PERSONALITY THEORY

IN A CULTURAL
CONTEXT

Mark D. Kelland
Lansing Community College
 Lansing Commnunity College
Personality Theory in a Cultural Context

Mark D. Kelland
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TABLE OF CONTENTS
Licensing

1: Introduction to Personality
1.1: Chapter Introduction
1.2: Definitions and Descriptions of Personality
1.3: Personality as a Discipline within the Field of Psychology
1.4: Methods of Studying Personality
1.5: Application of Personality Theory - Assessing Personality
1.S: Chapter Summary

2: Culture and Personality

2.1: Chapter Introduction
2.2: Cultural Studies in the Field of Psychology
2.3: Placing Cross-Cultural Studies in Context- Blending
2.4: Different Cultural Factors Affecting Personality
2.5: Culture and Diversity
2.6: Culture and Mental Illness
2.7: A Final Challenge
2.8: Personality Theory in Real Life- Examining Your Own Cultural Background
2.S: Chapter Summary

3: Sigmund Freud
3.1: 3.0 Chapter Introduction
3.2: A Brief Biography of Sigmund Freud, M.D.
3.3: Basic Concepts
3.4: Structure of Personality
3.5: Psychosexual Stages of Development
3.06: Connections Across Cultures- Male
3.6: Connections Across Cultures- Male/Female Differences
3.7: Psychoanalysis
3.8: Religion and Spirituality
3.9: Personality Theory in Real Life
3.S: A Final Note and Chapter Summary

4: Alfred Adler and Harry Stack Sullivan

4.1: Chapter Introduction
4.2: Brief Biography of Alfred Adler
4.3: Adler's Individual Psychology
4.4: Alderian Psychotherapy
4.5: A Brief Biography of Harry Stack Sullivan
4.6: Sullivan's Interpersonal Psychology
4.7: Personality Theory in Real Life
4.S: Chapter Summary

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5: Neo-Freudian Perspectives on Personality
5.1: Chapter Introduction
5.2: Anna Freud and Ego Psychology
5.3: Object Relations Theory
5.4: Personality Theory in Real Life
5.S: Chapter Summary

6: Karen Horney and Erich Fromm

6.1: Chapter Introduction
6.2: Brief Biography of Karen Horney
6.3: Horney's Shifting Perspective on Psychodynamic Theory
6.4: Brief Biography of Erich Fromm
6.5: Our Relationship to Society
6.6: Fromm's Cross-Cultural Studies in Mexico
6.7: Personality Theory in Real Life
6.S: Chapter Summary

7: Psychology of Women
7.1: Prelude to the Psychology of Women
7.2: Feminine Psychology in the Freudian Tradition
7.3: Human Relations and a Modern Perspective on the Psychology of Women
7.4: Nancy Chodorow's Psychoanalytic Feminism and the Role of Mothering
7.5: Personality Theory in Real Life
7.S: Chapter Summary

8: Carl Rogers and Abraham Maslow

8.1: Chapter Introduction
8.2: Carl Rogers and Humanistic Psychology
8.3: Abraham Maslow and Holistic-Dynamic Psychology
8.4: Henry Murray and Personology
8.5: A Final Note- Humanistic or Existential?
8.6: Personality Theory in Real Life
8.S: Chapter Summary

9: Viktor Frankl, Rollo May, and Existential Psychology

9.1: Chapter Introduction
9.2: Understanding the Philosophy of Existentialism
9.3: Viktor Frankl and Logotherapy
9.4: Rollo May and Existential Psychology
9.5: Existential Psychotherapy
9.6: Buddhism and Existentialism- The Completion of a Circle
9.7: Some Final Thoughts
9.8: Personality Theory in Real Life
9.S: Chapter Summary

10: Trait Theories of Personality

10.1: Chapter Introduction
10.2: 10.1 A Brief Biography of Gordon Allport
10.3: Allport's Psychology of Personality

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 10.4: A Brief Biography of Raymond Cattell
10.5: Basic Concepts of Cattell's Theory
10.6: Hans Eysenck's Dimensions of Personality
10.7: Paul Costa and Robert McCrae and the Five-Factor Model of Personality
10.8: Marvin Zuckerman and the Sensation Seeking Personality Trait
10.9: Grit- Getting Things Done!
10.10: Personality Theory in Real Life
10.S: Chapter Summary

11: Biology and Personality

11.1: Chapter Introduction
11.2: Biology and Personality
11.03: Ancient and Modern Approaches to Training the Mind
11.3: Ancient and Modern Approaches to Training the Mind/Body Connection
11.4: Personality Theory in Real Life
11.S: Chapter Summary

12: Erik Erikson

12.1: Chapter Introduction
12.2: Brief Biography of Erik Erikson
12.3: Basic Concepts Underlying the Study of Development
12.4: Erikson's Eight Stages of Development
12.5: The Importance of Identity
12.6: Adulthood
12.7: Old Age and Death
12.8: Personality Theory in Real Life- ...and in Death!
12.S: Chapter Summary

13: Carl Jung

13.1: Prelude to Carl Jung
13.2: A Brief Biography of Carl Jung
13.3: Basic Concepts
13.4: Personality Development
13.5: Jungian Analysis
13.6: A Final Note on Carl Jung
13.7: Personality Theory in Real Life
13.S: Chapter Summary

14: Yoga and Buddhism as Personality Development Paths

14.1: Chapter Introduction
14.2: Zen Buddhism in America
14.3: Historical Description of Yoga
14.4: The Yoga Sutras of Patanjali
14.5: The Bhagavad Gita
14.6: Pathways to Personal Growth - Schools of Yoga
14.7: Obstacles to Personal Growth- Patanjali's Five Hindrances
14.8: Yoga in America- The Self-Realization Fellowship and Transcendental Meditation
14.9: Historical Description of Buddhism
14.10: The Four Noble Truths of Human Life
14.11: Obstacles to Personal Growth- The Three Poisons of Buddhism

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 14.S: Chapter Summary

15: Religious Perspectives on Personality

15.1: Chapter Introduction
15.2: Judaism and Kabbalah
15.3: Christianity and Christian Mysticism
15.4: Islam and Sufism
15.5: Connections Between Mystical and Eastern Perspectives
15.6: Personality Theory in Real Life
15.S: Chapter Summary

16: African Perspective on Personality

16.1: Chapter Introduction
16.2: The African Worldview and Spirituality
16.3: Family and Community
16.4: Ubuntu
16.5: Negritude and Nigrescence
16.6: Some Issues for Modern Africa
16.7: A Final Thought
16.S: Chapter Summary
Index

17: Learning Theory and Personality Development

17.1: Chapter Introduction
17.2: B.F. Skinner and the Behavioral Analysis of Personality Development
17.3: Scientific Analysis of Behavior and Personality
17.4: Connections Across Cultures- Personality within Society
17.5: John Dollard and Neal Miller- Psychodynamic Learning Theory
17.6: Dollard and Miller's Psychodynamic Learning Perspective
17.7: Cultural Effects on Learning
17.8: Personality Theory in Real Life
17.S: Chapter Summary

18: Social Learning Theory and Personality Development

18.1: Chapter Introduction
18.2: Albert Bandura and Social Learning Theory
18.3: 18.2-Reciprocal Determinism
18.4: Self-Regulation and Self-Efficacy
18.5: Cognitive Aspects of Social Learning Theory- The Contributions of Julian Rotter and Walter Mischel
18.6: Basic Constructs in Rotter's Social Learning Theory
18.7: The Impact of Social Learning Theory
18.8: The Future of Psychology- Bandura's Vision as Compared to Freud
18.9: Personality Theory in Real Life
18.S: Chapter Summary

19: Cognitive Perspectives on Personality Development

19.1: Chapter Introduction
19.2: Personal Construct Theory
19.3: Connections Across Cultures

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 19.4: Cognitive-Behavioral Therapy and Acceptance Therapy
19.5: Personality Theory in Real Life
19.S: Chapter Summary

20: Personality Disorders

20.1: Summary
20.2: DSM-V Categories of Personality Disorder
20.3: Treating Personality Disorders
20.4: A New Alternative in the DSM-V
20.05: A Final Note
20.5: A Final Note / Review of Key Points

Index

References
Index

Glossary
Detailed Licensing

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Licensing
A detailed breakdown of this resource's licensing can be found in Back Matter/Detailed Licensing.

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 CHAPTER OVERVIEW

1: Introduction to Personality
1.1: Chapter Introduction
1.2: Definitions and Descriptions of Personality
1.3: Personality as a Discipline within the Field of Psychology
1.4: Methods of Studying Personality
1.5: Application of Personality Theory - Assessing Personality
1.S: Chapter Summary

This page titled 1: Introduction to Personality is shared under a CC BY 4.0 license and was authored, remixed, and/or curated by Mark D. Kelland
(OpenStax CNX) via source content that was edited to the style and standards of the LibreTexts platform; a detailed edit history is available upon
request.

1
1.1: Chapter Introduction
When you first think of personality, what comes to mind? When we refer to certain people as being “personalities,” we usually
mean they are famous, people like movie stars or your favorite band. When we describe a person as having “lots of personality,”
we usually mean they are outgoing and fun-loving, the kind of person we like to spend time with. But does this tell us anything
about personality itself? Although we may think we have an understanding of what personality is, professional psychologists
always seek to move beyond what people think they know in order to determine what is actually real or at least as close to real as
we can come. In the pursuit of truly understanding personality, however, many personality theorists seem to have been focused on a
particularly Western cultural approach that owes much of its history to the pioneering work of Sigmund Freud.
Freud trained as a physician with a strong background in biomedical research. He naturally brought his keen sense of observation, a
characteristic of any good scientist, into his psychiatric practice. As he worked with his patients, he developed a distinctly medical
model: identify a problem, identify the cause of the problem, and treat the patient accordingly. This approach can work quite well,
and it has worked wonderfully for medical science, but it has two main weaknesses when applied to the study of personality. First,
it fails to address the complexity and uniqueness of individuals, and second, it does not readily lend itself to describing how one
chooses to develop a healthy personality.
Figure 1.1.1
The diversity that is the human experience can be seen in the faces of the people around us.
Quite soon in the history of personality theory, however, there were influential theorists who began to challenge Freud’s
perspective. Alfred Adler, although a colleague of Freud’s for a time, began to focus on social interest and an individual’s style of
life. Karen Horney challenged Freud’s perspective on the psychology of women, only to later suggest that the issue was more
directly related to the oppression of women as a minority, rather than a fundamental difference based on gender. And there were
Carl Jung and Carl Rogers, two men profoundly influenced by Eastern philosophy. Consequently, anyone influenced by Jung or
Rogers has also been influenced, in part, by Eastern philosophy. What about the rest of the world? Have we taken into account the
possibility that there are other, equally valuable and interesting perspectives on the nature of people? Many fields in psychology
have made a concerted effort to address cross-cultural issues. The primary purpose of this textbook is to address some of these
different cultural perspectives, and to compare them to, and contrast them with, the traditional Western perspectives. In addition,
we will examine the relationships between the traditional approaches as well. In particular, the final section of this book introduces
a number of paths developed throughout history to help people choose how to live their lives. Although each path is intimately
identified with a religious perspective, the paths themselves represent more of a style of life. As we examine these perspectives,
you will see that they are all quite similar in their essential elements, making it clear that the principles involved transcend religious
culture. My hope is that when you have read this book, you will have a broad understanding of the field of personality, and an
appreciation for both what we have in common and what makes us unique, as members of our global community.

This page titled 1.1: Chapter Introduction is shared under a CC BY 4.0 license and was authored, remixed, and/or curated by Mark D. Kelland
(OpenStax CNX) via source content that was edited to the style and standards of the LibreTexts platform; a detailed edit history is available upon
request.

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1.2: Definitions and Descriptions of Personality
It would seem to make sense that we should begin our study of personality by defining the term. Unfortunately, there is no single
definition that fits the variety of theories that have been developed in the field of personality research. Most psychologists agree
that the term personality comes from the Latin word persona, a term referring to the masks worn by actors performing ancient
Greek plays. Often there were not enough actors available to play all of the roles in a play, so they would wear these masks to let
the audience know that they were playing different roles. But are our personalities just masks? Freud certainly considered the
unconscious mind to be very important, Cattell considered source traits to be more important than surface traits, and Buddhists
consider the natural world (including the self) to be an illusion. Adler believed the best way to examine personality is to look at the
person’s style of life, and Rogers felt that the only person who could truly understand you is yourself. What definition could
possibly encompass all that?
Still, we need a working definition as a starting point for discussion. Borrowing loosely from Allport’s definition of personality,
personality can be viewed as the dynamic organization within an individual of various psychological factors that determines the
person’s characteristic thoughts and behaviors. In simpler terms, a variety of factors blend together to create each person, and as a
result of those factors the individual is most likely to think and act in somewhat predictable ways. However, given the complexity
of human life, those predictions may prove to be elusive. Theodore Millon (1996, 2004; Millon & Grossman, 2005), a renowned
clinician and theorist in the field of personality disorders, has sought a definition of personality broad enough to encompass both
normal and abnormal personality. Millon describes the modern view of personality as a complex pattern of psychological
characteristics that are deeply embedded, largely unconscious, and resistant to change. These intrinsic and pervasive traits arise
from a complex matrix of biological dispositions and experiential learning, and express themselves automatically in nearly every
aspect of the individual’s unique pattern of perceiving, feeling, thinking, coping, and behaving (e.g., Millon, 1996).
Another challenge we face in defining personality is how we approach the question in the first place. Traditionally, there have been
two basic approaches to the study of personality: the nomothetic perspective and the idiographic perspective. The nomothetic
perspective seeks to identify general rules that pertain to personality as a construct (a working hypothesis or concept used to
identify something we can describe but not see, such as IQ or the self). Thus, it can be rather abstract, and often fails to appreciate
the uniqueness of individuals. In contrast, the idiographic perspective focuses specifically on the individuality and uniqueness of
each person. Although the idiographic approach often seems more appealing to students, especially since it enhances their self-
esteem by considering them as individually important, it is difficult for any theory of personality to encompass research that treats
only one person at a time. Such a theory would naturally suffer from problems of generalizability, and may be useful for therapists
working with one patient or client at a time, but it will not be particularly useful for enhancing our overall understanding of
personality in general. It is important to note, however, that many early personality theories were based on individual case studies,
and this critique is one that we will see several times in this book.
As is often the case in psychology, the best approach may be to attempt blending the nomothetic and idiographic perspectives,
seeking the generalizability of the nomothetic perspective’s general principles on personality and personality development - while
maintaining an appreciation for the idiographic perspective’s recognition of the value of an individual’s unique character. Millon
(1996) suggests an integrative approach to defining personality. Not only would an integrative approach combine the nomothetic
and idiographic perspectives, it would also help to bring together the two broad traditions of clinical and applied psychology.
Clinical psychologists are compelled by the nature of their work with patients, or clients, to try to understand the individual. Thus,
they need to follow a more idiographic approach. In contrast, applied psychologists (e.g., experimental psychologists) are more
construct-focused, and find the nomothetic approach more appealing and useful for developing generalizable theories on the nature
of various aspects of personality. If personality can be defined in a satisfactory way by an integrative approach, then clinicians may
benefit more from applied research, and experimental psychologists may see their work more directly applied in clinical settings
where it may help people in our society.
In order to better understand how some of the different disciplines within the field of psychology contribute to our definition of
personality, let’s take a brief look at some of the widely recognized factors that come into play:
Discussion Question: The nomothetic and idiographic perspectives approach personality in very different ways. Do you believe
that your personality can be described in a way that might also be used to describe the personalities of other people (maybe your
friends), or do you feel it is necessary to describe each person as an individual?

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Psychodynamic Factors
The very word “psychodynamic” suggests that there are ongoing interactions between different elements of the mind. Sigmund
Freud not only offered names for these elements (id, ego, and superego), he proposed different levels of consciousness. Since the
unconscious mind was very powerful according to Freud, one of the first and most enduring elements of psychodynamic theory is
that we are often unaware of why we think and act the way we do. Add to that the belief that our personality is determined in early
childhood, and you can quickly see that psychological problems would be very difficult to treat. Perhaps more importantly, since
we are not aware of many of our own thoughts and desires, it would difficult or even impossible for us to choose to change our
personality no matter how much we might want to.
Most psychodynamic theorists since Freud have expanded the influences that affect us to include more of the outside world. Those
theorists who remained loyal to Freud, typically known as neo-Freudians, emphasized the ego. Since the ego functions primarily in
the real world, the individual must take into account the influence of other people involved in their lives. Some theorists who
differed significantly from the traditional Freudian perspective, most notably Alfred Adler and Karen Horney, focused much of
their theories on cultural influences. Adler believed that social cooperation was essential to the success of each individual (and
humanity as a whole), whereas Horney provided an intriguing alternative to Freud’s sexist theories regarding women. Although
Horney based her theories regarding women on the cultural standing between men and women in the Victorian era, to a large extent
her theory remains relevant today.

Learning and Cognitive Factors

As a species, human beings are distinguished by their highly developed brains. Animals with less-developed nervous systems rely
primarily on instinctive behavior, but very little on learning. While the study of animals’ instinctive behavior is fascinating, and led
to a shared Nobel Prize for the ethologists Nikolaas Tinbergen, Konrad Lorenz, and Karl von Frisch, animal behavior remains
distinctly limited compared to the complex learning and cognitive tasks that humans can readily perform (Beck, 1978; Gould,
1982). Indeed, the profound value of our abilities to think and learn may be best reflected in the fact that, according to Tinbergen’s
strict definition of instinct (see Beck, 1978), humans appear not to have any instinctive behavior anymore. Yet we have more than
made up for it through our ability to learn, and learning theory and behaviorism became dominant forces in the early years of
American psychology.
John B. Watson and B.F. Skinner are among the most famous and influential of American psychologists. Learning about their
groundbreaking research on classical and operant conditioning is standard fare in psychology courses. More recently, Albert
Bandura has enjoyed similar popularity and respect in the field of social learning theory. Anyone who has children knows full well
how eagerly they observe us and mimic our actions and speech. An important aspect of the learning perspective is that our
personalities may develop as a result of the rewards and/or punishments we receive from others. Consequently, we should be able
to shape an individual’s personality in any way we want. Early behaviorists, like Watson, suggested that they could indeed take any
child and raise them to be successful in any career they chose for them. Although most parents and teachers try to be a good
influence on children, and to set good examples for them, children are often influenced more by their peers. What children find
rewarding may not be what parents and teachers think is rewarding. This is why a social-cognitive approach to learning becomes
very important in understanding personality development. Social-cognitive theorists, like Bandura, recognize that children interact
with their environment, partly determining for themselves what is rewarding or punishing, and then react to the environment in
their own unique way.
As suggested by the blend of behaviorism and cognition that Bandura and others proposed, there is a close association between
behaviorism and the field of cognitive psychology. Although strict behaviorists rejected the study of unobservable cognitive
processes, the cognitive field has actually followed the guidelines of behaviorism with regard to a dispassionate and logical
observation of the expression of cognitive processes through an individual’s behavior and what they say. Thus, the ability of human
beings to think, reason, analyze, anticipate, etc., leads them to act in accordance with their ideas, rather than simply on the basis of
traditional behavioral controls: reward, punishment, or associations with unconditional stimuli. The success of the cognitive
approach when applied to therapy, such as the techniques developed by Aaron Beck, has helped to establish cognitive theory as one
the most respected areas in the study of personality and abnormal psychology.

Biological Factors
Although humans may not exhibit instinctive behavior, we are still ultimately a product of our biological makeup, our specific
DNA pattern. Our individual DNA pattern is unique, unless we happen to be an identical twin, and it not only provides the basis for

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our learning and cognitive abilities, it also sets the conditions for certain aspects of our character. Perhaps the most salient of these
characteristics is temperament, which can loosely be described as the emotional component of our personality. In addition to
temperament, twin studies have shown that all aspects of personality appear to be significantly influenced by our genetic
inheritance (Bouchard, 1994; Bouchard & McGue, 1990; Bouchard et al., 1990). Even such complex personality variables as well-
being, traditionalism, and religiosity have been found to be highly influenced by our genetic make-up (Tellegen et al., 1988; Waller
et al., 1990).
Sociobiologists and evolutionary psychologists also emphasize the role of genetics and adaptation over time. Sociobiologists
consider how biological factors influence social behavior. For example, they would suggest that men are inclined to prefer multiple
sexual partners because men are biologically capable of fathering many children, whereas women would be inclined to favor one
successful and established partner, because a woman must physically invest a year or more in each child (a 9-month pregnancy
followed by a period of nursing). Similarly, evolutionary psychologists consider how human behavior has been adaptive for our
survival. Humans evolved from plant-eating primates, we are not well suited to defend ourselves against large, meat-eating
predators. As a group, however, and using our intellect to fashion weapons from sticks and rocks, we were able to survive and
flourish over time. Unfortunately, the same adaptive influences that guide the development of each healthy person can, under
adverse conditions, lead to dysfunctional behaviors, and consequently, psychological disorders (Millon, 2004).
Discussion Question: Some research suggests that personality is largely determined by genetics. Do you see similarities in your
personality as compared to your parents, grandparents, brothers, sisters, etc.? Do you think that your environment, things like your
community, your friends, television, movies, the Internet, etc., are more influential than your biological inheritance from your
parents?

Inherent Drives
Freud believed that we are motivated primarily by psychosexual impulses, and secondarily by our tendency toward aggression.
Certainly it is necessary to procreate for the species to survive, and elements of aggression are necessary for us to get what we need
and to protect ourselves. But this is a particularly dark and somewhat animalistic view of humanity. The humanistic psychologists
Carl Rogers and Abraham Maslow believed in a positive view of people, they proposed that each of us contains an inherent drive to
be the best that we can be, and to accomplish all that we are capable of accomplishing. Rogers and Maslow called this drive self-
actualization. Interestingly, this concept is actually thousands of years old, and having spent time in China, Rogers was well aware
of Buddhist and Yogic perspectives on the self.
Somewhat related to the humanistic concept of self-actualization, is the existential perspective. Existential theorists, like Rollo
May, believe that individuals can be truly happy only when they find some meaning in life. In Eastern philosophical perspectives,
coming from Yoga and Buddhism, meaning in life is found by realizing that life is an illusion, that within each of us is the essence
of one universal spirit. Indeed, Yoga means “union,” referring to union with God. Thus, we have meaning within us, but the illusion
of our life is what distracts us from realizing it.
Discussion Question: Do you feel that you are driven to accomplish something great, or to find some particular meaning in life?
Do you believe that there might be pathways to guide you, particularly spiritual or religious pathways?

Sociocultural Influences
Culture can broadly be defined as “everything that people have, think, and do as members of a society” (Ferraro, 2006a), and
appears to be as old as the Homo genus itself (the genus of which we, as Homo sapiens, are the current representatives; Haviland et
al., 2005). Culture has also been described as the memory of a society (see Triandis & Suh, 2002). Culture is both learned and
shared by members of a society, and it is what the makes the behavior of an individual understandable to other members of that
culture. Everything we do is influenced by culture, from the food we eat to the nature of our personal relationships, and it varies
dramatically from group to group. What makes life understandable and predictable within one group may be incomprehensible to
another. Despite differences in detail, however, there are a number of cultural universals, those aspects of culture that have been
identified in every cultural group that has been examined historically or ethnographically (Murdock, 1945; see also Ferraro, 2006a).
Therefore, if we truly want to understand personality theory, we need to know something about the sociocultural factors that may
be the same, or that may differ, between groups.
In 1999, Stanley Sue proposed that psychology has systematically avoided the study of cross-cultural factors in psychological
research. This was not because psychologists themselves are biased, but rather, it was due to an inherent bias in the nature of
psychological research (for commentaries see also Tebes, 2000; Guyll & Madon, 2000; and Sue, 2000). Although some may

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disagree with the arguments set forth in Sue’s initial study, it is clear that the vast majority of research has been conducted here in
America, primarily by American college professors studying American psychology students. And the history of our country clearly
identifies most of those individuals, both the professors and the students, as White, middle- to upper-class men. The same year, Lee
et al. (1999) brought together a collection of multicultural perspectives on personality, with the individual chapters written by a
very diverse group of authors. In both the preface and their introductory chapter, the editors emphasize that neither human nature
nor personality can be separated from culture. And yet, as suggested by Sue (1999), they acknowledge the general lack of cross-
cultural or multicultural research in the field of personality. Times have begun to change, however. In 2002, the American
Psychological Association (APA) adopted a policy entitled “Guidelines on Multicultural Education, Training, Research, Practice,
and Organizational Change for Psychologists (which is available online at
www.apa.org/pi/multiculturalguidelines/homepage.html). The year 2002 also saw a chapter in the prestigious Annual Review of
Psychology on how culture influences the development of personality (Triandis & Suh, 2002). In a fascinating article on whether
psychology actually matters in our lives, former APA president and renowned social psychologist Philip Zimbardo (2004)
identified the work of Kenneth and Mamie Clark on prejudice and discrimination, which was presented to the United States
Supreme Court during the Brown vs. Board of Education of Topeka, KS case (which led to the end of school segregation in
America) as one of the most significant impacts on American life that psychology has contributed to directly (see also Benjamin &
Crouse, 2002; Keppel, 2002; Pickren & Tomes, 2002). Finally, an examination of American Psychologist (the principle journal of
APA) and Psychological Science (the principle journal of the American Psychological Society) since the year 2000 reveals studies
demonstrating the importance of cross-cultural research in many areas of psychology (see Table 1.2.1). So, although personality
theorists, and the field of psychology in general, have been somewhat slow to address cross-cultural and diversity issues, in more
recent years psychologists appear to be rapidly gaining a greater appreciation of the importance of studying human diversity in all
its forms.
As mentioned in the opening paragraphs of this chapter, one of the primary goals of this book is to incorporate different cultural
perspectives into our study of personality theory, to take more of a global perspective than has traditionally been done. Why is this
important? It is actually very easy to point out the answer to that question. The United States of America has less than 300 million
people. India has nearly 1 billion people, and China has over 1 billion people. So, two Asian countries alone have nearly 7 times as
many people as the United States. How can we claim to be studying personality if we haven’t taken into account the vast majority
of people in the world? Of course, we haven’t entirely ignored these two particular countries, because two of the most famous
personality theorists spent time in these countries when they were young. Carl Jung spent time in India, and his theories were
clearly influenced by ancient Vedic philosophy, and Carl Rogers spent time in China while studying to be a minister. So it is
possible to draw connections between Yoga, Buddhism, psychodynamic theory, and humanistic psychology. Sometimes this will
involve looking at differences between cultures, and other times we will focus on similarities. At the end of the book I hope you
will appreciate not only the diversity of personality and personality theory, but also the connections that tie all of us together.
Discussion Question: Do you notice cultural differences around you every day, or do you live in a small community where
everyone is very much the same? What sort of challenges do you face as a result of cultural differences, either because you deal
with them daily or because you have little opportunity to experience them?

Some Basic Questions Common to All Areas of Personality Theory

In addition to the broad perspectives described above, there are a number of philosophical questions that help to bring the nature of
personality into perspective. Thinking about how these questions are answered by each theory can help us to compare and contrast
the different theories.
Is our personality inherited, or are we products of our environment? This is the classic debate on nature vs. nurture. Are we born
with a given temperament, with a genetically determined style of interacting with others, certain abilities, with various behavioral
patterns that we cannot even control? Or are we shaped by our experiences, by learning, thinking, and relating to others? Many
psychologists today find this debate amusing, because no matter what area of psychology you study, the answer is typically both!
We are born with a certain range of possibilities determined by our DNA. We can be a certain height, have a certain IQ, be shy or
outgoing, we might be Black, Asian, White or Hispanic, etc. because of who we are genetically. However, the environment can
have a profound effect on how our genetic make-up is realized. For example, an abused child may become shy and withdrawn,
even though genetically they were inclined to be more outgoing. A child whose mother abused alcohol during the pregnancy may
suffer from fetal alcohol syndrome, the leading cause of preventable mental retardation, even though the child was genetically
endowed with the possibility of being a genius. So the best perspective may be that our genetic make-up provides a range of
possibilities for our life, and the environment in which we grow determines where exactly we fall within that range.

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Are we unique, or are there common types of personality? Many students want to believe that they are special and truly unique, and
they tend to reject theories that try to categorize individuals. However, if personality theories were unique to each person, we could
never possibly cover all of the theories! Also, as unique as you may be, aren’t many people, like your friends, similar to you? In
order to understand and compare people, personality theorists need to consider that there are common aspects of personality. It is
up to each of us to decide whether we are still willing to find what is unique and special about each separate person.
Which is more important, the past, present, or future? Many theorists, particularly psychodynamic theorists, consider personality to
be largely determined at an early age. Similarly, those who believe strongly in the genetic determination of personality would
consider many factors set even before birth. But what prospects for growth does this allow, can people change or choose a new
direction in their life? Cognitive and behavioral theorists focus on specific thoughts, beliefs, and behaviors that are influencing our
daily lives, whereas existential theorists search for meaning in our lives. Other theorists, such as the humanists and those who favor
the spiritually-oriented perspectives we will examine, consider the future to be primary in our goals and aspirations. Self-
actualization is something we can work toward. Indeed, it may be an inherent drive.
Do we have free will, or is our behavior determined? Although this question seems similar to the previous one, it refers more to
whether we consciously choose the path we take in life as compared to whether our behavior is specifically determined by factors
beyond our control. We already mentioned the possibility of genetic factors above, but there might also be unconscious factors and
stimuli in our environment. Certainly humans rely on learning for much of what we do in life, so why not for developing our
personalities? Though some students don’t want to think of themselves as simply products of reinforcement and punishment (i.e.,
operant conditioning) or the associations formed during classical conditioning (anyone have a phobia?), what about the richness of
observational learning? Still, exercising our will and making sound choices seems far more dignified to many people. Is it possible
to develop our will, to help us make better choices and follow through on them? Yes, according to William James, America’s
foremost psychologist. James considered our will to be of great importance, and he included chapters on the will in two classic
books: Psychology: Briefer Course,published in 1892 and Talks to Teachers on Psychology and to Students on Some of Life’s
Ideals, which was published in 1899. James not only thought about the importance of the will, he recommended exercising it. In
Talks to Teachers…, he sets forth the following responsibility for teachers of psychology:
But let us now close in a little more closely on this matter of the education of the will. Your task is to build up a character in your
pupils; and a character, as I have so often said, consists in an organized set of habits of reaction. Now of what do such habits of
reaction themselves consist? They consist of tendencies to act characteristically when certain ideas possess us, and to refrain
characteristically when possessed by other ideas.

Table 1.2.1: Sampling of Cross-Cultural Research in Select

Psychology Journals Since the Year 2000

Chao, 2001; Gjerde, 2001; Kondo-Ikemura,

2001; Posada & Jacobs, 2001; Rothbaum et al.,
Attachment
2000; Rothbaum et al., 2001; van Ijzendoorn &
Sagi, 2001
Callaghan et al., 2005; Goldin-Meadow &
Child Development
Saltzman, 2000; Lal, 2002

Cognitive Dissonance Kitayama et al., 2004

Antonio et al., 2004; German & Barrett, 2005;

Cognition and Creativity Hong et al., 2000; Leung et al., 2008;
Norenzayan & Nisbett, 2000; Tomasello, 2000
Eidelson & Eidelson, 2003; Graham, 2006;
Conflict and Perceptions of Safety
Juvonen et al., 2006; Van Vugt et al., 2007

Cooperation Wong & Hong, 2005

Goldston et al., 2008; Heine & Norenzayan,

Cultural Research and Cultural Competency in 2006; Leong, 2007; Matsumoto & Yoo, 2006;
Psychotherapy Smith et al., 2006; Sue, 2003; Vasquez, 2007;
Whaley & Davis, 2007

Education Tucker & Herman, 2002

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Table 1.2.1: Sampling of Cross-Cultural Research in Select
Psychology Journals Since the Year 2000

Elfenbein & Ambady, 2003; Frijda &

Emotion Sundararajan, 2007; Hejmadi et al., 2000; Tsai,
2007
Arnett, 2002; Heine et al., 2008; Henry &
Hardin, 2006; Inglehart et al., 2008; McCrae &
Globalization, Nationality, Race Relations
Terracciano, 2006; Sue, 2004; Tropp &
Pettigrew, 2005
Dudley-Grant, 2001; Halpern, 2001;
Family Dynamics Kameguchi & Murphy-Shigematsu, 2001;
Kaslow, 2001

Goal-Seeking Behavior Elliot et al., 2001; Markus et al., 2006

Intelligence Daley et al., 2003; Sternberg, 2004

Gurung, 2003; Li, 2003; Li, 2005; McBride-

Learning Chang & Treiman, 2003; Tweed & Lehman,
2002; Tweed & Lehman, 2003

Memory Cohen & Gunz, 2002; Fivush & Nelson, 2004

Neural Substrates of Attention Hedden et al., 2008

Bar-Haim et al., 2006; Cohen & Gunz, 2002;

Dobel et al., 2007; Feng et al., 2007; Ji et al.,
Perception and Spatial Representation 2001; Kitayama et al., 2003; Leung & Cogen,
2007; Maass & Russo, 2003; Miyamoto et al.,
2006
Perunovic & Heller, 2007; Wang, 2006a,b; Wu
Self, Self-esteem, Social Perspective & Keysar, 2007; Yamagishi et al., 2008;
Yamaguchi et al., 2007

Stress Responses Taylor et al., 2007

Table 1.2.2: Brief Comparison of Factors Influencing Personality

Emphasis is on the unconscious mind,

interactions between elements of the mind,
Psychodynamic Factors
early childhood experiences, stages of
development, defense mechanisms, etc.
Emphasis is on environmental stimuli and/or
thought patterns that predictably influence
Learning and Cognitive Factors
behavior; focus is on observable behavior or
identifiable thoughts.
Emphasis is on genetic factors, which set
ranges within which the individual may
develop. This approach does not ignore the
environment, but genetic factors (e.g., inborn
Biological Factors traits and temperament) may cause different
environmental influences to be experienced in
similar ways, or conversely, may cause similar
environmental influences to be experienced in
different ways.
Humanistic psychologists focus on self-
actualization; existentialists and spiritually-
Inherent Drives
oriented psychologists focus on the search for
meaning in one’s life.

