SUMMARY OUTLINE practitioner with a road map for making day-to-day

decisions; (5) be internally consistent and have a set of

I. Overview of Personality Theory operational definitions; and (6) be parsimonious,
Personality theorists (1) make controlled observations of or as simple as possible.
human behavior and
(2) speculate on the meaning of those observations. IV. Dimensions for a Concept of Humanity
Differences in theories are due Personality theorists have had different conceptions of
to more than differences in terminology; they stem from human nature, and the authors list six dimensions for
differences among theorists comparing these conceptions. These dimensions
on basic issues concerning the nature of humanity. include determinism versus free choice, pessimism
versus optimism, causality versus teleology, conscious
II. What Is Personality? versus unconscious determinants of behavior, biological
The term personality has several definitions. In everyday versus social influences on personality, and uniqueness
language, the word personality refers to one's social versus similarities among people.
skills, charisma, and popularity. However, scientists use
the term to mean more than a person's persona, or V. Research in Personality Theory
public image. To them, personality is a pattern of In researching human behavior, personality theorists
relatively permanent traits or characteristics that give often use various measuring procedures, and these
some consistency to a person's behavior. procedures must be both reliable and valid. Reliability
refers to a measuring instrument's consistency whereas
III. What Is a Theory? validity refers to its accuracy or truthfulness.
Theories are tools used by scientists to generate
research and organize observations.
A. Theory Defined
A theory is a set of related assumptions that allows
scientists to use logical deductive reasoning to formulate
testable hypotheses.
B. Theory and Its Relatives
The term theory is often used incorrectly to imply
something other than a scientific concept. Although
theory has some relationship with philosophy,
speculation, hypothesis, and taxonomy, it is not the
same as any of these. Philosophy-the love of wisdom-is
a broader term than theory, but one of its branches-
epistemology-
relates to the nature of knowledge, and theories are
used by scientists in the pursuit of knowledge. Theories
rely on speculation, but speculation in the absence of
controlled observations and empirical research is
essentially worthless. Hypothesis, or educated guess, is
a narrower term than theory. A single theory may
generate hundreds of hypotheses. Taxonomy means a
classification system, and theories often rely on some
sort of classification of data. However, taxonomies do
not generate hypotheses.
C. Why Different Theories?
Psychologists and other scientists generate a variety of
theories because they have different life experiences
and different ways of looking at the same data.
D. Theorists' Personalities and Their Theories of
Personality
Because personality theories flow from an individual
theorist's personality, some psychologists have
proposed the psychology of science, a discipline that
studies the personal characteristics of theorists.
E. What Makes a Theory Useful?
A useful theory must (1) generate research-both
descriptive research and hypothesis testing, (2) be
falsifiable; that is, research findings should be able to
either support of refute the theory, (3) organize data into
an intelligible framework and integrate new information
into its structure; (4) guide action, or provide the
SUMMARY OUTLINE C. The Superego
The superego, which serves the idealistic principle, has
I. Overview of Freud's Psychoanalytic Theory two subsystems-the conscience and the ego-ideal. The
Sigmund Freud's psychoanalysis has endured because conscience results from punishment for improper
it (1) postulated the primacy of sex and aggression-two behavior whereas the ego-ideal stems from rewards for
universally popular themes, (2) attracted a group of socially acceptable behavior.
followers who were dedicated to spreading
psychoanalytic doctrine, and (3) advanced the notion of V. Dynamics of Personality
unconscious motives, which permit varying explanations Dynamics of personality refers to those forces that
for the same observations. motivate people.
A. Instincts
II. Biography of Sigmund Freud Freud grouped all human drives or urges under two
Born in the Czech Republic in 1856, Sigmund Freud primary instincts-sex (Eros or
spent most of his life in Vienna. In his practice as a the life instinct) and aggression (the death or destructive
psychiatrist, he was more interested in learning about instinct). The aim of the sexual instinct is pleasure,
the unconscious motives of patients than in curing which can be gained through the erogenous zones,
neuroses. Early in his professional career, Freud especially the mouth, anus, and genitals. The object of
believed that hysteria was a result of being seduced the sexual instinct is any person or thing that brings
during childhood by sexual pleasure. All infants possess primary narcissism,
a sexually mature person, often a parent or other or self-centeredness, but the secondary narcissism of
relative. In 1897, however, he abandoned his seduction adolescence and adulthood is not universal. Both
theory and replaced it with his notion of the Oedipus sadism (receiving sexual pleasure from inflicting pain on
complex, a concept that remained the center of his another) and masochism (receiving sexual pleasure
psychoanalytic theory. from painful experiences)
satisfy both sexual and aggressive drives. The
III. Levels of Mental Life destructive instinct aims to return a person to an
Freud saw mental functioning as operating on three inorganic state, but it is ordinarily directed against other
levels: unconscious, preconscious, and conscious. people and
A. Unconscious is called aggression.
The unconscious includes drives and instincts that are B. Anxiety
beyond awareness but that motivate most human Freud believed only the ego feels anxiety, but the id,
behaviors. Unconscious drives can become conscious superego, and outside world can each be a source of
only in disguised or distorted form, such as dream anxiety. Neurotic anxiety stems from the ego's relation
images, slips of the tongue, or neurotic symptoms. with the id; moral anxiety is similar to guilt and results
Unconscious processes originate from two sources: (1) from the ego's relation with the superego; and realistic
repression, or the blocking out of anxiety-filled anxiety, which is similar to fear, is produced by the ego's
experiences and (2) phylogenetic endowment, or relation with the real world.
inherited experiences that lie beyond an individual's
personal experience. VI. Defense Mechanisms
B. Preconscious According to Freud, defense mechanisms operate to
The preconscious contains images that are not in protect the ego against the pain of anxiety.
awareness but that can become conscious either quite A. Repression
easily or with some level of difficulty. Repression involves forcing unwanted, anxiety-loaded
C. Conscious experiences into the unconscious. It is the most basic of
Consciousness plays a relatively minor role in Freudian all defense mechanisms because it is an active process
theory. Conscious ideas stem from either the perception in each of the others.
of external stimuli (our perceptual conscious system) or B. Undoing and Isolation
from the unconscious and preconscious after they have Undoing is the ego's attempt to do away with unpleasant
evaded censorship. experiences and their consequences, usually by means
of repetitious ceremonial actions. Isolation, in contrast, is
IV. Provinces of the Mind marked by obsessive thoughts and involves the ego's
Freud conceptualized three regions of the mind: the id, attempt to isolate an experience by surrounding it with a
the ego, and the superego. blacked-out region of insensibility.
A. The Id C. Reaction Formation
The id, which is completely unconscious, serves the A reaction formation is marked by the repression of one
pleasure principle and contains our basic instincts. It impulse and the ostentatious expression of its exact
operates through the primary process. opposite.
B. The Ego D. Displacement
The ego, or secondary process, is governed by the Displacement takes place when people redirect their
reality principle and is responsible for reconciling the unwanted urges onto other objects or people in order to
unrealistic demands of the id and the superego. disguise the original impulse.
E. Fixation
Fixations develop when psychic energy is blocked at VIII. Applications of Psychoanalytic Theory
one stage of development, making psychological Freud erected his theory on the dreams, free
change difficult. associations, slips of the tongue, and neurotic symptoms
F. Regression of his patients during therapy. But he also gathered
Regressions occur whenever a person reverts to earlier, information from history, literature, and works of art.
more infantile modes A. Freud's Early Therapeutic Technique
of behavior. During the 1890s, Freud used an aggressive therapeutic
G. Projection technique in which he
Projection is seeing in others those unacceptable strongly suggested to patients that they had been
feelings or behaviors that actually reside in one's own sexually seduced as children.
unconscious. When carried to extreme, projection can He later dropped this technique and abandoned his
become paranoia, which is characterized by delusions of belief that most patients had
persecution. been seduced during childhood.
H. Introjection B. Freud's Later Therapeutic Technique
Introjections take place when people incorporate Beginning in the late 1890s, Freud adopted a much
positive qualities of another person into their own ego to more passive type of psychotherapy, one that relied
reduce feelings of inferiority. heavily on free association, dream interpretation, and
I. Sublimation transference. The goal of Freud's later psychotherapy
Sublimations involve the elevation of the sexual instinct's was to uncover repressed memories, and the therapist
aim to a higher level, which permits people to make uses dream analysis and free association to do so. With
contributions to society and culture. free association, patients are required to say whatever
comes to mind, no matter how irrelevant or distasteful.
VII. Stages of Development Successful therapy rests on the patient's transference of
Freud saw psychosexual development as proceeding childhood sexual or aggressive feelings onto the
from birth to maturity through four overlapping stages. therapist and away from symptom formation. Patients'
A. Infantile Period resistance to change can be seen as progress because
The infantile stage encompasses the first 4 to 5 years of it indicates that therapy has advanced beyond
life and is divided into three subphases: oral, anal, and superficial conversation.
phallic. During the oral phase, an infant is primarily C. Dream Analysis
motivated to receive pleasure through the mouth. During In interpreting dreams, Freud differentiated the manifest
the second year of life, a child goes through an anal content (conscious description) from the latent content
phase. If parents are too punitive during the anal phase, (the unconscious meaning). Nearly all dreams are wish-
the child may become an anal character, with the anal fulfillments, although the wish is usually unconscious
triad of orderliness, stinginess, and obstinacy. During the and can be known only through dream interpretation. To
phallic phase, boys and girls begin to have differing interpret dreams, Freud used both dream symbols and
psychosexual development. At this time, boys and girls the dreamer's associations to the dream content.
experience the Oedipus complex in which they have D. Freudian Slips
sexual feelings for one parent and hostile feelings for the Freud believed that parapraxes, or so-called Freudian
other. The male castration complex, which takes the slips, are not chance accidents but reveal a person's
form of castration anxiety, breaks up the male Oedipus true but unconscious intentions.
complex and results in a well-formed male superego.
For girls, however, the castration complex, in the form of IX. Related Research
penis envy, precedes the female Oedipus complex, a Freudian theory has generated a large amount of related
situation that leads to only a gradual and incomplete research, including studies on defense mechanisms and
shattering of the female Oedipus complex and a weaker, oral fixation.
more flexible female superego. A. Defense Mechanisms
B. Latency Period George Valliant has added to the list of Freudian
Freud believed that psychosexual development goes defense mechanisms and has found evidence that some
through a latency stage-from about age 5 until puberty- of them are neurotic (reaction formation, idealization,
in which the sexual instinct is partially suppressed. and undoing), some are immature and maladaptive
C. Genital Period (projection, isolation, denial, displacement, and
The genital period begins with puberty, when dissociation), and some are mature and adaptive
adolescents experience a reawakening of the genital (sublimation, suppression, humor, and altruism). Valliant
aim of Eros. The term "genital period" should not be found that neurotic defense mechanisms are successful
confused with "phallic period." over the short term; immature defenses are
D. Maturity unsuccessful and have the highest degree of distortion;
Freud hinted at a stage of psychological maturity in whereas mature and adaptive defenses are successful
which the ego would be in control of the id and superego over the long term, maximize gratification, and have the
and in which consciousness would play a more least amount of distortion
important role in behavior. B. Oral Fixation
Some recent research has found that aggression is
higher in people who bite their finger nails than it is in
non-nail biters, especially in women. Other research
found that people who are orally fixated tend to see their
parents more negatively than did people who were less
orally fixated.

X. Critique of Freud
Freud regarded himself as a scientist, but many critics
consider his methods to be outdated, unscientific, and
permeated with gender bias. On the six criteria of a
useful theory, psychoanalysis is rated high on its ability
to generate research, very low on its openness to
falsification, and average on organizing data, guiding
action, and
being parsimonious. Because it lacks operational
definitions, it rates low on
internal consistency.

