Personality Assessment and Theories(BEH/225)

Resources: Ch. 10 of Understanding Psychology

Complete the following test located at http://similarminds.com/jung_word.html

Write a 350- to 450-word summary of the personality assessment methods discussed in Ch. 10 of Understanding Psychology. You must include the following:

· A discussion of how personality assessments and personality theories correspond. In other words, identify which theories relate to which assessments

· Identification of the online test as either an objective or projective test. Discuss your opinion regarding the accuracy of this objective or projective type of test, and the test’s accuracy regarding your personality

Personality10

Enduring Issues in
Personality

Studying Personality

Psychodynamic Theories
• Sigmund Freud
• Carl Jung
• Alfred Adler
• Karen Horney
• Erik Erikson

• A Psychodynamic View of

Jaylene Smith

• Evaluating Psychodynamic
Theories

Humanistic Personality
Theories
• Carl Rogers
• A Humanistic View of

Jaylene Smith

• Evaluating Humanistic
Theories

Trait Theories
• The Big Five
• A Trait View of Jaylene Smith
• Evaluating Trait Theories
Cognitive–Social Learning
Theories
• Expectancies, Self-Efficacy,

and Locus of Control

• A Cognitive–Social Learning
View of Jaylene Smith

• Evaluating Cognitive–Social
Learning Theories

Personality Assessmen

• The Personal Interview
• Direct Observation
• Objective Tests
•

Projective Tests

O V E R V I E W

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Thirty-year-old Jaylene Smith is a talented physician whomeets with a psychologist because she is troubled by cer-tain aspects of her social life. Acquaintances describe Jay
in glowing terms, saying she is highly motivated, intelligent,
attractive, and charming. But Jay feels terribly insecure and
anxious. When the psychologist asked her to pick out some self-
descriptive adjectives, she selected “introverted,” “shy,” “inad-
equate,” and “unhappy.”

Jay was the firstborn in a family of two boys and one girl. Her
father is a quiet, gentle medical researcher. His work often allowed
him to study at home, so he had extensive contact with his children
when they were young. He loved all his children, but clearly
favored Jay. His ambitions and goals for her were extremely high;
and as she matured, he responded to her every need and demand
almost immediately and with full conviction. Their relationship
remains as close today as it was during Jay’s childhood.

Jay’s mother worked long hours away from home as a store
manager and consequently saw her children primarily at night
and on an occasional free weekend. When she came home,
Mrs. Smith was tired and had little energy for “nonessential”
interactions with her children. She had always been career ori-
ented, but she experienced considerable conflict and frustration
trying to reconcile her roles as mother, housekeeper, and finan-
cial provider. Mrs. Smith was usually amiable toward all her
children but tended to argue more with Jay, until the bickering
subsided when Jay was about 6 or 7 years of age. Today, their
relationship is cordial but lacks the closeness apparent
between Jay and Dr. Smith. Interactions between Dr. and Mrs.
Smith were sometimes marred by stormy outbursts over seem-
ingly trivial matters. These episodes were always followed by
periods of mutual silence lasting for days.

Jay was very jealous of her first brother, born when she
was 2 years old. Her parents recall that Jay sometimes staged

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temper tantrums when the new infant demanded and received a
lot of attention (especially from Mrs. Smith). The temper
tantrums intensified when Jay’s second brother was born, just 1
year later. As time passed, the brothers formed an alliance to try
to undermine Jay’s supreme position with their father. Jay only
became closer to her father, and her relationships with her
brothers were marked by greater-than-average jealousy and
rivalry from early childhood to the present.

Throughout elementary, junior high, and high school, Jay
was popular and did well academically. Early on, she decided on
a career in medicine. Yet, off and on between the ages of 8 and
17, she had strong feelings of loneliness, depression, insecurity,
and confusion—feelings common enough during this age period,
but stronger than in most youngsters and very distressing to Jay.

Jay’s college days were a period of great personal growth,
but several unsuccessful romantic involvements caused her
much pain. The failure to achieve a stable and long-lasting rela-
tionship persisted after college and troubled Jay greatly.
Although even-tempered in most circumstances, Jay often had
an explosive fit of anger that ended each important romantic
relationship that she had. “What is wrong with me?” she would
ask herself. “Why do I find it impossible to maintain a serious
relationship for any length of time?”

In medical school, her conflicts crept into her conscious-
ness periodically: “I don’t deserve to be a doctor”; “I won’t pass
my exams”; “Who am I, and what do I want from life?”

How can we describe and understand Jaylene Smith’s person-
ality? How did she become who she is? Why does she feel insecure
and uncertain despite her obvious success? Why do her friends
see her as charming and attractive, though she describes herself
as introverted and inadequate? These are the kinds of questions
that personality psychologists are likely to ask about Jay—and the
kinds of questions we will try to answer in this chapter.

ENDURING ISSUES IN PERSONALITY
As we explore the topic of personality in this chapter, the enduring issues that interest
psychologists emerge at several points. The very concept of personality implies that our
behavior differs in significant ways from that of other people (diversity–universality) and
that our behavior in part reflects our personality as opposed to the situations in which we
find ourselves (person–situation). We will also assess the extent to which personality is a
result of inheritance, rather than a reflection of life experiences (nature–nurture). Finally, we
will consider the extent to which personality changes as we grow older (stability–change).

STUDYING PERSONALITY
What do psychologists mean when they talk about personality?

Many psychologists define personality as an individual’s unique pattern of thoughts, feel-
ings, and behaviors that persists over time and across situations. There are two important
parts to this definition. On the one hand, personality refers to unique differences—those

L E A R N I N G O B J E C T I V E
• Define personality. Explain the

difference between describing
personality (in particular trait theory)
and understanding the causes of
personality (psychodynamic,
humanistic, and cognitive–social
learning theories).

personality An individual’s unique pattern of
thoughts, feelings, and behaviors that persists
over time and across situations.

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pleasure principle According to Freud, the
way in which the id seeks immediate
gratification of an instinct.

336 Chapter 10

aspects that distinguish a person from everyone else. On the other hand, the definition
asserts that personality is relatively stable and enduring—that these unique differences per-
sist through time and across situations.

Psychologists vary in their approach to the study of personality. Some set out to iden-
tify the most important characteristics of personality, whereas others seek to understand
why there are differences in personality. Among the latter group, some consider the family
to be the most important factor in personality development, whereas others emphasize the
importance of influences outside the family. Still others see personality as the product of
how we think about ourselves and our experiences. In this chapter, we explore representa-
tive theories of these various approaches. We see how each theoretical paradigm sheds light
on the personality of Jaylene Smith. Finally, we will evaluate the strengths and weaknesses
of each approach and will see how psychologists go about assessing personality.

PSYCHODYNAMIC THEORIES
What ideas do all psychodynamic theories have in common?

Psychodynamic theories see behavior as the product of internal psychological forces that
often operate outside our conscious awareness. Freud drew on the physics of his day to coin
the term psychodynamics: As thermodynamics is the study of heat and mechanical energy
and the way that one may be transformed into the other, psychodynamics is the study of
psychic energy and the way that it is transformed and expressed in behavior. Although psy-
chodynamic theorists disagree about the exact nature of this psychic energy, the following
five propositions are central to all psychodynamic theories and have withstood the tests of
time (Huprich & Keaschuk, 2006; Westen, 1998):

1. Much of mental life is unconscious; as a result, people may behave in ways that
they themselves do not understand.

2. Mental processes (such as emotions, motivations, and thoughts) operate in paral-
lel and thus may lead to conflicting feelings.

3. Not only do stable personality patterns begin to form in childhood, but early expe-
riences also strongly affect personality development.

4. Our mental representations of ourselves, of others, and of our relationships tend
to guide our interactions with other people.

5. Personality development involves learning to regulate sexual and aggressive feel-
ings as well as becoming socially interdependent rather than dependent.

Sigmund Freud
When Freud proposed that sexual instinct is the basis of behavior, how
was he defining “sexual instinct”?

To this day, Sigmund Freud (1856–1939) is the best known and most influential of the psy-
chodynamic theorists (Solms, 2004). As we saw in Chapter 1, “The Science of Psychology,”
Freud created an entirely new perspective on the study of human behavior. Up to his time,
the field of psychology had focused on thoughts and feelings of which we are aware. In a
radical departure, Freud stressed the unconscious—the ideas, thoughts, and feelings of
which we are not normally aware (Zwettler-Otte, 2008). Freud’s ideas form the basis of
psychoanalysis, a term that refers both to his particular psychodynamic theory of person-
ality and to the form of therapy that he invented.

According to Freud, human behavior is based on unconscious instincts, or drives. Some
instincts are aggressive and destructive; others, such as hunger, thirst, self-preservation, and
sex, are necessary to the survival of the individual and the species. Freud used the term
sexual instinct to refer not just to erotic sexuality, but to the craving for pleasure of all kinds.
He used the term libido for the energy generated by the sexual instinct. As we will see, Freud
regarded the sexual instinct as the most critical factor in the development of personality.

L E A R N I N G O B J E C T I V E S
• Describe the five propositions that

are central to all psychodynamic
personality theories.

• Describe Freud’s theory of personality,
including the concepts of sexual instinct,
libido, id, ego, superego, and pleasure
principle versus reality principle.
Summarize Freud’s stages of development
and the consequences of fixation at a
particular stage.

• Compare and contrast Freud’s theory, Carl
Jung’s theory, Adler’s theory, Horney’s
theory, and Erikson’s theory of personality.

• Explain how contemporary psychologists
view the contributions and limitations of
the psychodynamic perspective.

psychoanalysis The theory of personality
Freud developed, as well as the form of therapy
he invented.

unconscious In Freud’s theory, all the ideas,
thoughts, and feelings of which we are not and
normally cannot become aware.

libido According to Freud, the energy
generated by the sexual instinct.

id In Freud’s theory of personality, the
collection of unconscious urges and desires that
continually seek expression.

reality principle According to Freud, the way
in which the ego seeks to satisfy instinctual
demands safely and effectively in the real world.

ego Freud’s term for the part of the
personality that mediates between
environmental demands (reality), conscience
(superego), and instinctual needs (id); now
often used as a synonym for “self.”

superego According to Freud, the social and
parental standards the individual has
internalized; the conscience and the ego ideal.

ego ideal The part of the superego that consists
of standards of what one would like to be.

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Personality 337

How Personality is Structured Freud theorized that personality is formed around
three structures: the id, the ego, and the superego. The id is the only structure present at
birth and is completely unconscious. (See Figure 10–1.) Consisting of all the unconscious
urges and desires that continually seek expression, it operates according to the pleasure
principle—that is, it tries to obtain immediate pleasure and to avoid pain. As soon as an
instinct arises, the id seeks to gratify it. Because the id is not in contact with the real world,
however, it has only two ways of obtaining gratification. One way is by reflex actions, such
as coughing, which immediately relieve unpleasant sensations. The other is through fan-
tasy, or wish fulfillment: A person forms a mental image of an object or a situation that par-
tially satisfies the instinct and relieves the uncomfortable feeling. This kind of thought
occurs most often in dreams and daydreams, but it may take other forms. For instance, if
someone insults you and you spend the next half hour imagining clever retorts, you are
engaging in wish fulfillment.

Mental images of this kind provide fleeting relief, but they cannot fully satisfy most
needs. For example, just thinking about being with someone you love is a poor substitute for
actually being with that person. Therefore, the id by itself is not very effective at gratifying
instincts. It must link to reality if it is to relieve its discomfort. The id’s link to reality is the ego.

Freud conceived of the ego as the psychic mechanism that controls all thinking and
reasoning activities. The ego operates partly con-
sciously, partly preconsciously, and partly uncon-
sciously. (“Preconscious” refers to material that is
not currently in awareness but can easily be
recalled.) The ego seeks to satisfy the id’s drives
in the external world. But instead of acting
according to the pleasure principle, the ego oper-
ates by the reality principle: By means of intelli-
gent reasoning, the ego tries to delay satisfying
the id’s desires until it can do so safely and suc-
cessfully. For example, if you are thirsty, your ego
will attempt to determine how effectively and
safely to quench your thirst. (See Figure 10–2.)