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 Table 1.2.2: Brief Comparison of Factors Influencing Personality

Cross-cultural and multicultural psychologists

remind us that all of the above categories must
be considered in terms of the rich diversity that
Sociocultural Influences
is the human experience. Addresses both the
differences between and the similarities among
groups of people around the world.

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by Mark D. Kelland (OpenStax CNX) via source content that was edited to the style and standards of the LibreTexts platform; a detailed edit
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1.3: Personality as a Discipline within the Field of Psychology
As difficult as it may be to define personality, it is important to know something about it. Personality is probably the most
important field in psychology. Understanding who we are as individuals, and why we think certain thoughts and do certain things is
the starting point for addressing clinical issues, abnormal psychology, and health psychology, it is the ultimate goal of studying
human development, and it is the point from which we begin to address social psychology. Without an appreciation of the
individual, without concern for each person, these other areas of psychology become little more than academic subjects.

Personality as a Common Thread in the History of Psychology

Most historians identify the starting point of the modern field of psychology with the experimental psychologists, particularly the
establishment of Wilhelm Wundt’s laboratory in Leipzig, Germany in 1879. Personality theorists, however, were not far behind.
Freud, Adler, and Jung were all beginning to work in the field of psychiatry (they were medical doctors) in the late 1800s as well. If
one wants to put an official date on the start of modern personality theory, it would most likely be 1900, the year in which Freud
published “The Interpretation of Dreams (Freud, 1900/1995).” Since Freud’s theories were based on his work with patients, this
date is also the beginning of a relationship between personality theory, abnormal psychology, and psychotherapy, a relationship that
continues today. Early psychodynamic theorists were also influential in developmental psychology and school psychology. Freud
began his theory of personality with a proposed series of developmental stages: the five psychosexual stages. Erik Erikson, another
well known psychodynamic theorist, is probably better known as a developmental psychologist for his eight-stage theory of
psychosocial crises. Adler considered the early years of childhood so important that he felt parents and teachers should have access
to training and counseling in the schools. With the endorsement of the minister of education, Adler and his colleagues established
child guidance centers in many public schools.
As psychodynamic theory dominated the European scene in the early 1900s, America was largely influenced by behaviorism.
Behavioral theorists also considered personality within their domain, suggesting that personality is learned. John B. Watson boasted
that he could use behavioral principles to direct any child into any given career path. B.F. Skinner constructed an advanced version
of his famous “Skinner Box,” which was typically used to train rats or pigeons, to raise and care for children during the early years
of life. As behaviorism continued to develop, social learning theorists focused on a rich mixture of imitation, observation of the
rewards and punishment experienced by others, expectations, and personal assessment of the value of potential rewards and
punishers.
Against this backdrop of psychodynamic theory and behaviorism, Rogers and Maslow became the leading advocates of a new and
openly positive view of human development, referred to most commonly as humanistic psychology. This new field emphasized
self-actualization, though self-actualization itself does not appear to have been a new concept. It closely resembles the
enlightenment described by Yoga and Buddhism (each of which is thousands of years old), though Yoga and Buddhism ultimately
reject the existence of the self. Is there a relationship between Eastern philosophical perspectives and humanistic psychology?
Rogers had traveled throughout Asia, particularly in China, and Maslow had studied with renowned psychodynamic theorists who
were fascinated by Buddhism (such as Horney), so both were well acquainted with the basics of Eastern philosophical thought.
Closely related to the behavioral perspectives, cognitive theories of personality are also prominent in psychology. Today, the use of
non-invasive brain imaging techniques (e.g., functional magnetic resonance imaging), which function in real time, have made the
study of cognitive processes one of the most exciting areas of psychological research. Studying cognition is hardly new, however,
since the earliest studies of consciousness can be traced to William James in the late 1800s. Still, what James was able to study over
100 years ago is completely different than what modern cognitive neuroscientists are able to study today. Nonetheless, if we can
find something in common between the studies of over a century ago and the research of today, perhaps we will really begin to
understand the complexity and diversity of personality.

Positive Psychology and Spirituality: New Directions in the Field of Personality

Figure 1.3.1
Young children enjoy helping even younger children. Positive psychology encourages us all to study and promote such behavior.
In 1998, Martin Seligman, then president of APA and author of What You Can Change & What You Can’t (1994), urged
psychologists to rediscover the forgotten mission of psychology: to build human strength and nurture genius. Seligman called this
new area Positive Psychology (for thorough overviews see Compton, 2005 or Peterson, 2006). In 2000, American Psychologist
published a special edition on happiness, excellence, and optimal human functioning (American Psychologist, Vol. 55, Number 1,

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2000; with an introduction by Seligman & Csikszentmihalyi, 2000). The general goal of positive psychology is to find ways in
which psychological research can help people to be happier, and to lead more fulfilling lives. Positive psychology can also serve as
a focus for psychologists to become more appreciative of not only human nature, but also of the potential for the field of
psychology itself to benefit all people (Sheldon & King, 2001). Table 1.3.1 offers a sampling of the wide range of interest in
positive psychology that exists today.
Closely related to positive psychology is the concept of resilience. Many individuals face difficult or traumatic challenges in life,
and yet some manage to maintain stability in their lives in spite of these unfortunate circumstances. How exactly these individuals
maintain stability and a positive direction in their lives is not always clear, and there may be a variety of different ways that
individuals respond to such extreme stress (Bonanno, 2004, 2005a; Masten, 2001; for commentary on the first article see also
Bonanno, 2005b; Kelley, 2005; Linley & Joseph, 2005; Litz, 2005; Maddi, 2005; Roisman, 2005). Among the important factors,
particularly for our perspective here, is the ability to maintain positive emotions and to pursue self-enhancement (Bonanno, 2004,
2005; Masten, 2001). Throughout history, a variety of cultures have given rise to spiritual pursuits that help to guide the
development of individuals in positive directions. We will cover some of these spiritual paths in the last section of this book, taking
just a brief look here at the relationship between spirituality, positive psychology, and personality.

Table P ageI ndex1 : Selection of Books and Articles Related to Positive

Psychology Published Since the Year 2000

Books on Positive Psychology Compton, 2005; Snyder & Lopez, 2005

Human Strengths and Virtues Aspinwall & Staudinger, 2003; Fowers, 2005

Cloninger, 2004; Hampson, 2008; Hsee et al.,

2008; Huppert, 2009; Inglehart et al., 2008;
Happiness and Well-Being
Molden et al., 2009; Seligman, 2002; Siegel,
2007

Articles on Academic Excellence and Lubinski & Benbow, 2000; Simonton, 2000;
Creativity Winner, 2000

Baltes & Staudinger, 2000; Lyubomirsky,

Cognition and Motivation
2001; Peterson, 2000

Coping Folkman & Moskowitz; 2000; Vaillant, 2000

Diener, 2000; Diener & Seligman, 2004;

Economics
Myers, 2000; Smith et al., 2005
Dolan & White, 2007; Ekman et al., 2005;
Fredrickson, 2001; Fredrickson & Joiner, 2002;
Fredrickson & Losada, 2005; Kesebir &
Emotions, Happiness, Well-Being
Diener, 2008; Kim & Moen, 2001; Napier &
Jost, 2008; Oishi et al., 2007; Robinson et al.,
2004; Weiss et al., 2008
Bauer & McAdams, 2004a,b; Bauer et al.,
Enjoying a Good Life
2005a,b; Schneider, 2001

Evolution Buss, 2000a; Massimini & Fave, 2000

Cohen & Pressman, 2006; Ray, 2004; Salovey

Physical Health
et al., 2000; Taylor et al., 2000

Relationships Myers, 2000

Self-Determination Ryan & Deci, 2000; Schwartz, 2000

Ahmed & Boisvert, 2006; Joseph & Linley,

Therapeutic Intervention
2006; Seligman et al., 2005

Youth Development Larson, 2000

It appears that spirituality is an essential attribute of human nature. It has been recognized for some time that religious ritual is a
cultural universal (Murdock, 1945; see also Ferraro, 2006a). More than simply a cultural universal, however, spirituality appears to

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be a natural consequence of child development. Deborah Kelemen (2004) brought together a number of different theories, and was
able to demonstrate that young children, around
the age of 5 years old, have both the ability and the inclination to explain the world around them in terms of an intentional act by a
supernatural being. Thus, Kelemen suggests that young children are what she calls “intuitive theists.” Surprisingly, this tendency
appears to continue into adulthood, since even college students studying evolution exhibit a tendency to think of evolution as a
purposeful agent itself, an agent that guides further evolution according to a thoughtful plan (Kelemen, 2004).
The relationship between psychology and religious/spiritual pursuits has a long and interesting history. One of William James’
most famous books is The Varieties of Religious Experience: A Study in Human Nature (James, 1902/1987), and around the turn of
the century in 1900 psychologists of the day actually used religion in the popular press to help engender respect for the new field of
psychology (Pickren, 2000). Since the more recent turn of the century there have been a number of books and articles published
connecting psychology, spirituality, religion, and psychotherapy (see Table 1.3.2). Thus, a topic that was viewed as important at the
beginning of the field of psychology, but was then pushed aside as unscientific, is once again become an area of interest and
importance. Although spirituality is certainly not synonymous with positive psychology, it does appear to be an important factor in
positive psychology.

Table 1.3.2: Selection of Recent Books and Articles

Relating Spirituality to Psychology

Books on psychology seen through the eyes of

Myers & Jeeves, 2003
faith

Relationships between meditation, Brantley, 2003; Dockett et al., 2003;

mindfulness, Buddhism and psychology Helminiak, 2005; McQuaid & Carmona, 2004

Brach, 2003; Brazier, 1995; Mruk & Hartzell,

Spiritual counseling from a variety of 2003; Richards & Bergin, 2000, 2004, 2005;
perspectives Sperry & Shafranske, 2005; Weiner et al.,
2005; Williams et al., 2007

Multicultural clinical assessment Dana, 2000; Suzuki et al., 2001

Articles on the religious roots of individualism Burston, 2001; Lynch, 2001; Lynch Jr., 2001;
vs. collectivism Margolis, 2001; Sampson, 2000

Childhood Development of Faith Kelemen, 2004

Shamanism Krippner, 2002

Ginges et al., 2009; Hill & Pargament, 2003;

Kier & Davenport, 2004; McCormick, 2004;
The relationships between spirituality, Miller & Thoresen, 2003; Miller & Thoresen,
religion, and health 2004; Powell et al., 2003; Rayburn, 2004;
Richmond, 2004; Seeman et al., 2003; Seybold
& Hill, 2001; Wallace & Shapiro, 2006

Numerous studies have shown that individuals who are actively spiritual have higher levels of well-being and fewer serious
problems in their lives (see Compton, 2005; Myers, 2000; Seligman, 2002; Seligman & Csikszentmihalyi, 2000). The recently
published Handbook of Positive Psychology has two chapters devoted specifically to spiritual pursuits and their benefits
(Pargament & Mahoney, 2005; Shapiro et al., 2005). Peterson and Seligman (2004) have identified spirituality as one of the twenty-
four specific character strengths that have consistently emerged across history and culture. Indeed, they believe that spirituality “is
the most human of the character strengths as well as the most sublime…People with this strength have a theory about the ultimate
meaning of life that shapes their conduct and provides comfort to them” (pg. 533; Peterson & Seligman, 2004). In the last section
of this book we will examine a number of spiritual approaches to life, each of which suggests a path for positive development.
Despite being associated with very different religions, which range from 1,400 years old to perhaps more than 5,000 years old,
these spiritual paths have much in common. Perhaps this should not be surprising, as it may help to explain the inherent nature of
children to be “intuitive theists” and the universality of religious ritual in human culture.
Discussion Question: Do you believe that psychology should work to develop itself as a field that focuses on helping people to
develop in positive ways? Can spirituality or religion be helpful, or might they present more problems?

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This page titled 1.3: Personality as a Discipline within the Field of Psychology is shared under a CC BY 4.0 license and was authored, remixed,
and/or curated by Mark D. Kelland (OpenStax CNX) via source content that was edited to the style and standards of the LibreTexts platform; a
detailed edit history is available upon request.

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1.4: Methods of Studying Personality
In all types of research, we need to consider two closely related concepts: hypothesis vs. theory. An hypothesis can loosely be
defined as an educated guess about some relationship or circumstance that we have observed, and the purpose of the hypothesis is
to explain what we have experienced and to provide a starting point for further research. When a set of observations seems to come
together, especially as the result of testing our hypotheses, we might then propose a theory to bring those observations together.
However, a theory is not necessarily our end point, since the theory itself may generate new hypotheses and more research. In this
way, all scientific endeavors continue to develop, expand, clarify, change, whatever the case may be, over time. As a result, we
have many different personality theories, since different theorists have viewed the human condition differently, and they have also
used different techniques to study personality.

A variety of methods have been used to study personality. Much of the early research was based on
clinical observations, which were not done according to strict experimental methods. Today, ethical
restrictions on the types of research we can conduct with people limit our ability to re-evaluate many of
those classic studies. So we are left with a field that is rich in theory, but somewhat poor in the validation
of those theories. Of course some personality theorists have approached personality in a more scientific
manner, or at least they have tried, but that has limited the questions they have been able to ask. Since a
detailed analysis of experimental psychology and research design is beyond the scope of this textbook,
we will only cover this topic briefly (though it may come up again within individual chapters).
Case Studies
Many of the best-known personality theorists relied on case studies to develop their theories. Indeed, it
was after seeing a number of patients with seemingly impossible neurological complaints that Freud
began to seek an explanation of psychological disorders. Basically, the case study approach relies on a
detailed analysis of interesting and unique individuals. Because these individuals are unique, the primary
criticism of the case study approach is that its results may not generalize to other people. Of greater
concern, is the possibility that early theorists chose to report only those cases that seemed to support their
theories, or perhaps they only recognized those elements of a patient’s personality that fit their theory?
Another problem, as mentioned above, is that two different theorists might view the same cases in very
different ways. For example, since Carl Rogers worked initially with children, he found it difficult to
accept Freud’s suggestions that even children were motivated primarily by sexual and aggressive urges.
Consequently, Rogers sought a more positive view of personality development, which led to the
establishment of the humanistic perspective. Thus, the case study approach can lead to very different
conclusions depending on one’s own perspective while conducting research. In other words, it can easily
be more subjective than objective, and psychologists who focus on our field as a scientific discipline
always strive for more objective research.
Correlational Designs
When conducting correlational research psychologists examine the relationships that exist between
variables, but they do not control those variables. The measure that is typically used is the correlation
coefficient, which can range from –1.0 to 0.0 to +1.0. A value close to zero suggests that there is no
relationship between the variables, whereas a value closer to –1.0 or +1.0 suggests a strong relationship,
with the direction of the relationship determining whether the value is positive or negative. It is
important to remember that the strength of the correlation is determined by how far the correlation

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coefficient is from zero, not whether it is positive or negative. For example, we would most likely find a
positive correlation between the number of hours you study for a test and the number of correct answers
you get (i.e., the more you study, the more questions you get right on the test). On the other hand, the
exact same data will give us a negative correlation if we compare the number of hours you study to the
number of questions you get wrong (i.e., the more you study, they fewer questions you get wrong). So
the way in which you ask the question can determine whether you have a positive or negative
correlation, but it should not affect the strength of the relationship.
Since the investigator does not control the variables in correlational research, it is not possible to
determine whether or not one variable causes the relationship. In the example used above, it certainly
seems that studying more would lead to getting a better grade on a test. But consider another example:
can money buy happiness? There is some evidence that wealthy people are happier than the average
person, and that people in wealthy countries are happier than those in poorer countries. But does the
money affect happiness? Certainly a million dollars in cash wouldn’t help much if you were stranded on
a desert island, so what can it do for you at home? People with money can live in nicer, safer
communities, they have access to better health care (so they may feel better physically), they may have
more time to spend with their family and friends, and so in many ways their lives might be different. We
can also look at the correlation the other way around; maybe happy people get more money. If you ran a
company, and were going to hire or promote someone, wouldn’t you want to find someone who is
friendly and outgoing? Wouldn’t you look for someone who other people will enjoy working with? So,
maybe happy people do find it easier to be successful financially. Either way, we simply can’t be sure
about which variable influences the other, or even if they influence each other at all. In order to do that,
we must pursue experimental research.

Figure 1.4.1
In these figures, adapted from research conducted by the author (Kelland et al., 1989), we see two
correlations reported in an actual study. In the figure on the left, we can see a significant positive
correlation between the firing rate of dopamine neurons in the rat brain and the dose of the drug
quinpirole needed to inhibit those cells. In the figure on the right, we can see that the correlation is
eliminated (the dose of quinpirole needed is not related to the firing rate of the cell) following
administration of the drug MDMA (more commonly known as Ecstasy!).
Experimental and Quasi-Experimental Designs
The experimental design is usually preferred within psychology, as with any other science. The goal is to
control every aspect of the experiment and then manipulate a single variable, thus allowing us to attribute

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the results to that single manipulation. As a result, experiments allow us to make cause-and-effect
statements about the relationships between the variables.
A simple experiment begins with defining the independent variable, the factor that will be manipulated,
and the dependent variable, the factor that will be measured. Ideally, we then select our subjects in a
random fashion, and assign them randomly to a control group and an experimental group. The
experimental group is then exposed to the independent variable, whereas the control group is not. If we
have successfully controlled all other variables through random selection of subjects (i.e., all subjects in
a specified population have an equal chance of being selected for the study) and random assignment to
the control and experimental groups (so that hopefully each group has an equal representation of gender,
races, age, intelligence, personal habits, etc.), we should see a difference in the dependent variable that
was caused by the independent variable.
Unlike the natural sciences, however, we can seldom control human behavior in the precise ways that
true experimental designs require. For example, if we want to study the effects of prenatal exposure to
cocaine on personality development, we certainly cannot ask pregnant women to use cocaine.
Unfortunately, there are pregnant women who abuse cocaine and other illegal drugs. Therefore, we can
try to identify those women, and subsequently study the development of their children. Since a variety of
other factors led these women to abuse illegal drugs, we lose the control that is desired in an experiment.
Such studies are called quasi-experimental, because they are set up as if we did an experiment, and can
be analyzed in similar ways. The quasi-experimental approach has many applications, and can provide
valuable information not available otherwise, so long as the investigators keep in mind the limitations of
the technique (for the classic discussion of this design see Campbell & Stanley, 1963).

Table 1.4.1 : Research Designs in the Study of Personality

Case Studies Focus is on a detailed examination of unique

and interesting cases. May provide a great
deal of information, but due to the individual
nature of the case that information may not
generalize to others.

Correlational Designs Focus is on how variables change in relation

to each other. However, since there is no
control over that change, we cannot
determine whether one variable affects the
other, or vice versa, or even if the change is
due to some unidentified outside factor.

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 Table 1.4.1 : Research Designs in the Study of Personality

Experiments Experiments are usually the preferred type of

research, since the control exerted over the
variables involved allows the investigator to
make cause-and-effect statements about the
results obtained. However, ethical
considerations often make experimental
research with humans unacceptable.

Quasi-Experiments When individuals choose to put themselves

in situations that psychologists could not
ethically create, a situation arises in which
the consequences can be studied as if an
experiment was done. These are not true
experiments, however, since the investigator
cannot be sure of all the variables that led the
individuals to put themselves in such
situations to begin with.

Cross-Cultural and Multicultural Research In an effort to control the conditions of their

research, psychologists try to work with
clearly defined groups. Unfortunately, that
means their results may not generalize to
other groups of people. Cross-cultural and
multicultural psychologists remind us that, in
a truly global world, we must strive to
address both the differences and the
similarities that characterize human nature.

Cross-Cultural Approaches to the Study of Personality

Cross-cultural approaches to studying personality do not really represent a different type of research, but rather an approach to
research that does not assume all people are influenced equally by the same factors. More importantly, cross-cultural psychologists
recognize that seemingly common factors may, in reality, be quite different when viewed by people of very different cultures. The
most obvious problem that arises when considering these issues is the potential difference between cross-cultural and multicultural
research. Cross-cultural research is based on a comparison of cultures; two well-known categorizations are Eastern vs. Western
perspectives and the somewhat related topic of individualistic vs. collectivistic cultures. However, a multicultural approach tells us
that we must consider the true complexity of the human race. What is “Eastern,” is it Asia, China, Japan, does it include India, and
what about Muslim groups of people? Should Buddhism be viewed as an Eastern perspective or a religious perspective? This book
will address a variety of spiritual paths toward positive psychological development, but none of the associated religions are
indigenous to Africa, so will our discussions be complete? The list goes on and on, because there are so many different cultures in
the world. And finally, is it practical to really try coming up with a theory of personality that can encompass all the different groups
of people throughout the world? Only by pursuing an understanding of different cultures can psychology truly be considered a

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global science, and that pursuit has only just begun. Since we have a long way to go, the future is ripe for new students to pursue
careers in psychology and the study of personality.
Discussion Question: Do you consider psychology to be a science? Has psychology successfully applied the scientific method to
the study of mind and behavior, particularly the study of personality and personality development?

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1.5: Application of Personality Theory - Assessing Personality
As in the section above on research methods, an extensive discussion of personality assessment is beyond the scope of this
textbook. However, this is such an important issue that we will look at it briefly here, and then will take a closer look in some of the
chapters throughout the rest of the book. There are a number of excellent handbooks available on psychological assessment (e.g.,
Goldstein & Hersen, 1990; Groth-Marnat, 2003), including two that focus on cross-cultural and multicultural assessment (Dana,
2000; Suzuki et al., 2001).

Personality assessment most commonly occurs in a clinical setting, when an individual is seeking help
for some problem, whether it is an adjustment disorder or a potential mental illness. Assessing
personality goes beyond this singular role, however. Certainly a clinical psychologist would be using
personality assessment in order to understand a patient’s symptoms, provide a diagnosis (if appropriate),
and recommend a preferred course of therapy. Similarly, school psychologists use assessment to identify
any possible learning disorders and/or adjustment issues as they pertain to the educational environment.
But other psychologists use personality assessment for a variety of reasons as well.
Industrial/organizational psychologists use personality assessment to identify preferred candidates for
particular jobs, career counselors use these assessments in order to provide valid recommendations
regarding the choice of a career path, and research psychologists use assessment in their ongoing efforts
to correlate certain personality types to observable behavior or other measures. Thus, the assessment
tools used to describe and/or understand personality have a wide range of potential applications.
Reliability, Validity, and Standardization
A particular personality assessment is of little value if it has no reliability or validity and if it is not
presented in a standardized format.Reliability refers to the likelihood that a test will give essentially the
same result on different occasions, or that two versions of the same test will give similar results. Validity
refers to whether a test actually measures what it purports to measure. Standardization refers to the
manner in which a test is given, which must be the same for every person receiving the test if there is to
be any value in comparing the results among different people.
Determining the reliability and validity of a test can be a long and complicated process, involving a
variety of statistical methods to confirm the results. During this process the psychologist(s) developing
the test will also typically establish norms. Norms are consistent ways in which particular groups score
on a test. For example, on measures of aggressiveness the "normal" level for men may be quite different
than the "normal" level for women. Standardization is quite a bit simpler to establish, since the test can
include precise instructions dictating the manner in which it is to be given.
Assessing Personality with Objective Tests
The most famous self-report inventory is the Minnesota Multiphasic Personality Inventory (or
MMPI). The MMPI is also probably the most widely used psychological test in the world, and it has
stood the test of time (it is currently in its second version, a 1989 revision of the 1943 original). The
current version consists of 567 true-false questions, which address not only normal personality traits, but
psychopathology and the accuracy of the test-taker as well. The test has several built in "lie" scales, in
case a person were trying to fake a mental illness (e.g., if they were trying to fake an insanity defense to
avoid responsibility for a crime) or minimize any symptoms they may actually be experiencing. The

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questions themselves range from rather simple (e.g., I enjoy drama.) to rather strange (e.g., I am a
prophet of God.), but when put all together they provide a highly valid assessment that can easily be
scored by computer (hence the popularity of the test, for both reasons). NOTE: Those are not actual
questions from the MMPI, but they are based on real questions. The MMPI is an empirically based
instrument. That is, interpretations are based on the pattern of responding obtained by various psychiatric
samples. Since the standard MMPI was developed for adults and is rather lengthy, an abbreviated version
was developed for use with adolescents: the MMPI-A.
A number of alternatives to the MMPI have been developed. The California Psychological Inventory has
been available almost as long as the MMPI and, more recently, the Personality Assessment Inventory has
become popular. Another important test is Millon’s Clinical Multiaxial Inventory (the MCMI), which
was developed in accordance with Millon’s own theories on personality development and personality
disorders (see Appendix A). The MCMI was designed with certain advantages in mind, including being
relatively short compared to the MMPI and being connected with a specific clinical theory. However,
since the test was designed specifically to distinguish amongst psychiatric populations, it is not as useful
when assessing “normal” individuals (Keller et al., 1990; Groth-Marnat, 2003).
Behavioral assessment and thought sampling are techniques designed to gain an appreciation of what an
individual actually does and/or thinks on a day-to-day or moment-to-moment basis. In each case,
observers are trained to make precise observations of an individual at precise times. This provides a
statistical sample of the individual's actual behavior and/or thoughts over time. Naturally the only person
who can record an individual's thoughts is that person himself or herself, but as long as they are carefully
informed of the procedure and are fully cooperating, the technique works fine. When applied correctly,
the great value of these techniques is that they are truly objective, in other words, they record actual
behaviors and actual thoughts.
Assessing Personality with Projective Tests
The two most famous projective tests are the Rorschach Inkblot Technique and the Thematic
Apperception Test (or TAT). Both tests involve the presentation of ambiguous stimuli in an attempt to
draw out responses from a patient, responses reflecting impulses and/or thoughts that the patient may not
even be aware of (i.e., the patient projects their own thoughts and feelings onto the ambiguous stimuli,
even if those thoughts and feelings are subconscious).
The Rorschach Inkblots are just that, inkblots on a piece of paper that can look like most anything. An
individual being tested is first asked to say what each inkblot looks like, and then they are asked to
explain how they saw what they identified. The answer to a single inkblot is not particularly informative,
since any one inkblot may remind the person of some particular thing. However, as the patient goes
through all 10 inkblots, trends should become apparent to the psychologist that reflect the dominant
issues affecting the personality of the patient (again, even if those issues are subconscious and not
available to the conscious awareness of the patient). Initially, the Rorschach was reviewed unfavorably
and then ignored. Rorschach became depressed, and died only 9 months after the test was published.
Eventually, however, the test became more and more popular, and today is certainly one of the most

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widely recognized psychological tests. However, studies comparing the Rorschach and the MMPI have
shown the latter to be far more valid. In an effort to improve both the reliability and validity of the
Rorschach technique, there is now a standardized scoring system.
The TAT is similar to the Rorschach, except that it involves actual pictures of people (although they are
still very ambiguous drawings) and the patient is asked to tell a story about the people in the picture.
There is no objective scoring system for the TAT, so reliability and validity remain arguable, and the test
is more famous than popular as an assessment tool. However, it has been shown to have high validity for
certain specific research studies, such as studies on the need for achievement, and continues to serve a
function in clinical formulations.
Clinical Interviews
As valuable and informative as the well-established psychological tests are, there is certain vital
information that simply cannot be addressed with most tests, such as: a person's appearance, their
attitude, facial expressions, ability to communicate with another person, etc. In addition, tests often lead
to further questions, or the need for clarification or explanation. In order to address such issues, both in
general and in greater detail, clinical interviews are an essential part of the overall personality
assessment. Although the results of an interview are somewhat subjective, when viewed in the context of
the psychologist’s clinical experience, along with results of an assessment tool, they provide
psychologists with a much more complete understanding of the person whom they are evaluating.
Discussion Question: Have you or anyone you know ever had psychological testing (don’t forget
standardized tests of knowledge and intelligence in school!)? If you are at all familiar with psychological
testing, for any reason, what effect did it have on you (or someone you know)?
Critical Thinking in Psychology

Critical thinking is always important in psychology, but given the complexity of individual
personalities, the many different theories, and the variety of approaches for studying and assessing
personality, it is particularly important for our consideration here. Although we often think of the word
critical as something negative, when we talk about critical thinking in psychology we are actually talking
about being open-minded to many possible answers, but arriving at a most likely answer in a reasoned
and logical fashion. Critical thinking is a skill, but unfortunately one that all too often isn’t taught
(Halpern, 1996, 2007; Sternberg, 2007).
A typical approach to teaching critical thinking is to use examples of false claims and systematically
deconstruct the manner in which they are made to appear true, while at the same time discussing the
psychological processes involved in decision making (see, e.g., Halpern, 1996; Ruscio, 2006). John
Ruscio has done a nice job of organizing his discussion around four areas pertaining to the tactics of
pseudoscientists who would intentionally mislead us: 1) deception, the methods they use to deceive us;
2) self-deception, the types of evidence that lead us toward unwittingly deceiving ourselves; 3)
psychological tricks, a variety of tricks that create and sustain unwarranted beliefs; and 4) the decision-
making process and the ethical concerns of pseudoscientific practices. Ruscio (2006) has also provided a
handy list of the characteristics of pseudoscience:

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1. Outward Appearance of Science
2. Absence of Skeptical Peer Review
3. Reliance on Personal Experience
4. Evasion of Risky Tests
5. Retreats to the Supernatural
6. The Mantra of Holism
7. Tolerance of Inconsistencies
8. Appeals to Authority
9. Promising the Impossible
10. Stagnation
While it may seem tempting for you to take for granted that you do not need to apply critical thinking to
the theories presented in this book, that could present something of a problem for you. Many of these
theories disagree with one another. Although the major theories have all been proposed by famous and
respected theorists, some critics claim they were not developed scientifically, and the spiritual paths that
will be discussed in the last section of the book have many skeptics. As you consider each theory, there
are some critical thinking skills you can keep in mind. What is your goal as you evaluate a theory? What
do you know and how are you drawing conclusions? If your class is having a debate or a discussion what
is being said, how is it being said, and how are the arguments being analyzed? Are certain conclusions
probable; are you, or others, overconfident in your conclusions? Have you considered alternatives?
Practicing these, and other, skills can help to develop your critical thinking abilities (Halpern, 2007).
Finally, consider this “simple” definition of critical thinking offered by Diane Halpern:
Critical thinking is the use of those cognitive skills or strategies that increase the probability of a
desirable outcome. It is used to describe thinking that is purposeful, reasoned, and goal directed - the
kind of thinking involved in solving problems, formulating inferences, calculating likelihoods, and
making decisions, when the thinker is using skills that are thoughtful and effective for the particular
context and type of thinking task. (pg. 6; Halpern, 2007)
Discussion Question: When you hear someone make a claim, whether it is something scientific or a
commercial advertisement, do you tend to believe it, or do you apply critical thinking to evaluate
whether the claim is likely to be true?
Personality Theory in Real Life: Making the Connection Between Your Life and Personality Theory

In this chapter we do not have a particular theory or perspective within which to consider your own life.
So, let’s try considering your life in any way you want. I do want you to consider one basic question,
though. Who are you? You might also ask yourself what makes you the person you think you are. Try
writing down some of your thoughts. Writing the ideas down helps to force you to really pay attention to
your thoughts, rather than just casually thinking about the questions without going into any detail. When

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you are done, take a look at what you have written. Ask yourself again, “Is that really me?” You may
want to write down your new thoughts after evaluating what you have written.
Then try something that may be very interesting, but possibly a little unnerving. Ask a friend or relative,
someone you think really knows you well, and have them write down some ideas on who you are. Don’t
bother them, or distract them, while they are doing this. Let them have the time they need to do it. Then
look at what they have written, and once again ask, “Is that really me?” Finally, compare what you wrote
and what they wrote. Is there a difference, and if so, is it a big difference?
Whether the different descriptions of who you are or, in other words, the descriptions of your personality
are the same or different, how do you feel about that? Some may find comfort in learning that others see
them as they see themselves. Some may be confused if others see them quite differently than they see
themselves. There are no right or wrong answers here, it is just an exercise to help you begin thinking
about how psychologists study personality. As we move through the various theories and perspectives
presented in this textbook, it will provide a starting point from which you can hopefully learn something
interesting about yourself and about the people you interact with every day.

