Shocking Finding
The research did not work out the way it was supposed to. The dogs did not jump overthe barrier to escape the shock. Instead, when the shock was administered through thefloor of their compartment they lay down, whimpered, and made no effort to escape.
The experimenters were baffled, but Seligman thought he had a clue. He suggestedthat perhaps during the first part of the experiment the dogs had learned that theywere helpless to change their situation. When the tone sounded, there was nothing theycould do to avoid the paired shock. Why even try? This learned reaction apparently gen-eralized to the second part of the experiment, even though a means of escape was avail-able. Seligman wrote,
I was stunned by the implications. If dogs could learn something as complex as the futility oftheir actions, here was an analogy to human helplessness, one that could be studied in the lab-oratory. Helplessness was all around us—from the urban poor to the newborn child to thedespondent patient with his face to the wall. Was this a laboratory model of human helpless-ness, one that could be used to understand how it comes about, how to cure it, how to preventit, what drugs worked on it, and who was particularly vulnerable to it? (1990, p. 20)
Determined to find the answers, Seligman launched a research program to studylearned helplessness, a condition he described as resulting from the perception that wehave no control over our environment, that there is nothing we can do to change oursituation. He expanded his research interests to include the issue of optimism versus pes-simism and, later, the issue of happiness.
Early Research
Studies with Dogs In Seligman’s initial experiments, dogs were harnessed andexposed to painful, though not physically harmful, electric shock. There was no actionthe dogs could take to escape or avoid the shock. After a series of shocks, the dogswere placed in a two-compartment shuttle box. As in the first experiment Seligman wit-nessed, a shock was administered through the floor of the compartment. The behavior ofthese dogs was compared with that of a control group of dogs that had not been exposedto the first electric shocks.
When the dogs in the control group were placed in the box and given the shock throughthe floor, they raced about the compartment until they accidentally leaped the barrier intothe safe compartment. On succeeding trials, they jumped the barrier more quickly eachtime, having learned that this was the way to escape. The dogs in the experimental group,who had received electric shocks before being placed in the shuttle box, behaved differently.After getting the shock through the compartment floor, they raced around for about 30 sec-onds and then gave up, dropping to the floor and whimpering. They never learned toescape, not even when experimenters tried to entice them over the barrier with food.These dogs had given up; they had become passive and helpless and would make no attemptto change their situation (Overmier & Seligman, 1967; Seligman & Maier, 1967).
Studies with Humans Learned helplessness has been demonstrated in many studiesusing human subjects. For example, people in an experimental group were exposed to aloud, irritating noise and told they could turn it off if they pressed a series of buttons inthe correct sequence. However, the conditions were arranged so that there was no correctsequence. No matter what action the subjects took, the noise continued. In the control
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group, people could turn off the noise by pressing the buttons in a sequence that was rela-tively easy to learn.
In the next step, the experimental subjects were placed in a situation in which all theyhad to do to stop the noise was move their hand from one side of a box to the other inresponse to a light signal. Control-group subjects rapidly learned this behavior butexperimental-group subjects could not. They sat passively, making no effort to dealwith the irritating noise (Hiroto, 1974).
Additional research confirmed and extended these findings. Learned helplessness wasfound to occur after human subjects simply observed helpless models, especially whenthe subjects recognized similarities between themselves and the models (Chamber &Hammonds, 2014). The experimenters in these and many other studies suggested thatthe subjects were saying, in effect, “If the models can’t do anything about this, then nei-ther can I.”
A meta-analysis of 132 studies involving several thousand people found that theeffects of inescapable shock were even stronger in human than in animal subjects.Learned helplessness effects were documented in adult men and women, college stu-dents, adolescents, children, elderly persons, unemployed women, and patients in psychi-atric hospitals (Li, Mardhekar, & Wadkar, 2012; Villanova & Peterson, 1991).
Learned helplessness can occur in everyday situations where we are subjected to con-tinuous intrusive stimuli over which we have no control, such as noise from a neighboror outdoors, or being cyberbullied on social media sites on the Internet (Evans & Stecker,2004; Rabinowitz, 2005; Zucchi, Bacheller, & Muscarella, 2012).
Learned Helplessness as Torture
The same techniques used in human and animal experiments have been applied by theCentral Intelligence Agency (CIA) and other organizations committed to fighting terror-ism. Prisoners have been placed in situations where no escape from painful stimuli ispossible. For example, one was placed inside a coffin for days, another was waterboarded83 times over 17 days, and others have been stripped and left in solitary confinement fordays while constant ear-splitting rock music was piped in.
After exposure to such conditions, the prisoners exhibited the same symptoms oflearned helplessness as subjects in the laboratory experiments. They became compliantand no longer tried to do anything about their conditions. When Seligman learnedabout this years later, he was “grieved and horrified” at the use to which his experimentshad been put (McCoy, 2014).
Learned Helplessness and Emotional Health
The beneficial effects on psychological health of having control over one’s life have beenwidely documented. Among cancer patients (ages 29–80), those with the highest percep-tion of control were better adjusted than patients who believed they had little controlover their situation. This finding held even for patients who were severely debilitated bytheir physical condition. Those who believed they could exert some influence over theirillness and recovery, and their emotions, showed greater psychological adjustment thanpeople in better physical condition but with a low perception of control (Thompson,Sobolew-Shubin, Galbraith, Schwankovsky, & Cruzen, 1993).
It has also been shown that people can learn to increase their feeling of control. Asample of men and women (average age 55) scheduled for extensive dental work wereassessed prior to treatment for their level of anxiety and their desire for control in a den-tal setting. Half the patients were shown a stress inoculation training video; the otherhalf (the control group) was shown a video about the local sights. Patients with low
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control in a dental setting but with a strong desire for greater control benefited the mostfrom seeing the stress training video. They believed they felt more control and less painduring the actual treatment than control-group patients who had received no stresstraining (Law, Logan, & Baron, 1994).
Animal Research on Learned Helplessness and Physical Health
To investigate whether learned helplessness could affect physical health, Seligman andhis associates designed a study in which rats were injected with malignant tumor cells.The rats were exposed to one of three conditions: an electric shock from which theycould escape, a shock from which they could not escape, and no shock (Visintainer,Volpicelli, & Seligman, 1982). Under normal circumstances, based on the number ofcells injected, half the rats would be expected to reject the cells and survive.
In the control group (no electric shock), 50 percent rejected the tumor as expected.Among the rats that received a shock but could escape—thus having some control overtheir situation—70 percent rejected the tumor and survived. But in the learned helpless-ness group—the group that could not escape the shock—only 27 percent of the ratsrejected the malignant cells and survived.
These results were supported in a similar study of young rats. When the rats reachedadulthood, they received injections of malignant cells and were exposed to the samethree experimental conditions. The majority of the rats who had learned to be helplesswhen young failed as adults to reject the tumors. In contrast, the majority of therats who had learned control when young rejected the tumors as adults (Seligman &Visintainer, 1985). Seligman concluded: “Childhood experiences proved to be crucial intumor rejection by adults. Childhood mastery immunized, and early helplessness putadult rats at risk for cancer” (1990, p. 170).
Learned helplessness was shown to weaken the immune systems of rats (Maier,Laudenslager, & Ryan, 1985). The immune system forms a major part of the body’sdefense against illness. It contains several kinds of cells, including T-cells and NK(natural killer) cells, which resist viruses, bacteria, and tumor cells. In rats subjected toinescapable shock, T-cells no longer multiplied rapidly in response to specific invaders,and NK cells lost their ability to destroy other infections. These findings may provide aphysiological explanation for the result that the helpless rats were unable to reject theirtumors.
Later research with rats demonstrated that most male rats exposed to uncontrollablestress never learn how to escape, whereas most female rats do learn to escape. Thus, thecondition of learned helplessness was easier to establish in males than in females, sug-gesting that females are less subject to the kind of dangerous physiological changesfound in the earlier study (Dalla, Edgecomb, Whetstone, & Shors, 2008).
Explanatory Style: Optimism and Pessimism
Seligman expanded his work on learned helplessness to encompass the factor of opti-mism versus pessimism. It is not only the lack of control under conditions of learnedhelplessness that affects our health but how we explain this lack of control to ourselves.He proposed the concept of explanatory style to account for this factor. An optimisticexplanatory style prevents helplessness; a pessimistic explanatory style spreads helpless-ness to all facets of life.
You may know from your own experience the basic difference between optimists andpessimists. Put simply, “optimists are people who expect good things to happen to them;pessimists are people who expect bad things to happen to them” (Carver & Scheier,2002, p. 231). Tending toward optimism or pessimism may determine many aspects of
explanatory style Away of explaining toourselves our relativelack of control over ourenvironment. An opti-mistic explanatorystyle can preventlearned helplessness;a pessimistic explan-atory style spreadshelplessness to allfacets of life.
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our life. For example, it has been found that optimists build better social networks andconnections, and are also better able to cope with physical pain (Carver & Scheier, 2014;Ramirez-Maestre, Esteve, & Lopez, 2012). Both are desirable and useful qualities for cop-ing with life situations.
Physical Health According to Seligman, people with an optimistic explanatory styletend to be healthier than people with a pessimistic explanatory style. Pessimists tend tobelieve that their actions are of little consequence and, as a result, are unlikely to try to pre-vent illness by changing their behavior with regard to smoking, diet and exercise, or timelymedical attention.
A study of young adults found that optimists were less likely than pessimists to getsick. However, when optimists did get sick, they were far more likely to take responsibil-ity for their care, such as resting, consulting a physician, or drinking appropriate fluids(Peterson, Maier, & Seligman, 1993). In a study of college undergraduates, pessimists hadtwice as many infectious illnesses over a one-year period than did optimists.
Research in Finland found that optimists recovered a positive attitude more quicklyfollowing the severe illness or death of a family member than did pessimists (Kivimaki,Vahtera, Elovainio, Helenius, Singh-Manoux, & Pentti, 2005). Optimists are also muchmore likely to cope better with health problems, to recover faster from certain medicalprocedures, and to manage stress better (Aspinwall & Tedeschi, 2010).
Among breast cancer patients experiencing a recurrence, optimists lived longer over afive-year period of study, independent of the severity of their illness. Among a group ofwomen in Norway diagnosed with breast cancer, those who scored high on pessimismwere far more likely to be anxious and depressed one year following treatment thanthose who scored low on pessimism (Schou, Ekeberg, Ruland, Sandvik, & Karesen,2004). Another study of these same women found that their levels of optimism and pes-simism remained stable for the year following treatment regardless of whether theirprognosis was favorable or unfavorable (Schou, Ekeberg, Sandvik, & Ruland, 2005).Breast cancer patients who score high on optimism have also been found to functionbetter socially and mentally and to report a higher quality of life than those who scorehigh in pessimism (Colby & Shifren, 2013).
Optimists seem to develop stronger immune systems and are more likely to recoverfrom heart attacks and to experience less pain and fewer symptoms following heart sur-gery than pessimists (Peterson & Seligman, 1987; Peterson, Maier, & Seligman, 1993;Ronaldson, Poole, Kidd, Leigh, Jahangiri, & Steptoe, 2014).
A study of first-semester law school students found that those who scored high for anoptimistic explanatory style had a significantly greater number of T-cells and NK cells,which protect against infections, than those who scored low on optimism (Segerstrom& Taylor, 1998). Research on men and women (ages 30–45) found that those who scoredhigh on pessimism held more negative beliefs about their lives and had higher bloodpressure readings than those who scored low on pessimism (Räikkönen, Matthews,Flory, Owens, & Gump, 1999).
Optimism can be beneficial in coping with AIDS. In a study of homosexual and bisex-ual men, some had been diagnosed as HIV-negative and others as HIV-positive (likely todevelop AIDS). Those who scored high on optimism scored lower on psychological dis-tress, had fewer worries about illness, believed they were at lower risk for developingAIDS, and thought they would have a higher degree of control over the disease thanthose who scored low on optimism. Those who were already HIV-positive were foundto be more optimistic about not developing AIDS than those who were HIV-negative(Taylor, Kemeny, Aspinwall, Schneider, Rodriguez, & Herbert, 1992).
Chapter 14: Facets of Personality: Taking Control, Taking Chances, and Finding Happiness 389
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Although such beliefs may be illusory, they helped the subjects cope with a serioushealth threat and minimized the depression that often accompanies a major illness. Inaddition, the men highest in optimism were no more likely to engage in high-risk sexualbehaviors than those lowest in optimism. In general, those highest in optimism took bet-ter care of their health.
Longevity Optimists may live longer than pessimists. A long-range study of nuns inthe United States found that those who displayed optimism in the life stories they wereasked to write in their early 20s had a significantly lower death rate when surveyed 60years later than those who displayed pessimism in their early writings (Danner, Snow-don, & Friesen, 2001).
A study of patients under treatment for a variety of medical conditions showed that opti-mists had 19 percent greater longevity than pessimists when both groups were surveyed 30years later (Maruta, Colligan, Malinchoc, & Offord, 2002). A study of elderly men andwomen in England found that those who scored high in optimism were in far better physi-cal health than those who scored low (Steptoe, Wright, Kunz-Ebrecht, & Lliffe, 2006).
Age People over age 65 tend to have a more optimistic explanatory style and to scorehigher in subjective well-being than those who are younger. Research on elderly people inChina and in the United States showed that those who were more optimistic reportedgreater subjective well-being and less depression than younger people (Hirsh, Walker,Wilkinson, & Lyness, 2014; Isaacowitz, 2005a; Leung, Moneta, & McBride-Chang, 2005;Olson, Fanning, Awick, & Chung, 2014). Elderly optimists also tended to underreporttheir weight, whereas pessimists claimed they weighed more than they actually did (Sutin,2013).
Culture Studies of Black and Latina grandmothers who were the primary caregiversfor their grandchildren, and of Muslim college students in Kuwait and Oman, showedthat those who scored high in optimism were happier; suffered less depression, anxiety,and hostility; and reported fewer sleep disorders than people high in pessimism (Abdel-Khalek & Lester, 2010; Alansari & Kazem, 2008; Conway, Magai, Springer, & Jones,2008).
Cultural differences in explanatory style have been well documented. Optimism-pessimism measures were taken from college students in the United States and inChina, as well as college students of Chinese-American heritage. It was found that theAmerican subjects were more optimistic than the Chinese Americans, and that the Chi-nese Americans were more optimistic than the mainland Chinese (Lee & Seligman,1997). College students in Kuwait scored significantly lower on optimism than collegestudents in the United States (Abdel-Khalek & Lester, 2006). Among college students inItaly, men demonstrated more optimism than women (Colombo, Balbo, & Baruffi, 2006).
A comparison of college students in the United States and Japan found that Japanesestudents were more pessimistic than American students. The American students were farmore likely to predict that positive events would happen to them rather than to otherpeople. In contrast, Japanese students believed that positive events were much morelikely to happen to other people (Chang, Asakawa, & Sanna, 2001).
Stress Not surprisingly, stressful life experiences can affect one’s level of optimism. Agroup of adults who were primary caregivers for relatives with Alzheimer’s disease werecompared on measures of optimism-pessimism with a group of adults who were not act-ing as caregivers. The caregivers grew increasingly pessimistic over a four-year period
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and experienced greater anxiety, stress, and physical health complaints (Robinson-Whelen, Kim, MacCallum, & Kiecolt-Glaser, 1997).
College students who scored higher on optimism at the beginning of their first semes-ter experienced significantly less stress and depression during that semester than thosewho scored lower on optimism (Brissette, Scheier, & Carver, 2002). Similarly, middle-aged adults who scored high in optimism reported fewer symptoms of depression thanthose who scored high in pessimism (Chang & Sanna, 2001). Research on children fromthird to sixth grade found that those highest in optimism had fewer symptoms of depres-sion and fewer behavioral problems than children low in optimism (Ey et al., 2005).
Performance A study of American college students found that optimists typicallyearned better grades than pessimists. This finding also held for a study of collegestudents in Kuwait; optimists earned higher grades (El-Anzi, 2005). In addition, whenpessimists received lower grades than their peers, they reported being more depressedabout it than did optimists who received lower grades than their peers (Gibbons,Blanton, Gerrard, Buunk, & Eggleston, 2000).
Optimism in playing sports was studied in France and was shown to affect how wellan athlete can dribble a basketball. When 14- to 16-year-old boys and girls were led tobelieve that they had failed a dribbling contest, those who scored high in optimism wereless anxious, more confident, and performed better in a second test than those high inpessimism (Martin-Krumm, Sarrazin, Peterson, & Famose, 2003).
Cognitive Functioning Optimism and pessimism can influence cognitive function-ing. This was demonstrated in research on college student responses to positive and neg-ative stimuli. Students who scored high on pessimism were more likely to pay attentionto negative stimuli; students who scored high on optimism attended to both positive andnegative stimuli (Segerstrom, 2001).
People who areseverely depressedbelieve they arehelpless. They gener-alize their failure inone situation, such asa poor grade in onecourse, to all otheraspects of life.
©Wavebreakmedialtd/Shutterstock.com
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A study of college students in Germany found that optimists were flexible and adapt-able in their cognitive activities, whereas pessimists were more often inflexible, rigid, andlikely to give up pursuing their goals (Weber, Vollmann, & Renner, 2007).
The Downside of Optimism An optimistic explanatory style may not always be ofvalue (Schneider, 2001). For example, some optimists may hold unrealistic views abouttheir vulnerability to the effects of their behavior. As a result, they may drink or usedrugs to excess, telling themselves that such behaviors cannot hurt them because their atti-tude is so positive, despite evidence to the contrary. Highly optimistic college students whoexpected to perform well on an exam experienced greater disappointment after receivingtheir scores than did those who had been less optimistic about their exam performance(Sweeny & Shepperd, 2010).
Among college students gambling at a casino near their university, the optimists werefar more likely to continue gambling in the face of consistent losses, whereas the pessi-mists were more likely to stop. Apparently, the optimists maintained their positiveexpectations about winning even during a losing streak (Gibson & Sanbonmatsu, 2004).This type of unrealistic optimism—the belief that good things are much more likely tohappen to oneself than to others—is more widespread in individualistic cultures such asthe United States than in collectivist cultures such as China, and is more prevalentamong men than women (Lin & Raghubir, 2005).
On the other hand, unrealistic pessimism in the face of adversity, such as a seriousillness, may also be harmful. Telling yourself that you will never be able to cope or over-come the situation (thus also exhibiting low self-efficacy) may lead to a lack of effortand, consequently, a lack of success (Blanton, Axsom, McClive, & Price, 2001).
Pessimism and Depression Seligman found a strong association between learned help-lessness and depression. A major symptom of depression is the feeling of being unable tocontrol life events. Seligman referred to depression as the “ultimate pessimism.” People whoare severely depressed believe they are helpless. They see little point in trying to do anythingbecause they do not expect anything to work out well for them. Seligman observed severalsimilarities between the symptoms of depression and the characteristics of learned helpless-ness (Seligman, 1990).
All of us experience occasional feelings of helplessness when we fail in some situationor when family or job pressures seem overwhelming. No matter how unhappy or angry
HIGHLIGHTS: Research on Seligman’s Concept of Optimism
People who score high in optimism tend to:
• Get sick less often and experience less stress and depression• Live longer• Recover faster from the death of a family member• Live in individualistic cultures such as the United States rather than in col-
lectivistic cultures• Earn better grades• Be more flexible and adaptable in their cognitive activities• Dribble a basketball better
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we may feel at the moment, however, most of us usually recover after a period of time.But some people do not recover quickly or easily. They may generalize their failure inone activity (say, earning a poor grade or failing to get a promotion) to other areas oflife and to their personal sense of self-worth. As a result, they start to feel helpless anddepressed in all situations and lose their impetus to strive.
As you can see from Table 14.4, depression is associated with symptoms of poorhealth such as ulcers, stress, and norepinephrine deficiency, which can cause low levelsof energy and increased depression. Depression also puts people at risk for physical ill-ness by reducing the effectiveness of the immune system, suppressing NK cell activityand altering white blood cell count, findings confirmed by more than 40 studies over a10-year period (Herbert & Cohen, 1993; Weisse, 1992).
According to Seligman, the important difference between people who recover fromtemporary depression and those who do not is their explanatory style. “A pessimisticexplanatory style changes learned helplessness from brief and local to long-lasting andgeneral,” he wrote. “Learned helplessness becomes full-blown depression when the per-son who fails is a pessimist. In optimists, a failure produces only brief demoralization”(1990, p. 76). Pessimists formulate explanations about negative situations in personaland pervasive terms, saying, for example, “It’s all my fault,” “It’s always going to be thisway,” or “It’s going to affect every aspect of my life.”
Seligman’s research on undergraduate students supports the hypothesis that learnedhelplessness leads to depression in people with a pessimistic explanatory style. At thebeginning of the semester, students were tested to determine their explanatory style andwere asked to state the course grade they believed would represent a personal failure ontheir part. After the midterm exam, the students took a personality test to measure theirlevel of depression. The results showed that 30 percent of those with an optimisticexplanatory style and who received grades they considered a personal failure showedsymptoms of depression. Among those with a pessimistic explanatory style who receiveddisappointing grades, 70 percent became depressed. Similar results were found in otherresearch with college students and in studies of third-grade elementary school students.In both cases, explanatory style predicted the incidence of depression (Nolen-Hoeksema,Girgus, & Seligman, 1987; Zullow & Seligman, 1985).
TABLE 14-4 Similarity of symptoms of learned helplessness and depression
LEARNED HELPLESSNESS DEPRESSION
Passivity Passivity
Difficulty learning that responses produce relief Difficulty learning that responses produce
outcomes
Lack of aggression Introjected hostility
Weight loss and anorexia Loss of libido
Norepinephrine depletion1 Norepinephrine depletion
Ulcers and stress Ulcers and stress, feelings of helplessness
1Norepinephrine acts as a neurotransmitter; severe depression is associated with norepinephrinedeficiency.
Source: Adapted from Learned Helplessness and Depression in Animals and Men, by M. E. P. Seligman.
Chapter 14: Facets of Personality: Taking Control, Taking Chances, and Finding Happiness 393
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Research conducted in the United States and in Finland found that those high in pes-simism were more likely to take antidepressant medication and to be at risk for suicidethan those who scored high on optimism (Chang, Yu, Lee, Hirsh, Kupfermann, & Kahle,2013; Kronstrom et al., 2014).
The Development of Learned Helplessness in Childhood
Although learned helplessness can occur throughout life, Seligman suggested that we areparticularly vulnerable to developing those feelings in infancy and early childhood. Dur-ing these formative years the experience of learned helplessness can predispose us to thepessimistic explanatory style (Seligman, 1975).
Infants begin life in a state of total helplessness, with no control over their environ-ment. As they mature, they become increasingly able to exercise control. They can cry,which brings parents or caregivers to tend to their needs. They can crawl, walk, andspeak, and the mastery of each skill brings greater possibilities for control, and also forfailure. Through these early interactions with the physical and social environments, achild’s sense of helplessness, or of mastery and control, will be determined.
When infants make a response, that activity may lead to some change in their envi-ronment, such as food, a toy, or a hug, or it may have no effect whatever. At a primitivelevel, infants form associations between responses and outcomes. If the responses do notlead to successful outcomes, the result is learned helplessness. Infants learn that particu-lar responses don’t work, and they may generalize this idea to other responses, believingthat none of them will work.
This generalized learned helplessness accompanies a sense of having no control over life.In contrast, a high correlation between responses and outcomes provides positive feedbackthat leads to feelings of mastery and control. A consistent explanatory style developsby about age 8 and is strongly affected by the parents’ explanatory style. Seligman wrote:“pessimistic parents also have pessimistic children” (Peterson, Maier, & Seligman, 1993,p. 293). Studies in India found that the childhood level of pessimism or optimism can bestrongly influenced by the parents’ level of education. The greater the parents’ formaleducation, the greater the optimism of their children (Daraei & Ghaderi, 2012).
However, it is important to note that research with adolescents in the Netherlandsand in other nations also found evidence that their attributional style was influenced bylearning as well as by genetic factors (Lau, Rijsdijk, & Eley, 2006; Mavioglu, Boomsma, &Bartels, 2015).
Learned helplessness may develop later in childhood in response to factors such asbullying from peers, a harsh school environment, or other negative experiences. Raceand poverty are also related to the development of learned helplessness. Students whohave frequent conflicts with peers and who are treated by schoolmates and by teachersas though they are less intelligent or skilled may develop learned helplessness (Orejudo,Puyuelo, Fernandez-Turrado, & Ramos, 2012). Low levels of social support from parentsand other family members can lead to high levels of pessimism in children (Ciarrochi &Heaven, 2008).
Reflections on Learned Helplessness
The concepts of learned helplessness and optimism versus pessimism have generatedhundreds of research studies. Seligman and his associates have applied the concepts tosports, politics, religion, child rearing, and job performance. Overall, a large and impres-sive body of data supports the learned helplessness concept. Seligman proposed a pro-gram of exercises to teach optimism to adults and to children, thus applying hisfindings beyond the laboratory to the home and the workplace. He has since extended
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his ideas to positive psychology and the factors that influence subjective well-being. Inother words, “What makes us happy?”
Martin Seligman: Positive Psychology
Positive psychology was advanced by Seligman in the late 1990s during his term as pres-ident of the American Psychological Association. He thought psychology should dealwith the best of human functioning—happiness, excellence, and optimal human growth.But before we discuss this idea, let’s examine Seligman’s own life, to see if it meets hisown criteria for happiness, or subjective well-being.
The Life of Seligman (1942–)
His writings suggest that he is not particularly happy himself. Despite all his success andeven celebrity status, he admitted that he is rarely happy, in the sense of feeling joyful. In2010, he ranked himself among the lowest 30 percent of people in terms of positive feel-ings and emotions. “A life can be perfectly good and perfectly satisfactory,” he told areporter, “with no positive feeling. My life is largely run around meaning and purposenow” (quoted in Burling, 2010, p. 14). In an earlier study of college students who scoredin the upper 10 percent of happiness, Seligman said that he was not a good candidate forthat upper 10 percent (Diener & Seligman, 2002).
However, he added that there are different kinds of happiness and that he is one ofthose who find their deepest satisfaction in being fully engaged in work. (His wife agreedthat Seligman is happiest at those times.)
When Seligman was 13, his father suffered a severe stroke that disabled him and ren-dered him almost helpless. The episode left the boy with his emotions completely “frozenover” as he put it. He later said that the ordeal was a “real important shadow” over hislife (quoted in Burling, 2010, p. 7).
Seligman attended to a private prep school in Albany, New York; most of the studentscame from wealthy upper-class families and Seligman felt like an outsider. He was keenlyaware of the differences between him and the other boys, and as a result felt isolated andalone. A close friend said that Seligman never lost that feeling. The friend said, “I thinkhe still might inwardly struggle with being accepted” (quoted in Burling, 2010, p. 6). ButSeligman was sufficiently intelligent and hardworking to be accepted at Princeton and toearn his Ph.D. at the University of Pennsylvania in 1967; he is currently director of theuniversity’s Positive Psychology Center. He is also a champion bridge player and haswon a number of tournaments.
Characteristics and Causes of Happiness
What does positive psychology tell us about the happy personality? How do happy peo-ple differ from people you would not describe as happy? Psychologists have variouslylabeled the happy personality in terms such as subjective well-being or life satisfactionand define it as encompassing a cognitive evaluation of the quality of one’s life experi-ence and the possession of positive moods and emotions. Thus, happiness has bothrational and emotional aspects. As you might expect, research has uncovered a varietyof factors that can influence happiness.
Money
Is money the first factor you thought of? It turns out that the old adage is true: “Moneydoes not buy happiness.” However, the absence of money can lead to unhappiness. Alevel of income adequate to pay for our basic needs is a necessary, though not sufficient,
Chapter 14: Facets of Personality: Taking Control, Taking Chances, and Finding Happiness 395
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prerequisite for happiness. Studies in Sweden, Turkey, and other European countriesfound that the lowest level of happiness was reported in low-income households andthat a major source of satisfaction is having a cash reserve available to handle minoremergencies (Berlin & Kaunitz, 2014; Drakopoulos & Grimani, 2013).
A survey conducted in 123 nations confirmed that life satisfaction varies with incomelevel. People who earn more money report being more satisfied, though not necessarilyhappier, than people who earn less (Diener, Ng, Harter, & Arora, 2010). Some researchsuggests that money may be mentioned as an important factor in happiness more fre-quently by people in the United States than by people in Europe (Mogilner, 2010).
Surveys also show that people who lack the money to provide for essentials areunhappy, but having money significantly beyond what is actually needed has little mea-surable effect on happiness. Even winning a huge amount in a lottery usually results inonly a temporary increase in subjective well-being (DeNeve & Cooper, 1998; Diener,Suh, Lucas, & Smith, 1999; King & Napa, 1998; Pappas, 2010).
So, if you believe all you need to be happy is a bigger house or more expensive car,think again. More and costlier possessions do not guarantee happiness. One researcherconcluded: “The more people endorse materialistic goals, the less happy and satisfiedthey are with life” (Van Boven, 2005, p. 133). Other research has shown that high-income people tend to experience greater stress and to devote less time to relaxationand leisure activities than those with lower incomes (Kahneman, Krueger, Schkade,Schwartz, & Stone, 2006).
Physical Attractiveness
Are attractive or beautiful people happier than people who are less attractive? Researchin the United States, Canada, England, and Germany says “yes.” Personal attractivenessdoes seem to increase happiness, but that may be because physical attractiveness gener-ally improves marriage prospects, job opportunities, and income potential (Anderson,Adams, & Plaut, 2008; Bennett, 2011; Hamermesh & Abrevaya, 2011). The relationshipbetween physical attractiveness and happiness was found to be stronger for people wholived in cities rather than rural areas. It was also observed that people in Finland whoappear obese are less happy than those who are not obese (Bockerman, Johansson,Saarni, & Saarni, 2014).
Health
The absence of good health can diminish happiness but being healthy is no guarantee ofhappiness. Thus, health appears to be a necessary but not sufficient condition for subjec-tive well-being. But if being healthy does not necessarily make you happy, being happycan contribute to your health and increase your life span. A review of more than 160studies confirms that scoring high in subjective well-being contributes to greater longev-ity and better health (Diener & Chan, 2011). A survey of 25 countries found that thosewho actively engage in exercise report a higher level of life satisfaction than those whodon’t exercise (Dolan, Kavetsos, & Vlaev, 2014).
Age
A survey of more than 300,000 Americans (ages 18–85) found that subjective well-beingand life satisfaction were high at 18, declined until around age 50, and then increased tothe point where 85-year-olds reported greater life satisfaction than 18-year-olds (Stone,Schwartz, Broderick, & Deaton, 2010). However, those findings have not been duplicatedin other countries. A large-scale survey conducted by the worldwide Gallup Poll
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organization found that in English-speaking, developed nations of Western Europe, sub-jective well-being dropped between the ages of 45 and 54. In less developed nations ofEastern Europe and the former Soviet Union, as well as Latin America, happinessdeclined overall with increasing age (Steptoe, Deaton, & Stone, 2015).
Adolescence
American adolescents who score high in subjective well-being are far more likely to haveparents who value them, show interest in them, and express concern about their futurethan those who score low. This relationship appears to be stronger for girls than boys(Rayle, 2005). The happier American adolescents had more positive relationships withpeers, reported lower anxiety and depression, and had greater hopes for the future.They expressed a feeling of greater personal control over their life than adolescents whoscored low in life satisfaction (Gilman & Huebner, 2006).
Teenagers in China who scored high in subjective well-being had better educatedparents who rarely quarreled with each other, compared to teenagers who scored low(Guo-Xing & Hai, 2006). Adolescents in Israel who felt they had a high degree of socialsupport from the community and from friends were happier than those who felt theyhad little such support (Ronen, Hamama, Rosenbaum, & Mishely-Yarlap, 2014).
Older People
Studies of older people suggest that happiness does not necessarily decline with advanc-ing age. The results are not consistent; however, some research shows an increase in hap-piness with advancing age, whereas others suggest that happiness peaks at 65 anddecreases thereafter (Lacey, Smith, & Ubel, 2006; Mroczek & Spiro, 2005).
Research on older adults in Germany (ages 70–103) found that those who experiencedhealth problems and physical limitations in old age suffered a decline in subjective well-being (Kunzmann, Little, & Smith, 2000). Another study on older Germans hospitalizedwith various disabilities found that it was not the physical impairments that decreasedsubjective well-being as much as the person’s attitude toward the infirmity. People withmore positive attitudes scored higher in subjective well-being than those who expressednegative attitudes (Schneider, Driesch, Kruse, Nehen, & Heuft, 2006).
Research with elderly subjects in Slovakia also demonstrated the relationship betweenattitude and happiness. Those who scored high in what the researchers called “a belief ina just world” reported greater happiness than those who did not subscribe to such abelief (Dzuka & Dalbert, 2006).
Physical exercise is an important component of subjective well-being in older people.Both aerobic exercise and resistance or strength training in the elderly show a strongpositive correlation with happiness (Netz, Wu, Becker, & Tenanbaum, 2005). Older peo-ple who have stronger social networks and supportive friends report greater happinessthan those who are more socially isolated (Pinquart & Soerensen, 2000).
Studies of 70- to 100-year-old people in the United States, England, and Germanyfound that impending death contributes to a decline in subjective well-being. Thelast three to five years of life are often marked by a rapid decline in reported happiness(Gerstorf, Ram, Estabrook, Schupp, Wagner, & Lindenberger, 2008; Gerstorf, Ram,Goebel, Schupp, Lindenberger, & Wagner, 2010).
Marriage and Social Support
If social support is important for subjective well-being as people age, does it follow thatolder persons who are married are happier than those who are not? Yes. The evidence is
Chapter 14: Facets of Personality: Taking Control, Taking Chances, and Finding Happiness 397
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clear from research conducted in more than 40 countries involving some 60,000 people;married people report higher levels of happiness than people who are divorced, sepa-rated, widowed, or who have never married (Carr, Freedman, Cornman, & Schwarz,2014; Diener, Gohm, Suh, & Oishi, 2000).
Married women of all ages have been found to be happier than unmarried women,and married men are happier than unmarried men (Batanowska-Ratij, Matysiak, &Mynarska, 2014; Mastekaasa, 1995). These findings held true in many countries includ-ing the United States and Poland. Happiness has been shown to decline for husbandsand for wives following the birth of their first child. In general, people who do nothave children report greater happiness than people with children; those with veryyoung children express the least happiness (Munsey, 2010). The lowest level of happinesshas been noted among unmarried mothers as a group (Ifcher & Zarghamee, 2014).
A longitudinal study of married couples followed over a 35-year period concludedthat happiness will vary in relation to the happiness of one’s spouse. The unhappinessof one member of a couple often leads to the unhappiness of the other; the converse isalso true (Hoppmann, Gerstorf, Willis, & Schaie, 2011). Research in Germany led to thefinding that people who go through more than one divorce score higher in life satisfac-tion after the second divorce than after the first one (Luhmann & Eid, 2009).
Social support correlates highly with subjective well-being in most countries. Researchin Israel found that life satisfaction was higher in people with strong social support net-works, and that this was particularly important for new immigrants (Litwin, 2005). Stud-ies in Finland showed that among recent immigrants, active social support was critical totheir psychological well-being (Jasinskaja-Lahti, Liebkind, Jaakkola, & Reuter, 2006).
Culture
In all major international surveys of happiness, Denmark consistently ranks highest(Hussain, 2014). Happiness varies across cultures, with a nation’s relative wealth beingof major importance. Countries marked by such poverty that satisfying basic needs isdifficult have much lower levels of happiness than more economically advanced coun-tries (Diener, Diener, & Diener, 1995; Veenhoven, 2005). Those who live in wealthiercountries rate themselves as happier than people in impoverished countries (Delhey &Dragolov, 2015; Diener, Ng, Harter, & Arora, 2010; Doherty & Kelly, 2010; Howell &Howell, 2008; Minkov, 2009).
Studies conducted in collectivist Eastern cultures such as China and Turkey revealedlittle relationship between social support and subjective well-being (Dan, Jun, & Ji-Liang,2006; Turkum, 2005). Research with college students in Turkey found that the chanceto provide social support to other people was significantly related to psychologicalwell-being, but receiving social support from others had no effect on psychologicalwell-being (Gencoz & Ozlale, 2004). Subjective well-being is markedly higher in individ-ualistic cultures such as the United States than in collectivist or group-oriented culturessuch as China (Diener, Suh, Smith, & Shao, 1995; Park & Huebner, 2005; Wirtz, Chie,Diener, & Oishi, 2009).
Descendants of immigrants from other cultures tend to reflect the subjective well-being characteristic of those cultures, even in the absence of continued directcontact. For example, people in Denmark and in Sweden report high subjective well-being, as do Americans whose ancestors came from these countries. Americanswhose ancestors came from cultures with lower levels of subjective well-being, such asHungary and Lithuania, have similarly lower levels of subjective well-being (Rice &Steele, 2004).
398 The Limited-Domain Approach
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Geography: Where You Live Is Important
A nationwide survey of Americans (ages 25–75) found different criteria for happiness invarious parts of the country (Plaut, Markus, & Lachman, 2002). People in the NewEngland states considered physical well-being, autonomy, and not feeling constrained asnecessary for subjective well-being. People in western south-central states (Texas,Oklahoma, Arkansas, and Louisiana) showed a greater concern with personal growthand feelings of cheerfulness and happiness as criteria for subjective well-being. Those ineastern south-central states (Kentucky, Tennessee, Mississippi, and Alabama) focusedmore on social responsibility and contributing to the welfare and well-being of othersas necessary for their own feelings of happiness.
Other research found that subjective well-being was highest in the west coast andmountain states, moderately high in the east coast states, and lowest in the midwesternand southern states. Overall, happiness was significantly related to higher income,higher level of education, and greater tolerance for the views of other people (Rentfrow,Mellander, & Florida, 2009).
A study conducted in regions of Germany over a 24-year period found that as peopleaged, the life satisfaction of those living in affluent areas remained higher than those livingin less affluent regions (Gerstorf, Ram, Goebel, Schupp, Lindenberger, & Wagner, 2010).
Race and Ethnicity
In multicultural societies, people with a stronger sense of ethnic identity rated higher insubjective well-being than people with low levels of identifying with their ethnic heritage(Le, Lai, & Wallen, 2009). Research on African-American college students found thatthose who felt a greater sense of identification with and acceptance by the Black commu-nity at their college or university reported higher levels of psychological well-being thanthose who felt less of an identification with and acceptance by fellow African Americans(Postmes & Branscombe, 2002).
When African-American adults were asked to rate their life satisfaction, those whohad experienced discrimination reported lower levels than those who had experiencedno discrimination. Those who attended predominantly White schools reported higherlife satisfaction levels than those who went to predominantly Black or mixed-raceschools, although this may have changed in the decades since this research wasconducted (Broman, 1997).
A study of older African-American adults (ages 55–93) found lower levels of life sat-isfaction among those who reported the stresses of racial discrimination (Utsey, Payne,Jackson, & Jones, 2002). Similar results were found in studies of Black college students.Those who reported higher levels of perceived racial discrimination had lower levels oflife satisfaction as well as greater symptoms of depression (Prelow, Mosher, & Bowman,2006; Seaton & Yip, 2009).
Personality
Considerable research has been conducted on the personality correlates of the happypersonality, particularly facets of the five-factor model (see Chapter 8). People whoscore low on neuroticism and high on extraversion, agreeableness, and conscientiousnessreport high levels of subjective well-being (DeNeve & Cooper, 1998; Hayes & Joseph,2003; Keyes, Shmotkin, & Ryff, 2002; Marrero, Quevedo, & Abella, 2011; Siegler &Brummett, 2000; Solo, 2015). Research in China found that extraversion was one of themost important predictors of subjective well-being (Zhang & He, 2010).
A study in 39 nations of Eysenck’s three personality factors, and a study in 26 nationsof the Big Five factors, found that low neuroticism and high extraversion correlated
Chapter 14: Facets of Personality: Taking Control, Taking Chances, and Finding Happiness 399
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significantly with national levels of subjective well-being (Steel & Ones, 2002). A com-parison of adult subjects in the United States and in Germany found that low neuroti-cism was the strongest predictor of subjective well-being (Staudinger, Fleeson, & Baltes,1999). Other research in more than 30 countries confirmed that low neuroticism andhigh extraversion were major correlates of subjective well-being (Gomez, Krings,Bangerter, & Grob, 2009; Libran & Howard, 2006; Lynn & Steel, 2006). Similar resultswere found in apes! The happiest orangutans in zoos in the United States, Canada,and Australia were those rated by zoo employees as being high in extraversion, low inneuroticism, and high in agreeableness (Weiss, King, & Perkins, 2006).
Overall, the importance of the primarily inherited factors of neuroticism, extraversion,and agreeableness as influences on subjective well-being in so many different culturessuggests that life satisfaction and happiness have a strong genetic component.
Additional personality variables contribute to subjective well-being. A study of collegestudents in the United States and in South Korea identified four factors contributing tohappiness: autonomy, competence, relatedness, and self-esteem (Sheldon, Elliot, Kim, &Kasser, 2001). Research in England with university students showed that gratitudewas strongly related to subjective well-being. The more grateful people were for theirpersonal circumstances, the happier they were (Wood, Joseph, & Maltby, 2009).
A study in Germany on nearly 10,000 adults demonstrated a possible negative effectof being highly conscientious. Among those who had lost their jobs, those highestin conscientiousness suffered a far greater drop in life satisfaction than those low in con-scientiousness (Boyce, Wood, & Brown, 2010).
Self-Efficacy and Internal Locus of Control
Both self-efficacy and internal locus of control are positively related to life satisfaction. Ingeneral, we are happiest when we feel competent in coping with life and in control of thereinforcers that are important to us. Studies in Germany and in Australia confirmed thatthe feelings of self-mastery and being in control of one’s life were strongly related to sub-jective well-being (Lang & Heckhausen, 2001; Windsor & Anstey, 2010). Autonomy(having a strong sense of self-determination) is a significant contributor to happiness(Schmutte & Ryff, 1997; Sheldon, Kasser, Houser-Marko, Jones, & Turban, 2005).Trust, emotional stability, self-esteem, and the ability to deal positively with stress allcorrelate with high subjective well-being (DeNeve & Cooper, 1998).
Thinking Positively
Having positive emotions such as joy, interest, love, and enthusiasm is linked to subjec-tive well-being (Frederickson, 2001). Similarly, negative emotions detract from a sense ofwell-being. Among eighth-graders and ninth-graders in Finland, having opportunities forself-fulfillment and social relationships in and out of the school environment correlatedhighly with subjective well-being (Konu, Lintonen, & Rimpelae, 2002).
Among college students, it was found that the factor of vengefulness (the desire toseek revenge or to hurt others) led to lower life satisfaction (McCullough, Bellah,Kilpatrick, & Johnson, 2001). Research on Holocaust survivors living in Israel foundthat even 60 years after the tragedy the traumatic effects lingered in the form of negativeemotions and low levels of subjective well-being (Ben-Zur & Zimmerman, 2005).
Goals
People high in subjective well-being differ from people low in subjective well-being interms of their motivations and goals. One research review concluded that life satisfaction
400 The Limited-Domain Approach
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was enhanced when the goals people set for themselves were concerned with personalgrowth and community contributions and were considered realistic and of value to theculture. People rated high in life satisfaction were intensely committed to achieving theirgoals and believed they were making progress toward those ends (Klug & Maier, 2015;Lyubomirsky, 2001).
Research on more than 3,000 managers in the United States (ages 25–74) found astrong positive relationship between life satisfaction and an orientation toward thefuture, which included actively planning for the future. The relationship was greater forolder managers than younger managers (Prenda & Lachman, 2001).
In Germany, research showed that the most important choices among life goals relat-ing to happiness included the characteristics of one’s partner, a healthy lifestyle, a properbalance between work and leisure, and social involvement (Headey, Muffels, & Wagner,2010).
Two studies—one of more than 13,000 college students from 31 countries, and theother of more than 7,000 students from 41 countries—found significant differences inthe ways happy and unhappy people perceive, judge, or construe events in their lives.“In assessing their life satisfaction, unhappy individuals appear to give greater weightthan happy individuals to what might be wrong in their lives…. In contrast, happy indi-viduals see through the proverbial rose-colored glasses and weigh the positive aspects oftheir lives more heavily than do unhappy individuals” (Diener, Lucas, Oishi, & Suh,2002, p. 444).
Happiness and Success
Which comes first: happiness and success? Are some people happy because they aresuccessful, or are they successful because they are happy? Research tends to show that happi-ness, or subjective well-being, leads to the kinds of behaviors that bring about success(Boehm & Lyubomirsky, 2008). People high in subjective well-being “are more likely tosecure job interviews, to be evaluated more positively by supervisors once they obtain ajob, [and] to show superior performance and productivity” (Lyubomirsky, King, & Diener,2005, p. 8).
HIGHLIGHTS: Research on Seligman’s Concept of Happiness
People who are happy tend to:
• Have more money and live in a wealthy country• Be more attractive• Exercise more as they get older• Be married and without children• Have a strong sense of ethnic identity• Be extraverted, conscientious, and high in self-efficacy and locus of
control• Not be neurotic• Be enthusiastic, optimistic, and grateful• Have goals, a healthy lifestyle, and a high degree of social involvement• Have a proper balance between personal life and work• Spend time on the Internet—or maybe not
Chapter 14: Facets of Personality: Taking Control, Taking Chances, and Finding Happiness 401
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Internet Use
Does the use of online social media affect happiness? A study of adolescents in Chinafound no significant effects on happiness of participation in online social interactions.However, college students in Italy showed an increase in subjective well-being and agreater feeling of closeness to their own social group and to society in general afterforming social relationships online (Biao-Bin, Man-Na, Bi-Qun, & Yong-Hong, 2006;Contarello & Sarrica, 2007).
Research in Taiwan found that use of the Internet had a slightly negative effect onsubjective well-being (Huang, 2010a). A large-scale study of Americans found a strongernegative effect. The more time people spent online—whether browsing, texting, checkingthe news, or joining a chat room—the lonelier and less happy they said they felt(Stepanikova, Nie, & He, 2010).
When American college students were assigned a classroom task, those students whoengaged in personal social media use performed more poorly on the task. They alsoexperienced higher levels of stress and lower levels of happiness than those who did notengage in social media use during the task (Brooks, 2015).
Overall, research on a large sample of people from a variety of rich and poor nationsfound that Internet communication made people happier, although some benefited morethan others (Penard, Poussing, & Suire, 2013). Those with lower incomes or who lived indeveloping nations reported greater life satisfaction as a result of the Internet. Also, morewomen than men reported feelings of empowerment from Internet use (Kelly, 2010). Wecan conclude from this research that the Internet works better for some people thanothers in contributing to subjective well-being.
LOG ON
Martin SeligmanVarious sites provide biographical information, discussions of his theory, research on rel-evant concepts, and links to other resources.
Pursuit of HappinessThis web site describes research and resources related to Seligman’s concepts. It includesa blog and a happiness quiz.
Different Kinds of Happiness: Meaning and Flourishing
As the field of positive psychology advanced, Seligman distinguished different kinds ofhappiness, or finding satisfaction in life, and he proposed three distinct types:
• Positive emotion: the pleasant life• Engagement: the engaged life• Meaning: the meaningful life
The pleasant life consists of a great deal of positive emotion such as satisfaction, jobcontentment, serenity, and optimism. The engaged life consists of engagement, involve-ment, purpose, commitment, and absorption in work. As Seligman noted, “time passesquickly” for this type of person. “Attention is completely focused on the activity. Thesense of self is lost” (Seligman, Rashid, & Parks, 2006, p. 777). Research indicates thathaving a purpose in life is related not only to finding meaning in life but also to healthyaging and longevity (Hill & Turiano, 2014).
402 The Limited-Domain Approach
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The meaningful life involves using one’s talents, abilities, and strengths to belong to,serve, or commit to some enterprise larger than the self. This could be a religion, organi-zation, political party, ideal, or anything else that transcends the self. Living a meaningfullife, Seligman wrote, “produces a sense of satisfaction and the belief that one has livedwell” (Seligman, Rashid, & Parks, 2006, p. 777). His research has shown that the pursuitof meaning and engagement are much more strongly correlated with happiness than thepursuit of pleasure (Schueller & Seligman, 2010).
In 2012, Seligman published a book titled Flourish: A Visionary New Understanding ofHappiness and Well-Being. He argued that “flourishing” is a better term than happinessor well-being to describe those who stand at the top of the happiness scale. This group—approximately 10 to 18 percent of the world’s population—includes those who not onlyfeel happy but who also excel in their relationships and accomplishments.
Seligman has concluded that happiness alone is not enough to give one’s life full anddeep meaning. To reach this higher level of flourishing, we must cultivate our talents andabilities, establish deep and meaningful relationships with others, and contribute in apositive and constructive way to the world around us. Happiness, which he now calls“positive emotion,” is but one of five pillars of the flourishing personality. These include:positive emotion (of which happiness and life satisfaction are part), engagement, rela-tionships, meaning, and achievement (Seligman, 2011).
Comment
Seligman’s original call for a positive psychology received an enthusiastic response. In2000, only two years after he introduced the topic, the Journal of Happiness Studies, thefirst such journal in the field, began publication. In 2002, he published a popular booktitled Authentic Happiness: Using the New Positive Psychology to Realize Your Potentialfor Lasting Fulfillment. The book was highly praised in reviews; Newsweek described thepositive psychology movement as a new age for psychology. Time magazine putSeligman’s picture on the cover and published a 40-page special issue. At Harvard themost popular undergraduate course, with enrollments exceeding 800, was on positivepsychology. In 2006, the Journal of Positive Psychology began publication. Positive psy-chology as a distinct branch of psychology has become phenomenally successful andwidespread.
In 2012, the Girl Scouts of America instituted a Science of Happiness Badge, whichmembers earn by undergoing a month-long course in strategies and techniques forachieving happiness (Wojcik, 2012). By 2014, more than 10,000 journal articles werebeing published annually; seminars were held, books written, and popular magazinesand talk shows were praising its goals. By 2015, a Google search for “happiness” gener-ated almost 350 million hits.
Chapter Summary
Rotter described those who believe that the reinforce-ment they receive is under their control as having aninternal locus of control; those who believe they haveno control over the reinforcements they receive have anexternal locus of control. Internals feel a stronger sense ofpersonal choice, are in better physical and mental health,are less bothered by stress, earn higher grades in school,score higher in job satisfaction and in life satisfaction,and have higher self-esteem than externals.
People become more internally oriented as theygrow older, reaching a peak in middle age. People inlower socioeconomic classes, in some minority groups,and in some cultural groups tend to be externals.Parents of internally oriented children tend to be sup-portive and consistent in their discipline, encouragingtheir child’s independence.
According to Zuckerman, sensation seeking is aninherited trait concerned with the need for novel and
Chapter 14: Facets of Personality: Taking Control, Taking Chances, and Finding Happiness 403
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complex sensations and experiences. Four componentsof sensation seeking are thrill and adventure seeking,experience seeking, disinhibition, and boredom suscep-tibility. Zuckerman later distinguished between goodsensation seeking, which is socialized and non-impulsive, and bad sensation seeking, which is unsocia-lized, impulsive, and characterized by high scores onmeasures of psychoticism.
Higher levels of sensation seeking are found amongWhite subjects, males, people from Western cultures,and young people from adolescence to their early 20s.High sensation seekers are more likely to use drugs,smoke, drink alcohol, drive fast, engage in frequent sex,gamble, take physical risks, and travel to dangerousplaces. In terms of personality, high sensation seekerstend to be extraverted, conscientious, open to experience,autonomous, assertive, nonconforming, and uninhibitedin expressing emotions. In cognitive functioning, highsensation seekers recognize symbols and figures morequickly and prefer complexity in visual stimulation.
Vocational interests of high-sensation-seeking malesare oriented toward science and the helping professions.Low-sensation-seeking males are more oriented towardclerical and business concerns. High sensation seekerstend to hold more liberal religious and political attitudes.They are higher in tolerance for ambiguity, more permis-sive in sexual attitudes, and lower in authoritarianism.They display stronger physiological responses to novelstimuli. Sensation seeking is primarily inherited but canbe influenced by environmental factors such as birthorder and parental level of sensation seeking.
Learned helplessness, investigated by Seligman,results from our perception that we have no controlover our environment. An optimistic explanatory stylecan prevent learned helplessness; a pessimistic stylespreads helplessness to all facets of life and can leadto physical illness and depression. Pessimists make per-sonal, permanent, and pervasive explanations to them-selves about negative events. Thus, helplessnesschanges from brief and localized to long lasting andgeneralized.
The attribution model of learned helplessnessinvolves attributing a failure to some cause. Pessimistsattribute their failures to internal, stable, and globalcauses. Optimists attribute their failures to external,unstable, and specific causes. Optimists tend to livelonger, enjoy better health, and experience less stressand depression than do pessimists.
Although learned helplessness can occur at any age,infants and young children are particularly vulnerable.Infants learn that a correspondence exists between theirresponses and outcomes when responses bring changesin their environment. They learn helplessness whenthese responses do not bring about desired changes.The major causes of learned helplessness are maternaldeprivation and an environment that provides a lowlevel of stimulation and feedback.
Positive psychology focuses on characteristics of thehappy personality—people who score high on mea-sures of subjective well-being or life satisfaction. Highsubjective well-being is associated with social supportand positive relations with others, a positive attitude,physical activity, not being a member of a minoritygroup that experiences discrimination, and living inan economically advanced individualistic society. Char-acteristics of the happy personality include low neurot-icism, high extraversion, autonomy, self-esteem, self-efficacy, an internal locus of control, and a sense ofbeing in control of one’s life. These people also tendto be successful in their careers, to be in better health,and to live longer.
Seligman posited three types of happiness: the pleas-ant life consisting of a great deal of positive emotion;the engaged life consisting of engagement, commit-ment, and absorption in work; and the meaningfullife consisting of committing one’s talents and abilitiesin the service of a cause or purpose larger than oneself.Seligman’s latest concept, flourishing, refers to thosewho are not only happy but who also score high inrelationships and accomplishments.
Review Questions
1. Describe how the global and the limited-domainapproaches to personality differ from one another.
2. How do internal and external locus-of-controlpeople differ in terms of their views of the sourceof the reinforcements they receive?
3. Give examples of how internal locus-of-controlpeople behave differently from external locus-of-control people.
4. If external locus-of-control people learned that atornado was approaching, would they be likely to
404 The Limited-Domain Approach
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believe there was nothing they could do abouttheir situation, or would they be likely to takesome action to protect themselves, their family,and their property? Why?
5. What parental behaviors foster a child’s internallocus of control?
6. Describe the racial, social class, and cultural dif-ferences found in research on internal versusexternal locus of control.
7. Discuss the differences in physical health betweeninternal locus-of-control and external locus-of-control people.
8. How do the concepts of locus of control and self-efficacy differ? In what ways are they similar?
9. Define sensation seeking and describe its fourcomponents.
10. How does Zuckerman distinguish between goodand bad sensation seeking? Which type are you?
11. What does research show about differences insensation seeking as a function of age, gender,culture, and race?
12. How do people high in sensation seeking differfrom people low in sensation seeking in terms ofpersonality and cognitive functioning?
13. Give examples of ways in which high sensationseekers behave differently from low sensationseekers.
14. Describe the occupational interests and politicalattitudes of high sensation seekers.
15. Discuss the relative importance of heredity andenvironment in determining sensation seeking.
16. Define learned helplessness and describeSeligman’s early research with dogs.
17. How can learned helplessness affect physicalhealth? How does it relate to depression?
18. Distinguish between optimistic and pessimisticexplanatory styles. How can they affect health?
19. Explain how learned helplessness can develop inchildhood.
20. Discuss the similarities and differences betweenSeligman’s contemporary version of positive psy-chology and the earlier humanistic psychology ofMaslow and Rogers.
21. Describe the effect on subjective well-being of eachof these factors: financial status, attractiveness,health, race, and culture.
22. In what ways do the personalities of people whoscore high in subjective well-being differ fromthose who score low?
23. Give examples of how geography, motivations andgoals, and Internet use can affect subjective well-being.
24. Describe the three components or types of happi-ness, according to Seligman. Which one corre-sponds most closely to Maslow’s concept of self-actualization?
25. How does Seligman’s concept of flourishing differfrom his earlier concept of subjective well-being?
Suggested Readings
Locus of Control
Rotter, J. B. (1993). “Expectancies.” In C. E. Walker(Ed.), The history of clinical psychology in autobiog-raphy (Vol. 2, pp. 273–284). Pacific Grove, CA:Brooks/Cole. Covers Rotter’s graduate training,academic experience, and the early work on locus ofcontrol. Also describes the growth of academicclinical psychology programs and related politicalcontroversies.
Sensation Seeking
Brannigan, G. G, & Merrens, M. R. (Eds.). (1993). Theundaunted psychologist: Adventures in research.Philadelphia: Temple University Press. Essays by adiverse group of academic psychologists about the
origins of their research interests. Includes a chapterby Zuckerman about personal and intellectualapproaches to research.
Zuckerman, M. (1991). Psychobiology of personality.New York: Cambridge University Press. Outlines abehavioral genetics approach to personality andsummarizes relevant research from neuropsychol-ogy, psychopharmacology, psychophysiology, andabnormal psychology.
Zuckerman, M. (2007). Sensation seeking and riskybehavior. Washington, DC, American PsychologicalAssociation. A comprehensive overview of the researchof Zuckerman and many others on the different kindsof behaviors of those who score high in sensationseeking, ranging from sex and crime to hang gliding.
Chapter 14: Facets of Personality: Taking Control, Taking Chances, and Finding Happiness 405
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Learned Helplessness
Seligman, M. E. P. (1975). Helplessness: On depression,development, and death. San Francisco: W. H.Freeman. Describes the early research on learnedhelplessness, its development in childhood, and itsimpact on depression and physical health.
Seligman, M. E. P. (2006). Learned optimism: How tochange your mind and your life. New York: Vintage.Describes differences in explanatory style betweenoptimists and pessimists and relates these styles tophysical and mental health. Offers techniques forchanging pessimism to optimism and tests to checkon your own levels of optimism or pessimism.
Positive Psychology
Comptom, W., & Hoffman, E. (2012). Positive psy-chology: The science of happiness and flourishing(2nd ed.). Belmont CA: Cengage. An overview ofpositive psychology, its significant research, and itsapplications to problems of everyday life.
Fave, A. (Ed.). The exploration of happiness: Present andfuture perspectives (2nd ed.). New York: Springer Sci-ence and Business Media. A collection of articles fromthe Journal of Happiness Studies covering major find-ings, issues, and challenges for future research.
Seligman, M. E. P. (2002). Authentic happiness: Usingthe new positive psychology to realize your potentialfor lasting fulfillment. New York: Free Press. A guideto developing positive emotions, positive character,and personal satisfaction.
Seligman, M. E. P. Martin Seligman: Journey fromlearned helplessness to learned happiness. A personaland professional account of how Seligman changedpsychology and himself, http://www.upenn.edu/gazette/0199/hirtz.html
Seligman, M. E. P. (2011). Flourish: A visionary newunderstanding of happiness and well-being. New York:Free Press. Seligman’s latest offering on positive psy-chology and his theory of well-being along withexercises that can be used to increase happiness.
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chapter 15Personality in PerspectiveThe Genetic Factor
The Environmental Factor
The Learning Factor
The Parental Factor
The Developmental Factor
The Consciousness Factor
The Unconscious Factor
Final Comment
Review Questions
In Chapter 1, we said that our purpose in this book was to explore the forces andideas that shape personality, to try to find out what makes us the way we are. Wehave discussed nearly two dozen theories, ranging from Sigmund Freud’s work atthe turn of the 20th century to contemporary developments in the 21st century.Because we have covered so many diverse approaches, you might be temptedto conclude that the field of personality is marked more by chaos than certainty,more by differences than agreements.
Which theory is correct? Which one solves the puzzle of personality? The mostcomplete answer we can suggest is that each of the theories discusses factorsthat are influential, to some degree, in shaping our personality. Each theorist hascontributed vital pieces to the puzzle. Now it is time to examine those pieces totry to see the whole picture.
We will summarize these diverse viewpoints in a brief and broad overview ofthe themes, or factors, that have emerged from the work of the various theorists.
• The genetic factor• The environmental factor• The learning factor• The parental factor• The developmental factor• The consciousness factor• The unconscious factor
The Genetic Factor
There is increasingly strong evidence that many personality traits or dimensions areinherited. These include:
• Eysenck’s dimensions of psychoticism, neuroticism, and extraversion (the latterderived from the work of Jung)
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• McCrae and Costa’s five-factor model of personality including neuroticism, extra-version, openness to experience, agreeableness, and conscientiousness
• Buss and Plomin’s three temperaments of emotionality, activity, and sociability.
In addition, Zuckerman’s trait of sensation seeking is primarily influenced by geneticfactors. Thus, the trait approach, with its emphasis on the impact of heredity, remains anecessary and useful area of personality research. What remains to be determined isprecisely how many inherited factors, traits, or temperaments there are. Would it beCattell’s sixteen, Eysenck’s three, McCrae and Costa’s five, Buss and Plomin’s three, orsome as yet undiscovered number?
Research involving twins from Canada, Germany, and Japan provides support for thegenetic basis of the five-factor model. The principal author of that study suggested thatthis may “represent the common heritage of the human species” (Yamagata et al., 2006,p. 96). Additional research has confirmed that the Big Five personality traits were increas-ingly stable over a period of 20 years from childhood into adulthood (Shiner, 2014).
Other studies in Germany and Belgium on twins and non-twin siblings found a highstability in traits during childhood and adolescence and into young adulthood, whichalso reinforces the importance of genetic factors in personality (DeFruyt, Bartels, VanLeeuwen, DeClercq, Decuyper, & Mervielde, 2006; Kandler, Bleidorn, Reimann, Spinath,Thiel, & Angleitner, 2010).
A large-scale research program ranging over 50 cultures as diverse as Israel, Korea, andTurkey found that the Big Five personality factors were displayed consistently in the majorityof the nations studied. It was mostly in developing countries such as Ethiopia, Lebanon,Malaysia, and Uganda that the traits of the five-factor model were found less consistently(Allik, Realo, & McCrae, 2013; Heine & Buchtel, 2009; Ispas, Illiescu, llie, & Johnson, 2014).
A study of adolescent twins (both fraternal and identical) in Sweden found a stronggenetic component of the psychopathic personality prone to violent antisocial behavior(Larsson, Andershed, & Lichtenstein, 2006). Other twin research showed that the degreeof heritability of the trait of anxiety increased between the ages of 14 and 18 (Garcia,Tully, Tarantino, South, Iacono, & McGue, 2013).
In addition to finding genetic components in major dimensions of personality, researchershave also noted some common, everyday behaviors that are influenced by genetics. Studies inthe United States, Finland, the French-speaking portion of Canada, and Sweden have foundevidence of genetic influences on sexual attitudes, on eating behaviors in 2-year-olds, ondepression in children who are victims of bullying, and on attitudes toward practicing playinga musical instrument. And with regard to gun ownership, identical twins were more likely toown guns than fraternal twins (Barnes, Boutwell, & Beaver, 2014; Butkovic, Ullen, & Mosing,2015; Dubois et al., 2013; Iyer, Dougall, & Jensen-Campbell, 2013; Westerlund, Santtila,Johansson, Jern, & Sandnabba, 2012). Additional research in behavior genetics will nodoubt yield even more facets of personality that are shaped by inherited factors.
No matter how many inherited traits there may be, however, not even the mostardent proponent of the genetics approach argues that personality can be completelyexplained by heredity. What we inherit are predispositions, not destinies; tendencies,not certainties. Whether our genetic predispositions are realized depends on social andenvironmental conditions, particularly those of childhood.
The Environmental Factor
Much research indicates that genetic effects are most important in infancy and the veryearly years, whereas environmental effects on personality become increasinglyimportant as we advance from childhood to adulthood. Environmental influences
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continue to affect our behavior and personality throughout our life (Briley & Tucker-Drob, 2014; Kandler, 2012).
Every personality theorist we have discussed acknowledged the importance of oursocial environment in influencing personality. Adler spoke of the impact of birth order,arguing that personality is influenced by our position in the family relative to our sib-lings. We are exposed to different parental and social problems and challenges as a func-tion of the age difference between our siblings, or whether we have siblings at all. InAdler’s view, these different home environments can result in different personalities.
Horney believed that the culture in which we grow up can produce different effects,such as those she found in the different kinds of neuroses exhibited by her German and herAmerican patients. She also pointed out the vastly different social environments to whichboys and girls are exposed as children. She spoke of female inferiority developing from theway girls are treated in a male-dominated culture. She suggested that women raised in amatriarchal culture might have higher self-esteem and different personality characteristics.
Even Allport and Cattell, who inaugurated the trait approach to personality, agreedon the importance of the environment. Allport noted that although genetics suppliesthe raw material of personality, it is the social environment that shapes the materialinto the finished product. Cattell argued that heredity is more important for some ofhis 16 personality factors than for others, but environmental influences will ultimatelyaffect every factor to some extent.
Erikson’s eight stages of psychosocial development are innate, but the environmentdetermines the ways in which those genetically based stages are realized. He believedthat social and historical forces influence the formation of ego identity. Maslow andRogers contended that self-actualization was innate but recognized that environmentalfactors could either inhibit or promote the self-actualization need.
Large-scale societal events such as wars and economic recessions can restrict our lifechoices and influence the formation of self-identity. More ordinary life changes, such asbecoming parents, getting a divorce, or changing jobs, can also affect our personality.
Even the time period in which you were born and reared can influence your personal-ity. Societal standards and attitudes, likes and dislikes, as well as the nature of externalthreats, are different for each generation and can have a substantial influence on personal-ity. This was supported by a major study comparing personality data of more than 50,000college students and young people. These two birth cohort groups, one from the 1950s andone from the 1980s, showed highly significant differences on two personality dimensions:anxiety and neuroticism. The 1980s group demonstrated substantially higher anxiety andneuroticism. These differences were attributed to decreases in social connectedness fromthe 1950s to the 1980s, as evidenced by a higher divorce rate, lower birth rate, later ageat first marriage, and more people living alone during the 1980s (Twenge, 2000).
Research in Finland found that having children can bring about personality changes.Becoming a parent is associated with increased levels of stress and anxiety as well aslower levels of marital and life satisfaction. The study also showed that emotionalityincreased in adults once they became parents; the more children they had, the greater theincrease in level of emotionality (Jokela, Kivimaki, Elovainio, & Keltikangas-Jarvinen,2009). Research in the United States, England, and Turkey also found that the status ofparenthood lowers marital satisfaction. The more children a couple had, the lower thelevel of marital satisfaction (Wendorf, Lucas, Imamoglu, Weisfeld, & Weisfeld, 2011).
Our jobs can also influence our personality. This was shown in a study of youngadults aged 18 to 26 living in New Zealand. Personality measures given at 18, andagain at 26, showed that those who had satisfying, high-status jobs at 26 had increasedin positive emotionality (well-being, social closeness, and feelings of achievement) anddecreased in negative emotionality (aggressiveness, alienation, and stress) since age 18.
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The researchers concluded that the nature of the workplace has the potential to affectour innate personality traits (Roberts, Caspi, & Moffitt, 2003).
Stressful life events, such as the death of a spouse or the loss of a job, may influencepersonality. Adults in the United States were studied in their mid-40s and again 10 yearslater. Those who scored high in neuroticism came to believe that the stressful life eventwas a turning point in their lives. Those high in extraversion felt they would learn a lessonfrom the stressful event. Those who experienced these stressful events as negative turningpoints became more neurotic over time, whereas those who saw them as an opportunity tolearn became even more extraverted (Sutin, Costa, Wethington, & Eaton, 2010).
Ethnic background and whether we are part of a minority or majority culture can alsohelp to determine personality. We saw examples of ethnic differences in such variables assensation seeking, locus of control, and the need for achievement. We also learned thatmembers of minority groups develop an ethnic identity as well as an ego identity andhave to adapt to both cultures. The success of this adaptation affects personality and psy-chological health. Among people in Canada who identified themselves as members ofminority groups, those with the strongest ethnic identities were highest in self-esteemand subjective well-being (Usborne & Taylor, 2010).
We also saw that culture is an important aspect of the environment that can shapepersonality. Western cultures tend to be more individualistic than Eastern cultures. Peoplein Western cultures tend to score higher on extraversion, sensation-seeking, and subjectivewell-being. People in Eastern cultures tend to score lower on these personality characteristics.
We noted in Chapter 14 the differences in subjective well-being that have been docu-mented from one geographical region to another. There are also differences in otheraspects of personality depending on where we live. For example, neuroticism is higherin northeastern and southeastern states of the United States. Agreeableness is higher inthe southern states. Extraversion was found to be higher in the northeast and lower inthe west (Rentfrow, 2010).
Personality can even vary by neighborhood. Children who grow up in economicallydisadvantaged neighborhoods are more likely to show maladaptive personality tendenciescharacterized by low resiliency and problem behaviors that can lead to social and emo-tional problems as they get older (Hart, Atkins, & Matsuba, 2008). A major study in thecity of London found that the level of life satisfaction, agreeableness, conscientiousness,and openness to experience varied in different neighborhoods throughout the city(Jokela, Bleidorn, Lamb, Gosling, & Rentfrow, 2015).
For all these reasons, then, it is impossible to deny the impact of diverse environmen-tal and social forces on personality. The most significant way in which that impact isexerted is through learning.
The Learning Factor
Evidence is overwhelming that learning plays a major role in influencing virtually everyaspect of our behavior, not only personality but our major life goals as well (Bleidorn,Kandler, Hulsheger, Reimann, Angleitner, & Spinath, 2010). All of the social and envi-ronmental forces that shape personality do so by the methods of learning.
Even inherited facets of personality can be modified, disrupted, prevented, or allowedto flourish by the process of learning. Skinner taught us the value of positive reinforce-ment, successive approximation, superstitious behavior, and other learning variables inshaping what others call personality, but which he described as simply an accumulationof learned responses.
Bandura introduced the idea that we learn from watching models (observationallearning) and through vicarious reinforcement. Bandura agreed with Skinner that mostbehaviors are learned and that genetics plays only a limited role.
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We discussed many aspects of personality that have scientific evidence to show thatthey are learned, such as self-efficacy (Bandura), locus of control (Rotter), learned help-lessness, and optimism versus pessimism (Seligman). These concepts appear to be relatedto the broader notion of level of control. People who believe they have control over theirlives are high in self-efficacy, have an internal locus of control, and are not characterizedby learned helplessness (which involves lack of control). In Seligman’s terms, people whobelieve they are in control are optimistic rather than pessimistic.
Control is beneficial to many aspects of life. A high degree of control has been relatedto better coping mechanisms, fewer stress effects, greater mental and physical health,perseverance, higher aspirations and self-esteem, lower anxiety, higher grades, andgreater social skills and popularity.
By whatever name—self-efficacy, internal locus of control, or optimism—control isdetermined by social and environmental factors. It is learned in infancy and childhood,though it can change later in life. We saw that specific parental behaviors can foster achild’s feeling of being in control. Thus, the notion of control is one of a number oflearned dimensions of personality for which parental behavior is paramount.
The Parental Factor
Although Freud was the first theorist to emphasize parental influences on the formationof personality, virtually every theorist thereafter has echoed his views to some degree.Recall Adler’s focus on the consequences for children who feel unwanted or rejected bytheir parents. Such parental rejection can lead to insecurity, leaving the person angry anddeficient in self-esteem. Horney wrote from her own experience about how lack ofparental warmth and affection can undermine a child’s security and result in feelings ofhelplessness.
Allport and Cattell, whose work was based on the importance of traits, also recog-nized the parental factor in personality formation. Allport considered the infant’s rela-tionship with the mother to be the primary source of affection and security, conditionscrucial to later personality development. Cattell saw infancy as the major formativeperiod, with the behavior of parents and siblings shaping the child’s character.
Erikson held that the child’s relationship with the mother in the first year of lifewas vital in promoting a trusting attitude. Maslow commented on how necessary itwas for parents to satisfy their child’s physiological and safety needs in the first twoyears of life. This was a prerequisite for the emergence of higher-order needs. Rogersspoke of the parents’ responsibility for supplying unconditional positive regard totheir children.
We have also seen examples of how parental behaviors can determine, or undermine,specific aspects of personality, such as self-efficacy, locus of control, learned helplessnessor optimism, and subjective well-being. Parental behaviors can influence primarily inher-ited traits such as sensation seeking. You can easily imagine how uncaring and punitiveparents could stifle the emergence of inherited traits such as extraversion, sociability,agreeableness, and openness to experience.
There is a great deal of evidence showing that children of parents who are describedas authoritative (that is, warm but firm in their child-rearing practices) are more compe-tent and mature than children of parents described as permissive, harsh, or indifferent.Researchers have noted that
Authoritative parenting is associated with a wide range of psychological and social advantagesin adolescence, just as it is in early and middle childhood … the combination of parentalresponsiveness and demandingness is consistently related to adolescent adjustment, schoolperformance, and psychosocial maturity. (Steinberg & Morris, 2001, p. 88)
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A study of adolescents in Singapore found that those whose parents were authorita-tive had greater confidence in their abilities and were better adjusted socially than thosewhose parents were authoritarian (strict, harsh, and demanding obedience) (Ang, 2006).A large-scale analysis of parent–child relationships found clear evidence that parents whowere high in extraversion, agreeableness, conscientiousness, and openness to new experi-ence behaved in more warm and consistent ways toward their children than parents whoscored low on those factors.
Parents higher in agreeableness and lower in neuroticism were also much more sup-portive of their children’s independence (Prinzie, Stams, Dekovic, Reijntjes, & Belsky,2009). Other research has found that parents play a major role in teaching their childrento be kind, caring, and helpful to others in need (Fortuna & Knafo, 2014).
We also discussed cultural differences in parental style. Parents in Arab cultures tendto be more authoritarian than authoritative. A study of mothers who had immigratedwith their children to Canada showed that the women from collectivist cultures such asEgypt, Iran, India, and Pakistan were more authoritarian than women from individualis-tic countries in Western Europe (Rudy & Grusec, 2006).
Considerable research also suggests that praise from parents can promote a child’ssense of autonomy, realistic standards and expectations, competence, and self-efficacy,and can enhance intrinsic motivation to achieve. And just as positive parental behaviorshave positive effects on children, negative parental behaviors have detrimental effects.
A review of research on the relationship between early childhood experiences andadult psychopathology showed consistently that the childhoods of depressed and anxiousadults were related to inadequate parenting. The parents were found to be more rejectingand abusive, and less caring and affectionate, than parents of less troubled adults(Brewin, Andrews, & Gotlib, 1993).
Another study found that mothers characterized by negative emotions and disagree-ableness had children who scored higher in defiance, anger, disobedience, and otherbehavior problems than did mothers who did not exhibit negative emotional qualities(Kochanska, Clark, & Goldman, 1997).
A 12-year study of children in Finland found that when mothers had hostile attitudestoward child rearing (attitudes measured when their children were 3 and 6 years old),their children were highly likely to have hostile attitudes by the time they became 15.Thus, hostile mothers were found to rear children who also became hostile (Raikkonen,Katainen, Keskivaara, & Keltikangas-Jarvinen, 2000). A longitudinal study in the UnitedStates comparing subjects at ages 5 and 31 found that restrictive, cold, and strict parent-ing of the 5-year-olds produced adults who scored high in conformity and low in self-direction (Kasser, Koestner, & Lekes, 2002).
A related question is what determines how parents behave. For a long time, it wasassumed that parents’ behavior reflected the way they had been raised by their own par-ents. In other words, parents learn how to behave from the way their own parents hadbehaved in raising them. A study of more than 20,000 families in a variety of countriesfrom Australia to Japan to the United States found that genetic factors accounted for asmuch as 40 percent of parental behavior. It also found that some parental behavior isinfluenced by how their child behaves (Klahr & Burt, 2014). That finding leads to thenotion that parents can both influence and reflect the behavior of their children.
What happens in situations when parents are not the primary caregivers, that is, whenparents share child-rearing responsibilities with day care workers, friends, or family memberswhile they work outside the home? In a national longitudinal survey of children ages 3 to 12,no significant problems with behavior or self-esteem were found when the mothers had jobsoutside the home. The researcher concluded that care-giving by someone other than thechild’s mother had no negative impact on the variables studied (Harvey, 1999).
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A unique real-world laboratory in which to explore the issue of surrogate caregivers isthe collective child-care arrangement in kibbutzim (communal settlements) in Israel. Inthat situation, mothers attend to their infants’ needs only for the first few months of life.Then the primary responsibility for child care is assigned to professional caregivers. Chil-dren typically spend more time with these surrogate mothers and fathers than they dowith their parents.
Overall, kibbutz children were found to function and adapt well, assuming they estab-lished a secure relationship with their parents during infancy. Indeed, the strength of thatbond was the strongest predictor of children who became dominant, independent, andachievement oriented. However, the barracks style sleeping arrangements (like summercamp or boarding school) in early childhood could lead to a more anxious, restrained,and emotionally flat personality. Adults reared on a kibbutz who failed to bond withtheir parents or caregivers showed introversion, diminished capacity for friendship, andreduced emotional intensity in interpersonal relations (Aviezer, Van Ijzendoorn, Sagi, &Schuegel, 1994).
A major controversy erupted in the late 1990s when it was suggested that parentalbehaviors have no long-term effects on their child’s personality outside the home.According to this idea, peers influence a child’s personality much more than do parents.Children adopt the behaviors, attitudes, values, and characteristics of their classmatesand friends in an effort to win their acceptance and approval. Proponents of this viewdo not completely deny the influence of parents on their child’s personality. What theydo dispute is the idea that parental influence is maintained outside the homeenvironment.
Parents do influence their children’s behavior. Of course they do. But the influence is in con-text, specific to the home. When children go out, they leave behind the behavior they acquiredat home. They cast it off like the dorky sweater their mother made them wear. (Harris, quotedin Sleek, 1998, p. 9)
Modest support for this proposal was provided by a study of twins in late adolescence.The results showed that twins who had more friends in common were more alike in per-sonality than were twins who had fewer friends in common. This suggests that friends,rather than the home environment, had a greater impact on their personality (Loehlin,1997).
Researchers who subscribe to the primacy of genetic factors in personality also tend toreject or minimize the parental effect, suggesting that the family environment contributeslittle to personality. However, this controversy may eventually be resolved—whether per-sonality is determined by parents, peers, genes, or some combination of factors—it leadsus to another question. Is personality fixed in early life by these influences or can it bechanged in later years? And that brings us to the developmental factor.
The Developmental Factor
Freud believed that personality was shaped and fixed by the age of 5 and that it wasdifficult after that to change any aspect of it. While it does seem clear that thechildhood years are indeed crucial to personality formation, research also indicates thatpersonality continues to develop well beyond childhood, perhaps throughout the entirelife span.
Theorists such as Cattell, Allport, and Erikson viewed childhood as important butagreed that personality could be modified in later years. Some theorists suggested thatpersonality development is ongoing in adolescence, whereas Jung, Maslow, Erikson, andCattell viewed middle age as a time of major personality change.
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The question is how long does our personality continue to change and grow? Does yourpersonality at age 20 indicate what you will be like at 40? As with many questions aboutpersonality, this one is highly complex. Perhaps it is not even the right question to ask.
It may not surprise you to learn that empirical evidence supports diverse viewpoints.Does personality change? Well, yes. Does personality also remain stable? Uh, probably,yes. But if we were to refine the question and ask whether some personality characteris-tics remain stable over a lifetime while other characteristics change, then we would beable to answer with an unqualified yes.
What has emerged from research is the suggestion that our basic foundation ofenduring personality dispositions—such as the traits described in McCrae and Costa’sfive-factor model as well as other aspects of personality—remains stable over manyyears. According to the evidence, these basic traits and capacities appear to be enduringfrom age 30 on (Nave, Sherman, Funder, Hampson, & Goldberg, 2010; Terracciano,McCrae, & Costa, 2010).
Some research shows that the factors of neuroticism, extraversion, and opennessdecline from college age to middle age, whereas the factors of agreeableness and consci-entiousness increase with age. Cross-cultural comparisons have demonstrated this con-sistency in such diverse countries as the United States, Germany, Italy, Portugal,Croatia, the Netherlands, Australia, and South Korea (Allemand, Zimprich, & Hendriks,2008; McCrae & Costa, 1997; Lucas & Donnellan, 2009; McCrae et al., 1999).
Other research has led to different results. For example, a 40-year study of severalhundred people found that scores on dominance and independence peaked in middleage, and that personality did not stop evolving and changing after age 20 (Helson,Jones, & Kwan, 2002). A meta-analysis of 152 longitudinal studies involving more than55,000 people showed a high level of consistency in personality traits at all ages. Thehighest level of consistency was found in adulthood (Roberts & Delvecchio, 2000).According to these findings, traits are consistent over the life span, reaching the highestlevel after age 50.
Additional research has focused on personality change in childhood and adolescence.A study of teenagers in Estonia ages 12 to 18 showed that their personalities, as mea-sured by the five-factor model, remained stable over the two-year period of the research(Pullmann, Raudsepp, & Allik, 2006). Research with American college students over 30months showed that they became more open, agreeable, and conscientious during thattime (Vaidya, Gray, Haig, & Watson, 2002).
Other longitudinal research has shown that both normal and abnormal personalityfactors may reach a peak of stability around age 30 and remain fairly stable for theremainder of the life span (Ferguson, 2010). However, a study in Switzerland foundthat people in their 60s tend to become less neurotic and less extraverted as they age,and less open to new experiences (Allemand, Zimprich, & Martin, 2008).
Studies of twins ranging in age from 64 to 98 found decreases with advancing age inextraversion, conscientiousness, and perceived control, and some indication of increasesin neuroticism. Overall, however, there was no significant change in feelings of well-being with advancing age (Berg & Johansson, 2014; Kandler, Kornadt, Hagemeyer, &Neyer, 2014).
A study of more than 32,000 people ages 21 to 60 conducted over the Internetshowed that conscientiousness and agreeableness increased through early and middleadulthood. Conscientiousness increased most strongly in the 20s; agreeableness increasedmost strongly during the 30s (Srivastava, John, Gosling, & Potter, 2003).
Other research suggests that people tend to become more dominant in socialsituations and more conscientious and emotionally stable, as they grow from youngadulthood to middle age (Roberts, Walton, & Viechtbauer, 2006). Large-scale studies
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also support the notion that personality remains generally stable after age 30 andinto late adulthood (Johnson, McGue, & Krueger, 2005; Terracciano, Costa, &McCrae, 2006).
A study of people in New Zealand ages 18 to 26 showed that personality changes dur-ing that period showed an increasing level of psychological maturity. The subjectsbecame more self-controlled and confident in social situations, and less angry and alien-ated. Women showed a higher level of psychological maturity overall than men (Roberts,Caspi, & Moffitt, 2001).
In a study of children ages 8 to 12, who were surveyed again 10 years later, personal-ity changes between the ages of 18 and 22 could be predicted to a significant extent bytheir personality characteristics in childhood (Shiner, Masten, & Tellegen, 2002). Whatall these studies confirm is that personality changes as we grow into adolescence andearly adulthood, a finding you have probably already observed in yourself.
What brings about personality change in adulthood? Many psychologists believe thatthe answer is rooted in social and environmental influences and in the adaptations wemake to them. Changes in economic circumstances, leaving college, marriage andparenthood, divorce, job loss or advancement, midlife crises, aging parents—all createproblems to which adults must adjust (McAdams & Olson, 2010).
A 3-year study in the Netherlands of men and women in their 40s found that thosewho had adapted to their expected social roles, such as success in a career and familylife, scored higher on the five-factor personality dimensions than those who had notadapted successfully. Thus, personality change was found to be associated with thesuccessful adaptation to typical midlife concerns (Van Aken, Denisson, Branje, Dubas,& Goossens, 2006).
In other instances of adjustment, people who have lost their jobs have shownsignificant increases in neuroticism and decreases in conscientiousness and extraver-sion. Adults who were actively dating and maintaining social relationships scoredlower in neuroticism and higher in extraversion, conscientiousness, and self-esteemthan people who were not dating (Costa, Herbst, McCrae, & Siegler, 2000; Neyer &Asendorpf, 2001).
These kinds of cultural and personal challenges leave their impact on the personality.One theorist suggested that personality continues to develop over time on three levels:dispositional traits, personal concerns, and life narrative (McAdams, 1994). Dispositionaltraits are inherited traits of the kind discussed by McCrae and Costa, those characteris-tics found to remain stable and relatively unchanging from age 30 on.
Personal concerns refer to conscious feelings, plans, and goals; what we want, how wetry to achieve it, and how we feel about the people in our lives. These may change oftenover the life span as a result of the diverse situations and influences to which we areexposed. Although these situations can alter our feelings and intentions, our underlyingdispositional traits (such as our basic level of neuroticism or extraversion) with which weconfront these life situations may remain relatively stable.
Life narrative implies shaping the self, attaining an identity, and finding a unified pur-pose in life. We are constantly writing our life story, creating who we are and how we fitinto the world. Like personal concerns, the life narrative changes in response to socialand environmental situations. As adults we may adjust our narrative to adapt to eachstage of life and its needs, challenges, and opportunities.
In sum, then, this view holds that the underlying dispositional traits of personalityremain largely constant, while our conscious judgments about who we are and who wewould like to be are subject to change. That idea leads to another factor personality the-orists have considered: consciousness.
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The Consciousness Factor
Almost every personality theory we have described deals explicitly or implicitly with con-scious (cognitive) processes. Even Freud and Jung, who focused on the unconscious,wrote of an ego or conscious mind that perceives, thinks, feels, and remembers, enablingus to interact with the real world.
Through the ego we are able to perceive stimuli and later recall an image of them.Jung wrote about rational functioning, making conscious judgments and evaluations ofour experiences. Adler described humans as conscious, rational beings capable of plan-ning and directing the course of our lives. We formulate hopes, plans, and dreams anddelay gratification, and we consciously anticipate future events.
Allport believed that people who are not neurotic will function in a conscious, ratio-nal way, aware of and in control of the forces that motivate them. Rogers thought peoplewere primarily rational beings, governed by a conscious perception of themselves andtheir world of experience. Maslow also recognized the role of consciousness when heproposed cognitive needs to know and to understand.
Kelly offered the most complete theory based on cognitive factors. He argued persua-sively that we form constructs about our environment and other people and that wemake predictions (anticipations) about them based on these constructs. We formulatehypotheses about our social world and test them against the reality of our experience.Based on everyday evidence, it is difficult to deny that people construe, predict,and anticipate how others will behave and then modify or adapt their behavioraccordingly.
Bandura credited people with the ability to learn through example and vicarious rein-forcement. To do so, we must be able to anticipate and appreciate the consequences ofthe actions we observe in others. We visualize or imagine the results of our reinforce-ments for behaving the same way a model does, even though we may never have experi-enced those consequences personally.
Thus, there is widespread agreement that consciousness exists and is an influence onpersonality. However, there is less agreement on the role or even the existence of anotherinfluence, that of the unconscious.
The Unconscious Factor
Sigmund Freud introduced us to the world of the unconscious, that murky repository ofour darkest fears, conflicts, and forces that affect our conscious thoughts and behaviors.Psychologists have found some evidence to support Freud’s notion that thoughts andmemories are repressed in the unconscious, and that repression (as well as other defensemechanisms) may operate at the unconscious level.
The cognitive movement in psychology has led to not only an interest in consciousprocesses but also a renewed interest in the unconscious. Recent research confirms thatthe unconscious is a powerful force, perhaps even more pervasive in its influence thanFreud suggested. However, the modern depiction of the unconscious is not the same asFreud’s view. Contemporary researchers focus on unconscious cognitive processes anddescribe them as more rational than emotional.
The rational unconscious is often referred to as the non-conscious, to distinguish itfrom Freud’s unconscious, his so-called dark cauldron of repressed wishes and desires.One method for studying the non-conscious involves subliminal activation, in which var-ious stimuli are presented to subjects below their level of conscious awareness. Despitethe subjects’ inability to perceive the stimuli, their conscious processes and behaviorscan be activated by those stimuli.
416 The Limited-Domain Approach
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The obvious conclusion to be drawn from such research is that people can be influ-enced by stimuli they can neither see nor hear. We also discussed the “Mommy and I areone” study about how subliminal presentation of certain stimuli influenced cognitive aswell as emotional responses (Silverman & Weinberger, 1985). The subliminal stimuli hadtherapeutic value even though the subjects had no conscious awareness of the actualmessages. Thus, the unconscious may have both a rational and an emotionalcomponent.
Although the unconscious is an ongoing research topic in psychology today, many ofthe personality theorists who followed Freud ignored it. We might suggest that the emo-tional unconscious as Freud envisioned it—the startling idea that signaled the formalbeginning of the study of personality—remains the least understood factor and still verymuch what it was in Freud’s time, mysterious and inaccessible.
Final Comment
As you have seen throughout this course, most aspects of personality also remain myste-rious and some are still not fully accessible. We have gone through diverse ways of defin-ing and describing personality, and each theory we have discussed has contributedanother part of the answer to that vital question of what is personality.
We have gone from the viewpoints of Sigmund Freud and his emphasis on anxiety,the unconscious, and a life of fear and repression to positive psychology and the charac-teristics of the happy personality. And we have covered many other ideas in between, allof which have added to our understanding. But there are more possibilities to consider,more to be learned, and no doubt new approaches will be presented, new theories as yetunimagined.
Your formal course work in this field may be ending, but the attempt to understandpersonality is not. Although it is true that enormous progress has been made in chartingpersonality and detailing the factors that shape it, the challenges of the field remainactive and dynamic. Perhaps the question, “What is personality?” is the most importantquestion of all for psychology, for it reflects the attempt to understand ourselves.
Review Questions
1. Think about the similarities and differencesbetween your personality and the personalities ofyour mother, father, or siblings. What factors doyou see in common, or have you turned out to betotally different from them?
2. As you matured, do you think your personalitywas still influenced as much by your parents, ordid your peers and the outside world, particularlyas you interacted through social media, becomemore dominant influences?
3. Think back to your early adolescence. Who do youbelieve influenced you more at that time, yourparents or your peers? Now that you are older,is your answer to that question the same?
4. Which of the approaches to personality discussedin this text did you find most helpful in
understanding yourself? Which was of the leastvalue to you?
5. What changes have you seen in your personalityfrom childhood to the present? Have there beenperiods in your life when you deliberately tried toalter your personality? Were you successful? If so,what techniques did you use?
6. Do you think it is possible to evaluate personalityaccurately enough to predict whether certain peo-ple will be happy, emotionally stable, or performwell on the job?
7. Have you learned anything useful or surprisingabout your own personality from this course?
8. Did this book leave you wanting to learn moreabout the study of personality, or have you hadenough?
Chapter 15: Personality in Perspective 417
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glossary
A
ability traits Traits that describe our skills and how efficientlywe will be able to work toward our goals.
actualization tendency The basic human motivation to actu-alize, maintain, and enhance the self.
aggressive drive The compulsion to destroy, conquer, and kill.
aggressive personality Behaviors and attitudes associated withthe neurotic trend of moving against people, such as a domi-neering and controlling manner.
analytical psychology Jung’s theory of personality.
anima archetype; animus archetype Feminine aspects of themale psyche; masculine aspects of the female psyche.
anxiety To Freud, a feeling of fear and dread without anobvious cause: reality anxiety is a fear of tangible dangers; neu-rotic anxiety involves a conflict between id and ego; moral anx-iety involves a conflict between id and superego.
archetypes Images of universal experiences contained in thecollective unconscious.
B
basic anxiety A pervasive feeling of loneliness and helpless-ness; the foundation of neurosis.
basic strengths To Erikson, motivating characteristics andbeliefs that derive from the satisfactory resolution of the crisis ateach developmental stage.
basic weaknesses Motivating characteristics that derive fromthe unsatisfactory resolution of developmental crises.
behavior modification A form of therapy that applies theprinciples of reinforcement to bring about desired behavioralchanges.
behavioral genetics The study of the relationship betweengenetic or hereditary factors and personality traits.
C
cardinal traits The most pervasive and powerful humantraits.
case study A detailed history of an individual that containsdata from a variety of sources.
castration anxiety A boy’s fear during the Oedipal period thathis penis will be cut off.
catharsis The expression of emotions that is expected to leadto the reduction of disturbing symptoms.
cathexis An investment of psychic energy in an object orperson.
central traits The handful of outstanding traits that describe aperson’s behavior.
cognitive complexity A cognitive style or way of construingthe environment characterized by the ability to perceive differ-ences among people.
cognitive needs Innate needs to know and to understand.
cognitive simplicity A cognitive style or way of construingthe environment characterized by a relative inability to perceivedifferences among people.
collective unconscious The deepest level of the psyche con-taining the accumulation of inherited experiences of human andpre-human species.
common traits Traits possessed in some degree by all persons.
compensation A motivation to overcome inferiority, to strivefor higher levels of development.
complex To Jung, a core or pattern of emotions, memories,perceptions, and wishes in the personal unconscious organizedaround a common theme, such as power or status.
compliant personality Behaviors and attitudes associated withthe neurotic trend of moving toward people, such as a need foraffection and approval.
419
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conditional positive regard Approval, love, or acceptancegranted only when a person expresses desirable behaviors andattitudes.
conditions of worth To Rogers, a belief that we are worthy ofapproval only when we express desirable behaviors and attitudesand refrain from expressing those that bring disapproval fromothers; similar to the Freudian superego.
conflict To Horney, the basic incompatibility of the neurotictrends.
conscience A component of the superego that contains beha-viors for which the child has been punished.
constitutional traits Source traits that depend on our physio-logical characteristics.
construct An intellectual hypothesis that we devise and useto interpret or explain life events. Constructs are bipolar, ordichotomous, such as tall versus short or honest versusdishonest.
constructive alternativism The idea that we are free to reviseor replace our constructs with alternatives as needed.
control group In an experiment, the group that does notreceive the experimental treatment.
coping behavior Consciously planned behavior determinedby the needs of a given situation and designed for a specificpurpose, usually to bring about a change in one’s environment.
correlational method A statistical technique that measures thedegree of the relationship between two variables, expressed bythe correlation coefficient.
creative power of the self The ability to create an appropriatestyle of life.
crisis To Erikson, the turning point faced at each develop-mental stage.
D
death instincts The unconscious drive toward decay, destruc-tion, and aggression.
defense mechanisms Strategies the ego uses to defend itselfagainst the anxiety provoked by conflicts of everyday life.Defense mechanisms involve denials or distortions of reality.
deficit (deficiency) needs The lower needs; failure to satisfythem produces a deficiency in the body.
denial A defense mechanism that involves denying the exis-tence of an external threat or traumatic event.
dependent variable In an experiment, the variable the experi-menter desires to measure, typically the subjects’ behavior orresponse to manipulation of the independent variable.
detached personality Behaviors and attitudes associated withthe neurotic trend of moving away from people, such as anintense need for privacy.
disinhibition The weakening of inhibitions or constraints byobserving the behavior of a model.
displacement A defense mechanism that involves shiftingid impulses from a threatening object or from one that isunavailable to an object that is available; for example,replacing hostility toward one’s boss with hostility toward one’schild.
dream analysis A technique involving the interpretation ofdreams to uncover unconscious conflicts. Dreams have a mani-fest content (the actual events in the dream) and a latent content(the symbolic meaning of the dream events).
dynamic traits Traits that describe our motivations andinterests.
E
early recollections A personality assessment technique inwhich our earliest memories, whether of real events or fantasies,are assumed to reveal the primary interest of our life.
ego To Freud, the rational aspect of the personality, responsiblefor directing and controlling the instincts according to the realityprinciple. To Jung, the conscious aspect of personality.
ego identity The self-image formed during adolescence thatintegrates our ideas of what we are and what we want to be.
ego-ideal A component of the superego that contains themoral or ideal behaviors for which a person should strive.
Electra complex During the phallic stage (ages 4-5), theunconscious desire of a girl for her father, accompanied by adesire to replace or destroy her mother.
encounter groups A group therapy technique in which peoplelearn about their feelings and about how they relate to (orencounter) one another.
entropy principle A tendency toward balance or equilibriumwithin the personality; the ideal is an equal distribution of psy-chic energy over all structures of the personality.
environmental-mold traits Source traits that are learned fromsocial and environmental interactions.
epigenetic principle of maturation The idea that humandevelopment is governed by a sequence of stages that depend ongenetic or hereditary factors.
equivalence principle The continuing redistribution of energywithin a personality; if the energy expended on certain condi-tions or activities weakens or disappears, that energy is trans-ferred elsewhere in the personality.
experimental group In an experiment, the group that isexposed to the experimental treatment.
expressive behavior Spontaneous and seemingly purposelessbehavior, usually displayed without our conscious awareness.
explanatory style A way of explaining to ourselves ourrelative lack of control over our environment. An optimistic
420 Glossary
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explanatory style can prevent learned helplessness; a pessimisticexplanatory style spreads helplessness to all facets of life.
external locus of control A belief that reinforcement is underthe control of other people, fate, or luck.
externalization A way to defend against the conflict caused bythe discrepancy between an idealized and a real self-image byprojecting the conflict onto the outside world.
extinction The process of eliminating a behavior by withhold-ing reinforcement.
extraversion An attitude of the psyche characterized by anorientation toward the external world and other people.
F
factor analysis A statistical technique based on correlationsbetween several measures, which may be explained in terms ofunderlying factors.
feminine psychology To Horney, a revision of psychoanalysisto encompass the psychological conflicts inherent in the tradi-tional ideal of womanhood and women’s roles.
fictional finalism The idea that there is an imagined orpotential goal that guides our behavior.
fixation A condition in which a portion of libido remainsinvested in one of the psychosexual stages because of excessivefrustration or gratification.
fixed role therapy A psychotherapeutic technique in which theclient acts out constructs appropriate for a fictitious person. Thisshows the client how the new constructs can be more effectivethan the old ones he or she has been using.
free association A technique in which the patient says what-ever comes to mind. In other words, it is a kind of daydreamingout loud.
fully functioning person Rogers’s term for self-actualization,for developing all facets of the self.
functional analysis An approach to the study of behavior thatinvolves assessing the frequency of a behavior, the situation inwhich it occurs, and the reinforcers associated with it.
functional autonomy of motives The idea that motives in thenormal, mature adult are independent of the childhood experi-ences in which they originally appeared.
G
growth (being) needs The higher needs; although growth needsare less necessary than deficit needs for survival, they involvethe realization and fulfillment of human potential.
H
hierarchy of five innate needs An arrangement of innateneeds, from strongest to weakest, that activates and directsbehavior.
historical determinism The view that personality is basicallyfixed in the early years of life and subject to little change thereafter.
I
id To Freud, the aspect of personality allied with the instincts;the source of psychic energy, the id operates according to thepleasure principle.
idealized self-image For normal people, the self-image is anidealized picture of oneself built on a flexible, realistic assessmentof one’s abilities. For neurotics, the self-image is based on aninflexible, unrealistic self-appraisal.
identity crisis The failure to achieve ego identity duringadolescence.
incongruence A discrepancy between a person’s self-conceptand aspects of his or her experience.
independent variable In an experiment, the stimulus variableor condition the experimenter manipulates to learn its effect onthe dependent variable.
individual psychology Adler’s theory of personality.
individuation A condition of psychological health resultingfrom the integration of all conscious and unconscious facets ofthe personality.
inferiority complex A condition that develops when a personis unable to compensate for normal inferiority feelings.
inferiority feelings The normal condition of all people; thesource of all human striving.
instinctive drift The substitution of instinctive behaviors forbehaviors that had been reinforced.
instinctoid needs Maslow’s term for the innate needs in hisneeds-hierarchy theory.
instincts In Freud’s system, mental representations of internalstimuli, such as hunger, that drive a person to take certainactions.
internal locus of control A belief that reinforcement isbrought about by our own behavior.
introversion An attitude of the psyche characterized by anorientation toward one’s own thoughts and feelings.
J
Jonah complex The fear that maximizing our potential willlead to a situation with which we will be unable to cope.
L
latency period To Freud, the period from approximately age 5to puberty, during which the sex instinct is dormant, sublimatedin school activities, sports, and hobbies, and in developingfriendships with members of the same sex.
L-data Life-record ratings of behaviors observed in real-lifesituations, such as the classroom or office.
Glossary 421
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learned helplessness A condition resulting from the perceptionthat we have no control over our environment.
libido To Freud, the form of psychic energy, manifested by thelife instincts, that drives a person toward pleasurable behaviorsand thoughts. To Jung, a broader and more generalized form ofpsychic energy.
life instincts The drive for ensuring survival of the individualand the species by satisfying the needs for food, water, air,and sex.
life-history reconstruction Jung’s type of case study thatinvolves examining a person’s past experiences to identifydevelopmental patterns that may explain present neuroses.
M
maldevelopment A condition that occurs when the ego con-sists solely of a single way of coping with conflict.
metamotivation The motivation of self-actualizers, whichinvolves maximizing personal potential rather than striving for aparticular goal object.
metaneeds States of growth or being toward which self-actualizers evolve.
metapathology A thwarting of self-development related tofailure to satisfy the metaneeds.
modeling A behavior modification technique that involvesobserving the behavior of others (the models) and participatingwith them in performing the desired behavior.
Myers-Briggs Type Indicator (MBTI) An assessment testbased on Jung’s psychological types and the attitudes of intro-version and extraversion.
N
negative reinforcement The strengthening of a response bythe removal of an aversive stimulus.
neurotic competitiveness An indiscriminate need to win at allcosts.
neurotic needs Ten irrational defenses against anxietythat become a permanent part of personality and that affectbehavior.
neurotic trends Three categories of behaviors and attitudestoward oneself and others that express a person’s needs;Horney’s revision of the concept of neurotic needs.
O
observational learning Learning new responses by observingthe behavior of other people.
Oedipus complex During the phallic stage (ages 4-5), theunconscious desire of a boy for his mother, accompanied by adesire to replace or destroy his father.
operant behavior Behavior emitted spontaneously orvoluntarily that operates on the environment to change it.
operant conditioning The procedure by which a change in theconsequences of a response will affect the rate at which theresponse occurs.
opposition principle Jung’s idea that conflict between oppos-ing processes or tendencies is necessary to generate psychicenergy.
organismic valuing process The process by which we judgeexperiences in terms of their value for fostering or hindering ouractualization and growth.
P
peak experience A moment of intense ecstasy, similar to areligious or mystical experience, during which the self istranscended.
penis envy The envy the female feels toward the male becausethe male possesses a penis; this is accompanied by a sense of lossbecause the female does not have a penis.
permeability The idea that constructs can be revised andextended in light of new experiences.
perseverative functional autonomy The level of functionalautonomy that relates to low-level and routine behaviors.
persona archetype The public face or role a person presents toothers.
personal construct theory Kelly’s description of personalityin terms of cognitive processes: We are capable of interpretingbehaviors and events and of using this understanding to guideour behavior and to predict the behavior of other people.
personal dispositions Traits that are peculiar to an individual,as opposed to traits shared by a number of people.
personal unconscious The reservoir of material that wasonce conscious but has been forgotten or suppressed. Personal-document technique.
personal-document technique involves the study of a person’swritten or spoken records.
personality The unique, relatively enduring internal andexternal aspects of a person’s character that influence behaviorin different situations.
person-centered therapy Rogers’s approach to therapy inwhich the client (not the “patient”) is assumed to be responsiblefor changing his or her personality.
play constructions A personality assessment technique forchildren in which structures assembled from dolls, blocks, andother toys are analyzed.
pleasure principle The principle by which the id functions toavoid pain and maximize pleasure.
positive regard Acceptance, love, and approval from others.
positive self-regard The condition under which we grantourselves acceptance and approval.
primary-process thought Childlike thinking by which the idattempts to satisfy the instinctual drives.
422 Glossary
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projection A defense mechanism that involves attributing adisturbing impulse to someone else.
projective test A personality assessment device in which sub-jects are presumed to project personal needs, fears, and valuesonto their interpretation or description of an ambiguousstimulus.
propriate functional autonomy The level of functionalautonomy that relates to our values, self-image, and lifestyle.
proprium Allport’s term for the ego or self.
psyche Jung’s term for personality.
psychoanalysis Sigmund Freud’s theory of personality andsystem of therapy for treating mental disorders.
psychohistorical analysis The application of Erikson’s lifespantheory, along with psychoanalytic principles, to the study ofhistorical figures.
psychological types To Jung, eight personality types based oninteractions of the attitudes (introversion and extraversion) andthe functions (thinking, feeling, sensing, and intuiting).
psychosexual stages of development To Freud, the oral, anal,phallic, and genital stages through which all children pass. Inthese stages, gratification of the id instincts depends on thestimulation of corresponding areas of the body.
psychosocial stages of development To Erikson, eightsuccessive stages encompassing the life span. At each stage,we must cope with a crisis in either an adaptive or amaladaptive way.
punishment The application of an aversive stimulus followinga response in an effort to decrease the likelihood that theresponse will recur.
Q
Q-data Self-report questionnaire ratings of our characteristics,attitudes, and interests.
Q-sort technique A self-report technique for assessing aspectsof the self-concept.
R
range of convenience The spectrum of events to which aconstruct can be applied. Some constructs are relevant to alimited number of people or situations; other constructs arebroader.
rationalization A defense mechanism that involves reinter-preting our behavior to make it more acceptable and lessthreatening to us.
reaction formation A defense mechanism that involvesexpressing an id impulse that is the opposite of the one that istruly driving the person.
reality principle The principle by which the ego functions toprovide appropriate constraints on the expression of the idinstincts.
reciprocal determinism The idea that behavior is controlled ordetermined by the individual, through cognitive processes, andby the environment, through external social stimulus events.
regression A defense mechanism that involves retreating toan earlier, less frustrating period of life and displaying theusually childish behaviors characteristic of that moresecure time.
reinforcement The act of strengthening a response by adding areward, thus increasing the likelihood that the response will berepeated.
reinforcement schedules Patterns or rates of providing orwithholding reinforcers.
reliability The consistency of response to a psychologicalassessment device.
repression A defense mechanism that involves unconsciousdenial of the existence of something that causes anxiety.
resistance In free association, a blockage or refusal to disclosepainful memories.
respondent behavior Responses made to or elicited by specificenvironmental stimuli.
S
safety need A higher-level need for security and freedom fromfear.
secondary traits The least important traits, which a personmay display inconspicuously and inconsistently.
secondary-process thought Mature thought processes neededto deal rationally with the external world.
self archetype To Jung, the archetype that represents the unity,integration, and harmony of the total personality.
self-actualization The fullest development of the self.
self-characterization sketch A technique designed to assess aperson’s construct system; that is, how a person perceives him-self or herself in relation to other people.
self-control The ability to exert control over the variables thatdetermine our behavior.
self-efficacy Our feeling of adequacy, efficiency, and compe-tence in coping with life.
self-reinforcement Administering rewards or punishments tooneself for meeting, exceeding, or falling short of one’s ownexpectations or standards.
self-report inventory A personality assessment technique inwhich subjects answer questions about their behaviors andfeelings.
sensation seeking The need for varied, novel, and complexsensations and experiences.
sentiments To Cattell, environmental-mold source traits thatmotivate behavior.
shadow archetype The dark side of the personality; the arche-type that contains primitive animal instincts.
Glossary 423
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social interest Our innate potential to cooperate with otherpeople to achieve personal and societal goals.
source traits Stable and permanent traits that are the basicfactors of personality, derived by the method of factor analysis.
striving for superiority The urge toward perfection or com-pletion that motivates each of us.
style of life A unique character structure or pattern of personalbehaviors and characteristics by which each of us strives forperfection. Basic styles of life include the dominant, getting,avoiding, and socially useful types.
sublimation A defense mechanism that involves altering ordisplacing id impulses by diverting instinctual energy intosocially acceptable behaviors.
subliminal perception Perception below the threshold of con-scious awareness.
successive approximation An explanation for the acquisitionof complex behavior. Behavior such as learning to speak will bereinforced only as it comes to approximate or approach the finaldesired behavior.
superego To Freud, the moral aspect of personality; the inter-nalization of parental and societal values and standards.
superiority complex A condition that develops when a personovercompensates for normal inferiority feelings.
superstitious behavior Persistent behavior that has a coinci-dental and not a functional relationship to the reinforcementreceived.
surface traits Traits that show a correlation but do not con-stitute a factor because they are not determined by a singlesource.
symptom analysis Similar to catharsis, the symptom analysistechnique focuses on the symptoms reported by the patient andattempts to interpret the patient’s free associations to thosesymptoms.
T
T-data Data derived from personality tests that are resistant tofaking.
temperament traits Traits that describe our general behavioralstyle in responding to our environment.
token economy A behavior-modification technique in whichtokens, which can be exchanged for valued objects or privileges,are awarded for desirable behaviors.
traits To Allport, distinguishing characteristics that guidebehavior. Traits are measured on a continuum and are subjectto social, environmental, and cultural influences. To Cattell,reaction tendencies, derived by the method of factor analysis,that are relatively permanent parts of the personality.
tyranny of the shoulds An attempt to realize an unattainableidealized self-image by denying the true self and behaving interms of what we think we should be doing.
U
unconditional positive regard Approval granted regardlessof a person’s behavior. In Rogers’s person-centered therapy,the therapist offers the client unconditional positive regard.
unique traits Traits possessed by one or a few persons.
V
validity The extent to which an assessment device measureswhat it is intended to measure.
vicarious reinforcement Learning or strengthening a behaviorby observing the behavior of others, and the consequences ofthat behavior, rather than experiencing the reinforcement orconsequences directly.
W
womb envy The envy a male feels toward a femalebecause she can bear children and he cannot. Womb envywas Horney’s response to Freud’s concept of penis envy infemales.
word association test A projective technique in which aperson responds to a stimulus word with whatever word comesto mind.
424 Glossary
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474 References
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name Index
AAarts, H., 62Aarts, J., 376Abad, N., 267Abbema, D., 376Abdel, R., 70Abdel-Khalek, A., 277, 390Abe, H., 308Abella, M., 399Aber, J., 185Abma, R., 42Abouchedid, K., 375Aboud, F. E., 354Abouserie, R., 11Abraham, C., 235Abrevaya, J., 396Achenbach, T., 287Achoui, M., 11Adair, V., 382Adams, D., 4Adams, G., 181, 396Adams, H., 241Adams, N., 320Adams, R., 237Adams, S., 22Adamson, G., 229Adams-Webber, J. R., 311Adebimpe, O., 376Adelson, J., 187Adler, A., 109, 111, 113, 121Adler, J., 75Aghababaei, N., 239Agnew, J., 309Agronick, G. W., 180Aguilar-Valaje, M., 70Agyemang, C., 374Ahern, J., 363Ahlin, E., 376Akin, A., 364, 375Akker, M., 376Aksu, A., 225
Akundi, S., 331Alabi, D., 22Alana, M., 228Alansari, B., 9, 390Albright, L., 22, 208Alden, L., 21Ale, C., 207Alessandri, G., 65Alexander, H., 22Alexandre, P., 22Alfonso, R., 183Alisat, S., 310Allemand, M., 233, 414Allen, J., 23Allen, K. D., 356Allen, L., 185Allen, M., 185Allen, W., 374Alleyne, V., 184Allik, J., 232–233, 266, 408, 414Allport, G. W., 215, 226, 291, 409, 411, 413,
416Allwood, M., 126Almeida, D., 235Altmaier, E. M., 360Altus, D., 320Aluja, A., 379Ambady, N., 10Ambody, N., 206Amichai-Hamburger, Y., 241Amin, M., 235Amirkhan, J. H., 234Amram, Y., 375Andel, R., 229Andershed, H., 408Anderson, A., 209Anderson, C., 235, 365Anderson, D. C., 160Anderson, J. W., 196Anderson, M., 311Anderson, S., 396
Andreassen, C., 237Andreoletti, C., 358Andrews, J., 236, 381Ang, R., 11, 412Angelillo, C., 364Angelosopoulou, A., 225Angleitner, A., 408, 410Anstey, K., 400Anthis, K., 180Apostal, R. A., 101Appel, M., 365Appignanesi, L., 73Applegate, K., 14Arauz, R. M., 364Arbisi, P., 21Archer, S. L., 181Ariso, J., 375Arji, A., 239Armeli, S., 20Armstrong, A., 62Armstrong, H., 185Arn, N., 68Arnarson, E., 265Arndt, J., 264, 285Arnold, E., 104Arnold, J., 182Arokach, A., 67Arora, R., 396, 398Arseneault, M., 8Asakawa, K., 390Asberg, K., 375Asbrock, F., 239Asendorpf, J. B., 237, 415Ashton, M., 102, 238–239Aspinwall, L. G., 389Assor, A., 279, 285Atay, S., 102Atkins, C. J., 361Atkins, R., 410Atkinson, D., 22Atkinson, J. W., 28
475
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Awick, E., 390Axsom, D., 392Ayllon, T., 330Ayoubui, R., 102Azar, B., 9Azizi, M., 362Azrin, N., 330
BBaars, B. J., 336Bacanli, F., 375Bach, H., 324Bacheller, L., 387Bachorowski, J. A., 206Back, M., 6, 235Bacon, A., 381Badger, J., 129Bae, Y., 7Baechtold, J., 379Baek, Y., 7Baharudin, R., 358Bai, C., 379Bailey, R., 324Bair, D., 83, 85, 97Bakalar, N., 37Bakeman, R., 208Baker, R., 22Balbo, M., 390Balcazar, F., 27Baldomar, O., 184Baldwin, A. L., 286Balistreri, E., 172Balloun, J., 263Baltes, P. B., 400Bamaca, M., 185Bandura, A., 343–346, 348, 351, 354–355,
359–363Bangerter, A., 400Bannister, D., 309Barbaranelli, C., 65, 363Barckley, M., 236, 381Bardi, A., 8Bardi, C., 8Barelds, D., 129, 237, 239Barenbaum, N., 210Bargh, J. A., 62–63Barker, E., 175Barksdale, C., 376Barlow, P., 127Barndollar, K., 63Barnes, J., 408Baron, R. S., 388Barrault, S., 381Barrett, A., 103Barrett, D., 68, 208Barrett, L., 9, 208Barrett-Lennard, G., 288Barrick, M. R., 236Barrineau, P., 101Barry, L., 376Bartels, M., 394, 408
Bartholow, B., 229, 365Bartlett, M., 209Baruffi, M., 390Bassi, M., 234, 358–359Bastianello, M., 234Batanowska-Ratij, A., 398Baughman, H., 241Baumeister, H., 376Baumeister, R., 65–66, 330Beaudoin, M., 358Beaumont, S., 175Beaver, K., 408Beck, E., 129Becker, B., 397Begen, F., 264Begue, L., 129Beier, M., 15Belicki, K., 239Bellah, C., 400Bell-Dumas, J., 125Belmont, L., 128Belsky, J., 235, 412Bem, D. J., 151Ben Selassie, M., 185Benbenishty, R., 375Bender, E., 364Benet-Martinez, V., 311Benight, C., 151Benjafield, J., 309Bennett, D., 126Bennett, J., 396Benotsch, E., 237Ben-Porath, Y., 21–22Benson-Townsend, B., 375Ben-Zur, H., 400Berenstein, V., 287Berg, A., 414Berg, M. B., 152Bergeman, C. S., 231Bergen, D., 263Bergin, A. E., 284Bergvik, S., 376Berlin, M., 396Berman, J., 42Bernard, I., 263Berridge, K., 63Berry, D. S., 206Bersamin, M., 381Berzonsky, M., 176Best, C., 185Best, S., 23Beth, A., 103Bettelheim, B., 43Beutel, M., 241Beutler, L., 266Beyene, N., 324Beyers, W., 176–177Bhanwer, A., 240Bhatewara, S., 102Bhathal, P., 130Biao-Bin, V., 402
Bienvenu, O., 236Bijou, S. W., 334Billedo, C., 7Billstedt, E., 228Bilmes, M., 68Bilsker, D., 176Bi-Qun, Q., 402Birkhimer, J. C., 376Bissett, D., 381Bjerkedal, T., 128Bjork, D. W., 321, 333, 336Black, G. W., 208Black, P., 240Blackhart, G., 8Blackman, D. E., 335Blackshire, S., 177Blagrove, M., 69Blais, J., 7Blanchard, E. B., 355Blanton, H., 391–392Blanton, S., 148Bleidorn, W., 408, 410Bleuler, E., 83Blevins, T., 265Blizinsky, K., 10Block, J., 64, 67, 286Bloland, S., 160, 162Blondheim, S. H., 71Blosnich, J., 187Blume-Marcovici, A., 69Blumer, T., 6Bluml, V., 234Blustein, D. L., 176Bockerman, P., 396Bockting, W., 187Boden, J., 66Boduszek, D., 299Boehm, J., 401Boer, D., 10Bogaert, A., 128Bohart, A., 288Boiche, J., 267Bonacci, A., 65Bond, M. H., 9Bonetti, L., 179Bono, J., 377Boomsma, D., 394Boone, A., 330Boone, C., 374Booth, T., 228Bootzin, R., 331Borgogni, L., 364Borkenau, P., 223, 227Bornstein, M., 9Bornstein, R. F., 62, 71Bos, A., 209Bosma, H., 177Bossarte, R., 187Bottome, P., 109–110Botvin, G., 380Bouchard, T. J., 230
476 Name Index
Copyright 2017 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s). Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.

