Horney felt that a woman's concept of inferiority results from

• The text has been updated to a more clear and concise version with the latest research literature and a revised list of chapters.

• New Illustrative Biographies: Sonia Sotomayor (Chapter 8) and Barack Obama (Chapter 13).

• Clearer presentation of some issues (e.g., recovered memory; hypnosis) (Chapter 2), additional references making comparisons with other religious traditions (Chapter 16), and a more concise history of Buddhism (Chapter 16).

• Expanded discussion, in the presentation of Erikson’s biography, of the current state of child analysis. Clearer presentation of identity development and moratorium, and some longitudinal research about identity development. Expanded discussion of cross-cultural research (especially regarding the stage of generativity). Mention of terrorists as examples of a foreclosed identity (Chapter 5).

• Expanded content about research on relational approaches with respect to brain functioning and mental health issues (e.g., border- line personality; narcissism) (Chapter 6) and clearer presentation of psychological types (Chapter 3).

• Updated discussion of religious orientations, including more cross-cultural material (e.g., religious orientation in Muslim populations, and in American ethnic groups) (Chapter 7).

• Expanded discussion of the Big Five, and reduced focus on Cattell’s older theory. Expanded discussion of cross-cultural studies of the Five Factor model. More studies of implications of the five factors for life outcomes (e.g., aging and retirement) (Chapter 8).

• Expanded discussion of behavioral genetics and new table on heritability of specific personality characteristics as well as cultural and cross-cultural issues as contexts (Chapter 9).

• The Behaviorism section has been updated with an abridged version of Dollard and Miller’s theory along with Skinner’s theory (also abridged) and Staats’s theory. The Illustrative Biography of Tiger Woods has been updated, discussing how behavioral approaches are specific to particular behaviors, so that a behavioral interpretation of his success at golf (emphasized in the previous edition) shows the limitations of this approach, which does not present a broader view of personality that would have predicted his marital and infidelity problems, which are discussed in this edition (Chapter 10).

• Mischel and Bandura are each discussed in a separate chapter, instead of being combined into the same chapter (in the previous edition). Expanded discussion of the Wediko Camp study (included in this edition) that was the basis of Mischel’s research on traits and situations. The CAPS model is presented as a distinct section. Discussion of the cultural learning and implications of cognitive affective units in the CAPS model (including race differences in response to the O. J. Simpson verdict, and interpersonal relation- ships in the context of prejudice). Discussion of cross-cultural studies of the CAPS model (the United States and Philippines). Discussion of the importance of measuring situations (Chapter 12).

• Expanded section on Positive Psychology, organized in terms of the “three pillars” of positive psychology, with attention to both the individual and social institutions. Also, a new discussion of why happiness is an important theoretical focus, based on an evolutionary argument (Chapter 15).

Why You Need this New Edition

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Theories of Personality UNDERSTANDING PERSONS

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Theories of Personality UNDERSTANDING PERSONS

Sixth Edition

Susan Cloninger

The Sage Colleges

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To Nigel

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BRIEF CONTENTS

Preface xvii

Chapter 1 Introduction to Personality Theory 1

PART 1 The Psychoanalytic Perspective 17 Chapter 2 Freud: Classical Psychoanalysis 19 Chapter 3 Jung: Analytical Psychology 44

PART 2 The Psychoanalytic-Social Perspective 65 Chapter 4 Adler: Individual Psychology 67 Chapter 5 Erikson: Psychosocial Development 84 Chapter 6 Horney and Relational Theory: Interpersonal Psychoanalytic

Theory 102

PART 3 The Trait Perspective 125 Chapter 7 Allport: Personological Trait Theory 126 Chapter 8 Two Factor Analytic Trait Theories: Cattell’s 16 Factors

and the Big Five 145 Chapter 9 Biological Theories: Evolution, Genetics, and Biological Factor

Theories 164

PART 4 The Behavioral Perspective 185 Chapter 10 The Challenge of Behaviorism: Dollard and Miller, Skinner,

and Staats 186 Chapter 11 Kelly: Personal Construct Theory 210 Chapter 12 Mischel: Traits in Cognitive Social Learning Theory 228 Chapter 13 Bandura: Performance in Cognitive Social Learning Theory 245

PART 5 The Humanistic Perspective 265 Chapter 14 Rogers: Person-Centered Theory 267 Chapter 15 Maslow and His Legacy: Need Hierarchy Theory

and Positive Psychology 282 Chapter 16 Buddhist Psychology: Lessons from Eastern Culture 305 Chapter 17 Conclusion 328

Glossary 333 References 342 Credits 403 Author Index 405 Subject Index 415

ix

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CONTENTS

Preface xvii

Chapter 1 Introduction to Personality Theory 1 Chapter Overview 1 Personality: The Study of Individuals 2 Description of Personality 2 Personality Dynamics 4 Personality Development 4 The Scientific Approach 6 Methods in Personality Research 9 One Theory or Many? Eclecticism and the Future of Personality Theory 14