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1.S: Chapter Summary
Review of Key Points:
A wide variety of theoretical perspectives influence how psychologists view personality, including
psychodynamic factors, learning/cognitive factors, biological factors, inherent drives, and
sociocultural influences.
An important trend in psychology today is the emphasis on positive psychology, and the potential for
the field of psychology to contribute in positive ways to society.
A wide variety of personality tests have been developed, both objective and projective tests. Since it
often proves difficult to establish the reliability and validity of some personality tests, a clinical
interview is an essential step in forming an opinion regarding someone’s personality (especially if
there is a question of mental illness).
Critical thinking is purposeful, reasoned, goal-directed thinking aimed at evaluating claims that are
made as being true.

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 CHAPTER OVERVIEW

2: Culture and Personality

2.1: Chapter Introduction
2.2: Cultural Studies in the Field of Psychology
2.3: Placing Cross-Cultural Studies in Context- Blending
2.4: Different Cultural Factors Affecting Personality
2.5: Culture and Diversity
2.6: Culture and Mental Illness
2.7: A Final Challenge
2.8: Personality Theory in Real Life- Examining Your Own Cultural Background
2.S: Chapter Summary

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1
2.1: Chapter Introduction
In the first chapter we briefly examined the concern of many psychologists that the field of psychology has been slow to embrace
the value of cross-cultural research (see Lee et al., 1999; Sue, 1999; Triandis & Suh, 2002). This concern is by no means new. In
1936, Ralph Linton wrote that “different societies seem to show differences in the relative frequency of occurrence of the various
psychological types” (pg. 484), and in 1973, Robert LeVine suggested that “this is a moment at which even those who are skeptical
about the value of culture and personality study might consider stretching their curiosity in this direction” (pg. ix). Throughout this
textbook we will examine a number of theorists who emphasized studying cultural differences as a significant part of their careers
and, often, their personality theories as well.
However, it remains true that cross-cultural studies in psychology have only recently moved closer to the mainstream of
psychological research and clinical practice. As of 2002, the American Psychological Association has “Guidelines on Multicultural
Education, Training, Research, Practice, and Organizational Change for Psychologists”
(www.apa.org/pi/multiculturalguidelines/homepage.html). To cite just a few examples of the range of current interest in cross-
cultural psychology, we now have a Dictionary of Multicultural Psychology (Hall, 2005) and books on the relationships between
culture, mental illness, and counseling (Axelson, 1999; Castillo, 1997), as well as on the relationships between race, class, and the
social and personal development of women (Jordan, 1997b; Pack-Brown, Whittington-Clark, & Parker, 1998). There are also major
new texts on African American psychology (Belgrave & Allison, 2006) and racism, prejudice, and discrimination in America
(Miller & Garran, 2008; Whitley & Kite, 2006).
The fact that studying cross-cultural factors in personality has always been present in the careers and theories of certain individuals,
while not becoming a mainstream focus of attention, is more than just an historical curiosity. By emphasizing biological factors
(i.e., genetics), Freud’s theory did not allow for cultural differences. Behavioral theorists emphasized environmental factors, a
seemingly cultural approach, but they did not allow themselves to address factors beyond immediate scientific control. Thus, they
defined with great precision the role of reinforcement, punishment, discriminative stimuli, etc., while not allowing for the richness
of cognition and cultural experiences. Likewise, cognitive theorists clung to the scientific approach of the behaviorists, rather than
embracing the potential of sociocultural perspectives. In other words, because strict Freudian theorists, as well as behavioral and
cognitive theorists, believed that their theories applied to all people equally, they typically chose not to address differences between
people. Thus, those who wished to bring sociocultural perspectives on the development of personality into the field of personality
theory faced a degree of direct opposition. And yet, their perseverance is now being fulfilled.
In this chapter, we will briefly examine some of the issues facing personality psychologists who wish to examine personality
development in a sociocultural context. The United States, Canada, and Western Europe represent only about one tenth of the
world’s population. Ralph Linton, a renowned anthropologist with an interest in cultural influences on personality (see Linton,
1945), also edited a book entitled Most of the World: The Peoples of Africa, Latin America, and the East Today (Linton, 1949).
Thus, it is essential that we consider the influence of different cultures around the world if we are going to claim that we have
really examined human personality in all its variations.

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2.2: Cultural Studies in the Field of Psychology
Since the 1990s, a number of general books on psychology and culture have been available (e.g., Brislin, 2000; Lonner & Malpass,
1994; Matsumoto, 1994, 1997; Matsumoto & Juang, 2004; Okun, Fried, & Okun, 1999; Price & Crapo, 2002; Segall et al., 1990).
Although all of these books address topics such as the “self” and person-perception, and other various aspects of personality, only a
few of them devote an actual chapter or section to the topic of personality itself (Matsumoto & Juang, 2004; Price & Crapo, 2002;
Segall et al., 1990), and in each case the topics are fairly specific. There is, however, some older literature on the relationships
between culture, society, and personality. We will examine that research in the second part of this section. First, let us examine
some of the general principles of incorporating cross-cultural perspectives into the study of personality.

The Challenges of Cultural Research

The first problem faced by those who are interested in the study of culture and personality is the question: what exactly is to be
studied? At the most basic level, there are two types of research. Cross-cultural research typically refers to either parallel studies
being conducted in different cultures, or similar concepts being studied in different cultures. In contrast, intercultural research is
the study of individuals of different cultures interacting with one another (Brislin, 2000; Matsumoto & Juang, 2004; Segall et al.,
1990). As you will see in later chapters, some personality theorists consider interpersonal relationships to be the only true domain
for studying individual personality. While most of the research done in psychology has been cross-cultural, as the world becomes
more and more of a global community the opportunity for, and importance of, intercultural research is rapidly expanding.
Another fundamental problem with the study of culture is our attention to it, or rather, the lack of attention we pay to something
that is so deeply ingrained in our daily lives. Richard Brislin suggests the following exercise: write down three answers for
someone from a different culture who asks “What should I know about your culture so that we can understand each other better?”
(pg. 10; Brislin, 2000). Because we simply take our cultural influences for granted, it proves quite difficult for us to think that they
need to be identified or explained. For example, freedom of speech is a cherished right in America. Consequently, we often speak
our minds. If I am upset about some new college policy, I might say very negative things about the administration of our college,
even about particular administrators. It does not mean I intend to be disrespectful, or that I dislike those individuals, or that I won’t
say positive things about them when I agree with the next new policy. It is simply an expression of one of the great freedoms in our
society: the right to speak out. However, someone from a different culture, particularly a collectivist culture, might be shocked at
my apparent disrespect toward my “superiors.”
The next important issue is the difference between emic and etic tasks or behaviors. Simply put, emic tasks are those that are
familiar to the members of a given culture, whereas etic tasks are common to all cultures. In an elegantly simple, yet revealing
study, Irwin, Schafer, & Feiden (1974) demonstrated these phenomena in two cultures: American undergraduates and Mano rice
farmers (from Liberia). The American college students were consistently better at performing the Wisconsin Card Sort, a well-
known psychological test measuring cognitive reasoning skills, which relies on geometric shapes and color. The Mano farmers,
however, were consistently better at sorting different categories of rice. Thus, the ability to sort items into categories appears to be
an etic task (most likely common to all humans, regardless of culture), whereas the more specific abilities to sort by geometry and
color (common to American college students) or type of rice grain (common to Mano farmers in Liberia) is an emic task that
requires familiarity. Thus, if we made a judgment about the Mano farmers’ cognitive abilities based on the Wisconsin Card Sort,
we would clearly be making a mistake in comparing them to Americans, due to the unfamiliarity of the particular task.
Another important aspect of cross-cultural research, which may involve applying our understanding of etics and emics, is the issue
of equivalence. Is a concept being studied actually equivalent in different cultures? In other words, does a concept mean the same
thing in different cultures, is the comparison valid? For example, an etic related to intelligence is the ability to solve problems. So
how might we compare different cultural groups? Would the speed with which they solve a problem make sense as a measure of
intelligence? Such an answer would be emic, and therefore valid, in America (where we typically value independence and
competition). However, among the Baganda of Uganda, slow and careful thought is the emic. Among the Chi-Chewa of Zambia,
the emic is responsibility to the community, i.e., solving the problem in order to best get along with other people. Thus, the speed at
which people solve problems is conceptually equivalent, since it is the way in which people in each culture identify those
individuals who are considered intelligent (Brislin, 2000). However, we cannot compare the actual speed of reporting a solution to
others, as this is viewed quite differently in each culture.
One particular type of equivalence that raises a very interesting problem is that of translation equivalence. Psychologists often
want to use tests developed in their own language with people of a different culture who speak a different language. Translating a

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test from one language to another can be a difficult task. The best way to assess translation equivalence is through back
translation. In this procedure, one person translates the test, or survey, into the foreign language, and then a different person
translates the foreign language test back into the original language. The original test can then be compared to the back translated
test to see how closely they are worded. Ideally they would be identical, but this is seldom the case. To give you a simple example,
when I was in graduate school, we had a student from Taiwan join our research group. One day I asked her to translate my last
name, Kelland, into a Chinese character. When she had done that, I asked her how she would translate that particular Chinese
character into English for someone who was not Chinese. She translated the character as Kwang. Despite the first letter, I hardly
consider Kwang to be a reasonable translation of Kelland, but she didn’t seem to think of this as much of a problem (perhaps
revealing another cultural difference!). When the process of back translation is used successfully, which may involve working back
and forth with the translations, it has the effect of decentering the test from the original language. Specifically, that means that the
test should be free of any culturally emic references or aspects that interfere with the translation equivalence of the different
versions of the test (Brislin, 2000; Matsumoto & Juang, 2004).
While the list of issues pertaining to cross-cultural research goes on, let’s consider just two more specific issues: cultural
flexibility and cultural response sets. Cultural flexibility refers to how individuals are willing to change, or adapt, in situations in
which they know there are cultural differences. For example, American businesspeople can stand about 15 minutes of small talk
before getting down to business. Their Japanese counterparts, in contrast, consider it important to get to know their business
partners, and they are comfortable with hours of conversation about a variety of topics. This would, of course, be an important
consideration for anyone studying the relationship between individual personality and success in business situations in this
intercultural setting. Cultural response sets refer to how a given culture typically responds. If a given culture is more reserved, and
they are asked to rate the importance of some value in comparison to how a more open culture rates that value, a difference in the
rating may reflect the cultural difference in responding, rather than the degree to which people in each culture value the variable
being measured (Brislin, 2000; Matsumoto & Juang, 2004).
Finally, in light of these challenges, it may be particularly important to conduct cross-cultural validation studies. Rather than
testing hypotheses about specific cultural differences, cross-cultural validation studies are used to examine whether a psychological
construct that was identified in one culture is meaningful and equivalent in another culture (Brislin, 2000; Matsumoto & Juang,
2004). For example, as we will see in Chapter 7, Erik Erikson did not feel confident in proposing his eight stages of development
(the psychosocial crises) until he had confirmed his observations in two separate Native American tribes. He was able to gain the
trust of these groups, and thus able to closely observe their child-rearing practices, thanks to the anthropologists who introduced
him to the tribes they had been studying for a long time.
Anthropologists have done much more for psychology than merely introducing some psychologists to cultural issues and unique
cultural groups. Some of them have had their own interests in personality. Many anthropologists, as well as some psychologists,
have relied on ethnographies to report detailed information on the customs, rituals, traditions, beliefs, and the general way of daily
life of a given group. They typically immerse themselves in the culture, living for an extended period of time with the group being
studied (this helps get past the anxiety of being observed or any lack of cultural flexibility). Comparing the ethnographies of
different groups can help guide cross-cultural psychologists in determining the likelihood that their cross-cultural studies are valid
(Matsumoto & Juang, 2004; Segall et al., 1990).
Discussion Question: Translating psychological tests into different languages is often a problem for cross-cultural psychologists.
Americans have a reputation for only knowing English, whereas people in other countries often speak more than one language. Do
you know a foreign language well enough to actually communicate with someone in another country? How important do you think
it is to learn another language as part of understanding their culture?

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2.3: Placing Cross-Cultural Studies in Context- Blending
Psychology with Anthropology
As the field of psychology entered the twenty-first century, there was a groundswell of interest in cultural factors as they pertain to
all areas of psychology. In the field of personality, as well as in other areas, there have always been individuals with an interest in
culture and society, but they tended to remain as individuals. Although they were often admired for their unique interests and ideas,
the major emphasis in psychology was on the scientific method and data that had been obtained in carefully controlled situations,
and then analyzed with similar, exacting precision. Culture, as difficult as it is to define, was left largely to anthropologists and
sociologists.
Anthropologists, in particular, were not as shy about addressing the domain of psychology, and a number of anthropologists crossed
over into the study of psychology to such an extent that they are often mentioned even in the introductory psychology textbooks.
But given that their primary interest was in anthropology, they did not form detailed personality development theories of the type
presented in this (or other) personality textbooks. In this chapter, however, we will take a look at some of the ideas presented by the
renowned anthropologist Ralph Linton, and his occasional colleague Abram Kardiner, a psychoanalyst with an associate
appointment in the same anthropology department as Linton. In addition to their books, students of personality with a strong
interest in cultural influences on personality will also find the works of Ruth Benedict and Margaret Mead of great interest.

The Influence of Culture and Society on Personality

Many psychology textbooks mention a few famous anthropologists, such as Ruth Benedict and Margaret Mead, whose research
included work on child development and personality. However, less well-known in the field of psychology is the renowned
anthropologist Ralph Linton, who paid particular attention to personality development in relation to culture and society. Linton also
collaborated with Abram Kardiner, a founding member of the New York Psychoanalytic Institute (and who was analyzed by
Sigmund Freud himself in 1921-1922). Linton and Kardiner freely acknowledged the connections between anthropology and
psychology, noting the influence of Benedict and Mead, Franz Boas (recognized as the father of American anthropology and
mentor to both Benedict and Mead), and the psychoanalysts Anna Freud, Erich Fromm, Karen Horney, and Wilhelm Reich
(Kardiner, 1939; Kardiner, Linton, DuBois, & West, 1945; Kardiner & Preble, 1961).
Linton described personality as existing on three levels. First, personality can be described based on either its content or its
organization. The organization, furthermore, can be examined in terms of its superficial organization or its central organization.
The central organization of personality gives the whole personality its distinctive character, and includes the most invariant aspects
of personality, such as the degree of introversion/extraversion, or other aspects of temperament (Linton, 1936, 1945). Although
these temperamental attributes are present at birth, they do not comprise personality per se. The superficial organization of
personality, however, is based on the goals and interests of the individual, and incorporates the individual’s experiences in life
within the context of the central organization. In this regard, the superficial organization should not be confused with something
transient or insignificant. It is “superficial” only in the sense that it is on the surface of the personality, and the goals and interests of
the person are based on the content of personality that represents their life experiences as they are organized within the personality.
The goals and interests themselves, which incorporate the content of personality, are determined almost entirely by the culture in
which the individual is raised. According to Linton (1936), the process of integrating the individual’s experience within the context
of one’s temperament (or “constitutional qualities”) forms a “mutually adjusted, functional whole.”
A critical question, of course, is whether cultural experiences can affect the central organization. Linton (1936, 1945, 1955)
believed that no matter how an individual receives the cultural characteristics of their society, they are likely to internalize them, a
process known as enculturation. One of the main reasons that enculturation is so influential in every aspect of the person’s being,
is that it pervades every aspect of the society in which the person lives. Thus, even someone who is considered a rebel, most likely
exists within a range of rebellion that is possible within that particular culture. This is directly related to the apparent reality that
cultures do give rise to certain types of personality. Making the matter even more complicated, or simpler depending on one’s
perspective, is the role of status within a culture. Thus, although a given culture or society, or one’s own temperament, may
influence personality in one direction, a particular social class might influence personality in a different direction. An individual
born into a given class, whose personal constitution does not fit that class, may develop what Linton called a status personality,
i.e., a persona that fits with societies expectations for the individual in certain settings. For example, someone born into an upper
middle class family involved in business, who is personally rather introverted and withdrawn, may present a confident and
outgoing personality when working, and only upon returning home do they revert to their natural inclination to be shy and quiet.

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One of the most interesting points made by Linton is that individuals with complimentary personalities are also mutually adjusted.
The most obvious example is that of the gender roles of men and women. Men are expected, in many cultures and societies, to be
the dominant member of the family, as well as the “bread-winner.” Conversely, women are expected to be submissive, and to
remain home and care for the household and the children. In this way, the men and women together complete the necessary tasks
for family life without entering into conflict (at least in theory!). In some cultures, these gender roles are quite relaxed with regard
to the sex of the individual. Amongst the Comanche (a Native American tribe), men whose personalities were not at all suited to
being warriors assumed a special role, that of berdache (Linton, 1936). The berdache wore women’s clothes, and typically fulfilled
a woman’s role, but they were treated with somewhat more respect than women (in keeping with the patriarchal nature of the
society). Some were homosexuals (though not all), and even married. This was generally accepted, and any disapproval these
relationships received was directed toward the warrior husband, not the berdache!
Abram Kardiner, a psychoanalyst who collaborated with Linton, shared the same general perspective on the relationship between
personality and culture, and attempted to put the relationship into psychological terms. He distinguished between the basic
personality, or ego structure, which he considered to be a cultural phenomenon, and the individual’s character, which is their
unique adaptation to the environment within their cultural setting. Thus, each individual develops a unique character, but only
within the constraints of the culturally-determined range of potential ego structure (Kardiner, 1939). The process of personality
development, within a cultural setting, results in what Kardiner called a security system. The security system of the individual is
the series of adaptations that serve to ensure the individual’s acceptance, approval, support, esteem, and status within the group.
Thus, for each person within a given cultural group, their basic personality is formed through an ongoing interaction with the very
culture in which that person needs to be (and, hopefully, will be) accepted as a member. Both of Kardiner’s major books, The
Individual and His Society (Kardiner, 1939) and The Psychological Frontiers of Society (Kardiner, et al., 1945), offer extraordinary
examples of detailed anthropological studies of a wide variety of cultures followed by psychoanalytic evaluations of the functions
served by various aspects of the cultural practices of those people.
Robert LeVine, like Kardiner, was an anthropologist and psychoanalyst with a strong interest in personality (LeVine, 1973, 1974).
He begins by asking the question of whether there are differences in personality between different cultural groups. If there are not,
then any analysis of the nature or causes of those alleged differences is meaningless. If there are differences, can we then point to
specific evidence that the environment can elicit changes in those differences? The answer is yes to both, and as one example
LeVine points to the dramatic acculturation of rural immigrants from underdeveloped areas of Europe and Asia who emigrated to
industrialized countries, such as the United States, and within two or three generations had radically altered not only their basic
ways of life, but also their social class (moving from traditional peasantry to the middle-class; LeVine, 1973). LeVine also
continued Kardiner’s approach of using a psychoanalytic perspective to evaluate and compare the nature of different cultures, and
he proposed the term psychoanalytic ethnography. In an effort to justify the use of psychoanalytic ethnography, LeVine argues
that there are enough common elements in the nature of all people and cultures to provide for valid comparisons of the differences
between those same people and cultures (LeVine, 1973).
One of the most striking discussions of the relationship between culture and the potential for personality development was offered
by Pitirim Sorokin, the founder of Harvard University’s sociology department and a colleague of the trait theorist Gordon Allport
(see Chapter 13). Sorokin points out that culture can have a dramatic influence on the biological substrates of personality. For
example, through the use of contraception, abortion, etc., many potential individuals are never born. Conversely, if such measures
are prohibited, many unwanted children are born. In addition, cultural rules and norms against sexual intercourse and/or marriage
between certain age groups, races, social classes, families, religions, etc., directly influence the potential for genetic variation
within and across different groups of humans (Sorokin, 1947). Indeed, Sorokin took such a broad view of the role of society and
culture in the environmental universe of each individual, that he described trying to understand sociocultural phenomena by
locating them in terms of sociocultural space and sociocultural distance. The concept of sociocultural distance has taken on new
meaning since Sorokin proposed it over 50 years ago. Today, anyone can travel around the world in a matter of hours or days, and
many people do so regularly. Technology and globalization have dramatically reduced the distance between people, and
consequently brought their cultural differences into contact with one another. Efforts to study cultures and societies alter the
location of sociocultural phenomena within our own universe of personal development. In other words, by studying the
relationships between society, culture, and personality, we are altering the meaning and influence of those relationships, hopefully
for the better.
As a final note, although this section has highlighted the influence of anthropologists and sociologists on cross-cultural research in
the study of personality, there has also been an influence from psychology on these investigators. As noted above, both Abram
Kardiner and Robert LeVine were psychoanalysts. In addition, Kardiner acknowledges having learned a great deal from a professor

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named John Dollard. Dollard was a sociologist who had studied psychoanalysis and who collaborated with Neal Miller (a
psychologist trained in learning theory) in an effort to apply classical learning theory to psychodynamic theory (see Chapter 10).
Dollard contributed a chapter to one of Linton’s books, and was cited by both LeVine and Sorokin (who was, again, also a
colleague of Allport). Given such an interesting interaction between the fields of psychology, anthropology, and sociology over half
a century ago, it seems surprising that psychology is only now emphasizing the value of focusing on cultural influences on
personality development.
Discussion Question: Have you ever had an interest in ethnography? When you begin to learn something about another culture,
how much does it interest you? How influential do you think your culture has been in your own personal development?

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2.4: Different Cultural Factors Affecting Personality
Since culture pervades every aspect of our lives, the number of cultural factors that we might examine in the study of personality is
quite large. However, there are a few major factors that stand out, and that have been the subject of significant research in the field
of psychology. Thus, we will take a brief look at four major factors that will come up repeatedly throughout this book: religion,
race, gender, and age.

Religion as a Cultural Influence

…religion in its turn exerts the most decisive influence upon all groups and systems of culture, from science and the fine arts to
politics and economics. Without knowing the religion of a given culture or group - their systems of ultimate values - one cannot
understand their basic traits and social movements. (pg. 228; Sorokin, 1947)
The essential importance of religion was also recognized by Abram Kardiner and Robert LeVine, both of whom, as noted above,
studied anthropology and psychoanalysis (see Kardiner, et al., 1945; LeVine, 1973). As we will see in the next chapter, the
recognized founder of psychoanalysis, Sigmund Freud, also placed great emphasis on the influence of religion and religious
symbolism (though he did not believe in God).
Despite the importance of religion, as perhaps the most significant cultural factor, there is variation in the extent to which formal
religious beliefs and practices are a part of the routine life of people in different cultures (see Matsumoto & Juang, 2004). Since
most psychologists were not emphasizing cultural factors as an essential aspect of the early development of the field (leaving that
to anthropologists and sociologists), and given Freud’s powerful and convincing arguments against religion (see Chapter 3), it is
not surprising that psychology has not focused on the influence of religion on personality. But that is changing, and despite the role
that religion has played in many political battles and outright war (as has been the case in the Middle East for thousands of years!),
religion and spirituality are also recognized as potentially favorable aspects of psychological development in general, and
personality development in particular, in the field of positive psychology (Compton, 2005; Peterson, 2006; Peterson & Seligman,
2004; Snyder & Lopez, 2005). Given the importance of religion as a cultural determinant, and the emphasis on culture in this book,
we will examine the influence of religion on personality development throughout this textbook.
Figure 2.4.1
Religion/spirituality appear to be the most significant cultural factors affecting people’s lives and personal development. Islam,
Buddhism, Taoism, Yoga, Christianity, and Judaism, taken together, represent the religious or spiritual traditions of some 5 to 6
billion people, most of the world’s population. Shown are some of the author’s copies of the Holy Bible, Holy Quran, Discourses of
the Buddha, Yoga-Sūtra, Bhagavad Gita, and the Tao Te Ching.

The Question of Race and Ethnicity as Cultural Influences

At the very outset we must face three possible alternatives as we consider the concept of race: 1) there is such a thing as race in
mankind; 2) there is not such a thing as race in mankind; 3) even if race in mankind exists, it can have no significance save as
people think of it and react to their conception of it. (pg. 38; Krogman, 1945)
Although religion may be the most significant cultural factor, the concept of race has probably existed even longer, and it is
certainly the most visually obvious factor. But is it really? The fact is that there is no clear answer to the question of what actually
constitutes race (Krogman, 1945; Linton, 1936, 1955; Sorokin, 1947). Although most people quickly think of three major races
(White, Black, and Asian), and many of us would add a fourth category (Latino), studies have suggested that there may actually be
as many as thirty-seven distinct races (see Matsumoto & Juang, 2004). In addition, genetic studies have suggested that there is
more inter-group variation than there is between-group variation, further suggesting that race is nothing more than a social
construction. As an alternative to race, some people use the term ethnicity, which identifies groups according to commonalities
such as nationality, culture, or language. This fails to solve our problem, however, since the concept of ethnicity suffers from the
same problems as the concept of race (Brislin, 2000; Matsumoto & Juang, 2004; Miller & Garran, 2008; Whitley & Kite, 2006).
Although the terms race and ethnicity are often used interchangeably with culture, they are quite different. The United States, for
example, has large populations of people from different races, ethnic groups, religions, and nationalities, but they all contribute to
the greater cultural identity of “American.” Indeed, the very concept of America as a “melting pot” defies the use of racial or ethnic
characterizations of the American people. This argument goes both ways, of course. We cannot simply refer to people who live
within the boundaries of the United States as American, and expect that they are similar in every other cultural respect. Although
this may seem rather confusing, that is exactly the point. Critical thinking must always be applied to personality theories and their

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application in broad ways. This does not mean they are not useful, just that we must be careful in our interpretations of people’s
behavior and personality if they are from another culture.
Although ethnicity and race may be of questionable value as cultural factors, there are two critically important issues that arise
from them. A common problem in cross-cultural research is that of ethnocentrism, the belief that one’s own culture has the right
beliefs and practices, whereas other cultures have wrong beliefs and practices (Matsumoto & Juang, 2004; Whitley & Kite, 2006).
Such value judgments interfere with the objectivity of cross-cultural research, and can have negative effects on intercultural
communication. The other, very serious problem is that of racism. As noted in the quote above, race is very real if people believe
in it and act according to their perception of it. We will examine racism later in the textbook. For now, consider the following quote
from a recently published book entitled Racism in the United States: Implications for the Helping Professions:
Racism has evolved as a persistent part of the human condition. Its obstinacy and intractability are frustrating and at times baffling.
We live in a world in which most nations have signed United Nations declarations of human rights and claim to be democracies,
yet racial and ethnic conflict abound. (pg. xvii; Miller & Garran, 2008)
Gender and Culture
Gender has been the subject of a wide range of studies, from pop-psychology books like Men Are From Mars, Women Are From
Venus (Gray, 1992) and Self-Made Man: One Woman’s Journey into Manhood and Back Again (Vincent, 2006) to such ominous
sounding titles in academic psychology as The Longest War: Gender and Culture (Wade and Tavris, 1994). In 2005, the president
of Harvard University suggested that one of the reasons there were so few women in math and science fields was that they lacked
the intrinsic aptitude. The subsequent uproar led to the end of his presidency at Harvard, and a renewed effort to examine the
reasons why few women succeed in math and science careers. An extensive study, led by former APA President Diane Halpern
came to no specific conclusions, due to the complex interactions of a variety of factors, but in so doing made it clear that no blame
can be placed directly on inherent/genetic ability (Halpern, et al., 2007; see also Barnett, 2007).
Gender is a distinctly cultural term, representing the behaviors or patterns of activity that a given culture or society expects from
men and women. It is perhaps most commonly used to address differences between males and females, with an underlying
assumption that sex differences lead to gender differences. However, apparent sex differences may actually be cultural gender
differences, and cultures and societies exert significant influence on gender roles from a very early age (Brislin, 2000; Matsumoto
& Juang, 2004; Stewart & McDermott, 2004). Still, some cultural factors may also have a basis in biological reality. For example,
males are typically larger and stronger than females, so it makes sense for males to do the hunting and fight the wars. Women
become pregnant and then nurse the infants, so it makes sense for them to provide early childcare. How this led to man have greater
control and prestige in society, however, remains unclear, especially since that is not universally the case (Wade & Tavris, 1994). In
addition, older men often become involved in childcare after their hunting/warrior days are behind them, further complicating the
issue.
Among the differences between men and women that seem to be fairly common across cultures, and which may stem from sex
differences, are aggression and emphasizing relationships. Men are typically more aggressive, and women seem to focus more on
relationships with other people. In accordance with these tendencies, women typically defer to men, particularly in situations that
may be confrontational. It also leads to conflict between men and women due to their difficulties communicating, hence the
popularity of John Gray’s book suggesting that men and women are from completely different planets. Given the status of men, the
challenges that these gender differences create for women were not typically given a great deal of attention. However, Karen
Horney (see Chapter 8) and more recently the women of the Stone Center Group (see Chapter 9) have made great strides in
changing that situation. Not only have the members of the Stone Center Group provided a number of collected works on the
psychology of women (Jordan, 1997b; Jordan, Kaplan, Miller, Stiver, & Surrey, 1991; Jordan, Walker, & Hartling, 2004), there are
also textbooks devoted exclusively to the subject (e.g., Matlin, 2004).

Aging within a Cultural Context

Age is used as routinely as sex to divide the people in a society. All societies recognize at least three age groups: child, adult, and
old. Childhood is typically further divided into young childhood and adolescence. Each group has different rights, responsibilities,
roles, and status (Linton, 1936; Sorokin, 1947). Sometimes, these can come into conflict. For example, among the Comanche, as
with most Plains tribes in North America, the adult male was expected to be a warrior, whereas the old man was respected for his
wisdom and gentleness. Transitioning from being a warrior to being an old man was very difficult, and Comanche men often hoped
to die in battle in order to avoid the transition. Those who were forced to make the transition became very dangerous adversaries
for the young men transitioning from childhood to adulthood, and often the old men would kill the young men when they could

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(out of sheer envy). Moving even beyond old age, into death, there are many societies in which the dead remain in the minds of the
community members, and deceased relatives and heroes are even worshipped. In some cultures, the relationship with those who are
dead is a very important part of daily life (Linton, 1936).
Throughout history, as societies have changed, so have the ways in which they treated and cared for (or did not care for) aged
individuals. Although modern industrialization is correlated with a significantly longer lifespan, such dramatic cultural changes
favor the young people who can more readily adapt to the changes. In addition, industrialized societies typically shift some of the
responsibility of caring for the aged from the family to the state. Curiously, this removes the responsibility of caring for aged
persons from the very family whom those aged individuals had cared for and raised themselves! The one area in which aged
members of the community are likely to retain their leadership status is religion, and the rituals associated with it (Holmes, 1983;
Johnson & Thane, 1998; Schweitzer, 1983).
David Gutmann, an early gerontologist with an interest in the effects of aging on personality, has focused his career on studying
men in four cultures: a typical American population (to the extent that there is such a thing), the Navajo in the United States, both
Lowland and Highland Maya in Mexico, and the Druze in Israel (see Gutmann, 1987, 1997). One of the most interesting realities
that he begins with is the recognition that the human species is the only one in which aged individuals remain active long past their
reproductive prime. What possible evolutionary advantage does this offer our species? Gutmann believes that our elders fill unique
roles in society, thus providing essential benefits to the extended family and the community, particularly for the young. Indeed,
Gutmann points out that it is uniquely human to favor the ends of the lifespan, both childhood and old age, over the middle of the
lifespan, when reproductive fitness is at its biological peak. As we noted above, however, the transition into old age is not always
easy, and this leads to some unique changes in personality associated with aging.
The beginning of old age is marked by the maturity of one’s children, such that the adult individual no longer needs to provide care
for their children. Thus, both men and women can begin to express those aspects of their personality that were set aside in order to
mutually facilitate raising children. Consequently, there is often a relaxing, or even reversal to some extent, of gender roles. A
particularly significant change for men who no longer have the physical strength to be warriors (or to engage in the physical labor
of their community) is the manner in which they seek mastery over their lives. Young men have the ability to seek active mastery,
they strive toward autonomy, competence, and control. Older men must seek passive mastery, through adaptation and
accommodation. The oldest men must rely on magical mastery. The world becomes one of potential providers and potential
predators. They rely on primitive defense mechanisms, and wish fulfillment becomes synonymous with reality. Their relationship
to the world is marked by feelings of vulnerability (Gutmann, 1987, 1997). It is easy to see how they would rely heavily on
religion, and the promise of a supernatural being for protection and eternal reward, thus inclining them toward an involvement in
religious practice that would naturally lead to a degree of respect, or at least acknowledgement, as religious leaders. Of course, the
degree to which a society provides for its oldest members, such as through retirement benefits, would have a significant effect on
this aging process. Nonetheless, Gutmann found evidence for these changes in mastery style amongst men in mainstream America
as well as in the Navajo, Maya, and Druze cultures.
Discussion Question: To what extent have religion, race, gender, and age been important factors in your personal development
(either currently, or in the past)? Which do you expect will be the most important in your future development?