Bouffard, T., 265Bourne, E., 177Boutwell, B., 408Bowen, E., 358Bowen, N. V., 345Bowker, A., 264Bowler, J., 310Bowler, M., 310Bowling, N., 375Bowman, M., 399Bowman, P. J., 181Boxall, D., 10Boyce, C., 400Bozarth, J., 272Bracey, J., 185Bradley, G., 309Bradshaw, D., 208Brady, M., 8Brady, T., 21Braehler, E., 382Brahler, E., 234Braithwaite, R. L., 185Branje, S., 177, 415Branscombe, N., 399Brebels, L., 265Breger, L., 40, 123Breitenecker, R., 375Breivik, G., 381Breland, H. M., 128Breland, K., 335Breland, M., 335Brewer, M. B., 264Brice, C., 207Bridges, A., 22Briggs, K. C., 99Briley, D., 409Brinegar, J., 324Brissette, I., 391Bristol, A., 196Broderick, J., 396Brody, N., 242Broman, C. L., 399Bromberger, J., 103Brome, V., 97Brook, J., 177Brooks, S., 402Brown, C., 103, 266Brown, G., 187, 400Brown, J., 12, 264Brown, M., 12, 130, 187Brown, S. D., 359Bruck, M., 73Bruhn, A. R., 125Brummett, B., 399Bryson, S., 16Buboltz, W., 187Buchanan, L. P., 125Buchanan, T., 6, 231Buchtel, E., 232, 408Buckels, E., 8Buckner, J., 123
Budge, S., 187Buebel, M. E., 175Bueno, B., 183Buhrmester, D., 153Buhrmester, M., 27Bukobza, G., 179Bullard, A., 24Bullock, W. A., 228Bumpus, M., 365Buntinx, F., 376Burak, H., 381Burckle, M., 152Burger, J., 329Burke, M., 362Burleson, J. A., 101Burling, S., 395Burnet, K., 129Burns, A., 104Burt, S., 412Burton, D., 361Burton, E., 185Busching, R., 364Busch-Rossnagel, N. A., 172Buse, A., 364Bush, K., 263Bushman, B., 65, 265Buss, A. H., 19, 242, 287, 408Bussey, K., 365Butcher, J., 14, 24Butkovic, A., 408Butler, J. C., 152Butler, J. M., 285Butt, T., 8, 312Buunk, A., 129Buunk, B., 391Bynum, M., 185Byrne, D., 265
CCai, H., 264Cain, D., 271, 285Cain, T., 208Cakir, S., 176Caldara, R., 209Caldwell, C., 22Caldwell, R., 266Calvert, S., 179Calvete, E., 365Campbell, A., 228Campbell, J., 379Campbell, W., 264–265, 352Campos, J. J., 208Camras, L., 208Cann, D. R., 102Cannon-Bowers, J., 360Canter, D., 309Cantril, H., 206Caprara, G. V., 65, 358–359, 361, 363Caprara, V., 358Capron, E., 126Cardy, R. L., 236
Carlson, M., 65Carlson, R., 101–102Carmichael, C. M., 233Carpenter, C., 382Carpenter, K. M., 283Carr, D., 103, 398Carroll, J., 365Carson, K. P., 236Carter, M., 235Carter, R., 184Carver, C., 235, 361, 388–389, 391Caspi, A., 151, 264–265, 410, 415Castillo, J., 126Castro, A., 376Catalano, D., 376Cathey, C., 265Cattell, R. B., 216, 218–219, 224Caudek, C., 67Ceci, S. J., 73Cerda, M., 363Cervone, D., 352Ceulemans, E., 9Chae, M., 184Chaiken, S., 287Chamber, S., 387Chamorro-Premuzic, T., 229Chan, D., 21Chan, M., 374, 396Chandler, J., 27Chang, E., 390–391, 394Chang, J., 185Chang, K., 374Chang-Schneider, C., 265Charcot, J. M., 39Chartrand, T. L., 62Chauhan, P., 126Chaumeton, N., 352Chaurand, N., 381Chavez, E., 185Chavira, V., 185Chein, J., 380Chemers, M. M., 363Chen, B., 267Chen, C., 374Chen, H., 176Chen, J., 375Chen, M., 351Chen, S., 266Chen, X., 379Chen, Y., 208Cheng, C., 374Cheng, R., 179Cheng, S., 169, 182Chentsova-Dutton, Y., 209Cherkas, L., 235Cherry, L., 136, 150Cherry, M., 68Cherry, R., 136, 150Chesney, M. A., 208Cheung, F., 23Cheung, S., 374
Name Index 477
Copyright 2017 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s). Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.