Summary 15 15 Study Questions 16

PART 1 The Psychoanalytic Perspective 17

Chapter 2 Freud: Classical Psychoanalysis 19 Chapter Overview 19 Preview: Overview of Freud’s Theory 21 Freud’s Theory in His Time, and Ours 22 The Unconscious 23 Structures of the Personality 28 Intrapsychic Conflict 30 Personality Development 34 Psychoanalytic Treatment 38 Psychoanalysis as a Scientific Theory 39 Evaluating Freud’s Theory 42

Study Questions 43

Chapter 3 Jung: Analytical Psychology 44 Chapter Overview 44 Preview: Overview of Jung’s Theory 46 The Structure of Personality 48 Symbolism and the Collective Unconscious 54 Therapy 55 Synchronicity 57 Psychological Types 58 Evaluating Jung’s Theory 62

Study Questions 63

xi

xii Contents

PART 2 The Psychoanalytic-Social Perspective 65

Chapter 4 Adler: Individual Psychology 67 Chapter Overview 67 Preview: Overview of Adler’s Theory 69 Striving from Inferiority toward Superiority 71 The Unity of Personality 73 The Development of Personality 75 Psychological Health 78 The Three Tasks of Life 79 Interventions Based on Adler’s Theory 80

Study Questions 83

Chapter 5 Erikson: Psychosocial Development 84 Chapter Overview 84 Preview: Overview of Erikson’s Theory 86 Child Analysis 88 The Epigenetic Principle 88 The Psychosocial Stages 89 The Role of Culture in Relation to the Psychosocial Stages 93 Racial and Ethnic Identity 96 Research on Development through the Psychosocial Stages 97 Toward a Psychoanalytic Social Psychology 99

Study Questions 101

Chapter 6 Horney and Relational Theory: Interpersonal Psychoanalytic Theory 102 Chapter Overview 102 Preview: Overview of Interpersonal Psychoanalytic Theory 104 Interpersonal Psychoanalysis: Horney 104 Basic Anxiety and Basic Hostility 107 Three Interpersonal Orientations 107 Four Major Adjustments to Basic Anxiety 110 Secondary Adjustment Techniques 111 Cultural Determinants of Development 112 Horney’s Approach to Therapy 114 Parental Behavior and Personality Development 115 The Relational Approach Within Psychoanalytic Theory 115 The Sense of Self in Relationships 118 Narcissism 118 Attachment in Infancy and Adulthood 119 The Relational Approach to Therapy 122

Contents xiii

PART 3 The Trait Perspective 125

Chapter 7 Allport: Personological Trait Theory 126 Chapter Overview 126 Preview: Overview of Allport’s Theory 128 Major Themes in Allport’s Work 130 Allport’s Definition of Personality 130 Personality Traits 132 Personality Development 136 Religious Orientation 138 Personality and Social Phenomena 140 Eclecticism 143

Study Questions 144

Chapter 8 Two Factor Analytic Trait Theories: Cattell’s 16 Factors and the Big Five 145 Chapter Overview 145 Preview: Overview of Factor Analytic Trait Theories 147 Factor Analysis 148 The 16 Factor Theory: Cattell 148 Personality Measurement and the Prediction of Behavior 149 Because Personality Is Complex: A Multivariate Approach 150 Psychological Adjustment 151 Three Types of Traits 151 Predicting Behavior 154 Determinants of Personality: Heredity and Environment 155 The Role of Theory in Cattell’s Empirical Approach 155 The Big Five Factor Theory 155 Extraversion 157 Agreeableness 157 Neuroticism 157 Conscientiousness 158 Openness 159 A Hierarchical Model 159 Are the Five Factors Universal? 160 Various Measures of the Big Five 161 Factors and Other Personality Constructs 162

Chapter 9 Biological Theories: Evolution, Genetics, and Biological Factor Theories 164 Chapter Overview 164 Preview: Overview of Biological Theories 166 Evolutionary Approaches 167 Aggression and Dominance 168

xiv Contents

Sexual Behavior 168 Parental Behavior 170 Altruism and Social Emotions 170 Culture 171 Genetics and Personality 172 Temperament 173 Emotional Arousal 175 Cortical Arousal 176 Biological Factor Theories: Eysenck, Gray, and Others 177 Eysenck’s “PEN” Biological Model 177 Gray’s Reinforcement Sensitivity Theory 179 Cloninger’s Tridimensional Model 181 Biological Mechanisms in Context 182

PART 4 The Behavioral Perspective 185

Chapter 10 The Challenge of Behaviorism: Dollard and Miller, Skinner, and Staats 186 Chapter Overview 186 Preview: Overview of Behavioral Theories 189 Psychoanalytic Learning Theory: Dollard and Miller 190 Learning Theory Reconceptualization of Psychoanalytic Concepts 190 Four Fundamental Concepts about Learning 190 The Learning Process 191 The Four Critical Training Periods of Childhood 192 Frustration and Aggression 193 Conflict 194 Language, Neurosis, and Psychotherapy 194 Suppression 195 Radical Behaviorism: Skinner 195 Behavior as the Data for Scientific Study 196 Learning Principles 197 Applications of Behavioral Techniques 198 Radical Behaviorism and Personality: Some Concerns 199 Psychological Behaviorism: Staats 199 Reinforcement 201 Basic Behavioral Repertoires 201 Situations 205 Psychological Adjustment 205 The Nature-Nurture Question from the Perspective of Psychological Behaviorism 206 The Act Frequency Approach to Personality Measurement 207 Contributions of Behaviorism to Personality Theory 208