XI. Concept of Humanity

Freud's concept of humanity was deterministic and
pessimistic. He emphasized causality over teleology,
unconscious determinants over conscious processes,
and biology over culture, but he took a middle position
on the dimension of uniqueness versus similarities
among people.
SUMMARY OUTLINE held that fictions guide behavior, because people act as
if these fictions are true. Adler emphasized teleology
I. Overview of Adler's Individual Psychology over causality, or explanations of behavior in terms of
An original member of Freud's psychoanalytic group, future goals rather than
Alfred Adler broke from that group and advocated a past causes.
theory of personality that was nearly diametrically
opposed to that of Freud. Whereas Freud's view of B. Organ Inferiorities
humanity was pessimistic and rooted in biology, Adler's Adler believed that all humans are "blessed" with organ
view was optimistic, idealistic, and rooted in family inferiorities, which stimulate subjective feelings of
experiences. inferiority and move people toward perfection or
completion.
II. Biography of Alfred Adler
Alfred Adler was born in 1870 in a town near Vienna, a VI. Unity and Self-Consistency of Personality
second son of middle-class Jewish parents. Like Freud, Adler believed that all behaviors are directed toward a
Adler was a physician, and in 1902, he became a single purpose. When seen in the light of that sole
charter member of Freud's organization. However, purpose, seemingly contradictory behaviors can be seen
personal and professional differences between the two as operating in a self-consistent manner.
men led to Adler's departure from the Vienna A. Organ Dialect
Psychoanalytic Society in 1911. Adler soon founded his People often use a physical disorder to express style of
own group, the Society for Individual Psychology. Adler's life, a condition Adler called organ dialect.
strengths were his energetic oral presentations and his B. Conscious and Unconscious
insightful ability to understand family dynamics. He was Conscious and unconscious processes are unified and
not a gifted writer, a limitation that may have prevented operate to achieve a single goal. The part of our goal
individual psychology from attaining a world recognition that we do not clearly understood is unconscious; the
equal to Freud's psychoanalysis. part of our goal that we fail to fully comprehend is
conscious.
III. Introduction to Adlerian Theory
Although Adler's individual psychology is both complex VII. Social Interest
and comprehensive, Human behavior has value to the extent that it is
its main tenets can be stated in simple form. motivated by social interest, that is, a feeling of oneness
with all of humanity.
IV. Striving for Success or Superiority A. Origins of Social Interest
The sole dynamic force behind people's actions is the Although social interest exists as potentiality in all
people, it must be fostered in a social environment.
striving for success
Adler believed that the parent-child relationship can be
or superiority.
so strong that it negates the effects of heredity.
A. The Final Goal
The final goal of either success or superiority toward B. Importance of Social Interest
which all people strive unifies personality and makes all According to Adler, social interest is "the sole criterion of
human values," and the worthiness of all one's actions
behavior meaningful.
must be seen by this standard. Without social interest,
B. The Striving Force as Compensation
societies could not exist; individuals in antiquity could
Because people are born with small, inferior bodies, they
not have survived without cooperating with others to
feel inferior and attempt to overcome these feelings
through their natural tendency to move toward protect themselves from danger. Even today, an infant's
completion. The striving force can take one of two helplessness predisposes it toward a nurturing person.
courses: personal gain (superiority) or community
benefit (success). VIII. Style of Life
C. Striving for Personal Superiority The manner of a person's striving is called style of life, a
Psychologically unhealthy individuals strive for personal pattern that is relatively well set by 4 or 5 years of age.
superiority with little concern for other people. Although However, Adler believed that healthy individuals are
they may appear to be interested in other people, their marked by flexible behavior and that they have some
basic motivation is personal benefit. limited ability to change their style of life.
D. Striving for Success
In contrast, psychologically healthy people strive for the
success of all humanity, but they do so without losing IX. Creative Power
their personal identity. Style of life is partially a product of heredity and
environment-the building blocks of personality-but
V. Subjective Perceptions ultimately style of life is shaped by people's creative
People's subjective view of the world-not reality-shapes power, that is, by their ability to freely choose a course
their behavior. of action.
A. Fictionalism
Fictions are people's expectations of the future. Adler
X. Abnormal Development project their current style of life. These recollections
Creative power is not limited to healthy people; need not be accurate accounts of early events; they
unhealthy individuals also create their own personalities. have psychological importance because they reflect a
Thus, each of us is free to choose either a useful or a person's current view of the world.
useless style of life. C. Dreams
A. General Description Adler believed that dreams can provide clues to solving
The most important factor in abnormal development is future problems. However, dreams are disguised to
lack of social interest. In addition, people with a useless deceive the dreamer and usually must be interpreted by
style of life tend to (1) set their goals too high, (2) have a another person.
dogmatic style of life, and (3) live in their own private D. Psychotherapy
world. The goal of Adlerian therapy is to create a relationship
B. External Factors in Maladjustment between therapist and
Adler listed three factors that relate to abnormal patient that fosters social interest. To ensure that the
development: (1) exaggerated physical deficiencies, patient's social interest will eventually generalize to other
which do not by themselves cause abnormal relationships, the therapist adopts both a maternal
development, but which may contribute to it by and a paternal role.
generating subjective and exaggerated feelings of
inferiority; (2) a pampered style of life, which contributes XII. Related Research
to an overriding drive to establish a permanent parasitic Although family constellation and birth order have been
relationship with the mother or a mother substitute; and widely researched, a topic more pertinent to Adlerian
(3) a neglected style of life, which leads to distrust of theory is early recollections. Research shows that early
other people. recollections are related to a number of personal traits,
C. Safeguarding Tendencies such as depression, alcoholism, criminal behavior, and
Both normal and neurotic people create symptoms as a success in counseling. Other research has shown that a
means of protecting their fragile self-esteem. These change in style of life may be capable of producing a
safeguarding tendencies maintain a neurotic style of life change in early recollections. Still other research
and protect a person from public disgrace. The three suggests that made-up early recollections may be as
principal safeguarding tendencies are (1) excuses, meaningful as actual ones.
which allow people to preserve their inflated sense of
personal worth; (2) aggression, which may take the form
of depreciating others' accomplishments, accusing XIII. Critique of Adler
others of being responsible for one's own failures, or
Individual psychology rates high on its ability to generate
self-accusation; and (3) withdrawal, which can be
research, organize data,
expressed by psychologically moving backward, and guide the practitioner. It receives a moderate rating
standing still, hesitating, or constructing obstacles.
on parsimony, but because
D. Masculine Protest
it lacks operational definitions, it rates low on internal
Both men and women sometimes overemphasize the
consistency. It also rates low on falsification because
desirability of being manly, a condition Adler called the
many of its related research findings can be explained
masculine protest. The frequently found inferior status of by other theories.
women is not based on physiology but on historical
developments and social learning.
XIV. Concept of Humanity
Adler saw people as forward moving, social animals who
are motivated by goals they set (both consciously and
XI. Applications of Individual Psychology
unconsciously) for the future. People are ultimately
Adler applied the principles of individual psychology to responsible for their own unique style of life. Thus,
family constellation, early recollections, dreams, and
Adler's theory rates high on
psychotherapy.
free-choice, social influences, and uniqueness; very high
A. Family Constellation
on optimism and teleology; and average on unconscious
Adler believed that people's perception of how they fit
influences.
into their family is related to their style of life. He claimed
that firstborns are likely to have strong feelings of power
and superiority, to be overprotective, and to have more
than their share of anxiety. Second-born children are
likely to have strong social interest, provided they do not
get trapped trying to overcome their older sibling.
Youngest children are likely to be pampered and to lack
independence, whereas only children have some of the
characteristics of both the oldest and the youngest child.
B. Early Recollections
A more reliable method of determining style of life is to
ask people for their earliest recollections. Adler believed
that early memories are templates on which people
SUMMARY OUTLINE the hero, (the image we have of a conqueror who
vanquishes evil, but who has a single fatal flaw). The most
I. Overview of Jung's Analytical Psychology comprehensive archetype is the self; that is, the image we
Carl Jung believed that people are extremely complex have of fulfillment, completion, or perfection. The ultimate in
beings who possess a variety of opposing qualities, such psychological maturity is self-realization, which is
as introversion and extraversion, masculinity and femininity, symbolized by the mandala, or perfect geometric figure.
and rational and irrational drives.
IV. Dynamics of Personality
II. Biography of Carl Jung Jung believed that the dynamic principles that apply to
Carl Jung was born in Switzerland in 1875, the oldest physical energy also apply to psychic energy. These forces
surviving child of an idealistic Protestant minister and his include causality and teleology as well as progression and
wife. Jung's early experience with parents (who were quite regression.
opposite of each other) probably influenced his own theory A. Causality and Teleology
of personality. Soon after receiving his medical degree he Jung accepted a middle position between the philosophical
became acquainted with Freud's writings and eventually issues of causality and teleology. In other words, humans
with Freud himself. Not long after he traveled with Freud to are motivated both by their past experiences and by their
the United States, Jung became disenchanted with Freud's expectations of the future.
pansexual theories, broke with Freud, and began his own B. Progression and Regression
approach to theory and therapy, which he called analytical To achieve self-realization, people must adapt to both their
psychology. From a critical midlife crisis, during which he external and internal worlds. Progression involves
nearly lost contact with reality, Jung emerged to become adaptation to the outside world and the forward flow of
one of the leading thinkers of the 20th century. He died in psychic energy, whereas regression refers to adaptation to
1961 at age 85. the inner world and the backward flow of psychic energy.
Jung believed that the backward step is essential to a
person's forward movement toward self-realization.
III. Levels of the Psyche
Jung saw the human psyche as being divided into a
conscious and an unconscious level, with the latter further V. Psychological Types
subdivided into a personal and a collective unconscious. Eight basic psychological types emerge from the union of
A. Conscious two attitudes and
Images sensed by the ego are said to be conscious. The four functions.
ego thus represents the conscious side of personality, and A. Attitudes
in the psychologically mature individual, the ego is Attitudes are predispositions to act or react in a
secondary to the self. characteristic manner. The two basic attitudes are
B. Personal Unconscious introversion, which refers to people's subjective
The unconscious refers to those psychic images not perceptions, and extraversion, which indicates an
sensed by the ego. Some unconscious processes flow from orientation toward the objective world. Extraverts are
our personal experiences, but others stem from our influenced more by the real world than by their subjective
ancestors' experiences with universal themes. Jung divided perception, whereas introverts rely on their individualized
the unconscious into the personal unconscious, which view of things. Introverts and extraverts often mistrust and
contains the complexes (emotionally toned groups of misunderstand one another.
related ideas) and the collective unconscious, or ideas that B. Functions
are beyond our personal experiences and that originate The two attitudes or extroversion and introversion can
from the repeated experiences of our ancestors. combine with four basic functions to form eight general
C. Collective Unconscious personality types. The four functions are (1) thinking, or
Collective unconscious images are not inherited ideas, but recognizing the meaning of stimuli; (2) feeling, or placing a
rather they refer to our innate tendency to react in a value
particular way whenever our personal experiences on something; (3) sensation, or taking in sensory stimuli;
stimulate an inherited predisposition toward action. and (4) intuition, or perceiving elementary data that are
Contents of the collective unconscious are called beyond our awareness. Jung referred to
archetypes. thinking and feeling as rational functions and to sensation
D. Archetypes and intuition as irrational functions.
Jung believed that archetypes originate through the
repeated experiences of our ancestors and that they are VI. Development of Personality
expressed in certain types of dreams, fantasies, delusions, Nearly unique among personality theorists was Jung's
and hallucinations. Several archetypes acquire their own emphasis on the second half of life. Jung saw middle and
personality, and Jung identified these by name. One is the old age as times when people may acquire the ability to
persona-the side of our personality that we show to others. attain self-realization.
Another is the shadow-the dark side of personality. To A. Stages of Development
reach full psychological maturity, Jung believed, we must Jung divided development into four broad stages: (1)
first realize or accept our shadow. A second hurdle in childhood, which lasts from birth until adolescence; (2)
achieving maturity is for men to accept their anima, or youth, the period from puberty until middle life, which is a
feminine side, and for women to embrace their animus, or time for extraverted development and for being grounded to
masculine disposition. Other archetypes include the great the real world of schooling, occupation, courtship, marriage,
mother (the archetype of nourishment and destruction); the and family; (3) middle life, which is a time from about 35 or
wise old man (the archetype of wisdom and meaning); and 40 until old age when people should be adopting an
introverted attitude; and (4) old age, which is a time for experiences of their early ancestors. Because Jungian
psychological rebirth, self-realization, and preparation for theory is a psychology of opposites, it receives a moderate
death. rating on the issues of free will versus determinism,
B. Self-Realization optimism versus pessimism, and causality versus teleology.
Self-realization, or individuation, involves a psychological It rates very high on unconscious influences, low on
rebirth and an integration of various parts of the psyche into uniqueness, and low on social influences.
a unified or whole individual. Self-realization represents the
highest level of human development.

VII. Jung's Methods of Investigation

Jung used the word association test, dreams, and active
imagination during the process of psychotherapy, and all
these methods contributed to his theory of personality.
A. Word Association Test
Jung used the word association test early in his career to
uncover complexes embedded in the personal
unconscious. The technique requires a patient to utter the
first word that comes to mind after the examiner reads a
stimulus word. Unusual responses indicate a complex.
B. Dream Analysis
Jung believed that dreams may have both a cause and a
purpose and thus can be useful in explaining past events
and in making decisions about the future. "Big dreams" and
"typical dreams," both of which come from the collective
unconscious, have meanings that lie beyond the
experiences of a single individual.
C. Active Imagination
Jung also used active imagination to arrive at collective
images. This technique requires the patient to concentrate
on a single image until that image begins to appear in a
different form. Eventually, the patient should see figures
that represent archetypes and other collective unconscious
images.
D. Psychotherapy
The goal of Jungian therapy is to help neurotic patients
become healthy and to move healthy people in the direction
of self-realization. Jung was eclectic in his choice of
therapeutic techniques and treated old people differently
than the young.

VIII. Related Research

Although Jungian psychology has not generated large
volumes of research, some investigators have used the
Myers-Briggs Type Indicator to examine the idea of
psychological types. Some research suggests that
extraverts and introverts have different preferences in their
choice of partners. Other researchers have reported that
personality type is related to academic performance and
success.

IX. Critique of Jung

Although Jung considered himself a scientist, many of his
writings have more of a philosophical than a psychological
flavor. As a scientific theory, it rates average on its ability to
generate research, but very low on its ability to withstand
falsification. It is about average on its ability to organize
knowledge but low on each of the other criteria of a useful
theory.

X. Concept of Humanity
Jung saw people as extremely complex beings who are a
product of both conscious and unconscious personal
experiences. However, people are also motivated by
inherited remnants that spring from the collective
SUMMARY OUTLINE desire to bite or destroy it. To tolerate these two feelings,
the ego splits itself by retaining parts of its life and death
I. Overview of Object Relations Theory instincts while projecting other parts onto the breast. It
Many personality theorists have accepted some of then has a relationship with the ideal breast and the
Freud's basic assumptions while rejecting others. One persecutory breast. To control this situation, infants
approach to extending psychoanalytic theory has been adopt the paranoid-schizoid position, which is a
the object relations theories of Melanie Klein and others. tendency to see the world as having both destructive
Unlike Jung and Adler, who came to reject Freud's and omnipotent qualities.
ideas, Klein tried to validate Freud's theories. In
essence, B. Depressive Position
Klein extended Freud's developmental stages downward By depressive position, Klein meant the anxiety that
to the first 4 to 6 months after birth. infants experience around 6 months of age over losing
their mother and yet, at the same time, wanting to
II. Biography of Melanie Klein destroy her. The depressive position is resolved when
infants fantasize that they have made up for their
Melanie Klein was born in Vienna in 1892, the youngest
of four children. She had neither a Ph.D. nor an M.D. previous transgressions against their mother and also
degree but became an analyst by being realize that their mother will not abandon them.
psychoanalyzed. As an analyst, she specialized in
working with young children. In 1927, she moved VI. Psychic Defense Mechanisms
to London where she practiced until her death in 1960. According to Klein, children adopt various psychic
defense mechanisms to protect their ego against anxiety
aroused by their own destructive fantasies.
III. Introduction to Object Relations Theory A. Introjection
Klein defined introjection as the fantasy of taking into
Object relations theory differs from Freudian theory in at
one's own body the images that one has of an external
least three ways: (1) it places more emphasis on
object, especially the mother's breast. Infants usually
interpersonal relationships, (2) it stresses the infant's
relationship with the mother rather than the father, and introject good objects as a protection against anxiety,
(3) it suggests that people are motivated primarily for but they also introject bad objects in order to gain control
of them.
human contact rather than for sexual pleasure. The
B. Projection
term object in object relations theory refers to any
The fantasy that one's own feelings and impulses reside
person or part of a person that infants introject, or take
within another person
into their psychic structure and then later project onto
other people. is called projection. Children project both good and bad
images, especially onto
their parents.
IV. Psychic Life of the Infant C. Splitting
Klein believed that infants begin life with an inherited Infants tolerate good and bad aspects of themselves
predisposition to reduce the anxiety that they experience and of external objects by splitting, or mentally keeping
as a consequence of the clash between the life instinct apart, incompatible images. Splitting can be beneficial to
and the death instinct. both children and adults, because it allows them to like
A. Fantasies themselves while still recognizing some unlikable
Klein assumed that very young infants possess an qualities.
active, unconscious fantasy life. Their most basic D. Projective Identification
fantasies are images of the "good" breast and the "bad" Projective identification is the psychic defense
breast. mechanism whereby infants split off unacceptable parts
B. Objects of themselves, project them onto another object, and
Klein agreed with Freud that drives have an object, but finally introject them in an altered form.
she was more likely to emphasize the child's relationship
with these objects (parents' face, hands,
VII. Internalizations
breast, penis, etc.), which she saw as having a life of
their own within the After introjecting external objects, infants organize them
into a psychologically meaningful framework, a process
child's fantasy world.
that Klein called internalization.
A. Ego
V. Positions Internalizations are aided by the early ego's ability to feel
In their attempts to reduce the conflict produced by good anxiety, to use defense mechanisms, and to form object
and bad images, infants organize their experience into relations in both fantasy and reality. However, a unified
positions, or ways of dealing with both internal and ego emerges only after first splitting itself into two parts:
external objects. those that deal with the life instinct and those that relate
A. Paranoid-Schizoid Position to the death instinct.
The struggles that infants experience with the good B. Superego
breast and the bad breast lead to two separate and Klein believed that the superego emerged much earlier
opposing feelings: a desire to harbor the breast and a than Freud had held. To her, the superego preceded
rather than followed the Oedipus complex. Klein also Kernberg, a native of Vienna who has spent most of his
saw the superego as being quite harsh and cruel. professional career in the United States, believes that
C. Oedipus Complex the key to understanding personality is the mother-child
Klein believed that the Oedipus complex begins during relationship. Children who experience a healthy
the first few months of life, then reaches its zenith during relationship with their mother develop an integrated ego,
the genital stage, at about 3 or 4 years of age, or the a punitive superego, a stable self-concept, and
same time that Freud had suggested it began. Klein also satisfying interpersonal relations. In contrast, children
held that much of the Oedipus complex is based on who have poor relations with their mother will have
children's fear that their parents will seek revenge difficulty integrating their ego and may suffer from some
against them for their fantasy of emptying the parent's form of psychopathology during adulthood.
body. For healthy development during the Oedipal D. John Bowlby's Attachment Theory
years, children should retain positive feelings for each Bowlby, a native of England, received training in child
parent. According to Klein, the little boy adopts a psychiatry from Melanie Klein. By studying human and
"feminine" position very early in life and has no fear of other primate infants, Bowlby observed three stages of
being castrated as punishment for his sexual feelings for separation anxiety: (1) protest, (2) apathy and despair,
his mother. Later, he projects his destructive drive onto and (3) emotional detachment from people, including the
his father, whom he fears will bite or castrate him. The primary caregiver. Children who reach the third stage
male Oedipus complex is resolved when the boy lack warmth and emotion in their later relationships.
establishes good relations with both parents. The little
girl also adopts a "feminine" position toward both IX. Psychotherapy
parents quite early in life. She has a positive feeling for The goal of Kleinian therapy was to reduce depressive
both her mother's breast and her father's penis, which anxieties and persecutory fears and to lessen the
she believes will feed her with babies. Sometimes the harshness of internalized objects. To do this, Klein
girl develops hostility toward her mother, whom she encouraged patients to re-experience early fantasies
fears will retaliate against her and rob her of her babies, and pointed out the differences between conscious and
but in most cases, the female Oedipus complex is unconscious wishes.
resolved without any jealousy toward the mother.
X. Related Research
VIII. Later Views on Object Relations Some research on attachment theory has found that
A number of other theorists have expanded and altered children with secure attachment have both better
Klein's theory of object relations. Notable among them attention and better memory than do children with
are Margaret Mahler, Otto Kernberg, Heinz Kohut, and insecure attachment. Other research suggests that
John Bowlby. securely attached young children grow up to become
A. Margaret Mahler's View adolescents who feel comfortable in friendship groups
Mahler, a native of Hungary who practiced that allow new members to easily become part of those
psychoanalysis in both Vienna and New York, groups. Still other studies have shown that
developed her theory of object relations from careful 8- and 9-year-old children who were securely attached
observations of infants as they bonded with their during infancy produced family drawings that reflect that
mothers during their first 3 years of life. In their progress security.
toward achieving a sense of identity, children pass
through a series of three major developmental stages. XI. Critique of Object Relations Theory
First is normal autism, which covers the first 3 to 4
Object relations theory shares with Freudian theory an
weeks of life, a time when infants satisfy their needs
inability to be either falsified or verified through empirical
within the all-powerful protective orbit of their mother's research. Nevertheless, some clinicians regard the
care. Second is normal symbiosis, when infants behave theory as being a useful guide to action and as
as if they and their mother were an omnipotent,
possessing substantial internal consistency. However,
symbiotic unit. Third is separation-individuation, from
the theory must be rated low on parsimony and also low
about 4 months until about 3 years, a time when children
on its ability to organize knowledge and to generate
are becoming psychologically separated from their
research.
mothers and achieving individuation, or a sense of
personal identity.
B. Heinz Kohut's View XII. Concept of Humanity
Kohut was a native of Vienna who spent most of his Object relations theorists see personality as being a
professional life in the United States. More than any of product of the early
the other object relations theorists, Kohut emphasized mother-child relationship, and thus they stress
the development of the self. In caring for their physical determinism over free choice.
and psychological needs, adults treat infants as if they The powerful influence of early childhood also gives
had a sense of self. The parents' behaviors and attitudes these theories a low rating
eventually help children form a sense of self that gives on uniqueness, a very high rating on social influences,
unity and consistency to and high ratings on causality and unconscious forces.
their experiences. Klein and other object relations theorists rate average
C. Otto Kernberg's View on optimism versus pessimism.
SUMMARY OUTLINE (4) withdrawal. Normal people have the flexibility to use
any or all of these approaches, but neurotics are
I. Overview of Horney's Psychoanalytic Social compelled to rely rigidly on only one.
Theory
Karen Horney's psychoanalytic social theory assumes V. Compulsive Drives
that social and cultural conditions, especially during Neurotics are frequently trapped in a vicious circle in
childhood, have a powerful effect on later personality. which their compulsive need to reduce basic anxiety
Like Melanie Klein, Horney accepted many of Freud's leads to a variety of self-defeating behaviors; these
observations, but she objected to most of his behaviors then produce more basic anxiety, and the
interpretations, including his notions on feminine cycle continues.
psychology. A. Neurotic Needs
Horney identified 10 categories of neurotic needs that
II. Biography of Karen Horney mark neurotics in their attempt to reduce basic anxiety.
Karen Horney, who was born in Germany in 1885, was These include needs (1) for affection and approval, (2)
one of the first women in that country admitted to for a powerful partner (3) to restrict one's life within
medical school. There, she became acquainted with narrow borders, (4) for power, (5) to exploit others, (6)
Freudian theory and eventually became a psychoanalyst for social recognition or prestige, (7) for personal
and a psychiatrist. In her mid-40s, Horney left Germany admiration, (8) for ambition and personal achievement,
to settle in the United States, first in Chicago and then in (9) for self-sufficiency and independence, and (10) for
New York. She soon abandoned orthodox perfection and unassailability.
psychoanalysis in favor of a more socially oriented B. Neurotic Trends
theory-one that had a more positive view of feminine Later, Horney grouped these 10 neurotic needs into
development. She died in 1952 at age 67. three basic neurotic trends, which apply to both normal
and neurotic individuals in their attempt to solve basic
conflict. The three neurotic tends are (1) moving toward
III. Introduction to Psychoanalytic Social Theory people, in which compliant people protect themselves
Although Horney's writings deal mostly with neuroses against feelings of helplessness by attaching
and neurotic personalities, her theories also appropriate themselves to other people; (2) moving against people,
in which aggressive people protect themselves against
suggest much that is appropriate to normal
perceived hostility of others by exploiting others; and (3)
development. She agreed with Freud that early
moving away from people, in which detached people
childhood traumas are important, but she placed far
protect themselves against feelings of isolation by
more emphasis on social factors.
A. Horney and Freud Compared appearing arrogant and aloof.
Horney criticized Freudian theory on at least three
accounts: (1) its rigidity toward new ideas, (2) its skewed VI. Intrapsychic Conflicts
view of feminine psychology, and (3) its overemphasis People also experience inner tensions or intrapsychic
on biology and the pleasure principle. conflicts that become part of their belief system and take
B. The Impact of Culture on a life of their own, separate from the interpersonal
Horney insisted that modern culture is too competitive conflicts that created them.
and that competition leads to hostility and feelings of A. The Idealized Self-Image
isolation. These conditions lead to exaggerated needs People who do not receive love and affection during
for affection and cause people to overvalue love. childhood are blocked in their attempt to acquire a stable
C. The Importance of Childhood Experiences sense of identity. Feeling alienated from self, they create
Neurotic conflict stems largely from childhood traumas, an idealized self-image, or an extravagantly positive
most of which are traced to a lack of genuine love. picture of themselves. Horney recognized three aspects
Children who do not receive genuine affection feel of the idealized self-image: (1) the neurotic search for
threatened and adopt rigid behavioral patterns in an glory, or a comprehensive drive toward actualizing the
attempt to gain love. ideal self;
(2) neurotic claims, or a belief that they are entitled to
IV. Basic Hostility and Basic Anxiety special privileges; and
(3) neurotic pride, or a false pride based not on reality
All children need feelings of safety and security, but
but on a distorted and idealized view of self.
these can be gained only by love from parents.
B. Self-Hatred
Unfortunately, parents often neglect, dominate, reject, or
Neurotics dislike themselves because reality always falls
overindulge their children, conditions that lead to the
child's feelings of basic hostility toward parents. If short of their idealized view of self. Therefore, they learn
self-hatred, which can be expressed as: (1) relentless
children repress feelings of basic hostility, they will
demands on the self, (2) merciless self-accusation, (3)
develop feelings of insecurity and a pervasive sense of
self-contempt, (4) self-frustration, (5) self-torment or self-
apprehension called basic anxiety. People can protect
torture, and (6) self-destructive actions
themselves from basic anxiety through a number of
protective devices, including (1) affection, (2) and impulses.
submissiveness, (3) power, prestige, or possession, and
VII. Feminine Psychology
Horney believed that psychological differences between
men and women are not due to anatomy but to culture
and social expectations. Her view of the Oedipus
complex differed markedly from Freud's in that she
insisted that any sexual attraction or hostility of child to
parent would be the result of learning and not biology.