Chiang, Y., 379Chiao, J., 10Chie, C., 398Chiesa, M., 62Chio, J., 374Chirumbolo, A., 239Chiu, W., 379Cho, Y., 21Chodorkoff, B., 286Choi, J., 364Chonody, J., 240Chorney, D., 207Choudhri, N., 376Chowdhury, M., 235Christensen, A., 236Chuah, S., 16Chuang, S., 65Chui, H., 67Chung, H., 64, 390Chun-Li, Y., 382Church, A., 12, 267Ciaccio, N., 175Ciarrochi, J., 229, 394Cichomski, B., 128Cillessen, A., 235Clancy, S., 72–73Clark, A. J., 121, 125Clark, J., 188Clark, L. A., 234Clark, M., 182Clayson, J., 309Clemmens, E. R., 153Clough, S., 16Coan, R. W., 283Cobb-Clark, S., 376Cobbs, G., 287Coccaro, E., 207Coccia, C., 103Cochran, B., 237Cogan, R., 67Cohen, J. B., 150–151Cohen, P., 177Cohen, S., 393Cok, F., 384Coke, A., 361Cokley, K., 186Colby, D., 389Coles, R., 41Collado, A., 379Colligan, R., 390Collisson, B., 264Colombo, F., 390Combs, D., 22Compton, W., 266Conley, C., 20Connelly, B., 19Conner, M., 235Connolly, J., 7Connor-Smith, J., 235Consoli, M., 374Constantine, M., 184
Constantinople, A., 175Contarello, A., 402Conway, F., 390Conway, M., 175Coolidge, F., 150–151Cooney, T., 182Cooper, H., 396, 399–400Cooper, K., 381Coopersmith, S., 286Corbett, S., 84Corby, B., 186Corney, R., 235Cornish, F., 366Cornman, J., 398Corr, P., 226Correa, T., 8, 241Correa-Chavez, M., 364Costa, P., 231–235, 410, 414, 415Costescu, C., 75Costin, D., 265Cote, J. E., 181Cote, L., 9Cotter, J., 152Cottrell, L., 381Cournoyer, R. J., 68Couturier, J., 67Cox, A., 14Cox, C., 324Cox, K., 182Cox, S., 8Cozzarelli, C., 362Craig, W., 7Cramer, P., 67–68Crandall, J. E., 123, 126Crawford, T., 177Cremer, S., 374Crewsdon, J., 40Crighton, A., 14Crocker, J., 265Crockett, J., 129Crockett, W. H., 308, 310Crook, T., 125Cross, S. E., 11Cross, W., 184, 186Crouter, A., 129Crowe, M., 229Crozier, W., 384Crump, M., 27Cruzen, D., 387Cunningham, L., 99Curlette, W., 123, 127Curry, C., 177Curtis, F., 286Custers, R., 62Czaja, S., 126
DD’Arripe-Longueville, F., 376Dailey, M., 208Dalbert, C., 397Dalla, C., 388
Dallery, J., 331Daly, A., 363Dan, T., 398Dana, R., 23Danforth, J. S., 356Danielian, J., 151Danielson, C., 22Danner, D., 390Daraei, M., 394Darling, C., 103Das, J., 101Das, S., 16Datoo, F., 102Daugherty, D. A., 127Davalos, D., 228Davedyuk, E., 267David, D., 75Davidow, S., 125Davis, A., 126Davis, D., 73Davis, E., 365Davis, P. J., 66Dayanim, S., 179Dazzi, C., 227De Arellano, M., 22De Bei, F., 58De Brabander, B., 374De Clercq, B., 408De Fruyt, F., 182De la Garza, R., 381De Leersnyder, J., 9de Passille, A., 324De Raad, B., 234, 239De St. Aubin, E., 172–173, 181De Vries, A., 382De Vries, R., 382de Zuniga, H., 8DeAndrea, D., 382Deary, I., 228Deaton, A., 397Deaton, R., 396Debast, I., 233DeCarvalho, R. J., 288Deci, E., 267, 285Deckx, L., 376Decuyper, M., 408DeFrank, G., 24DeFrank, W., 68Dekovic, M., 235, 412Delaloye, J., 181Delevi, R., 242Delhey, J., 398Delhomme, P., 381Delmonte, M. M., 72Dembo, M. H., 359Demetre, J., 235Deneui, D., 152DeNeve, K., 396, 399–400Deng, Y., 126Denis, D., 226Denissen, J., 12
478 Name Index
Copyright 2017 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s). Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.