A personality consisting only of ego and id
would be completely selfish. It would behave
effectively, but unsociably. Fully adult behavior
is governed not only by reality, but also by the
individual’s conscience or by the moral stan-
dards developed through interaction with par-
ents and society. Freud called this moral
watchdog the superego.

The superego is not present at birth. In fact,
in Freud’s view young children are amoral and
do whatever is pleasurable. As we mature, how-
ever, we adopt as our own the judgments of our
parents about what is “good” and “bad.” In time, the external restraint applied by our par-
ents gives way to our own internal self-restraint. The superego, eventually acting as our
conscience, takes over the task of observing and guiding the ego, just as the parents once
observed and guided the child. In addition, the superego compares the ego’s actions with an
ego ideal of perfection and then rewards or punishes the ego accordingly. Like the ego, the
superego works at the conscious, preconscious, and unconscious levels.

Ideally, our id, ego, and superego work in harmony, with the ego satisfying the
demands of the id in a reasonable manner that is approved by the superego. We are then
free to love and hate and to express our emotions sensibly and without guilt. When our id
is dominant, our instincts are unbridled and we are likely to endanger both ourselves and
society. When our superego dominates, our behavior is checked too tightly and we are
inclined to judge ourselves too harshly or too quickly, impairing our ability to act on our
own behalf and enjoy ourselves.

Figure 10–1
The structural relationship formed by
the id, ego, and superego.
Freud’s conception of personality is often
depicted as an iceberg to illustrate how the vast
workings of the mind occur beneath its surface.
Notice that the ego is partly conscious, partly
unconscious, and partly preconscious; it
derives knowledge of the external world
through the senses. The superego also works at
all three levels. But the id is an enirely uncon-
scious structure.
Source: Adapted from New Introductory Lectures on
Psychoanalysis by Sigmund Freud, 1933. New York:
Carlton House.

Unconscious:
Well below the surface
of awareness

Preconscious:
Material that
can be easily recalled

Id
Pleasure principle
Unconscious urges
and desires

Ego
Self
Reality principle

Superego
Ego ideal
Moral guardian

Conscious:
Ideas, thoughts, and
feelings of which we
are aware

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338 Chapter 10

How Personality Devel-
ops Freud’s theory of personal-
ity development focuses on
the way in which we satisfy
the sexual instinct during the
course of life. As infants mature,
their libido becomes focused on
various sensitive parts of the
body during sequential stages
of development. If a child is
deprived of pleasure (or allowed
too much gratification) from the
part of the body that dominates
a certain stage, some sexual
energy may remain permanently
tied to that part of the body,
instead of moving on in normal
sequence to give the individual a
fully integrated personality. This
is called fixation and, as we shall
see, Freud believed that it leads

to immature forms of sexuality and to certain characteristic personality traits. Let’s look
more closely at the psychosexual stages that Freud identified and their presumed relation-
ship to personality development.

In the oral stage (birth to 18 months), infants, who depend completely on other peo-
ple to satisfy their needs, relieve sexual tension by sucking and swallowing; when their baby
teeth come in, they obtain oral pleasure from chewing and biting. According to Freud,
infants who receive too much oral gratification at this stage grow into overly optimistic and
dependent adults; they are likely to lack confidence and to be gullible. Those who receive
too little gratification may turn into pessimistic and hostile people later in life who are sar-
castic and argumentative.

During the anal stage (roughly 18 months to 31/2 years), the primary source of sexual
pleasure shifts from the mouth to the anus. Just about the time children begin to derive plea-
sure from holding in and excreting feces, toilet training takes place, and they must learn to
regulate this new pleasure in ways that are acceptable to their superego. In Freud’s view, if par-
ents are too strict in toilet training, some children throw temper tantrums and may live in
self-destructive ways as adults. Others are likely to become obstinate, stingy, and excessively
orderly. If parents are too lenient, their children may become messy, unorganized, and sloppy.

When children reach the phallic stage (after age 3), they discover their genitals and
develop a marked attachment to the parent of the opposite sex while becoming jealous of
the same-sex parent. In boys, Freud called this the Oedipus complex, after the character in
Greek mythology who killed his father and married his mother. Girls go through a corre-
sponding Electra complex, involving possessive love for their father and jealousy toward
their mother. Most children eventually resolve these conflicts by identifying with the parent
of the same sex. However, Freud contended that fixation at this stage leads to vanity and
egotism in adult life, with men boasting of their sexual prowess and treating women with
contempt, and with women becoming flirtatious and promiscuous. Phallic fixation may
also prompt feelings of low self-esteem, shyness, and worthlessness.

At the end of the phallic period, Freud believed, children lose interest in sexual behav-
ior and enter a latency period. During this period, which begins around the age of 5 or 6
and lasts until age 12 or 13, boys play with boys, girls play with girls, and neither sex takes
much interest in the other.

At puberty, the individual enters the last psychosexual stage, the genital stage. Sexual
impulses reawaken and, ideally, the quest for immediate gratification of these desires yields
to mature sexuality in which postponed gratification, a sense of responsibility, and caring
for others all play a part.

fixation According to Freud, a partial or
complete halt at some point in the individual’s
psychosexual development.

oral stage First stage in Freud’s theory of
personality development, in which the infant’s
erotic feelings center on the mouth, lips, and
tongue.

anal stage Second stage in Freud’s theory of
personality development, in which a child’s
erotic feelings center on the anus and on
elimination.

phallic stage Third stage in Freud’s theory of
personality development, in which erotic
feelings center on the genitals.

Oedipus complex and Electra
complex According to Freud, a child’s sexual
attachment to the parent of the opposite sex and
jealousy toward the parent of the same sex;
generally occurs in the phallic stage.

latency period In Freud’s theory of
personality, a period in which the child appears
to have no interest in the other sex; occurs after
the phallic stage.

genital stage In Freud’s theory of personality
development, the final stage of normal adult
sexual development, which is usually marked by
mature sexuality.

Figure 10–2
How Freud conceived the workings of
the pleasure and reality principles.
Note that according to the reality principle, the
ego uses rational thought to postpone the grati-
fication of the id until its desires can be satis-
fied safely.

Unpleasure

in the id

Release of
discomfort by

first available

means

External
stimulus

Pleasure
in the id

Increasing
discomfort

in the id

Internal
stimulus

External
stimulus
Internal
stimulus

Unpleasure
in the id

Rational
thought
of ego

Release of
discomfort by

safest and best
available
means

Pleasure
in the id
Increasing
discomfort
in the id

How the Pleasure Principle Works

How the Reality Principle Works

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Personality 339

Freud is certainly not without his critics. As we will see, even members of Freud’s own
psychoanalytic school did not completely endorse his emphasis on sexuality. Contempo-
rary psychodynamic theorists tend to put greater emphasis on the ego and its attempts to
gain mastery over the world. Finally, some critics have suggested that male and female per-
sonality development occur in very different ways, and that Freud’s male-centered theory
sheds little if any light on female personality development (Zeedyk & Greemwood, 2008).

Carl Jung
How did Carl Jung’s view of the unconscious differ from that of Freud?

Carl Jung (1875–1961) agreed with many of Freud’s tenets, including his emphasis on the
role of the unconscious in human behavior, but he expanded the role of the unconscious.
Jung contended that libido represents all life forces, not just pleasure-seeking. And where
Freud viewed the id as a “cauldron of seething excitations” that the ego has to control, Jung
saw the unconscious as the ego’s source of strength and vitality. He also believed that the
unconscious consists of the personal unconscious and the collective unconscious. The
personal unconscious includes our repressed thoughts, forgotten experiences, and undevel-
oped ideas, which may enter consciousness if an incident or a sensation triggers their recall.

Diversity–Universality Universal Human Archetypes
The collective unconscious, Jung’s most original concept, comprises memories and behav-
ior patterns that are inherited from past generations and therefore are shared by all
humans. Just as the human body is the product of millions of years of evolution, so too,
according to Jung, is the human mind. Over millennia, it has developed “thought forms,” or
collective memories, of experiences that people have had in common since prehistoric
times. He called these thought forms archetypes. Archetypes appear in our thoughts as
mental images. Because all people have mothers, for example, the archetype of “mother” is
universally associated with the image of one’s own mother, with Mother Earth, and with a
protective presence.

Jung felt that specific archetypes play special roles in shaping personality. The persona
(an archetype whose meaning stems from the Latin word for “mask”) is the element of our
personality that we project to other people—a shell that grows around our inner self. For
some people, the public self so predominates that they lose touch with their inner feelings,
leading to personality maladjustments. ■ personal unconscious In Jung’s theory of

personality, one of the two levels of the
unconscious; it contains the individual’s
repressed thoughts, forgotten experiences, and
undeveloped ideas.

introverts According to Jung, people who
usually focus on their own thoughts and feelings.

extraverts According to Jung, people who
usually focus on social life and the external
world instead of on their internal experience.

Jung also divided people into two general attitude types—introverts and extraverts.
Extraverts turn their attention to the external world. They are “joiners” who take an active
interest in other people and in the events going on around them. Introverts are more
caught up in their own private worlds. They tend to be unsociable and lack confidence in
dealing with other people. Everyone, Jung felt, possesses some aspects of both attitude
types, but one is usually dominant.

Jung further divided people into rational individuals, who regulate their actions by
thinking and feeling, and irrational individuals, who base their actions on perceptions,
whether through the senses (sensation) or through unconscious processes (intuition).
Most people exhibit all four psychological functions: thinking, feeling, sensing, and intuit-
ing. Jung felt, however, that one or more of these functions is usually dominant. Thus, the
thinking person is rational and logical, and decides on the basis of facts. The feeling person
is sensitive to his or her surroundings, acts tactfully, and has a balanced sense of values. The
sensing type relies primarily on surface perceptions and rarely uses imagination or deeper
understanding. And the intuitive type sees beyond obvious solutions and facts to consider
future possibilities.

archetypes In Jung’s theory of personality,
thought forms common to all human beings,
stored in the collective unconscious.

collective unconscious In Jung’s theory of
personality, the level of the unconscious that is
inherited and common to all members of a
species.

According to Carl Jung, we all inherit from
our ancestors collective memories or
“thought forms” that people have had in com-
mon since the dawn of human evolution. The
image of a motherlike figure with protective,
embracing arms is one such primordial
thought form that stems from the important,
nurturing role of women throughout human
history. This thought form is depicted here in
this Bulgarian clay figure of a goddess that
dates back some six or seven thousand
years.

persona According to Jung, our public self, the
mask we wear to represent ourselves to others.

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compensation According to Adler, the person’s
effort to overcome imagined or real personal
weaknesses.

340 Chapter 10

While Freud emphasized the primacy of the sexual instincts, Jung stressed
people’s rational and spiritual qualities. And while Freud considered develop-
ment to be shaped in childhood, Jung thought that psychic development
comes to fruition only during middle age. Jung brought a sense of historical
continuity to his theories, tracing the roots of human personality back through
our ancestral past; yet he also contended that a person moves constantly
toward self-realization—toward blending all parts of the personality into a
harmonious whole.

Alfred Adler
What did Alfred Adler believe was the major determinant of
personality?

Alfred Adler (1870–1937) disagreed sharply with Freud’s concept of the conflict
between the selfish id and the morality-based superego. To Adler, people possess

innate positive motives and they strive for personal and social perfection. One of his earli-
est theories grew out of personal experience: As a child, Adler was frail and almost died of
pneumonia at the age of 5. This early brush with death led him to believe that personality
develops through the individual’s attempt to overcome physical weaknesses, an effort he
called compensation.

Adler later modified and broadened his views, contending that people seek to over-
come feelings of inferiority that may or may not have a basis in reality. He thought that such
feelings often spark positive development and personal growth. Still, some people become
so fixated on their feelings of inferiority that they become paralyzed and develop what
Adler called an inferiority complex. Later in his life, Adler again shifted his theoretical
emphasis in a more positive direction suggesting that people strive both for personal per-
fection and for the perfection of the society to which they belong.