Addressing the Degree of Cultural Integration

Adding to the complexity of culture’s role in shaping our personalities are two important factors. First is the degree to which an
individual is integrated into their culture, and vice versa. As Sorokin points out, it is exceedingly rare that an individual is either
totally integrated into their culture or not integrated into it at all (Sorokin, 1947; see also Kardiner, et al., 1945; Linton, 1936).
Thus, culture provides a framework within which individual variation is possible, but at the same time there will always be some
consistent basis for understanding the people within a given culture. This becomes particularly important when considering cross-
cultural research, since it may be reasonable to make some general assumptions about an individual from another culture, but we
must also be prepared for their own unique variation as a person in that cultural group.
A second important factor is that cultural phenomena do not exist in isolation. Both gender and race/ethnicity, for example,
influence how one adapts to the aging process (see, e.g., Arber, Davidson, & Ginn, 2003; Barrow, 1986; Calasanti & Slevin, 2001;
Cool & McCabe, 1983; Holmes, 1983). Gender also interacts with race/ethnicity in determining one’s reactions to group
psychotherapy (Pack-Brown, Whittington-Clark, & Parker, 1998) and/or adapting to life as a minority student on a majority
campus (Levey, Blanco, & Jones, 1998). Religion is considered to be such an important factor in the African American community
that its role has been the subject of special interest (see, e.g., Belgrave & Allison, 2006; Taylor, Chatters, & Levin, 2004).

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Obviously many more examples can be found, the point being that as an individual develops, with multiple cultural factors
influencing them, and each factor being integrated to a great or lesser degree, the potential for individual personality differences is
extraordinary, even when the overall effect of the specific culture, or society, is to guide its members toward certain underlying
tendencies that become characteristic of that culture’s members.
Discussion Question: Are you, or is anyone you know, distant or unintegrated with your family’s culture or that your community?
If so, what sort of problems does that create for your identities? If none, does your cultural integration provide a sense of integrity?

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2.5: Culture and Diversity
The importance of studying culture can be found in the diversity of people both around the world and within our own communities.
For example, although many communities may be quite limited in terms of religion and race/ethnicity, nearly all communities have
a mixture of gender and age. Although religion, race/ethnicity, gender, and age may be the major factors that have traditionally
been studied in the field of psychology, in the instances where culture was studied, it is important to remember two additional
points. First, there are other cultural factors that may be very important for certain individuals and/or select groups of people, and
second, people can be excitingly (or frustratingly, depending on your point of view) unique in their individuality.
One area of diversity that has been receiving more attention as a cultural factor affecting the lives of many people is that of
physical disability. In the past, although it was recognized that individuals with physical disabilities experience basically the same
personality development processes as other people, disabilities were considered to be specific conditions that isolated the disabled
person from their surroundings (Barker et al., 1953; Pintner et al., 1941). Over time, as more research became available on the
psychology of people with disabilities (e.g., Goodley & Lawthorn, 2006; Henderson & Bryan, 1984; Marks, 1999; McDaniel,
1976; Roessler & Bolton, 1978; Stubbins, 1977; Vash, 1981; Wright, 1983), perspectives on how to study these individuals
changed as well. In 2004, the Society for Disability Studies adopted preliminary guidelines for developing programs in disability
studies. They emphasize challenging the previously held view that disabilities are individual deficits or defects that can or should
be fixed by “experts.” Rather, they recommend exploring models that examine cultural, social, political, and economic factors
which integrate personal and collective responses to difference (the society’s website is www.disstudies.org).
There are several chapters in this book where we will address the biological aspects of personality development, including the
mind-body connection. Whereas a few academic authors have made passing mention of the value of exercise, self-defense training,
and spirituality in coping with physical disabilities (Nardo, 1994; Robinson, 1995; Sobsey, 1994), one particularly interesting area
in which culture, physical disability, the mind-body connection, positive psychology, and spirituality all come together is martial
arts training (see Kelland, 2009, 2010). A number of notable martial arts experts actively encourage people with disabilities to
practice the physical, psychological, and spiritual aspects of these ancient exercises (such as Grandmaster Mark Shuey Sr. of the
Cane Masters International Association, Master Jurgen Schmidt of the International Disabled Self-Defense Association, and
Grandmaster John Pellegrini of the International Combat Hapkido Federation), and several books are available on this subject
(McNab, 2003; Robertson, 1991; Withers, 2007). We will revisit this topic later in the book, but for now consider the diversity of
cultures and personal interests that come together when, for example, a disabled American living in the modern world pursues the
spiritual and physical development associated with an ancient, Asian practice of self-development.
When considering the life of an individual like Shawn Withers, the son of a Maine fisherman, who suffered a massive stroke at the
age of 20, but then went on to earn a black belt in Kenpo Karate and then developed his own style known as Broken Wing Kenpo
(Withers, 2007), broad descriptions of personality theory and cultural perspectives fall short of giving us an understanding of the
person. Thus, some researchers, like Dan McAdams (McAdams, 1985, 2006; McAdams et al., 2001), have emphasized the need for
studying a narrative framework within which we not only live our lives, but actually create them:
…like stories in literature, the stories we tell ourselves in order to live bring together diverse elements into an integrated whole,
organizing the multiple and conflicting facets of our lives within a narrative framework which connects past, present, and an
anticipated future and confers upon our lives a sense of sameness and continuity - indeed, an identity. As the story evolves and our
identity takes form, we come to live the story as we write it, assimilating our daily experience to a schema of self that is a product
of that experience. (pg. v; McAdams, 1985)
Although this textbook will cover broad personality theories and cultural perspectives, there are also reflective elements and
discussion questions included to help you try to address your own narrative stories. In addition, there are biographies at the
beginning of each chapter on the major theorists, which although they are not personal narratives, will nonetheless give some
insight into the sort of person that theorist was, and hopefully, how their life and their personal experiences helped to shaped the
personality theory they developed.

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2.6: Culture and Mental Illness
Although this book focuses on normal personality development, one cannot escape the fact that most of the famous personality
theorists were clinicians who were trying to understand how their patients/clients had developed psychological disorders. So, our
understanding of personality development grew hand-in-hand with our understanding of psychological disorders. The Diagnostic
and Statistical Manual of Mental Disorders began addressing the importance of culture in the 4th edition, and more recently it has
taken a dramatic step forward with the publication of the DSM's 5th edition (American Psychiatric Association, 2000, 2013).
The DSM-V includes a section on Emerging Measures and Models, one chapter of which is called Cultural Formulation. Although
the DSM-IV began to present an outline for cultural formulation, the DSM-V includes two valuable sets of questions that have
been field-tested to help clinicians assess the cultural identity of a patient/client and how that cultural identity may affect the
diagnosis and treatment of any potential psychological disorder. The first set of questions is the basis for the Cultural Formulation
Interview, and the second set comprise the Cultural Formulation Interview - Informant Version (which is given to someone who is
knowledgeable about the life circumstances and potential clinical problems of the patient/client).
In our increasingly global and multicultural world it is more and more likely that therapists will encounter individuals from
different cultural backgrounds than their own. Thus, in order for the therapist to fully understand the individual and the context of
their psychological distress, the therapist must be aware of and attentive to possibly significant cultural differences. Failure to do so
might result in what Iijima Hall (1997) has described as cultural malpractice!

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2.7: A Final Challenge
As important as it is to keep cultural factors in mind when studying personality, the unfortunate reality is that the major personality
theories in psychology, as we recognize psychology today, have arisen within Western intellectual settings. Thus, we do not have
corresponding systems of personality theory that arose in other cultures that we might compare to the theories we do have. This
somewhat limits our perspective on cross-cultural personality theory to attempts to apply our Western theories to people of other
cultures. This limitation should not, however, keep us from considering these issues. It is merely an inconvenience that you should
keep in mind as you consider the theories present in this textbook. Should your career lead you into the field of psychology,
perhaps you will be one of the people to help develop and advance some theory that moves beyond this limitation.
Another concern has to do with the nature of this textbook, and personality courses in general. Although we have emphasized
anthropology and sociology in this chapter, this is a psychology textbook. Nonetheless, culture is an all-encompassing factor in the
development and psychology of both individuals and the groups in which they live. Indeed, in Personality and Person Perception
Across Cultures, Lee, McCauley, & Draguns (1999) boldly state that “human nature cannot be independent of culture” (pg. vii).
Thus, it is essential that we learn as much as possible about culture. As an encouragement for studying other cultures, Ralph Linton
had this to say:
The ability to see the culture of one’s own society as a whole, to evaluate its patterns and appreciate their implications, calls for a
degree of objectivity which is rarely if ever achieved…Those who know no culture other than their own cannot know their own…
Even such a master as Freud frequently posited instincts to account for reactions which we now see as directly referable to cultural
conditioning. (pp. 125-126; Linton, 1945).

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2.8: Personality Theory in Real Life- Examining Your Own Cultural Background
I consider myself to be an American. But what does that actually mean? I know a few tidbits about my ancestors that are quite
interesting. One of my ancestors, a great aunt, was on the Titanic when it sank (like most women and children, she was one of the
survivors). I am directly descended from John Howland and Elizabeth Tilley, who came to America on the Mayflower, in the year
1620. Actually, John Howland fell overboard in the middle of the Atlantic Ocean during rough seas, but was saved when he
grabbed a rope trailing in the water and was then pulled back aboard! Among John Howland and Elizabeth Tilley’s other direct
descendants (and, therefore, my distant relatives) are the U. S. Presidents Franklin D. Roosevelt, George H. W. Bush, and George
W. Bush, the renowned poets Ralph Waldo Emerson and Henry Wadsworth Longfellow, and the founder of the Mormon church,
Joseph Smith. This lineage does not, however, come down through the Kelland name, as the Kellands came to America later. If you
add one more generation, John Howland’s brothers include among their descendants U. S. Presidents Richard Nixon and Gerald
Ford, as well as British Prime Minister Winston Churchill. The other side of my family was primarily German, and when they first
came to America they settled in Kansas and became well-respected wheat farmers.
What do you know about your cultural background? Are you proud of your background in a way that has shaped your life? For
example, knowing one of my ancestors was on the Mayflower helped to kindle in me an ongoing interest in history. If you don’t
know much about your family’s history, who might you turn to for information? Try it; you may learn something fascinating about
yourself.

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2.S: Chapter Summary
Review of Key Points
It is important for the field of psychology to consider both cross-cultural and intercultural research.
Emic tasks are familiar to the members of a given culture, whereas etic tasks are common to all cultures.
In cross-cultural research, it is important to determine whether a concept is equivalent in each culture being studied.
One of the most important considerations for the equivalence of psychological tests is the issue of translation equivalence. This
can be addressed, in part, through examining back translations of the test(s) being used.
Back translation helps to decenter a psychological test from the cultural influence of the original language/culture.
Cultural flexibility and cultural response sets determine the range within which members of different cultures respond. Thus,
one must have some understanding of these factors for a given culture when attempting to interpret cross-cultural or
intercultural research.
Cross-cultural validation studies specifically examine whether a given cross-cultural study makes sense within the context of a
research project.
Ethnographies provide detailed information on the daily lives and habits of the members of a given culture. They are often
conducted by anthropologists, and can be of great value to cross-cultural psychologists.
Anthropologists, such as Ralph Linton, believe that personality develops on multiple levels. Central organization involves the
biological aspects of personality (such as temperament), whereas the superficial organization is profoundly influenced by
culture.
The process of enculturation involves internalizing cultural norms, and may be able to influence the central organization of
individuals, as well as the superficial organization.
When an individual’s basic personality contradicts that which their social class expects of them, they may develop a status
personality.
Complimentary personalities, such as those seen in typical gender roles, tend to be mutually adjusted.
The psychoanalyst Abram Kardiner, who worked with Linton, distinguished between the culturally-determined basic
personality, or ego structure, and the individual’s character, which is their unique adaptation to the environment given their
inherent tendencies and personal experiences.
According to Kardiner, personality development within a cultural setting provides a security system.
Acculturation can lead to changes both in individuals and in entire cultures.
The anthropologist/psychoanalyst Robert Levine proposed the term psychoanalytic ethnography to describe the work done by
researchers like himself and Kardiner.
The sociologist Pitirim Sorokin described personality development within one’s entire cultural universe, referring to
sociocultural phenomena in terms of their sociocultural space and sociocultural distance.
Religion appears to be the single most significant cultural factor.
Race and ethnicity are complex, and are hard to consider as cultural factors because they cannot easily be defined. Nonetheless,
as individuals think about them in their own ways, they often give rise to ethnocentrism and, potentially, racism and
discrimination.
Although sex is a biological distinction, gender roles are an influential cultural factor that is applied from very early in life.
Certain aspects of gender roles likely reflect some of the underlying biological differences between males and females.
All societies recognize distinct age groups, and treat those age groups differently. However, there is great variation in the status
of each age group, which often leads to conflict.
Old age is of particular interest, since the human species is the only in which individuals remain active long past their
reproductive prime.
One of the common cross-cultural factors facing old men is the transition in how they seek master in their lives. Only young
men can expect to be successful seeking active mastery, whereas older men seek passive master and then magical mastery.
In addition to sometimes dramatic differences between cultures, individuals within a culture also differ in the extent to which
they integrate different aspects of their culture into their own lives.
Sometimes cultural phenomena interact, making for interesting, yet complex, situations. For example, religion has played an
important role in the cultural identity of African Americans throughout their history in America.

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 CHAPTER OVERVIEW

3: Sigmund Freud
3.1: 3.0 Chapter Introduction
3.2: A Brief Biography of Sigmund Freud, M.D.
3.3: Basic Concepts
3.4: Structure of Personality
3.5: Psychosexual Stages of Development
3.06: Connections Across Cultures- Male
3.6: Connections Across Cultures- Male/Female Differences
3.7: Psychoanalysis
3.8: Religion and Spirituality
3.9: Personality Theory in Real Life
3.S: A Final Note and Chapter Summary

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1
3.1: 3.0 Chapter Introduction
Sigmund Freud is unquestionably the most famous person in the fields of psychiatry and psychology, and one of the most famous
individuals in modern history. He is of particular importance for this subject because he was probably the first person to address
psychological problems by examining the individual’s personal development in detail. As he developed his psychodynamic theory,
and the treatment known as psychoanalysis, he attempted to carefully observe and listen to his patients in order to determine not
only how and why they had become the person they were, but also whether those developmental processes might be common to all
people. This careful approach to studying psychological conditions was likely the result of Freud’s substantial scientific research in
anatomy and physiology earlier in his career.
But why is Freud so famous? Much of his theory may not seem relevant today, and it’s hard to imagine how anyone could ever
have come up with the theory of penis envy. And yet Freud remains extraordinarily influential. There are at least three good
reasons for Freud’s enduring influence and popularity. First, Freud was first! No one before him had established a cohesive theory
of the development of personality, especially a theory that attempted to explain both normal and abnormal development. Thus,
most theories developed since then have been viewed as extending, modifying, or opposing Freud’s psychodynamic theory.
Second, key elements of Freud’s theory are generally accepted in psychology and psychiatry, such as the existence of unconscious
elements of our mind that can affect our thoughts and behaviors and both the normal and abnormal roles of psychological defense
mechanisms. The final factor contributing to Freud’s lasting influence is somewhat more complicated. Psychodynamic theory was
not well received at first. In fact, the emphasis on childhood sexuality was ridiculed and scorned by many in the medical
profession. However, Freud was determined, and he did not let the rejection of others deter him from continuing his studies. In
addition, there were several very famous and influential individuals who supported his efforts. Thus, Freud found the motivation to
persevere, and the rest, as they say, is history.

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3.2: A Brief Biography of Sigmund Freud, M.D.
Sigismund Schlomo Freud was born on May 6th, 1856, in the small, industrial town of Freiberg in Moravia (today it is known as
Pribor in the Czech Republic). Freud never used the name Schlomo, his paternal grandfather’s name, and he shortened his first
name while at the University of Vienna. His family life was unusual, and somewhat complicated. His father, Jakob Freud, was 40
years old when he married Freud’s mother, Amalia Nathanson. She was 20 years younger than Jakob Freud, and several years
younger than Jakob’s son, Emanuel, from an earlier marriage. One of Freud’s first friends was a nephew who was a year older than
Freud!
Jakob Freud was never particularly successful in business. The industrial importance of Freiberg was declining, so the young
family left and eventually settled in Vienna, Austria (Jakob’s sons from his first marriage, Emanuel and Philipp, emigrated to
England). At this point Jakob and Amalia Freud had two children, Sigmund and his sister Anna (a brother born between them,
Julius, died at 7 or 8 months of age). Shortly after arriving in Vienna, however, they had five more children during the years 1860-
1866: Rosa, Marie, Adolfine, Pauline, and Alexander. This resulted in continued financial difficulties, which appears to have been
painful for the young Freud (Gay, 1998). There were also personal difficulties that made it difficult for Freud to enjoy a close
relationship with his father. Jakob Freud once told his son a story about being abused by an Austrian Christian, a man who knocked
Jakob Freud’s hat into the muddy street and then ordered the “Jew” to get off the sidewalk. When Freud asked his father how he
had responded, his father said he simply stepped off the sidewalk and picked up his hat. Freud was very disappointed by what he
apparently perceived as weakness in his father (Gay, 1998). There was also an embarrassing episode involving his father’s brother,
Josef. Josef Freud was convicted and sent to jail for trading in counterfeit money. This caused a great deal of concern for Jakob
Freud, who might have been involved in the illegal scheme along with his sons, Emanuel and Philipp (Gay, 1998; Jones, 1953).
Still, Jakob Freud did try to be a good father. His children were generally successful, and he remained active and supportive in the
lives of his children and grandchildren. The story mentioned above, when Jakob Freud tried to impart some “fatherly” wisdom to
his son, may not have had the intended effect, but it demonstrates that he cared about teaching his son some of life’s lessons. On
Freud’s thirty-fifth birthday his father sent his “dear son” a copy of the family’s Philippson Bible (this Bible contains the Old
Testament, which is the only testament in the Jewish faith), which Freud had often studied as a young child (Gay, 1998; Jones,
1953; Nicholi, 2002). The inscription written by Jakob Freud in the Bible ended with a description of the gift “as a token of love
from your old father” (see Jones, 1953; Nicholi, 2002). When Jakob Freud died, Freud wrote to a friend that his father’s death had
profoundly affected him, leaving him feeling uprooted. He described the death of one’s father as “the most important event, the
most poignant loss, in a man’s life” (see Nicholi, 2002). The death of his father appears to have stimulated Freud’s self-analysis, the
writing of The Interpretation of Dreams (Freud, 1900/1995) and the formulation of his theory of the Oedipus complex (Nicholi,
2002). Jakob Freud was also remembered quite fondly by his grandson Martin, the eldest son of Freud (M. Freud, 1983).
Freud’s relationship with his mother was also complex. Amalia Freud is described as young (which she was, compared to Jakob),
attractive, and energetic. She always took great pride in her son, and was a strong and positive influence throughout his life. Later
in life he wrote that “A man who has been the indisputable favorite of his mother keeps for life the feeling of a conqueror, that
confidence of success that often induces real success” (see Jones, 1953). During Freud’s self-analysis, around the year 1897, he
uncovered profound memories from his earliest years. Sometime between the ages of 2 ½ and 4 years old, Freud accidentally saw
his mother naked. This event awakened a powerful desire in Freud. Shortly after recovering this memory, he remembered the deep
jealousy he had felt when his brother Julius was born, shortly before Freud was 2 years old. So jealous was Freud, that he
remembered welcoming the death of his infant brother (see Gay, 1998; Jones, 1953). Each of these incidents certainly had an
impact of Freud’s theory of the Oedipus complex. Surprisingly, however, during the first 2 ½ years of Freud’s life he actually spent
very little time with his mother, since he was being raised by a nursemaid. Keep in mind that his mother became pregnant again,
then his brother Julius became ill and died, and then his mother became pregnant again, finally giving birth to his sister Anna, all
by the time Freud was 2 ½ years old.
Freud’s nursemaid has been described as an old and ugly woman, but Freud loved her and dreamed about her later in life (see Gay,
1998; Jones, 1953; Nicholi, 2002). The nursemaid was a devout Roman Catholic, and she regularly took Freud to church with her.
Despite his young age (less than 2 ½ years old), Freud would come home from church and preach to his family about God. Even
though his family was Jewish, they did not practice their faith with much devotion, and it must have been quite interesting to listen
to the sermons of their little boy. Why then, as we will see, did Freud come to reject religion and spirituality? It turns out that this
relationship ended abruptly. Freud’s half brother Philipp accused the nursemaid of petty theft, and she was sent to prison. At this
time Freud’s mother was confined with his recently born sister, so Freud was suddenly denied access to both his mother and his
nursemaid. It has been suggested that because he was abandoned so suddenly, and at such a critical time (Freud was 2 ½ years old

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at this time), by his Roman Catholic nursemaid, that his anger and disappointment led to his ultimate rejection of the spiritual
worldview and his antagonism toward the Catholic church (Gay, 1998; Jones, 1953; Nicholi, 2002).

Freud’s Early Career in Basic Research (Pre-Psychiatry)

Freud was very successful in school from an early age. At the Gymnasium, which is the term for a preparatory school in countries
such as Germany and Austria, he was first in his class for 7 years. This led to a variety of special privileges, including seldom being
required to take any examinations (Freud, 1952). It also led to privileges at home. According to his sister Anna, Freud always had
his own room to study in, no matter how difficult the family’s financial situation (Gay, 1998). As he prepared for college, Freud
initially wanted to study law. However, after learning about Darwin’s theory of evolution and hearing Goethe’s essay on nature, he
decided to become a medical student (Freud, 1952).
In 1873, Freud entered the University of Vienna. Initially he suffered greatly from prejudice and discrimination against him
because he was Jewish. Believing that he was expected to feel inferior and alien because he was Jewish, he nonetheless persevered.
As a result of these experiences, later in life he was prepared for dealing with the considerable resistance that occurred in response
to his theories (Freud, 1952). His first research project in medical school came at the suggestion of Professor Carl Claus. Prof.
Claus was interested in a report that the Polish scientist Simone de Syrski had identified structures that might represent the testes of
the male eel. This was a question that had been studied for centuries without success. After dissecting some 400 eels, Freud
appeared to have confirmed Syrski’s findings. The research was not definitive, however, and Freud found little satisfaction in the
publication of his work (Gay, 1998; Jones, 1953). He was, however, about to find satisfaction, in the physiological laboratory of
Ernst Brucke.
Brucke was a renowned physiologist, anatomist, histologist, and more. Freud had great respect for his newfound mentor, referring
to him as Master Brucke and describing him as “the greatest authority I ever met.” In Brucke’s laboratory Freud “found rest and
full satisfaction at last” (Gay, 1998; Jones, 1953). The research he conducted under Brucke’s guidance was impressive. Brucke put
Freud to work studying the anatomy of the spinal cord and its neurons. At that time, the structure of neurons was not understood.
Freud modified the histological staining methods being used in Brucke’s laboratory, and eventually developed a gold chloride
method of staining nervous system tissue around the year 1880 (Jones, 1953). This was one of the first uses of a heavy metal stain
on nervous system tissue. The silver nitrate method of staining neurons had been developed by Camillo Golgi a few years earlier, in
1873, but it was not until 1888 that Santiago Ramon y Cajal first reported on the structure of the brain using Golgi’s technique. For
this research, Golgi and Ramon y Cajal shared the Nobel Prize for Medicine in 1906 (Finger, 1994). If Freud had not left basic
research for a career in medicine, he might have ended up famous just the same.
Freud did eventually leave the university, however, and began a career in medicine at the General Hospital in Vienna. Part of the
reason for leaving and beginning his medical career was that he had met Martha Bernays, the woman who would become his wife,
and he needed to begin earning enough money to support a wife and family. First, however, he needed to establish himself in his
career. At the General Hospital he met and worked with the eminent Theodor Meynert, who, among other accomplishments, was
the first to correctly suggest that Parkinson’s disease resulted from abnormal functioning of the basal ganglia (Finger, 1994). This
stimulated Freud’s continued interest in anatomy and brain function, and in 1891 Freud published a book entitled On Aphasia. You
may remember from introductory psychology that the two primary speech centers in the human brain are Broca’s area (speech
production) and Wernicke’s area (speech reception), and that damage to these areas results in Broca’s aphasia or Wernicke’s
aphasia. Carl Wernicke had also been a student of Meynert, but Freud’s book on aphasia was especially critical of Wernicke
(Finger, 1994). This put both men firmly in the middle of the debate on structuralism vs. functionalism as it pertains to the activities
of the human brain (see Finger, 1994). Although Meynert suggested that Freud should devote himself to studying the anatomy of
the brain, Freud had had enough of this sort of work in Brucke’s laboratory. Instead, Freud’s interest turned toward the diseases of
the brain (Freud, 1952). With the help of a recommendation by Brucke, Freud was awarded a Traveling Fellowship, which allowed
him to afford a trip to Paris to study at the prestigious Salpetriere. He intended to study under Jean-Martin Charcot, one of the
world’s foremost neurologists of his day, and the man who named Parkinson’s disease after the physician James Parkinson (Finger,
1994).
Freud was largely ignored when he arrived at the Salpetriere, since he was just one of a crowd of foreign visitors. As luck would
have it, one day he heard Charcot expressing regret that Charcot had not heard from his German translator in some time, and he
wished someone could be found to translate his latest lectures into German. Freud wrote to Charcot, offered to do the job, and was
accepted. From that point on he became a member of Charcot’s inner circle, and was active in all aspects of the work at the clinic
(Freud, 1952). One of the main topics Freud studied with Charcot was the use of hypnosis in the study of hysteria. Freud discussed

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the earliest conceptions of his psychodynamic theory with Charcot. Charcot was supportive and agreed with Freud’s fledgling
ideas, but Charcot’s interests remained firmly in the field of neurology, not in psychology or psychiatry (Freud, 1952).
Upon returning to Vienna and settling down as a practicing physician, Freud was finally able to marry Martha in 1886 (he was 30
years old, and she was 25). They had six children: Matilde, Martin, Oliver, Ernst, Sophie, and Anna. According to his son Martin,
Freud was a loving and generous father (M. Freud, 1983). He was also very supportive of his children. As Martin became
disillusioned with the study of law, he turned to his father for advice:
…It had always been his hope that one of his sons would become a lawyer. Thus he watched, and I think guided, my first faltering
steps in my law studies with the greatest concern.
He agreed that my first studies were dull and boring, but he assured me that one day I would find a teacher with an impressive
personality, perhaps a man of genius, and that I would become deeply interested and carried away by his lectures…
Father always expressed himself with great clarity and, when advising me at so critical a time in my life, he added to his normal
clarity of expression a natural tenderness and concern… (M. Freud, 1983; pg. 161)
Martin did become a lawyer and, after Martin served as an officer in the Austrian army during World War I, his father helped him
to establish his practice.
Finally, any discussion of Freud’s early research career would not be complete without mentioning what Ernest Jones, Freud’s
official biographer, called “the cocaine episode” (Jones, 1953). In his last autobiographical book (Freud, 1952; originally published
in 1925 in a collection of medical autobiographies) he makes only passing reference to studying cocaine, reporting another near
miss in his research career. He had begun studying cocaine while he was away from Vienna, and an opportunity arose to return
home for vacation and an opportunity to see his fiancé Martha. As he prepared to leave, he suggested to a couple of colleagues that
they examine the effectiveness of cocaine as an anesthetic for use in eye diseases. While Freud was visiting Martha, one of his
colleagues, Carl Koller, confirmed the local anesthetic properties of cocaine and became famous for it. Afterward, Freud noted that
“it was the fault of my fiancé that I was not already famous at that early age,” but he insists that “I bore my fiancé no grudge for her
interruption of my work” (Freud, 1952). Something quite fascinating is that Freud’s interest in cocaine was initially based on the
possibility that its euphoric properties might be used to alleviate the problems associated with withdrawal from morphine. A close
and long-time friend, Ernst von Fleischl-Marxow had become addicted to morphine because of the extreme pain of an infection,
and Freud hoped that cocaine would help. Freud himself began using cocaine to boost his own mood. He sent some to Martha with
the recommendation that she try it (there is no evidence that she ever did), and he even began sending cocaine to friends,
colleagues, and his sisters. Eventually, however, Freud realized that cocaine was not helping his friend; indeed von Fleischl-
Marxow became addicted to cocaine instead of morphine. Freud eventually deeply regretted his research on cocaine, especially
since the one positive result of that research had garnered fame for a colleague while Freud was on vacation (Gay, 1998; Jones,
1953).