Denisson, J., 415Dennis, J., 8Dent, C. W., 361DePaulo, B. M., 206Dephilippis, D., 331DeRaad, B., 234Derakshan, N., 66Derevensky, J., 379Derks, D., 209DeShon, R., 360Desrichard, O., 358Devenis, L. E., 176Devita, A., 173DeZuniga, H., 8, 241Diamond, A., 181Diaz-Loving, R., 22Dick, A., 177Diehl, M., 67Diener, C., 398Diener, E., 11, 20, 229, 235, 263, 395–396,
398, 401Diener, M., 398Dienes, Z., 62Digman, J. M., 234Dignan, M., 172Dijkshoorn, H., 374Dijkstra, P., 129Dinella, L., 173Dingfelder, S., 22Dinter, L., 362DiRienzo, C., 101Dithurbide, L., 362Doering, S., 234Doherty, A., 398Dolan, P., 396Domhoff, G., 69–70Donaldson, G., 74Donderi, D. C., 102Dong, Q., 22Donnellan, B., 264–265Donnellan, M., 27, 265, 381, 414Dopko, R., 69Doring, N., 6Dougall, A., 408Douglas, E., 27Downey, D. B., 130Drabman, R. C., 356Dragolov, G., 398Draguns, J. G., 374Drakopoulos, S., 396Drasgow, F., 16Drexler, P., 7Dru, V., 152Du, J., 364Dubas, J., 415Dubois, L., 408Duck, S. W., 309Duckitt, J., 239Duff, K. J., 66Dufner, M., 12Duke, M. P., 373
Dumka, L., 358Duncan, L., 180, 183Duncan, T., 352Dunlop, P., 240Dunn, B., 101Dupree, L., 22Durand-Burand, N., 375Durgel, E., 11Dwairy, M., 11Dzuka, J., 397
EEagle, M. N., 61Eaton, S., 266Eaton, W., 236, 410Eaves, L. J., 230Eber, H. W., 223Echavarria, A., 376Eckardt, M., 138Eckles, K., 265Eckstein, D., 121, 127–128Edgecomb, C., 388Edman, J., 22Edmundson, M., 74Edwards, L., 286Eggleston, T., 391Egloff, B., 235, 241Ehtiyar, V., 225Eid, M., 234, 398Eisenberg, N., 64Eissler, K. R., 44Ekeberg, O., 389Ekeland, O., 374Eklund, J., 384Eklund, R., 267Ekman, P., 207–208El-Anzi, F., 391Elder, G. H., 151Eley, C., 394Eliot, J., 125Ellenberger, H. F., 82, 100Ellenbogen, S., 379Elliot, A., 352, 400Elliott, M., 236Ellis, D., 101Ellis, R. A., 264Elms, A. C., 40, 84Elovainio, M., 236, 389, 409Elson, M., 364Emanuel, G., 27Endo, N., 208Endo, Y., 9Engels, R., 241Erez, A., 377Erikson, E. H., 79, 105, 153, 157, 161–189Erikson, J. M., 169Eron, L., 364Ervin, A., 362Eschleman, K., 375Esnard, C., 364Espnes, G., 265
Esseilly, R., 346Estabrook, R., 397Esteve, R., 389Estevez, A., 365Estey, A., 150–151Ethier, L., 126Ethington, C., 361Evans, G., 387Evans, R. I., 318Everton, W., 382Exner, J. E., Jr., 17, 385Ey, S., 391Eysenck, H. J., 226–230, 384Eysenck, M. W., 227–228Eysenck, S., 227, 384Eysenck, W., 236
FFagan, A., 363Fagard, J., 346Faith, M. S., 283Fakouri, M. E., 124Falbo, T., 129–130Faler, J., 352Fallby, J., 375Famose, J., 391Fan, H., 360–379Fan, W., 27Fancher, R., 42Fanning, J., 390Farah, A., 11Farley, F., 226, 382Fave, A., 234, 358–359Feij, J., 382Fellous, J., 208Felton, J., 379Feltz, D., 362Fenigstein, A., 22Ferguson, C., 116, 364, 414Ferguson, E., 116, 236Fernandes, M., 66Fernandez-Dols, J. M., 206Fernandez-Turrado, T., 394Ferrand, C., 268Fhagen-Smith, P., 186Fiebert, M. S., 110Fife-Schau, C., 236Fincham, F. D., 70Finkenauer, C., 7Fioravanti, M., 287Fischer, A. H., 12Fischer, R., 10Fisher, J. D., 382Fisher, J. W., 228Fisher, R., 330Fisher, S. P., 62Fiske, K., 69Fitch, S. A., 181Fitzpatrick, J., 8Fitzpatrick, S., 365Fleeson, W., 400
Name Index 479
Copyright 2017 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s). Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.