The emphasis Adler placed on positive, socially constructive goals and on striving for
perfection is in marked contrast to Freud’s pessimistic vision of the selfish person locked
into eternal conflict with society. Because of this emphasis, Adler has been hailed by many
psychologists as the father of humanistic psychology (Cain, 2002), a topic we will explore in
greater depth later in this chapter.

Karen Horney
What major contributions did Karen Horney make to the psychodynamic
perspective?

Karen Horney (1885–1952), another psychodynamic personality theorist greatly
indebted to Freud, nevertheless took issue with some of his most prominent ideas, espe-
cially his analysis of women and his emphasis on sexual instincts. Based on her experi-
ence as a practicing therapist in Germany and the United States, Horney concluded that
environmental and social factors are the most important influences in shaping personal-
ity; and among these, the most pivotal are the human relationships we experience as chil-
dren (W. B. Smith, 2007).

In Horney’s view, Freud overemphasized the sex drive, resulting in a distorted picture
of human relationships. Horney believed that sexuality does figure in the development of
personality, but nonsexual factors—such as the need for a sense of basic security and the
person’s response to real or imagined threats—play an even larger role. For example, all
people share the need to feel loved and nurtured by their parents, regardless of any sexual
feelings they might have about them. Conversely, parents’ protective feelings toward their
children emerge not only from biological forces but also from the value that society places
on the nurturance of children.

A contemporary representation from U.S. cul-
ture of the Jungian archetype of the Wise Old
Man can be seen in Albus Dumbledore (from
the movies based on J. K. Rowling’s Harry
Potter series).

22-time Grammy Award winner Stevie Won-
der, who cultivated particularly acute audi-
tory abilities, illustrates what Alfred Adler
referred to as compensation.

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Karen Horney, a psychotherapist during the
first half of the 20th century, disagreed with
Freud’s emphasis on sexual instincts. She
considered environmental and social factors,
especially the relationships we have as chil-
dren, to be the most important influences on
personality.

Personality 341

For Horney, anxiety—an individual’s reaction to real or imagined dangers—is a pow-
erful motivating force. Whereas Freud believed that anxiety usually emerges from uncon-
scious sexual conflicts, Horney stressed that feelings of anxiety also originate in a variety of
nonsexual contexts. For example, in childhood anxiety arises because children depend on
adults for their very survival. Insecure about receiving continued nurturance and protec-
tion, children develop inner protections, or defenses, that provide both satisfaction and
security. They experience more anxiety when those defenses are threatened.

In adulthood, anxiety and insecurity can lead to neurotic lifestyles that that may help
to deal with emotional problems and ensure safety but only at the expense of personal
independence (Horney, 1937). Some people develop an overriding need to give in or sub-
mit to others and feel safe only when receiving their protection and guidance. Others deal
with basic feelings of insecurity and anxiety by adopting a hostile and domineering man-
ner. Still others withdraw from other people, as if saying “If I withdraw, nothing can hurt
me.” In contrast, well-adjusted people deal with anxiety without becoming trapped in neu-
rotic lifestyles because their childhood environment enabled them to satisfy their basic
emotional needs.

inferiority complex In Adler’s theory, the
fixation on feelings of personal inferiority that
results in emotional and social paralysis.

Stability–Change Is Biology Destiny?
Horney’s conviction that social and cultural forces are far more important than biological
ones had a profound effect on her views of human development. For example, in contrast
to Freud’s view that personality is largely formed by the end of childhood, Horney believed
that adults can continue to develop and change throughout life by coming to understand
the source of their basic anxiety and trying to eliminate neurotic anxiety. Horney also
opened the way to a more constructive and optimistic understanding of male and female
personality. She emphasized that culture, rather than anatomy, determines many of the
characteristics that differentiate women from men. For example, if women feel dissatisfied
with their gender or men are overly aggressive, the explanation is likely to be found in their
social status and social roles, not in their anatomy; and fortunately, social status and social
roles can be changed. Indeed, she was a forerunner of contemporary thinkers who believe
that we can change culture and society and, in the process, transform human relationships
(Gilman, 2001). ■

Erik Erikson, another psychodynamic theorist,
also stressed the importance of parent–child
relationships for shaping personality. His
eight-stage theory of personality develop-
ment is still influential today.

Erik Erikson
Erikson’s theory focused less on unconscious conflict and more on
what factors?

Like Horney, Erik Erikson—a psychodynamic theorist who studied with Freud in
Vienna—took a socially oriented view of personality development. While Erikson agreed
with much of Freud’s thinking on sexual development and the influence of libidinal needs
on personality, he put much greater emphasis on the quality of parent–child relationships.
According to Erikson, only if children feel competent and valuable, in their own eyes and in
society’s view, will they develop a secure sense of identity. In this way, Erikson shifted the
focus of Freud’s personality theory to ego development.

Whereas Freud’s stages of personality development ended with adolescence, Erikson
believed that personality continues to develop and change throughout life. But in contrast
to Horney, he believed that the various stages of life present a variety of different chal-
lenges. Success in dealing with early challenges lays the groundwork for effective adjust-
ment at later stages. Conversely, failure to resolve early crises makes later adjustment more
difficult. In Chapter 9 (“Life-Span Development”) we explored each of Erikson’s stages in
considerable detail. Figure 10–3 provides a concise comparison of Erikson’s and Freud’s
stages of personality development.

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342 Chapter 10

A Psychodynamic View of Jaylene Smith
How would a psychodynamic theorist view the personality of Jaylene Smith?

According to Freud, personality characteristics such as insecurity, introversion, and feelings
of inadequacy and worthlessness often arise from fixation at the phallic stage of develop-
ment. Thus, had Freud been Jaylene’s therapist, he would probably have concluded that Jay
has not yet effectively resolved her Electra complex. Working from this premise, he would
have hypothesized that Jay’s relationship with her father was either very distant and unsat-
isfying or unusually close and gratifying. We know, of course, that it was the latter.

In all likelihood, Freud would also have asserted that at around age 5 or 6, Jay had
become aware that she could not actually marry her father and do away with her mother, as
he would say she wished to do. This possibility might account for the fact that fights between
Jay and her mother subsided when Jay was about 6 or 7 years of age. Moreover, we know that
shortly thereafter, Jay began to experience “strong feelings of loneliness, depression, insecu-
rity, and confusion.” Clearly, something important happened in Jay’s life when she was 6 or 7.

Finally, the continued coolness of Jay’s relationship with her mother and the unusual
closeness with her father would probably have confirmed Freud’s suspicion that Jay has still
not satisfactorily resolved her Electra complex. Freud would have predicted that Jay would
have problems making the progression to mature sexual relationships with other men. Jay,
of course, is very much aware that she has problems relating to men, at least when these

relationships get “serious.”
And what does Erikson’s theory tell us about

Jaylene Smith’s personality? Recall that for Erikson,
one’s success in dealing with later developmental
crises depends on how effectively one has resolved
earlier crises. Because Jay is having great difficulty in
dealing with intimacy (Stage 6), he would have sug-
gested that she is still struggling with problems from
earlier developmental stages. Erikson would have
looked for the source of these problems in the qual-
ity of Jay’s relationship with others. We know that
her mother subtly communicated her own frustra-
tion and dissatisfaction to her children and spent lit-
tle time on “nonessential” interactions with them.

Figure 10–3
Erikson’s eight stages of personality
development.
Each stage involves its own developmental
crisis, whose resolution is crucial to adjustment
in successive stages. The first five of the eight
stages correspond to Freud’s stages of
personality development.
Source: Figure, “Erickson’s Stages of Personality
Development” from Childhood and Society by Erik H.
Erikson. Copyright 1950, © 1963 by W. W. Norton &
Company, Inc. Renewed 1978, 1991 by Erik H. Erikson.
Used by permission of W. W. Norton & Company, Inc.
and Random House Ltd., UK.

Stage

Oral

Anal

Phallic

Latency

Genital

Young
adulthood

Adulthood

Maturity

1 2 3 4 5 6 7 8

Basic trust
vs.

mistrust

Erikson’s stages of personality development

Fr
eu

d
’s

s
ta

g
es

o
f

p
er

so
n

al
it

y
d

ev
el

o
p

m
en

Autonomy
vs. shame,

doubt
Initiative

vs.
guilt

Industry
vs.

inferiority

Identity
vs. role

confusion
Intimacy

vs.
isolation

Generativity
vs.

stagnation
Ego

integrity vs.
despair

Psychoanalysis

Freud’s original theory was based on case studies of his patients; and the lit-erature on psychoanalysis consists mainly of case studies—descriptions ofindividual cases of psychopathology, probable causes, and their treatment.
Today, however, psychological science depends increasingly on experimental
evidence and biological explanations for mental phenomena. Review the five
basic concepts of psychodynamic theory described by Westen on page 336 and
think about what kinds of evidence might convince you that they are indeed cor-
rect. What evidence would lead you to conclude that they are not in fact correct?

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Personality 343

These feelings and behavior patterns would not have instilled in a child the kind of basic
trust and sense of security that Erikson believed are essential to the first stage of develop-
ment. In addition, her relationship with her mother and brothers continued to be less
than fully satisfactory. It is not surprising, then, that Jay had some difficulty working
through subsequent developmental crises. Although she developed a close and caring
relationship with her father, Jay was surely aware that his affection partly depended on
her fulfilling the dreams, ambitions, and goals that he had for her.

Evaluating Psychodynamic Theories
How do modern psychologists view the contributions and limitations of the
psychodynamic perspective?

Freud’s emphasis on the fact that we are not always—or even often—aware of the real causes
of our behavior has fundamentally changed the way people view themselves and others.
Freud’s ideas have also had a lasting impact on history, literature, and the arts (Krugler,
2004). Yet, Freud was a product of his time and place. Critics who contend his theory reflects
a sexist view of women have pointed out that he was apparently unable to imagine a con-
nection between his female patients’ sense of inferiority and their subordinate position in
society. Psychodynamic views have also been criticized as lacking a scientific basis in that
they are based largely on retrospective (backward-looking) accounts of a limited sample of
individuals who have sought treatment, rather than on research with “healthy” individuals.

Although it is often difficult to translate psychodynamic personality theories into
hypotheses that can be tested experimentally (Cloninger, 2003; Holt, 2003), Freud’s theory has
received limited confirmation from research (Leichsenring, 2005). For example, people with
eating disorders often have oral personalities (J. Perry, Silvera, & Rosenvinge, 2002). Orally
fixated people generally eat and drink too much, tend to mention oral images when interpret-
ing inkblot tests, and also seem to depend heavily on others, as Freud predicted (Fisher &
Greenberg, 1985). Moreover, research confirms an association between specific personality
types in childhood and later development of psychological problems. For example, a child
with an inhibited temperament is more likely to develop social anxiety disorder as an adult
(Gladstone, Parker, Mitchell, Wilhelm, & Malhi, 2005). The effectiveness of psychoanalysis as a
therapy has also been cited as evidence in support of Freud’s theories (Leichsenring, 2005).
Still, as we shall see in Chapter 13,“Therapies,”psychoanalysis does not seem to be any more or
less effective than therapies based on other theories (J. A. Carter, 2006).

Freud’s theories have clearly expanded our understanding of personality, or they
would not still be so vigorously debated today, more than 100 years after he proposed them.
Whatever their merit as science, psychodynamic theories attempt to explain the root causes
of all human behavior. The sheer magnitude of this undertaking helps to account for their
lasting attractiveness.

CHECK YOUR UNDERSTANDING

Match the following Jungian terms with the appropriate definition.
1.
2.

4. According to Alfred Adler, a person with a fixation on or belief in a negative
characteristic has an ___________. They may try to overcome their perceived
weakness through ____________.

5. Horney believed that ____________ is a stronger source of emotional disturbance
than sexual urges.

persona a. typical mental image or mythical representation
collective unconscious b. memories and behavior patterns inherited from

past generations
archetype c. aspect of the personality by which one is

known to other people

Answers:1. c.2. b.3. a.4. inferiority complex; compensation.5. anxiety.