Freud’s Psychiatric Career

Many people believe that psychoanalysis was developed by Freud during the early years of his medical practice in Vienna. Freud,
however, would disagree. He insisted that psychoanalysis was begun by the Viennese physician Josef Breuer (Freud, 1914/1995), a
close friend and mentor of Freud. The basis of psychoanalysis lay in a patient that Breuer had seen as early as 1880, and had treated
with hypnosis. This case, and the use of hypnosis as part of the “cathartic procedure” developed by Breuer, was the original
inspiration for Freud’s interest in hypnosis and his trip to Paris to study the technique with Charcot. When Freud returned to
Vienna, he asked Breuer to tell him all of the details of this case, which involved a young woman. This famous patient, known as
Anna O., was described by Breuer in the book coauthored by the two men (Freud & Breuer, 1895/2004). As Freud used Breuer’s
techniques with his own patients, however, he began to realize that something was lacking. Hypnosis did little to reveal the
underlying causes of the hysteria that their patients were experiencing. Since Freud was every bit the scientist, he needed to know
more about why he was able to help some patients. He eventually replaced hypnosis with his own techniques of free association
(early 1890s) and, eventually, dream analysis (essentially done in 1896, but not published until 1900). This was the point at which
psychoanalysis, in the sense that we think of it today, was born (Freud, 1914/1995, 1952).
As Freud’s ideas diverged from those of Breuer, the two parted ways. Freud then developed the aspect of psychodynamic theory
that led to his near total rejection by the German and Austrian medical communities: the primacy of childhood sexuality. This
theory was so difficult for others to accept that Freud spent nearly 10 years working on psychoanalysis in isolation. However, Freud
claims that the concept of a sexual etiology for the neuroses was not really his idea, it had been superficially suggested by Breuer,

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Charcot, and a highly respected Viennese gynecologist named Chrobak (Freud, 1914/1995). During those years of isolation Freud
began to define other major aspects of psychodynamic theory, such as: resistance, repression, conflict, and unconscious impulses.
Around 1902, Freud began to find support for his theories among a select group of physicians. Shortly thereafter a group of
psychiatrists in Zurich, Switzerland, which included Eugen Bleuler (the man credited with identifying both schizophrenia and
autism as we define them today) and his assistant Carl Jung, began “taking a lively interest in psychoanalysis” (Freud, 1952). In
1909 Freud and Jung were invited to America, where they were warmly received, and psychoanalysis became well-established in
America and Canada. By the 1910s it was reported that psychoanalysis was being championed in Austria, Switzerland, the United
States, Canada, England, India, Chile, Australasia (the region), France, Italy, Sweden, Russia, Hungary, Holland, and Norway
(where the first textbook on psychiatry that included psychoanalysis was written) (Freud, 1914/1995). Germany proved quite
resistant, although the renowned Karl Abraham practiced psychoanalysis in Berlin.
Perhaps it was inevitable that all of this success should eventually lead to conflict. Two major groups, whose members differed
significantly in their views on psychodynamic theory and psychoanalysis, broke away from the main psychoanalytic groups. They
were led by Alfred Adler (see Chapter 4) and Carl Jung (Chapter 3). In his first autobiography, Freud is not exactly kind to these
two men. He goes to great length to dismiss Adler’s theories as mistaken, and he flatly rejects Jung’s perspective:
Of the two movements under consideration here, Adler’s is undoubtedly the more important. Though radically false, it is,
nevertheless, characterized by consistency and coherence, and it is still founded on the theory of the instincts. On the other hand,
Jung’s modification has slackened the connection between the phenomena and the instinctive-life; besides as its critics (Abraham,
Firenze, and Jones) have already pointed out, it is so unintelligible, muddled and confused, that … it is impossible to know how
one can arrive at a correct understanding of it... (Freud, 1914/1995; pg. 940).
It is curious to speculate whether Freud’s isolation for so many years may have led to the profound possessiveness he later
expressed regarding psychoanalysis as his technique, and his alone, in The History of the Psychoanalytic Movement:
...For psychoanalysis is my creation; for ten years I was the only one occupied with it, and all the annoyance which this new subject
caused among my contemporaries has been hurled upon my head in the form of criticism. Even today, when I am no longer the
only psychoanalyst, I feel myself justified in assuming that nobody knows better than I what psychoanalysis is… (Freud,
1914/1995; pg. 901)

Freud’s Final Years

Freud’s final years were somewhat tumultuous. The Nazis had taken over Germany and Austria, and they were rapidly preparing
for World War II. Being Jewish, Freud’s life was in danger; indeed, at least three of his sisters were murdered in the concentration
camps, most likely in Auschwitz (M. Freud, 1983). Freud, however, had influential friends, including European royalty and
wealthy individuals with ties to the British and American governments. The American secretary of state, Cordell Hull, took word of
the situation to President Franklin Roosevelt, and following Roosevelt’s instructions, Hull had the American ambassador to
Germany intervene on Freud’s behalf (Gay, 1998; Jones, 1957). Freud also received substantial help and comfort from Marie
Bonaparte, H.R.H. the Princess George of Greece, including the payment of a ransom in order to secure permission for Freud to
leave Austria (M. Freud, 1983). Finally, in May 1938, Freud, his wife Martha, and their daughter Anna left together for England,
along with Freud’s dog. They were all received quite warmly in London, except for the dog. She was quarantined for six months
(M. Freud, 1983).
Freud, however, had already been ill for many years, and was suffering a great deal of pain due to cancer. He was also in his
eighties. Nonetheless, Freud continued to work, and he completed An Outline of Psychoanalysis (1938/1949) and Moses and
Monotheism (1939/1967) while living in London. But the end was near, and the cancer was progressing rapidly. In September
1939, Freud asked his doctor, Max Schur, to remember an agreement the two had made not to prolong Freud’s life unnecessarily.
Freud asked Schur to discuss his condition with Anna Freud. Anna Freud at first resisted, but eventually submitted to the
inevitable, and Schur administered a series of morphine injections that proved fatal. Sigmund Freud died on September 23, 1939
(Gay, 1998; Jones, 1957).
In the funeral oration delivered by Ernest Jones, Jones remembered that three qualities had particularly impressed him upon first
meeting Freud: first, “his nobility of character;” second, “his direct and instinctive love of truth;” and third, “his courage and
inflexible determination.” Jones also said that a “great spirit has passed from the world…for Freud so inspired us with his
personality, his character and his ideas that we can never truly part from him…” (Jones, 1957). Prior to the escape from Austria,
Freud had expressed a sincere desire to “die in freedom.” He loved England, where he was able to accomplish that goal. In
reference to England and the funeral ceremony, Jones said:

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He died surrounded by every loving care, in a land that had shown him more courtesy, more esteem and more honor than his own
or any other land, a land which I think he himself esteemed beyond all others. (pg. 247; Jones, 1957).

Placing Freud in Context: Connecting Personality Theories

Sigmund Freud was one of the greatest minds of modern times. He was the first person to provide a
comprehensive theory of personality and personality development, and he did so in what he considered
to be a logical and scientific manner. Since he was first, however, how can we place him amongst the
other great psychologists? As I contemplated the importance of Freud to the history of psychology, I
looked back at my own graduate school training. The textbook assigned for my graduate history of
psychology course was Theories and Systems of Psychology by Robert Lundin (1979). In the chapter
titles, Lundin mentions only three psychologists by name: Wilhelm Wundt, the founder of experimental
psychology; William James, America’s preeminent psychologist; and Sigmund Freud. Since Freud’s
name is also mentioned in the title of the chapter devoted to his followers, Freud actually has two
chapters devoted to his influence. I also looked at A History of Psychological Theories by Ross Stagner
(1988), who was an esteemed faculty member in the psychology department at Wayne State University
in Detroit and author of one of the first personality textbooks (Stagner, 1937). Stagner mentions six
individuals in the titles of his twenty-two chapters, and once again Freud is among them. In addition, the
well-known psychological historian Ludy Benjamin includes a chapter on the correspondence between
Freud and Jung in A History of Psychology in Letters (1993). There are actually numerous books
published on the correspondence between Freud and a variety of other people, and thousands of those
letters have been published. These are just a few examples of how deeply Freud is recognized as a major
figure in the history of psychology.
Another testament to the legacy of Freud is how enduring some of the issues he addressed have proven
to be. In the early years of the twenty-first century there has been a growing conflict between religion
and society. In the United States the concept of separation of church and state has been challenged
perhaps most aggressively in our schools, with issues such as praying at school sporting events and the
teaching of creationism in science classes. In other countries, religious fundamentalists often stand in
opposition to the establishment of democratic governments. Increasing globalization does not seem to be
bringing people together, but rather bringing people into competition and conflict. Freud used the
knowledge he had learned in his studies on psychoanalysis to address such major societal issues. He
presented his ideas in books such as The Future of an Illusion(1927/1961) and Civilization and its
Discontents (1930/1961), and he hoped that by advancing our knowledge of the human psyche we could
help to continue the development of the human species and civilization. The recognition that problems
like these still plague humanity suggests that we have a long way to go. But brilliant men like Sigmund
Freud have helped to provide us with a basis for moving forward.

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3.3: Basic Concepts
It is not easy to read the earliest writings of Freud on psychoanalysis. Following his years of working in isolation, Freud published
four books in a span of 5 years: The Interpretation of Dreams (1900/1995), Psychopathology of Everyday Life (1904/1995), Three
Contributions to the Theory of Sex (1905/1995), and Wit and Its Relation to the Unconscious (1905/1995). Each of these books
clearly reflects their author: a genius, educated in Europe, and writing in a style well suited to the late 1800s/early 1900s. Not only
are these books intellectually challenging, but even the English translations are sprinkled with lines in German, French, and Latin.
In 1917, however, Freud published a series of lectures he had given at the University of Vienna during the years 1915-1917. His
Introductory Lectures on Psycho-Analysis (1917/1966) describes the essential aspects of his theory in neatly organized lectures that
are much easier to grasp than his earlier work. Shortly before he died, Freud presented a very brief outline of his theories in the
aptly named An Outline of Psycho-Analysis (1938/1949). In what seems to be a logical approach to the study of Freud’s work, we
will begin with the general theory and then address the psychoanalytic method. Keep in mind, however, that Freud actually worked
the other way around: first he developed his modifications of Breuer’s cathartic method and began treating patients (actually,
treating patients contributed to his development of the methods), and then he developed his theoretical perspectives in order to
explain what had already proved successful.

Hysteria and Psychic Determinism

The term hysteria generally refers to a condition in which psychological trauma or stress is converted into physical symptoms
and/or excessive emotional behavior. Today, this condition is typically referred to as a conversion disorder (DSM-IV-TR;
American Psychiatric Society, 2000). However, Freud meant to use the term in a rather broad sense, and he applied it to a
collection of disorders that are not officially recognized today: the neuroses (relatively mild mental illnesses, often associated with
stress, but which do not result in a loss of contact with reality).
Freud and Breuer (1895/2004) believed that their clinical observations revealed a number of key elements that provided the early
framework for psychodynamic theory and psychoanalysis. In each case, the symptoms exhibited by their patients were connected
to some earlier psychological trauma. This connection was not always obvious, however, and often could not be remembered by
the patient. When the patient was helped to remember the traumatic event, the symptoms were typically relieved, a process known
as catharsis. In order to help patients remember, Breuer and Freud (as well as Charcot and a few others) relied primarily on
hypnosis. What intrigued Freud and Breuer was the observation that these traumatic memories seemed to last for a very long time
without getting weaker, even though they were not conscious memories. What seemed to matter most was whether there had been
an energetic reaction to the emotional event when the memory was formed. In order for the trauma to be released, there needed to
be a cathartic event strong enough to adequately dissipate the energy associated with the formation of the traumatic memory.
Both Freud and Breuer recognized that this was only the beginning of this new field of clinical research. Although they were
somewhat satisfied that they had described the nature of hysterical symptoms, and that they had moved further than Charcot, they
recognized that they were no closer to understanding the internal causes of hysteria and the neuroses. This would become the work
of Freud alone, at least for a number of years.
The concept of psychic determinism arises naturally from these early observations. Freud believed that all behavior and thought is
the result of psychological connections created during previous experiences, nothing happens by accident or chance. The fact that
we might find it difficult to recognize the connections between some emotion or behavior and a previous incident does nothing to
minimize the reality of those connections, it just presents a challenge for the psychoanalyst. In Psychopathology of Everyday Life,
Freud (1904/1995) described how psychic determinism results in many common problems, certainly the most famous of which is
the “Freudian slip.” A Freudian slip is an instance where someone says something wrong, but it actually reflects the persons true
feelings. Freud attributed the following example to Dr. Brill:
While writing a prescription for a woman who was especially weighed down by the financial burden of the treatment, I was
interested to hear her say suddenly: “Please do not give me big bills, because I cannot swallow them.” Of course, she meant to say
pills. (italics in the original, pg. 50; Freud, 1904/1995)
Discussion Question: Consider psychic determinism and what it means for your own life. Do you believe that everything you
think and do is predetermined by earlier experiences? And what would that mean for your ability to change and grow?

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Freud’s Theory of Instincts
Freud used the term instinct in a way that does not fit with the technical term instinct as defined by Tinbergen (see Beck, 1978). It
has been suggested that the German word trieb should not have been translated as instinct, and actually referred to something more
like a drive or impulse. Freud was not concerned with specific behaviors, but rather with general categories of behavior. As a
former scientist, Freud never left his interests in biology behind. When Freud referred to the psyche, or mind, he considered both its
physical elements, the brain and the rest of the nervous system, and its mental elements, primarily our consciousness (which is
made possible by the structure and function of the brain). Given our basic biological nature, and our genetic make-up, we inherit
basic instincts essential to our survival: both our individual survival and the survival of our species. In recognition of the general
rule in nature that all systems are comprised of opposing forces (attraction and repulsion) Freud hypothesized a life instinct and a
death instinct.
Freud gave the life instinct the name Eros. Each organism has available to it energy to act within its environment. The energy
associated with Eros is called libido. Libido has been mistakenly associated with the concept of a sexual impulse. What Freud was
really referring to was a general survival impulse, both individual and species survival. While it is true that the survival of our
species depends on sexual reproduction, there are many aspects of our behavior that are not directly related to sex. For example, we
might have many friends, but our sexual interests are typically limited to only a few (it is our culture that encourages us to limit our
interests to only one person). From an evolutionary perspective, of course, friends and others within our social group helped to
protect us from predators and enemies. Similarly, the love and care we provide for our children are essential to the survival of our
species, but are not usually associated with sexual acts. Incest appears to be one of the most common cultural taboos, and Freud
found this to be a fascinating observation amongst primitive societies, which could not be expected to know anything of Western
ideas of morality (Freud, 1913/1995). So it becomes apparent that the impulse to survive, Eros and its associated libido, involves
many types of behavior, of which sexual intimacy is just one.
Libido is limited. We have only so much energy to devote to the many aspects and responsibilities of our lives. Cathexis refers to
the attachment of libidinal energy to some psychical phenomenon. This is what Freud and Breuer meant by an energetic reaction to
some experience. When we are attracted to someone, we connect some of our libidinal energy to that relationship. That energy is
no longer available to us for other relationships, or to deal with the daily stress of our lives. If we have previously connected
libidinal energy to some traumatic event, which might require a great deal of libidinal energy, it may prove difficult to maintain the
level of energy we desire for our new relationship. As a result, that relationship, indeed all of our relationships, may suffer.
Although the libido is limited, it has the important characteristic of mobility (Freud, 1938/1949). In other words, it can switch from
one task to another as necessary. At least, that is how it is supposed to work under normal conditions. Sometimes, however,
problems arise, such as the failure to satisfy the needs that occur during a particular psychosexual stage of development (see
below). When this occurs, the libido can become fixated on particular psychological objects. These fixations can last a lifetime,
interfering with continued normal development and the individual’s ability to live a healthy adult life.
Freud also proposed a destructive instinct, which is sometimes referred to as the death instinct. The energy associated with the
death instinct is aggressive, but Freud never gave names to either the death instinct or its associated aggressive energy. This was
never an important aspect of Freud’s theories, but he did address it in some detail in the book Beyond the Pleasure Principle(Freud,
1920/1961). In this book, Freud makes one thing very clear: the life instinct is far more influential than the death instinct. The
primary role of the death instinct is protective. This may sound strange, but he considered the developing organism, even well
before birth, as a fragile being assailed on all sides by threatening stimuli (both external stimuli and internal psychical stimuli). The
death instinct creates a shell of inert tissue (figuratively, if not also literally), which protects the developing organism from harm.
Although Freud did not include the death instinct among his major concepts, other psychologists have. The neo-Freudian theorist
Melanie Klein found evidence of the death instinct in the aggressive fantasies of children, and Wilhelm Reich’s concept of
armoring is reminiscent of Freud’s description of the theoretical shell protecting the developing organism. Regarding aggression
itself, there are many different forms, including predatory aggression, self-defense, defense of one’s young, learned aggression, etc.
The noted animal behaviorist and Nobel Laureate Konrad Lorenz wrote extensively on aggression, and he proposed a very
Freudian perspective in which instinctive aggressive energy builds up and lashes out, unless an opportunity for catharsis arises first
(see Beck, 1978).
At first it might seem strange that Freud suggested the role of the death instinct is to create a protective shell around the core of the
developing nervous system, but the important question is whether we can find any evidence of it. Daniel Goleman, in Emotional
Intelligence (1995), suggests a similar theory. The primitive role of emotion is evident in the brain regions devoted to emotion,
which are common to many species other than humans. As the mammalian brain evolved, structures were added to the reptilian

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brain, culminating in the neocortex of the cerebral hemispheres. The cerebral hemispheres are necessary for the cognitive functions
that are characteristic of humans. Still, we retain the emotional structures that developed first, and our rational thoughts can easily
be hijacked by emotional reactions (Goleman, 1995, 1998). Perhaps the most important brain region involved in the processing of
emotional information is the amygdala. Jerome Kagan has suggested that if the amygdala is overly sensitive a child will avoid
external stimuli, leading to a life of shyness, and vice versa (cited in Goleman, 1995). The development of brain structures that
process emotion and allow for cognitive processing well beyond the primitive and most basic emotions sounds very much like what
Freud had proposed regarding the role of the death instinct. This is not to suggest that either the amygdala or some portion of the
neocortex is the anatomical location of the death instinct, but the evidence that such functions exist within the brain lends support
to Freud’s concept. According to Goleman, the ability to work with emotional intelligence is essential to one’s well-being in life,
and fortunately emotional intelligence can be trained and strengthened (Goleman, 1995, 1998).
Discussion Question: Compare Freud’s concept of a life instinct and a death instinct, and consider the choices you make in life.
Do you make choices that provide an opportunity to grow and change, or do you get caught up in pointless, even self-defeating,
activities? If you make bad choices, where do you think those choices come from?

The Development of Libido and Psychosexual Function

Freud’s most controversial theories related to sexual function and its role in personality development. Even more controversial than
that initial statement was his suggestion that the sexual life of every person begins at birth. It is important, of course, to remember
that Freud did not mean intimate sexual behavior when he talked about sexual impulses, but rather a general life impulse. He made
an important distinction between “sexual” and “genital.” By sexual he was referring to a wider concept of obtaining pleasure from
different regions of the body, whereas genital refers to the act of reproduction, which comes into play following puberty.
Freud was well aware of this controversy during the early days of psychoanalysis, and many of his books make a special point of
defending the theory of infantile sexuality. As mentioned in the biography, he actually attributed the initial observations of the role
of sexuality in the development of neuroses to Breuer, Charcot, and Chrobak (Freud, 1914/1995). As he reflected on the history of
psychoanalysis, Freud described how he and others before him had not intended to address infantile sexuality, but it proved
unavoidable after extensive experience with psychoanalysis. In other words, Freud kept encountering infantile sexuality, and
eventually he concluded that it was both universal and far too important to ignore. Therefore, he felt he could not allow old
prejudices against recognizing or discussing the relevance of sexuality to interfere with the development of psychoanalysis (see
Freud, 1938/1949).
Freud also defended his theory of sexuality in logical ways. In his initial work on this topic, Three Contributions to the Theory of
Sex(1905/1995), Freud specifically argued against the prevailing views that sexuality develops at puberty for the purpose of
attracting a man and a woman to each other for the ultimate purpose of reproduction. He noted that there are individuals who are
attracted to members of their own sex, that there are those who engage in sexual acts that disregard the genitalia (e.g., fetishes), and
there are undeniable examples of children who become interested in their genitalia and obtain some excitation from them. Finally,
in his Introductory Lectures… (Freud, 1917/1966) he declared his position quite clearly:
To suppose that children have no sexual life – sexual excitations and needs and a kind of satisfaction – but suddenly acquire it
between the ages of twelve and fourteen, would (quite apart from any observations) be as improbable, and indeed senseless,
biologically as to suppose that they brought no genitals with them into the world and only grew them at the time of puberty. (pg.
385).

Levels of Consciousness
From the very beginning of psychoanalysis, Freud and Breuer (1895/2004) recognized that their patients were often unaware of the
connections between their symptoms and earlier traumatic events, and they might not even recall the events themselves. And yet, as
described above, the memory of those events remained strong. How can a memory be strong but not remembered? The answer lies
in the theory that there are different levels of consciousness. Freud described three levels of consciousness: the conscious, the
preconscious, and the unconscious.
The conscious mind is our awareness, the knowledge that we exist and are alive. As you read this book you are conscious of it,
when you talk to a friend you are aware of what they are saying and how you will respond (unless, of course, you respond with a
Freudian slip!). Although the conscious mind is usually identified with our personality, and Freud recognized that people viewed
consciousness as nothing more or less than the defining characteristic of the mind, his clinical experience with psychoanalysis
made it impossible for him to accept the identification of the conscious mind with the mental mind (Freud, 1917/1966).

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The unconscious mind, according to Freud, is the true psychic reality, and all conscious thought has a preliminary unconscious
stage. And yet, the unconscious mind is truly inaccessible. In The Interpretation of Dreams (1900/1995), Freud wrote about the
unconscious mind that:
…in its inner nature it is just as much unknown to us as the reality of the external world, and it is just as imperfectly communicated
to us by the data of consciousness as is the external world by the reports of our sense-organs. (pg. 510)
How then does the unconscious mind affect our personality? Between the unconscious and conscious minds there is an
intermediary: the preconscious. Technically, the preconscious mind is part of the unconscious, but only through the preconscious
mind can the impulses arising in the unconscious enter into our conscious awareness. Freud distinguished between the two by
theorizing that the unconscious cannot enter into consciousness, but if certain rules are followed, the preconscious can enter into
consciousness (but perhaps only after being censored; Freud, 1900/1995).
Freud also made two important points regarding these levels of the mind. First, the unconscious, preconscious, and conscious
minds are not located in different regions of the brain. Instead, the level of consciousness of any particular psychical phenomenon
depends on the cathexis of libidinal energy (or perhaps energy related to the death instinct) and repression (see Anxiety and Defense
Mechanisms below). If the memory of a traumatic event is significantly repressed, it will remain in the unconscious, if not, it may
enter into consciousness through the preconscious. Yet it has remained the same memory within the same memory structure of the
brain. Freud also distinguished between the mind and reality, particularly between the unconscious mind and reality. He did,
however, remind his readers that they would do well to remember that psychic reality is a special form of existence, though not to
be confused with material reality (Freud, 1900/1995).
Figure 3.3.1
The levels of consciousness and the structures of the mind, as proposed by Freud. The iceberg analogy should actually be
attributed to Theodor Lipps, whose work on the unconscious mind and humor was cited extensively in Freud’s early books.

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3.4: Structure of Personality
It is no accident that our discussion of the id, ego, and superego follow immediately after our discussion of the levels of
consciousness. In The Ego and the Id (which also discuss the superego, despite not including it in the title; Freud, 1923/1960),
Freud begins with a chapter on consciousness and what is unconscious, then follows with a chapter on the ego and the id, and then
a chapter on the ego and the superego. It is difficult to discuss the two concepts, levels of consciousness and the psychical
apparatus (a term Freud used for the id, ego, and superego), without intertwining them. In addition, these three structures begin as
one, the ego develops from the id, and later the superego develops from the ego. As with levels of consciousness, it is inappropriate
to think of the id, ego, and superego as actual structures within the brain, rather they are constructs to help us understand the
psychodynamic functioning of the mind. Freud acknowledged this lack of understanding, and went so far as to say that even if we
could localize them within the brain we wouldn’t necessarily be any closer to understanding how they function (Freud, 1938/1949).

Id, Ego, Superego

The oldest aspect of the psyche is the id, which includes all that we inherit at birth, including our temperament and our instincts.
The only goal of the id is to satisfy instinctual needs and desires; therefore, it acts according to the pleasure principle. It knows
nothing of value judgments, no good, no evil, and no morality at all. It does not change or mature over time. According to Freud,
there is nothing in the id except instinctual cathexes seeking discharge (Freud, 1933/1965). The energy associated with these
impulses, however, is different from other regions of the mind. It is highly mobile and capable of discharge, and the quality of the
discharge seems to be disregarded. This is a very important point, because it means that the id does not need to satisfy its desires in
reality. Instead, they can be satisfied through dreams and fantasy.
Because the id demands satisfaction, and knows nothing of restraint, it is said to operate as a primary process. Since it can be
satisfied in unreal ways, if we examine phenomena such as fantasies and dreams we can uncover the nature of the id. It was during
his studies on dream-work that Freud developed his understanding of the primary process of the id (Freud, 1923/1960). Actually,
we can only know the id through psychoanalysis, since it exists entirely within the unconscious mind. Therefore, we need a
secondary process structure in order for the mind to interact with the external world. This structure is found in the ego.
The ego arises from the id as an intermediary between the id and the external world. The ego functions according to the reality
principle, and tries to bring the external world to bear on the impulses of the id. In other words, as the id demands satisfaction it is
hindered by the reality of our environment, our societal and cultural norms. The ego postpones satisfaction until the time or the
circumstances are appropriate, or it may suppress the id impulses altogether (Freud, 1938/1949). Freud believed that the ego is
associated with perception (of reality), in the same way that the id is associated with instinct. The id is passionate, whereas the ego
represents reason and common sense. But the id has the energy, the libido, to demand its satisfaction in some way, and the ego can
only derive its energy from the id. Freud likened the ego to a horseback rider on a horse named id. The rider cannot always control
the far more powerful horse, so the rider attempts to transform the will of the horse as if it were the rider’s own will (Freud,
1923/1960).
The ego develops in part because it is that portion of the mind impacted by sensory input from the external world. Therefore, it
resides partially in the conscious mind, and must serve three tyrannical masters: the id, the external world, and the superego (which
we will discuss below). The goals of these three masters are typically at odds with one another, and so the ego’s task is not an easy
one (Freud, 1933/1965). The ego approaches this task by monitoring the tension that exists within the mind. This tension arises
from internal and external stimuli making demands upon the mind, lowering this tension is felt as pleasurable, and increasing the
tension is unpleasant. The id demands immediate reduction of tension, in accordance with its pleasure principle, whereas the ego
seeks an appropriate reduction of tension, in accordance with its reality principle. A key point, of course, is that the ego also seeks
pleasure. It does not try to deny the impulses of the id, only to transform or delay them. But why does the ego even bother to do
that? There are times when pursuing pleasure can get us in serious trouble, but there are also times when we make choices because
they seem right to us. These decisions, based on justice, morality, humanism, whatever term you choose, are mediated by the
superego.
According to Freud, the superego is heir to the Oedipus complex (which we will discuss below), and arises as the child abandons
their intense attachment to their parents. As a replacement for that attachment, the child begins to identify with their parents, and so
incorporates the ideals and moral values of their parents and, later, teachers and other societal role models (Freud, 1933/1965).
According to this view, the superego cannot fully develop if the child does not resolve the Oedipus complex, which, as we will
discuss below, cannot happen for girls (Note: In addition to further discussion below, the issue of a more balanced female

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psychology will be discussed again in later chapters). The superego functions across all levels of the conscious and unconscious
mind.
The superego takes two forms: an ego-ideal and a conscience. Freud considered the term ego-ideal as an alternative to the term
superego, and it is not until we incorporate the development of conscience that we can recognize ego-ideal and conscience as
different aspects of the superego. Indeed, it might be more appropriate, if one reads The Ego and the Id carefully (Freud,
1923/1960), to consider the ego-ideal and conscience as consecutive transformations of that portion of the ego that becomes known
in general as the superego. The development of the superego is a complicated process, and seems to derive from the development
of the ego itself. For an infant, the attachment to the parents and identification with them is not recognized as something different.
The ego is weak, and can do little to restrain the id. As the child grows, the erotic nature of the love for the mother is slowly
transformed into identification; the ego grows stronger, and begins to become associated with being a love-object itself. When the
ego is capable of presenting itself to the id as an object worthy of love, narcissistic libido is generated and the ego becomes fully
formed (Freud, 1923/1960). In other words, the child becomes an individual, aware that they are separate from their parents. There
is still an intense attachment to the mother, however, which stems from the early days of breast feeding. The child must eventually
lose this intense attachment to the mother, and begin to more fully identify with either the father (for boys) or the mother (for girls).
As noted above, this final transformation from attachment to identification should occur during the Oedipus complex, and the ego-
ideal arises within the context of the child knowing “I should act like my father” (for boys) or “I should act like my mother” (for
girls).
Although the ego-ideal could represent the culmination of development, Freud believed that one more step came into play. Because
of the difficulty the child encounters during the loss of the intense, erotic desires of the Oedipus complex, Freud felt there was more
than simply a residue of those love-objects in the mind. He proposed an energetic reaction-formation against the earlier choices.
Now, the child incorporates concepts of “I must not act like my father or mother.” Under the influences of authority, schooling,
religion, etc., the superego develops an ever stronger conscience against inappropriate behavior. This conscience has a compulsive
character and takes the form of a categorical imperative (Freud, 1923/1960). This conscience is our knowledge of right and wrong,
and early on it is quite simplistic. There is right and there is wrong (as with Kohlberg’s earliest stages of moral development;
Kohlberg, 1963).
Discussion Question: Do you feel that your behavior is being driven by the unconscious impulses of the id? Do you believe that
your moral development (your superego) is the result of internalizing your parent’s views of what is right or wrong? How close are
your values to those of your parents?

Anxiety
We have already taken a look at the challenge faced by the ego in trying to balance the demands of the id, the superego, and the
external world. What happens when the demands of these conflicting elements become too much for the ego to deal with? Simply
put, we get scared, we experience fear and anxiety as a signal that there is some impending danger. Only the ego can experience
anxiety, even if the underlying cause begins with the id or superego. Anxiety arises primarily from libido that has not been utilized.
For example, if we are frustrated from fulfilling some id impulse, such as needing to go to the bathroom in the middle of a great
movie, the libido cathexed to that impulse grows. This creates tension and the corresponding unpleasant feelings. As the id
demands satisfaction, but the ego cannot figure out how to satisfy the id (and you really don’t want to miss the good part of the
movie), the fear arises that the id will satisfy itself. Most of us would consider the possibility of going to the bathroom in our pants
while at a movie a real danger to our self-esteem, and we could be arrested if we simply went to the bathroom right there in the
movie theater. As the ego is reduced to helplessness in its inability to find a reasonable outlet for the impulse of needing to go to the
bathroom, anxiety serves the useful and important purpose of warning the ego that the impulse must be satisfied in order to avoid
the danger (Freud, 1926/1959). And in support of Freud’s view regarding our sexual nature, who would deny the great pleasure felt
upon finally getting to the bathroom?
Freud described three general types of anxiety. Realistic anxiety involves actual threats to our physical safety. It is similar to fear, in
that there is a real and external object that could harm us, but it differs from fear in that we may not be aware of a specific danger.
For example, after the famous book Jaws (Benchley, 1974) was made into a movie (the kind of movie that you don’t want to miss
the good scenes) many people became anxious about swimming in the ocean, even though there were no specific sharks for them to
fear. Still, there are sharks in the ocean, so it might be reasonable to experience some anxiety. Sometimes we are anxious about a
real danger, but the anxiety we experience is completely out of proportion in relation to the threat. This suggests that there is an
element of neurotic anxiety accompanying the realistic anxiety (Freud, 1926/1959).

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Neurotic anxiety generally arises from an internal danger, the threat that unacceptable id impulses will break through and be acted
on by the individual. The ultimate danger that exists is that we really will be harmed as a result of our actions. Therefore, Freud
considered there to be a close association between neurotic and realistic anxiety (Freud, 1926/1959). For example, if we are being
harassed by a bully, our aggressive id impulse might be to respond by killing this bully. Of course, that could result in going to
prison or having the bully’s friends kill us. So the anxiety that our violent id impulse might break out and influence our behavior is
associated with the real danger posed by the consequences of that behavior, if it should happen to occur. Therefore, our neurotic
anxiety is composed, in part, of our internalized realistic anxiety.
In a similar way, moral anxiety arises from conflict between our ego and the constraints imposed on it by the superego. Since the
superego arises from the internalization of our parent’s teaching us what is or is not appropriate behavior, we again have an
association between the internal threat of the superego and the real, external threat of being punished by our parents. Therefore, as
with neurotic anxiety, the precursor to our moral anxiety is realistic anxiety, even if our fears are based on our psychological
impressions of a situation as opposed to an actual danger (e.g., the fear of castration; Freud, 1926/1959, 1933/1965). Freud
(1933/1965) described the relationships this way:
Thus the ego, driven by the id, confined by the super-ego, repulsed by reality, struggles to master its economic task of bringing
about harmony among the forces and influences working in and upon it; and we can understand how it is that so often we cannot
suppress a cry: ‘Life is not easy!’ If the ego is obliged to admit its weakness, it breaks out in anxiety – realistic anxiety regarding
the external world, moral anxiety regarding the super-ego and neurotic anxiety regarding the strength of the passions in the id. (pgs.
97-98)
Freud also described an overall pattern to the development and expression of anxiety and its useful role in life. In early childhood
we experience traumatic situations in which we are helpless. Remember that Freud believed that psychic reality is every bit as
significant as actual reality (Freud, 1900/1995), so the nature of these traumatic events is subject to individual perception. As the
child’s capacity for self-preservation develops, the child learns to recognize dangerous situations. Rather than waiting passively to
be threatened or harmed, an older child or an adult will respond actively. The initial response is anxiety, but anxiety is a warning of
danger in anticipation of experiencing helplessness once again. In a sense, the ego is recreating to the helplessness of infancy, but it
does so in the hope that now the ego will have at its command some means of dealing with the situation. Therefore, anxiety has
hopefully transformed from a passive response in infancy to an active and protective response in later childhood and/or adulthood
(Freud, 1926/1959).
Discussion Question: What makes you anxious, and how do you respond to those feelings?