VIII. Psychotherapy
The goal of Horney's psychotherapy was to help patients
grow toward self-realization, give up their idealized self-
image, relinquish their neurotic search for glory, and
change self-hatred to self-acceptance. Horney believed
that successful therapy is built on self-analysis and self-
understanding.

IX. Related Research

Horney's concepts of morbid dependency and
hypercompetitiveness have both stimulated some recent
research.
A. Morbid Dependency
The current concept of codependency, which is based
on Horney's notion of morbid dependency, has produced
research showing that people with neurotic needs to
move toward others will go to great lengths to win the
approval of other people. A study by Lyon and
Greenberg (1991) found that women with an alcoholic
parent, compared with women without an alcoholic
parent, were much more nurturant toward a person they
perceived as exploitative than toward a person they
perceived as nurturing.
B. Hypercompetitiveness
Horney's idea of moving against people relates to the
concept of hyper-competitiveness, a topic that has
received some recent research interest. Some
of this research indicates that, although
hypercompetitiveness is a negative personality trait,
some types of competitiveness can be positive. Other
research
has found that hypercompetitive European American
women frequently have
some type of eating disorder.

X. Critique of Horney
Although Horney painted a vivid portrayal of the neurotic
personality, her theory rates very low in generating
research and low on its ability to be falsified, to organize
data, and to serve as a useful guide to action. Her
theory is rated about average on internal consistency
and parsimony.

XI. Concept of Humanity

Horney's concept of humanity is rated very high on
social factors, high on free choice, optimism, and
unconscious influences, and about average on causality
versus teleology and on the uniqueness of the
individual.
SUMMARY OUTLINE consistent philosophy by which we find our way through the
world. This need is expressed nonproductively as a striving
I. Overview of Fromm's Humanistic Psychoanalysis for irrational goals and productively as movement toward
Erich Fromm's humanistic psychoanalysis looks at people rational goals.
from the perspective of psychology, history, and
anthropology. Influenced by Freud and Horney, Fromm V. The Burden of Freedom
developed a more culturally oriented theory than Freud's As the only animal possessing self-awareness, humans are
and a much broader theory than Horney's. what Fromm called the "freaks of the universe." Historically,
as people gained more political freedom, they began to
II. Biography of Erich Fromm experience more isolation from others and from the world
Erich Fromm was born in Germany in 1900, the only child and to feel
of orthodox Jewish parents. A thoughtful young man, free from the security of a permanent place in the world. As
Fromm was influenced by the bible, Freud, and Marx, as a result, freedom becomes a burden, and people
well as by socialist ideology. After receiving his Ph.D., experience basic anxiety, or a feeling of being
Fromm began studying psychoanalysis and became an alone in the world.
analyst by being analyzed by Hanns Sachs, A. Mechanisms of Escape
a student of Freud. In 1934, Fromm moved to the United To reduce the frightening sense of isolation and aloneness,
States and began a psychoanalytic practice in New York, people may adopt one of three mechanisms of escape: (1)
where he also resumed his friendship with Karen Horney, authoritarianism, or the tendency to give up one's
whom he had known in Germany. Much of his later years independence and to unite with a powerful partner; (2)
were spent in Mexico and Switzerland. He died in 1980. destructiveness, an escape mechanism aimed at doing
away with other people or things; and (3) conformity, or
surrendering of one's individuality in order to meet the
III. Fromm's Basic Assumptions
wishes
Fromm believed that humans have been torn away from
of others.
their prehistoric union with nature and left with no powerful
B. Positive Freedom
instincts to adapt to a changing world. But because humans
The human dilemma can only be solved through positive
have acquired the ability to reason, they can think about
freedom, which is the spontaneous activity of the whole,
their isolated condition-a situation Fromm called the human
integrated personality, and which is achieved when a
dilemma.
person becomes reunited with others.

IV. Human Needs

VI. Character Orientations
According to Fromm, our human dilemma cannot be solved
People relate to the world by acquiring and using things
by satisfying our animal needs. It can only be addressed by
(assimilation) and by relating to self and others
fulfilling our uniquely human needs, an accomplishment
(socialization), and they can do so either nonproductively or
that moves us toward a reunion with the natural world.
productively.
Fromm identified five of these distinctively human or
A. Nonproductive Orientations
existential needs.
Fromm identified four nonproductive strategies that fail to
A. Relatedness
move people closer to positive freedom and self-realization.
First is relatedness, which can take the form of (1)
People with a receptive orientation believe that the source
submission, (2) power, and (3) love. Love, or the ability to
of all good lies outside themselves and that the only way
unite with another while retaining one's own individuality
they can relate to the world is to receive things, including
and integrity, is the only relatedness need that can solve
love, knowledge, and material objects. People with an
our basic human dilemma.
exploitative orientation also believe that the source of good
B. Transcendence
lies outside themselves, but they aggressively take what
Being thrown into the world without their consent, humans
they want rather than passively receiving it. Hoarding
have to transcend their nature by destroying or creating
characters try to save what they have already obtained,
people or things. Humans can destroy through malignant including their opinions, feelings, and material possessions.
aggression, or killing for reasons other than survival, but People with a marketing orientation see themselves as
they can also create and care about their creations. commodities and value themselves against the criterion of
C. Rootedness their ability to sell themselves. They have fewer positive
Rootedness is the need to establish roots and to feel at qualities than the other orientations because they are
home again in the world. Productively, rootedness enables essentially empty.
us to grow beyond the security of our mother and establish B. The Productive Orientation
ties with the outside world. With the nonproductive strategy,
Psychologically healthy people work toward positive
we become fixated and afraid to move beyond the security
freedom through productive work, love, and reasoning.
and safety of our mother or a mother substitute.
Productive love necessitates a passionate love of all life
D. Sense of Identity and is called biophilia.
The fourth human need is for a sense of identity, or an
awareness of ourselves as a separate person. The drive for
a sense of identity is expressed nonproductively as VII. Personality Disorders
conformity to a group and productively as individuality. Unhealthy people have nonproductive ways of working,
reasoning, and especially loving. Fromm recognized three
E. Frame of Orientation major personality disorders: (1) necrophilia, or the love of
By frame of orientation, Fromm meant a road map or death and the hatred of all humanity; (2) malignant
narcissism, or
a belief that everything belonging to one's self is of great
value and anything belonging to others is worthless; and
incestuous symbiosis, or an extreme dependence on one's
mother or mother surrogate.

VIII. Psychotherapy
The goal of Fromm's psychotherapy was to work toward
satisfaction of the basic human needs of relatedness,
transcendence, rootedness, a sense of identity, and
a frame of orientation. The therapist tries to accomplish this
through shared communication in which the therapist is
simply a human being rather than
a scientist.

IX. Fromm's Methods of Investigation

Fromm's personality theory rests on data he gathered from
a variety of sources, including psychotherapy, cultural
anthropology, and psychohistory.
A. Social Character in a Mexican Village
Fromm and his associates spent several years
investigating social character in a isolated farming village in
Mexico and found evidence of all the character orientations
except the marketing one.
B. A Psychohistorical Study of Hitler
Fromm applied the techniques of psychohistory to the study
of several historical people, including Adolf Hitler-the
person Fromm regarded as the world's most conspicuous
example of someone with the syndrome of decay, that is,
necrophilia, malignant narcissism, and incestuous
symbiosis.

X. Related Research
Fromm's theory ranks near the bottom of personality
theories with regard to stimulating research. Recently,
Shaun Saunders and Don Munro have developed
the Saunders Consumer Orientation Index (SCOI) to
measure Fromm's marketing character. To date, much of
their work has consisted in establishing the validity
of this instrument. In general, Saunders has found that
people with a strong consumer orientation tend to place low
value on freedom, inner harmony, equality, self-respect,
and community.

XI. Critique of Fromm

The strength of Fromm's theory is his lucid writings on a
broad range of human issues. As a scientific theory,
however, Fromm's theory rates very low on its ability to
generate research and to lend itself to falsification; it rates
low on usefulness to the practitioner, internal consistency,
and parsimony. Because it is quite broad in scope,
Fromm's theory rates high on organizing existing
knowledge.

XII. Concept of Humanity

Fromm believed that humans were "freaks of the universe"
because they lacked strong animal instincts while
possessing the ability to reason. In brief, his view is rated
average on free choice, optimism, unconscious influences,
and uniqueness; low on causality; and high on social
influences.
SUMMARY OUTLINE relationship between two people of equal status is called
intimacy. Intimacy facilitates interpersonal development
I. Overview of Sullivan's Interpersonal Theory while decreasing both anxiety and loneliness.
Although Sullivan had a lonely and isolated childhood, he
evolved a theory of personality that emphasized the C. Lust
importance of interpersonal relations. He insisted that In contrast to both malevolence and intimacy, lust is an
personality is shaped almost entirely by the relationships isolating dynamism. That
we have with other people. Sullivan's principal contribution is, lust is a self-centered need that can be satisfied in the
to personality theory was his conception absence of an intimate interpersonal relationship. In other
of developmental stages. words, although intimacy presupposes tenderness or love,
lust is based solely on sexual gratification and requires no
other person for
II. Biography of Harry Stack Sullivan
its satisfaction.
Harry Stack Sullivan, the first American to develop a
D. Self-System
comprehensive personality theory, was born in a small
The most inclusive of all dynamisms is the self-system, or
farming community in upstate New York in 1892.
that pattern of behaviors that protects us against anxiety
A socially immature and isolated child, Sullivan
and maintains our interpersonal security. The self-system is
nevertheless formed one close interpersonal relationship
a conjunctive dynamism, but because its primary job is to
with a boy five years older than himself. In his interpersonal
protect the self from anxiety, it tends to stifle personality
theory, Sullivan believed that such a relationship has the
change. Experiences that are inconsistent with our self-
power to transform an immature preadolescent into a
system threaten our security and necessitate our use of
psychologically healthy individual. Six years after becoming
security operations, which consist of behaviors designed to
a physician, and with no training in psychiatry, Sullivan
reduce interpersonal tensions. One such security operation
gained a position at St. Elizabeth's Hospital in Washington,
is dissociation, which includes all those experiences that
D.C., as a psychiatrist. There, his ability to work with
we block from awareness. Another is selective inattention,
schizophrenic patients won him a reputation as a
which involves blocking only certain experiences from
therapeutic wizard. However, despite achieving much awareness.
respect from an influential group of associates, Sullivan had
few close interpersonal relations with any of his peers. He
died alone in Paris in 1949, at age 56. V. Personifications
Sullivan believed that people acquire certain images of self
and others throughout
III. Tensions
the developmental stages, and he referred to these
Sullivan conceptualized personality as an energy system,
subjective perceptions
with energy existing either as tension (potentiality for
as personifications.
action) or as energy transformations (the actions
A. Bad-Mother, Good-Mother
themselves). He further divided tensions into needs and
The bad-mother personification grows out of infants'
anxiety. experiences with a nipple
A. Needs that does not satisfy their hunger needs. All infants
Needs can relate either to the general well-being of a experience the bad-mother personification, even though
person or to specific zones, such as the mouth or genitals. their real mothers may be loving and nurturing. Later,
General needs can be either physiological, such as food or infants acquire a good-mother personification as they
oxygen, or they can be interpersonal, such as tenderness become mature enough to recognize the tender and
and intimacy. cooperative behavior of their mothering one. Still later,
B. Anxiety
these two personifications combine to form a complex and
Unlike needs-which are conjunctive and call for specific
contrasting image of
actions to reduce them-anxiety is disjunctive and calls for
the real mother.
no consistent actions for its relief. All infants learn to be
B. Me Personifications
anxious through the empathic relationship that they have
During infancy, children acquire three "me" personifications:
with their mothering one. Sullivan called anxiety the chief
(1) the bad-me, which grows from experiences of
disruptive force in interpersonal relations. A complete
punishment and disapproval, (2) the good-me, which
absence of anxiety and other tensions is
results from experiences with reward and approval, and (3)
called euphoria.
the not-me, which allows a person to dissociate or
selectively inattend the experiences related to anxiety.
IV. Dynamisms
Sullivan used the term dynamism to refer to a typical C. Eidetic Personifications
pattern of behavior. Dynamisms may relate either to One of Sullivan's most interesting observations was that
specific zones of the body or to tensions. people often create imaginary traits that they project onto
A. Malevolence others. Included in these eidetic personifications are the
The disjunctive dynamism of evil and hatred is called imaginary playmates that preschool-aged children
malevolence, defined by Sullivan as a feeling of living often have. These imaginary friends enable children to
among one's enemies. Those children who become have a safe, secure relationship with another person, even
malevolent have much difficulty giving and receiving though that person is imaginary.
tenderness or being intimate with other people.
B. Intimacy VI. Levels of Cognition
The conjunctive dynamism marked by a close personal
Sullivan recognized three levels of cognition, or ways of
perceiving things-prototaxic, parataxic, and syntaxic. children have no preexisting capacity for intimacy, they may
A. Prototaxic Level confuse lust with love and develop sexual relationships that
Experiences that are impossible to put into words or to are devoid
communicate to others are called prototaxic. Newborn of true intimacy.
infants experience images mostly on a prototaxic level, but F. Late Adolescence
adults, too, frequently have preverbal experiences that are Chronologically, late adolescence may start at any time
momentary and incapable of being communicated. after about age 16, but psychologically, it begins when a
B. Parataxic Level person is able to feel both intimacy and lust toward the
Experiences that are prelogical and nearly impossible to same person. Late adolescence is characterized by a
accurately communicate to others are called parataxic. stable pattern of sexual activity and the growth of the
Included in these are erroneous assumptions about cause syntaxic mode, as young people learn how to live in the
and effect, which Sullivan termed parataxic distortions. adult world.
C. Syntaxic Level G. Adulthood
Experiences that can be accurately communicated to Late adolescence flows into adulthood, a time when a
others are called syntaxic. Children become capable of person establishes a stable relationship with a significant
syntaxic language at about 12 to 18 months of age when other person and develops a consistent pattern of viewing
words begin to have the same meaning for them that they the world.
do for others.