Contents xv

Chapter 11 Kelly: Personal Construct Theory 210 Chapter Overview 210 Preview: Overview of Kelly’s Theory 213 Constructive Alternativism 214 The Process of Construing 216 The Structure of Construct Systems 217 The Social Embeddedness of Construing Efforts 219 The Role Construct Repertory (REP) Test 220 Cognitive Complexity 222 Personality Change 222 Therapy 224 Research Findings 225

Chapter 12 Mischel: Traits in Cognitive Social Learning Theory 228 Chapter Overview 228 Preview: Overview of Mischel’s Theory 230 Delay of Gratification 232 Personality Traits: Mischel’s Challenge 234 The CAPS Model 238 Applications of the CAPS Model of Personality 241

Study Questions 244

Chapter 13 Bandura: Performance in Cognitive Social Learning Theory 245 Chapter Overview 245 Preview: Overview of Bandura’s Theory 248 Reciprocal Determinism 250 Self-Regulation of Behavior: The Self-System 251 Self-Efficacy 252 Processes Influencing Learning 255 Observational Learning and Modeling 257 Therapy 259 The Person in the Social Environment 262

Study Questions 263

PART 5 The Humanistic Perspective 265

Chapter 14 Rogers: Person-Centered Theory 267 Chapter Overview 267 Preview: Overview of Rogers’s Theory 269 The Actualizing Tendency 271 The Self 273 Development 273 Therapy 274 Other Applications 278

xvi Contents

Criticisms of Rogers’s Theory 280

Study Questions 280

Chapter 15 Maslow and His Legacy: Need Hierarchy Theory and Positive Psychology 282 Chapter Overview 282 Preview: Overview of Maslow’s Theory 284 Need Hierarchy Theory: Maslow 285 Maslow’s Vision of Psychology 286 Hierarchy of Needs 286 Self-Actualization 289 Applications and Implications of Maslow’s Theory 293 Maslow’s Challenge to Traditional Science 294 Positive Psychology 295 Positive Subjective Experience 296 Positive Traits 299 Positive Institutions 302 The Promise of Positive Psychology 303

Chapter 16 Buddhist Psychology: Lessons from Eastern Culture 305 Chapter Overview 305 Preview: Overview of Buddhist Psychology 307 The Relevance of Buddhism for Personality Psychology 308 A Brief History of Buddhism 309 The Buddhist Worldview: The Four Noble Truths 309 Buddhism and Personality Concepts 311 Spiritual Practices 318 Buddhism and Psychotherapy 324 The Dialogue between Buddhism and Scientific Psychology 325

Chapter 17 Conclusion 328 Chapter Overview 328 Choosing or Combining Theories 328 Theories as Metaphors 329

Study Questions 332

Glossary 333

References 342 Credits 403

Author Index 405

Subject Index 415

PREFACE

Writing this book, with its various editions, has been roughly a two-decade process (so far), and I’ve come to a realization that it will always be a work in process. What used to feel like “completion” now feels simply like a “milestone” as each edition is sent to production. That is fitting, as the field, too, is very much in process. Over the years, some of the hot topics (like the debate over traits versus situationalism, and the controversy over repressed memory of abuse) have faded into the histori- cal past as theories have matured and research has guided reconceptualizations; and some topics have been dropped altogether, in order to make room for the new. The organization of this book has changed a bit to reflect these historical developments. Previously a full chapter, the Dollard and Miller contributions to a behavioral analy- sis of psychoanalytic theory are now part of a consolidated behavioral chapter, with Skinner and Staats. Behaviorism itself has been combined with cognitive behaviorism into one part (Part IV). Positive psychology is growing, and I have expanded its scope within the Maslow chapter, imagining that Abe Maslow would applaud psychology for finally heeding his vision, at least in part.

And while not reflected in the words I have crafted for this edition, I have frequently reminisced about the first term paper I wrote in my first personality course, where I explored all that I could find written by Gordon Allport. If there is a unitary statement, however vague and incomplete, for the field of personality, it seems—at least at this moment, to me—to be his personology. But the details are lacking in his statements, and for that, we need many other theories, ranging from the exciting findings of neuroscience to the very practical and socially important recognition of cultural contexts (e.g., challenges to the Protestant bias of Allport-inspired work on religious orientations). Researchers and theorists in personality have more contributions that deserve reporting than I can possibly report, or even (alas) read! So many things to say, it would take a whole series of books! I invite students to do as I have done, and make understanding personality a life’s work.

One of the major challenges of this edition has been to reduce the total length of the manuscript. Students, both in my classes and in those taught by others who use this book, will undoubtedly be glad for the pruning, but many of those cuts nicked this writer’s Muse as well. How can students of personality not be given more details of this, or of that, I ask myself—but then remember that there is only so much that can be absorbed on a first introduction to the field. All in all, the wisdom of my editors who requested this cutting is hopefully apparent in places that are easier to read. The choice of what to cut was only mine, though, and I apologize if I have made choices with which returning readers disagree. New editions, like nature herself, demand some clearing in order to make room for new growth.