Defense Mechanisms
We will cover defense mechanisms only briefly in this chapter. Although Freud talked about a wide variety of defense
mechanisms during his career, he left it to his daughter Anna to literally write the book on The Ego and the Mechanisms of Defense
(Anna Freud, 1936/1966). Freud himself discussed primarily two defense mechanisms: repression and regression. The recognition
of these defense mechanisms was essential to the development of psychoanalysis, and they are the only two defenses mentioned by
Freud in The History of the Psychoanalytic Movement (1914/1995). The purpose of these defense mechanisms is to protect the ego
during the early years of life, when the ego has not adequately developed in its ability to control the libidinal impulses of the id.
Thus, defense mechanisms serve a useful function at first, but later prove inadequate when the re-animation of the sexual life is
reinforced following puberty (Freud, 1938/1949). Similarly, in adult life, defense mechanisms are useful in the short-term, but since
they do not deal with problems directly they must eventually prove inadequate.
Freud identified repression as one of the key elements establishing psychoanalysis as unique from the cathartic method he had been
working on thanks to the contributions of Josef Breuer (Freud, 1914/1995). Indeed, according to Freud, his own contributions that
transformed Breuer’s cathartic method into psychoanalysis were repression, resistance, infantile sexuality, and dream analysis for
the understanding of the unconscious mind. The value of repression cannot be underestimated:
The theory of repression is the pillar upon which the edifice of psychoanalysis rests. It is really the most essential part of it, and yet,
it is nothing but the theoretical expression of an experience which can be repeatedly observed whenever one analyses a neurotic
without the aid of hypnosis. One is then confronted with a resistance which opposes and blocks the analytic work by causing
failures of memory. This resistance was always covered by the use of hypnosis; the history of psychoanalysis proper, therefore,
starts with the technical innovation of the rejections of hypnosis. (pg. 907; Freud, 1914/1995)
The resistance Freud is referring to here is the defense mechanism of repression, which is the means by which the ego refuses to
associate itself with an unacceptable instinctual impulse generated by the id. The ego is able to keep the “reprehensible” impulse

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from entering into the conscious mind (Freud, 1926/1959). But an important question arises: What then happens to this impulse
seeking satisfaction? There are several possibilities, and Freud himself considered the answer to be rather complex. One thing that
might happen is that the ego attempts to shift the libido cathexed to the impulse toward release as anxiety (Freud, 1926/1959).
However, anxiety is unpleasant, and the id demands satisfaction in accordance with its pleasure principle. Therefore, this procedure
is doomed to failure (and, therefore, the development of neurosis). There are, of course, alternatives that can occur prior to the
failure of this initial defense. The ego may find some acceptable alternative to the impulse through the other defense mechanisms,
such as sublimation or reaction-formation.
Regression can be seen when an individual engages in behavior typical of an earlier stage of development. As Freud and Breuer
tried to work out the causes of their patient’s neuroses by using the cathartic method, they repeatedly found that they could not help
their patients by focusing on the actual event that had led to a crisis. Instead, their patients inevitably made associations between
the traumatic event and earlier experiences. Initially, these earlier experiences went back to puberty, and ultimately they went back
to early childhood. Although Breuer favored some physiological explanation of this phenomenon, Freud insisted that it was
psychological, and he termed the process regression (Freud, 1914/1995). According to Freud:
This regressive direction became an important characteristic of the analysis. It was proved that psychoanalysis could not clear up
anything actual, except by going back to something in the past. (pg. 903)

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3.5: Psychosexual Stages of Development
Above, we examined the basic development of libido and psychosexual function. Freud also believed that psychosexual function
developed in a series of stages that occur in two waves. The first three stages occur during early childhood, from infancy to about
the age of 5. Freud referred to this early period as the pregenital phase (Freud, 1905/1995). There is then a latency period, which
lasts until puberty, after which the final stage, the genital stage, is realized and the individual is capable of physically mature
reproductive functioning. These stages are typically presented as if they are exclusive and sequential. Although it is true that they
are sequential, they are not entirely exclusive. Therefore, it is possible for the stages to overlap (Freud, 1938/1949). However, it
remains true that during a particular stage one region of the body will be dominant, and most of the libido will be focused on that
region (see Jarvis, 2004). For the sake of simplicity, we will treat the stages as if they occur one after another.

The Psychosexual Stages

The first phase of psychosexual development begins at infancy with the oral stage. According to Freud, the mouth is the first
region of the body to become an erotogenic zone, and this lasts for approximately the first year of life. During this time the mouth
makes libidinal demands on the mind. In other words, the region of the mouth demands that the mind direct adequate libidinal
energy to satisfy the desires of the oral region. Although this serves the purpose of sustaining the infant by satisfying its nutritional
needs, Freud believed that the infant’s persistent sucking belied a need for satisfaction that was far greater than simply taking care
of physiological needs. He believed that the infant needed to satisfy its desire for psychological pleasure independent of
nourishment, and this was the basis for arguing that the behavior was sexual (in the larger, life-oriented perspective on sexuality).
Evidence for this stage is easy to see, and such commonplace observances contributed to Freud’s thinking. Infants suck almost
continuously, even when not being fed. They suck their thumbs, they can be comforted with pacifiers, as they become older they
put everything they can get their hands on into their mouths. If they cannot satisfy this need, they may become fixated in the oral
stage. As a result of this oral fixation, when an older child or adult becomes frustrated or overwhelmed, they may regress and
engage in oral behavior. This occurs because the fixation of libido on the oral region during infancy results in a deficiency of the
libidinal energy needed to cope with some stressful period of adulthood. This oral behavior can take many forms, such as:
overeating, smoking, drinking too much (of course, this usually refers to drinking alcoholic beverages), or just talking excessively.
During the second stage of psychosexual development, the anal stage, the anus becomes the focus of the libido, and the child
derives pleasure from the ability to both retain and expel feces. Initially, the pleasure associated with evacuating the bowels is felt
within the child, something Freud referred to as the autoerotic nature of sexual development (Freud, 1917/1966). Soon, however,
the child learns that the world can be an inhibiting place, that greater pleasure can be derived only if the child defecates when and
where others consider it to be appropriate. This realization occurs as a result of the most significant parent-child interaction during
this stage of development: toilet training. If the parents are either too strict or begin too early the child may develop the traits of an
anal character (Jarvis, 2004). These traits include excessive orderliness, stubbornness, and parsimony, each of which results from
denial of the child’s anal pleasure during toilet training. Orderliness, or tidiness, serves as a denial of taking pleasure in defecating,
and stubbornness carries over from the child’s assertion of their right to defecate at will (Jarvis, 2004). Parsimony, or being stingy,
stems from the child’s association of the feces with money. According to Freud (1917/1966):
He feels no disgust at his feces, values them as a portion of his own body with which he will not readily part, and makes use of
them as his first ‘gift,’ to distinguish people whom he values especially highly. (pg. 390)
Freud was by no means unaware of how strange this part of his theory seemed. Immediately following the above quote, he went on
to say the following, and remember that his Introductory Lectures on Psycho-analysis were actual lectures delivered to students at
the University of Vienna:
I know you have been wanting for a long time to interrupt me and exclaim: ‘Enough of these atrocities! You tell us that defecating
is a source of sexual satisfaction, and already exploited in infancy! That feces are a valuable substance and that the anus is a kind of
genital! We don’t believe all that…’ No, Gentlemen. You have merely forgotten that I have been trying to introduce the facts of
infantile sexual life to you in connection with the facts … that for a large number of adults, homosexual and heterosexual alike, the
anus does really take over the role of the vagina in sexual intercourse? (pg. 391)
So Freud was simply trying to address very real issues that he, and others, had observed in their clinical practices. His years of
working in isolation had prepared him for dealing with disapproval, and he was not going to be shy about studying things that
might make others uncomfortable.

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The phallic stage, in which the libido focuses on the genitalia, represents the culmination of infantile sexuality. Although it
typically occurs between the ages of 3 to 5 years old, it sets the stage for adult sexuality. Therefore, it is a very important period.
According to Freud (1905/1995), this stage will “leave behind the profoundest (unconscious) impressions in the person’s memory;
if the individual remains healthy they determine his character and if he becomes sick after puberty, they determine the
symptomatology of his neurosis.” There are two critical aspects of this stage: the first involves the castration complex and penis
envy, and the second is the Oedipus complex. Technically, the Oedipus complex subsumes castration anxiety, but it is important to
consider these aspects separately. In Three Contributions to the Theory of Sex (Freud, 1905/1995), the book that obviously focuses
on the sexual aspects of psychoanalysis, Freud discussed the castration complex and penis envy, but not the Oedipus complex.
Although he discussed the Oedipus legend in his earlier books, he did not use the term Oedipus complex until 1910 (see Jarvis,
2004). The other reason for considering the major aspects of this stage separately is the difference between boys and girls. Penis
envy is obviously something that only girls can experience and, according to Freud, the Oedipus complex is something that only
boys can experience. Girls experience something similar to the Oedipus complex, but their efforts are in vain, and this has a
permanent, negative effect on their character (Freud, 1938/1949). For more discussion on the latter point, see the section below on
Freud’s perspective on the female psyche.
As we begin to address the castration complex and penis envy, it is important to realize that Freud’s phallic stage is entirely focused
on the penis, for both boys and girls. As the libido becomes focused on the genitals, a boy begins to manipulate his penis. He
experiences no shame, and even enjoys displaying his body (Freud, 1905/1995). As a counterpart to this joy in his own sexuality,
children are often curious about seeing other children’s bodies. This creates a very different experience for boys and girls. When
boys see a girl’s body, they believe the absence of a penis means that the girl has been castrated. This leads to a fear of the same
thing happening to them, and creates castration anxiety, which in adulthood can lead to a castration complex. When girls see a
boy’s body they are fully prepared to recognize the penis, and they become envious of it. Indeed, this envy can become strong
enough that the girl wishes she was a boy (Freud, 1905/1995). Since she cannot be a boy, she begins to seek an alternative, either
her father or a child of her own.
As Freud continued to develop his theory of the phallic stage, he included a broader perspective beyond the castration complex: the
Oedipus complex. A boy’s first love object is his mother, the one who feeds him and attends to all of his needs. This is only natural.
As his libido becomes focused on his genitalia, however, this takes on the sexual desire that became so controversial. Keeping in
mind that Freud did not believe that children understand the adult reality of their desires (much of it is unconscious), he described
their behaviors as obvious evidence of their desire: boys talk about loving and marrying their mother, they persistently pursue being
in her presence when she is dressing, they want to be in bed with her at night, etc. (Freud, 1917/1966). This eventually leads to
conflict with the father, and with it the castration anxiety described above. Since there is no satisfactory resolution, given that the
father is much more powerful than the child, the boy is compelled to give up the Oedipus complex, to repress it. In the healthiest
condition, the Oedipus complex is completely destroyed in the id, and gives rise to a severe superego (Freud, 1933/1965). This
repression, or destruction, of the Oedipus complex allows the boy to transition into the latency period.
For girls, the Oedipus complex takes a very different course. A girl’s first love object is also her mother, since again it is the mother
who provides most of the childcare. Once the girl realizes that she does not have a penis she develops penis envy, and she must
undertake a change in her love object to her father, the one who can provide her with the desired penis. The mother is then seen as a
rival for the father’s penis, and indeed as someone who has already received all that the girl wants from her father. This can
intensify feelings of hostility toward the mother. Consequently, she may enter into the Oedipus complex feeling that it is a refuge or
safe haven. However, the girl does not fear castration, since she has no penis to begin with, and without the fear of castration
leading to repression of the Oedipus complex there is no motivation for the girl to move into the latency period (Freud, 1933/1965).
Freud believed that girls remain in the Oedipus complex, and thus the phallic stage, for an indeterminate period of time, and that
they cannot ever completely resolve it. Adding one more point of controversy, the only way in which girls can shift from an
initially masculine situation (the mother as love object) to a feminine situation (the father as love object) is if they replace their
penis envy with the desire for a child, given the ancient symbolic equivalence between the penis and giving birth (Freud,
1933/1965).
Following the oral, anal, and phallic stages there is a period of latency, during which progress is at a standstill. There are, however,
some interesting things that happen during this period. The child knows that they are still incapable of procreation (even though
this knowledge may be unconscious), so they begin to turn away from their sexual desires. They begin to view sexual impulses
with disgust and shame, and to consider them immoral (Freud, 1905/1995). Although their education has much to do with this,
Freud believed that it is also a natural occurrence. To compensate, the child (or the child’s mind, as this again may be entirely
unconscious) engages the defense mechanism of sublimation: the conversion of the unacceptable sexual impulses into activities

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that are socially acceptable (such as school work or sports). Another important consequence of this mental activity is that we forget
our infantile sexual impulses, something Freud called infantile amnesia. Infantile amnesia is critical to the whole theory of the
development of neuroses and the technique of psychoanalysis (Freud, 1938/1949), and it is one of the main reasons that many
adults insist upon denying the possibility of infantile sexuality in the first place.
With the onset of puberty, the individual enters the final stage of psychosexual development: the genital stage. If the challenges of
the earlier stages have been resolved in a satisfactory way, the individual is finally capable of appropriate and mature intimacy and
sexual behavior. All of the psychodynamic processing that has taken place is not gone, however. According to Freud (1938/1949),
even normal people have some of the following factors included in their final psychosexual organization: some libidinal cathexes
are retained, others are taken into sexual activity as preliminary acts (such as foreplay), and still others are excluded from the
organization either by repression or sublimation.

Freud’s Perspective on the Female Psyche

I would like to begin this section by being fair to Freud. First and foremost, there were no other theories on the development of
personality for Freud to consider as he developed his own theory. Second, most of the patients Freud saw were women, and
apparently he needed to explain how it was that so many of his patients were women and not men. There were certainly other
possible explanations than those offered by Freud, but it has been easy for others to look back and criticize him with the benefit of
new and different ideas. One must also keep in mind that Freud was a basic scientist for many years, and he put a lot of emphasis
on details. It is an undeniable, biological fact that men are male and women are female! Freud believed that psychology could
never truly understand sex and gender differences unless we could understand why so many species exists as two different sexes in
the first place (Freud, 1933/1965). Nonetheless, having acknowledged this, Freud’s theory does, unfortunately, describe women as
the products of an incomplete and frustrated male development.
Freud believed that the development of the feminine psyche was more difficult and complicated than that of the masculine psyche
for two main reasons, neither of which is faced by boys during their development. Initially, there are basic biological differences,
both anatomically and in terms of temperament. Girls are typically less aggressive, defiant, and self-sufficient; they also seem to
have a greater need for affection, and as a result become more dependent and pliant. However, Freud disregarded these differences,
feeling that they were insignificant compared to individual differences between boys and girls (Freud, 1933/1965). Through much
of the first wave of infantile sexuality, particularly the oral and anal stages, there is no difference between boys and girls. Even
during the early portion of the phallic stage there is no difference between the sensations boys experience via the penis and the
sensations girls experience via the clitoris. The first difference, however, arises from the need for girls to shift the focus of their
libido from the clitoris to the vagina, particularly with regard to the importance of the latter for sexual activity leading to
procreation. The second difference is the need for the girl to shift the focus of her libido from the mother to the father as she enters
the Oedipus complex. This shift in the love object is not easy, and the outcome is not pleasant.
Freud proposed that the young girl’s attraction to her father at the beginning of the Oedipus complex is not simply a shift in the
libido, but involves a rejection of the mother who had been the previous love object. The girl’s rejection of her mother is
accompanied by hostility, and can end in hate. The hate can be profound and last the girl’s entire life, even if it is carefully
compensated for later in life (Freud, 1933/1965). The reason for this hostility toward the mother arises from the castration complex
and penis envy. Whereas a boy fears being castrated, the girl believes that she already has been, and the mother is responsible. The
girl then develops an overwhelming desire to have a penis, the so-called penis envy, but it simply cannot be. Even when a girl is old
enough to understand the basic biology of sex differences, she still retains an unconscious feeling of having been wronged and a
considerable cathexis of libido remains (Freud, 1933/1965). It is interesting to note that Freud acknowledges that it is difficult to
see these processes in action if one simply observes young girls. However, in his clinical practice he saw patients whose neuroses
amplified these processes, and following psychoanalysis the underlying basis of this developmental stage seemed evident to Freud.

Table 3.5.1: A Summary of the Psychosexual Stages

Stage Approximate Age Range Essential Elements

The mouth is the source of erotic pleasure; this

helps to obtain nourishment, but babies also put
Oral Stage Birth through the first year
everything else they get their hand on into their
mouths

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 Table 3.5.1: A Summary of the Psychosexual Stages

The anus is the source of erotic pleasure; toilet

training is the major task of this stage (and as
Anal Stage From age 1 to 3 years old
any parent can tell you, a most interesting
experience!)
The genitals are the source of erotic pleasure;
boys may fear castration, girls develop penis
envy; boys resolve the Oedipus complex due to
Phallic Stage From age 3 to 5 years old the motivation provided by their castration
anxiety; since girls are not motivated by
castration anxiety, they lack the motivation to
completely resolve the Oedipus complex
At the beginning of this period infantile
amnesia hides our earlier experiences from us;
Latency Period From age 6 to puberty
recovering them is the major task of
psychoanalysis
If the earlier stages were resolved successfully,
then normal adult life proceeds; if not, a
neurosis may develop; according to Freud,
Genital Stage From puberty throughout adulthood
women cannot resolve the Oedipus complex, so
they must have some psychological
deficiencies relative to men

How then is a girl to resolve the Oedipus complex and achieve a healthy, adult personality? As described above, she can’t! In
Freud’s own words:
The girl, after vainly attempting to do the same as the boy, comes to recognize her lack of a penis or rather the inferiority of her
clitoris, with permanent effects on the development of her character; as a result of this first disappointment in rivalry, she often
begins by turning away altogether from sexual life. (pg. 26; Freud, 1938/1949)
In these circumstances the formation of the superego must suffer; it cannot attain the strength and independence which give it its
cultural significance, and feminists are not pleased when we point out to them the effects of this factor upon the average feminine
character. (pgs. 160-161; Freud, 1933/1965).
Another important observation that came to Freud in his early psychoanalytic practice was the recognition that almost all of his
female patients reported having been seduced by their fathers (which, if true, is an inaccurate way of saying they were sexually
assaulted by a child molester). This led Freud to propose a seduction theory, which was the basis for first proposing the role of
sexual trauma in the development of neuroses. This sexual trauma did not have to be as severe as rape, but it was considered
significant nonetheless (see Jarvis, 2004). Later, however, Freud came to the conclusion that these seductions occurred only in the
fantasies of the young girls. Indeed, Freud described the fantasy of a young girl being seduced by her father as the typical
expression of the Oedipus complex in women (Freud, 1933/1965). Freud was criticized for theorizing that young girls fantasized
about being seduced by their fathers, and Breuer ended his pursuit of understanding sexual trauma when faced with the same
conclusion (Freud, 1914/1995). Today, however, Freud is criticized more for having turned away from what may have been his
most startling discovery, the prevalence of sexual abuse (see Jarvis, 2004).

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3.06: Connections Across Cultures- Male
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3.6: Connections Across Cultures- Male/Female Differences
We don’t normally think of men and women as being different cultures, but this has become a more popular approach to
understanding their differences (e.g., see Brislin, 2000; Ferraro, 2006a; Haviland, 2005; Matlin, 2004). As we consider gender
differences it is, of course, important to avoid stereotyping individuals. Nonetheless, the reality of cultural expectations related to
sex and gender, some of which have a basis in the development of the human species, has led to some interesting research in both
professional and popular psychology. As mentioned in Chapter 1, psychology has often been portrayed as a discipline focusing on
White, European males. However, research on the psychology of women continues to expand, it has begun to address the specific
differences of women of color, and it has led to the establishment of specific men’s studies as well (Matlin, 2004). The latter point
is an important one, since the earlier emphasis on White males was more circumstantial than intentional. For our purposes, I would
like us to consider some of the interesting popular work on male/female differences.

In 1992, John Gray first published a very popular book entitled Men are From Mars, Women are From
Venus. This book openly addresses the different ways in which men and women typically communicate
and express their emotions. He offers practical advice on how men and women should react, or perhaps
not react, to one another in everyday interactions. In his introduction to the paperback edition, Gray
(2004) emphasizes how important it is not to try changing your partner. To expect members of the
opposite sex to become more like yourself sends a message that they are not good enough as they are. He
also notes that not all men or women will fall into the typical gender roles, so it is important not to
stereotype. What is important, according to Gray, is that we recognize the general differences that exist
between men and women and keep them in mind when we communicate with each other. If we can, then
hopefully we can avoid conflicts that need not be inevitable. It might sound simple, but Gray clearly
struck a chord in couples and individuals across America. He wrote numerous follow-up books,
including Mars and Venus on a Date (1997) and the parenting guide Children are From Heaven (1999),
each of which became #1 New York Times Bestsellers like the original. There is an interesting website
(www.marsvenus.com), there are workshops and counseling centers based on Gray’s work, and
workplace seminars based on Mars and Venus in the Workplace (2002). Clearly, relationship problems
based on the differences between men and women are of great interest to people in our society today. As
harshly as Freud has been criticized for his views on the differences between men and women, he was
certainly on to something. Perhaps that’s part of the reason why even those who criticize Freud continue
to talk about him.
More recently, Norah Vincent (2006) spent 18 months masquerading as a man, and then wrote about her
experiences in Self-Made Man. Ms. Vincent spent a substantial amount of time working to look and act
like a man. She consulted a professional make-up artist (especially to help with her “beard”), a voice
coach, and a personal trainer to help her build muscle mass in her arms and shoulders. She even went to
a sex shop and purchased a prosthetic penis, just to help make sure that her appearance was as
convincing as possible. Using the name Ned, she then traveled around the country, to five different
states, and attempted to pass for a man in a variety of settings. She played on a men’s bowling team,
went to strip clubs with “other” men, spent time in a monastery, got a job as a salesman, and joined a
men’s group. One of the most interesting aspects of her masquerade involved dating. Curiously, it was
not really difficult for her to consider dating women, because she happens to be a lesbian. But she was
not prepared for how often she would be rejected when trying to meet women! Maybe that’s why she
wrote: “It was hard being a guy. Really hard.” In fact, she found the entire experience quite disturbing.

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As a woman, she had always been viewed as very masculine. But when pretending to be a man, she was
seen as very effeminate. She felt that her masculinity was constantly being judged, both by men and
women. And the constant pressure to be a “real man” was overwhelmingly stressful. As she concluded
her book, talking about the camaraderie of the men on the bowling team, she observed that:
Making this removed comforting contact with men and feeling the relief it gave me as my life as a man
went on was not a sign of having joined the overclass, for whom superiority is assumed and bucking up
unnecessary. It was more like joining a union. It was the counterpart to and the refuge from my
excruciating dates, which were often alienating and grating enough to make me wonder whether getting
men and women together amicably on a permanent basis wasn’t at times like brokering Middle East
peace.
I believe we are that different in agenda, in expression, in outlook, in nature, so much so that I can’t help
almost believing, after having been Ned, that we live in parallel worlds, that there is at bottom really no
such thing as that mystical unifying creature we call a human being, but only male human beings and
female human beings, as separate as sects. (pgs. 281-282; Vincent, 2006)
As an indication of how popular this topic continues to be, shortly after Ms. Vincent published her book
she was interviewed on the popular news/comedy show The Colbert Report on Comedy Central. I guess
it’s important to keep smiling as we struggle through the many challenges of male/female relationships.
Freud’s perspectives on women have created a great deal of negativity toward him and his theory,
particularly among women. But should we judge Freud so harshly? It was common in the society in
which he lived to consider women as the “weaker sex.” In his practice, most of the patients he saw were
female, so he needed his theory to explain why most of the people with psychological disorders were
women (at least, that’s what he thought). Granted he had made fundamental errors by not realizing that
men might be avoiding help for psychological problems because of the culture and by not recognizing
that women might be suffering from oppression caused by men, but since there were no other theories to
compare his own ideas to, it is easy to condemn him. However, those theorists who began to address the
cultural issues, like Adler and Horney, had Freud’s theory for comparison. Horney in particular also had
a growing body of research on anthropology and sociology to draw on. So as much as Adler and Horney
may have disagreed with Freud, he still laid the foundation for their work and the work of many others.

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3.7: Psychoanalysis
Most psychologists today make a distinction that Freud seldom, if ever, made. We refer to all theoretical perspectives related to the
views of Sigmund Freud as psychodynamic theories, reserving the term psychoanalysis for the therapeutic method developed by
Freud. Freud simply referred to both his theories and his therapy as psychoanalysis. This may well have resulted from the fact that
Freud began as a therapist, and only developed his theories in order to explain why certain approaches worked and others did not. It
may also have something to do with the fact that Freud’s personality theories came first, and so there was no need in his mind to
distinguish his views from the work of others. Whatever the reason, for our purposes we will use the term psychoanalysis to refer to
the therapeutic method developed by Freud, which was uniquely different from the techniques already in use by people such as
Breuer and Charcot. I would also like to note that many of the references in this section cite the book co-authored by Freud and
Breuer (1895/2004). However, the citations come from a portion of the book written by Freud alone, and in which he takes
personal credit for the work. Therefore, we need to acknowledge that although the book is published as the work of both men, it
contains mostly each man’s individual work, and only the “Preliminary Statement” is co-authored by Freud and Breuer. This point
is by no means a small one, because it was at this point in their careers that the two men went their separate ways.
As mentioned above, Freud came to believe that the use of hypnosis, which had been championed by Breuer and Charcot, was
unable to get at the root causes of patient’s neuroses. He also learned through experience that psychoanalysis could only be
effective if he was able to go back into the early childhood of his patients and uncover the unconscious conflicts and repressions
that led to their neurotic behaviors. In order to accomplish this goal, Freud relied primarily on free association and dream
analysis. In the history of psychoanalysis, there have been those who believed that psychoanalysis officially began when Freud
rejected hypnosis and introduced free association (Freud, 1914/1995). Free association is often used, of course, during the
interpretation of dreams, so the two techniques are not mutually exclusive. With regard to the value of interpreting dreams, Freud
wrote perhaps his most famous line: “…the interpretation of dreams is the via regia [royal road] to a knowledge of the unconscious
element in our psychic life.” (pg. 508; Freud, 1900/1995).

Free Association – Freud’s Therapeutic Breakthrough

Free association grew out of a need that resulted from problems implementing Breuer’s cathartic method. The first problem was
that many patients could not be hypnotized. With the patients that Freud could not hypnotize, especially those who would not even
allow him to try hypnotizing them, Freud tried a technique of pressing them to remember. This technique also came up short, and
Freud recognized a need to work around the patient’s resistance (which we will examine in more detail below). The first technique
that Freud developed involved pressing his hand against his patient’s forehead and asking them to say whatever thought, no matter
how seemingly irrelevant, came first into their consciousness (Freud & Breuer, 1895/2004). Freud himself described this technique
as a trick, one that disconnects the patient’s attention from his conscious searching and reflecting. However, trick or not, Freud
found the technique to be indispensable. The thoughts that came to the forefront of consciousness, those believed to be easily
accessible via the preconscious, were likely to be connected to the underlying associations responsible for the neurotic patient’s
symptoms. Freud used this technique of free association quite successfully. As early as 1892, he treated a patient known as Fräulein
Elisabeth von R. by relying entirely on free association (Freud & Breuer, 1895/2004).
Still, Freud did make some modifications in the technique. Two other methods used to begin the free association were to have the
patient think of a number or a name at random. Of course, Freud did not believe that it was possible for anything in the mind to
occur at random, and by continuing the association brought up by that first name or number, Freud could help his patient to arrive
at the true unconscious associations that were the root of their problems (Freud, 1917/1966). He also used free association during
the interpretation of dreams, and often found it helpful to examine which part of the dream the patient chose to begin making free
associations (Freud, 1933/1965). Freud also considered psychoanalysis to be effective with children, but cautioned that a child’s
lack of psychological development limited their ability for free association. Other psychodynamic theorists worked more
extensively with children, however, including Adler, Anna Freud, and Klein.

The Elements of Dream Analysis

For someone who considered dreams to be the royal road to the unconscious mind, it is no surprise that Freud’s first book of his
own was The Interpretation of Dreams (Freud, 1900/1995). The value of this work never diminished, and Freud devoted a chapter
to dream interpretation in one of his last books: An Outline of Psycho-Analysis (Freud, 1938/1949). In the latter book, published
only a year before Freud died, he wrote:

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The only thing that can help us are states of conflict and uproar, when the contents of the unconscious id have a prospect of forcing
their way into the ego and into consciousness and the ego puts itself once more on the defensive against this invasion. …Now, our
nightly sleep is precisely a state of this sort, and for that reason psychical activity during sleep, which we perceive as dreams, is our
most favourable object of study. In that way, too, we avoid the familiar reproach that we base our constructions of normal mental
life on pathological findings; for dreams are regular events in the life of a normal person… (pg. 38)
Freud described our recollection of a dream as a façade, a covering that hides the underlying process of the dream. Thus, a dream
has both manifest content and latent content. The manifest content (or the dream-content) of a dream is what we actually
remember when we wake up. The latent content (or the dream-thoughts), however, is the true underlying meaning of the dream, the
unconscious material from the id desiring satisfaction. Freud described the process by which the latent content is transformed into
the manifest content as the dream-work (Freud, 1900/1995). Studying the nature of the dream-work, the way in which the
unconscious material from the id forces its way into the ego but is transformed by the ego’s opposition to the impulse, allows us to
understand what is known as dream-distortion (Freud, 1938/1949). The importance of dream-distortion becomes clear when we
consider the purpose of dreams. Freud believed that all dreams represent our true desires. Therefore, all dreams can be viewed as
wish fulfillment. Although some dreams can be very anxiety-provoking, and certainly do not seem to represent our wishes and
desires, this is the result of the distortion. If we successfully analyze the dream and identify its latent content, then Freud believed
we would recognize the true wish-fulfillment nature of even anxiety-provoking or frightening dreams (Freud, 1900/1995).
When we sleep, the ability of the ego to repress or otherwise redirect the unacceptable impulses of the id is paralyzed. The id, then,
is afforded “a harmless amount of liberty” (Freud, 1938/1949). But the ego is still the seat of consciousness, and still exerts some
influence over the expression of the id impulses. And so the dream is distorted, transformed into something less threatening to the
ego, particularly into something not threatening enough to wake the person up. To summarize this situation, when we are asleep the
ego is less able to restrain the id. Consequently, the impulses of the id intrude in the preconscious and then into the conscious mind.
This provokes anxiety and threatens to wake us up. However, the dream transforms the id impulse into the fulfillment of a wish,
and we are able to continue sleeping. As Freud described it:
We shall be taking every experience into account if we say that a dream is invariably an attempt to get rid of a disturbance of sleep
by means of a wish-fulfillment, so that the dream is a guardian of sleep. (pg. 46; Freud, 1938/1949)
Does it seem reasonable to say that all dreams are wish fulfillment? Certainly some dreams clearly fulfill our wishes and desires, at
least through fantasy. Such dreams do not require any analysis. Other dreams, however, seem to make no sense at all. The id and
the unconscious mind are not logical at all, contradictory ideas easily coexist side by side, and Freud even referred to the
unconscious mind as the “Realm of the Illogical” (pg. 43; Freud 1938/1949). As these latent impulses are transformed into manifest
content, it can be very difficult to separate them and make sense of a given dream. The dream-work itself, the very process of
distorting or transforming the latent content into the manifest content in order to disguise the meaning of our dreams, involves a
variety of factors, including: condensation, displacement, the use of symbolic representation, and secondary elaboration
(Freud, 1900/1995).
According to Freud, condensation refers to the tendency to create unity out of a variety of dream elements that we would keep
separate if we were awake. So, a single element of the manifest content of a dream might represent a number of latent thoughts.
Thus, the analysis of a dream could be much longer than the dream itself. Displacement is not unrelated to condensation according
to Freud, and refers to the switching of libidinal energy from one object to another, such that the important object of a dream might
seem inconsequential, and vice versa. In other words, the apparent focus of the dream is probably not the actual focus of the dream.
This does not simply suggest that we might substitute one person for another in a dream, it also happens that we might represent
various elements through symbols. Once again, these symbols are employed by dreams to disguise the representation of latent
content. As important as Freud considered symbols to be in a dream, he did not support the idea that dream dictionaries can identify
universal meanings of dream symbols. It is only through the associations relevant to a specific dreamer that we can make sense of a
dream’s symbolism (Freud, 1938/1949). Finally, as the dream is actually presented to the conscious mind, the ego ensures that the
material is acceptable by performing what Freud termed the secondary elaboration. As with any perception, the ego fills in gaps
and connections, but also misunderstands the true nature of the dream. As a result the secondary elaboration can offer little more
than a smooth façade for the dream. Also, the secondary elaboration may only be partial, or even absent (Freud, 1933/1965). All of
these processes together form the manifest content of the dream, resulting in something that might be difficult to understand, but
which is within the reach of a determined psychoanalyst.
Discussion Question: Have you ever analyzed your own dreams? Were you able to discover any revelations after considering a
dream in greater depth, even though it made no sense at first?