VII. Stages of Development VIII. Psychological Disorders

Sullivan saw interpersonal development as taking place Sullivan believed that disordered behavior has an
over seven stages, from infancy to mature adulthood. interpersonal origin, and can only be understood with
Personality changes can take place at any time but are reference to a person's social environment.
more likely to occur during transitions between stages.
A. Infancy IX. Psychotherapy
The period from birth until the emergence of syntaxic Sullivan pioneered the notion of the therapist as a
language is called infancy, a time when the child receives participant observer, who establishes an interpersonal
tenderness from the mothering one while also learning relationship with the patient. He was primarily
anxiety through an empathic linkage with the mother. concerned with understanding patients and helping them
Anxiety may increase to the point of terror, but such terror develop foresight,
is controlled by the built-in protections of apathy and improve interpersonal relations, and restore their ability to
somnolent detachment that allow the baby to go to sleep. operate mostly
During infancy children use autistic language, which takes on a syntaxic level.
place on a prototaxic or parataxic level.
X. Related Research
B. Childhood
The stage that lasts from the beginning of syntaxic In recent years, a number of researchers have studied the
language until the need for playmates of equal status is impact of two-person relationships, involving both therapy
called childhood. The child's primary interpersonal and non-therapy encounters.
relationship continues to be with the mother, who is now A. Therapist-Patient Relationships
differentiated from other persons who nurture the child. Hans Strupp, William Henry, and associates at Vanderbilt
C. Juvenile Era developed the Structural Analysis of Social Behavior, an
The juvenile stage begins with the need for peers of equal instrument for studying the dynamics between therapist and
patient. This group of researchers found that patients
status and continues until the child develops a need for an
tended to have relatively stable behaviors that were
intimate relationship with a chum. At this time, children
consistent with the way their therapists treated them. Later,
should learn how to compete, to compromise, and to
these researchers reported therapists' professional training
cooperate. These three abilities, as well as an orientation
was less important to successful therapy than the
toward living, help a child develop intimacy, the chief
therapists' own developmental history.
dynamism of the next developmental stage.
B. Intimate Relationships with Friends
D. Preadolescence
Elizabeth Yaughn and Stephen Nowicki studied intimate
Perhaps the most crucial stage is preadolescence, because
interpersonal relationships in same-gender dyads and
mistakes made earlier can
found that women-but not men-had complementary
be corrected during preadolescence, but errors made
interpersonal styles with their close women friends. Also,
during preadolescence are nearly impossible to overcome
women were more likely than men to engage in a wide
in later life. Preadolescence spans the time from the need
variety of activities with their intimate friend, a finding that
for a single best friend until puberty. Children who do not
suggests that women develop deeper same-gender
learn intimacy during preadolescence have added
friendships than do men.
difficulties relating to potential sexual partners during
C. Imaginary Friends
later stages.
Other researchers have studied Sullivan's notion of
E. Early Adolescence
imaginary playmates and have found that children who
With puberty comes the lust dynamism and the beginning
have identifiable eidetic playmates tend to be more
of early adolescence. Development during this stage is
socialized, less aggressive, more intelligent, and to have a
ordinarily marked by a coexistence of intimacy
better sense of humor than children who do not report
with a single friend of the same gender and sexual interest
having an imaginary playmate.
in many persons of the opposite gender. However, if
XI. Critique of Sullivan
Despite Sullivan's insights into the importance of
interpersonal relations, his theory of personality and his
approach to psychotherapy have lost popularity in recent
years. In summary, his theory rates very low in falsifiability,
low in its ability to generate research, and average in its
capacity to organize knowledge and to guide action. In
addition, it is only average in self-consistency and low in
parsimony.

XII. Concept of Humanity

Because Sullivan saw human personality as being largely
formed from interpersonal relations, his theory rates very
high on social influences and very low on biological ones.
In addition, it rates high on unconscious determinants,
average on free choice, optimism, and causality, and low
on uniqueness.
SUMMARY OUTLINE basic mistrust emerges hope, the basic strength of
infancy. Infants who do not develop hope retreat from
I. Overview of Erikson's Post-Freudian Theory the world, and this withdrawal is
Erikson postulated eight stages of psychosocial the core pathology of infancy.
development through which people progress. Although B. Early Childhood
he differed from Freud in his emphasis on the ego and The second to third year of life is early childhood, a
on social influences, his theory is an extension, not a period that compares to Freud's anal stage, but it also
repudiation, of Freudian psychoanalysis. includes mastery of other body functions such as
walking, urinating, and holding. The psychosexual mode
II. Biography of Erik Erikson of early childhood is anal-urethral-muscular, and children
When Erik Erikson was born in Germany in 1902 his of this age behave both impulsively and compulsively.
The psychosocial crisis of early childhood is autonomy
name was Erik Salomonsen. After his mother married
versus shame and doubt. The psychosocial crisis
Theodor Homburger, Erik eventually took his step-
between autonomy on the one hand and shame and
father's name. At age 18 he left home to pursue the life
doubt on the other produces will, the basic strength of
of a wandering artist and to search for self-identity. He
gave up that life to teach young children in Vienna, early childhood. The core pathology of early childhood is
where he met Anna Freud. Still searching for his compulsion.
C. Play Age
personal identity, he was psychoanalyzed by Ms. Freud,
From about the third to the fifth year, children experience
an experience that allowed him to become a
the play age, a period that parallels Freud's phallic
psychoanalyst. In mid-life, Erik Homburger moved to the
phase. Unlike Freud, however, Erikson saw the Oedipus
United States, changed his name to Erikson, and took a
position at the Harvard Medical School. Later, he taught complex as an early model of lifelong playfulness and a
at Yale, the University of California at Berkeley, and drama played out in children's minds as they attempt to
understand the basic facts of life. The primary
several other universities. He died in 1994, a month
psychosexual mode of the play age is genital-locomotor,
short of his 92nd birthday.
meaning that children have both an interest in genital
activity and an increasing ability to move around. The
III. The Ego in Post-Freudian Psychology psychosocial crisis of the play age is initiative versus
One of Erikson's chief contributions to personality theory guilt. The conflict between initiative and guilt helps
was his emphasis on ego rather than id functions. children to act with purpose and to set goals.
According to Erikson, the ego is the center of personality But if children have too little purpose, they develop
and is responsible for a unified sense of self. It consists inhibition, the core pathology of the play age.
of three interrelated facets: the body ego, the ego ideal, D. School Age
and ego identity. The period from about 6 to 12 or 13 years of age is
A. Society's Influence called the school age, a time of psychosexual latency,
The ego develops within a given society and is but it is also a time of psychosocial growth beyond the
influenced by child-rearing practices and other cultural family. Because sexual development is latent during the
customs. All cultures and nations develop a school age, children can use their energies to learn the
pseudospecies, or a fictional notion that they are customs of their culture, including both formal and
superior to other cultures. informal education. The psychosocial crisis of this age is
B. Epigenetic Principle industry versus inferiority. Children need to learn to work
The ego develops according to the epigenetic principle; hard, but they also must develop some sense of
that is, it grows according to a genetically established inferiority. From the conflict of industry and inferiority
rate and in a fixed sequence. emerges competence, the basic strength of school age
children. Lack of industry leads to inertia, the core
IV. Stages of Psychosocial Development pathology of this stage.
Each of the eight stages of development is marked by a E. Adolescence
conflict between a syntonic (harmonious) element and a Adolescence begins with puberty and is marked by a
dystonic (disruptive) element, which produces a basic person's struggle to find ego identity. It is a time of
strength or ego quality. Also, from adolescence on, each psychosexual growth, but it is also a period of
stage is characterized psychosocial latency. The psychosexual mode of
by an identity crisis or turning point, which may produce adolescence is puberty or genital maturation. The
either adaptive or maladaptive adjustment. psychosocial crisis of adolescence is identity versus
A. Infancy identity confusion. Psychologically healthy individuals
Erikson's view of infancy (the first year of life) was emerge from adolescence with a sense of who they are
similar to Freud's concept of the oral stage, except that and what they believe; but some identity confusion is
Erikson expanded the notion of incorporation beyond the normal. The conflict between identity and identity
mouth to include sense organs such as the eyes and confusion produces fidelity, or faith in some ideological
ears. The psychosexual mode of infancy is oral-sensory, view of the future. Lack of belief in one's own selfhood
which is characterized by both receiving and accepting. results in role repudiation, or an inability to bring
The psycho-social crisis of infancy is basic trust versus together one's various self images.
basic mistrust. From the crisis between basic trust and
F. Young Adulthood themes of rising and falling. In contrast, girls arranged
Young adulthood begins with the acquisition of intimacy toys in low and peaceful scenes. Erikson concluded that
at about age 18 and ends with the development of anatomical differences between the sexes play a role in
generativity at about age 30. The psychosexual mode of personality development.
young adulthood is genitality, which is expressed as
mutual trust between partners in a stable sexual VI. Related Research
relationship. Its psychosocial crisis is intimacy versus Erikson's theory has generated a moderately large body
isolation. Intimacy is the ability to fuse one's identity with of research, must of it investigating the concept of
that of another without fear of losing it; whereas isolation identity. In addition, some researchers have looked at
is the fear of losing one's identity in an intimate Erikson's concept of generativity.
relationship. The crisis between intimacy and isolation A. Identity in Early Adulthood
results in the capacity to love. The core pathology of A longitudinal study by Jennifer Pals and Ravenna
young adulthood is exclusivity, or inability to love. Helson found that identity established in early adulthood
G. Adulthood is associated with stable marriage and high levels of
The period from about 31 to 60 years of age is creativity. Additional research by Helson and Pals found
adulthood, a time when people make significant that women who had solid identity and high creative
contributions to society. The psychosexual mode of potential at age 21 were more likely than other women
adulthood is procreativity, or the caring for one's to have had a challenging and creative work experience
children, the children of others, and the material at age 52.
products of one's society. The psychosocial crisis of B. Generativity in Midlife
adulthood is generativity versus stagnation, and the People high in generativity should have a lifestyle
successful resolution of this crisis results in care. marked by creating and passing on knowledge, values,
Erikson saw care as taking care of the persons and and ideals to a younger generation, and should benefit
products that one has learned to care for. The core from a pattern of helping younger people. Research by
pathology of adulthood is rejectivity, or the rejection of Dan McAdams and colleagues found that adults at
certain individuals or groups that one is unwilling to take midlife who contributed to the well-being of young
care of. people had a clear sense of who they were and what life
H. Old Age had to offer them. Other research found that people high
The final stage of development is old age, from about in generativity are typically concerned with the well-
age 60 until death. The psychosexual mode of old age is being of others.
generalized sensuality; that is, taking pleasure in a
variety of sensations and an appreciation of the VII. Critique of Erikson
traditional lifestyle of people of the other gender. The
Although Erikson's work is a logical extension of Freud's
psychosocial crisis of old age is the struggle between psychoanalysis, it offers a new way of looking at human
integrity (the maintenance of ego-identity) and despair
development. As a useful theory, it rates high on its
(the surrender of hope). The struggle between integrity
ability to generate research, and about average on its
and despair may produce wisdom (the basic strength of
ability to be falsified, to organize knowledge, and to
old age), but it may also lead to disdain (a core
guide the practitioner. It rates high on internal
pathology marked by feelings of being finished or consistency and about average on parsimony.
helpless).
VIII. Concept of Humanity
V. Erikson's Methods of Investigation Erikson saw humans as basically social animals who
Erikson relied mostly on anthropology, psychohistory, have limited free choice and who are motivated by past
and play construction to explain and describe human experiences, which may be either conscious or
personality. unconscious. In addition, Erikson is rated high on both
A. Anthropological Studies optimism and uniqueness of individuals.
Erikson's two most important anthropological studies
were of the Sioux of South Dakota and the Yurok tribe of
northern California. Both studies demonstrated his
notion that culture and history help shape personality.