NEW TO THIS EDITION

The following is a list of new items included in this edition:

(Chapter 13), and an updated Illustrative Biography on Tiger Woods.

concept for students to comprehend, before discussing Mischel’s more complicated view of traits and the situational context of behavior.

(especially regarding the stage of generativity), child analysis in conjunction with Erikson’s biography, and the Big Five.

functioning and mental health issues (e.g., borderline personality; narcissism) (Chapter 6) and clearer presentation of psychological types (Chapter 3).

xvii

xviii Preface

specific personality characteristics as well as cultural and cross-cultural issues as contexts (Chapter 9).

Expanded discussion of cross-cultural studies of the Five Factor model. More studies of implications of the five factors for life outcomes (e.g., aging and retirement) (Chapter 8).

more cross-cultural material (e.g., religious orientation in Muslim populations, and in American ethnic groups), implications of the five factors for life outcomes (e.g., aging and retirement).

theory, along with Skinner’s theory (also abridged) and Staats’s theory.

pillars” of positive psychology, with attention to both the individual and social institutions.

evolutionary argument (Chapter 15).

SUPPLEMENTS

The following supplements are available to qualified instructors:

PowerPoints (0205260594) The PowerPoints provide an active format for pre- senting concepts from each chapter and incorporating relevant figures and tables. The PowerPoint files can be downloaded from www.pearsonhighered.com. Instructor Resource Manual with Test Bank (0205260578) The Instructor’s Manual includes key terms, lecture ideas, teaching tips, suggested readings, chapter outlines, student projects, and research assignments. The Test Bank is page referenced to the text and is categorized by topic and skill level. The Test Bank is available to adopters in both Windows and Macintosh computerized format. MyTest Testing Software (0205260586) This Web-based test-generating software provides instructors “best in class” features in an easy-to-use program. Create tests and easily select questions with drag-and-drop or point-and-click functionality. Add or modify test questions using the built-in Question Editor and print tests in a variety of formats. The program comes with full technical support. MySearchLab with eText (www.mysearchlab.com) This learning management platform has delivered proven results in helping individual students succeed. Its automatically graded assessments and interactive eText provides engaging experiences that personalize, stimulate, and measure learning for each student.

eText lets students access their textbook anytime, anywhere, and any way they want—including listening online or downloading to iPad. Research and Writing tools help students hone their skills and produce more effective papers. These tools include access to a variety of academic journals, census data, Associated Press news feeds, discipline-specific readings, and a wide range of writing and grammar tools. Discipline-specific resources help students apply concepts to real-world situations. Assessment attached to every chapter enables both instructors and students to track progress and get immediate feedback.

I am grateful to many people who, in various ways, have contributed to this work. Obviously, those who have reviewed the current edition, with often detailed sugges- tions (some taken, some not), deserve my thanks: David King (Mount Olive College), Eric Shiraev (George Mason University), Dan Segrist (Southern Illinois University, Edwardsville), Micah Sadigh (Cedar Crest College), Richard Mangold (Illinois Valley Community College), Todd Nelson (California State University–Stanislaus), John Roop

www.pearsonhighered.com
www.mysearchlab.com
Preface xix

(North Georgia College & State University), Heather Long (NC A&T University), L. Sidney Fox (California State University, Long Beach), and Jutta Street (Campbell University).

Their advice adds to suggestions made by others, as reviewers of previous editions, and, less formally, those who have generously offered advice: Kurt D. Baker (Emporia State University); Melinda C. R. Burgess (Southern Oklahoma State University); Nicholas Carnagey (Iowa State University); Mary Louise Cashel (Southern Illinois University at Carbondale); George Domino (University of Arizona); Bernadette Tucker Duck (Chicago State University); Jeanine Feldman (San Diego State University); Beverly Goodwin (Indiana University of Pennsylvania); Ehsha G. Klirs (George Mason University); Elissa Koplik (Bloomfield College); Maria J. Lavooy (University of Central Florida); Thomas J. Martinez, III (private practice); Spencer McWilliams (California State University, San Marcos); Carol Miller (Anne Arundel Community College); Paul Murray (Southern Oregon University); Clay Peters (Liberty University); Tom M. Randall (Rhode Island College); Eric Shiraev (George Mason University); Arthur W. Staats (University of Hawaii); Eunkook Suh (University of California, Irvine); and Julie Ann Suhr (Ohio University). Others have also helped by sending papers and books.

Closer to home, several friends and colleagues have offered advice, loaned books, and given emotional support and encouragement when I needed it. So thank you: Russell Couch, Bronna Romanoff, and others in the Psychology Department at The Sage Colleges, where they have watched me juggle (not always successfully) the demands of a full teaching load, committee work, chairing the IRB, and other faculty responsibilities with “The Book.” Special thanks to Nigel Wright, who not only appeared with a full box of books for me to read for an earlier revision (sorry, Nigel—I could not read them all!), but who also reminded me recently that I really indeed do love writing, at a time when exhaustion and an overdue manuscript led me to claim the opposite. His insatiable love of books inspires me. To my son John, thanks for all you have done by what you say and how you live—and one of these days, the other book that is dedicated to you will (hopefully) be ready.