Fleming, M., 375Floderus-Myrhed, B., 230Floerke, C., 287Florida, R., 399Flory, J. D., 389Floy, B. R., 361Flye, A., 187Foels, R., 311Foley, J. M., 181Foley, P., 184Foley, Y., 127Fong, M., 266Forbes, D., 68Ford, B., 287Ford, J. G., 287Fornasier, S., 8Forrester, J., 73Fortuna, K., 412Foster, C., 342Fox, N. E., 174Frable, D. E. S., 186–187Francis, L., 102, 228Frank, T., 129Frankel, B., 15Franklin-Jackson, D., 184Fransella, F., 294, 309Franz, C. E., 181Fraser, E., 176Fratiglioni, L., 229Frederickson, B., 400Freed, R., 377Freedman, V., 398Freeman, D., 320Freeman, J., 10French, C., 63, 376French, D., 361, 376French, S., 185Freud, A., 40–41, 73–74, 161Freud, S., 39–42, 44, 55–56, 58, 62, 74, 148Frevert, E. S., 127Friberg, L., 231Frick, W. B., 250Friedland, B., 123, 127Friedman, H., 206, 236Friedman, L. J., 30, 160–161Friedman, M. L., 176–177Friesen, W., 207, 390Fritzell, J., 384Frost, R., 379Fuchs, R., 361Fujita, F., 228, 235Fukama, M., 177Fuligni, A., 184Funder, D., 5, 64, 234–235, 414Funkhouser, A., 68Furnham, A., 227, 229Furr, R., 234
GGackenbach, J., 69Gaddis, S., 6
Gafner, G., 62Galambos, N., 175Galbraith, M. E., 387Gale, C., 228Galea, S., 363Gamez, W., 234Ganiban, J., 228Ganster, D., 360Ganzach, Y., 241Gao, X., 207, 263Garb, H. N., 18Garcia, D., 240Garcia, S., 408Gardner, H., 41, 263Gardner, W. L., 264Garner, J., 363Gaskins, S., 343Gates, L., 129Gatz, M., 229Gay, P., 41, 110Gecas, V., 358Geisinger, K. F., 172Gelfand, D. M., 354Gencoz, T., 398Gendlin, E. T., 283Gendron, M., 208Gentile, B., 265Gentile, D., 365Gentzler, A., 7George, K., 291, 372, 379George, W., 102Geraghty, J., 374Gerbino, M., 65Gerrard, M., 391Gerstorf, D., 397–399Getz, K., 70Gfellner, B., 185Ghaderi, A., 394Giammarco, E., 241Gibbons, F., 391Gibson, B., 392Gibson, S., 359Gieser, L., 18Gillaspy, J., 324, 335Gilliland, K., 228Gilman, R., 127, 147, 154, 397Gilmore, L., 179Ginsburg, G. P., 188Girgus, J., 393Givertz, M., 358Gjertsen, S., 237Gladwell, M., 100Gleason, M., 375Glenn, I., 331Glicksman, E., 187Glucksberg, S., 66Gnanadevan, R., 181Goby, V., 102Goebel, J., 397, 399Goggins, S., 15Gohm, C., 398
Gold, J., 152Goldberg, L., 231, 233, 414Goldfried, M., 284Goldman, B. N., 412Goleman, D., 332Gollan, J., 207Gollwitzer, P., 63Gomez, V., 400Gomez-Fraguela, J., 381Gonzales, N., 358Gonzales-Iglesias, B., 381Gonzalez, H., 21Goodman, L., 7Goossens, L., 177, 415Goritz, A., 60Gosling, S., 6, 27, 238, 410, 414Gotlib, I., 207, 209, 412Gough, H. G., 287Gould, M., 381Graber, J., 380Graham, W., 263Gram, P., 101Granacher, R., 14Granello, D., 310Grant, B., 184Grayson, M., 68Graziano, W. G., 178, 233Greco, A., 361Green, B., 128Greenberg, J., 264Greenberg, R., 62, 123Greenberger, E., 374Greever, K., 123, 127Grey, L., 116, 122Grice, J., 306Grieser, C., 123Griffiths, E., 128Griffiths, M., 237, 345Grimani, K., 396Grimes, J., 322Griskevicius, S., 269Griskevicius, V., 377Grob, A., 400Gronerod, C., 320Gronnerod, C., 320Grotz, M., 376Grubrich-Simitis, I., 60Gruhn, D., 67Grusec, J., 355, 412Guan, B., 126Guan, S., 179Guan, Y., 266Guang-Xing, X., 69Gudjonsson, G. H., 229Gudmundsson, E., 23Guerra, N., 363Gump, B. B., 389Gundersen, K., 130Guney, N., 384Gungor, D., 9Gunnar, R., 384
480 Name Index
Copyright 2017 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s). Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.