B. Psychohistory
Erikson combined the methods of psychoanalysis and
historical research to study several personalities, most
notably Gandhi and Luther. In both cases, the central
figure experienced an identity crisis that produced a
basic strength rather than a
core pathology.
C. Play Construction
Erikson's technique of play construction became
controversial when he found that 10- to 12-year-old boys
used toys to construct elongated objects and to produce
SUMMARY OUTLINE is paired with an unconditioned stimulus until it is
capable of bringing about a previously unconditioned
I. Overview of Skinner's Behavioral Analysis response, now called the conditioned response. For
Unlike any theory discussed to this point, the radical example, Watson and Rayner conditioned a young boy
behaviorism of B. F. Skinner avoids speculations about to fear a white rat (the conditioned stimulus) by
hypothetical constructs and concentrates almost associating it with a loud, sudden noise (an
exclusively on observable behavior. Besides being a unconditioned stimulus). Eventually, through the process
radical behaviorist, Skinner was also a determinist and of generalization, the boy learned to fear stimuli that
an environmentalist; that is, he rejected the notion of resembled the white rat.
free will, and he emphasized the primacy of B. Operant Conditioning
environmental influences on behavior. With operant conditioning, reinforcement is used to
increase the probability that a given behavior will recur.
II. Biography of B. F. Skinner Three factors are essential in operant conditioning: (1)
the antecedent, or environment in which behavior takes
B. F. Skinner was born in Susquehanna, Pennsylvania
place; (2) the behavior, or response; and (3) the
in 1904, the older of two brothers. While in college,
Skinner wanted to be a writer, but after having little consequence that follows the behavior. Psychologists
success in this endeavor, he turned to psychology. After and others use shaping to mold complex human
behavior. Different histories of reinforcement result in
earning a Ph.D. from Harvard, he taught at the
operant discrimination, meaning that different organisms
Universities of Minnesota and Indiana before returning
will respond differently to the same environmental
to Harvard, where he remained until his death in 1990.
contingencies. People may also respond similarly to
different environmental stimuli, a process Skinner called
III. Precursors to Skinner's Scientific Behaviorism stimulus generalization. Anything within the environment
Modern learning theory has roots in the work of Edward that strengthens a behavior is a reinforcer. Positive
L. Thorndike and his experiments with animals during reinforcement is any stimulus that when added to a
the last part of the 19th century. Thorndike's law of effect situation increases the probability that a given behavior
stated that responses followed by a satisfier tend to be will occur. Negative reinforcement is the strengthening of
learned, a concept that anticipated Skinner's use of behavior through the removal of an aversive stimulus.
positive reinforcement to shape behavior. Skinner was Both positive and negative reinforcement strengthen
even more influenced by John Watson, who argued that behavior. Any event that decreases a behavior either by
psychology must deal with the control and prediction of presenting an aversive stimulus or by removing a
behavior and that behavior-not introspection, positive one is called punishment. The effects of
consciousness, or the mind-is the basic data of scientific punishment are much less predictable than those of
psychology. reward. Both punishment and reinforcement can result
from either natural consequences or from human
IV. Scientific Behaviorism imposition. Conditioned reinforcers are those stimuli that
Skinner believed that human behavior, like any other are not by nature satisfying (e.g., money), but that can
natural phenomena, is become so when they are associated with a primary
subject to the laws of science, and that psychologists reinforcer, such as food. Generalized reinforcers are
should not attribute inner motivations to it. Although he conditioned reinforcers that have become associated
rejected internal states (thoughts, emotions, desires, with several primary reinforcers. Reinforcement can
etc.) as being outside the realm of science, Skinner did follow behavior on either a continuous schedule or on an
not deny their existence. intermittent schedule. There are four basic intermittent
He simply insisted that they should not be used to schedules: (1) fixed-ratio, on which the organism is
explain behavior. reinforced intermittently according to the number of
A. Philosophy of Science responses it makes; (2) variable-ratio, on which the
Skinner believed that, because the purpose of science is organism is reinforced after an average of a
to predict and control, psychologists should be predetermined number of responses; (3) fixed-interval,
concerned with determining the conditions under which on which the organism is reinforced for the first response
human behavior occurs so that they can predict and following a designated period of time; and (4) variable
control it. interval, on which the organism is reinforced after the
B. Characteristics of Science lapse of varied periods of time. The tendency of a
Skinner held that science has three principle previously acquired response to become progressively
characteristics: (1) its findings are cumulative, (2) it rests weakened upon nonreinforcement is called extinction.
on an attitude that values empirical observation, and Such elimination or weakening of a response is called
(3) it searchers for order and lawful relationships. classical extinction in a classical conditioning model and
operant extinction when the response was acquired
V. Conditioning through operant conditioning.
Skinner recognized two kinds of conditioning: classical
and operant. VI. The Human Organism
A. Classical Conditioning Skinner believed that human behavior is shaped by
In classical conditioning, a neutral (conditioned) stimulus three forces: (1) natural selection, (2) cultural practices,
and (3) the individual's history of reinforcement, which allow escape from aversive stimuli; (5) drugs; and (6)
we discussed above. doing something else.
A. Natural Selection
As a species, our behavior is shaped by the VII. The Unhealthy Personality
contingencies of survival; that is, those behaviors (e.g., Social control and self-control sometimes produce
sex and aggression) that were beneficial to the human counteracting strategies and inappropriate behaviors.
species tended to survive, whereas those that did not A. Counteracting Strategies
tended to drop out. People can counteract excessive social control by (1)
B. Cultural Evolution escaping from it,
Those societies that evolved certain cultural practices (2) revolting against it, or (3) passively resisting it.
(e.g. tool making and language) tended to survive. B. Inappropriate Behaviors
Currently, the lives of nearly all people are shaped, in Inappropriate behaviors follow from self-defeating
part, by modern tools (computers, media, various modes techniques of counteracting social control or from
of transportation, etc.) and by their use of language. unsuccessful attempts at self-control.
However, humans do not make cooperative decisions to
do what is best for their society, but those societies VIII. Psychotherapy
whose members behave in a cooperative manner Skinner was not a psychotherapist, and he even
tended to survive.
criticized psychotherapy as being one of the major
C. Inner States
obstacles to a scientific study of human behavior.
Skinner recognized the existence of such inner states as
Nevertheless, others have used operant conditioning
drives and self-awareness, but he rejected the notion
principles to shape behavior in a therapeutic setting.
that they can explain behavior. To Skinner, drives refer Behavior therapists play an active role in the treatment
to the effects of deprivation and satiation and thus are process, using behavior modification techniques and
related to the probability of certain behaviors, but they
pointing out the positive consequences of some
are not the causes of behavior. Skinner believed that
behaviors and the aversive effects of others.
emotions can be accounted for by the contingencies of IX. Related Research
survival and the contingencies of reinforcement; but like
Skinner's theory has generated more research than any
drives, they do not cause behavior. Similarly, purpose other personality theory. Much of this research can be
and intention are not causes of behavior, although they divided into two questions: (1) How does conditioning
are sensations that exist within the skin.
affect personality? and (2) How does personality affect
D. Complex Behavior
conditioning?
Human behavior is subject to the same principles of
A. How Conditioning Affects Personality
operant conditioning as simple animal behavior, but it is
A plethora of studies have demonstrated that operant
much more complex and difficult to predict or control. conditioning can change personality (that is, behavior).
Skinner explained creativity as the result of random or
For example, a recent study by Stephen Higgens et al.
accidental behaviors that happen to be rewarded.
demonstrated that a contingent management program
Skinner believed that most of our behavior is
can be successful in decreasing cocaine use.
unconscious or automatic and that not thinking about
B. How Personality Affects Conditioning
certain experiences is reinforcing. Skinner viewed Research has also found that different personalities may
dreams as covert and symbolic forms of behavior that react differently to the same environmental stimuli. This
are subject to the same contingencies of reinforcement
means that the same reinforcement strategies will not
as any other behavior.
have the same effect on all people. For example, Alan
Pickering and Jeffrey Gray have developed and tested a
E. Control of Human Behavior
reinforcement sensitivity theory that suggests that
Ultimately, all of a person's behavior is controlled by the impulsivity, anxiety, and introversion/extraversion relate
environment. Societies exercise control over their to ways people respond to environmental reinforcers.
members through laws, rules, and customs that
transcend any one person's means of countercontrol.
There are four basic methods of social control: (1) X. Critique of Skinner - On the six criteria of a useful
operant conditioning, including positive and negative theory, Skinner's approach rates very high on its ability
reinforcement and punishment; (2) describing to generate research and to guide action, high on its
contingencies, or using language to inform people of the ability to be falsified, and about average on its ability to
consequence of their behaviors; (3) deprivation and organize knowledge. In addition, it rates very high on
satiation, techniques that increase the likelihood that internal consistency and high on simplicity.
people will behave in a certain way; and (4) physical
restraint, including the jailing of criminals. Although XI. Concept of Humanity - Skinner's concept of
Skinner denied the existence of free will, he did humanity was a completely deterministic and causal one
recognize that people manipulate variables within their that emphasized unconscious behavior and the
own environment and thus exercise some measure of uniqueness of each person's history of reinforcement
self-control, which has several techniques: (1) physical within a mostly social environment. Unlike many
restraint, (2) physical aids, such as tools; (3) changing determinists, Skinner is quite optimistic in his view of
environmental stimuli; (4) arranging the environment to humanity.
SUMMARY OUTLINE
V. Self System
I. Overview of Bandura's Social Cognitive Theory The self system gives some consistency to personality
Bandura's social cognitive theory takes an agentic by allowing people to observe and symbolize their own
perspective, meaning that humans have some limited behavior and to evaluate it on the basis of anticipated
ability to control their lives. In contrast to Skinner, future consequences. The self system includes both
Bandura (1) recognizes that chance encounters and self-efficacy and self-regulation.
fortuitous events often shape one's behavior; (2) places A. Self-Efficacy
more emphasis on observational learning; (3) stresses How people behave in a particular situation depends in
the importance of cognitive factors in learning; (4) part on their self-efficacy-that is, their beliefs that they
suggests that human activity is a function of behavior can or cannot exercise those behaviors necessary to
and person variables, as well as the environment; and bring about a desired consequence. Efficacy
(5) believes that reinforcement is mediated by cognition. expectations differ from outcome expectations, which
refer to people's prediction of the likely consequences of
II. Biography of Albert Bandura their behavior. Self-efficacy combines with
Albert Bandura was born in Canada in 1925, but he has environmental variables, previous behaviors, and other
spent his entire professional life in the United States. He personal variables to predict behavior. It is acquired,
completed a Ph.D. in clinical psychology at the enhanced, or decreased by any one or combination of
University of Iowa in 1951 and since then has worked four sources: (1) mastery experiences or performance,
almost entirely at Stanford University, where he (2) social modeling, or observing someone of equal
continues to be the most active of all personality ability succeed or fail at a task; (3) social persuasion, or
theorists in investigating his own hypotheses. listening to a trusted person's encouraging words; and
(4) physical and emotional states, such as anxiety or
III. Human Agency fear, which usually lowers self-efficacy. High self-efficacy
and a responsive environment are the best predictors of
Bandura believes that human agency is the essence of
successful outcomes.
humanness; that is, humans are defined by their ability
B. Proxy Agency
to organize, regulate, and enact behaviors that they
believe will produce desirable consequences. Human Bandura has recently recognized the influence of proxy
agency has four core features: agency through which people exercise some partial
control over everyday living. Successful living in the 21st
(1) intentionality, or a proactive commitment to actions
century requires people to seeks proxies to supply their
that may bring about desired outcomes; (2) foresight, or
food, deliver information, provide transportation, etc.
the ability to set goals; (3) self-reactiveness, which
Without the use of proxies, modern people would be
includes people monitoring their progress toward
fulfilling their choices; and forced to spend most of their time securing the
necessities of survival.
(4) self-reflectiveness, which allows people to think
C. Collective Efficacy
about and evaluate their motives, values, and life goals.
Collective efficacy is the level of confidence that people
have that their combined efforts will produce social
IV. Reciprocal Determinism change. At least four factors can lower collective
Social cognitive theory holds that human functioning is efficacy. First, events in other parts of the world can
molded by the reciprocal interaction of (1) behavior; (2) leave people with a sense of helplessness; second,
person variables, including cognition; and (3) complex technology can decrease people's perceptions
environmental events-a model Bandura calls reciprocal of control over their environment; third, entrenched
determinism. bureaucracies discourage people from attempting to
A. Differential Contributions bring about social change; and fourth, the size and
Bandura does not suggest that the three factors in the scope of world-wide problems contribute to people's
reciprocal determinism sense of powerlessness.
model make equal contributions to behavior. The relative D. Self-Regulation
influence of By using reflective thought, humans can manipulate
behavior, environment, and person depends on which their environments and produce consequences of their
factor is strongest actions, giving them some ability to regulate their own
at any particular moment. behavior. Bandura believes that behavior stems from a
B. Chance Encounters and Fortuitous Events reciprocal influence of external and internal factors. Two
The lives of many people have been fundamentally external factors contribute to self-regulation: (1)
changed by a chance meeting with another person or by standards of evaluation, and (2) external reinforcement.
a fortuitous, unexpected event. Chance encounters External factors affect self-regulation by providing
and fortuitous events enter the reciprocal determinism people with standards for evaluating their own behavior.
paradigm at the Internal requirements for self-regulation include: (1) self-
environment point, after which they influence behavior in observation of performance; (2) judging or evaluating
much the same performance; (3) and self-reactions, including self-
way as do planned events. reinforcement or self-punishment. Internalized self-
sanctions prevent people from violating their own moral
standards either through selective activation or neurophysiological processes), the environment
disengagement of internal control. Selective activation (including interpersonal relations), and behavioral factors
refers to the notion that self-regulatory influences are not (especially previous experiences
automatic but operate only if activated. It also means with reinforcement).
that people react differently in different situations, A. Depression
depending on their evaluation of the situation. People who develop depressive reactions often (1)
Disengagement of internal control means that people underestimate their successes and overestimate their
are capable of separating themselves from the negative failures, (2) set personal standards too high, or (3) treat
consequences of their behavior. People in ambiguous themselves badly for their faults.
moral situations-who are uncertain that their behavior is B. Phobias
consistent with their own social and moral standards of Phobias are learned by (1) direct contact, (2)
conduct-may separate their conduct from its injurious inappropriate generalization, and (3) observational
consequences through four general techniques of experiences. Once learned they are maintained by
disengagement of internal standards or selective negative reinforcement, as the person is reinforced for
activation. First is redefining behavior, or justifying avoiding fear-producing situations.
otherwise reprehensible actions by cognitively C. Aggressive Behaviors
restructuring them. People can use redefinition of When carried to extremes, aggressive behaviors can
behavior to disengage themselves from reprehensible become dysfunctional. In a study of children observing
conduct by: (1) justifying otherwise culpable behavior on live and filmed models being aggressive, Bandura and
moral grounds; (2) making advantageous comparisons his associates found that aggression tends to foster
between their behavior and the even more reprehensible more aggression.
behavior of others; and (3) using euphemistic labels to
change the moral tone of their behavior. A second VIII. Therapy
method of disengagement from internal standards is to The goal of social cognitive therapy is self-regulation.
distort or obscure the relationship between behavior and Bandura noted three levels of treatment: (1) induction of
its injurious consequences. People can do this by change, (2) generalization of change to other
minimizing, disregarding, or distorting the consequences appropriate situations, and (3) maintenance of newly
of their behavior. A third set of disengagement acquired functional behaviors. Social cognitive
procedures involves blaming the victims. Finally, people therapists sometimes use systematic desensitization, a
can disengage their behavior from its consequences by technique aimed at diminishing phobias through
displacing or diffusing responsibility. relaxation.

VI. Learning
People learn through observing others and by attending IX. Related Research
to the consequences of their own actions. Although Bandura's concept of self-efficacy has generated a great
Bandura believes that reinforcement aids learning, he deal of research demonstrating that people's beliefs are
contends that people can learn in the absence of related to their ability to enact a wide
reinforcement and even of a response. variety of performances, including stopping smoking and
A. Observational Learning academic performance.
The heart of observational learning is modeling, which is A. Self-Efficacy and Smoking Cessation
more than simple imitation, because it involves adding Saul Shiffman and his colleagues studied the effects of
and subtracting from observed behavior. At least three daily fluctuations in self-efficacy on smoking lapses and
principles influence modeling: (1) people are most likely relapses among ex-smokers who had quit on their own
to model high-status people, (2) people who lack skill, for at least 24 hours. They found that when these
power, or status are most likely to model, and (3) people participants smoked even a single cigarette, their daily
tend to model behavior that they see as being rewarding self-efficacy became more variable, leading to future
to the model. Bandura recognized four processes that lapses and, with some ex-smokers, a complete relapse.
govern observational learning: (1) attention, or noticing Ex-smokers who believed in their ability to quit smoking
what a model does; (2) representation, or symbolically were able to maintain high self-efficacy and to avoid
representing new response patterns in memory; (3) lapses
behavior production, or producing the behavior that one and relapse.
observes; and (4) motivation; that is, the observer must B. Self-Efficacy and Academic Performance
be motivated to perform the observed behavior. Bandura and a group of Italian researchers studied
B. Enactive Learning levels of self-efficacy and their relation to academic
All behavior is followed by some consequence, but performance in middle-school children living near Rome.
whether that consequence reinforces the behavior They found that children who believed that their parents
depends on the person's cognitive evaluation of the had confidence in their academic ability were likely to
situation. have high academic aspirations, high academic self-
efficacy, and high self-regulatory efficacy, and that each
VII. Dysfunctional Behavior of these factors related either directly or indirectly to high
Dysfunctional behavior is learned through the mutual academic performance.
interaction of the person (including cognitive and
X. Critique of Bandura
Bandura's theory receives the highest marks of any in
the text largely because it was constructed through a
careful balance of innovative speculation and data from
rigorous research. In summary, the theory rates very
high on its ability to generate research and on its internal
consistency. In addition, it rates high on parsimony and
on its ability to be falsified, organize knowledge, and
guide the practitioner.

XI. Concept of Humanity

Bandura sees humans as being relatively fluid and
flexible. People can store past experiences and then use
this information to chart future actions. Bandura's theory
rates near the middle on teleology versus causality and
high on free choice, optimism, conscious influences, and
uniqueness. As a social cognitive theory, it rates very
high on social determinants of personality.
SUMMARY OUTLINE predicted by the basic prediction formula, which states that
the potential for a behavior to occur in a particular situation
I. Overview of Cognitive Social Learning Theory in relation to a given reinforcement is a function of people's
Both Julian Rotter and Walter Mischel believe that cognitive expectancy that the behavior will be followed by that
factors, more than immediate reinforcements, determine reinforcement in
how people will react to environmental forces. Each that situation.
suggests that our expectations of future events are major
determinants of performance. V. Predicting General Behaviors
The basic prediction is too specific to give clues about how
II. Biography of Julian Rotter a person will
Julian Rotter was born in Brooklyn in 1916. As a high- generally behave.
school student, he became familiar with some of the A. Generalized Expectancies
writings of Freud and Adler, but he majored in chemistry To make more general predictions of behavior, one must
rather than psychology while at Brooklyn College. In 1941, know people's generalized expectancies, or their
he received a Ph.D. expectations based on similar past experiences that a
in clinical psychology from Indiana University. After World given behavior will be reinforced. Generalized expectancies
War II, he took a position at Ohio State, where one of his include people's needs-that is, behaviors that move them
students was Walter Mischel. In 1963, he moved to the toward a goal.
University of Connecticut and has remained there since B. Needs
retirement. Needs refer to functionally related categories of behaviors.
Rotter listed six broad categories of needs, with each need
being related to behaviors that lead to the same or similar
III. Introduction to Rotter's Social Learning Theory
reinforcements: (1) recognition-status refers to the need to
Rotter's interactionist position holds that human behavior is
excel, to achieve, and to have others recognize one's
based largely on the interaction of people with their
worth; (2) dominance is the need to control the behavior of
meaningful environments. Rotter believes that, although
others, to be in charge, or to gain power over others;
personality can change at any time, it has a basic unity that
(3) independence is the need to be free from the
preserves it from changing as a result of minor
domination of others;
experiences. His empirical law of effect assumes that
(4) protection-dependency is the need to have others take
people choose a course of action that advances them
care of us and to protect us from harm; (5) love and
toward an anticipated goal.
affection are needs to be warmly accepted by others and to
be held in friendly regard; and (6) physical comfort includes
IV. Predicting Specific Behaviors those behaviors aimed at securing food, good health, and
Human behavior is most accurately predicted by an physical security. Three need components are: (1) need
understanding of four potential, or the possible occurrences of a set of
variables: behavior potential, expectancy, reinforcement functionally related behaviors directed toward the
value, and the psychological situation. satisfaction of similar goals;
A. Behavior Potential (2) freedom of movement, or a person's overall expectation
Behavior potential is the possibility that a particular of being reinforced for performing those behaviors that are
response will occur at a given time and place in relation to directed toward satisfying some general need; and (3) need
its likely reinforcement. value, or the extent to which people prefer one set of
B. Expectancy reinforcements to another. Need components are
People's expectancy in any given situation is their analogous to the more specific concepts of behavior
confidence that a particular reinforcement will follow a potential, expectancy, and reinforcement value.
specific behavior in a specific situation or situations. C. General Prediction Formula
Expectancies can be either general or specific, and the The general prediction formula states that need potential is
overall likelihood of success is a function of both a function of freedom of movement and need value.
generalized and specific expectancies. Rotter's two most famous scales for measuring generalized
C. Reinforcement Value expectancies are the Internal-External Control Scale and
Reinforcement value is a person's preference for any the Interpersonal Trust Scale.
particular reinforcement over other reinforcements if all are D. Internal and External Control of Reinforcement
equally likely to occur. Internal reinforcement is the The Internal-External Control Scale (popularly called "locus
individual's perception of an event, whereas external of control scale") attempts to measure the degree to which
reinforcement refers to society's evaluation of an event. people perceive a causal relationship between their own
Reinforcement-reinforcement sequences suggest that the efforts and environmental consequences.
value of an event is a function of one's expectation that a E. Interpersonal Trust Scale
particular reinforcement will lead to future reinforcements. The Interpersonal Trust Scale measures the extent to
D. Psychological Situation which a person expects the word or promise of another
The psychological situation is that part of the external and person to be true.
internal world to which a person is responding. Behavior is
a function of the interaction of people with their meaningful VI. Maladaptive Behavior
environment.
Rotter defined maladaptive behavior as any persistent
behavior that fails to move a person closer to a desired
E. Basic Prediction Formula
goal. It is usually the result of unrealistically high goals in
Hypothetically, in any specific situation, behavior can be combination with low ability to achieve them.
VII. Psychotherapy within a person. He and Shoda see these stable variations
In general, the goal of Rotter's therapy is to achieve in behavior in the following framework: If A, then X; but if B,
harmony between a client's freedom of movement and then Y. People's pattern of variability is their behavioral
need value. The therapist is actively involved in trying to (1) signature of personality, or their unique and stable pattern
change the importance of the client's goals and (2) of behaving differently in different situations.
eliminate their unrealistically low expectancies for success. A. Behavior Prediction
A. Changing Goals Mischel's basic theoretical position for predicting and
Maladaptive behaviors follow from three categories of explaining behavior is as follows: If personality is a stable
inappropriate goals: (1) conflict between goals, (2) system that processes information about the situation, then
destructive goals, and (3) unrealistically lofty goals. individuals encountering different situations should behave
B. Eliminating Low Expectancies differently as situations vary. Therefore, Mischel believes
In helping clients change low expectancies of success, that, even though people's behavior may reflect some
Rotter uses a variety of approaches, including reinforcing stability over time, it tends to vary as situations vary.
positive behaviors, ignoring inappropriate behaviors, giving B. Situation Variables
advice, modeling appropriate behaviors, and pointing out Situation variables include all those stimuli that people
the long-range consequences of both positive and negative attend to in a
behaviors. given situation.
C. Cognitive-Affective Units
VIII. Introduction to Mischel's Cognitive-Affective Cognitive-affective units include all those psychological,
Personality System social, and physiological aspects of people that permit them
Like Bandura and Rotter, Mischel believes that cognitive to interact with their environment with some stability in their
factors, such as expectancies, subjective perceptions, behavior. Mischel identified five such units. First are
values, goals, and personal standards, are important in encoding strategies, or people's individualized manner of
shaping personality. In his early theory, Mischel seriously categorizing information they receive from external stimuli.
questioned the consistency of personality, but more Second are competencies and self-regulatory strategies.
recently, he and Yuichi Shoda have advanced the notion One of the most important of these competencies is
that behavior is also a function of relatively stable personal intelligence, which Mischel argues is responsible for the
dispositions and cognitive-affective processes interacting apparent consistency of other traits. In addition, people use
with a particular situation. self-regulatory strategies to control their own behavior
through self-formulated goals and self-produced
IX. Biography of Walter Mischel consequences. The third cognitive-affective units are
Walter Mischel was born in 1930, in Vienna, the second expectancies and beliefs, or people's guesses about the
son of upper-middle-class parents. When the Nazis consequences
invaded Austria in 1938, his family moved to the United of each of the different behavioral possibilities. The fourth
States and eventually settled in Brooklyn. Mischel received cognitive-affective
an M.A. from City College of New York and a Ph.D. from unit includes people's goals and values, which tend to
Ohio State, where he was influenced by Julian Rotter. He is render behavior fairly consistent. Mischel's fifth cognitive-
currently a professor at Columbia University. affective unit includes affective
responses, including emotions, feelings, and the affects
that accompany physiological reactions.
X. Background of the Cognitive-Affective Personality
System
Mischel originally believed that human behavior was mostly XII. Related Research
a function of the situation, but presently he has recognized The theories of both Rotter and Mischel have sparked an
the importance of relatively permanent cognitive-affective abundance of related research, with Rotter's locus of
units. Nevertheless, Mischel's theory continues to control being one of the most frequently researched areas
recognize the apparent inconsistency of some behaviors. in psychology and Mischel's notion of delay of gratification
A. Consistency Paradox and his cognitive-affective personality system also
The consistency paradox refers to the observation that, receiving wide attention.
although both lay-people and professionals tend to believe A. Locus of Control and Health-Related Behaviors
that behavior is quite consistent, research suggests that it One adjunct of the locus of control concept is the health
is not. Mischel recognizes that, indeed, some traits are locus of control, and research in this area suggests that
consistent over time, but he contends that there is little self-mastery of health and people's belief about their
evidence to suggest that they are consistent from one personal control over health-related behaviors predict
situation to another. subsequent health status. This body of research has
B. Person-Situation Interaction included such health-related behaviors as smoking,
Mischel believes that behavior is best predicted from an abusing alcohol, and unwise eating. In general, this
understanding of the person, the situation, and the research indicates that people high on internal locus of
interaction between person and situation. Thus, behavior is control, compared with those high on external locus of
not the result of some global personality trait, but by control, are more likely to enact health-related behaviors.
people's perceptions of themselves in a particular situation.
B. An Analysis of Reactions to the O. J. Simpson Verdict
Mischel, Shoda, and two of their colleagues used the
XI. Cognitive-Affective Personality System
cognitive-affective personality system to analyze the verdict
However, Mischel does not believe that inconsistencies in
in the O. J. Simpson murder trial. They found that
behavior are due solely to the situation; he recognizes that
European Americans and African Americans had different
inconsistent behaviors reflect stable patterns of variation
ways of looking at the Simpson verdict. Although their
reactions tended to follow along racial lines, participants'
race itself was not as important as their thoughts and
feelings in determining their reactions to the verdict. More
specifically, European Americans who agreed with the
verdict had thoughts and emotions very similar to those of
African Americans who were elated by the verdict.
Moreover, African Americans who disagreed with the
verdict thought and felt much the same as European
Americans who were dismayed by the not-guilty verdict.