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344 Chapter 10

HUMANISTIC PERSONALITY THEORIES
What are the major ways that humanistic personality theory differs from
psychodynamic theories?

Freud believed that personality grows out of the resolution of unconscious conflicts and
developmental crises. Many of his followers—including some who modified his theory and
others who broke away from his circle—also embraced this basic viewpoint. But in the the-
ory of Alfred Adler, we glimpsed a very different view of human nature. Adler focused on
forces that contribute to positive growth and a move toward personal perfection. For these
reasons, Adler is sometimes called the first humanistic personality theorist.

Humanistic personality theory emphasizes that we are positively motivated and
progress toward higher levels of functioning—in other words, there is more to human exis-
tence than dealing with hidden conflicts. Humanistic psychologists believe that life is a
process of opening ourselves to the world around us and experiencing joy in living. They
stress people’s potential for growth and change as well as the ways they experience their lives
right now, rather than dwelling on how they felt or acted in the past. Finally, humanists also
believe that given reasonable life conditions, people will develop in desirable directions
(Cloninger, 2003; Criswell, 2003). Adler’s concept of striving for perfection laid the ground-
work for later humanistic personality theorists such as Abraham Maslow and Carl Rogers.
We discussed Maslow’s theory of the hierarchy of needs leading to self-actualization in
Chapter 8, “Motivation and Emotion.” We now turn to Rogers’s theory of self-actualization.

Carl Rogers
According to Rogers, how can thinking of yourself as self-assured help you
to become so?

One of the most prominent humanistic theorists, Carl Rogers (1902–1987), contended that
men and women develop their personalities in the service of positive goals. According to
Rogers, every organism is born with certain innate capacities, capabilities, or potentialities—“a
sort of genetic blueprint, to which substance is added as life progresses” (Maddi, 1989, p. 102).

APPLY YOUR UNDERSTANDING

1. An angry parent imagines hitting a child for misbehaving, but decides instead to discuss
the misbehavior with the child and to point out why the behavior was wrong. After
hearing the child’s explanation for the behavior, the parent feels guilty for having been so
angry. The parent’s anger and fantasy are the result of the ____________; the decision to
discuss the problem is the result of the ____________; and the guilt derives from the
____________.

a. ego; superego; id
b. id; ego; superego
c. ego; id; superego
d. id; superego; ego

2. John is a young adult. According to Erikson, the major challenge he faces is
____________, which will be followed in middle adulthood by the crisis of
____________.

a. intimacy vs. isolation; integrity vs. despair
b. intimacy vs. isolation; generativity vs. stagnation
c. identity vs. role confusion; intimacy vs. isolation
d. identity vs. role confusion; integrity vs. despair
e. identity vs. role confusion; initiative vs. guilt

humanistic personality theory Any
personality theory that asserts the fundamental
goodness of people and their striving toward
higher levels of functioning.

Answers:1. b.2. b.

L E A R N I N G O B J E C T I V E S
• Explain how humanistic personality

theories differ from psychodynamic
theories. Distinguish Rogers’ concept
of actualizing tendency and self-
actualizing tendency, conditional versus
unconditional positive regard, and what
it means to be a fully functioning person.

• Summarize the contributions and
limitations of the humanistic perspective.

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Personality 345

The goal of life, Rogers believed, is to fulfill this genetic blueprint, to become the best of what-
ever each of us is inherently capable of becoming. Rogers called this biological push toward
fulfillment the actualizing tendency. Although Rogers maintained that the actualizing ten-
dency characterizes all organisms—plants, animals, and humans—he noted that human
beings also form images of themselves, or self-concepts. Just as we try to fulfill our inborn bio-
logical potential, so, too, we attempt to fulfill our self-concept, our conscious sense of who we
are and what we want to do with our lives. Rogers called this striving the self-actualizing
tendency. If you think of yourself as “intelligent” and “athletic,” for example, you will strive to
live up to those images of yourself.

When our self-concept is closely matched with our inborn capacities, we are likely to
become what Rogers called a fully functioning person. Such people are self-directed: They
decide for themselves what it is they wish to do and to become, even though their choices
may not always be sound ones. Fully functioning people are also open to experience—to
their own feelings as well as to the world and other people around them—and thus find
themselves “increasingly willing to be, with greater accuracy and depth, that self which
[they] most truly [are]” (Rogers, 1961, pp. 175–176).

According to Rogers, people tend to become more fully functioning if they are brought
up with unconditional positive regard, or the experience of being treated with warmth,
respect, acceptance, and love regardless of their own feelings, attitudes, and behaviors. But
often parents and other adults offer children what Rogers called conditional positive
regard: They value and accept only certain aspects of the child. The acceptance, warmth,
and love that the child receives from others then depend on the child’s behaving in certain
ways and fulfilling certain conditions. In the process, self-concept comes to resemble the
inborn capacity less and less, and the child’s life deviates from the genetic blueprint.

When people lose sight of their inborn potential, they become constricted, rigid, and
defensive. They feel threatened and anxious, and experience considerable discomfort and
uneasiness. Because their lives are directed toward what other people want and value, they
are unlikely to experience much real satisfaction in life. At some point, they may realize that
they don’t really know who they are or what they want.

A Humanistic View of Jaylene Smith
How would humanistic theorists view the development of Jaylene Smith’s
personality?

Humanistic personality theory would focus on the discrepancy between Jay’s self-concept
and her inborn capacities. For example, Rogers would point out that Jay is intelligent and
achievement-oriented but nevertheless feels that she doesn’t “deserve to be a doctor,” wor-
ries about whether she will ever be “truly happy,” and remembers that when she was 13, she
never was able to be herself and really express her feelings, even with a good friend. Her
unhappiness, fearfulness, loneliness, insecurity, and other dissatisfactions similarly stem
from Jay’s inability to become what she “most truly is.” Rogers would suspect that other
people in Jay’s life made acceptance and love conditional on her living up to their ideas of
what she should become. We know that for most of her life, Jay’s father was her primary
source of positive regard. Very possibly, he conditioned his love for Jay on her living up to
his goals for her.

Evaluating Humanistic Theories
What have humanistic theories contributed to our understanding of
personality?

The central tenet of most humanistic personality theories—that the overriding purpose of
the human condition is to realize one’s potential—is difficult if not impossible to verify sci-
entifically. The resulting lack of scientific evidence and rigor is one of the major criticisms

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actualizing tendency According to Rogers, the
drive of every organism to fulfill its biological
potential and become what it is inherently
capable of becoming.

conditional positive regard In Rogers’s
theory, acceptance and love that are dependent
on another’s behaving in certain ways and on
fulfilling certain conditions.

unconditional positive regard In Rogers’s
theory, the full acceptance and love of another
person regardless of his or her behavior.

self-actualizing tendency According to
Rogers, the drive of human beings to fulfill their
self-concepts, or the images they have of
themselves.

fully functioning person According to Rogers,
an individual whose self-concept closely
resembles his or her inborn capacities or
potentials.

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346 Chapter 10

of these theories. In addition, some critics claim that humanistic theories present an overly
optimistic view of human beings and fail to take into account the evil in human nature.
Others contend that the humanistic view fosters self-centeredness and narcissism, and
reflects Western values of individual achievement rather than universal human potential.

Nonetheless, Maslow and especially Rogers did attempt to test some aspects of their
theories scientifically. For example, Rogers studied the discrepancy between the way people
perceived themselves and the way they ideally wanted to be. He discovered that people
whose real selves differed considerably from their ideal selves were more likely to be
unhappy and dissatisfied.

CHECK YOUR UNDERSTANDING

Indicate whether the following are true (T) or false (F).
1. ________ Humanistic personality theory emphasizes that we are motivated by conflicts,

whereas psychodynamic personality theory emphasizes positive strivings.
2. ________ The goal of life, Rogers believed, is to become the best person that we can

inherently become.
3. ________ Our self-concept is our inborn biological potential.
4. ________ When people lose sight of their inborn potential, they are unlikely to experience

much satisfaction.

Answers:1. (F).2. (T).3. (F).4. (T).

Answers:1. b.2. d.

L E A R N I N G O B J E C T I V E S
• Compare and contrast the trait theories

of Cattell and Eysenck and the current
five-factor model of personality. Briefly
summarize the research evidence on
the usefulness and universality of the
five-factor model, the stability of
personality traits over time and across
situations, and the biological basis of
personality traits.

• Summarize the contributions and
limitations of the trait perspective.

APPLY YOUR UNDERSTANDING

1. Barbara was brought up with unconditional positive regard. According to Rogers, she is
likely to

a. be vain and narcissistic.
b. feel she is valued regardless of her attitudes and behavior.
c. have self-concepts that do not correspond very closely to her inborn capacities.
d. Both (b) and (c) are true.

2. Your friend has always known that she wants to be a doctor. When you ask her how she
knows that, she says, “That’s just who I am. It’s what I want to do with my life.” Rogers
calls the push toward fulfilling this sense of who she is

a. being fully functioning.
b. engaging in a compensatory process.
c. expressing a high need for achievement.
d. the self-actualizing tendency.

TRAIT THEORIES
What is the key focus of trait theories?

The personality theories that we have examined so far all emphasize early childhood expe-
riences; and all attempt to explain the varieties of human personality. Other personality
theorists focus on the present, describing the ways in which already-developed adult per-
sonalities differ from one another. These trait theorists assert that people differ according to
the degree to which they possess certain personality traits, such as dependency, anxiety,
aggressiveness, and sociability. We infer a trait from how a person behaves. If someone con-
sistently throws parties, goes to great lengths to make friends, and travels in groups, we
might safely conclude that this person possesses a high degree of sociability.

Our language has many words that describe personality traits. Gordon Allport, along
with his colleague H. S. Odbert (1936), found nearly 18,000 dictionary entries that might
refer to personality traits. However, only about 2,800 of the words on Allport and Odbert’s

personality traits Dimensions or
characteristics on which people differ in
distinctive ways.

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Personality 347

list concern the kinds of stable or enduring characteristics that most psychologists would
call personality traits; and when synonyms and near-synonyms are removed, the number of
possible personality traits drops to around 200—which is still a formidable list. Psycholo-
gist Raymond Cattell (1965), using a statistical technique called factor analysis, found that
those 200 traits tend to cluster in groups. Thus, a person who is described as persevering or
determined is also likely to be thought of as responsible, ordered, attentive, and stable and
probably would not be described as frivolous, neglectful, and changeable. On the basis of
extensive research, Cattell originally concluded that just 16 traits account for the complex-
ity of human personality; later he suggested that it might be necessary to add another 7
traits to the list (Cattell & Kline, 1977).

Other theorists thought that Cattell used too many traits to describe personality. Eysenck
(1976) argued that personality could be reduced to three basic dimensions: emotional stabil-
ity, introversion–extraversion, and psychoticism. According to Eysenck, emotional stability
refers to how well a person controls emotions. On a continuum, individuals at one end of this
trait would be seen as poised, calm, and composed, whereas people at the other end might be
described as anxious, nervous, and excitable. Introversion–extraversion refers to the degree to
which a person is inwardly or outwardly oriented. At one end of this dimension would be
the socially outgoing, talkative, and affectionate people, known as extraverts. Introverts—
generally described as reserved, silent, shy, and socially withdrawn—would be at the other
extreme. Eysenck used the term psychoticism to describe people characterized by insensitivity
and uncooperativeness at one end and warmth, tenderness, and helpfulness at the other end.

Nature–Nurture Is Personality Inherited?
For Allport, traits—or “dispositions,” as he called them—are literally encoded in the ner-
vous system as structures that guide consistent behavior across a wide variety of situations.
Allport also believed that while traits describe behaviors that are common to many people,
each individual personality comprises a unique constellation of traits. While few psycholo-
gists today would deny the influence of the environment in shaping personality, recent evi-
dence substantiating the importance of genetic factors to the development of specific
personality traits supports Allport’s hunch that at least some personality traits are encoded
biologically (Rushton, Bons, & Hur, 2008). ■

The Big Five
What five basic traits describe most differences in personality?