Gunsung, L., 65Guo, F., 11Guo-Xing, S., 397Gupta, N., 360Gupta, R., 379Gur, R., 207Gurney, M. R., 188Gurven, M., 232Gwandure, C., 376
HHackett, G., 359Hafner, J. L., 124Hagedoorn, M., 362Hagemann, D., 228Hagemeyer, B., 414Haghayegh, S., 152Hai, Y., 397Haigh, G. V., 285Hale, W., 177Hall, C., 70, 152Hall, E., 188Hall, M. H., 248–249Hamaker, S., 234Hamermesh, D., 396Hammelstein, P., 379Hammer, M., 152Hammonds, F., 387Hampson, S., 233, 236, 381, 414Handel, R. W., 22Hanewitz, W. B., 101Hankoff, L. D., 124Hansel, A., 64Hansen, E., 381Hapke, U., 376Harackiewicz, J. M., 352Harden, K., 380Harding, J., 239Hardy, J., 360Harker, L., 207Harmer, P., 352Harrington, D. M., 286Harrington, R., 101Harris, B., 226Harris, D., 185Harrison, R. H., 123Hart, D., 410Hart, H. M., 182Hart, R., 263Harter, J., 396, 398Harter, S., 287Hartmann, E., 320Hartmann, K., 66Hartmann, T., 14Hartnett, J., 287Hartshorne, J., 128Hartshorne, T., 128Harwood, R., 11Hasany, H., 359Hashimoto, K., 208Haslam, N., 71
Hassmen, P., 375Hawi, N., 24Hawkins, R. P., 334Hay, E., 67Hayes, H., 399Haynal, V., 208Hazler, R., 288He, H., 399He, X., 402Headey, B., 401Hearon, B., 234Heaven, P., 229, 394Heck, N., 237Hecker, M. H. L., 208Heckhausen, J., 374, 400Heine, S., 9, 11–12, 232, 285, 408Hejazi, E., 359Helenius, H., 389Heller, D., 234Heller, M., 208Helms-Erikson, H., 129Helson, R., 64, 103, 180, 182, 414Henderson, D., 362Hendriks, A., 414Henley-Einion, J., 69Herbert, M., 389Herbert, T. B., 393Herrera, J., 22Herrera, N., 128Hertzog, C., 233Hess, A., 142Hess, K., 142Hess, U., 210Heuft, G., 397Heymann, A., 361Hibbard, D., 153Hibbard, S., 67Hickman, G., 113Hies, R., 234Higgins, E. T., 129, 287Hilgard, E., 41Hill, J., 23Hill, P., 402Hillen, M., 376Hines, D., 27Hines, M., 173Hinsley, A., 8, 241Hinsz, V., 235Hintsanen, M., 236Hinz, A., 382Hirono, M., 331Hiroto, D. S., 387Hirsh, J., 390, 394Hjertass, T., 140Ho, M., 266Hobfoll, S. E., 381Hodges, E., 186Hofer, C., 64Hoffman, E., 110, 114, 119–120, 122,
131–132, 248–249, 260, 266Hofmann, W., 330
Hogge, I., 266Holahan, C. J., 361Holahan, C. K., 348Holden, J., 114Holder, M., 228Holgate, S., 265Holland, C., 374Hollenbaugh, E., 9Holmes, A., 174Holmgren, S., 128Holtgraves, T., 15Holtz, P., 365Holzberger, D., 359Holzman, P. S., 62Hoppmann, C., 398Horikawa, T., 30Horn, J., 214Horney, K., 152–154, 157, 249, 409, 411Horwitz, A., 75Hoseinzadah, A., 362Houser-Marko, L., 285, 400Howard, K., 187Howard, V., 400Howell, C., 398Howell, L., 103Howell, R., 398Hoxha, D., 207Hrebickova, M., 233Hsu, L., 21Huang, C., 7, 10, 69, 209, 265, 402Huang, J., 241Huang, P., 379Hubbard, J., 129Huebner, E., 397–398Huesmann, L., 364–365Huffaker, D., 179Hughett, P., 207Huifang, Y., 102Hulsheger, U., 410Humrichouse, J., 237Hunsberger, B., 310Hunt, C., 63Hunter, I., 123Huo-Liang, G., 229Hur, Y., 230Hussain, M., 398Hutcheson, C., 375Hutson, M., 68Hwang, C., 65Hwang, W., 21Hyland, P., 229
IIacono, W., 408Iacovino, J., 21Ickes, W., 176Ifcher, J., 398Iliescu, D., 232Imai, S., 308Imamoglu, E., 409Inglehart, M., 187
Name Index 481
Copyright 2017 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s). Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.

Irwin, C., 22Isaacowitz, D., 390Iskender, M., 364, 375Ispas, D., 232, 408Israelashvili, M., 179Itkonen, J., 241Ivancevich, S., 7Iversen, V., 266Ivtzan, I., 263Iyer, P., 408
JJaakkola, M., 398Jack, R., 209Jackson, C., 229, 360Jackson, D. N., 310Jackson, E., 399Jackson, J., 21–22Jackson, L., 242Jackson, M., 124Jackson, T., 360Jacobson, J. L., 174Jaffé, A., 105Jahangiri, M., 389James, S., 240James, W., 30Janarthanam, D., 181Jang, H., 7Jang, Y., 22Janoff-Bulman, P., 152Jardine, R., 230Jasinskaja-Lahti, I., 398Jensen, A., 365Jensen-Campbell, L., 178, 233, 235, 408Jern, P., 408Jerusalem, M., 362Jeshmaridian, S., 210Ji, G., 129Jiangqun, L., 265Jiao, S., 129Ji-Liang, S., 398Jing, D., 382Jing, N., 382Jing, Q., 129Jiraki, K., 207Johansson, A., 408Johansson, B., 414Johansson, E., 396John, O. P., 104, 234–235, 414Johnson, A., 176, 384Johnson, B., 366Johnson, G., 309Johnson, J., 231, 382, 400Johnson, M., 239Johnson, R. C., 216, 232, 408Johnson, W., 101, 415Joiner, R., 173Jokela, M., 128, 236, 409, 410Jolton, J., 382Jonason, P., 240–241Jones, A., 399
Jones, E., 38, 42Jones, R. L., 70Jones, R. M., 177Jones, S., 390Jones, T., 400Jonkmann, K., 237Jonsdottir, S., 265Joo, Y., 375Joormann, J., 206Jordan-Conde, Z., 179Jorm, A. F., 234Joseph, S., 285, 288, 399–400Joung, S., 375Jourdan, A., 288Judge, T., 360, 377Juhl, J., 265Jun, Z., 398Jung, C. G., 83–87, 90–91, 93, 98Jung, J., 262Jurkiewicz, M., 241Justiniano, M., 68
KKaczor, L. M., 152Kagan, J., 71Kahle, E., 394Kahneman, D., 396Kahr, B., 40Kalichman, S. C., 382Kaljee, J., 381Kalpidou, M., 265Kamban, P., 364Kamitani, Y., 70Kanagawa, C., 11Kandel, E., 41Kandler, C., 408–410, 414Kaneshiro, S., 266Kang, H., 374Kang, S., 262Kao, C. F., 360Kaplan, H., 232Kaplan, R., 361Kaprio, J., 233Kapusta, N., 234Karesen, R., 389Kashima, E., 10Kashima, Y., 10Kasimatis, M., 234Kasl, S., 376Kasler, J., 125Kassenboehmer, S., 376Kasser, T., 183, 400, 412Kato, S., 331Kaufman, J., 127, 196Kaufman, M. T., 207, 366Kaunitz, N., 396Kauth, M., 187Kavanagh, P., 240Kavetsos, G., 396Kazdin, A. E., 331Kazem, A., 390
Kearsley, R., 71Kelly, B., 398Kelly, F., 68Kelly, G. A., 295, 297, 304Kelly, J. A., 382Kelly, T., 402Keltikangas-Jaruinen, L., 376Keltner, D., 207–208, 235Kemeny, M. E., 389Keniston, K., 159Kennedy, S., 130Kenrick, D., 269Kentta, G., 375Keogh, E., 63Kepes, S., 360Kerestes, G., 129Kerkhof, P., 7Kern, M., 236Kern, R. M., 123, 125, 127Kerr, N., 145Kersting, A., 234Ketcham, K., 72Keyes, C., 399Khan, M., 375Khodarahimi, S., 380Kiang, L., 184Kidd, T., 389Kidney, B. A., 176Kiecolt-Glaser, J. K., 391Kiesler, D. J., 283Kihlstrom, J. F., 61Kikuchi, M., 208Kilpatrick, S., 400Kim, C., 391Kim, E., 266Kim, S., 381Kim, T., 179Kim, Y., 400Kim-Prieto, C., 20King, J., 400King, L. A., 396, 401King, L. J., 66King-Kallimans, S., 22Kinsky, M., 347Kirsch, H., 137Kirschenbaum, H., 271, 288Kishi, T., 208Kitayama, S., 11–12, 285Kitts, J., 101Kivimaki, M., 389, 409Kivmaki, M., 236Kivnick, H. Q., 169, 171Klahr, A., 412Klassen, A., 228Klein, D., 236Klein, M. H., 283Kleinman, M., 381Klimstra, T., 177–178Kline, P., 219Kloep, M., 384Klohnen, E. C., 180
482 Name Index
Copyright 2017 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s). Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.

Klug, H., 401Knafo, A., 412Knaster, C., 22Koester, S., 237Koestner, R., 267, 412Kokubo, T., 10Konu, A., 400Kopp, R., 121Koren, M., 320Kornadt, A., 414Kosaka, Y., 124Kosciw, J., 187Koskenvuo, M., 233Kotov, R., 234Kovaleski, M., 309Kovatch, A., 12Kowalski, R. M., 265Kracke, W., 69Krahe, B., 364–365Krahn, H., 175Kramer, N., 364Krause, N., 266Kraybill, M., 236Krell, R., 175Kring, A., 235Krings, F., 400Kristensen, P., 128Kroger, J., 176Kronstrom, K., 394Kross, E., 7Krossbakken, E., 237Krueger, A., 396Krueger, R., 415Krüll, M., 40–41, 55–56Krumholz, H., 376Kruse, A., 397Kuba, I., 185Kuh, R., 228Kuhn, M., 347Kulick, A., 187Kull, R., 187Kulshrestha, U., 376Kunter, M., 359Kunz-Ebrecht, S., 390Kunzmann, U., 397Kuo, T., 8Kupfermann, Y., 394Kupfersmid, J., 70Kuppens, P., 233Kurman, J., 12Kuruvilla, B., 69Kvam, S., 237Kwang, T., 27
LLabouvie-Vief, G., 67Labrentz, H. L., 124Lacefield, K., 382Lacey, H., 397Lachman, M., 358, 401Lafavor, T., 384
LaFountain, R., 131Lai, M., 399Lai, S., 179Laird, T., 129Lajunen, T., 241Lam, L., 7Lam, R., 184Lamb, M., 65, 410Lambrecht, S., 69Lampert, T., 376Lanaway, D., 266Lane, R. W., 9, 123Lang, F., 265, 400Lang, R., 331Larsen, R. J., 234Larsson, H., 408Latham, G. P., 360Latzman, R., 345Lau, J., 394Laudenslager, M., 388Laursen, B., 237LaVoie, J., 180Law, A., 388Law, D., 365Lazzari, R., 287Le, T., 185, 399Leak, G., 123, 126–127Leak, K., 127Leary, M. R., 265Leatherdale, S., 347Lee, A., 10Lee, B., 11Lee, F., 311Lee, H., 236Lee, J., 184, 394Lee, K., 102, 239Lee, M., 9, 236Lee, R., 184Lee, Y. T., 22, 390Lee-Chai, A., 63Lefkowitz, M. M., 125–126Lehman, D., 9, 11, 285Lehmann, T. R., 360Leigh, E., 389Leising, D., 277Lejuez, C., 379Lemelin, J., 126Lenaghan, M., 73Lens, W., 28Lent, R. W., 359Leonard, R., 104Leone, L., 239Leong, F., 21Leonhardt, A., 277Leontopoulou, S., 375Lero Vie, M., 232LeScanff, C., 267Lesser, I. M., 177Lester, D., 263, 310, 390Letzring, T., 64–65Leu, J., 311
Leung, B., 390Levenson, M. R., 381Levine, C., 181Levine, H., 236Levine, T., 382Levinson, D. J., 103Levy, N., 101Lewis, C., 102Lewis, J., 8Lewis, M., 126, 181Leyendecker, B., 11Li, F., 352Li, M., 387Li, X., 177, 381Li, Y., 361Liang, J., 266Libran, E., 400Lichtenstein, E., 236Lichtenstein, P., 235, 408Lichtman, J., 376Liebkind, K., 398Lige, Q., 266Lightsey, O., 361–362Lilienfeld, S. O., 18Lillevoll, K., 176Lin, N., 379Lin, Y., 392Linares, K., 179Lindenberger, U., 397, 399Linder, J., 365Lindley, L., 310Lindstrom, M., 376Lindzey, G., 205Lineberger, M. R., 129Lingiardi, F., 58Linley, P., 285Lintonen, T., 400Lippa, R., 206Lippnnan, S., 363Lischetzke, T., 234Little, T., 397Littlewort, G., 209Litwin, H., 398Liu, M., 11Liu, W., 187Livingston, J., 266Livingston, N., 237Llamas, J., 374Lliffe, S., 390Llorens, S., 360Lobo Antunes, M., 376Lock, J., 67Locke, E. A., 360Lockenhoff, C., 235Loehlin, J. C., 413Loffredo, D. A., 101Loftus, E., 72–73Logan, H., 388Logan, M., 376Lohr, J., 65Loman, M., 384
Name Index 483
Copyright 2017 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s). Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.

Lombardo, P., 73Londerville, S., 174Lonnqvist, J., 241Loo, C. M., 149Lopez, A., 389Lopez, I., 266Loureiro, B., 183Lowell, A., 126Lucas, R., 228, 235, 396, 401, 414Lucas, T., 409Luce, K., 16Ludtke, O., 237Luengo, M., 381Luevano, V., 241Luhmann, M., 330, 398Luhtanen, R., 265Lumley, M., 67Lundberg, S., 7Luo, X., 126Luthans, F., 360Luyckx, K., 177Lycett, E. J., 70Lykken, D. T., 230Lynch, P., 365Lyness, J., 390Lynn, A., 329Lynn, M., 400Lynne-Landsman, S., 380Lyons, D., 103Lyubomirsky, S., 401
MMacCallum, R. C., 391Mackavey, W. R., 183MacPherson, L., 379Macrae, K., 10Maddux, J. E., 351Magai, C., 390Magnus, K., 235Mahalik, J. R., 68, 186Mahmood, S., 27Mahoney, J., 287, 381Mahoney, P., 61, 73Maier, G., 401Maier, H., 359Maier, S. F., 388–389, 394, 386Main, M., 174Maio, G. R., 70Malaka, D., 381Malcolm, K., 235Malfatto, G., 361Malinchoc, M., 390Malley, J. E., 183Malloy, T., 22Maltby, J., 400Malthieu, P. L., 283Malvagia, S., 73Manaster, G., 121, 123Manger, T., 374Man-Na, H., 402Manning, M. M., 360
Mansfield, E., 181Manstead, A. S. R., 12Mantsha, T., 225Maqsud, M., 374Marcano, M., 375Marcia, J. E., 176–177Marcus, B., 27Marcus-Newhall, A., 65Mardhekar, V., 387Maringer, M., 208Mark, G., 241Markel, H., 39Marker, C., 379Markon, K., 345Markstrom, C., 176–177Markus, G. B., 128Markus, H. R., 11, 128, 285, 399Marmar, C., 23Marold, D. B., 287Marolla, F. A., 128Marrero, Quevedo R., 399Marriott, Y., 6Marshall, G. N., 23Marshall, S., 176Martin, A., 237Martin, C. M., 173, 375Martin, L., 236Martin, M., 414Martin, N. G., 230Martinent, G., 267Martin-Krumm, C., 391Martins, S., 22Martinussen, M., 176Maruna, S., 182Maruta, T., 390Mashek, D., 266Masling, J. M., 62, 71Maslow, A. H., 255Mason, C., 185Mason, L., 14Mason, W., 27Massenkoff, M., 232Massman, A., 242Mastekaasa, A., 398Mastrangelo, P., 382Matheny, K., 127Mathew, P., 102Matlin, S., 376Matsuba, M., 410Matsumoto, D., 207Matthews, K. A., 103, 389Matthias, S., 179Matysiak, A., 398Maurer, D., 207Mauss, I., 287Mavioglu, R., 394Maxwell, C., 363Mayekiso, T., 376Mayes, R., 75Mays, M., 121Mazandarani, A., 70
Mazzoni, G. A. L., 73McAdams, D. P., 172, 181–182, 415McAdams, K., 381McAdoo, H., 266McAuley, E., 352McBride-Chang, C., 390McCabe, D., 228McCann, S., 129McCarthy, T., 288McCaulley, M., 100McClarty, K., 265McClearn, G. E., 231, 235McClelland, D. C., 181McClelland, S., 285McClive, K., 392McCloskey, M., 207McCoy, H., 358McCoy, T., 387McCrae, R. R., 9, 231–235, 408,
414–415McCullough, M., 61, 400McDaniel, M., 15McDonnell, J., 27McGrath, K., 101McGregor, H. A., 352McGue, M., 233, 408, 415McHale, S., 129McIntyre, C. W., 234McKinney, L. C., 66McLaughlin, D., 183McLaughlin, N. G., 138McLeod, B., 361McMurtry, D., 175McNally, B., 309McNally, R., 72–73McNulty, J. L., 21McSharry, J., 361Medinnus, G., 286Mednick, S., 383Meerkerk, G., 241Meesters, C., 241Meeus, W., 12, 177Mehdizadeh, S., 8, 265Meier, B., 235Melamed, B. G., 356Mellander, C., 399Mellor, S., 130, 177Menlove, F. L., 355Mermillod, M., 208Mervielde, I., 182, 408Mesquita, B., 9Messer, S., 71Metzler, T., 23Meuss, W., 176Meyer, O., 21Michaels, D., 375Michikyan, M., 8Migone, M., 75Miles, J., 23Miletic, M. P., 154Miller, N., 65
484 Name Index
Copyright 2017 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s). Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.

Millsap, R., 358Milosevic-Dordevic, J., 7Milot, T., 126Milton, J., 248, 272, 274Milyavskaya, M., 267Minch, D., 234Mindess, H., 320Miner-Rubino, K., 183Ming-Yi, Q., 382Minkov, M., 398Miranda, A. O., 127Miranda, P., 21Mischel, W., 5Mishali, M., 361Misovich, S. J., 382Mittag, W., 362Mittal, C., 377Miyake, K., 208Miyamoto, Y., 10–11Miyawaki, Y., 70Mizuochi, F., 177Moeller, S., 265Moffitt, B., 265Moffitt, T., 265Mogilner, C., 396Mohammadi, A., 176Mohr, J., 187Moise-Titus, J., 364Moksnes, U., 265Molander, B., 128Moljord, I., 265Molleman, E., 362Moller, I., 364, 365Molock, S., 376Moneta, G., 390Montag, C., 241Monzani, D., 234, 361Moolenaar, N., 363Moor, C. J., 150Moore, S. M., 188Morehouse, R. E., 382Moretti, M. M., 287Morewedge, C., 70Morgan, C. D., 18Morling, B., 10–11Morris, A. S., 178, 411Morris, E., 320Morris, J., 265Morris, T., 207Morrison, D., 240Mosher, C., 399Mosher, D., 7Mosing, M., 408Moskowitz, D. S., 151Motley, M. T., 71Mottus, R., 228, 232–233Mount, M. K., 236Movellan, J., 209Mroczek, D., 235, 397Muffels, R., 401Muller, K., 241
Multhauf, K., 382Multon, K. D., 359Munsey, C., 398Murakoshi, A., 266Murdock, N., 288Muris, P., 241, 361Murphy, M. J., 127Murray, H. A., 18Murray, K. M., 101Muscarella, F., 387Muusses, L., 7Myers, E., 265Myers, I. B., 99–100Myers, L., 66Mynarska, M., 398
NNadorff, D., 7Nakamura, M., 208Napa, C. K., 396Napolitano, J. M., 68Naqvi, A., 65Nasser, R., 375Naumann, E., 228Naus, M., 16Nave, C., 414Nebbitt, V., 358Nedate, L., 308Needs, A., 309Nehen, H., 397Nehrke, M. F., 183Neiderhiser, J., 228Neimeyer, G. J., 309Neimeyer, R., 294Nelson, L., 365Nesselroade, J. R., 224Netz, Y., 397Neuberg, S., 269Neumann, W., 375Neuzil, P., 151Neville, H., 184Nevo, O., 125Newbauer, J., 127Newman, L. S., 66, 129Newton, T., 381Neyer, F., 265, 414–415Nezami, E., 24Nezlek, J., 265Nezworski, M. T., 18Ng, A., 11Ng, D., 10Ng, W., 396, 398Nghe, L., 186Nichols, R. C., 380Nichols, T., 380Nicholson, I. A. M., 194–195Nicolaou, N., 235Nie, N., 402Niedenthal, P., 208Nigg, J., 236Nijenhuis, J., 235
Nikelly, A., 127Nilsson, K., 128Noble, H., 331Nolan, G., 287Nolen-Hoeksema, S., 393Noll, R., 84–85, 100, 105Noltemeyer, A., 263Norenzayan, A., 10Norris, K., 208Norton, M., 70Noser, A., 264Nowicki, S., 373
OO’Connell, M., 237O’Malley, P. M., 28O’Neal, K., 376O’Neill, R. M., 71O’Regan, L., 346O’Riordan, S., 237O’Shea, B., 234Oates, J., 343Obasi, M., 22Oberhauser, A., 7Oehlberg, K., 226Oettingen, G., 359Offen, I., 365Offidani, E., 236Offord, K., 390Ofshe, R., 72Ogasahara, K., 331Ogletree, M., 177Oishi, S., 11, 234, 398, 401Okazaki, S., 9Okeke, B. I., 374Oladimeji, B., 376Olander, E., 361Olatunji, B., 65Olioff, M., 354Oliveira, J., 239, 241Olson, B., 182, 365, 415Olson, E., 390Oltmanns, T., 21Omer, H., 361Omoile, J., 267Ones, D., 19, 400Ong, A., 185Ong, E., 8Onyeizugbo, E., 361Oost, K., 237Oppermann, R., 375Orejudo, S., 394Oreyzia, H., 152Orgler, H., 109Orlando, M. J., 27Orlofsky, J. L., 177Ormel, J., 234Orr, R., 8Orth, D., 8Orth, U., 265Ortin, A., 381
Name Index 485
Copyright 2017 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s). Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.