XIII. Critique of Cognitive Social Learning Theory

Cognitive social learning theory combines the rigors of
learning theory with the speculative assumption that people
are forward-looking beings. It rates high on generating
research and on internal consistency, and it rates about
average on its ability to be falsified, to organize data, and to
guide action.

XIV. Concept of Humanity

Rotter and Mischel see people as goal-directed, cognitive
animals whose perceptions of events are more crucial than
the events themselves. Cognitive social learning theory
rates very high on social influences, and high on
uniqueness of the individual, free choice, teleology, and
conscious processes. On the dimension of optimism versus
pessimism, Rotter's view is slightly more optimistic,
whereas Mischel's is about in the middle.
SUMMARY OUTLINE V. Source Traits
Source traits refer to the underlying factor or factors
I. Overview of Factor Analytic Theory responsible for the intercorrelation among surface traits.
Raymond Cattell and Hans Eysenck have each used They can be distinguished from trait indicators, or
factor analysis to identify traits (that is, relatively surface traits.
permanent dispositions of people). Cattell has identified
a large number of personality traits, whereas Eysenck
has extracted only three general factors. VI. Personality Traits
Personality traits include both common traits (shared by
II. Biography of Raymond B. Cattell many people) and unique traits (peculiar to one
Raymond B. Cattell was born in England in 1905, individual). Personality traits can also be classified into
educated at the University of London, but spent most of temperament, motivation (dynamic), and ability.
his professional career in the United States. He held A. Temperament Traits
positions at Columbia University, Clark University, Temperament traits are concerned with how a person
Harvard University, and the University of Illinois, where behaves. Of the 35 primary or first-order traits Cattell
he spent most of his active career. During the last 20 has identified, all but one (intelligence) is basically a
years of his life, he was associated with the Hawaii temperament trait. Of the 23 normal traits, 16 were
School of Professional Psychology. He died in 1998, a obtained through Q media and compose Cattell's
few weeks short of his 93rd birthday. famous 16 PF scale. The additional seven factors that
make up the 23 normal traits were originally identified
only through L data. Cattell believed that pathological
III. Basics of Factor Analysis people have the same 23 normal traits as other people,
but, in addition, they exhibit one or more of 12 abnormal
Factor analysis is a mathematical procedure for reducing
traits. Also, a person's pathology may simply be due to a
a large number of scores to a few more general
normal trait that is carried to
variables or factors. Correlations of the original, specific
an extreme.
scores with the factors are called factor loadings. Traits
generated through factor analysis may be either unipolar B. Second-Order Traits
(scaled from zero to some large amount) or bipolar The 35 primary source traits tend to cluster together,
forming eight clearly identifiable second-order traits. The
(having two opposing poles, such as introversion and
two strongest of the second-order traits might be called
extraversion). For factors to have psychological
extraversion/introversion and anxiety.
meaning, the analyst must rotate the axes on which the
scores are plotted. Eysenck used an orthogonal rotation
whereas Cattell favored an oblique rotation. The oblique VII. Dynamic Traits
rotation procedure ordinarily results in more traits than In addition to temperament traits, Cattell recognized
the orthogonal method. motivational or dynamic traits, which include attitudes,
ergs, and sems.
IV. Introduction to Cattell's Trait Theory A. Attitudes
Cattell used an inductive approach to identify traits; that An attitude refers to a specific course of action, or desire
to act, in response to a given situation. Motivation is
is, he began with a large body of data that he collected
usually quite complex, so that a network of motives, or
with no preconceived hypothesis or theory.
dynamic lattice, is ordinarily involved with an attitude. In
A. P Technique
addition, a subsidiation chain, or a complex set of
Cattell's P technique is a correlational procedure that
uses measures collected from one person on many subgoals, underlies motivation.
different occasions and is his attempt to measure B. Ergs
Ergs are innate drives or motives, such as sex, hunger,
individual or unique, rather than common, traits. Cattell
loneliness, pity, fear, curiosity, pride, sensuousness,
also used the dR (differential R) technique, which
anger, and greed that humans share with other
correlates the scores of a large number of people on
primates.
many variables obtained at two different occasions. By
combining these two techniques, Cattell has measured C. Sems
both states (temporary conditions within an individual) Sems are learned or acquired dynamic traits that can
satisfy several ergs at the same time. The self-sentiment
and traits (relatively permanent dispositions of an
is the most important sem in that it integrates the other
individual).
sems.
B. Media of Observation
Cattell used three different sources of data that enter the
correlation matrix: D. The Dynamic Lattice
The dynamic lattice is a complex network of attitudes,
(1) L data, or a person's life record that comes from
ergs, and sems underlying a person's motivational
observations made by
structure.
others; (2) Q data, which are based on questionnaires;
and (3) T data, or information obtained from objective
tests. VIII. Genetic Basis of Traits
Cattell and his colleagues provided estimates of
heritability of the various source traits. Heritability is an
estimate of the extent to which the variance of a given compulsive disorders. Both normal and abnormal
trait is due to heredity. Cattell has found relatively high individuals may score high on the neuroticism scale
heritability values for both fluid intelligence (the ability to of the Eysenck's various personality inventories. People
adapt to new material) and crystallized intelligence who score high on the psychoticism scale are
(which depends on prior learning), suggesting that egocentric, cold, nonconforming, aggressive, impulsive,
intelligence is due more to heredity than to environment. hostile, suspicious, and antisocial. Men tend to score
higher than women
IX. Introduction to Eysenck's Factor Theory on psychoticism.
Compared to Cattell, Eysenck (1) was more likely to B. Measuring Superfactors
theorize before collecting and factor analyzing data; (2) Eysenck and his colleagues developed four personality
extracted fewer factors; and (3) used a wider variety of inventories to measure superfactors, or types. The two
approaches to gather data. most frequently used by current researchers are the
Eysenck Personality Inventory (which measures only E
X. Biography of Hans J. Eysenck and N) and the Eysenck Personality Questionnaire
(which also measures P).
Hans J. Eysenck was born in Berlin in 1916, but as a
teenager, he moved to England to escape Nazi tyranny C. Biological Bases of Personality
and made London his home for more than 60 years. Eysenck believed that P, E, and N all have a powerful
biological component, and he cited as evidence the
Eysenck was trained in the psychometrically oriented
existence of these three types in a wide variety of
psychology department of the University of London, from
nations and languages.
which he received a bachelor's degree in 1938 and a
D. Personality and Behavior
Ph.D. in 1940. Eysenck was perhaps the most prolific
writer of any psychologist in the world, and his books Eysenck argued that different combinations of P, E and
and articles often caused world-wide controversy. He N relate to a large number of behaviors and processes,
such as academic performance, creativity, and antisocial
died in September of 1997.
behavior. He cautioned that psychologists can be misled
if they do not consider the various combinations of
XI. Measuring Personality personality dimensions.
Eysenck believed that genetic factors were far more E. Personality and Disease
important than environmental ones in shaping For many years, Eysenck researched the relationship
personality and that personal traits could be measured between personality factors and disease. He teamed
by standardized personality inventories. with Ronald Grossarth-Maticek to study the connection
A. Criteria for Identifying Factors between characteristics and both cancer and
Eysenck insisted that personality factors must (1) be cardiovascular disease and found that people with a
based on strong psychometric evidence, (2) must helpless/hopeless attitude were more likely to die from
possess heritability and fit an acceptable genetic model, cancer, whereas people who reacted to frustration with
(3) make sense theoretically, and (4) possess social anger and emotional arousal were much more likely to
relevance. die from cardiovascular disease.
B. Hierarchy of Measures
XIII. Related Research
Eysenck recognized a four-level hierarchy of behavior
The theories of both Cattell and Eysenck have been
organization: (1) specific acts or cognitions; (2) habitual
highly productive in terms of research, due in part to
acts or cognitions; (3) traits, or personal dispositions;
Cattell's 16 PF questionnaire and Eysenck's various
and (4) types or superfactors.
personality inventories. Some of this research has
looked at personality factors and the creativity of
XII. Dimensions of Personality scientists and artists. In addition, some of Eysenck's
Eysenck's methods of measuring personality limited the research attempted to show a biological basis of
number of personality types to a relatively small number. personality.
Although many traits exist, Eysenck identified only three A. Personalities of Creative Scientists and Artists
major types. Early research using the 16 PF found that creative
A. What Are the Major Personality Factors? scientists, compared with either the general population
Eysenck's theory revolves around only three general or less creative scientists, were more intelligent,
bipolar types: extraversion/introversion, outgoing, adventurous, sensitive, self-sufficient,
neuroticism/stability, and psychoticism/superego dominant, and driven. Other research found that female
function. All three have a strong genetic component. scientists, compared to other women, were more
Extraverts are characterized by sociability, dominant, confident, intelligent, radical, and
impulsiveness, jocularity, liveliness, optimism, and quick- adventurous. Research on the personality of artists
wittedness, whereas introverts are quiet, passive, found that writers and artists were more intelligent,
unsociable, careful, reserved, thoughtful, pessimistic, dominant, adventurous, emotionally sensitive, radical,
peaceful, sober, and controlled. Eysenck, however, and self-sufficient than other people. Later research
believes that the principal differences between found that creative artists scored high on Eysenck's
extraverts and introverts is one of cortical arousal level. neuroticism and psychoticism scales, indicating that they
Neurotic traits include anxiety, hysteria, and obsessive were more anxious, sensitive, obsessive, impulsive,
hostile, and willing to take risks than other people.
B. Biology and Personality
If personality has a strong biological foundation, then
researchers should find very similar personality types in
various cultures around the world. Studies in 24
countries found a high degree of similarity among these
different cultures. Eysenck's later work investigated
personality factors across 35 European, Asian, African,
and American cultures and found that personality factors
are quite universal, thus supporting the biological nature
of personality.

XIV. Critique of Trait and Factor Theories

Cattell and Eysenck's theories rate high on parsimony,
on their ability to generate research, and on their
usefulness in organizing data; they are about average
on falsifiability, usefulness to the practitioner, and
internal consistency.

XV. Concept of Humanity

Cattell and Eysenck believe that human personality is
largely the product of genetics and not the environment.
Thus, both are rated very high on biological influences
and very low on social factors. In addition, both rate
about average on conscious versus unconscious
influences and high on the uniqueness of individuals.
The concepts of free choice, optimism versus
pessimism, and causality versus teleology do not apply
to Cattell and Eysenck.
SUMMARY OUTLINE The proprium refers to all those behaviors and
characteristics that people regard as warm and central in
I. Overview of Allport's Psychology of the Individual their lives. Allport preferred the term proprium over self or
Gordon Allport, whose major emphasis was on the ego because the latter terms could imply an object or thing
uniqueness of each individual, built a theory of personality within a person that controls behavior, whereas proprium
as a reaction against what he regarded as the non- suggests the core of one's personhood.
humanistic positions of both psychoanalysis and animal-
based learning theory. However, Allport was eclectic in his VI. Motivation
approach and accepted many of the ideas of other Allport insisted that an adequate theory of motivation must
theorists. consider the notion that motives change as people mature
and also that people are motivated by present drives and
wants.
II. Biography of Gordon Allport
A. Reactive and Proactive Theories of Motivation
Gordon W. Allport was born in Indiana in 1897. He received
To Allport, people not only react to their environment, but
an undergraduate degree in philosophy and economics
they also shape their environment and cause it to react to
from Harvard, and taught in Europe for a year. While in
them. His proactive approach emphasized the idea that
Europe, he had a fortuitous meeting with Sigmund Freud in
people often seek additional tension and that they
Vienna, which helped him decide to complete a Ph.D. in
purposefully act on their environment in a way that fosters
psychology. After receiving his Ph.D. from Harvard, Allport
growth toward psychological health.
spent two years studying under some of the great German
B. Functional Autonomy
psychologists, but he returned to teach at Harvard. Two
Allport's most distinctive and controversial concept is his
years later he took a position at Dartmouth, but after four
theory of functional autonomy, which holds that some (but
years at Dartmouth, he again returned to Harvard, where
not all) human motives are functionally independent from
he remained until his death in 1967.
the original motive responsible for a particular behavior.
Allport recognized two levels of functional autonomy: (1)
III. Allport's Approach to Personality perseverative functional autonomy, which is the tendency
Allport believed that psychologically healthy humans are of certain basic behaviors (such as addictive behaviors) to
motivated by present, mostly conscious drives and that continue in the absence of reinforcement, and (2) propriate
they not only seek to reduce tensions but to establish new functional autonomy, which refers to self-sustaining motives
ones. He also believed that people are capable of proactive (such as interests) that are related to the proprium.
behavior, which suggests that they can consciously behave C. Conscious and Unconscious Motivation
in new and creative ways that foster their own change and Although Allport emphasized conscious motivation more
growth. He called his study of the individual morphogenic than any other personality theorist, he did not completely
science and contrasted it with traditional nomothetic overlook the possible influence of unconscious motives on
methods. pathological behaviors. Most people, however, are aware of
what they are doing and why they are doing it.
IV. Personality Defined
Allport defined personality as "the dynamic organization VII. The Psychologically Healthy Personality
within the individual Allport believed that people are motivated by both the need
of those psychophysical systems that determine his to adjust to their environment and to grow toward
characteristic behavior psychological health; that is, people are both reactive and
and thought." proactive. Nevertheless, psychologically healthy persons
are more likely to engage in proactive behaviors. Allport
V. Structure of Personality listed six criteria for psychological health: (1) an extension
According to Allport, the basic units of personality are of the sense of self, (2) warm relationships with others, (3)
personal dispositions and emotional security or self-acceptance, (4) a realistic view of
the proprium. the world, (5) insight and humor, and (6) a unifying
A. Personal Dispositions philosophy of life.
Allport distinguished between common traits, which permit
inter-individual comparisons, and personal dispositions, VIII. The Study of the Individual
which are peculiar to the individual. He recognized three Allport strongly felt that psychology should develop and use
overlapping levels of personal dispositions, the most research methods that study the individual rather than
general of which are cardinal dispositions that are so groups.
obvious and dominating that they can not be hidden from
other people. Not everyone has a cardinal disposition, but A. Morphogenic Science
all people have 5 to 10 central dispositions, or Traditional psychology relies on nomothetic science, which
characteristics around which their lives revolve. In addition, seeks general laws from
everyone has a great number of secondary dispositions, a study of groups of people, but Allport used idiographic or
which are less reliable and less conspicuous than central morphogenic procedures that study the single case. Unlike
traits. Allport further divided personal dispositions into (1) many psychologists, Allport was willing to accept self-
motivational dispositions, which are strong enough to reports at face value.
initiate action and (2) stylistic dispositions, which refer to B. The Diaries of Marion Taylor
the manner in which an individual behaves and which guide In the late 1930's, Allport and his wife became acquainted
rather than initiate action. with diaries written
B. Proprium by woman they called Marion Taylor. These diaries-along
with descriptions of Marion Taylor by her mother, younger free choice, optimism, and teleology, and about average on
sister, favorite teacher, friends, and a neighbor-provided social influences.
the Allports with a large quantity of material that could
be studied using morphogenic methods. However, the
Allports never published
this material.
C. Letters from Jenny
Even though Allport never published data from Marion
Taylor's dairies, he did publish a second case study-that of
Jenny Gove Masterson. Jenny had written a series of 301
letters to Gordon and Ada Allport, whose son had been a
roommate of Jenny's son. Two of Gordon Allport's
students, Alfred Baldwin and Jeffrey Paige used a personal
structure analysis and factor analysis respectively, while
Allport used a commonsense approach to discern Jenny's
personality structure as revealed by her letters. All three
approaches yielded similar results, which suggests that
morphogenic studies can be reliable.