As listed in Table 10–1, contemporary trait theorists have boiled down personality traits
to five basic dimensions: extraversion, agreeableness, conscientiousness, emotional stability,
and culture (Costa & McCrae, 2006; McCrae et al., 2008). There is a growing consensus
today that these Big Five personality dimensions, also known as the five-factor model,
capture the most salient dimensions of human personality (Costa & McCrae, 2006; De
Raad, 1998), although there is some disagreement about whether the fifth dimension
should be called “culture” or “openness to experience” or “intellect.” Recently, each of the
Big Five traits has been shown to have at least six facets, or components, as shown in
Table 10–1 (DeYoung, Quilty, & Peterson, 2007; Jang, Livesley, McCrae, Angleitner, &
Riemann, 1998).

One survey of the literature found that the Big Five dimensions of personality may have
some important real-world applications—particularly as they relate to employment deci-
sions (Bentley-Reed, 2006; Guohua & Jiliang, 2005). For example, one study (Conte &
Gintoft, 2005) found that the dimensions of extraversion and conscientiousness were reliable
predictors of performance in sales. In another study, the measures of agreeableness, conscien-
tiousness and emotional stability predicted employee burnout (Zeng & Shi, 2007). The Big

Source: © Tee and Charles Addams Foundation

Big Five Five traits or basic dimensions
currently considered to be of central
importance in describing personality.

factor analysis A statistical technique that
identifies groups of related objects; it was used
by Cattell to identify clusters of traits.

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348 Chapter 10

Five personality traits have also been shown to be useful in predicting the job performance of
police officers (Schneider, 2002). In addition, research has shown that absenteeism in the
workplace is related to the conscientiousness, extraversion, and neuroticism scales (Conte &
Jacobs, 2003). Thus, the Big Five dimensions of personality show promise as reliable predic-
tors of job performance, especially when other criteria (such as technical skills and experi-
ence) are also considered (Conte & Gintoft, 2005; R. Hogan, Hogan, & Roberts, 1996).

The Big Five personality traits have also proved useful in describing and predicting
behavior across a wide range of age groups and social settings. For instance, one 9-year lon-
gitudinal study of grade-school children demonstrated the validity and consistency of the
Big Five personality traits throughout childhood (Asendorpf & Van-Aken, 2003). Other
studies have shown the Big Five can reliably predict alcohol consumption, grade point aver-
age and academic motivation among college students (Paunonen, 2003; Komarraju, Karau,
& Schmeck, 2009).

Are the Big Five Personality Traits Universal? Most studies of the Big Five have
been conducted in the United States. Would the same five personality dimensions be evident
in other cultures? The answer appears to be yes. P. T. Costa and McCrae (1992) developed a
test to measure the Big Five personality dimensions that has since been translated into
numerous languages including German, Portuguese, Hebrew, Chinese, Korean, and Japan-
ese. McCrae and Costa (1997) then compared the results from the various questionnaires in
an effort to determine whether the same Big Five personality dimensions would emerge. The
results from the six foreign cultures were virtually identical to the data from American sam-
ples: The Big Five personality dimensions were clearly evident. As the authors noted, “The
structure found in American volunteers was replicated in Japanese undergraduates and
Israeli job applicants. A model of personality rooted in English-language trait adjectives
could be meaningfully applied not only in a closely related language like German, but also in
such utterly distinct languages as Chinese and Korean” (p. 514). Other researchers have
reached the same conclusions using quite different techniques (Mlacic & Goldberg, 2007;
Salgado, Moscoso & Lado, 2003; John Williams, Satterwhite, & Saiz, 1998).

Surprisingly, many of these same personality traits apparently exist in a number of
species besides humans. For example, studies have found that the Big Five, with the two
added factors of dominance and activity, could be used to rate and describe personality
characteristics in species including gorillas, chimpanzees, rhesus and vervet monkeys, hye-
nas, dogs, cats, and pigs (Gosling & John, 1999; King, Weiss, & Farmer, 2005)!

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Table 10–1 THE “BIG FIVE” DIMENSIONS OF PERSONALITY

Traits Facets of Each Big Five Trait

Extraversion Warmth, gregariousness, assertiveness,
activity, excitement seeking, positive emotions

Agreeableness Trust, straightforwardness, altruism,
compliance, modesty, tender mindedness

Conscientiousness/Dependability Competence, order, dutifulness, achievement-
striving, self-discipline, deliberation

Emotional Stability Anxiety, hostility, depression, self-
consciousness, impulsiveness, vulnerability

Openness to Experience/Culture/Intellect Fantasy, aesthetics, feelings, actions, ideas,
values

Source: Adapted Table 3, p. 1560 in “Heritability of Facet-Level Traits in a Cross-Cultural Twin Sample: Support
for a Hierachical Model of Personality” by K. L. Jang, W. J. Livesley, R. R. McCrae, A. Angleitner, & R. Reimann,
Journal of Personality & Social Psychology, 74 (1998), 1556–65. Copyright © 1998 by American Psychological
Association.

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Personality 349

Do the Big Five Have a Genetic Basis? Recent evidence shows that not only the
Big Five but also many of their individual facets are strongly influenced by heredity
(W. Johnson & Krueger, 2004; Livesley, Jang, & Vernon, 2003). Although some early
theorists (Eysenck, 1947) suggested that physiological mechanisms underlie basic
personality traits, only recently has solid evidence from twin studies begun to support this
idea (Luciano, Wainwright, Wright, & Martin, 2006; Jang, Livesley, McCrae, Angleitner, &
Riemann, 1998; Rushton, Bons, & Hur, 2008). For example, Jang and colleagues (1998,
2002) tested almost 1,000 sets of twins from Germany and Canada on the 30 facets of the
Big Five. They concluded that genetic effects accounted for a substantial portion of
the differences between people’s scores on 26 of the 30 facet scales. In addition, the genetic
and environmental influences were similar for the Canadian and German samples.

Researchers have also confirmed that genetic factors play a significant role in shaping
abnormal and dysfunctional personality traits. In one study comparing 128 pairs of identical
and fraternal twins on both normal and abnormal personality traits, the influence of genetic
factors was found to slightly outweigh the influence of the environment. In addition, the pat-
tern of genetic and environmental influence was similar for both the abnormal traits and the
normal ones (Markon, Krueger, Bouchard, & Gottesman, 2002). Other studies have confirmed
that genetic factors also contribute to the personality traits that predispose individuals toward
alcohol abuse (Mustanski, Viken, Kaprio, & Rose, 2003), eating disorders (Mazzeo & Bulik,
2009), depression, marijuana dependence, aggression and antisocial personality disorder
(Alia-Klein et al., 2008; Forsman, Lichtenstein, Andershed, & Larsson, 2008; Fu et al., 2002).

What are the implications of these findings? There are several, although it is important to
keep in mind that saying a particular trait such as extraversion has a genetic component does
not mean that researchers have found a gene for extraversion. Nor are they likely to, because
genes represent a code for specific proteins, not complex personality traits. It does mean,
however, that the Big Five traits and their facets may be hardwired into the human species
rather than being cultural artifacts. Many genes—perhaps thousands of them—surely work
in combination to account for such complex traits. Though the precise role that genes play in
personality is still far from clear, most psychologists would agree that biological factors con-
tribute significantly to the development of most personality traits (Livesley et al., 2003).

A Trait View of Jaylene Smith
How would trait theorists describe Jaylene Smith’s personality?

A psychologist working from the trait perspective would infer certain traits from Jay’s behav-
ior. Since Jay chose at an early age to become a doctor, did well academically year after year, and
graduated first in her medical-school class, it seems reasonable to infer a trait of determination
or persistence to account for her behavior. Taking the
Big Five perspective, it seems that Jaylene’s personal-
ity is high in conscientiousness but perhaps low in
emotional stability and extraversion. These relatively
few traits provide a thumbnail sketch of what Jay is
like. It is likely that there is some biological basis for
her unique personality.

Evaluating Trait Theories
What major contributions have trait
theories made to our understanding of
personality?

Traits are the language that we commonly use to
describe other people, such as when we say some-
one is shy or insecure or arrogant. Thus, the trait
view of personality has considerable commonsense

Cultural Universals

Is it fair to conclude that the Big Five are in fact universal traits? To answer thisquestion, think about the following questions:
• What types of cultures have so far been studied? What do all of these cultures

have in common? What types of cultures have not been studied?

• How would researchers determine whether the Big Five traits are in fact the
most important ones in the cultures they have studied? Might other, equally
important, traits not be measured? Did the researchers explore what person-
ality traits are important in various cultures or simply confirm that people in a
variety of cultures recognize the Big Five traits?

• What do we have to know in order to say that something is universal?

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Stability–Change How Stable Is Personality Over Time?
Some psychologists question whether traits describe and predict behavior very well over
time. Are “agreeable” people at age 20 still agreeable at age 60? As we saw in Chapter 9,
“Life-Span Development,” numerous research studies have shown that temperament
remains quite stable over time. Similarly, the Big Five dimensions of personality show con-
siderable stability during early childhood and appear to be “essentially fixed by age 30”
(McCrae & Costa, 1994, p. 173; Asendorpf & Van-Aken, 2003). Though to some extent
adults can vary their behavior to fit the situations in which they find themselves, in general
it seems that when it comes to personality traits, “You can’t teach old dogs new tricks.” ■

350 Chapter 10

appeal. Moreover, it is scientifically easier to study personality traits than to study such
things as self-actualization and unconscious motives. But trait theories have several short-
comings (Costa & McCrae, 2006; Maher & Gottesman, 2005). First, they are primarily
descriptive: They seek to describe the basic dimensions of personality, but they generally do
not try to explain causes. As you can see from the trait view of Jaylene Smith, trait theory
tells us little about why she is the way she is.

In addition, some critics argue that it is dangerous to reduce human complexity to just
a few traits (Mischel & Shoda, 1995). Moreover, although the Big Five model is well
supported by research, some disagreement remains among psychologists about whether a
five-factor model is the best way to describe the basic traits of personality (De Raad, 2000;
Lubinski, 2000; Mershon & Gorsuch, 1988).

The issue of consistency in human behavior has long intrigued personality theorists
who are interested in the interaction between personality traits and the social environment.
In the view of these theorists, behavior is a product of the person and the situation
(Mischel, 2004; Mischel, Shoda, & Mendoza-Denton, 2002). That interaction is the focus of
cognitive–social learning theorists, whom we will consider next.

CHECK YOUR UNDERSTANDING

1. Eysenck stated that personality could be reduced to three basic dimensions: ______,
______, and ______.

2. There is evidence that suggests that personality is almost entirely due to environmental
factors. Is this statement true (T) or false (F)?

Answers:1. emotional stability, introversion–extraversion, psychoticism.2. F.

APPLY YOUR UNDERSTANDING

1. Peter is competent, self-disciplined, responsible, and well organized. In terms of the Big
Five model of personality, he is high in

a. agreeableness.
b. conscientiousness.
c. emotional stability.
d. intellect.

2. Sherry is warm, assertive, energetic, and enthusiastic. According to the Big Five model of
personality, she is high in

a. extraversion.
b. agreeableness.
c. emotional stability.
d. openness to experience.

Answers:1. b.2. a.

cognitive–social learning
theories Personality theories that view
behavior as the product of the interaction of
cognitions, learning and past experiences, and
the immediate environment.

self-efficacy According to Bandura, the
expectancy that one’s efforts will be successful.

performance standards In Bandura’s theory,
standards that people develop to rate the
adequacy of their own behavior in a variety
of situations.

expectancies In Bandura’s view, what a
person anticipates in a situation or as a result
of behaving in certain ways.

locus of control According to Rotter, an
expectancy about whether reinforcement is
under internal or external control.

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Personality 351

COGNITIVE–SOCIAL LEARNING THEORIES
How do personal and situational factors combine to shape behavior?