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The Therapeutic Process
Initially, Freud began with a fundamental belief in the effectiveness of catharsis, the discharge of pent-up emotion that follows the
recall and re-experiencing of traumatic memories (see Jarvis, 2004). If only a patient can recognize the unconscious association
between an early traumatic event and their current symptoms, then the symptoms should be relieved. As Breuer and Freud noted in
the introduction to their book:
For we found, at first to our great surprise, that the individual hysterical symptoms disappeared immediately and did not recur if we
succeeded in wakening the memory of the precipitating event with complete clarity, arousing with it the accompanying affect, and
if the patient then depicted the event in the greatest possible detail and put words to the affect. Remembering without affect almost
always fails to be effective… (pg. 10; Freud and Breuer, 1895/2004).
One can see from this description, however, that the process of psychoanalysis is not easy. There must be a clear recognition of the
initial traumatic event, in detail, with all of its original emotional impact, and the patient must then be willing to talk about the
event in relation to their current problems.
As we have already seen, the first obstacle is resistance, the patient’s reluctance to experience the anxiety associated with
recovering repressed material. The more severe the symptoms, the more severe the resistance is likely to be. Even when a little
trick is successful, such as pressing on the forehead to break the patient’s concentration and allow free association, in serious cases
the self remembers its intentions (which are often unconscious motives) and resumes its resistance (Freud & Breuer, 1895/2004).
Because of this challenge, Freud believed that the therapist must be patient. Resistance that has been constituted over a long period
of time can only be resolved slowly, step by step. In addition to the intellectual role of the therapist, there is an important emotional
role as well. In some cases, Freud found that only the personal influence of the doctor could successfully break down the patient’s
defense mechanisms.
A large part of the reason that psychoanalysis can be so difficult has to do with how the unconscious mind exists. Freud believed
that memory of a traumatic event exists as a pathogenic nucleus within multiple layers of pathogenic psychical material of varying
resistance. The outer layers may be easy to uncover, but as one progresses into the deeper layers, resistance grows steadily. Adding
to the challenge, the associations between layers do not simply go deeper, they can travel at odd angles, in something of a zigzag
fashion, or branch out in multiple ways (Freud & Breuer, 1895/2004). Because multiple associations may exist between a patient’s
neurosis and the underlying traumatic event, it is critical to address all of the psychical material that comes to bear on the current
condition of the patient. Even if the therapist rightly knows the basis for the patient’s problems:
…there is no point at all in advancing directly to the nucleus of the pathogenic organization. Even if it were possible for us to guess
this, the patient would not know what to do with the elucidation given to him and would not be altered by it psychically. (pg. 293;
Freud & Breuer, 1895/2004)
As suggested above, a different kind of obstacle arises when the relationship between the doctor and the patient has been damaged
somehow. Freud considered this to be a likely occurrence in serious cases of analysis. Freud described three ways in which the
doctor/patient relationship can suffer. The first case involves the patient feeling estranged, neglected, undervalued, insulted, or if
they have heard negative things about the doctor. Freud considered this problem to be fairly easily handled through good
communication, although he noted that good communication can be difficult with hysterical patients. The second situation involves
patients who fear that they will become too dependent on the therapist and that they will lose their independence. This can lead to
new resistances. As an example, Freud described patients who complained of headaches when he pressed on their forehead, but
really they were just creating a new hysterical symptom to mask their aversion to the belief that they were being manipulated or
controlled. The final problem that commonly disturbs the relationship between the therapist and the patient is known as
transference (Freud & Breuer, 1895/2004). Transference occurs when the patient reacts as if the therapist were an important figure
from the patient’s childhood or past, and transfers onto the therapist feelings and reactions appropriate to that person from the past.
Although transference can interfere with the therapeutic process, it also offers advantages. The power conferred on the therapist by
transference affords him an opportunity to re-educate the patient, correcting the mistakes of the parents, and it leads patients to
reveal more about themselves than they might have if they had not developed such a connection to the therapist (Freud,
1938/1949).
Following transference, it is also possible for countertransference to occur. Countertransference refers first to an unconscious
influence of the patient on the therapist, after which the therapist directs their own emotional states back onto the patient. In Freud’s
circle of analysts their own psychoanalysis was conducted in large part to eliminate the influence of this distorting effect. Today,

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there are some therapists who view countertransference as a useful means to gain a deeper perception about what is going on in
their patient’s mind (see Jarvis, 2004).

Is Psychoanalysis Effective?
The effectiveness of psychoanalysis as a treatment for psychological disorders has been a source of ongoing debate. In 2006, a
select task force, established by the presidents of five major psychoanalytic organizations, published the Psychodynamic
Diagnostic Manual (PDM Task Force, 2006). Included within the PDM is a section on research, including meta-analytic studies on
the effectiveness of psychoanalysis on patient populations in the United States (Westen et al., 2006), the United Kingdom (Fonagy,
2006), and Germany (Leichsenring, 2006). Each of these chapters emphasize the difficulty in empirically evaluating the
effectiveness of psychotherapy, and even more so comparing the effectiveness of different psychotherapeutic approaches.
Nonetheless, for a variety of psychological disorders, there is evidence supporting the efficacy of psychoanalytic treatments. Both
Fonagy (2006) and Leichsenring (2006) identify another area of research that needs to be continued: there is not just one type of
psychoanalysis. Thus, continued research on the efficacy of psychoanalytic treatments should address the relative efficacy of
different styles of psychoanalytically based therapies.

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3.8: Religion and Spirituality
In the last section of this book, we will look at spiritual philosophies that provide positive guidelines for personal development and
living one’s life. Freud had rather strong feelings about religion, and simply put, he did not approve! Freud actually considered
religion to be an obstacle to the further development of civilization, and of the “three powers” that oppose a scientific worldview
(art, philosophy, and religion), “religion alone is to be taken seriously as an enemy” (Freud, 1933/1965). In his first and last books
reviewing psychoanalysis Freud makes almost no mention of religion (Freud, 1917/1966, 1938/1949), a rather conspicuous
absence. In between, however, he wrote two books thoroughly condemning religion and societies depending on it.
In The Future of an Illusion (Freud, 1927/1961), Freud describes the role that religion has played in establishing and maintaining
inequitable civilizations. According to Freud, the primary purpose of civilization is the gathering of wealth and, then, its
distribution. This distribution is almost always unfair, and leads to the establishment of a small group of wealthy elite and a much
larger mass of lower classes. The challenge for the wealthy elite is to maintain this unfair distribution, without the unreasonable use
of force. The use of force will ultimately fail, since the instinctual demands for pleasure by the masses (driven by their id impulses)
will drive them to take whatever they want from each other and from the wealthy. And the masses have power in numbers!
Religion has served civilization by providing a controlling force over these instinctual demands, incorporated directly into the
psyche of each individual by means of the development of the superego. The problem, however, lies in the fact (according to
Freud) that there is no God, it is all an illusion. Thus, in Civilization and Its Discontent (Freud, 1930/1961), Freud states that the
“religions of mankind must be classed among the mass-delusions…” that are used to provide people with a certain degree of
happiness and protection against suffering, in spite of the reality of an unfair and uncertain world.
In his last completed book, Moses and Monotheism (Freud, 1939/1967), Freud flatly rejects the entire basis for Judaism and
Christianity. Based on archaeological evidence, Freud claims that Moses was not Jewish, but rather an Egyptian. Furthermore, he
argues that the monotheistic religion that provides the basis for Judaism, Christianity, and Islam (the Abrahamic religions) was a
discredited Egyptian religion established by the pharaoh Amenhotep IV. When Amenhotep IV died, and Egyptians who still
followed the traditional religion of Egypt came back into power, Moses led the Jewish people out of Egypt so that he would have
followers to whom he could teach the religion he hoped to maintain. Since Moses was a hero to the Jewish people, Freud claims
that they rewrote the story to say that Moses was Jewish and that their one true God had been revealed to them long before they
entered Egypt (Freud, 1939/1967).
If religion is nothing more than an illusion, where does it come from, and what is the danger of it? According to Freud, the
development of religion is analogous to the development of each individual. Basically, God is symbolic of our relationship with our
own father. In his New Introductory Lectures… (Freud, 1933/1965), Freud neatly lays out this relationship. Religion serves to
provide us with an understanding of the origins of the universe and life, it offers us hope for protection and ultimate happiness, and
it lays down moral guidelines for living our lives. Similarly, our fathers give each of us life, they protect us when we are young, and
they teach the rules and morality of our culture. Although the establishment of religions by our primitive ancestors may be quite
understandable, Freud used rather harsh language when referring to religion. He wrote that “…our wretched, ignorant and
downtrodden ancestors…” “…were far more ignorant than we are…” (Freud, 1927/1961). In his opinion, ancient religious books
are the product of “fraud” from a time when “man’s ignorance was very great…,” and he includes the Bible and the Koran in that
category (Freud, 1933/1965). He considered religion to be the antithesis of science and art, the two highest achievements of man
(Freud, 1930/1961). Even when addressing more modern times, he compares the political oppression by the Russian Bolsheviks,
with its prohibition of thought (punishable by death), as “just as ruthless as was that of religion in the past…doubts of its
correctness are punished in the same way as heresy was once punished by the Catholic Church” (Freud, 1933/1965). And in
anticipation of his views being challenged, Freud wrote that his considerations “will impress only that minority of readers familiar
with analytical reasoning and able to appreciate its conclusions” (Freud, 1939/1967). The danger in all of this, according to Freud,
is what might happen if people become aware of this illusion and fraud. If people become aware that there is no God, if they
discover that no one else believes, then there may be a violent reaction as a result of the inherent hostility toward civilization by the
masses (Freud, 1927/1961). Accordingly:
…either these dangerous masses must be held down most severely and kept most carefully away from any chance of intellectual
awakening, or else the relationship between civilization and religion must undergo a fundamental revision. (pg. 39; Freud,
1927/1961)
And yet, in spite of such harsh condemnation of religion, Freud was at times fascinated by individuals who expressed deep spiritual
experiences. While in college, Freud was profoundly impressed by the religious philosopher Franz Brentano, a former Catholic

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priest. Freud wrote to a friend that he could not refute any of Brentano’s theistic arguments, and he referred to Brentano as a
“remarkable man” (cited in Nicholi, 2002). Much later in life, Freud discussed an alternative to his earlier analysis of the basis for
religion. He had sent a copy of The Future of an Illusion to a friend who was well versed in traditional Yoga. This friend, named
Romain Rolland, described for Freud an “oceanic” feeling, a sense of eternity and limitlessness. Freud was unable to discover such
feelings within himself, and expressed a general dissatisfaction with scientific investigations of such phenomena. Today, however,
neuroscientists are using real-time brain imaging techniques, such as functional magnetic resonance imaging (fMRI), to study the
alterations in brain activity unique to meditative states and, in particular, positive emotions (e.g., see Barinaga, 2003; Goleman,
1988, 2003; Mathew, 2001). Although Freud obviously had no knowledge that such studies would someday be possible, he did
acknowledge that experiences like the “oceanic” feeling might form the basis for religious sentiments in the human species (Freud,
1930/1961). Yet another friend encouraged Freud to practice Yoga, particularly meditation, to experience these altered states of
mind for himself. It is unclear whether Freud ever attempted to meditate, but he does make mention of his friend’s belief that
meditation may reveal a primordial state of mind, perhaps even deeper than that of the id and the unconscious with which Freud
had occupied his career (Freud, 1930/1961). Freud even went so far as to suggest that if we could somehow achieve a complete
reduction, an extinction, of the tension between our instinctual needs and the constraints imposed by reality and the superego that
we might achieve “nirvana” (Freud, 1938/1949).
How might we reconcile the seeming contradiction between Freud’s harsh attitude toward religion with his apparent fascination
with mystical spirituality and deeply spiritual individuals? Freud believed that religion had failed society. Religion has ruled human
civilization for thousands of years, and yet, “We see that an appallingly large number of people are dissatisfied with civilization and
unhappy in it…In every age immorality has found no less support in religion than morality has…” (Freud, 1927/1961). Also, it is
undeniable that death awaits each of us, and Freud was definitely concerned with death. In 1909 Freud met William James (Freud,
1952). James asked Freud to carry the bag James had with him and to walk on; James said he would catch up after dealing with an
attack of angina pectoris. James died of heart disease a year later. Freud wrote that “I have always wished that I might be as fearless
as he was in the face of approaching death.” Freud was also concerned about how his own death might affect his mother, who lived
to a ripe old age. Martin Freud noted that “Grandmother Amalia…looked for some time as if she would live forever, and my father
was terrified by the thought that she might survive him and, in consequence, have to be told of his death.” (M. Freud, 1983).
Perhaps we should not be surprised that someone who was so thoughtful regarding death, someone who proposed a death instinct,
might be inclined to have some concern regarding what happens after one’s life comes to an end.
As gloomy as Freud’s perspective may seem at first, he remained hopeful regarding the future of humanity. He considered religion
to have been just one step in the development of our species, and that science had reached a point where it could move us ahead
another step. When addressing the belief of many people that we were created in the image and likeness of God, a god who must
also have created evil and the Devil (other theologians have come to a different conclusion on this point; see, for example, Mere
Christianity by C. S. Lewis [1952]), Freud suggested that we bow to the deeply moral nature of mankind, which has overcome this
difficulty (Freud, 1930/1961). He acknowledged the positive role that religion has played in redirecting and transforming some of
our sexual impulses into impulses experienced as love. Indeed, the purpose of civilization itself is to serve Eros, the life instinct, by
combining individuals into “families, then races, peoples and nations, into one great unity, the unity of mankind” (Freud,
1930/1961). But the natural aggressive instinct, the death instinct manifested as the hostility of the individual for civilization,
opposes the establishment of civilizations. Thus, the meaning of the evolution of civilizations becomes clear:
It must present the struggle between Eros and Death, between the instinct of life and the instinct of destruction, as it works itself
out in the human species. This struggle is what all life essentially consists of, and the evolution of civilization may therefore be
simply described as the struggle for life of the human species. And it is this battle of the giants that our nurse-maids try to appease
with their lullaby about Heaven. (Freud, 1930/1961)
Discussion Question: Freud believed that religion has failed to resolve the difficulties that many people face, that it has outlived its
usefulness, and that God is only an illusion anyway. Does this fit with your view of the world in which we live?

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3.9: Personality Theory in Real Life
The Things We Do Are Not Really Surprising!
It isn’t difficult to apply Freud’s theories to everyday life. Only a few years after publishing his landmark book on dream analysis,
Freud published Psychopathology of Everyday Life (1904/1995). One year later, he published Wit and Its Relation to the
Unconscious (1905/1995). So Freud clearly intended his theory to address all aspects of life, and he was well aware that jokes and
laughter are as much a part of life as any of the darker aspects of psychoanalysis (with concepts such as demanding id impulses and
the death instinct).
As mentioned earlier in the chapter, the most famous example of a simple, everyday psychopathology is the famous Freudian slip.
A very humorous example of a Freudian slip can be found on the Wikipedia website (http://en.Wikipedia.org): “Excuse me, but I’m
having doubts about your theories, Dr. Fraud.” There are, of course, a variety of other mistakes we commonly make when we talk.
We often forget names, words, the order of phrases and sayings, and these errors can carry over into reading and writing as well as
speaking. Of course, Freud believed that these mistakes are neither random nor just the result of forgetfulness. Rather, they
represent psychological processes leading to the expression of one’s real feelings and beliefs. An interesting example that often
comes to mind is a quote by former Vice-President of the United States Dan Quayle. The Honorable Mr. Quayle intended to quote
the slogan of the United Negro College Fund: A mind is a terrible thing to waste. Instead, he said “What a waste it is to lose one’s
mind.” Since “losing one’s mind” is slang for becoming mentally ill, it might be argued by some that the vice-president had
revealed a negative attitude toward minority groups. We should always be very careful, of course, to avoid analyzing situations
with only the bare minimum of information. Without the implication of the slang meaning of “losing one’s mind” and some alleged
unconscious intentions, Vice-President Quayle’s statement seems like nothing more than a simple mistake. Haven’t we all made
mistakes like this that were very embarrassing at the time? I don’t know if it’s good or bad, but Vice-President Quayle made a
variety of other infamous comments that can easily be found on the Internet, suggesting that his only issue was a penchant for
making mistakes in ordinary speech. However, people seem to find such mistakes quite interesting. An Internet search for
embarrassing quotes will locate a wide variety of examples like the one above, but they are not always attributed to the same
person. Some of the same embarrassing quotes have been attributed to whoever happens to be the current political target of the
person posting the webpage. So obviously a lot of people enjoy the embarrassment of others, but be careful about attributing any
quote you locate on a random webpage.
Of course, any time a famous person like Vice-President Quayle makes that big a mistake, the late-night comedians are all over it!
And that brings us to Wit and Its Relation to the Unconscious (Freud, 1905/1995). In this early book, Freud discussed jokes and
witticisms in great detail. He actually considered wit-work, the process of forming a joke or witty remark, as being essentially the
same thing as dream-work. Thus, the examination of how an individual uses humor on a daily basis might reveal a great deal about
their personality. The following is one of the jokes Freud included in his book for analysis. It takes a little thought, since it is in a
category that Freud referred to as sophistic faulty thinking (Freud described over 20 types of joke):
A gentleman entered a shop and ordered a fancy cake, which, however, he soon returned, asking for some liqueur in its stead. He
drank the liqueur, and was about to leave without paying for it. The shopkeeper held him back. “What do you want of me?” he
asked. “Please pay for the liqueur,” said the shopkeeper. “But I have given you the fancy cake for it.” “Yes, but you have not paid
for that either.” “Well, neither have I eaten it.” (pg. 634)
The next time you think of a really good joke or something really funny to say, or the next time you hear a joke that really makes
you laugh, take a minute or two to consider what that laughter might be saying about who you really are.

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3.S: A Final Note and Chapter Summary
A Final Note
An important aspect of Freud’s theory is his belief that development occurs in a series of predictable stages. This belief is not
common to all of the theories we will cover in this textbook. Furthermore, stage theories are likely to be influenced by cultural
relativism, the perspective that the significance of an idea or concept is determined by how it is valued within a given culture.
Noted psychologists who have offered such a developmental perspective include Vygotsky and Bronfenbrenner, and it has been
suggested that an approach incorporating cultural relativism may be of particular importance when studying the development of
African Americans and other minority groups (Belgrave & Allison, 2006; Howard-Hamilton & Frazier, 2005). For example, it has
been noted that religion is a very important aspect of African American, Hispanic American, and Asian American culture (Axelson,
1999; Belgrave & Allison, 2006; Taylor, Chatters, & Levin, 2004), and we have just examined how little Freud cared for religious
or spiritual matters. Other psychologists, however, gave significantly more consideration to cultural influences (e.g., Adler, Horney,
and the Stone Center Group). We will examine their contributions in later chapters.

Review of Key Points

The terms hysteria and neurosis are no longer recognized as technical terms. Hysteria would commonly be called a conversion
disorder today, and the neuroses refer to a variety of disorders.
Psychic determinism is the concept that all thoughts and behaviors have some basis in prior experience, nothing happens by
accident or chance.
Cathexis refers to the attachment of libido to some psychical phenomenon. Since libido is limited, experiencing numerous
traumatic events can leave a person with limited resources to cope with normal life.
Freud described three levels of consciousness: the unconscious, the preconscious, and the conscious minds.
The ego arises from the id, and acts according to the reality principle. It tries to balance the desires of the id with the constraints
of the superego and the real world.
When we are conscious of the ego being unable to restrain the impulses of the id we experience anxiety. The threat can be real,
or primarily psychological. Freud emphasized that psychological reality can be every bit as important actual reality.
There are four psychosexual stages, separated by a latency period. The oral, anal, and phallic stages occur during early
childhood. Following the latency period and puberty, the genital stage represents physically mature reproductive functioning.
The most dramatic development occurs during the phallic stage. It is in this stage that the Oedipus complex occurs, with its
potential for the castration complex or penis envy.
Freud’s perspective on the development of girls has been problematic since its inception. He considered the female psyche to be
the result of an incomplete and frustrated male development.
In analyzing dreams, Freud distinguished between the manifest and latent content. The difference results from distortion that
occurs during the dream-work.
The challenge faced by a psychoanalyst is the nature of the unconscious mind. It exists as layer upon layer with different
degrees of resistance. Only through patience can the psychoanalyst overcome this resistance and help the patient.
Freud acknowledged that religion had served a useful role in the history of humanity, but he firmly believed that there is no
God. He felt we have grown beyond the ignorance of our ancestors, and the observations of psychoanalysis could explain how
religion had arisen. He believed that the future of humanity was being hindered by clinging to these ancient and meaningless
beliefs.

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 CHAPTER OVERVIEW

4: Alfred Adler and Harry Stack Sullivan

4.1: Chapter Introduction
4.2: Brief Biography of Alfred Adler
4.3: Adler's Individual Psychology
4.4: Alderian Psychotherapy
4.5: A Brief Biography of Harry Stack Sullivan
4.6: Sullivan's Interpersonal Psychology
4.7: Personality Theory in Real Life
4.S: Chapter Summary

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1
4.1: Chapter Introduction
Alfred Adler was an early member and president of the Vienna Psychoanalytic Society, but he never
considered himself a follower of Sigmund Freud. He strongly disagreed with Freud’s emphasis on sexual
desire in the development of personality, focusing instead on children’s striving for superiority and the
importance of social relationships. He began to address the psychology of women as a cultural
phenomenon, as opposed to Freud’s view that women are fundamentally incapable of developing a
complete and healthy personality. Adler also addressed issues of education, an individual’s unique
perspective on the world, and family therapy. Adler provided a perspective in which the striving of
individuals to improve themselves is an essential characteristic of personality development. Most
importantly, he believed that personal improvement and success are best achieved in cooperation with
others, and that culture is an important factor in determining how that can be accomplished.
It has been suggested that Adler may have had an even greater influence on the overall development of
psychiatry and psychology than Freud himself, and that theorists such as Sullivan, as well as Karen
Horney and Erich Fromm, should be recognized as neo-Adlerians, not neo-Freudians (Ellis, 1973;
Kaufmann, 1992; Mosak, 1995; Watts, 1999). Indeed, a reviewer of one of Karen Horney’s books once
wrote that Horney had just written a new book by Adler (see Mosak, 1995). Albert Ellis suggested that
Adler set the stage for the cognitive/behavioral psychotherapies that are so popular today (Ellis, 1973).
Late in life, Adler encouraged the wife of a good friend to write his biography, and he gave Phyllis
Bottome, who was herself a friend of Adler, a great deal of assistance (Bottome, 1957). He wanted to be
understood. Perhaps, however, she came to understand him too well:
Adler was at once the easiest of men to know, and the most difficult; the frankest and the most subtle; the
most conciliatory - and the most ruthless. As a colleague he was a model of generosity, accuracy and
wholehearted integrity, but woe betide that colleague who dared to presume upon his generosity; or who
was himself guilty of inaccuracy; or who failed in common honesty!
Adler never again worked with a person whom he distrusted; except when that person was a patient. (pg.
13; Bottome, 1957)
Adler also had the ability to make an impression on people who did not know him. When Raymond
Corsini, a well-known psychologist in his own right, was 21 years old, he was invited by a friend to hear
Adler speak at the City College of New York. During the question period that followed the lecture, an
angry woman called Adler stupid, and berated one of the observations he had discussed. The young
Corsini shared Adler’s perspective, and Corsini looked forward to hearing Adler’s “crushing reply.”
However, something quite different occurred:
He seemed interested in the question, waited a moment, then in the most natural and careful manner,
completely unruffled by her evident antagonism, spoke to her very simply…
He seemed so calm, so reasonable, so precise, and so kind, I knew we were in the presence of a great
man, a humble and kind person, one who repaid hostility with friendship. (pg. 86; Corsini cited in
Manaster, et al., 1977)

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Harry Stack Sullivan extended Adler’s focus on the individual and social interest, believing that each of
us can be understood only within the context of our interpersonal relationships. Like Freud, Sullivan
focused intently on developmental stages, though he recognized seven of them, and believed that the
primary purpose of development was to form better interpersonal relationships. In regard to his interest
in relationships he can be closely associated with Adler, who believed that social interest, and its
resulting social interaction, was the best way for an individual to overcome either real inferiority (such as
in the case of a helpless newborn) or feelings of inferiority that might develop as part of one’s
personality. Unlike Freud and Adler, however, Sullivan was born in America. Thus, he should be
considered one of the most important figures in American psychology, particularly within the field of
psychodynamic theory.

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4.2: Brief Biography of Alfred Adler
Alfred Adler was born on February 7, 1870, on the outskirts of Vienna. The second of six children, the family was fairly typical of
the middle-class. His father was a corn-merchant, and did well in his business. While Adler while still quite young the family
moved out into the country, where they kept cows, horses, chickens, goats, rabbits, and they had a very large garden. Adler was
particularly fond of flowers when he was a toddler, and the move out of Vienna had the consequence of protecting him from his
bad habit of stealing flowers from the garden of the Palace of Schonbrunn, which belonged to the Kaiser! Despite the seemingly
idyllic setting, and the family’s financial comfort, Adler did not have a happy childhood. The two main reasons for this were his
sibling rivalry with his older brother and the unfortunate fact that he seemed to be surrounded by illness and death (Bottome, 1957;
Manaster, et al., 1977; Sperber, 1974).
His older brother seemed to be an ideal child, and Adler felt he could never match his brother’s accomplishments. Even late in life,
Adler told Phyllis Bottome with a sigh “My eldest brother…he was always ahead of me…he is still ahead of me!” (pg. 27;
Bottome, 1957). As for his younger brothers, however, one felt the same sort of jealousy of Adler himself, whereas the youngest
brother adored Adler. As for the illness and death, he suffered from rickets (a vitamin D deficiency) and spasms of his vocal cords,
both of which made physical activity very difficult during his early childhood years. He was often forced to sit on a bench while
watching his older brother run and jump. As he recovered, he joined his brother and the other local children in playing in a large
field. Despite the fact that there were very few vehicles at the time, and those that were there moved very slowly, Adler was run
over twice! Fortunately, he was not injured seriously. One of his younger brothers, however, had died suddenly when Adler was 4,
an event that deeply affected him. And when Adler was 5, he came down with a serious case of pneumonia. After he had been
examined by the doctor, Adler heard the doctor tell his father that there was no point in caring for Adler any more, as there was no
hope for his survival. Adler was stricken with terror, and when he recovered he resolved to become a doctor so that he might have a
better defense against death (Bottome, 1957; Manaster, et al., 1977; Sperber, 1974).
On the lighter side, most of the family was musically gifted. One of his brothers played and taught the violin, and one of his sisters
was an excellent pianist. Despite the throat problems Adler had in early childhood, he developed a beautiful tenor voice. He was
often encouraged to set aside his interest in science and pursue a career as an opera singer. Adler’s parents encouraged the musical
interests of their children, and took advantage of the marvelous musical culture available in Vienna at the time. Adler attended
every opera and play that was running, and even by the age of 4 years old could sing entire operettas (Bottome, 1957; Manaster, et
al., 1977; Sperber, 1974).
Although Adler spent a great deal of time reading, he was not a particularly good student. His worst subject was math, until he
finally had a breakthrough one day. When the instructor and the best student in class failed to solve a problem, Adler raised his
hand. Everyone in the room, including the instructor, laughed out loud at him. However, he was able to solve the problem. After
that, he did quite well in math, and overall he did well enough to enter the University of Vienna. He studied medicine, as he had
planned since being a young child, and graduated in 1895. Almost nothing is known of his time spent at the University of Vienna.
Afterward, he briefly practiced ophthalmology, but then switched to general practice, a field in which he was very popular amongst
his patients. He also became active in socialist politics, where he met his future wife: Raissa Timofeyewna Epstein (Bottome, 1957;
Manaster, et al., 1977; Sperber, 1974).
Raissa and Alfred Adler had three daughters and one son between the years 1898 and 1909. The family lived rather simply, but
they always had enough to meet their needs. Their daughter Alexandra and son Kurt both became psychiatrists. Alexandra Adler
described her relationship with her father as close and positive, and she considered it a privilege to follow in his footsteps, whereas
Kurt Adler said that everyone in the family felt respected as an individual and that no one had to search for their identity (see
Manaster, et al., 1977).
In his general practice, Adler began to see psychiatric patients. The first was a distant cousin who complained of headaches. Adler
suggested that no one ever has only a headache, and asked if her marriage was happy. She was deeply offended, and left in a huff,
but 2 months later she filed for divorce. As he saw more psychiatric patients, Adler treated each case as unique, and followed
whatever therapy seemed most appropriate for the particular patient. This was the beginning, of course, of Individual Psychology.
Adler was so popular in this regard that his biographer had the following experience herself when leaving a message for Adler:
‘Are you sure’, she asked the clerk at the desk, ‘that Professor Adler will get this message directly he comes in?’ [sic] ‘Adler?’ the
clerk replied. ‘If it’s for him you needn’t worry. He always gets all his messages. You can hardly keep the bell-boys or the porter
out of his room. They’ll take any excuse to talk to him, and as far as that goes, I’m not much better myself!’ (pg. 54; Bottome,
1957)

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In 1900, Sigmund Freud gave a lecture to the Vienna Medical Association on his recently published book The Interpretation of
Dreams (Freud, 1900/1995). The audience was openly hostile, and Freud was ridiculed. Adler was appalled, and he said so
publicly, writing to a medical journal that Freud’s theories should be given the consideration they deserved. Freud was deeply
flattered, he sent his thanks to Adler, and the two men met. In 1902, Adler was one of four doctors asked to meet weekly at Freud’s
home to discuss work, philosophies, and the problem of neurosis. These meeting evolved into the Psychoanalytic Society. Adler
and Freud maintained their cooperative relationship for eight years, and in 1910 Adler became the president of the International
Psychoanalytic Association and co-editor of the newly established Zentrallblatt fur Psychoanalyse (with Freud as Editor-in-chief).
During the preceding 8 years, however, the differences between Freud and Adler had become increasingly apparent. By 1911 he
had resigned from the both the association and the journal’s editorial board. Although Freud had threatened to resign from the
journal if Adler’s name was not removed, leading to Adler’s own decision to resign from the journal, Freud urged Adler to
reconsider leaving the discussion group. He invited Adler to dinner to discuss a resolution, but none was to be found. Adler is said
to have asked Freud: “Why should I always do my work under your shadow?” (pg. 76; Bottome, 1957). The Psychoanalytic
Society debated whether or not Adler’s views were acceptable amongst the members of the society. The no votes counted fourteen,
and the yes votes counted nine. Freud’s supporters had won a small majority, and the nine other members left to join Adler in
forming a new society, which in 1912 became the Society for Individual Psychology (Bottome, 1957; Manaster, et al., 1977;
Sperber, 1974).
During the years in which Adler was still active in the Psychoanalytic Society he had begun his studies on organ inferiority and the
inferiority complex, and after the split with Freud he focused his career on psychiatry (giving up his general medical practice).
During World War I he served in the Army as a physician, and he continued his observations on psychiatric conditions as he helped
injured servicemen. Following the war the Austrian Republic began to emphasize education and school reform. Adler established
his first child guidance center in 1922, and by the late 1920s there were thirty-two clinics in Vienna alone (as well as some in
Germany). The clinics were intended to help train teachers to work with special needs children, but Adler felt it was important to
help the children themselves as well. In 1930, Adler brought together a number of his colleagues, including his daughter
Alexandra, and published Guiding the Child: On the Principles of Individual Psychology. This volume contains twenty-one
chapters on the work being conducted in the Vienna child guidance clinics (including one chapter by Adler, and two by his
daughter; Adler, 1930a). In addition, Adler taught at an adult education center and at a teacher training college. Adler continued to
be so popular that after a long day of work he would settle in at the Cafe Siller and carry on friendly conversations until late at
night.
In 1926, Adler made his first visit to America. Becoming a regular visitor, he lectured at Harvard and Brown Universities, in
Chicago, Cincinnati, Milwaukee, and several schools in California. In 1929, he was appointed a visiting professor at Columbia
University, and in 1932 he was appointed as the first chair of Medical Psychology in the United States, at Long Island Medical
College. All of his child guidance clinics were closed when the fascists overthrew the Austrian Republic in 1934, and Alfred and
Raissa Adler made New York their official home. In the spring of 1937 he began a tour of Europe, giving lectures and holding
meetings. As he traveled to Aberdeen, Scotland on May 28th, he collapsed from a heart attack and died before he reached the
hospital.
One of the enduring questions about Adler’s career was the nature of his relationship with Freud. As mentioned above, it was the
very popular Adler who defended Freud’s early theories, and helped Freud to gain recognition in psychiatry (remember that Freud
was well known as an anatomist and neurophysiologist). And yet, it is often suggested that Adler was a student or disciple of
Freud. According to Abraham Maslow, Adler was deeply offended by these suggestions:
I asked some question that implied his disciplineship under Freud. He became very angry and flushed, and talked so loudly that
other people’s attention was attracted. He said that this was a lie and a swindle for which he blamed Freud entirely. He said that he
had never been a student of Freud, or a disciple, or a follower…Freud, according to Adler, spread the version of the break which
has since been accepted by all - namely, that Adler had been a disciple of Freud and then had broken away from him. It was this
that made Adler bitter…I never heard him express personal opinions of Freud at any other time. This outburst must, therefore, be
considered unusual. (pg. 93; Maslow cited in Manaster, et al., 1977; see also Kaufmann, 1992)

Placing Adler in Context: Perhaps the Most Influential Person in the History of Psychology and
Psychotherapy
To suggest that anyone may have been more influential than Freud, let alone a contemporary of Freud, is difficult to say. And yet, if
we look honestly at the accomplishments of Alfred Adler, and the breadth of his areas of interest, we will see that the case can be
made. When Freud first proposed his psychodynamic theory, with its emphasis on infantile sexuality, Freud was often mocked, or

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simply ignored. It was the popular Dr. Adler’s defense of Freud, and Adler’s favorable review of the interesting nature of Freud’s
theories, that helped Freud find an interested audience. As supportive as Adler was, he had his own theories from the very
beginning of their association, and Adler’s Individual Psychology has a certain logical appeal, without the corresponding
controversy generated by Freud.
Infants are inferior, and we all try to gain control over our environments. Thus, the basic inferiority/striving for superiority concept
seems self-evident. Likewise, the inferiority complex is one of the most widely recognized and intuitively understood concepts in
the history of psychology. Suggesting that each person adopts a style of life that helps them to pursue their goals also again makes
perfect sense, and the suggestion that we have within us a creative power to form our style of life is a decidedly hopeful perspective
on the human condition.
Adler’s influence within the psychodynamic field has been widely recognized, if not adequately advertised. When he split with
Freud, nearly half of the psychoanalytic society left with him. His emphasis on social interactions and culture provided a
framework within which theorists such as Karen Horney and Erich Fromm flourished. Adler’s emphasis on child guidance, and
including school teachers as being just as important as parents, must have had an important influence on Anna Freud (though she
would never have admitted it). Within the child guidance centers, Adler was one of the first (if not the first) to utilize family
therapy and group psychotherapy, as well as school psychology. It was within such an environment, influenced also by Maria
Montessori, that Erik Erikson evolved into the analyst and theorist he became.
Adler’s influence also extended well beyond the psychodynamic realm. His scheme of apperception set the stage for the cognitive
psychology and therapies that are so popular (and effective) today. He is recognized by many as the founder of humanistic
psychology, though it was Rogers, Maslow, and the existentialists Viktor Frankl (Frankl worked closely with Adler for a time) and
Rollo May who clearly split from psychodynamic theory into new schools of psychology.
Given this extraordinary influence, it is surprising that Adler is not widely recognized as belonging amongst the greatest theorists
and clinical innovators in the history of psychology and psychiatry. The honor is certainly well deserved.