My editors at Pearson have supported this project marvelously, with plenty of advance planning and organizing reviews—and patience for my delinquencies—and so special thanks to Susan Hartmann, Alexandra Mitton, Shiny Rajesh, and others with whom I have not had so much personal contact. Over the years and editions, they are joining others from Pearson in a larger personification of “My Editor,” who makes me feel sometimes important, sometimes rushed, but always expanded to a larger project than my professorial role. Writing is, if not at every moment fun, at least always a challenge and a privilege.

Sue Cloninger Troy, New York

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Theories of Personality UNDERSTANDING PERSONS

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1

Introduction to Personality Theory

Writers and philosophers have reflected about personality for centuries. They describe various types of people.

The true artist will let his wife starve, his children go barefoot, his mother drudge for his living at seventy, sooner than work at anything but his art. (George Bernard Shaw, Major Barbara, act 1)

A fool uttereth all his mind. (Prov. 29:11)

They tell us about the dynamic motivations and emotions of human nature.

We would all be idle if we could. (Samuel Johnson, quoted in Boswell’s Life of Johnson)

Unlimited power is apt to corrupt the minds of those who possess it. (William Pitt, speech, House of Lords, January 9, 1770)

Sayings tell us how personality develops down various paths.

Train up a child in the way he should go: and when he is old, he will not depart from it. (Matt. 22:6)

Spare the rod and spoil the child. (Samuel Butler, Hudibras, pt. ii, c. I, 1. 844)

With centuries of such commentary about personality, we might think that we may leave scientific investigation for other problems, perhaps to explore the mysteries of the physical universe and biological processes. Yet formal study is needed, perhaps here more than anywhere, for there are contradictions in culture’s lessons about personality.

1

Chapter Overview Personality: The Study of Individuals Description of Personality Personality Dynamics Personality Development The Scientific Approach Methods in Personality Research One Theory or Many? Eclecticism and the Future of Personality Theory Summary

Chapter

2

Virtue is bold, and goodness never fearful. (Shakespeare, Measure for Measure, act 3, line 215)

Boldness is a child of ignorance and baseness. (Francis Bacon, Essays, line 12)

How can we know, given such contradictory observations, whether boldness should be admired or pitied? Perhaps when we and our friends are bold, we will agree with Shakespeare and leave Bacon’s skepticism aside until we confront a bold enemy. Such sayings, although charming, are disconcerting because there seems to be a saying to support any belief. Cultural sayings do not offer a systematic understanding of human nature. For that, we turn to psychology.

PERSONALITY: THE STUDY OF INDIVIDUALS

Psychology uses the methods of science to come to some clearer and less ambiguous (if, alas, less literary) understandings of human nature.

Definition of Personality

Personality may be defined as the underlying causes within the person of indi- vidual behavior and experience. Personality psychologists do not all agree about what these underlying causes are, as the many theories in this text suggest. They offer a variety of answers to three fundamental questions. First, how can personal- ity be described? Personality description considers the ways in which we should characterize an individual. How do people differ from one another, and should we describe personality traits by comparing people with one another or use some other strategy, such as studying each individual separately? Second, how can we understand personality dynamics—how people think about and adjust to their life situations, and how they are influenced by culture? Third, what can be said about personality development—how personality changes over the life span, influenced by biological factors and experience? These three questions are so fundamental that each theory considers them in some way.

DESCRIPTION OF PERSONALITY

The most fundamental theoretical question is this: What concepts are useful for describ- ing personality? Should we concentrate on the differences between people? Or should we avoid comparisons, instead focusing on intensive understanding of one person?

Differences between People: Groups or Gradations?

Personality researchers have devoted considerable effort to identifying the ways that individuals differ from one another—that is, of describing individual differences. Essentially, we have the choice of classifying people into a limited number of separate groups, a type approach. Or we can decide that people vary in gradations and describe people by saying how much of the basic dimensions they possess, a trait approach.

TYPES The type approach proposes that personality comes in a limited number of distinct categories (qualitative groupings). Such personality types are categories of people with similar characteristics. A small number of types suffice to describe all people. In ancient Greece, for example, Hippocrates described four basic types of temperament: sanguine (optimistic), melancholic (depressed), choleric (irrita- ble), and phlegmatic (apathetic) (Merenda, 1987). Each person belongs to only one category.

TRAITS AND FACTORS Nature often presents us with more gradual transitions (quantitative dimensions). Consider “cruelty”: Between Mother Teresa and Stalin lie many intermediate levels of cruelty. Therefore, personality researchers generally

personality

the underlying causes within the person of individual behavior and experience

description

theoretical task of identifying the units of personality, with particular emphasis on the differences between people

dynamics

the motivational aspect of personality

development

formation or change (of personality) over time

individual differences

qualities that make one person different from another

type

a category of people with similar characteristics

3

prefer quantitative measures, which give each person a score, ranging from very low to very high or somewhere in between. In contrast to types, traits are such quantitative measures. They describe a narrower scope of behavior. Traits permit a more precise description of personality than types because each trait refers to a more focused set of characteristics, and each person is a combination of many traits.