In contrast to personality trait theories, cognitive–social learning theories hold that
expectancies and values guide behavior. This set of personal standards is unique to each
one of us, growing out of our own life history. Our behavior is the product of our cogni-
tions (how we think about a situation and how we view our behavior in that situation), our
learning and past experiences (including reinforcement, punishment, and modeling), and
the immediate environment.

Expectancies, Self-Efficacy, and Locus of Control
How does locus of control affect self-efficacy?

Albert Bandura (1977, 1986, 1997) asserts that people evaluate a situation according to certain
internal expectancies, such as personal preferences, and this evaluation affects their behavior.
Environmental feedback that follows the actual behavior, in turn, influences future expectan-
cies. These experience-based expectancies lead people to conduct themselves according to
unique performance standards, individually determined measures of excellence by which
they judge their own behavior. Those who succeed in meeting their own internal performance
standards develop an attitude that Bandura calls self-efficacy (Bandura & Locke, 2003). For
example, two young women trying a video game for the first time may experience the situation
quite differently, even if their scores are similarly low. One with a high sense of self-efficacy
may find the experience fun and be eager to gain the skills necessary to go on to the next level,
whereas the one with a lower sense of self-efficacy may be disheartened by getting a low score,
assume she will never be any good at video games, and never play again.

In our example, the two young women approach the experience with different expectan-
cies. To Rotter (1954), locus of control is an especially prevalent expectancy by which people
evaluate situations. People with an internal locus of control are convinced they can control
their own fate. They believe that through hard work, skill, and training, they can find rein-
forcements and avoid punishments. People with an external locus of control do not believe
they control their fate. Instead, they are convinced that chance, luck, and the behavior of oth-
ers determine their destiny and that they are helpless to change the course of their lives.

Both Bandura and Rotter have tried to combine personal variables (such as expectan-
cies) with situational variables in an effort to understand the complexities of human
behavior. Both theorists believe that expectancies become part of a person’s explanatory
style, which, in turn, greatly influences behavior. Explanatory style, for example, separates
optimists from pessimists. It is what causes two beginners who get the same score on a
video game to respond so differently. Moreover, studies have shown that a pessimistic
explanatory style negatively impacts physical health, academic and career achievement, and
many aspects of mental health including depression and anxiety disorders. Conversely,
having a positive explanatory style appears to serve as a “protective factor” enhancing an
individual’s experience of well-being (K. K. Bennett & Elliott, 2005; Wise & Rosqvist, 2006).

In a now-famous study, researchers tracked 99 students from the Harvard graduation
classes of 1939 to 1944. The men were interviewed about their experiences and underwent
physical checkups every 5 years. When researchers analyzed the men’s interviews for signs
of pessimism or optimism, they found that the explanatory style demonstrated in those
interviews predicted the state of an individual’s health decades later. Those men who were
optimists at age 25 tended to be healthier at age 65, whereas the health of the pessimists had
begun to deteriorate at about age 45 (C. Peterson, Vaillant, & Seligman, 1988). Another
study looked at insurance agents in their first 2 years on the job (Seligman & Schulman,
1986). Explanatory style predicted which agents would become excellent agents and which
would quit the company (three-fourths of all agents quit within 3 years). Optimists sold
37% more insurance than pessimists in the first 2 years and persisted through the difficul-
ties of the job.

L E A R N I N G O B J E C T I V E S
• Explain how cognitive–social learning

theories of personality differ from other
theories. Be sure to include
expectancies, performance standards,
self-efficacy, and locus of control in
your explanation.

• Summarize the contributions and
limitations of the cognitive–social
learning perspective.

According to cognitive–social learning theo-
rists, people who meet their own internal
standards of performance develop a sense of
self-efficacy, a confidence that they can meet
their goals.

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352 Chapter 10

How Consistent Are We? We have seen that trait theorists tend to believe that
behavior is relatively consistent across situations. “Agreeable” people tend to be agreeable in
most situations most of the time. In contrast, cognitive–social learning theorists believe
that our actions are influenced by the people around us, and by the way we think we are
supposed to behave in a given situation. According to this latter view, although underlying
personality is relatively stable, behavior is likely to be more inconsistent than consistent
from one situation to another.

If behavior is relatively inconsistent across situations, why does it appear to be more
consistent than it actually is? Why is the trait view of personality so compelling? One expla-
nation is that, since we see a person only in those situations that tend to elicit the same
behavior, we tend to assume that their behavior is similar across a wide range of situations.
Moreover, there is considerable evidence that people need to find consistency and stability
even in the face of inconsistency and unpredictability. We therefore see consistency in the
behavior of others even when there is none (Mischel, 2003; Mischel & Shoda, 1995).

A Cognitive–Social Learning View
of Jaylene Smith
How would cognitive–social learning theorists describe
the factors that shaped Jaylene Smith’s personality?

Jaylene developed extraordinarily high performance standards, no doubt because her
father’s goals for her were so high. Although she has succeeded academically and profes-
sionally, in the face of such high performance standards it is understandable that she might
harbor some feelings of low self-efficacy, pessimism, insecurity, and uncertainty. She might
have been genetically predisposed toward shyness and introversion, but it is also likely that
she was rewarded for spending much time by herself studying. Moreover, long hours of
studying helped her to avoid the discomfort that she felt being around other people for
long periods. Reinforcement may also have shaped Jay’s self-discipline and her need to
achieve academically.

In addition, at least some aspects of Jaylene’s personality were formed by watching her
parents and brothers and by learning subtle lessons from these family interactions. As a
young child, she observed that some people deal with conflict by means of outbursts. That
might help to explain her aggressive behavior with boyfriends. Moreover, as Bandura’s
concept of self-efficacy would predict, Jay surely noticed that her father, a successful
medical researcher, enjoyed and prospered in both his career and his family life, whereas
her mother’s two jobs as homemaker and store manager left her frustrated and tired. This
contrast may have contributed to Jay’s interest in medicine and to mixed feelings about
establishing a close relationship that might lead to marriage.

Evaluating Cognitive–Social Learning Theories
What contributions have cognitive–social learning theories made
to our understanding of personality, and what are their limitations?

Cognitive–social learning theories of personality seem to have great potential. They put
mental processes back at the center of personality, and they focus on conscious behavior and
experience. We can define and scientifically study the key concepts of these theories, such as
self-efficacy and locus of control; that is not true of the key concepts of psychodynamic and
humanistic theories. Moreover, cognitive–social learning theories help explain why people
behave inconsistently, an area in which trait approaches fall short. Cognitive–social learning
theories of personality have also spawned useful therapies that help people recognize and
change a negative sense of self-efficacy or explanatory style. In particular, as we will see
in Chapter 13, “Therapies,” these therapies have helped people overcome depression. Self-
efficacy theory has also been embraced by management theorists because of its practical

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Personality 353

CHECK YOUR UNDERSTANDING

1. In Bandura’s view, the belief that people can control their own fate is known as
________ ________.

2. According to cognitive–social learning theorists, ________ ________ is what separates
optimists from pessimists.

PERSONALITY ASSESSMENT
How do psychologists measure personality?

In some ways, testing personality is much like testing intelligence. In both cases, we are try-
ing to measure something intangible and invisible. And in both cases, a “good test” is one
that is both reliable and valid: It gives dependable and consistent results, and it measures
what it claims to measure. (See Chapter 7, “Cognition and Mental Abilities.”) But there are
special difficulties in measuring personality.

Because personality reflects characteristic behavior, we are not interested in someone’s
best behavior. We are interested in typical behavior. Further complicating the measurement
process, such factors as fatigue, a desire to impress the examiner, and fear of being tested
can profoundly affect a person’s behavior in a personality-assessment situation. For the
intricate task of measuring personality, psychologists use four basic tools: the personal
interview, direct observation of behavior, objective tests, and projective tests. The tools
most closely associated with each of the major theories of personality are shown in the
“Summary Table: Theories of Personality” and are discussed next.

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APPLY YOUR UNDERSTANDING

1. Rey Ramos grew up in the South Bronx, an urban ghetto where young males are more
likely to go to jail than they are to graduate from high school. He said, “My father always
said you can’t change anything; destiny has everything written for you. But, I rebelled
against that, and I told him I was going to make my own destiny.” According to
cognitive–social learning theories of personality, which of the following is most
descriptive of Rey?

a. He has an internal locus of control.
b. He has a low sense of self-efficacy.
c. He is compensating for feelings of inferiority.
d. He has an external locus of control.

2. You introduce a friend to a new video game. On her first try, she doesn’t do well but she
says, “This is fun. I have to climb that ladder more quickly to escape the bombs. Let me
try again!” According to Bandura, her optimism reflects

a. positive internal expectancies.
b. environmental feedback.
c. external locus of control.
d. a low sense of self-efficacy.

Answers:1. self-efficacy.2. explanatory style.

Answers:1.a.2.a.

L E A R N I N G O B J E C T I V E S
• Compare and contrast direct

observation, structured and
unstructured interviews, and objective
and projective tests of personality.
Indicate which approaches to
personality assessment are preferred
by psychodynamic, humanistic, trait,
and cognitive–social learning theorists.

• Describe the three major objective
tests of personality and the two major
projective tests. Include a summary of
their reliability and validity.

implications for work performance. Many studies, conducted over more than 20 years, have
shown a positive correlation between self-efficacy and performance in workplaces, schools,
and clinical settings.

It is still too early to say how well cognitive–social learning theories account for the
complexity of human personality. Some critics point out that hindsight allows us to explain
any behavior as the product of certain cognitions, but that doesn’t mean those cognitions
were the causes—or at least the sole causes—of the behavior.

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354 Chapter 10

The Personal Interview
What are the purposes of structured and unstructured interviews?

An interview is a conversation with a purpose: to obtain information from the person being
interviewed. Interviews are often used in clinical settings to learn, for example, why someone
is seeking treatment and to help diagnose the person’s problem. Such interviews are generally
unstructured—that is, the interviewer asks the client questions about any issues that arise and
asks follow-up questions whenever appropriate. The interviewer may also pay attention to
the person’s manner of speaking, poise, or tenseness when certain topics are raised.

When conducting systematic research on personality, investigators more often rely on
structured interviews (van-Iddekinge, Raymark, Eidson, & Attenweiler, 2004). In these inter-
views, the order and content of the questions are fixed, and the interviewer adheres to the set
format. Although less personal, this kind of interview allows the interviewer to obtain compa-
rable information from everyone interviewed. Generally speaking, structured interviews elicit
information about sensitive topics that might not come up in an unstructured interview.

Direct Observation
What are the advantages and limits of the observational method?

Another way to find out how a person usually behaves is to observe that person’s actions in
everyday situations over a long period. Behaviorists and social learning theorists prefer this
method of assessing personality because it allows them to see how situation and environ-
ment influence behavior and to note a range of behaviors.

In direct observation, observers watch people’s behavior firsthand. Systematic observa-
tion allows psychologists to look at aspects of personality (e.g., traits, moods, or motives) as
they are expressed in real life (Ozer & Reise, 1994). Ideally, the observers’ unbiased accounts
of behavior paint an accurate picture of that behavior, but an observer runs the risk of
misinterpreting the true meaning of an act. For example, the observer may think that chil-
dren are being hostile when they are merely protecting themselves from the class bully.
Direct observation is expensive and time-consuming, and there is always the possibility
that the presence of the observer will affect people’s behavior.

Objective Tests
Why are objective tests preferred by trait theorists?

To avoid depending on the skills of an interviewer or the interpretive abilities of an observer
in assessing personality, psychologists devised objective tests, or personality inventories.
Generally, these are written tests that are administered and scored according to a standard
procedure. The tests are usually constructed so that the person merely chooses a “yes” or

Theory Roots of Personality Methods of Assessing

Psychodynamic Unconscious thoughts, feelings, motives, and conflicts; repressed
problems from early childhood.

Projective tests, personal interviews.

Humanistic A drive toward personal growth and higher levels of functioning. Objective tests, personal interviews.

Trait Relatively permanent dispositions within the individual that
cause the person to think, feel, and act in characteristic ways.

Objective tests.

Social Learning Determined by past reinforcement and punishment as well as by
observing what happens to other people.