IX. Related Research

Allport believed that a deep religious commitment was a
mark of a mature person, but he also saw that many
regular churchgoers did not have a mature religious
orientation and were capable of deep racial and social
prejudice. In other words, he saw a curvilinear relationship
between church attendance and prejudice.
A. The Religious Orientation Scale
This insight led Allport to develop and use the Religious
Orientation Scale to assess both an intrinsic orientation and
an extrinsic orientation toward religion. Allport and Ross
found that people with an extrinsic orientation toward
religion tend to be quite prejudiced, whereas those with an
intrinsic orientation tend to be low on racial and social
prejudice.
B. Religious Orientation and Psychological Health
Research has found that people who score high on the
Intrinsic scale of the ROS tend to have overall better
personal functioning than those who score high on the
Extrinsic scale. In general, these studies have found that
some highly religious people have strong psychological
health whereas others suffer from a variety of psychological
disorders. The principal difference between the two groups
is one of intrinsic or extrinsic religious orientation; that is,
people with an intrinsic orientation tend to be
psychologically healthy, but those with an extrinsic
orientation suffer from poor psychological health.

X. Critique of Allport
Allport has written eloquently about personality, but his
views are based more on philosophical speculation and
common sense than on scientific studies. As a
consequence, his theory is very narrow, being limited
mostly to a model of human motivation. Thus, it rates low
on its ability to organize psychological data and to be
falsified. It rates high on parsimony and internal
consistency and about average on its ability to generate
research and to help the practitioner.

XI. Concept of Humanity

Allport saw people as thinking, proactive, purposeful beings
who are generally aware of what they are doing and why.
On the six dimensions for a concept of humanity, Allport
rates higher than any other theorist on conscious influences
and on the uniqueness of the individual. He rates high on
SUMMARY OUTLINE this is Kelly's construction corollary. (2) The individuality
corollary states that because people have different
I. Overview of Kelly's Personal Construct Theory experiences, they can construe the same event in
Kelly's theory of personal constructs can be seen as a different ways. (3) The organization corollary assumes
metatheory, or a theory about theories. It holds that that people organize their personal constructs in a
people anticipate events by the meanings or hierarchical system, with some constructs in a
interpretations that they place on those events. Kelly superordinate position and others subordinate to them.
called these interpretations personal constructs. His (4) The dichotomy corollary assumes that people
philosophical position, called constructive alternativism, construe events in an either/or manner, e.g., good or
assumes that alternative interpretations are always bad. (5) Kelly's choice corollary assumes that people
available to people. tend to choose the alternative in a dichotomized
construct that they see as extending the range of their
II. Biography of George Kelly future choices. (6) The range corollary states that
constructs are limited to a particular range of
George Kelly was born on a farm in Kansas in 1905.
convenience; that is, they are not relevant to all
During his school years and his early professional
career, he dabbled in a wide variety of jobs, but he situations. (7) Kelly's experience corollary suggests that
eventually received a Ph.D. in psychology from the State people continually revise their personal constructs as the
result of their experiences. (8) The modulation corollary
University of Iowa. He began his academic career at
assumes that only permeable constructs lead to change;
Fort Hays State College in Kansas, then after World War
concrete constructs resist modification through
II, he took a position at Ohio State. He remained there
experience. (9) The fragmentation corollary states that
until 1965 when he joined the faculty at Brandeis. He
died two years later at age 61. people's behavior can be inconsistent because their
construct systems can readily admit incompatible
elements. (10) The commonality corollary suggests that
III. Kelly's Philosophical Position our personal constructs tend to be similar to the
Kelly believed that people construe events according to construction systems of other people to the extent that
their personal constructs rather than reality. we share experiences with them. (11) The sociality
A. Person as Scientist corollary states that people are able to communicate
People generally attempt to solve everyday problems in with other people because they can construe those
much the same fashion as scientists; that is, they people's constructions. With the sociality corollary, Kelly
observe, ask questions, formulate hypotheses, infer introduced the concept of role, which refers to a pattern
conclusions, and predict future events. of behavior that stems from people's understanding of
B. Scientist as Person the constructs of others. Each of us has a core role and
Because scientists are people, their pronouncements numerous peripheral roles. A core role gives us a sense
should be regarded with the same skepticism as any of identity whereas peripheral roles are less central to
other data. Every scientific theory can be viewed from an our self-concept.
alternate angle, and every competent scientist should be
open to changing his or her theory.
V. Applications of Personal Construct Theory
C. Constructive Alternativism
Kelly believed that all our interpretations of the world are Kelly's many years of clinical experience enabled him to
evolve concepts of abnormal development and
subject to revision or replacement, an assumption he
psychotherapy, and to develop a Role Construct
called constructive alternativism. He further stressed
Repertory (Rep) Test.
that, because people can construe their world from
A. Abnormal Development
different angles, observations that are valid at one time
may be false at a later time. Kelly saw normal people as analogous to competent
scientists who test reasonable hypotheses, objectively
view the results, and willingly change their theories when
IV. Personal Constructs the data warrant it. Similarly, unhealthy people are like
Kelly believed that people look at their world through incompetent scientists who test unreasonable
templates that they create and then attempt to fit over hypotheses, reject or distort legitimate results, and
the realities of the world. He called these templates or refuse to amend outdated theories. Kelly identified four
transparent patterns personal constructs, which he common elements in most human disturbances: (1)
believed shape behavior. threat, or the perception that one's basic constructs may
A. Basic Postulate be drastically changed; (2) fear, which requires an
Kelly expressed his theory in one basic postulate and 11 incidental rather than a comprehensive restructuring of
supporting corollaries. The basic postulate assumes that one's construct system; (3) anxiety, or the recognition
human behavior is shaped by the way people anticipate that one cannot adequately deal with a new situation;
the future. and (4) guilt, defined as "the sense of having lost one's
B. Supporting Corollaries core role structure."
The 11 supporting corollaries can all be inferred from B. Psychotherapy
this basic postulate: Kelly insisted that clients should set their own goals for
(1) Although no two events are exactly alike, we therapy and that they should be active participants in the
construe similar events as if they were the same, and therapeutic process. He sometimes used a procedure
called fixed-role therapy in which clients act out a
predetermined role for several weeks. By playing the
part of a psychologically healthy person, clients may
discover previously hidden aspects of themselves.
C. The Rep Test
The purpose of the Rep test is to discover ways in which
clients construe significant people in their lives. Clients
place names of people they know on
a repertory grid in order to identify both similarities and
differences among
these people.

VI. Related Research

Kelly's personal construct theory and his Rep test have
generated a substantial amount of empirical research in
both the United States and the United Kingdom.
A. The Rep Test and Children
Use of the Rep test with children reveals that the self-
constructs of depressed adolescents are marked by low
self-esteem, pessimism, and an external locus of
control. Other research with children and the Rep test
shows that preadolescents construe themselves and
others in ways consistent with the Big Five personality
factors (extraversion, agreeableness,
conscientiousness, emotional stability, and intelligence),
thus demonstrating that the Big Five factors can come
from instruments other than standard personality tests.
B. The Rep Test and the Real Self Versus the Ideal Self
Other research has found that the Rep test was useful in
(1) predicting adherence to a physical activity program,
(2) detecting differences between the real self and the
ideal self, and (3) measuring neuroticism.
C. The Rep Test and the Pain Patient
A number of studies, including the Large and Strong
(1997) study, have found that the Rep test can be a
reliable and valid instrument for measuring pain.

VII. Critique of Kelly

Kelly's theory probably is most applicable to relatively
normal, intelligent people. Unfortunately, it pays scant
attention to problems of motivation, development, and
cultural influences. On the six criteria of a useful theory,
it rates very high on parsimony and internal consistency
and about average on its ability to generate research.
However, it rates low on its ability to be falsified, to guide
the practitioner, and to organize knowledge.

VIII. Concept of Humanity

Kelly saw people as anticipating the future and living
their lives in accordance with those anticipations. His
concept of elaborative choice suggests that people
increase their range of future choices by the present
choices they freely make. Thus, Kelly's theory rates very
high in teleology and high in choice and optimism. In
addition, it receives high ratings for conscious influences
and for its emphasis on the uniqueness of the individual.
Finally, personal construct theory is about average on
social influences.
SUMMARY OUTLINE People are aware of both their self-concept and their
ideal self, although awareness need not be accurate or
I. Overview of Rogers's Person-Centered Theory at a high level. Rogers saw people as having
Although Carl Rogers is best known as the founder of experiences on three levels of awareness: (1) those that
client-centered therapy, he also developed an important are symbolized below the threshold of awareness and
theory of personality that underscores his approach are either ignored or denied, that is, subceived, or not
to therapy. allowed into the self-concept; (2) those that are distorted
or reshaped to fit it into an existing self-concept; and (3)
those that are consistent with the self-concept and thus
II. Biography of Carl Rogers are accurately symbolized and freely admitted to the
Carl Rogers was born into a devoutly religious family in self-structure. Any experience not consistent with the
self-concept-even positive experiences-will be distorted
a Chicago suburb in 1902. After the family moved to a
or denied.
farm near Chicago, Carl became interested in scientific
D. Needs
farming and learned to appreciate the scientific method.
The two basic human needs are maintenance and
When he graduated from the University of Wisconsin,
Rogers intended to become a minister, but he gave up enhancement, but people also need positive regard and
that notion and completed a Ph.D. in psychology from self-regard. Maintenance needs include those for food,
air, and safety, but they also include our tendency to
Columbia University in 1931. In 1940, after nearly a
resist change and to maintain our self-concept as it is.
dozen years away from an academic life working as a
Enhancement needs include needs to grow and to
clinician, he took a position at Ohio State University.
realize one's full human potential. As awareness of self
Later, he held positions at the University of Chicago and
the University of Wisconsin. In 1964, he moved to emerges, an infant begins to receive positive regard
California where he helped found the Center for Studies from another person-that is, to be loved or accepted.
People naturally value those experiences that satisfy
of the Person. He died in 1987 at age 85.
their needs for positive regard, but, unfortunately, this
value sometimes becomes more powerful than the
III. Person-Centered Theory reward they receive for meeting their organismic needs.
Rogers carefully crafted his person-centered theory of This sets up the condition of incongruence, which is
personality to meet his experienced when basic organismic needs are denied or
own demands for a structural model that could explain distorted in favor of needs to be loved or accepted. As a
and predict outcomes of client-centered therapy. result of experiences with positive regard, people
However, the theory has implications far beyond the develop the need for self-regard, which they acquire
therapeutic setting. only after they perceive that someone else cares for
A. Basic Assumptions them and values them. Once established, however, self-
Person-centered theory rests on two basic assumptions: regard becomes autonomous and no longer dependent
(1) the formative tendency, which states that all matter, on another's continuous positive evaluation.
both organic and inorganic, tends to evolve from simpler E. Conditions of Worth
to more complex forms, and (2) an actualizing tendency, Most people are not unconditionally accepted. Instead,
which suggests that all living things, including humans, they receive conditions of worth; that is, they feel that
tend to move toward completion, or fulfillment of they are loved and accepted only when and if they meet
potentials. However, in order for people (or plants and the conditions set by others.
animals) F. Psychological Stagnation
to become actualized, certain identifiable conditions When the organismic self and the self-concept are at
must be present. For a person, these conditions include variance with one another, a person may experience
a relationship with another person who is genuine, incongruence, which includes vulnerability, threat,
or congruent, and who demonstrates complete defensiveness, and even disorganization. The greater
acceptance and empathy for the incongruence between self-concept and the
that person. organismic experience, the more vulnerable that person
B. The Self and Self-Actualization becomes. Anxiety exists whenever the person becomes
A sense of self or personal identity begins to emerge dimly aware of the discrepancy between organismic
during infancy, and, once established, it allows a person experience and self-concept, whereas threat is
to strive toward self-actualization, which is a subsystem experienced whenever the person becomes more clearly
of the actualization tendency and refers to the tendency aware of this incongruence. To prevent incongruence,
to actualize the self as perceived in awareness. The self people react with defensiveness, typically in the forms of
has two subsystems: (1) the self-concept, which distortion and denial. With distortion, people misinterpret
includes all those aspects of one's identity that are an experience so that it fits into their self-concept; with
perceived in awareness, and (2) the ideal self, or our denial, people refuse to allow the experience into
view of our self as we would like to be or aspire to be. awareness. When people's defenses fail to operate
Once formed, the self concept tends to resist change, properly, their behavior becomes disorganized or
and gaps between it and the ideal self result in psychotic. With disorganization, people sometimes
incongruence and various levels of psychopathology. behave consistently with their organismic experience
C. Awareness
and sometimes in accordance with their shattered self- more integrated with no artificial boundaries between
concept. conscious and unconscious processes, (6) has a basic
trust of human nature, and (7) enjoys a greater richness
IV. Psychotherapy in life. The factors have implications both for the
For client-centered psychotherapy to be effective, individual and for society.
certain conditions are necessary: A vulnerable client
must have contact of some duration with a counselor VI. Philosophy of Science
who is congruent, and who demonstrates unconditional Rogers agreed with Maslow that scientists must care
positive regard and listens with empathy to a client. The about and be involved in the phenomena they study and
client must in turn perceive the congruence, that psychologists should limit their objectivity and
unconditional positive regard, and empathy of the precision to their methodology, not to the creation of
therapist. If these conditions are present, then the hypotheses or to the communication of research
process of therapy will take place and certain predictable findings.
outcomes will result.
A. Conditions VII. The Chicago Study
Three conditions are crucial to client-centered therapy, When he taught at the University of Chicago, Rogers,
and Rogers called them the necessary and sufficient along with colleagues and graduate students, conducted
conditions for therapeutic growth. The first is counselor a sophisticated and complex study on the effectiveness
congruence, or a therapist whose organismic of psychotherapy.
experiences are matched by an awareness and by the A. Hypotheses
ability and willingness to openly express these feelings. This study tested four broad hypotheses. As a
Congruence is more basic than the other two conditions consequence of therapy (1) clients will become more
because it is a relatively stable characteristic of the aware of their feelings and experiences, (2) the gap
therapist, whereas the other two conditions are limited to between the real self and the ideal self will lessen; (3)
a specific therapeutic relationship. Unconditional positive clients' behavior will become more socialized and
regard exists when the therapist accepts the client mature; and (4) clients will become both more self-
without conditions or qualifications. Empathic listening is accepting and more accepting of others.
the therapist's ability to sense the feelings of a client and B. Method
also to communicate these perceptions so that the client Participants were adults who sought therapy at the
knows that another person has entered into his or her University of Chicago counseling center. Experimenters
world of feelings without prejudice, projection, or asked half of them to wait 60 days before receiving
evaluation. therapy while beginning therapy with the other half. In
B. Process addition, they tested a control group of "normals" who
Rogers saw the process of therapeutic change as taking were matched with the therapy group. This control group
place in seven stages: was also divided into a wait group and a non-wait
(1) clients are unwilling to communicate anything about group.
themselves; (2) they discuss only external events and C. Findings
other people; (3) they begin to talk about themselves, Rogers and his associates found that the therapy group-
but still as an object; (4) they discuss strong emotions but not the wait group-showed a lessening of the gap
that they have felt in the past; (5) they begin to express between real self and ideal self. They also found that
present feelings; (6) they freely allow into awareness clients who improved during therapy-but not those rated
those experiences that were previously denied or as least improved-showed changes in social behavior,
distorted; and as noted by friends.
(7) they experience irreversible change and growth. D. Summary of Results
C. Outcomes Although client-centered therapy was successful in
When client-centered therapy is successful, clients changing clients, it was not successful in bringing them
become more congruent, less defensive, more open to to the level of the fully functioning persons or even
experience, and more realistic. The gap between their to the level of "normal" psychological health.
ideal self and their true self narrows and, as a
consequence, clients experience less physiological and VIII. Related Research
psychological tension. Finally, clients' interpersonal More recently, other researchers have investigated
relationships improve because they are more accepting
Rogers's facilitative conditions both outside therapy and
of self and others.
within therapy.
A. Facilitative Conditions Outside Therapy
V. The Person of Tomorrow In the United Kingdom, Duncan Cramer has conducted
Rogers was vitally interested in the psychologically a series of studies investigating the therapeutic qualities
healthy person, called the "fully functioning person" or of Rogers's facilitative conditions in interpersonal
the "person of tomorrow." Rogers listed seven relationships outside of therapy. Cramer found positive
characteristics of the person of tomorrow. The person of relationships between self-esteem, as measured by the
tomorrow (1) is able to adjust to change, (2) is open to Rosenberg Self-Esteem Scale, and the
experience, (3) is able to live fully in the moment, (4) is four facilitative conditions that make up the Barrett-
able to have harmonious relations with others, (5) is Lennard Relationship Inventory-level of regard,
unconditionality of regard, congruence, and empathy.
Moreover, the direction of the relationship strongly
suggested that Rogers's facilitative conditions precede
the acquisition of higher levels of self-esteem.
B. Facilitative Conditions and Couples Therapy
In Belgium, Alfons Vansteenwegen (1996) used a
revised form of the Barrett-Lennard to determine if
Rogers's facilitative conditions related to success during
couples therapy. He found that client-centered couples
therapy can bring about positive changes in couples,
and that some of these changes lasted for at least seven
years after therapy.

IX. Critique of Rogers

Rogers's person-centered theory is one of the most
carefully constructed of all personality theories, and it
meets quite well each of the six criteria of a useful
theory. It rates very high on internal consistency and
parsimony, high on its ability to be falsified and to
generate research, and high-average on its ability to
organize knowledge and to serve as a guide to the
practitioner.