More traits than types are necessary to describe a personality. One classic study counted nearly 18,000 traits among words listed in the dictionary (Allport & Odbert, 1936). Do we really need that many? To eliminate unnecessary redundancy (e.g., by combining synonyms such as “shy” and “withdrawn”), researchers rely on statisti- cal procedures that compute correlations among trait scores, and on that basis they have proposed broad factors of personality. Factors are quantitative, like traits, but they include a broader range of behavior. Factors are often thought to derive from underlying biological variables.

Types, traits, and factors all have a role in personality theory and research. The terms are sometimes used imprecisely, but knowing their differences (summarized in Table 1.1) helps us understand the variety of ways that personality can be described and measured.

Comparing People or Studying Individuals: Nomothetic and Idiographic Approaches

Personality traits and types allow us to compare one person with another: the nomothetic approach. Most personality research is nomothetic. Despite its scientific advantages, the nomothetic method has drawbacks. It studies many people and com- pares them on only a few numerical scores, which makes it difficult to understand one whole person (Carlson, 1971). Much personality research is also limited because it often investigates college students (Carlson, 1971; Sears, 1986), who are more con- veniently available to researchers but who differ from the general adult population on many personality characteristics (Ward, 1993).

In contrast, the idiographic approach studies individuals one at a time. Strictly idiographic approaches are difficult because any description of a person (e.g., “Mary is outgoing”) implies comparison with other people. Although implicit comparisons with other people are unavoidable, we call research idiographic if it focuses on the particularities of an individual case, for example, in a case study or a psychobiographical analysis. William McKinley Runyan reminds personality psychologists of Kluckhohn and Murray’s (1953) classic assertion: “Every man is in certain respects (a) like all other men, (b) like some other men, (c) like no other man” (1988, p. 53). Personality psychology can discover truths about unique individuals, as well as typical group characteristics and universal principles.

quantitative measures

measures that permit expression of various amounts of something, such as a trait

trait

personality characteristic that makes one person different from another and/or that describes an individual’s personality

factor

a statistically derived, quantitative dimension of personality that is broader than most traits

nomothetic

involving comparisons with other individuals; research based on groups of people

idiographic

focusing on one individual

Table 1.1 Types, Traits, and Factors: Three Ways of Describing Personality

Types Type membership is an all-or-nothing thing (a qualitative variable). A person belongs to one and only one category. Theoretically, a small number of types describe everyone. A person fits into only one type.

Traits Trait scores are continuous (quantitative) variables. A person is given a numeric score to indicate how much of a trait the person possesses. Theoretically, there are a great many traits to describe everyone. A person can be described on every trait.

Factors Factor scores are also continuous (quantitative) variables. A person is given a numeric score to indicate how much of a factor the person possesses. Theoretically, a small number of factors describe everyone. A person can be described on every factor.

4

PERSONALITY DYNAMICS

The term personality dynamics refers to the mechanisms by which personality is expressed, often focusing on the motivations that direct behavior. Motivation provides energy and direction to behavior. If you see a person running energetically toward a door, you may ask, “Why is that person running?” What is the motivation? Theorists discuss many motives. Some theorists assume that the fundamental motivations or goals of all people are similar. Sigmund Freud suggested that sexual motivation underlies personality; Carl Rogers proposed a tendency to move toward higher levels of develop- ment. Other theorists suggest that motives or goals vary from one person to another. For example, Henry Murray (1938) listed dozens of motives that are of varying importance to different people, including achievement motivation, power motivation, and nurturance.

Personality dynamics include individuals’ adaptation or adjustment to the demands of life and so have implications for psychological health. Modern personal- ity theory considers cognitive processes as a major aspect of personality dynamics. How we think is an important determinant of our choices and adaptation. In addition, culture influences us through its opportunities and expectations.

Adaptation and Adjustment

Personality encompasses an individual’s way of coping with the world, of adjusting to demands and opportunities in the environment—that is, adaptation. Many theories of personality have historical roots in the clinical treatment of patients. Observations of their symptoms, and of increasing adjustment with treatment, suggested more general ideas about personality that have been applied broadly to nonclinical populations; conversely, studies of nonclinical populations have implications for therapy.

Cognitive Processes

What role does thinking play? Theories vary considerably on this question. Based on clinical experience, Sigmund Freud proposed that conscious thought plays only a limited role in personality dynamics; unconscious dynamics are more important in his psychoanalytic theory. Other approaches disagree, emphasizing conscious experi- ence and investigating various thought patterns that predict behavior and coping. The ways that we label experience and the ideas we have about ourselves have substantial effects on our personality dynamics.

Culture

Historically, personality theories focused on the individual, leaving culture and soci- ety in the background. This left an incomplete picture of personality and prevented theories from adequately explaining gender, ethnic, and cultural differences. Influenced by greater awareness of cultural change, researchers have increasingly considered the role of culture in personality. Individualistic cultures, like the United States, emphasize individual differences in personality traits more than do collectivist cultures (Heine & Buchtel, 2009). There is also a difference in the personalities that are encouraged in various cultures. The individualism of U.S. culture encourages extraverted and asser- tive behavior that would be frowned on in more interdependent collectivist societies (Triandis, 2001). Personality traits also change from one generation to the next; for example, based on test scores, U.S. students have been increasing not only in self-esteem and extraversion but also in anxiety and neuroticism (Twenge, 2000, 2001; Twenge & Campbell, 2001). Much remains to be done to understand adequately the role of social influences on personality, but we can be sure that some of the motivations that direct people are shaped by their culture.