Interviews, objective tests, observations.

THEORIES OF PERSONALITY

objective tests Personality tests that are
administered and scored in a standard way.

Personality 355

NEO-PI-R An objective personality test
designed to assess the Big Five personality traits.

“no” response, or selects one answer among many choices. Objective tests are the most
widely used tools for assessing personality, but they have two serious drawbacks. First, they
rely entirely on self-report. If people do not know themselves well, cannot be entirely objec-
tive about themselves, or want to paint a particular picture of themselves, self-report ques-
tionnaire results have limited usefulness (Bagby & Marshall, 2005; Marshall, De Fruyt,
Rolland, & Bagby, 2005). In fact, some research indicates that peers who know you well often
do a better job characterizing you than you do yourself (Funder, 1995). Second, if people
have previously taken personality questionnaires, their familiarity with the test format may
affect their responses to it. (See “Applying Psychology: Evaluating Your Personality.”)

Evaluating Your Personality

The following scales provide a way foryou to assess your own personalityon the Big Five personality traits. It
will examine the extent to which others
agree with your assessment, the extent to
which your behavior is consistent across a
range of situations, and the extent to
which your personality has been stable
over time. The adjectives correspond to
the six facets for each of the Big Five
traits. (See Table 10–1.)

For each of the adjectives, indicate the
extent to which you think it applies to you.
If you write your answers on a separate
sheet of paper, you can then ask others to do
the same and compare their answers to your
own. Friends, close relatives, and others
who know you well are likely to provide the
most useful information. You also might try
to get ratings from people who see you in
different situations—perhaps some people
who see you only in class, some who see you
only in informal social situations, and oth-
ers who have known you for a very long
time in a wide variety of situations. That
will give you an opportunity to see the
extent to which different situations cause
you to behave in different ways; in turn, this

could lead others, who see you only in those
situations, to conclude that your personality
is different than perhaps it really is.

You might also fill out the form, or
have others fill it out, as you were in the
past, and compare that with how you are
today. It would be interesting to specu-
late on the reasons for any significant
changes over time.

Use the following scales to rate yourself
on each adjective:

1. Very true of me
2. Often true of me
3. Sometimes true of me
4. Seldom true of me
5. Almost never true of me

Conscientiousness
Efficient 1 2 3 4 5
Organized 1 2 3 4 5
Responsible 1 2 3 4 5
Thorough 1 2 3 4 5
Self-disciplined 1 2 3 4 5
Deliberate 1 2 3 4 5

Extraversion
Outgoing 1 2 3 4 5
Sociable 1 2 3 4 5
Forceful 1 2 3 4 5
Energetic 1 2 3 4 5
Adventurous 1 2 3 4 5
Enthusiastic 1 2 3 4 5

Agreeableness
Forgiving 1 2 3 4 5
Not demanding 1 2 3 4 5

Emotional Stability
Tense 1 2 3 4 5
Irritable 1 2 3 4 5
Depressed 1 2 3 4 5
Self-conscious 1 2 3 4 5
Moody 1 2 3 4 5
Not self-confident 1 2 3 4 5

Openness
Curious 1 2 3 4 5
Imaginative 1 2 3 4 5
Artistic 1 2 3 4 5
Wide interests 1 2 3 4 5
Excitable 1 2 3 4 5
Unconventional 1 2 3 4 5

Because of their interest in accurately measuring personality traits, trait theorists favor
objective tests. Cattell, for example, developed a 374-question personality test called the
Sixteen Personality Factor Questionnaire. The 16PF (as it is usually called) provides scores
on each of the 16 traits originally identified by Cattell. More recently, objective tests such as
the NEO-PI-R have been developed to assess the Big Five major personality traits (Costa &
McCrae, 2006). The NEO-PI-R yields scores for each trait and its six facets. For each of over
200 questions, the test taker indicates to what degree he or she disagrees with the statement
made. The primary use of the test is to assess the personality of a normal adult, although
recent studies suggest it may also prove useful in some clinical settings (Bagby, Sellbom,
Costa, & Widiger, 2008).

Warm 1 2 3 4 5
Not stubborn 1 2 3 4 5
Modest 1 2 3 4 5
Sympathetic 1 2 3 4 5

Sixteen Personality Factor
Questionnaire Objective personality test
created by Cattell that provides scores on the 16
traits he identified.

356 Chapter 10

Rorschach test A projective test composed of
ambiguous inkblots; the way people interpret
the blots is thought to reveal aspects of their
personality.

Thematic Apperception Test (TAT) A
projective test composed of ambiguous pictures
about which a person is asked to write a
complete story.

Table 10–2 THE 10 CLINICAL SCALES OF THE MMPI-2

Clinical Scale Symbol Description

Hypochondriasis Hs Excessive concern with physical health and bodily function,
somatic complaints, chronic weakness

Depression D Unhappiness, loss of energy, pessimism, lack of self-
confidence, hopelessness, feeling of futility

Hysteria Hy Reacts to stress with physical symptoms such as blindness
or paralysis; lacks insights about motives and feelings

Psychopathic
Deviation

Pd Disregard for rules, laws, ethics, and moral conduct;
impulsiveness, rebellious toward authority figures, may
engage in lying, stealing and cheating

Masculinity-
Femininity

Mf Adherence to nontraditional gender traits, or rejection of
the typical gender role

Paranoia Pa Suspiciousness, particularly in the area of interpersonal
relations, guarded, moralistic, and rigid; overly responsive
to criticism

Psychasthenia Pt Obsessiveness and compulsiveness, unreasonable fears,
anxious, tense, and high-strung

Schizophrenia Sc Detachment from reality, often accompanied by
hallucinations, delusions, and bizarre thought processes;
often confused, disorganized

Hypomania Ma Elevated mood, accelerated speech, flight of ideas,
overactivity, energetic, and talkative

Social Introversion Si Shy, insecure, and uncomfortable in social situations; timid,
reserved, often described by others as cold and distant

Minnesota Multiphasic Personality
Inventory (MMPI-2) The most widely used
objective personality test, originally intended
for psychiatric diagnosis.

projective tests Personality tests, such as the
Rorschach inkblot test, consisting of ambiguous
or unstructured material.

The most widely used and thoroughly researched objective personality test is the
Minnesota Multiphasic Personality Inventory (MMPI-2) (Dorfman & Leonard, 2001;
Hoelzle & Meyer, 2008). Originally developed as an aid in diagnosing psychiatric disorders,
the MMPI-2 remains in use as an effective diagnostic tool (Egger, Delsing, & DeMey, 2003)
and for detecting malingering, or faking a psychiatric disorder (Kucharski, Johnsen, &
Procell, 2004; Walters et al., 2008). Respondents are asked to answer “true,” “false,” or
“cannot say” to such questions as “Once in a while I put off until tomorrow what I ought to
do today,” “At times I feel like swearing,” and “There are people who are trying to steal my
thoughts and ideas.” Some of the items repeat very similar thoughts in different words: For
example, “I tire easily” and “I feel weak all over much of the time.” This redundancy
provides a check on the possibility of false or inconsistent answers. Table 10–2 shows the
10 clinical scales that are assessed by the MMPI-2.

Projective Tests
What do projective tests try to measure?

Owing to their belief that people are often unaware of the determinants of their behavior, psy-
chodynamic theorists tend to discount self-report–based objective personality tests. Instead,
they prefer projective tests of personality. Most projective tests consist of simple ambiguous
stimuli. After looking at an essentially meaningless graphic image or at a vague picture, the test
taker explains what the material means. Alternatively, the person may be asked to complete a
sentence fragment, such as “When I see myself in the mirror, I . . .” The tests offer no clues
regarding the “best way” to interpret the material or to complete the sentence.

Projective tests have several advantages.
Because they are flexible and can even be treated
as games or puzzles, people can take them in a
relaxed atmosphere, without the tension and
self-consciousness that sometimes accompany
objective tests. Often, the patient doesn’t even
know the true purpose of the test, so responses
are less likely to be faked. Some psychologists
believe that the projective test can uncover
unconscious thoughts and fantasies, such as
latent sexual or family problems. In any event,
the accuracy and usefulness of projective tests
depend largely on the skill of the examiner in elic-
iting and interpreting responses.

The Rorschach test is the best known and one of the most frequently used projective
personality tests (I. B. Weiner, 2006). It is named for Hermann Rorschach, a Swiss psychia-
trist who in 1921 published the results of his research on interpreting inkblots as a key to
personality. (See Figure 10–4.) Each inkblot design is printed on a separate card and is
unique in form, color, shading, and white space. People are asked to specify what they see in
each blot. Test instructions are minimal, so people’s responses will be completely their own.
After interpreting all the blots, the person goes over the cards again with the examiner and
explains which part of each blot prompted each response. There are different methods of
interpreting a person’s responses to the blots on the Rorschach test, some of which produce
more valid results than others (Masling, 2002; Viglione & Taylor, 2003).

Somewhat more demanding is the Thematic Apperception Test (TAT). It consists
of 20 cards picturing one or more human figures in deliberately ambiguous situations.
(See Figure 10–5.) A person is shown the cards one by one and asked to write a com-
plete story about each picture, including what led up to the scene depicted, what the
characters are doing at that moment, what their thoughts and feelings are, and what the
outcome will be.

Personality 357

Figure 10–4
Inkblots used in the Rorschach
projective test.

Figure 10–5
A sample item from the Thematic Apperception Test (TAT).
In the photo, the person is making up a story to explain the scene in the painting. The examiner then
interprets and evaluates the person’s story for what it reveals about her personality.
Source: Reprinted by permission of the publishers from Henry A. Murray, Thematic Apperception Test,
Cambridge, Mass.: Harvard University Press, Copyright © 1943 by the President and Fellows of Harvard College,
© 1971 by Henry A. Murray.

Projective Tests

Critics of projective tests say that it is the clinician whose personality is actu-ally revealed by the tests, because the clinician’s report is itself an interpre-tation of an ambiguous stimulus (the client’s verbal response).
1. Do you agree or disagree? Why?
2. How might this potential source of error be reduced?
3. What are the real or potential advantages to using projective tests?

358 Chapter 10

Answers:1. c.2. c.

APPLY YOUR UNDERSTANDING

1. You are consulting a psychologist who asks you to take a personality test. She shows you
pictures of people and asks you to write a complete story about each picture. The test is
most likely the

a. Minnesota Multiphasic Personality Inventory.
b. Rorschach Test.
c. Thematic Apperception Test.
d. NEO-PI-R.

2. “They are often not administered in a standard fashion, they are seldom scored
objectively, but when interpreted by a skilled examiner, they can provide insight into a
person.” To what does this quotation most likely refer?

a. structured interviews
b. objective personality tests
c. projective personality tests
d. the NEO-PI-R and the MMPI-2

Studying Personality
personality, p. 335

Psychodynamic Theories
unconscious, p. 336
psychoanalysis, p. 336
libido, p. 336

id, p. 337
pleasure principle, p. 337
ego, p. 337
reality principle, p. 337
superego, p. 337
ego ideal, p. 337
fixation, p. 338

oral stage, p. 338
anal stage, p. 338
phallic stage, p. 338
Oedipus complex and Electra

complex, p. 338
latency period, p. 338
genital stage, p. 338

personal unconscious, p. 339
collective unconscious,

p. 339
archetypes, p. 339
persona, p. 339
extraverts, p. 339
introverts, p. 339

CHECK YOUR UNDERSTANDING

1. ____________ tests require people to fill out questionnaires, which are then scored
according to a standardized procedure.

2. In ____________ tests of personality, people are shown ambiguous stimuli and asked to
describe them or to make up a story about them.

Answers:1. objective.2. projective.

Although various scoring systems have been devised for the TAT (Aranow, Weiss, &
Rezikoff, 2001), examiners usually interpret the stories in the light of their personal knowl-
edge of the storyteller. One key in evaluating the TAT is determining who the test taker
identifies with—the story’s hero or heroine, or one of the minor characters. The examiner
then determines what the attitudes and feelings of the character reveal about the storyteller.
The examiner also assesses each story for content, language, originality, organization, con-
sistency, and recurring themes such as the need for affection, repeated failure, or parental
domination.