Orue, I., 365Osborne, M., 16Osnos, E., 75Ostafin, B., 265Oster, H., 208Ostrove, J. M., 104, 180, 182Overbeek, G., 241Overmier, J. B., 386Overskeid, G., 320Owen, J., 310Owen, S., 375Owens, J. F., 389Ozer, E. M., 362Ozlale, Y., 398
PPace, T., 23Pacico, J., 234Padilla, P., 365Padilla-Walker, L., 365Page, M. M., 263Pahic, T., 373Paige, J. M., 205Palkas, O., 68Pallesen, S., 237Pals, J. L., 104, 180Pancake, V. R., 174Pancer, S., 310Pantin, H., 185Panton, J., 68Paolacci, G., 27Papadakis, S., 347Papastylianou, A., 8Papazova, E., 102Pappas, S., 396Paquet, Y., 376Paradise, R., 343, 364Paran, F., 381Parati, G., 361Parham, T., 22Paris, B. J., 137–138Paris, R., 64Park, A., 176Park, C., 20Park, D., 10Park, J., 7Park, L., 265Park, M., 22Park, N., 398Parke, R. D., 345Parkes, K. R., 234Parks, A., 402–403Parmley, M., 207Pastorelli, C., 361Paterson, H., 175Patten, A. H., 181Patterson, T., 124, 288Patton, J., 263Paugh, J., 127Paul, H., 154Paulhus, D. L., 9, 240–241
Paunonen, S. V., 102, 238Pavlov, I., 321–322Pavot, W., 235Payne, Y., 399Pedersen, N. L., 229–231, 235Pedersen, W., 65Pedrotti, J., 286Peltzer, K., 381Peluso, J., 123Peluso, P., 123Penard, T., 402Pencheva, E., 102Peng, Z., 7Penn, D., 22Pentti, J., 389Pepler, D., 7Pereira, H., 183Perkins, A., 15Perkins, L., 400Perlman, C., 73Perry, D., 186Perry, R., 239Pervin, L. A., 62, 196Pesant, N., 69Peteet, B., 266Peterson, B. E., 175, 182Peterson, C., 387, 389, 391, 394Peterson, M., 381Peterson, R. F., 334Petitta, L., 364Petrides, K., 229Petrini, L., 239Petrocelli, J., 124Petrosky, M. J., 376Phares, E. J., 376Phaswana, N., 381Phelps, A., 68Philipp, A., 359Philipp, L., 16Phillips, B., 310Phillips, D. P., 365Phillips, J., 8Phinney, J. S., 185Phipps, S., 66Pickett, C. L., 264Piegeri, I., 187Piekkola, B., 210Piel, E., 68Pierce, J., 375Pierre, M., 186Pilkington, B., 73Pillay, Y., 184Pillemer, D., 69Pinchevsky, G., 363Pincott, J., 71Pinkham, A., 207Pinquart, M., 397Pinsker, D., 183Piot-Ziegler, C., 181Pitman, R., 72Pittenger, D., 101
Plamondon, A., 126Plaut, V., 396, 399Plomin, R., 19, 231, 235Podd, M. H., 176Podlog, L., 267Podolski, C., 364Pole, N., 23Poling, A., 324Polit, D. F., 130Pollak, S., 207Poole, L., 389Porcerelli, J. H., 67Poropat, A., 235Porter, S., 240Postmes, T., 399Potter, J., 238Poulton, R., 265Poussing, N., 402Poutvaara, P., 241Pozios, V., 364Pratkanis, A. R., 67Pratt, M., 310Pratt-Hyatt, J., 184Preiser, N., 363Prelow, H., 266, 399Prenda, K., 401Price, S., 392Prinzie, O., 235, 412Prochnik, G., 39, 42Proctor, H., 297Pulkkinen, L., 237Pulkki-Rabach, L., 236Pullmann, H., 232, 414Punamaki, R., 68Puri, R., 376Puyuelo, M., 394Pyszczynski, T., 263
QQing-Xin, S., 382Quevedo, K., 384Quevedo, R., 399Quiery, N., 174Quinn, S., 154Quintieri, P., 331
RRaaijmakers, Q., 177Rabie, L., 71Rabinowitz, P., 384Raffoul, W., 181Ragab, M., 70Raghubir, P., 392Raiff, B., 331Räikkönen, K., 376, 389Raine, A., 383Rainey, N., 184Rainville, R., 69Ram, N., 397, 399Raman, A., 365Ramirez-Maestre, C., 389
486 Name Index
Copyright 2017 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s). Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.

Ramos, T., 394Ramos-Sanchez, L., 22Rann, J., 381Rashid, T., 402–403Raskauskas, J., 365Raskin, A., 125Rasmuson, I., 230Rat-Fischer, L., 346Raudsepp, L., 414Ravert, R., 176, 381Rayle, A., 397Raynor, D., 236Realo, A., 232–233, 408Reddy, P., 129Reed, P., 326Regalia, C., 363Reid, L. D., 311Reijntjes, A., 235, 412Reimanis, G., 175Reimann, R., 408, 410Reinsch, S., 361Reio, T., 382Reips, U., 27Reiser, M., 64Reiss, D., 228Rendon, D., 151Renk, K., 375Renner, B., 392Renshaw, K., 12Rentfrow, P., 399, 410Repucci, N. D., 331Resnicow, K., 185Rettner, R., 129Reuter, A., 398Reuter, M., 241Revelle, W., 226Revonsuo, A., 68Reyero, D., 375Reyes, J., 331Reynolds, C., 236, 383Reynolds, J., 181Rheingold, A., 22Rice, B., 335Rice, T., 398Rich, B., 360Rich, S., 230Richard, J., 207Richard, P., 22Richelle, M. N., 335Riggio, R. E., 206Rijsdijk, F., 394Riksen-Walraven, J., 64Rimpelae, M., 400Risinger, R. T., 234Rispoli, M., 331Ristuccia, C., 73Ritter, B., 355Roazen, P., 41, 110Robbins, M., 102Robbins, R., 23Roberson, D., 208
Roberti, J., 379, 382–383Roberts, B. W., 16, 237–238Roberts, J., 22Roberts, L., 265Robins, R. W., 238, 265Robins, W., 265Robinson, M., 235Robinson, O., 183, 235Robinson-Whelen, S., 391Roche, S., 129Rochlen, A., 187Rodgers, J. L., 128Rodriguez, R., 389Rodriguez-Mosquera, P. M., 12Rogers, C. R., 272–273, 275, 279, 282–284Rogers, L., 185Rogoff, B., 364Rom, T., 381Rompa, D., 382Ronaldson, A., 389Rong-Gang, Z., 382Roques, M., 364Rorschach, H., 16, 23Rose, J., 265Rose, R. J., 233Rose, S., 226Rosenberg, B. C., 129Rosenbloom, T., 382Rosenthal, D. R., 188Rosenthal, R., 206Rosenzweig, S., 62Roski, C., 277Ross, C., 8Ross, D., 344Ross, J., 101Ross, S., 266, 344Roth, G., 285Roth, M., 379Rothrauff, T., 182Rotter, J. B., 131, 372–373Rouhani, S., 374Rousseau, M., 126Roussi-Vergou, C., 225Routh, D., 296Routledge, C., 265Rowatt, W., 239Rubiano, S., 365Rubin, R., 176Rubins, J. L., 137Rucker, D. D., 67Rudich, E. A., 264Rudolph, K., 20Rudy, D., 412Ruetzel, K., 181Ruland, C., 389Rule, N., 10Rush, L., 69Rushen, J., 324Russell, D. W., 360Russell, J. A., 206Russo, S., 381
Rutledge, P., 7Ryan, R., 267Ryan, S. M., 388Ryan, T., 241Ryckman, R., 152Ryff, C. D., 400Ryff, D., 399Ryon, H., 375
SSaarni, S., 396Sakamoto, S., 20Saklofske, D., 227Salamon, M., 265Salanova, M., 360Salas, E., 360Salem, M., 70Salem-Hartshorne, N., 128Salinas, C., 206Salmon, P., 309Salvisberg, C., 266Samreen, H., 375Samsi, M., 16Samuels, J., 236Sanbonmatsu, D., 392Sanders-Reio, J., 382Sandnabba, N., 408Sandvik, L., 389Sandy, C., 238Sanna, L., 390–391Santos, S., 185Santtila, P., 408Sapouna, M., 363Sarangi, S., 309Sarason, I. G., 356Saric, M., 373Sarrazin, P., 391Sarrica, M., 402Sassi, M., 181Sasson, N., 207Saudino, K. J., 228, 235Saunders, J. T., 66, 331Sayer, A., 181Sayers, J., 66Sayles, M., 376Scabini, E., 363Schachter, S., 128–129Schacter, D., 72Schaie, K., 398Schaller, M., 269Scheier, M., 388–389, 391Schell, T., 23Schimel, J., 264Schimmack, U., 66, 234Schkade, D., 396Schmidt, A., 360Schmidt, F., 234Schmidt, M., 127Schmitt, D., 232, 266Schmitt, K., 179Schmitz, N., 375
Name Index 487
Copyright 2017 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s). Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.

Schmukle, S., 235Schmutte, P. S., 400Schneewind, K. A., 353, 376Schneider, A., 69Schneider, F., 379Schneider, G., 397Schneider, S. C., 389, 392Scholte, R., 235, 241Schou, I., 389Schredl, M., 68–70Schueller, S., 403Schul, Y., 67Schultz, D. P., 85Schulz, R., 374Schupp, J., 397, 399Schur, M., 42Schurer, S., 376Schutz, A., 277Schwankovsky, L., 387Schwartz, A., 151, 396Schwartz, G., 9Schwartz, J., 187Schwartz, N., 396Schwartz, S., 176, 185, 381Schwartzman, A. E., 151Schwarz, E., 375Schwarz, N., 15Schwarzer, R., 361Schweid, E., 334Schwitzgebel, E., 69Schyns, P., 209Scoffier, S., 376Scollon, C., 20, 229Scott, J., 360Scott, R., 22, 62Scrutton, H., 240Seaton, C., 65Seaton, E., 22, 399Sechrest, L., 9, 124, 309–310, 372Sedikides, C., 264–265, 352Seehusen, J., 264Seeman, M., 376Seeman, T., 376Seemann, E., 187Segal, B., 381Segal, D. L., 150–151Segal., N., 230Segall, M., 376Seger, C., 12Segers, E., 235Segerstrom, S. C., 389, 391Segrin, C., 358Seidah, A., 265Seidman, E., 185Seidman, G., 7Seiffge-Krenke, I., 137, 176Sekercioglu, G., 225Sekhon, M., 263Seligman, M. E. P., 386, 388–390, 392–395,
402–403Sellers, R., 22
Sen, C., 376Senatore, N., 103Serson, J., 161Sestir, M., 365Settles, I., 184Shah, K., 374Shallcross, A., 287Shamir, B., 264Shane, S., 235Shao, L., 398Shapka, J., 365Shatz, S., 151Shaughnessy, S., 266Shaw, B., 266Shaw, G., 10Shaw, J., 360Sheku, B., 374Sheldon, K., 183, 267, 285, 400Sheldon, W., 191Shelton, A., 129Shen, H., 68Shepherd, S., 239Shepperd, J., 392Sher, K., 229Sherman, M., 22Sherman, R., 414Shevlin, M., 229Shevrin, H., 63Shi, M., 176Shifren, K., 389Shim, U., 237Shin, Y., 364Shiner, R. L., 64, 408, 415Shipherd, J., 187Shirachi, M., 66Shmotkin, D., 399Shojaee, M., 376Shors, T., 388Short, R., 129Shostrom, E. L., 261–262Shull, R., 322Shulman, E., 380Shulman, H., 382Shuming, Z., 102Sibley, C., 239Siegel, L. J., 356Siegler, I. C., 233, 399Silcott, L., 22Silcox, B., 240Silkstrom, S., 240Silva, L., 184Silver, N., 266, 375Silvera, D., 12Silverman, L. H., 63, 417Silvia, S., 22Sim, W., 375Simmering, M. G., 8Simon, A., 225Simonton, D., 320Simsek, O., 384Singh, T., 376
Singh-Manoux, A., 389Sinha, P., 207Siribaddana, P., 130Sisic, M., 8Skinner, B. F., 318–319, 324, 327–328, 332,
336Skinner, T., 236Skogan, W., 363Sleegers, P., 363Sleek, S., 413Slugoski, B. F., 188Smari, J., 265Smeekens, S., 64Smillie, L., 229Smirles, K. A., 182Smith, A., 264Smith, D., 367, 397Smith, E., 381Smith, H. L., 396, 398Smith, J., 309, 397, 380Smith, M., 185, 396Smith, R. E., 352Smith, S., 7Smith, T. B., 184Sneed, J., 177, 181Snipes, D., 237Snowdon, D., 390Sobolew-Shubin, A., 387Soenens, B., 177Soerensen, S., 397Sogolow, Z., 68Soler, R. E., 185Solnit, A. J., 58Solo, C., 399Solomon, S., 264Soriano, E., 175Sorlie, T., 376South, S., 408Spann, M., 376Spector, T., 235Spencer, C., 309Spinath, F., 408, 410Spiro, A., 397Spirrison, C., 66Spitalnick, J., 381Spock, B., 42Springer, C., 390Srivastava, S., 182Sroufe, L. A., 174St. John, C., 126Stack, A. D., 65Stacy, A. W., 361Stajkovic, A., 360Stams, G., 235, 412Stanton, B., 381Statton, J. E., 125Staudinger, U. M., 183, 400Steca, P., 234, 358–359, 361Stecker, R., 387Steel, P., 362, 400Steele, B., 398
488 Name Index
Copyright 2017 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s). Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.

Steele, R., 66Stefan, C., 309Steinberg, L., 178, 380Stell, A., 183Stelmack, R. M., 228, 242Stepanikova, I., 402Stepansky, P. E., 116Stephan, J., 69Stephan, Y., 267Stephenson, W., 284Steptoe, A., 389–390, 397Sterba, R. F., 131Stewart, A., 104, 175, 180, 182–183Stewart, G. L., 236Stewart, S. E., 150Stewin, L., 129Stieger, S., 27Stilwell, N. A., 101Stinson, D., 265Stirn, A., 382St-Laurent, D., 126Stone, A., 396–397Stone, M., 127Stookey, J., 324Strano, D., 124Straumann, T. J., 287Strauss, J. P., 236Streitmatter, J., 176Stricker, L. J., 101Strickland, B. R., 373Strizhitskaya, O., 267Strong, B., 179Strouse, G., 179Strupp, H. H., 284Suarez-Balcazar, Y., 27Subrahmanyam, K., 8, 179Suchy, Y., 236Suedfeld, P., 175Suh, E. M., 9, 396, 398, 401Suinn, R., 185Suire, R., 402Suldo, S., 234Sullivan, M., 126Sullivan, S., 129Sullivan-Logan, G. M., 233Sulloway, F. J., 44, 61, 129Sully, A., 324Summerville, K., 105Sun, P., 311Suri, S., 27Susskind, J., 209Sussman, S., 361Sutin, A., 390, 410Sutton-Smith, B., 129Swann, W., 265Swanson, J., 365Sweeny, K., 392Swenson, R., 266Swickert, R. J., 234Synn, W., 101Szapocznik, J., 185
TTaft, L. B., 183Tai, K., 279Takahata, M., 324Takanishi, A., 208Takano, K., 20Takata, T., 11Takeuchi, D., 21Tallandini, M., 67Tam, V., 184Tamaki, M., 70Tamamiya, Y., 207Tang, L., 8Tangney, J., 330Tanno, Y., 20Tarantino, N., 408Tardiff, K., 363Tarraf, W., 21Tatsuoka, M. M., 223Tavakoli, H., 362Tavris, C., 188Tay, L., 263Taylor, C., 16Taylor, D., 184, 410Taylor, J., 207Taylor, M., 264, 361Taylor, S. E., 389Taylor-Ritzler, T., 27Tedeschi, R., 389Tellegen, A., 230Tennen, H., 20Terracciano, A., 232, 235, 414–415Tesiny, E. P., 125–126Teti, D. M., 354Tetlock, P. E., 310Thacker, S., 345Thal, S. E., 101Thiel, W., 408Thoemmes, F., 237Thomas, S., 67Thompson, S. C., 387Thompson, T., 336Thompson, V., 22Thompson-Lake, D., 381Thoresen, C., 377Thornton, B., 152Tildesley, E., 381Timmermans, A., 241Tjan-Heijnen, V., 376Tobey, L. H., 125Tobin, D., 127Tomina, Y., 324Tomlin, M., 326Tomlinson, T. M., 283Tompson, M., 377Tong, J., 374Torges, C., 183Tori, C., 68Torres, L., 185Tosun, L., 241Townsend, A., 179
Trapnell, P. D., 9Trautwein, U., 237Triandis, H. C., 9Tribich, D., 71Trice, A., 379Trifonova, A., 232Troetschel, R., 63Troup, L., 228Trovato, G., 208Trzesniewski, K. H., 265Tsai, C., 364Tsai, J., 209Tsai, M., 364Tseng, M., 123, 127Tucker, J., 236Tucker, W., 226Tucker-Drob, E., 409Tully, E., 408Turban, D., 400Turenshine, H., 129Turiano, N., 402Turkle, S., 179Turkum, A., 398Turner-Cobb, J., 264Twenge, J., 265Tyson, D., 22
UUba, L., 374Ubel, P., 397Udris, R., 365Uhlmann, E., 365Ulbricht, J., 228Ullen, F., 408Umana-Taylor, A. J., 185Updegraff, K., 129, 185Usborne, E., 184, 410Ustwani, B., 102Utsey, S., 399Utz, S., 179
VVaccarino, V., 376Vahtera, J., 389Vaidya, J., 345Valentijn, S., 358Vallath, S., 66Valli, K., 68Van Aken, M., 12, 415van Bakel, H., 64Van Boven, L., 396Van de Castle, R., 70, 152Van de Water, D. A., 181–182Van den Eijnden, J., 241Van der Aa, N., 241Van der Linden, D., 235van der Vyver, J., 208Van Eeden, R., 225Van Hiel, A., 182–183, 265Van Leeuwen, K., 408Van Zalk, M., 12
Name Index 489
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Vanderborght, B., 75Vandewater, E. A., 104, 182Vandiver, B., 186Vansteenkiste, M., 177Varesconi, I., 381Varvatsoulias, G., 102Vasquez, E., 65Vaughan, A., 324Vazire, S., 6Vecchione, M., 65Veenhoven, R., 398Velasquez, R., 376Velezmoro, R., 382Venables, P., 383Ventura, M., 360Verkasaio, M., 241Verkuyten, M., 266Vernon, P., 205–206, 241Verrico, C., 381Veselka, L., 241Vetere, A., 66Viechtbauer, W., 414Viezel, K., 126Viken, R. J., 233Villanova, P., 387Villardon, L., 365Viner, R., 74Vinitzky, G., 241Vinokur, A. D., 67Visintainer, M., 388Vlaev, I., 396Vlahov, D., 363Vleioras, G., 177Vogel, E., 265Vohs, K., 330Vollmann, M., 392Volpicelli, J., 388Von Dras, D. D., 233Von Franz, Marie-Louise, 97–98Von Grumbkow, J., 209von Kanel, R., 64von Rueden, C., 232Vookles, J., 129, 287Voracek, M., 232Vosper, J., 129Vosvick, M., 376
WWadkar, A., 387Wagerman, S., 235Wagner, B., 234Wagner, G., 265, 397, 399, 401Wagner, J., 265Waldrop, D., 361Walker, B., 312Walker, C., 312Walker, K., 390Walker, R., 22Wallace, B., 184Wallen, J., 399Wallerstein, R., 160
Wallick, M. M., 101Walsh, D., 365Walsh, S., 8Walters, R. H., 344–345Walton, K., 237, 414Wan, W., 75Wang, L., 374–375Wang, Q., 375Wang, S., 176Wang, Y., 360Want, V., 22Warburton, J., 183Waterman, A. S., 175, 177, 188Waterman, C. K., 175Watkins, C. E., Jr., 126Watson, C. B., 363Watson, D., 234, 237, 249, 345Watson, J. B., 249, 315, 321Watson, M. W., 70Watters, E., 72Watts, R., 114, 128Wayland, A., 365Weber, H., 392Webster, G., 240Webster, R., 61, 74Weed, N., 14Weetjens, B., 324Wegner, D. M., 62Weinberger, I., 63, 417Weinberger, J., 181Weinstein, J. N., 360Weir, K., 330Weisfeld, C., 409Weisfeld, G., 409Weisgram, E., 173Weiss, A., 400Weiss, D., 8Weisse, C. S., 393Weisskirch, R., 242, 381Weiszbeck, T., 175Weiten, W., 45Weitlauf, J. C., 352Wendorf, C., 409Wentworth, P. A., 182Werner, N., 365Wernick, L., 187Wero, J. L. F., 206Westen, D., 63, 71, 73Westenberg, P. M., 104Westerlund, M., 408Westerman, S., 7Westermeyer, J., 182Westkott, M., 148Wethington, E., 410Wheatley, T., 62Wheeler, L., 358Whetstone, A., 388Whitaker, J., 65Whitbourne, S., 181White, K., 8Whitesell, N. R., 287Whittaker, V., 184
Widom, C., 126Wieczorkowska, G., 128Wilbarger, J., 63Wilborn, B., 125Wilcox, K., 230Wilfong, J., 177Wilkinson, R., 390Wille, D. E., 174Williams, D. E., 263Williams, K., 240, 264, 363Williams, P., 236Williamson, J., 8Willis, M., 234Willis, S., 398Wills, T.., 330Wilpers, S., 237Wilson, C., 248Wilson, H., 126Wilson, K., 8Wilt, J., 182Windsor, T., 400Winkielman, P., 63Winter, D. A., 183, 306, 309, 312Winter, D. G., 205, 297Winter, S., 8, 364Winzelberg, A., 16Wirtz, D., 398Witkow, M., 184Witt, E. A., 27, 242Wittels, F., 110Woemmel, C., 361Wohlfarth, T., 234Wojcik, E., 403Wolfling, K., 241Wolinsky, F., 374Wong, A., 10Wong, F. Y., 283Wong, S., 11Wong, W., 173Wood, A., 400Wood, J. M., 18, 22Wood, M., 229Woodworth, M., 240Worrell, F., 186Worth, R., 66Wright, C., 390Wright, E., 363Wright, P. M., 352Wright, T. L., 360Wu, M., 397Wu, Q., 264Wyatt-Gieser, J., 18Wygant, S., 14Wynd, C. A., 376Wynn, R., 376
XXenos, S., 241Xiang, J., 68Xian-Li, A., 69Xiao-Yun, Z., 382
490 Name Index
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YYablon, Y., 102Yagmurlu, B., 11Yamagata, S., 408Yamaguchi, S., 10, 266Yamazaki, T. G., 150Yan, G., 382Yan, Z., 27Yang, H., 102Yang, Y., 234, 241Yao, M., 7Yap, S., 184, 358Yarlap, A., 397Yee, C., 362Yeo, G., 229Yi, M. S. M., 9Yildiz, S., 225Yip, T., 399Yong-Hong, H., 402Yoo, H., 9Young, R., 8Young-Bruehl, E., 73Youngquist, J. V., 382Youngs, D., 309
Yu, C., 60, 69Yu, E., 394
ZZadra, A., 69Zafiropoulou, M., 225Zajonc, R. B., 118, 128Zamani, R., 24Zamboanga, B., 381Zane, N., 21Zanon, C., 234Zaretsky, E., 74Zarghamee, H., 398Zeb, N., 65Zebrowitz, L. A., 208, 358Zecca, M., 208Zeidner, M., 376Zeigler-Hill, V., 264Zelazo, P., 71Zhai, Q., 234Zhai, Y., 234Zhang, D., 399Zhang, F., 207Zhang, H., 267
Zhao, S., 102Zheng, H., 382Zhong, Z., 7Zhou, Y., 69Zhuo, J., 345Ziegelstein, R., 236Ziegler-Hill, V., 265Zigler, E., 287Zimmer, C., 208Zimmerman, B. J., 359Zimmerman, M., 400Zimmerman, R., 366Zimmermann, J., 277Zimprich, D., 233, 414Zonash, R., 65Zubair, A., 375Zucchi, J., 387Zucker, A., 182Zuckerman, M., 378–379, 381,
383Zukanovic, R., 175Zullow, H., 393Zunshine, L., 210Zweigenhaft, R., 129
Name Index 491
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subject Index
AAbility traits, 217Actualization tendency, 274–276. See also
Self-actualizationAdjective checklist, 3Adler, Alfred, 105, 249, 258, 409, 411, 416life of, 109–110relationship with Freud, 41–42, 109,131–132
Adler’s theoryassessment in, 120–123reflection on, 130–133research on, 123–130
Adolescent development, 176–178, 354Adulthood, 202–203, 354African-American identity, 185Aggressive behavior, 344, 364–365Aggressive drive, 44Aggressive personality, 143–147Agreeableness, 231–239, 241Alienated achievement, 177Allport, Gordon, 131, 193–210, 409, 411, 416challenged Freud’s psychoanalysis, 194life of, 194–196uniqueness of personality, 194
Allport’s theoryassessment in, 204–205reflections on, 210research on, 205–209
Anal personality type, 71Anal stage, 53–54Analytical psychology, 81Anima/animus archetypes, 92, 96Anticipating life events, 298–303Anxiety, 47basic, 140–141behavior modification of, 356castration, 55defenses against, 49–51, 67–68purpose of, 48–49types of, 48
Archetypes, 91–93, 102Ashton, Michael, HEXACO model, 239–240Asian-American identity, 185Assessment of personalitybehavioral, 19clinical interviews, 18–19gender and ethnic issues, 20–24online test administration, 16projective techniques, 16–18reliability and validity, 13–14self-report inventory, 14–15thought and experience, 19–20
Attentional processes, 348–349Aversive stimulation, 329Avoiding style of life, 115
BBandura, Albert, 26, 341–367, 377, 410, 416life of, 342–343
Bandura’s theoryassessment in, 357reflection on, 366–367research on, 357–365
Basic anxiety, 140–141Basic strengths, 163Basic weaknesses, 170Behavior modification, 330–332, 354–357Behavior shaping, 326–328Behavioral approach, 315, 317–336Behavioral genetics, 226Behaviorism, 245, 249, 294, 315, 320Bandura’s, 342Skinner’s, 336, 343
Being needs, 251Belongingness need, 253–254, 263–264Beyond Freedom and Dignity (Skinner), 336Big Five factors, 230–238Birth order, 117–120, 127–128effects, 130
Bivariate method, 224Black identity, 184–186
Bobo inflatable doll studies, 343–344Body language, 111, 206Body types, 191
CCardinal trait, 198Case study method, 24–25, 60–61, 123Castration anxiety, 55Catharsis, 58, 65Cathexis, 44Cattell, Raymond, 105, 409, 411life of, 214–216
Cattell’s approach to personality traits,216–218
assessment in, 222–223reflections on, 225–226research on, 223–225
Central traits, 198Childhoodneed for safety and security, 139–140,
252–253personality development in, 51–57, 93–94,
200–202, 276–279, 353–354, 394sexual abuse, 39–40, 72–73
Choice corollary of personal constructtheory, 300–301
Clinical interviews, 18–19Clinical method, 24–25Cognitive approach, 291, 293–312Cognitive complexity, 310–311Cognitive needs, 255Cognitive psychology, 295Cognitive simplicity, 310–311Cognitive styles, 310Collective efficacy, 362–364Collective unconscious, 90–91Commonality corollary of personal
construct theory, 303Common traits, 198Compensation, 111Complexes, 90
492
Copyright 2017 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s). Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.