PERSONALITY DEVELOPMENT

Another major issue in personality theory concerns the formation and change of personality. To what extent is personality influenced by biological factors, such as heredity? To what extent can personality change as a result of learning? How critical

adaptation

coping with the external world

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are the childhood years for personality development, and how much change can occur in adulthood? How do we change personality in the direction we would like, to turn high-risk children toward healthier paths of development or to teach ordinary folk to be creative or to be leaders?

Biological Influences

Some children seem to be quiet or energetic or whatever from the moment of birth. Could it be that personality is genetically determined? The term temperament refers to consistent styles of behavior and emotional reactions that are present from infancy onward, presumably because of biological influences. As long ago as ancient Greece, philosophers and physicians believed that inborn predispositions lead one person to be melancholic and another sanguine (Kagan, 1994). Evidence supports the claim that personality is significantly influenced by heredity. With the explosion of research in genetics and neuroscience, personality researchers are identifying biological mecha- nisms that contribute to such aspects of personality as the tendency for some people to be outgoing and others to be shy. However, we should keep in mind that biology plays out its influence in the environment, and different environments can make quite different personalities out of the same biological potential.

Experience in Childhood and Adulthood

Personality develops over time. Experience, especially in childhood, influences the way each person develops toward his or her unique personality. Many of the major personality theories described in this text make statements about the development of personality. Theorists in the psychoanalytic tradition, for example, emphasize the experience of the preschool years in forming personality. Theories in the learning tradition focus primarily on change, but even some of them (e.g., Staats, 1996) propose that early learning can significantly influence the course of personality throughout life by developing essential skills on which later experience builds. In the emotional domain, early development of bonds of attachment with the parents is receiving con- siderable attention and is widely thought to influence relationships with people into adulthood. Although people do change, considerable evidence indicates the stability of personality over a person’s lifetime (e.g., McCrae & Costa, 1984).

TO THE STUDENT At the beginning of each chapter is a preview of its theory based on several of the issues just discussed. The issues often overlap. For example, cogni- tive processes not only are dynamic but also can be considered descriptive, because individuals differ in them, and developmental, because they change over time. You might begin your study of personality by considering what you believe about these issues based on your own life experience, trying to answer the questions in Table 1.2. Then, to get a preview of the field of personality, browse through the previews at the beginning of each chapter. Do some theories match your ideas more than others do? Do you find new or puzzling ideas in these preview tables? This formal study of personality ideally will offer you new ideas and help you think critically about those you already believe.

temperament

consistent styles of behavior and emotional reactions present from early life onward, presumably caused by biological factors

Table 1.2 Major Issues Addressed by Personality Theories

Issue Examples of Approaches to These Issues

Descriptive Issues

Individual Differences What are the traits that distinguish people? How can these traits be measured? Should we look at what people say, or what they do, to describe how they are unique? Are people consistent?

(continued)

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THE SCIENTIFIC APPROACH

Personality theorists, like psychology theorists more generally, test their assertions about people through the scientific method. The scientific method requires system- atic observations and a willingness to modify understanding based on these observa- tions. The assumption of determinism is central to the scientific method. Determinism refers to the assumption that the phenomena being studied have causes and that empirical research can discover these causes.

In the scientific method, two different levels of abstraction are important. In Figure 1.1, two abstract concepts are proposed at the theoretical level, “self-esteem” and “social responsibility.” The theoretical proposition “High self-esteem causes social responsibility” asserts that a cause–effect relationship exists between these two concepts. Abstract concepts cannot be directly observed. They do, however, correspond to observable phenomena, indicated at the observable level in Figure 1.1. At the observable level, people who score high on a self-esteem test should like

scientific method

the method of knowing based on systematic observation

determinism

the assumption that phenomena have causes that can be discovered by empirical research

Issue Examples of Approaches to These Issues

Dynamic Issues

Adaptation and Adjustment How do people adapt to life’s demands? How does a mentally healthy person act? What behaviors or thoughts are unhealthy?

Cognitive Processes Do our thoughts affect our personality? What kinds of thoughts are important for personality? Do unconscious processes influence us?

Culture How does culture influence our functioning? Does culture affect us by its expectations for men and women? For different classes and ethnicities?

Developmental Issues

Biological Influences How do biological processes affect personality? Is personality inherited?

Development How should children be treated? How does childhood experience determine adult personality? Do adults change? Or has personality been determined earlier? What experiences in adulthood influence personality?

Note: These categories are presented for purposes of an overview. In many personality theories, the topics listed under each issue also are related to other issues.

Table 1.2 (Continued)

THEORETICAL LEVEL (theoretical constructs)

OBSERVABLE LEVEL (operational definitions)

High self-esteem

Liking oneself Talking about one's successes Dressing nicely Smiling High score on Self-Esteem Test

Social responsibility

Obeying the law Joining political groups Recycling High score on Social Responsibility Scale

operational definitions

FIGURE 1.1 Levels of Thinking in Theory

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themselves, talk about their successes, smile, and dress nicely; the opposite behaviors will be observable among people who score low on a self-esteem test. Furthermore, the high self-esteem people should also be observed engaging in behaviors that are observable evidences of the abstract concept of social responsibility. They should obey laws, join political groups, recycle, and score high on a test of social responsibil- ity. People who are low in self-esteem should engage in the opposite behaviors. Clear scientific language makes explicit what we observe and what abstract theoretical ideas predict and explain those observations.