Both the Rorschach and the TAT may open up a conversation between a clinician
and a patient who is reluctant or unable to talk about personal problems. Both tests may
also provide insight into motives, events, or feelings of which the person is unaware.
However, because projective tests are often not administered in a standard fashion, their
validity and reliability, especially in cross-cultural settings, have been called into ques-
tion (Hofer & Chasiotis, 2004). As a result, their use has declined since the 1970s. Still,
when interpreted by a skilled examiner, these tests can offer insight into a person’s atti-
tudes and feelings. Simulate on MyPsychLab

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Personality 359

STUDYING PERSONALITY
What do psychologists mean when they talk about personality?
Personality refers to an individual’s unique pattern of thoughts,
feelings, and behaviors that persists over time and across situations.
Key to this definition is the concept of distinctive differences
among individuals and the concept of personality’s stability and
endurance.

PSYCHODYNAMIC THEORIES
What ideas do all psychodynamic theories have in com-
mon? Psychodynamic theories of personality consider behavior to
be the transformation and expression of psychic energy within the
individual. Often these psychological dynamics are unconscious
processes.

When Freud proposed that the sexual instinct is the basis of
behavior, how was he defining “sexual instinct”? According to
Freud, personality is made of three structures. The id, the only
personality structure present at birth, operates in the unconscious-
ness according to the pleasure principle. The ego, operating at the
conscious level according to the reality principle, controls all
conscious thinking and reasoning. The superego acts as the moral
guardian or conscience helping the person function in society by
comparing the ego’s actions with the ego ideal of perfection. Freud
used the term sexual instinct to refer to the desire for virtually any
form of pleasure. As infants mature, their libido, or energy gener-
ated by the sexual instinct, becomes focused on sensitive parts of
the body. A fixation occurs if a child is deprived of or receives too
much pleasure from the part of the body that dominates one of the
five developmental stages—oral, anal, phallic, latency, and genital.
During the phallic stage, strong attachment to the parent of the
opposite sex and jealousy of the parent of the same sex is termed
the Oedipus complex in boys and the Electra complex in girls.
Next the child enters the latency period, characterized by a lack of
interest in sexual behavior. Finally, at puberty, the individual enters
the genital stage of mature sexuality.

How did Carl Jung’s view of the unconscious differ from that
of Freud? Freud saw the id as a “cauldron of seething excitations,”
whereas Jung viewed the unconscious as the ego’s source of
strength. Jung believed that the unconscious consisted of the
personal unconscious, encompassing an individual’s repressed
thoughts, forgotten experiences, and undeveloped ideas; and the
collective unconscious, a subterranean river of memories and
behavior patterns flowing to us from previous generations. Certain
universal thought forms, called archetypes, give rise to mental
images or mythological representations and play a special role in
shaping personality. Jung used the term persona to describe that
part of personality by which we are known to other people, like a
mask we put on to go out in public.

What did Alfred Adler believe was the major determinant of
personality? Adler believed that people possess innate positive
motives and strive toward personal and social perfection. He origi-
nally proposed that the principal determinant of personality was
the individual’s attempt to compensate for actual physical weak-
ness, but he later modified his theory to stress the importance of
feelings of inferiority, whether or not those feelings are justified.
Adler concluded that strivings for superiority and perfection, both
in one’s own life and in the society in which one lives, are crucial to
personality development.

What major contributions did Karen Horney make to the
psychodynamic perspective? For Horney, anxiety—a person’s
reaction to real or imagined dangers or threats—is a stronger
motivating force than the sexual drive, or libido. Overly anxious
adults may adopt one of three maladaptive coping strategies—
moving toward people (submission), moving against people
(aggression), and moving away from people (detachment). By
emphasizing that culture and not anatomy determines many of
the personality traits that differentiate women from men and that
culture can be changed, Horney became a forerunner of feminist
psychology.

Erikson’s theory focused less on unconscious conflict and
more on what factors? Erikson argued that the quality of the

compensation, p. 340
inferiority complex, p. 340

Humanistic Personality
Theories
humanistic personality theory,

p. 344
actualizing tendency,

p. 345

self-actualizing tendency,

p. 345

fully functioning person, p. 345
unconditional positive regard,

p. 345
conditional positive regard,

p. 345

Trait Theories
personality traits, p. 346
factor analysis, p. 347
Big Five, p. 347

Cognitive–Social Learning
Theories
cognitive–social learning

theories, p. 351
expectancies, p. 351
performance standards, p. 351
self-efficacy, p. 351
locus of control, p. 351

Personality Assessment
objective tests, p. 354

Sixteen Personality Factor
Questionnaire, p. 355

NEO-PI-R, p. 355
Minnesota Multiphasic

Personality Inventory
(MMPI-2), p. 356

projective tests, p. 356
Rorschach test, p. 357
Thematic Apperception Test

(TAT), p. 357

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360 Chapter 10

parent–child relationship affects the development of personality
because, out of this interaction, the child either feels competent
and valuable and is able to form a secure sense of identity or feels
incompetent and worthless and fails to build a secure identity.
Erikson proposed that each person moves through eight stages
of development, each involving a more successful versus a less
successful adjustment.

How would a psychodynamic theorist view the personality of
Jaylene Smith? Freud would probably conclude that Jay had not
successfully resolved her Electra complex. Erikson might suggest
that Jay has problems achieving intimacy (Stage 6) because she had
failed to develop satisfactory relations with other people earlier in
her life.

How do modern psychologists view the contributions and
limitations of the psychodynamic perspective? Psychody-
namic theories have had a profound impact on the way we view
ourselves and others, but some of Freud’s theories have been crit-
icized as unscientific and culture bound, based on the anecdotal
accounts of troubled individuals. As a therapy, psychoanalysis
has been shown to be beneficial in some cases but no more so
than are other therapies.

HUMANISTIC PERSONALITY THEORIES
What are the major ways that humanistic personality theory
differs from psychodynamic theories? Freud and many of his
followers believed that personality grows out of the resolution of
unconscious conflicts and developmental crises from the past.
Humanistic personality theory emphasizes that we are positively
motivated and progress toward higher levels of functioning; and it
stresses people’s potential for growth and change in the present.

According to Rogers, how can thinking of yourself as self-
assured help you to become so? Rogers contended that every
person is born with certain innate potentials and the actualizing
tendency to realize our biological potential as well as our conscious
sense of who we are. A fully functioning person is one whose self-
concept closely matches the person’s inborn capabilities, and is
encouraged when a child is raised in an atmosphere characterized
by unconditional positive regard.

How would humanistic theorists view the development of
Jaylene Smith’s personality? Humanistic theorists would focus
on the difference between Jay’s self-concept and her actual capac-
ities. Her inability to become what she “most truly is” would
account for her anxiety, loneliness, and general dissatisfaction.
Rogers would suspect that throughout Jay’s life, acceptance and
love came from satisfying other people’s ideas of what she should
become.

What have humanistic theories contributed to our under-
standing of personality? There is a lack of scientifically derived
evidence for humanistic theories of personality. In addition, these
theories are criticized for taking too rosy a view of human nature,
for fostering self-centeredness, and for reflecting Western values of
individual achievement.

TRAIT THEORIES
What is the key focus of trait theories? Trait theorists reject the
notion that there are just a few distinct personality types. Instead,
they insist that each person possesses a unique constellation of fun-
damental personality traits, which can be inferred from how the
person behaves.

What five basic traits describe most differences in personality?
Recent research suggests that there may be just five overarching and
universal personality traits: extraversion, agreeableness, conscien-
tiousness, emotional stability, and openness to experience (also called
culture or intellect). Research shows these traits have some real world
applications and are strongly influenced by heredity.

How would trait theorists describe Jaylene Smith’s personality?
Trait theorists would probably ascribe Jaylene’s high achievements to
the traits of determination or persistence. Sincerity, motivation,
intelligence, anxiety, and introversion would also describe Jay. In terms
of Big Five factors, she would be considered high in conscientiousness,
but low in emotional stability and extraversion.

What major contributions have trait theorists made to our
understanding of personality? Trait theories are primarily descrip-
tive and provide a way of classifying personalities, but they do not
explain why someone’s personality developed as it did. Unlike
psychodynamic and humanistic theories, however, trait theories are
relatively easy to test experimentally, and research confirms the value
of the five-factor model, referred to as the “Big Five,” in pinpointing
personality. Also, although most personality theories assume that
behavior is consistent across situations and over a lifetime, a number
of psychologists believe that situational variables have a significant
effect on behavior.

COGNITIVE–SOCIAL LEARNING
THEORIES
How do personal and situational factors combine to shape
behavior? Cognitive–social learning theories of personality view
behavior as the product of the interaction of cognitions, learning
and past experiences, and the immediate environment.

How does one’s locus of control affect self-efficacy? Albert
Bandura maintains that certain internal expectancies determine
how a person evaluates a situation and that this evaluation has an
effect on the person’s behavior. These expectancies prompt people
to conduct themselves according to unique performance stan-
dards, individually determined measures of excellence by which
they judge their behavior. According to Rotter, people with an inter-
nal locus of control—one type of expectancy—believe that they
can control their own fate through their actions. Those who suc-
ceed in meeting their own internal performance standards develop
an attitude that Bandura calls self-efficacy.

How would cognitive–social learning theorists describe the
factors that shaped Jaylene Smith’s personality? These theo-
rists would assert that Jaylene acquired extraordinarily high perfor-
mance standards that almost inevitably left her with feelings of low
self-efficacy, insecurity and uncertainty. She probably learned to be

Personality 361

shy because she was rewarded for the many hours she spent alone
studying. Reinforcement would also have shaped her self-discipline
and high need to achieve. By watching her parents, Jay could have
learned to respond to conflicts with aggressive outbursts.

What contributions have cognitive–social learning theories
made to our understanding of personality, and what are their
limitations? Cognitive–social learning theories avoid the narrow-
ness of trait theories, as well as the reliance on case studies and
anecdotal evidence that weakens psychodynamic and humanistic
theories. They also explain why people behave inconsistently, an
area where the trait theories fall short. Cognitive–social learning
theories have also spawned therapies that have been effectively used
to treat depression.

PERSONALITY ASSESSMENT
How do psychologists measure personality? Psychologists use
four different methods to assess personality: the personal interview,
direct observation of behavior, objective tests, and projective tests.
Factors such as a desire to impress the examiner, fatigue, and fear of
being tested can profoundly affect the reliability and validity of
such tests.

What are the purposes of structured and unstructured
interviews? During an unstructured interview, the interviewer
asks questions about any issues that arise and poses follow-up
questions where appropriate. In a structured interview, the order

and the content of the questions are fixed, and the interviewer
does not deviate from the format. Structured interviews are more
likely to be used for systematic research on personality because
they elicit comparable information from all interviewees.

What are the advantages and limits of the observational
method? Direct observation of a person over a period of time,
which enables researchers to assess how situation and environment
influence behavior, has the advantage of not relying on people’s
self-reported behavior. However, the observer runs the risk of
misinterpreting the meaning of a given behavior.

Why are objective tests preferred by trait theorists? Objective
tests ask respondents to answer “yes–no” questions about their own
behavior and thoughts. Cattell’s Sixteen Personality Factor Ques-
tionnaire (16PF) provides scores on 16 basic personality traits,
whereas the NEO-PI-R reports scores for each of the Big Five traits
and their associated facets. The Minnesota Multiphasic Personal-
ity Inventory (MMPI-2), originally developed as an aid to diagnose
mental disorders, includes questions that measure the truthfulness
of a person’s response.

What do projective tests try to measure? Psychodynamic
theorists, who believe that much behavior is determined by uncon-
scious processes, tend to discount tests that rely on self-reports.
They are more likely to use projective tests consisting of ambiguous
stimuli that can elicit an unlimited number of interpretations based
on these unconscious processes. Two such tests are the Rorschach
Test and the Thematic Apperception Test (TAT).

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