Compliant personality, 143Computerized test administration, 16Conditional positive regard, 278, 285Conditioning, 321Conditions of worth, 278–279Conflict, 144–145Congruence, 279Conscience, 47Conscientiousness, 231–233, 239, 241Conscious level of personality, 44–45Consciousness, 416Constitutional traits, 217–218Construct, 297–298. See also Personal
construct theoryConstruction corollary of personal construct
theory, 299Constructive alternativism, 298Control group, 25Coping behavior, 206Correlational method, 27–29Correlation coefficient, 28Costa, Paul, model of, 230–239Covert modeling, 355Creative power of self, 115Cross-cultural psychology, 9Culture in shaping personality, 9–12child-rearing practices, 11cultural belief about destiny, 10diversity, 12and five-factor model, 232individualism, 10–11self-enhancement, 11–12in personality assessment, 23–24
DDark Triad of personality, 240–241Death instincts, 44Defense mechanisms, 49–51hierarchy, 67–68
Deficit (deficiency) needs, 251Denial, 50, 67Dependent variable, 25Depression, 392–394Detached personality, 144Determinism, free will and, 31Developmental factor, 413–415Dichotomy corollary of personal construct
theory, 299–300Dichotomy in Kelly’s theory, 305–306Dimensions of personality, 226–230Direct observation of behavior, 333–334Dirty Dozen Scale, 240Disinhibition, 345Displacement, 50, 65Dominant style of life, 115Dream analysisAdler and, 121–122, 123Horney and, 150Jung and, 98–99, 102S. Freud and, 41, 59–60, 68
Dynamic traits, 217, 219
EEarly recollections, 121, 124–125Ego, 46–47, 64–65, 87Ego-ideal, 47Ego identity, 167, 179–181despair vs., 169
Ego psychology, 73–74Electra complex, 56Emotional arousal, self-efficacy, 352–353Emotionality, 239Emotionality, activity, and sociability (EAS),
287Encounter groups, 283Entropy, principle of, 86–87Environmental-mold traits, 217, 218Environment influences, 197, 219,
408–410Epigenetic principle of maturation, 163Equivalence, principle of, 86Erikson, Erik, 105, 153, 409, 411life of, 160–162
Erikson’s theoryassessment in, 171–172reflections on, 188–189research in, 172–187
Esteem needs, 253Ethical issues in behavior modification,
356–357Ethnic identity, 184–186Ethnic issuesin assessment, 20–24locus of control, 374–375
Experience corollary of personal constructtheory, 301
Experience sampling, 19–20Experiential environment, 276Experimental group, 25–26Experimental method, 25–27Explanatory style, 388–394Expressive behavior (Allport), 206–208facial expressions, 207–208gender and age effects, 206–207
Externalization, 146External locus of control, 372, 374–375Extinction, 322Extraversion, 88, 100–101, 228,
239, 341Extrinsic motivation, 267Eysenck’s personality dimensions, 241
FFacial expressions, 206–208cultural differences in, 208–209
Factor analysis, 223, 379of behavior prediction, 214
Fears, behavior modification of,355
Feminine psychology, 146–149,152
cultural influences on, 148–149Fictional finalism, 114
First-born child, 117, 128–129characteristics, 117–118
Five-factor model, 230–238behavioral correlation, 235–238cross-cultural consistency, 232emotional correlation, 234–235gender differences, 232measuring of, 231prediction of changes over time, 233stability over time, 233
Fixation, 52Fixed-interval/fixed-ratio reinforcement
schedule, 325–326Fixed role therapy, 306–308Flight from womanhood, 147Foreclosure (adolescent status), 176Fragmentation corollary of personal con-
struct theory, 302–303Free association
Freud’s theory, 58–59Horney’s theory, 150
Free will, 132determinism vs, 31
Freud, Anna, work of, 40–41, 73–74,77, 161
Freud, Sigmund, 411, 413, 416Adler and, 41, 109, 131–132Allport and, 193–194, 195–196on Anna, 73–74Erikson and, 160–161Horney and, 135–136Jung and, 81, 83life of, 38–42
Freudian slip, 71Freud’s research, criticisms, 60–73
scientific testing, 62–73Freud’s theory
assessment in, 58–60extension of, 73–74reflection on, 74–76
Fromm, Erich, 138, 328Fully functioning persons, 279–281Functional analysis, 333Functional autonomy, propriate,
199–200
GGay identity, 187Gender, 179–181Gender issues
in assessment, 20in personality, 8–9
Gender preference identity, 186–187Gender-typed play therapy, 172–174Generativity, 181–182
stagnation vs., 168–169Genetic approach, 191, 193–242Genetic factors, 407–408Genital stage, 57Growth needs, 251Guided participation, 355
Subject Index 493
Copyright 2017 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s). Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.

HHappy personality, 395–404Heredityinfluence of, 408primary role of, 230
Hierarchy of needs, 250–255, 263Hispanic-American identity, 185Historical determinism, 32Honesty/humility, 239–240Horney, Karen, 131, 409, 411life of, 136–138
Horney’s theoryassessment in, 150–151reflection on, 153–154research on, 151–153
Humanistic approach, 245, 247–288Human natureAdler’s view of, 120Allport’s view of, 202–203Bandura’s view of, 357Cattell’s view of, 221–222Erikson’s view of, 170Freud’s view of, 57–58Horney’s view of, 149Jung’s view of, 96–97Kelly’s view of, 304Maslow’s view of, 260–261questions about, 31–32Rogers’ view of, 281–282Skinner’s view of, 332–333
Hypnosis, 58
IId, 45–46Idealized self-image, 145–146Identity achievement, 176Identity cohesion, 167Identity confusion, 162Identity crisis, 167, 176–177, 181Identity diffusion, 177Impulsive unsocialized sensation seeking, 379Incentive processes, 350Incongruence, 279Independent variable, 25Individualism, 10–11Individuality corollary of personal construct
theory, 299Individual psychology, 108, 132–133Individuation, 95–96, 102–103Inferiority complex, 132causes, 111–113
Inferiority feelings, 111, 123–124, 138Instinctive drift, 335Instinctoid needs, 250Instincts, 43types of, 44
Internal locus of control, 372–373Internet, personality and, 6, 241–242The Interpretation of Dreams (S. Freud),
60Intimacy, isolation vs., 167–168
Introversion, 87–89, 101Isolation, intimacy vs., 167–168
JJanteloven, 12Jonah complex, 260Jung, Carl, 413, 416life of, 82–85S. Freud and, 41, 81, 83
Jung’s theory, 86–87assessment in, 97–100research on, 100–104
KKarma, 10Kelly, George, 293–312, 416life of, 295–297
Kelly’s theoryassessment in, 304–308reflection on, 312research on, 308–311
LLast-born child, 119Latency period, 57L-data technique, 222Learned helplessness, 385–388, 392–395, 404animal research on, 388in childhood, 394emotional health and, 387–388reflections on, 394–395as torture, 387
Learning factor, 410–411Lee, Kibeom, HEXACO model, 239–240Letters from Jenny, 205Levels of personality, 44–45Libido, 44, 86Life-history reconstruction, 100Life instincts, 44Life-span approach, 157, 159–189Life style, 115Limited-domain approach, 369–417Locus of control, 372–377age and gender differences, 373–374assessment of, 373behavioral differences, 375in childhood, 376–377ethnic issues, 374–375internal vs. external control, 372–373physical health differences, 376
MMachiavellianism traits, 240Maldevelopment, 170Maslow, Abraham, 105, 131, 153, 210, 245,
247–269, 409, 411, 416Maslow’s hierarchy of needs, 250–255, 263Maslow’s theoryassessment in, 261–262reflection on, 268–269research on, 262–266
Maturity, 182–184MBTI. See Myers-Briggs Type Indicator
(MBTI)McCrae, Robert, model of, 230–238Memories, repressed, 72–73Metamotivation, 255–256Metaneeds, 256–257Metapathologies, 256–257Middle age, personality development, 94–95Midlife crisis in women, 103Minnesota Multiphasic Personality Inven-
tory (MMPI), 14–15, 24Modeling, 343–348, 355therapy, advantages of, 355–356
Modulation corollary of personal constructtheory, 302
Moral anxiety, 48Moratorium (adolescent status), 176Motivation, 198–200, 255–256, 267Multivariate methods, 224Myers-Briggs Type Indicator (MBTI), 99–100
NNarcissism traits, 240Nature or nurture, 31Needs, Maslow’s hierarchy of, 250–255, 263Negative emotionality, 180Negative reinforcement, 332Neglect in childhood, 125–126NEO Personality Inventory, 231Neo-psychoanalytic approach, 79, 81–154Neuroses, 39, 41, 141–145Neurotic anxiety, 48Neurotic competitiveness, 152Neuroticism, 228–229Neurotic needs, 141–145aggressive personality, 143–144compliant personality, 143conflict, 144–145
Neurotic trends, 142–143, 151–152Neurotic’s self-image, 146Non-impulsive socialized sensation seeking,
379Nordic cultures, 12
OObjective anxiety, 48Observational learning, 342–350. See also
Social-learning theoryattentional processes, 348–349Bobo inflatable doll studies, 343–344disinhibition, 345incentive processes, 350modeling situation characteristics, 346–348production processes, 349–350retention processes, 349society’s models effects, 345–346verbal modeling, 344
Observer characteristicsage, 347–348attributes, 348
494 Subject Index
Copyright 2017 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s). Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.

Oedipus complex, 54–56, 70, 148Old age, 182–183, 221, 354, 397Online test administration, 16Only child, 119–120Operant behavior, 322–323Operant conditioning, 323–324, 330–332Opposites, principle of, 86Optimism/pessimism, 32, 388–394Optimistic explanatory style, 388–394Oral personality type, 71Oral stage, 52–53Order of birth, 117–120, 127–128Organic inferiority complexes, 111–112Organismic valuing process, 276Organization corollary of personal construct
theory, 299
PPampering in childhood, 126Parental factor, 411–413Peak experience, 257Peer groups, 167Penis envy, 56, 70Perceptual defense, 286Perfection, drive for, 113–114Performance attainment, self-efficacy, 352Permeability, 302Perseverative functional autonomy, 199Persona archetype, 91–92, 95–96Personal construct theory, 293–313Personal-document technique, 204–205Personal growth/stagnation, 104PersonalityAllport’s uniqueness of, 194aspects, 87–93assessment (See Assessment of personality)dimensions (See Dimensions of personality)social media and, 6–8tests, 13–24traits, 214, 241–242
Personality: A Psychological Interpretation(Allport), 193
Personality development, 93–96hierarchy of needs, 250–255stages of, 219–220
Personality theories, 29–30autobiographical nature of, 30
Personal Orientation Inventory (POI),261–262
Personal unconscious, 89Person-centered therapy, 272, 282–285, 288Pessimistic explanatory style, 388–394Phallic stage, 54–56Phobias, 355Physiological arousal, self-efficacy, 352–353Physiological needs, 252Play constructions, 172–174Pleasure principle, 45–46Positive emotionality, 180Positive psychology (Seligman), 395–403characteristics and causes of happiness, 395
goals, 400–401marriage and social support, 397–398
Positive regard, 277Positive self-regard, 277Preconscious level of personality, 45Predictive validity, 13Primary-process thought, 46Production processes, 349–350Projection, 50Projective techniques, 16–18Propriate functional autonomy, 199–200Proprium, 199, 200–202Psyche, 86Psychic energy, 86–87Psychoanalysis, 35–76, 41–42, 74Psychohistorical analysis, 172Psychological approach, 291Psychological functions, 87–88Psychological tests, 172, 283Psychological types, 88–89, 100–101Psychopath traits, 240Psychosexual stages of personality develop-
ment, 51–57anal stage, 53–54genital stage, 57latency period, 57oral stage, 52–53phallic stage, 54–56
Psychosocial stages of personality develop-ment, 162–169, 181–182
autonomy vs doubt andego integrity vs despair, 169generativity vs stagnation, 168–169identity cohesion vs role confusion, 167industriousness vs inferiority, 166–167initiative vs guilt, 165intimacy vs isolation, 167–168trust vs mistrust, 163–164
Psychoticism, 229–230Punishment, 332
QQ-data technique, 222Q-sort technique, 284–285
RRace and gender in shaping personality,
8–9Racial identity, 184–186, 286Range corollary of personal construct theory,
301Rationalization, 50Reaction formation, 50Reality anxiety, 48Reality principle, 46Reciprocal determinism, 357Regression, 50Reinforcement, Skinner’s ideasdefinition of, 321internal vs external locus of control, 372–373negative, 332
schedules of, 324–326of self, 350–351vicarious, 342
Reliability, 13Repertory grid, 305, 306Repression, 49–50, 65–66, 72–73Resistances, 59Respondent behavior, 321–322Retention processes, 349Revised Racial Identity Model, 186Rogers, Carl, 271–289, 409, 411, 416
life of, 272–274Rogers’s theory
assessment in, 282–283reflection on, 288research on, 283–287
Role confusion, 167Role Construct Repertory Test, 304–305Rorschach Inkblot Technique, 16–17Rotter, Julian, and locus of control,
372–377
SSafety need and security, 139–140, 252–253Satiation, 329Schedules of reinforcement, 324–326Secondary-process thought, 46Secondary traits, 198Second-born child, 118–119, 129Self-acceptance, 286–287Self-actualization
and actualization tendency, 274–276childhood importance in, 259conditions for achieving, 254Maslow and, 249–250, 253Rogers and, 271–289self-esteem and, 266
Self-actualizer, characteristics, 256–258Self-administered satiation, 329Self archetype, 93Self-characterization sketch, 304Self-concept, 276–279Self-control of behavior, 329–330Self-determination theory, 267Self-efficacy, 351–354, 358–362Self-enhancement, 11–12Self-esteem, 264–266
ethnic and cultural differences in, 266high, 264low, 264–265self-actualization and, 266
Self-image, idealized, 145–146Self-protective mechanism, characteristics,
141Self-reinforcement, 350–351Self-report inventories, 14–15, 150–151Self-report of behavior, 334Seligman, Martin E. P.
learned helplessness, 385–395life of, 395positive psychology, 395–403
Subject Index 495
Copyright 2017 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s). Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.

Sensation seeking, 378–385assessment of, 378–379behavioral differences, 381–382characteristics of, 379–380heredity vs. environment, 384occupational preferences, 383personality differences, 382–383
Sentence-completion test, 18Sex-role training, 173Sexual abuse, childhood, 39–40, 72–73Shadow archetype, 92Shaping method, 326–328Siblings, influence of, 117–120Six-Factor Model, 239–240Sixteen Personality Factor (16PF) Ques-
tionnaire, 218, 223Skinner, B. F., 315, 317–337, 410life of, 318–321
Skinner box, 323–324Skinner’s theoryassessment in, 333–334reflection on, 335–336research on, 334–335
Snake phobia, 355Social interest, 116, 122–123, 126–127Sociality corollary of personal construct
theory, 303Social-learning approach, 26, 339, 341–367Social media, 6–8, 102Society’s models effects, 345–346Source traits, 217Stagnation, generativity vs., 168–169Stimulus avoidance, 329Striving for superiority, 113–114Structure of personalityego, 46–47id, 45–46superego, 47
Study of Values, 205
Style of life, 114–115Subjective well-being, 395–403Subjectivity in personality theories, 30Sublimation, 50–51Subliminal perception, 63Successive approximation, 327–328Superego, 47Superiority complex, 113Superstitious behavior, 328Surface traits, 217Symptom analysis, 98
TT-data technique, 222Television and aggressive behavior,
364–365Temperament traits, 217Test anxiety, 356Test standardization, 13–24Thematic Apperception Test (TAT), 18, 24Thought-sampling research, 19–20Token economy program, 330–331Trait approach, reflections on, 242Trait theoriesAllport and, 197–198Ashton and Lee, 239–240Cattell and, 214–219definition of, 4Eysenck and, 226–230McCrae, Costa, and, 230–238overview of, 191–192
Trolling, 345Twin studies, 230, 231, 384Type A/Type B behavior, 208Tyranny of the shoulds, 145, 152
UUnconditional positive regard, 277, 278Unconscious
collective, 90–91influence of, 416–417personal, 89S. Freud and, 44–45, 63
Unique traits, 216–217Utopian society, 333
VValidity, 13Values, personal, 205Variable-interval/variable-ratio reinforcement
schedule, 326Verbal modeling, 344Verbal persuasion, self-efficacy, 352Vicarious experiences, self-efficacy,
352Vicarious reinforcement, 342Video games and aggressive behavior,
364–365Virtual identity, 178–179Virtual research, 27
WWalden Two (Skinner), 320, 332Wisdom, 169Womb envy, 146–147WomenFreud’s view of, 56, 70Horney’s view of, 135–136, 146–149midlife crisis in, 103
Word association, 18, 98
YYoung adulthood, 167, 354Youngest child, 119
ZZuckerman, Marvin, and sensation seeking,
378–385
496 Subject Index
Copyright 2017 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s). Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.

Personality around the World
In addition to covering a diverse range of ages, genders, religious and ethnic groups,and geographical locations, Schultz and Schultz: Theories of Personality, includes thefollowing countries whose populations served as subject samples in research cited in this new 11th edition:
Poland
Portugal
Romania
Russia
Serbia
Scotland
Singapore
Slovakia
South Africa
Spain
Sweden
Switzerland
Syria
Taiwan
Thailand
Turkey
Uganda
United Arab Emirates
United States
Venezuela
Wales
Australia
Belgium
Bolivia
Botswana
Brazil
Bulgaria
Canada
Chile
China
Croatia
Czech Republic
Denmark
Egypt
England
Estonia
Ethiopia
Finland
France
Germany
Greece
Hong Kong
Hungary
Iceland
India
Iran
Israel
Italy
Japan
Korea
Kuwait
Lebanon
Lithuania
Macau
Malaysia
Mauritius
Mexico
Netherlands
New Zealand
Nigeria
Norway
Oman
Pakistan
Peru
Philippines
Copyright 2017 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s). Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.

Cover
ES-2
Half Title
Title
Statement
Copyright
Brief Contents
Contents
Preface to the Eleventh Edition
Ch 1: Personality: What It Is and Why You Should Care

Take a Look at the Word
Personality and the Social Media
The Role of Race and Gender in Shaping Personality
The Role of Culture in Shaping Personality
Assessing Your Personality
Research in the Study of Personality
The Role of Theory in Personality Theories
Questions about Human Nature: What Are We Like?
Ch 1: Chapter Summary
Ch 1: Review Questions
Ch 1: Suggested Readings
The Psychoanalytic Approach

Ch 2: Sigmund Freud: Psychoanalysis

The Life of Freud (1856–1939)
Instincts: The Propelling Forces of the Personality
The Levels of Personality
The Structure of Personality
Anxiety: A Threat to the Ego
Defenses against Anxiety
Psychosexual Stages of Personality Development
Questions about Human Nature
Assessment in Freud’s Theory
Criticisms of Freud’s Research
Extensions of Freudian Theory
Reflections on Freud’s Theory
Ch 2:Chapter Summary
Ch 2:Review Questions
Ch 2:Suggested Readings
The Neo-psychoanalytic Approach

Ch 3: Carl Jung: Analytical Psychology

The Life of Jung (1875–1961)
Psychic Energy: The Basis of Jung’s System
Aspects of Personality
The Development of the Personality
Questions about Human Nature
Assessment in Jung’s Theory
Research on Jung’s Theory
Reflections on Jung’s Theory
Ch 3:Chapter Summary
Ch 3:Review Questions
Ch 3:Suggested Readings

Ch 4:Alfred Adler: Individual Psychology

The Life of Adler (1870–1937)
Inferiority Feelings: The Source of All Human Striving
Striving for Superiority, or Perfection
The Style of Life
Social Interest
Birth Order
Questions about Human Nature
Assessment in Adler’s Theory
Research on Adler’s Theory
Reflections on Adler’s Theory
Ch 4: Chapter Summary
Ch 4: Review Questions
Ch 4: Suggested Readings

Ch 5: Karen Horney: Neurotic Needs and Trends

The Life of Horney (1885–1952)
The Childhood Need for Safety and Security
Basic Anxiety: The Foundation of Neurosis
Neurotic Needs
The Idealized Self-Image
Feminine Psychology
Questions about Human Nature
Assessment in Horney’s Theory
Research on Horney’s Theory
Reflections on Horney’s Theory
Ch 5:Chapter Summary
Ch 5:Review Questions
Ch 5:Suggested Readings
The Life-Span Approach

Ch 6: Erik Erikson: Identity Theory

The Life of Erikson (1902–1994)
Psychosocial Stages of Personality Development
Basic Strengths
Basic Weaknesses
Questions about Human Nature
Assessment in Erikson’s Theory
Research on Erikson’s Theory
Reflections on Erikson’s Theory
Ch 6:Chapter Summary
Ch 6:Review Questions
Ch 6:Suggested Readings
The Genetics Approach

Ch 7: Gordon Allport: Motivation and Personality

Allport Brings Personality into the Classroom and the Psychology Lab
The Life of Allport (1897–1967)
The Nature of Personality
Personality Traits
Motivation: What We Strive for
Personality Development in Childhood: The Unique Self
The Healthy Adult Personality
Questions about Human Nature
Assessment in Allport’s Theory
Research on Allport’s Theory
Reflections on Allport’s Theory
Ch 7:Chapter Summary
Ch 7:Review Questions
Ch 7:Suggested Readings

Ch 8: Raymond Cattell, Hans Eysenck, The Five-Factor Theory, HEXACO, and the Dark Triad

Predicting Behavior
The Life of Cattell (1905–1998)
Cattell’s Approach to Personality Traits
Source Traits: The Basic Factors of Personality
Dynamic Traits: The Motivating Forces
The Influences of Heredity and Environment
Stages of Personality Development
Questions about Human Nature
Assessment in Cattell’s Theory
Research on Cattell’s Theory
Reflections on Cattell’s Theory
Behavioral Genetics
Hans Eysenck (1916–1997)
The Dimensions of Personality
Robert McCrae and Paul Costa: The Five-Factor Model
Michael Ashton and Kibeom Lee: HEXACO: The Six-Factor Model
Delroy Paulhus and Kevin Williams: The Dark Triad of Personality
Personality Traits and the Internet
Reflections on the Trait Approach
Ch 8:Chapter Summary
Ch 8:Review Questions
Ch 8:Suggested Readings
The Humanistic Approach

Ch 9: Abraham Maslow: Needs-Hierarchy Theory

The Life of Maslow (1908–1970)
Personality Development: The Hierarchy of Needs
The Study of Self-Actualizers
Questions about Human Nature
Assessment in Maslow’s Theory
Research on Maslow’s Theory
Self-Determination Theory
Reflections on Maslow’s Theory
Ch 9:Chapter Summary
Ch 9:Review Questions
Ch 9:Suggested Readings

Ch 10: Carl Rogers: Self-Actualization Theory

The Life of Rogers (1902–1987)
The Self and the Tendency toward Actualization
The Experiential World
The Development of the Self in Childhood
Characteristics of Fully Functioning Persons
Questions about Human Nature
Assessment in Rogers’s Theory
Research on Rogers’s Theory
Reflections on Rogers’s Theory
Ch 10:Chapter Summary
Ch 10:Review Questions
Ch 10:Suggested Readings
The Cognitive Approach

Ch 11: George Kelly: Personal Construct Theory

The Cognitive Movement in Psychology
The Life of Kelly (1905–1967)
Personal Construct Theory
Ways of Anticipating Life Events
Questions about Human Nature
Assessment in Kelly’s Theory
Research on Kelly’s Theory
Reflections on Kelly’s Theory
Ch 11:Chapter Summary
Ch 11:Review Questions
Ch 11:Suggested Readings
The Behavioral Approach

Ch 12: B. F. Skinner: Reinforcement Theory

Rats, Pigeons, and an Empty Organism
The Life of Skinner (1904–1990)
Reinforcement: The Basis of Behavior
Operant Conditioning and the Skinner Box
Schedules of Reinforcement
The Shaping of Behavior
Superstitious Behavior
The Self-Control of Behavior
Applications of Operant Conditioning
Questions about Human Nature
Assessment in Skinner’s Theory
Research on Skinner’s Theory
Reflections on Skinner’s Theory
Ch 12:Chapter Summary
Ch 12:Review Questions
Ch 12: Suggested Readings
The Social-Learning Approach

Ch 13:Albert Bandura: Modeling Theory

The Life of Bandura (1925–)
Modeling: The Basis of Observational Learning
The Processes of Observational Learning
Self-Reinforcement and Self-Efficacy
Developmental Stages of Self-Efficacy
Behavior Modification
Questions about Human Nature
Assessment in Bandura’s Theory
Research on Bandura’s Theory
Reflections on Bandura’s Theory
Ch 13:Chapter Summary
Ch 13:Review Questions
Ch 13:Suggested Readings
The Limited-Domain Approach

Ch 14: Facets of Personality: Taking Control, Taking Chances, and Finding Happiness

Julian Rotter: Locus of Control
Marvin Zuckerman: Sensation Seeking
Martin E. P. Seligman: Learned Helplessness and the Optimistic/Pessimistic Explanatory Style
Martin Seligman: Positive Psychology
Ch 14:Chapter Summary
Ch 14:Review Questions
Ch 14:Suggested Readings

Ch 15: Personality in Perspective

The Genetic Factor
The Environmental Factor
The Learning Factor
The Parental Factor
The Developmental Factor
The Consciousness Factor
The Unconscious Factor
Final Comment
Ch 15:Review Questions

Glossary
References
Name Index
Subject Index
ES-7

TheoriesofPersonality.pdf

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