X. Concept of Humanity
Rogers believed that humans have the capacity to
change and grow-provided that certain necessary and
sufficient conditions are present. Therefore, his theory
rates very high on optimism. In addition, it rates high on
free choice, teleology, conscious motivation, social
influences, and the uniqueness of the individual.
SUMMARY OUTLINE people who are denied knowledge and kept in ignorance
become sick, paranoid, and depressed.
I. Overview of Maslow's Holistic-Dynamic Theory D. Neurotic Needs
Abraham Maslow's holistic-dynamic theory holds that With each of the above three dimensions of needs,
people are continually motivated by one or more needs, physical or psychological illness results when the needs
and that, under the proper circumstances, they can are not satisfied. Neurotic needs, however,
reach a level of psychological health called self- lead to pathology regardless of whether they are
actualization. satisfied or not. Neurotic needs include such motives as
a desire to dominate, to inflict pain, or to subject oneself
II. Biography of Abraham H. Maslow to the will of another person. Neurotic needs are
Abraham H. Maslow was born in New York in 1908, the nonproductive and do not
foster health.
oldest of seven children of Russian Jewish immigrants.
E. General Discussion of Needs
After two or three mediocre years as a college student,
Maslow believed that most people satisfy lower level
his work improved at about the time he was married. He
needs to a greater extent than they do higher levels
received both a bachelor's degree and a Ph.D. from the
University of Wisconsin where he worked with Harry needs, and that the greater the satisfaction of one need,
Harlow conducting animal studies. Most of his the more fully the next highest need is likely to emerge.
In certain rare cases, the order of needs might be
professional career was spent at Brooklyn College and
reversed. For example, a starving mother may be
at Brandeis University. Poor health forced him to move
motivated by love needs to give up food in order to feed
to California where he died in 1970 at age 62.
her starving children. However, if we understood the
unconscious motivation behind many apparent
III. Maslow's View of Motivation reversals, we would see that they are not genuine
Maslow's theory rests on five basic assumptions about reversals at all. Thus, Maslow insisted that much of our
motivation: (1) the whole organism is motivated at any surface behavior is actually motivated by more basic and
one time; (2) motivation is complex, and unconscious often unconscious needs. Maslow also believed that
motives often underlie behavior; (3) people are some expressive behaviors are unmotivated, even
continually motivated by one need or another; (4) people though all behaviors have a cause. Expressive behavior
in different cultures are all motivated by the same basic has no aim or goal but is merely a person's mode of
needs; and (5) needs can be arranged on a hierarchy. expression. In comparison, coping behaviors (which are
A. Hierarchy of Needs motivated) deal with a person's attempt to cope with the
Maslow held that lower level needs have prepotency environment. The conative needs ordinarily call forth
over higher level needs; that is, they must be satisfied coping behaviors. Deprivation of any of the needs leads
before higher needs become motivators. Maslow's to pathology of some sort. For example, people's
hierarchy includes (1) physiological needs, such as inability to reach self-actualization results in
oxygen, food, water, and so on; (2) safety needs, which metapathology, defined as an absence of values, a lack
include physical security, stability, dependency, of fulfillment, and a loss of meaning in life. Maslow
protection, and freedom from danger, and which result in suggested that instinctoid needs are innately determined
basic anxiety if not satisfied; (3) love and belongingness even though they can be modified by learning. Maslow
needs, including the desire for friendship, the wish for a also believed that higher level needs (love, esteem, and
mate and children, and the need to belong; (4) esteem self-actualization) are later on the evolutionary scale
needs, which follow from the satisfaction of love needs than lower level needs and that they produce more
and which include self-confidence and the recognition genuine happiness and more peak experiences.
that one has a positive reputation; and (5) self-
actualization needs, which are satisfied only by the
IV. Self-Actualization
psychologically healthiest people. Unlike other needs
Maslow believed that a very small percentage of people
that automatically are activated when lower needs are
reach an ultimate level of psychological health called
met, self-actualization needs do not inevitably follow the
self-actualization.
satisfaction of esteem needs. Only by embracing such
A. Values of Self-Actualizers
B-values as truth, beauty, oneness, and justice, can
people achieve self-actualization. The five needs on Maslow held that self-actualizers are metamotivated by
Maslow's hierarchy are conative needs. Other needs such B-values as truth, goodness, beauty, justice, and
simplicity.
include aesthetic needs, cognitive needs, and neurotic
B. Criteria for Self-Actualization
needs.
Four criteria must be met before a person achieves self-
B. Aesthetic Needs
actualization: (1) absence of psychopathology, (2)
Aesthetic needs include a desire for beauty and order,
and some people have much stronger aesthetic needs satisfaction of each of the four lower level needs,
(3) acceptance of the B-values, and (4) full realization of
than do others. When people fail to meet their aesthetic
one's potentials
needs, they become sick.
for growth.
C. Cognitive Needs
C. Characteristics of Self-Actualizing People
Cognitive needs include the desire to know, to
understand, and to be curious. Knowledge is a Maslow listed 15 qualities that characterize self-
prerequisite for each of the five conative needs. Also, actualizing people, although not all self-actualizers
possess each of the characteristics to the same extent. syndrome. He continued this process until he was
These characteristics are (1) more efficient perception of satisfied that he had a clear definition of self-
reality, meaning that self-actualizers often have an actualization. Other researchers have developed
almost uncanny ability to detect phoniness in others, personality inventories for measuring self actualization.
and they are not fooled by sham; (2) acceptance of self, The most widely used of these is Everett Shostrom's
others, and nature; (3) spontaneity, simplicity, and Personal Orientation Inventory (POI), a 150-item forced-
naturalness, meaning that self-actualizers have no need choice inventory that assesses a variety
to appear complex or sophisticated; (4) problem- of self-actualization facets.
centered which is the ability to view age-old problems
from a solid philosophical position; VII. The Jonah Complex
(5) the need for privacy, or a detachment that allows Because humans are born with a natural tendency to
self-actualizing people to be alone without being lonely; move toward psychological health, any failure to reach
(6) autonomy, meaning that they no longer are self-actualization can technically be called abnormal
dependent on other people for their self-esteem; (7) development. One such abnormal syndrome is the
continued freshness of appreciation and the ability to Jonah complex, or fear of being or doing one's best, a
view everyday things with a fresh vision and condition that all of us have to some extent. Maslow
appreciation; (8) frequent reports of peak experiences, believed that many people allow false humility to stifle
or those mystical experiences that give a person a their creativity, which causes them to fall short of self-
sense of transcendence and feelings of awe, wonder, actualization.
ecstasy, reverence, and humility; (9)
Gemeinschaftsgefühl, that is, social interest or a deep VIII. Psychotherapy
feeling of oneness with all humanity; (10) profound The hierarchy of needs concept has obvious
interpersonal relations, but with no desperate need to ramifications for psychotherapy. Most people who seek
have a multitude of friends; (11) the democratic
psychotherapy probably do so because they have not
character structure, or the ability to disregard superficial
adequately satisfied their love and belongingness
differences between people; (12) discrimination between
needs. This suggests that much of therapy should
means and ends, meaning that self-actualizing people
involve a productive human relationship and that the job
have a clear sense of right of
and wrong, and they experience little conflict about basic a therapist is to help clients satisfy love and
values; (13) a philosophical sense of humor that is
belongingness needs.
spontaneous, unplanned, and intrinsic
to the situation; (14) creativeness, with a keen
perception of truth, beauty,
and reality; (15) resistance to enculturation, or the ability IX. Related Research
to set personal standards and to resist the mold set by Researchers have investigated Maslow's concept of
culture. self-actualization in many divergence settings and for a
D. Love, Sex, and Self-Actualization variety of purposes.
Maslow compared D-love (deficiency love) to B-love A. Self-Actualization and Intimate Interpersonal
(love for being or essence of another person). Self- Relations
actualizing people are capable of B-love because they Michael Sheffield and his colleagues used the POI as a
can love without expecting something in return. B-love is measure of self-actualization and found that high scores
mutually felt and shared and not based on deficiencies on the POI were inversely related
within the lovers. to interpersonal relations. More specifically, people who
approached self-actualization tended to be self-
motivated, accepted feelings of aggression, and were
able to sustain intimacy.
V. Philosophy of Science
B. Self-Actualization and Creativity
Maslow criticized traditional science as being value free,
Mark Runco and his colleagues used the Short Index of
with a methodology that is sterile and nonemotional. He
Self-Actualization to assess self-actualization and found
argued for a Taoistic attitude for psychology in which
a positive relationship between self-actualization scores
psychologists are willing to resacralize their science, or and two measures of creativity. Although the
to instill it with human values and to view participants relationships were not strong, they suggest that, as
with awe, joy, wonder, rapture, and ritual.
Maslow's hypothesized, creativity is at least partly
related to self-actualization.
VI. Measuring Self-Actualization C. Self-Actualization and Self-Acceptance
Maslow's method for measuring self-actualization were Some researchers have tested Maslow's assumption
consistent with his philosophy of science. He began his that self-actualizing people accept themselves. One
study of self-actualizing people with little evidence that study (Sumerlin & Bundrick, 2000) with African-
such a classification of people even existed. He looked American businessmen found that those who scored
at healthy people, learned what they had in common, high on self-actualization tended to have increased
and then established a syndrome for psychological happiness and self-fulfillment. Another study by William
health. Next, he refined the definition of self- Compton and his colleagues found that self-actualization
actualization, studied other people, and changed the
related to openness to experience and to seeking out
new and exciting experiences.

X. Critique of Maslow
Maslow's theory has been popular in psychology and
other disciplines, such as management, nursing, and
education. The hierarchy of needs concept seems both
elementary and logical, which gives Maslow's theory the
illusion of simplicity. However, the theory is somewhat
complex, with four dimensions of needs and the
possibility of unconsciously motivated behavior. As a
scientific theory, Maslow's model rates high in
generating research but low in falsifiability. On its ability
to organize knowledge and guide action, the theory
rates quite high; on its simplicity and internal
consistency, it rates only average.

XI. Concept of Humanity

Maslow believed that people are structured in such a
way that their activated needs are exactly what they
want most. Hungry people desire food, frightened
people look for safety, and so forth. Although he was
generally optimistic and hopeful, Maslow saw that
people are capable of great evil and destruction. He
believed that as a species, humans are becoming more
and more fully human and motivated by higher level
needs. In summary, Maslow's view of humanity rates
high on free choice, optimism, teleology, and
uniqueness and about average on social influences.
 IV. The Case of Philip
Rollo May helped illustrate his notion of existentialism
SUMMARY OUTLINE with the case of Philip, a successful architect in his mid-
50s. Despite his apparent success, Philip experienced
I. Overview of May's Existential Theory severe anxiety when his relationship with Nicole (a writer
Existential psychology began in Europe shortly after in her mid-40s) took a puzzling turn. Uncertain of his
future and suffering from low self-esteem, Philip went
World War II and spread to the United States, where
into therapy with Rollo May. Eventually, Philip was able
Rollo May played a large part in popularizing it. A clinical
to understand that his difficulties with women were
psychologist by training, May took the view that modern
related to his early experiences with a mother who was
people frequently run away both from making choices
and from assuming responsibility. unpredictable and an older sister who suffered from
severe mental disorders. However, he began to recover
only after he accepted that his "need" to take care of
II. Biography of Rollo May unpredictable Nicole was merely part of his personal
Rollo May was born in Ohio in 1909, but grew up in history with unstable women.
Michigan. After graduating from Oberlin College in 1930,
he spent three years roaming throughout eastern and
V. Anxiety
southern Europe as an itinerant artist. When he returned
People experience anxiety when they become aware
to the United States, he entered the Union Theological
that their existence or something identified with it might
Seminary, from which he received a Master of Divinity
be destroyed. The acquisition of freedom inevitably
degree. He then served for two years as a pastor, but
quit in order to pursue a career in psychology. He leads to anxiety, which can be either pleasurable and
received a Ph.D. in clinical psychology from Columbia in constructive or painful and destructive.
A. Normal Anxiety
1949 at the age of 40. During his professional career, he
Growth produces normal anxiety, defined as that which
served as lecturer or visiting professor at a number of
is proportionate to the threat, does not involve
universities, conducted a private practice as a
repression, and can be handled on a conscious level.
psychotherapist, and wrote a number of popular books
on the human condition. May died in 1994 at age 85. B. Neurotic Anxiety
Neurotic anxiety is a reaction that is disproportionate to
the threat and that leads to repression and defensive
III. Background of Existentialism behaviors. It is felt whenever one's values are
Søren Kierkegaard, the Danish philosopher and transformed into dogma. Neurotic anxiety blocks growth
theologian, is usually considered to be the founder of and productive action.
modern existentialism. Like later existentialists, he
emphasized a balance between freedom and
VI. Guilt
responsibility. People acquire freedom of action by
Guilt arises whenever people deny their potentialities,
expanding their self-awareness and by assuming
fail to accurately perceive the needs of others, or remain
responsibility for their actions. However, this acquisition
of freedom and responsibility is achieved at the expense blind to their dependence on the natural world. Both
of anxiety and dread. anxiety and guilt are ontological; that is, they refer to the
nature of being and not to feelings arising from specific
A. What Is Existentialism?
situations.
The first tenet of existentialism is that existence take
precedence over essence, meaning that process and
growth are more important than product and stagnation. VII. Intentionality
Second, existentialists oppose the artificial split between The structure that gives meaning to experience and
subject and object. Third, they stress people's search for allows people to make decisions about the future is
meaning in their lives. Fourth, they insist that each of us called intentionality. May believed that intentionality
is responsible for who we are and what we will become. permits people to overcome the dichotomy between
Fifth, most take an antitheoretical position, believing that subject and object, because it
theories tend to objectify people. enables them to see that their intentions are a function
B. Basic Concepts of both themselves and
According to existentialists, a basic unity exists between their environment.
people and their environments, a unity expressed by the
term Dasein, or being-in-the-world. Three simultaneous VIII. Care, Love, and Will
modes of the world characterize us in our Dasein: Care is an active process that suggests that things
Umwelt, or the environment around us; Mitwelt, or our matter. Love means to care, to delight in the presence of
world with other people; and Eigenwelt, or our another person, and to affirm that person's value as
relationship with our self. People are both aware of much as one's own. Care is also an important ingredient
themselves as living beings and also aware of the in will, defined as a conscious commitment to action.
possibility of nonbeing or nothingness. Death
is the most obvious form of nonbeing, which can also be A. Union of Love and Will
experienced as retreat May believed that our modern society has lost sight of
from life's experiences. the true nature of love and will, equating love with sex
and will with will power. He further held that and hostility toward the other, independence in one's
psychologically healthy people are able to combine love search for identity, and,
and will because both imply care, choice, action, and finally, death.
responsibility.
B. Forms of Love XI. Psychopathology
May identified four kinds of love in Western tradition: May saw apathy and emptiness-not anxiety and guilt-as
sex, eros, philia, and agape. May believed that the chief existential disorders of our time. People have
Americans no longer view sex as a natural biological become alienated from the natural world (Umwelt), from
function, but have become preoccupied with it to the other people (Mitwelt), and from themselves (Eigenwelt).
point of trivialization. Eros is a psychological desire that Psychopathology is a lack of connectedness and an
seeks an enduring union with a loved one. It may inability to fulfill one's destiny.
include sex, but it is built on care and tenderness. Philia,
an intimate nonsexual friendship between two people, XII. Psychotherapy
takes time to develop and does not depend on the
The goal of May's psychotherapy was not to cure
actions of the other person. Agape is an altruistic or
patients of any specific disorder, but to make them more
spiritual love that carries with it the risk of playing God. fully human. May said that the purpose of psychotherapy
Agape is undeserved and unconditional. is to set people free, to allow them to make choices and
to assume responsibility for those choices.
IX. Freedom and Destiny
Psychologically healthy individuals are comfortable with XIII. Related Research
freedom, able to assume responsibility for their choices, May's theory of personality does not lend itself to easily
and willing to face their destiny. testable hypotheses,
A. Freedom Defined
and, therefore, it has not generated much research.
Freedom comes from an understanding of our destiny.
Nevertheless, Jeff Greenberg
We are free when we recognize that death is a
and his colleagues have investigated the concept of
possibility at any moment and when we are willing to
terror management, which is based on the notion of
experience changes, even in the face of not knowing existential anxiety. In general, Greenberg's findings are
what those changes will bring. consistent with May's definition of existential anxiety as
B. Forms of Freedom
an apprehension of threats to one's existence. However,
May recognized two forms of freedom: (1) freedom of
this research can also be explained by other
doing, or freedom of action, which he called existential
psychological theories.
freedom, and (2) freedom of being, or an inner freedom,
which he called essential freedom.
C. Destiny Defined
May defined destiny as "the design of the universe XIV. Critique of May
speaking through the design of each one of us." In other May's psychology has been legitimately criticized as
words, our destiny includes the limitations of our being antitheoretical and unjustly criticized as being anti-
environment and our personal qualities, including our intellectual. May's antitheoretical approach calls for a
mortality, gender, and genetic predispositions. Freedom new kind of science-one that considers uniqueness and
and destiny constitute a paradox, because freedom personal freedom as crucial concepts. However,
gains vitality from destiny, and destiny gains significance according to the criteria of present science, May's theory
from freedom. rates low on most standards. Currently, his theory is
D. Philip's Destiny very low on its
After some time in therapy, Philip was able to stop ability to generate research, to be falsified, and to guide
blaming his mother for not doing what he thought she action; low on internal consistency (because it lacks
should have done. The objective facts of his childhood operationally defined terms), average on parsimony, and
had not changed, but Philip's subjective perceptions high on its organizational powers due to its
had. As he came to terms with his destiny, Philip began consideration of a broad scope of the human condition.
to be able to express his anger, to feel less trapped in
his relationship with Nicole, and to become more aware XV. Concept of Humanity
of his possibilities. In other words, he gained his freedom May viewed people as complex beings, capable of both
of being. tremendous good and immense evil. People have
become alienated from the world, from other people,
X. The Power of Myth and, most of all, from themselves. On the dimensions of
According to May, the people of contemporary Western a concept of humanity, May rates high on free choice,
civilization have an urgent need for myths. Because they teleology, social influences, and uniqueness. On the
have lost many of their traditional myths, they turn to issue of conscious or unconscious forces, his theory
religious cults, drugs, and popular culture to fill the takes a middle position.
vacuum. The Oedipus myth has had a powerful effect on
our culture because it deals with such common
existential crises as birth, separation from parents,
sexual union with one parent