Theory

A theory is a conceptual tool for understanding certain specified phenomena. It includes concepts (theoretical constructs) and statements about how they are related (theoretical propositions). The concepts of a theory are called theoretical constructs. One kind of theoretical construct already mentioned is a personality trait. Traits are often considered to be the underlying units of personality. Examples of traits include shy, intelligent, and athletic. Because traits are assumed to remain constant and determine behavior, people are expected to behave consistently at different times and in different situations.

Traits, like all theoretical constructs, are not themselves directly observable. They are related to observable behaviors through operational definitions, statements identifying what observable phenomena are evidence of a particular trait. In Figure 1.1, the trait self-esteem is operationally defined to correspond to various observable behav- iors: talking about successes (rather than failures), dressing nicely (rather than poorly), and scoring high on a self-esteem test (rather than scoring low). Each trait or other theoretical construct can have many different operational definitions. Because they all correspond to the same trait, we would expect these observations to be positively correlated with one another.

A theory contains various theoretical propositions, which tell how the constructs are related. For example, in Figure 1.1 the theoretical proposition diagrammed hypoth- esizes that “self-esteem causes social responsibility.” Both self-esteem and social respon- sibility are theoretical constructs, and as such they are abstract conceptual tools that cannot be directly observed. Theoretical propositions are also abstract statements and are not themselves directly observable (cf. Clark & Paivio, 1989).

To test a theory, predictions about observable phenomena are logically derived from the theoretical propositions. Consider the example of a classic theoretical proposition in psychology that states, “Frustration leads to aggression.” When this proposition is stated in terms of observable phenomena (i.e., in terms of the constructs as operationally defined), we have a hypothesis, which can be tested by empirical observation (see Figure 1.2).

Research tests whether hypotheses are confirmed by actual empirical observa- tions. Does the abstract theoretical world accurately predict what actually takes place in the real world? The more reliably hypotheses derived from a theory are tested and confirmed by empirical research, the more confidence we have in the theory. When observations differ from prediction, the theory is disconfirmed. If this occurs often, the theory will be revised to make it more accurate, or it may even be abandoned.

Criteria of a Good Theory

Theories are always somewhat tentative. Elementary students of science know this when they differentiate between theories and facts, the latter being more definite and less arguable than theories. (Such elementary students commonly have the miscon- ception that when we become certain of our theories, they will be considered facts. This misunderstanding stems from ignorance of the difference between the theoretical level and the level of observables presented earlier in this chapter. Facts are always at the level of observables; theories never are.) Because theories are abstract, a certain amount of ambiguity can be expected, compared to the concrete details that come as factual observations. Not all theories are equally valuable, however. How can we decide whether a theory is worthwhile?

theory

a conceptual tool, consisting of systematically organized constructs and propositions, for understanding certain specified phenomena

construct

a concept used in a theory

operational definition

procedure for measuring a theoretical construct

theoretical proposition

theoretical statement about relationships among theoretical constructs

hypothesis

a prediction to be tested by research

empirical

based on scientific observations

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Several criteria are generally accepted for evaluating scientific theories. That is not to say that individuals always base their personal theoretical preferences on these criteria. Psychology majors, for example, report that they prefer theories that help them understand themselves (Vyse, 1990). It may take effort to apply the more impersonal criteria that we discuss next, but the effort is worthwhile. These criteria guide psychol- ogy from intuitive knowledge toward a firmer scientific base.

VERIFIABILITY The most important criterion is that a theory should be verifiable, that is, testable through empirical methods. Theoretical constructs must be defined with precision so it is clear what is meant by the construct. The operational definitions must be clear and reliably measurable. Operational definitions may include written tests, clinical judgments, interpersonal ratings, observations of behavior, and other well-specified ways of making observations.

The theory must predict relationships among these measurements so clearly, in the form of hypotheses, that observations can be made to support or refute the prediction. If we specify what evidence would support a theory and what evidence would refute, or “falsify,” it, we can use science to evaluate the theory. Philosopher of science Karl Popper (1962) elaborated on this criterion, and he criticized Freud’s theory—which we will discuss in Chapter 2—as “pseudoscience” because it did not meet this criterion; however, his criticism is not without its own critics (Grünbaum, 2008). Disconfirmation is particularly important for advancing science. It is always possible to find supportive evidence for a vaguely formulated theory. The criterion of verifiability requires that we also identify evidence that would refute the theory.

COMPREHENSIVENESS Other things being equal, a good theory is characterized by comprehensiveness. That is, it explains a broad range of behavior. Most traditional personality theories are broad, comprehensive theories dealing with many phenom- ena: developmental processes in childhood, adaptation or mental health, self-image, social interactions with other people, biological influences, and so forth. In practice, however, if a theory attempts to explain too much, its concepts tend to become fuzzy

verifiable

the ability of a theory to be tested by empirical procedures, resulting in confirmation or disconfirmation

disconfirmation