This page titled 4.2: Brief Biography of Alfred Adler is shared under a CC BY 4.0 license and was authored, remixed, and/or curated by Mark D.
Kelland (OpenStax CNX) via source content that was edited to the style and standards of the LibreTexts platform; a detailed edit history is
available upon request.

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4.3: Adler's Individual Psychology
Adler developed the concept of Individual Psychology out of his observation that psychologists were beginning to ignore what he
called the unity of the individual:
A survey of the views and theories of most psychologists indicates a peculiar limitation both in the nature of their field of
investigation and in their methods of inquiry. They act as if experience and knowledge of mankind were, with conscious intent, to
be excluded from our investigations and all value and importance denied to artistic and creative vision as well as to intuition itself.
(pg. 1; Adler, 1914/1963)
To summarize Individual Psychology briefly, children begin life with feelings of inferiority toward their parents, as well as toward
the whole world. The child’s life becomes an ongoing effort to overcome this inferiority, and the child is continuously restless. As
the child seeks superiority it creatively forms goals, even if the ultimate goal is a fictional representation of achieving superiority.
Indeed, Adler believed that it is impossible to think, feel, will, or act without the perception of some goal, and that every
psychological phenomenon can only be understood if it is regarded as preparation for some goal. Thus, the person’s entire life
becomes centered on a given plan for attaining the final goal (whatever that may be). Such a perspective must be uniquely
individual, since each person’s particular childhood feelings of inferiority, creative style of life, and ultimate goals would be unique
to their own experiences (Adler, 1914/1963).
The suggestion that seeking to overcome one’s inferiorities is the driving force underlying personality development is, of course, a
significant departure from Freud’s suggestion that development revolves around seeking psychosexual gratification. Another
important difference is that Adler did not distinguish between the conscious and unconscious minds as Freud had:
The use of the terms “consciousness” and “unconsciousness” to designate distinctive factors is incorrect in the practice of
Individual Psychology. Consciousness and unconsciousness move together in the same direction and are not contradictions, as is so
often believed. What is more, there is no definite line of demarcation between them. It is merely a question of discovering the
purpose of their joint movement. (pg. 56; Adler, 1929a)

Inferiority and Compensation

In 1907, Adler published his classic Study of Organ Inferiority and Its Psychical Compensation, which was translated into English
10 years later (Adler, 1917). This was primarily a medical article on the consequences of organ inferiority, in which Adler looked
at how the nervous system helped the body to adapt to physical infirmities that resulted from, literally, inferior organ development.
For example, it is often suggested that people who are blind develop better hearing. However, social psychologists have
demonstrated that the social environment can profoundly affect our sensitivity to external stimuli. The reason for this is probably
just what Adler described as the primary means through which the brain can compensate for any deficiency: by bringing attention
to the processes necessary for compensation. Thus, if a person has difficulty seeing, they pay more careful attention to hearing, as
well as to the other senses. However, this is not a perfect system, and it can also lead to over-compensation. As a result, a wide
variety of physical symptoms can result from the psyche’s efforts (including unconscious efforts) to compensate for some problem.
As noted by Freud, hysterical symptoms are typically manifested as physical problems. According to Adler, underlying these
physical symptoms, even when they are caused solely by the psyche, there must be some organ inferiority within the body (Adler,
1917).
Adler did not limit his theory of organ inferiority to medical problems or neurotic symptoms, but rather, he expanded the theory to
incorporate all aspects of life. Compensation refers to the typical manner in which a person seeks to overcome challenges. For
example, if one breaks their arm, they learn to function with a cast, or if one loses their eyesight, they learn to use a cane or work
with a seeing-eye dog (Dreikurs, 1950; Mosak & Maniacci, 1999). If we examine compensation in a more psychosocial realm,
examples might include a college student who cannot find a suitable boyfriend or girlfriend so they focus on becoming a straight A
student, a student who does not do well academically focuses their efforts on becoming a star athlete, or an only child who wished
to have brothers and sisters has many children of their own (Lundin, 1989). In such instances, compensation leads to balance in
one’s life. A weakness, or at least a perceived weakness, is compensated for in other ways (Manaster & Corsini,
1982).Overcompensation involves taking compensation to extremes. For example, a person born with a bad foot strives to become
a professional dancer, or a person born in poverty strives to become a millionaire and then continues to work 80 hours a week or
more striving to become a billionaire. Generally speaking, the mechanisms of personality inferiority are more complex than those
of organ inferiority. Likewise, compensation and overcompensation are more complex when they pertain to one’s personality than
when they involve physical challenges (Manaster & Corsini, 1982).

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When a person finds it difficult to overcome their challenges in life, they can develop what Adler called an inferiority
complex(Adler, 1928, 1929a, 1931a). Although feelings of inferiority are universal, as is the striving for superiority, people are not
created equal. We all have different strengths and weaknesses. However, when an individual cannot compensate for their
weaknesses, and their feelings of inferiority overwhelm them, the inferiority complex arises. According to Adler, the term complex
is not really accurate, because the so-called inferiority complex is complicated, and it permeates the entire personality. And yet, it
may not always be obvious. An individual with an inferiority complex may feel comfortable in situations in which they have
enough experience to feel self-assured, although they may create those situations by avoiding competition that might expose their
weaknesses (Adler, 1929a). The inferiority complex will show itself, however, in tense or difficult situations, and often takes the
form of excuses as to why the individual can’t pursue a certain course of action. For psychologists, according to Adler, the presence
of an inferiority complex can typically be recognized by contradictions, by certain emotions such as doubt, and by generally
hesitant behavior. The proper treatment, therefore, is to encourage people, never to discourage them, and to help them understand
that they are capable of solving problems and facing the difficulties of life (Adler, 1929a).
When the intense feelings of inferiority associated with the inferiority complex become too much to bear, they can be transformed
into a unique delusion that Adler described as the superiority complex (Adler, 1928, 1929a, 1931a). The superiority complex
should not be viewed as an extension of the normal process of striving for superiority. The superiority complex arises out of the
inferiority complex, and is actually an extension of the intense feelings of inferiority. Interestingly, such people typically do not
present themselves as superior individuals, instead they may be arrogant, snooty, domineering, or they may cling to prominent and
important people. In contrast, people who truly are superior often have a sense of modesty (Lundin, 1989; Mosak & Maniacci,
1999). The complexity of the superiority complex, and its origin in feelings of inferiority and the continued striving for superiority
that is universal can be seen not only in neurotic symptoms and other forms of mental illness, but also in criminal behavior:
We see children who start stealing suffering from the feeling of superiority. They believe they are deceiving others; that others do
not know they are stealing. Thus they are richer with little effort. This same feeling is very pronounced among criminals who have
the idea that they are superior heroes…he wants to arrange matters so that he escapes the solution of the problems of life.
Criminality is thus, the result of a superiority complex and not the expression of fundamental and original viciousness. (pp. 80-81;
Adler, 1929a)
Discussion Question: Adler believed that we all begin life with feelings of inferiority and then strive for superiority. What sort of
things have you tried to be really good at in life? Can you remember times when you felt inferior trying to accomplish those same
goals?

The Style of Life and the Life Plan

According to Adler, everyone faces difficulties in life, and they strive to overcome those difficulties. As each individual faces their
unique difficulties, and strives to compensate in their own characteristic ways, given the environment (or culture) in which they
live, the individual develops a sense of meaning for their life and they set a goal for their strivings. Initially Adler referred to the
consistent movement toward this overriding goal as a life plan, but that term proved to be somewhat confusing. So, Adler chose
instead to refer to the pursuit of one’s goal as the style of life. The style of life unifies the personality, as it is based on one’s early
life experiences. However, Individual Psychology looks not to the past, but rather to the future. If we know a person’s style of life,
we can predict their future actions (Adler, 1929a, 1931a).
It is not always easy to recognize the style of life, however, particularly in a psychologically healthy person or during times of
relative calm. It is when a person faces a new situation, or a new difficulty, that the style of life becomes clear to others. For the
normal person, the style of life is a framework within which the person is adapted to their society in such a way that the society
benefits from the work of the person and the person themselves has the energy and courage to face any problems and difficulties
that arise (Adler, 1929a). The style of life encompasses our individual creativity, the ways in which we solve problems and
compensate for inferiorities, our attitudes, opinions, and goals. It unifies and expresses our personality, provides consistency for
how we live our life, and helps us to find our place in the world (Adler, 1931a; Dreikurs, 1950; Lundin, 1989; Mosak & Maniacci,
1999).
The style of life is established fairly early in childhood, which can be a serious problem when it proves to be a dysfunctional style
of life. The inferiority complex is, of course, one faulty style of life. When an inferiority complex arises out of an actual organ
inferiority it can be particularly troublesome. Robert Lundin (1989) described the case of a senior student he knew in college who
was only 5’ 3” tall (very short for a man, though this would really only be a perceived inferiority). He was extremely arrogant and
hostile toward younger students, claiming to be intellectually superior in every regard. He even offered to be Lundin’s roommate,

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since Lundin obviously needed his help to improve Lundin’s deficient personality! Lundin declined the offer. Adler noted that
organ inferiority is not always a negative situation, and given the advances in prosthetic devices that exist today, it is even truer
now that organ inferiority does not necessarily diminish one’s quality of life. However, Adler emphasized that what matters most is
how the individual experiences the weakness of their organ inferiority. Some try to avoid or deny the problem, others constantly
“wrestle and struggle” with their difficulties. In the end, it comes down to the creative power of the individual to adapt (see below;
Adler, 1932a/1964).
In addition to the style of life of that can result from organ inferiority (or perceived organ inferiority), Adler discussed two other
factors that commonly lead to dysfunctional styles of life, and which can be attributed primarily to parental influence: pampering
and neglect. The pampered style of life was of particular concern to Adler. He was not referring to children who are loved and
cared for intimately, but to children whose parents constantly hover over them, solve every problem, and relieve the child of any
duties or responsibilities. As a result, the child never learns to take care of itself or to interact with others in a cooperative manner.
The more deeply I have delved into the problem of neurosis and searched the cases presented, the more clearly have I come to see
that in every individual with a neurosis some degree of pampering can be traced...Under such circumstances the child develops like
a parasite… (pp. 88-89; Adler, 1932a/1964)
Extending this idea, Adler wrote that whether one is dealing with “difficult children, nervous or insane persons, suicides,
delinquents, drug-addicts, or perverts, etc.” there is a lack of social feeling (Adler, 1964). In other words, they simply do not
function well in relationship to others because they have never had to. As for the neglected child, one who is unwanted, they have
had no opportunity for social interaction whatsoever, since their own family fails to interact with them. In cases of suicide, Adler
believed that even death can be desired as a means of revenge against those who have hurt or neglected a child by showing others
what they have lost in the one they failed to love (Adler, 1967). Since feelings of neglect are relative, pampered children often find
themselves in situations, later in life, where they feel neglected, since they may no longer receive the pampering to which they have
become accustomed (Adler, 1932a/1964).
Discussion Question: How would you describe your style of life? Adler believed that dysfunctional styles of life often result from
either pampering or neglect. Do you know anyone whose style of life clearly reflects how they were raised? Are they someone you
like to spend time with, or someone you would rather avoid?

Social Interest and Cooperation

Adler believed that the right way to achieve superiority was through social interest and the cooperation that naturally follows.
This is not some high-minded philosophy, however, but simple reality. According to Adler, “we are in the midst of the stream of
evolution.” As such, the human species as a whole has sought superiority, just as each individual seeks their own personal
superiority (Adler, 1964). The individual’s weakness causes them to seek support from others, by living within a society:
All persons feel inadequate in certain situations. They feel overwhelmed by the difficulties of life and are incapable of meeting
them single-handed. Hence one of the strongest tendencies in man has been to form groups in order that he may live as a member
of a society and not as an isolated individual. This social life has without doubt been a great help to him in overcoming his feeling
of inadequacy and inferiority. We know that this is the case with animals, where the weaker species always live in groups…On the
other hand, gorillas, lions, and tigers can live isolated because nature has given them the means of self-protection. A human being
has not their great strength, their claws, nor their teeth, and so cannot live apart. Thus we find that the beginning of social life lies
in the weakness of the individual. (pp. 60-61; Adler, 1929a)
This evolutionary perspective provides an explanation for the paradox that Individual Psychology is focused largely on social
relationships! Once again, we know (though perhaps unconsciously) that alone we are weak and inferior, but together we can
accomplish great things. Adler’s hopeful vision for the future is that someday humanity’s social feeling will overcome everything
that opposes it, and people will live in harmony. In the meantime, however, he acknowledges that many things still oppose it, and
work to destroy the social feelings and social interest of children: sexism, racism, poverty, crime, the death penalty, suicide, greed,
mistreatment of the poor, the handicapped, and the elderly, and all forms prejudice, discrimination, and intolerance (Adler, 1964). It
is not an easy challenge facing humanity, but Adler suggested that the path toward harmony lies, in part, in recognizing the three
main ties that every person must take into account. First, we are tied to this one world, the earth. We must learn how to survive
here, given whatever advantages and disadvantages that means. Second, we are not the only member of the human race. Through
cooperation and association we can find strength for all, and we can ensure the future of humanity. Finally, we must accept that
there are two sexes. For Adler, this last tie is resolved primarily through love and marriage. While this may sound like a product of
Adler’s cultural upbringing, it also implies caring for and respecting members of the other sex. Otherwise, love is a word used

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without meaning. Adler proposed that if we give meaning to life through the recognition of these three ties to our environment,
then others can share in our meaning of life, and the benefit will then return to us (Adler, 1931a).
Older and younger boy playfully practicing karate

Figure 4.3.1 : Children often cooperate without any need for encouragement, especially when one of them has a skill that another
lacks.
In more practical terms, social interest is evident in cooperation. In order for an individual to overcome their own feelings of
inferiority they must know that they are valuable, which comes only from contributing to the common welfare. Adler felt that those
who seek personal power are pursuing a false goal, and they will eventually disappear from life altogether. However, by
contributing to family and society, either through raising children or contributing to the success of one’s culture or society, one can
claim a sense of immortality. Individual psychology is based on the premise that when a person realizes that the common good is
essential to the development of humanity, then they will pursue personal development that is in accord with the greater good. They
will recognize both the good and challenges that come their way as belonging to all, and they will cooperate in seeking to solve the
challenges. They will not ask for anything in return, since they recognize that whatever they do to benefit others is ultimately to
their own benefit as well (Adler, 1933/1964). This perspective is surprisingly close to Eastern philosophies and the concepts of
interbeing and karma, though Adler’s religious references are primarily Christian (though born Jewish, Adler later became a
Christian).
In American society, work is often done by teams. The short definition of a team is two or more individuals, with different roles,
who socially interact in order to pursue some common goal. Teams can lead to successful outcomes in a wide variety of settings,
such as in software development, Olympic hockey, disease outbreak responses, or the unexpected damage to a spacecraft like
Apollo 13 (for two excellent and entertaining movies on teamwork, see Miracle [O’Connor & Guggenheim, 2004] and Apollo 13
[Howard, Broyles, Jr., & Reinert, 1995]). However, teams can also lead to group failures, such as the international intelligence
failures leading up to the 9/11 terrorist attack on the World Trade Center, the Space Shuttle Columbia accident, or the widely
reported, storm-related deaths on Mt. Everest in 1997 (Kozlowski & Ilgen, 2006; Marks, 2006; for more on Mt. Everest see
Boukreev & DeWalt, 1997; Krakauer, 1997). Given the importance of teamwork, both in personal settings and within
organizations, there has been a great deal of research on teams, addressing cognitive, motivational, and behavioral factors, as well
as information on effective team design, team training, and team leadership. Despite the wealth of information on both the positive
and negative factors involved in teamwork, there is an interesting contradiction in the Western world:
…We school our children as individuals. We hire, train, and reward employees as individuals. And, yet, we have great faith that
individuals thrown together into a team with little thought devoted to team composition, training and development, and leadership
will be effective and successful. (pg. 115; Kozlowski & Ilgen, 2006)
Discussion Question: Working in teams can turn out good or bad, depending on dynamics of the team and the individuals
involved. Are you actively involved in any teamwork? Does your team work well together, or do the dynamics of the team cause
problems and interfere with accomplishing your goals?

The Life Tasks - Work, Communal Life, and Love

Based on the three ties described above, our ties to earth, humanity, and the opposite sex, Adler described three life tasks: work,
communal life, and love. Work relates to the earth in an evolutionary sense, dating back to when our ancient ancestors were
hunter/gatherers dependent on the environment for food and shelter. According to Adler, all of the questions of life can be found
within these three tasks, which challenge us continuously throughout our lives. They tasks are not unrelated, since each one
depends upon the successful pursuit of the other two. Given this interrelationship, Adler believed that how a person approaches
each of these tasks, through their style of life, reveals a great deal about what they view as the meaning of life. It is necessary, of
course, for there to be balance. For example, a person in an unhappy marriage might spend a great deal of time at work. This
represents a mistaken style of life (Adler, 1931a, 1964). Worse still, is someone who fails to pursue any of the life tasks:
Suppose, for example, we consider a man whose love-life is incomplete, who makes no efforts in his profession, who has few
friends and who finds contact with his fellows painful. From the limits and restrictions of his life we may conclude that he feels
being alive as a difficult and dangerous thing, offering few opportunities and many defeats. (pg. 7; Adler, 1931a)
The importance of the work task is to be found in the fact that we must do something with our time. As people began to cooperate,
they were able to divide their labors. Some would hunt, some would farm, some became craftsmen, some raised the young, and
eventually others served in the armies that protected all the rest. In this manner, each person served a valuable role within society
(even if the role was not prestigious), and everyone benefited from the ability of each person to become more of an expert in their

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role. Of course, this sort of social cooperation is the second task of life, the communal life or, as it is sometimes referred to, having
friends. Working with others for the common good can be quite difficult if people are doing so only for their own benefit, and it
they distrust or fear those they seem to be cooperating with. As societies became more advanced, and education became an
important part of society, most societies encourage social interest as an aspect of education. In America, for example, we talk about
children learning to be good citizens, and schools include many civics lessons. In addition, societies establish not only formal and
informal guidelines and norms for acceptable behavior, but actual laws are written to punish those who act in defiance of the
common good. Not that this is easy! The first amendment to the American constitution guarantees free speech, which includes the
right to challenge the very existence of our form of government. However, it is generally recognized that the greater good is served
by protecting the people from possible abuses of power by the government. Without getting into a discussion of politics, this
balance, which seeks to serve the best interests of the community of citizens, has resulted in one of the longest lasting governments
in the world today.
When Adler referred to the third task of life, love, he was primarily talking about choosing a partner to bear and raise children.
When a child is first born, the love of its mother is the basis for the child’s development of social feelings. If a child is neglected,
they do not learn how to relate to others, or if they are spoiled, they do not need to relate to others. An early challenge for the child
is found in the nature of the father, and then any siblings who may be a part of the family. They typically do not approach the child
with the same tender love as the mother. If the mother protects the child from this, spoiling and coddling the infant, a disordered
style of life develops, but if the mother leaves the child to face this new challenge on its own, they must rely on their creative
powers to adapt to these different social relationships. Children readily have this capacity, if they are allowed to utilize it. Later in
life, each person must choose a mate in order to have their own children, and their ability to adapt to relationships with love
interests will, obviously, depend on their own development earlier in life. Active, friendly members of a community will have more
opportunities to meet someone they are truly attracted to. Individuals who are successful and productive in their work will be better
able to provide for a family. And of course, the ultimate existence of each member of the community depends on continued
procreation of the species. Thus, work, communal life, and love come together within a healthy society for everyone’s benefit
(Adler, 1931a, 1964; Lundin, 1989; Mosak & Maniacci, 1999).

 connections across cultures: Randy Kearse and using prison as an opportunity for change

One of the challenges to social cooperation is the ability to communicate. Communication takes place
in at least two important ways: language and shared experiences/goals. If we cannot understand what
a person is saying, then communication is obviously difficult. But even if we speak the same
language, if our entire perspective on life is different, particularly the direction in which we are
headed (our style of life), it can be even more difficult to really communicate. Randy Kearse is a man
who has lived outside of what many of us consider mainstream America. He grew up in a Brooklyn,
NY ghetto, where he became well versed in street talk, or what he refers to as hip-hop and urban
slanguage (Kearse, 2006a). Despite coming from a relatively stable family (his mother was a teacher
and all of his brothers and his sister graduated from high school), he descended into a life of drugs
and crime, eventually spending over 13 years in a federal prison for dealing illegal drugs. This
introduced Kearse to a large, and growing, subculture in America: the prison population. Kearse
learned one lesson very clearly in prison: he hated it! He hated people having such power over him,
he hated the disrespect his mother had to endure when she visited him, he hated the food, he hated
having the guards read his mail, etc., ad infinitum.
With so many reasons to hate prison, there was no way I was gonna put myself back in the same
situation again. Brothers complain about being locked up everyday all day while they’re there, but
when they get a chance to run the streets again their hatred for prison life fades away. That’s crazy!
(pg. 132; Kearse, 2006b)

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But how does one stay out of prison? In Changin’ Your Game Plan! (Kearse, 2006b), Kearse offers
some very practical steps. But more importantly, he discusses why it matters, and how one needs to
change their mindset in order to be successful. His advice fits well with Adler’s emphasis on social
interest and cooperation, as well as with Adler’s three life tasks. As Kearse says, what good is street
pride when you don’t have the respect of your mother, your children, and other people who know
what you’re capable of accomplishing?
Kearse believes that everyone has a purpose in life. Even prisoners serving life sentences can preach
to others about straightening out their lives so the ones who do get out of prison can stay out. For his
own part, Kearse is trying to set a good example now that he is out. He talks about the misguided
sense of pride that keeps people from working minimum wage jobs when they come home. Most
people in prison do not want their children to live such a life, but can they really set the right example
when they themselves get out of prison? One of the most important things to realize is that their style
of life has helped to create the problems that exist in their community:
We have a real obligation to make these changes while incarcerated because a lot of us are to blame
for the condition our neighborhoods are in today. We were major contributors to the chaos, mayhem
and destruction that have plagued our communities…The saddest thing you can see while
incarcerated, is a youngster young enough to be your son walk through the doors. (pg. 133; Kearse,
2006b)
In order to help their communities and their families, Kearse emphasizes that individuals returning
home from prison need to get a job and work for an honest living. Kearse tells New Yorkers exactly
where to go and how to go about getting ID and a social security card. He recommends getting a job
as a messenger, especially if you have a driver’s license and can afford to buy a van (or if you save up
the money to buy a van). For most of us, having these things is simply taken for granted, but not so
for many poor people growing up in the city where such things may not be necessary (especially if
one works illegally). One of the advantages of having a messenger/delivery job is that one gets to
travel around, meet different people, and become aware of different opportunities. This proved very
helpful to Kearse as he pursued his dream of publishing Street Talk: Da Official Guide to Hip-Hop &
Urban Slanguage(Kearse, 2006a). Curiously, the book is not complete. In acceptance of his
publisher’s concerns (representing the community), the commercially available version left out the
most derogatory slang pertaining to women, race, sexual preference, ethnicity, and religion. Kearse
later published a supplemental version (“Da Grimy Version”) through a private site. As Kearse
became more experienced, he established his own publishing company for his second book, Changin’
Your Game Plan!, and he is now working on an autobiography. Randy Kearse is working hard to
make a better life for himself, set an example for his community, and to honor the mother who raised
him to have ambition and dreams. His mother still loved Kearse when he was sent to prison, but her
patience was limited:
Once I received my sentence my mother told me straight up, “I’ll ride this time out with you, but if
you get back out here and get caught up in them streets again don’t call me,” and I can’t blame her for

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 that. How much can a mother take seeing her child going back and forth to prison? (pg. 33; Kearse,
2006b)
It would be very difficult for most of us to imagine what prison life and culture is like, or even what it
would be like to get caught up in the judicial system. But for people who live in difficult
circumstances, it can be just as difficult to avoid getting caught up in a style of life that promises
instant gratification, but which costs a lot of money. People who try to take shortcuts, such as stealing
what they want, or selling drugs to make a lot of money, end up with little to show for their life
except “a gang of years in prison.” Escaping this style of life requires a plan, and even more so the
motivation for making that plan work:
Coming out of prison you have to have a plan. If you don’t, the chance of you returning to prison is
great and you and I both know these people aren’t playing. They’ll lock your ass up for a hun’ned
years and not care…Shit is real. (pg. xxiii; Kearse, 2006b)

The Creative Power of the Individual and Fictional Finalism

The science of Individual Psychology developed out of the effort to understand that mysterious creative power of life - that power
which expresses itself in the desire to develop, to strive and to achieve - and even to compensate for defeats in one direction by
striving for success in another. (pg. 32; Adler, 1929a)
Adler believed that we are all born with a creative force: the creative power of the individual. He did not reject the concepts of
heredity, temperament, or disposition, but he emphasized that it not so important what we are born with, but rather what we do with
it (Adler, 1932a/1964). As noted above, infants are inferior, so everyone begins life with feelings of inferiority. This leads to the
striving for superiority, and the development of a style of life, which is aimed toward some goal. The nature of that style of life is
unique because it is created by the child, and it is done very early in life. This is not a deterministic perspective, this creation of the
style of life is just that, creative, and therefore it must be unique (hence, Individual Psychology). Since Adler believed that all
thought and behavior was oriented toward some goal, there must be some goal that underlies the manner in which the style of life is
created. Since a child cannot see into the future and create a specific goal in life, Adler proposed that we are guided by a fictional
goal, the so-called fictional finalism (Adler, 1914/1963, 1928, 1929a, 1932a/1964; Lundin, 1989; Manaster & Corsini, 1982).
The fictional final goal involves the sentiment of superiority, or at least the elevation of the personality to an extent that makes life
seem worth living (Adler, 1928). Thus, it does not need to be precisely defined, which is important for our consideration that it is
created by a young child. And yet it exists within the child’s mind, it provides the framework within which the style of life is
creatively formed, and it serves as the child’s goal in life (though it remains primarily unconscious). It is also important to
recognize that although this goal is fictional, it is entirely positive, it is a healthy and natural motivational force (Lundin, 1989).
The fictional finalism should definitely not be mistaken for fictive superiority. Fictive superiority is the imagination, or false
belief, that one is actually superior. It is a typical neurotic symptom that stems, primarily, from having been pampered. A pampered
child is superior, at least in the sense that everything is done for them. However, adult life no longer sustains that delusion, yet the
child has never learned how to adapt to life’s challenges, their style of life is set in the expectation of challenges being solved for
them. A healthy child, on the other hand, has learned to face challenges, and to strive toward overcoming them. Thus, the healthy
child develops a style of life that incorporates the process of facing and overcoming life’s obstacles, and this carries over into a
healthy adulthood (Adler, 1932b/1964).
Within his discussion of the creative power of the individual and the fictional finalism, Adler began to address what can be viewed
as the foundation for cognitive psychology and cognitive therapy (see Chapter 12):
In a word, I am convinced that a person’s behaviour springs from his idea. We should not be surprised at this, because our senses
do not receive actual facts, but merely a subjective image of them - a reflection of the external world. (pg. 19; Adler, 1964)
According to Adler, the prototype of the style of life, as it points toward the fictional finalism, is set in a particular orientation.
Throughout the individual’s life, their perceptions of the world are then constrained to “fall into a groove established by the line of
direction” (Adler, 1929a). He referred to this phenomenon as the scheme of apperception. As a result of this scheme, the

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individual interprets experiences before they are accepted, and the interpretation always agrees with the original meaning that the
individual has given to their life. When the individual has developed a mistaken meaning to life, or when experience cannot be
reconciled with the meaning they hold, they may be forced to change their scheme of apperception. This is not easy, however, and
only occurs when there is sufficient social pressure to do so (Adler, 1931a).
Discussion Question: Adler described fictive superiority as the mistaken belief that one is superior to others. What do you think
about people who think they are great, who think they know everything about everything, and can do anything at all, but who really
are no different than anyone else?

Child Development and Education

Adler agreed with Freud that personality is basically set in the early childhood years. Thus, Adler was particularly interested in
child development, and also in the training of those responsible for raising children (typically, the parents, the rest of the family,
and school teachers). The emphasis in much of his work was on ensuring that children are brought up in the best way possible from
the very beginning of life. We have already examined the importance of the mother’s role, and that she needs to be supportive but
must not spoil her child. A child who is unable to resolve life’s problem without the assistance of others will grow up into a
neurotic person demonstrating a dysfunctional style of life (Adler, 1913a/1963). Since this is something that happens within the
family, the parents obviously cannot serve as part of the solution for this problem. Thus, Adler turned his attention to school
teachers.
Adler believed that a person is educated when it becomes clear that they have become more relevant to more people (Adler, 1958).
In other words, they become a more active and involved member of their community, society, and perhaps even the whole world.
School represents a new situation for a child. If they have been raised well, they pass this test rather easily. If not, the defects in
their style of life become evident. School work requires cooperation with both the teacher and the other students, and the ability to
cooperate is probably more important than the child’s innate intellectual abilities. Adler did not dismiss the importance of I.Q.
(though he did suggest that the child and the parents should never be told what it is), but he pointed out that a child’s ability to
concentrate on school subjects is primarily dependent on the child’s interest in the teacher (Adler, 1930b). So once again, we see
the three life tasks coming into play. School work is the child’s work, and it must take place within a communal setting (the
classroom). But what about love? Whether you want to call it support, encouragement, caring, motivation, or love, Adler was clear
in terms of what he thought about the “peculiar position” held by teachers:
The teacher, professional or amateur, must teach the simple thing: love, and call it by its simple name: love. Almost since the
beginnings of recorded history, however, the teacher has been in a peculiar position: he is facing pupils, children or adults, who do
not expect that the thing they ought to learn is so simple. (pg. 115; Adler, 1958)
According to Adler, it is the role of teachers to recognize the difficulties that children cannot overcome, and to “correct the
mistakes of the parents.” An essential aspect of this “correction,” however, is that it must never be punitive. Adler believed that if
teachers scold or criticize students who cannot connect with their teacher or their classmates, then the child will realize they were
right to dislike school. Rather, teachers must help children to connect with themselves, and then reach out to connect with others
(Adler, 1931a). But what about children who cannot redirect their style of life or face up to the challenges they encounter?
Discussion Question: Teachers play an important role in each person’s development, according to Adler. Who were the teachers
who really influenced you, and were they good teachers who helped you, or bad teachers who inspired you to be a better person
than you saw in them?
Adler wrote a great deal about guiding children, and about helping them to avoid and recover from delinquency (Adler, 1918/1963,
1930a, 1931a, 1935/1964, 1963), and his daughter Alexandra joined him in this endeavor (Alexandra Adler, 1930a,b). Often the
discussion addresses the primary problem in Adler’s view: a lack of social interest due to having been pampered. In addition, both
Adler and his daughter bring into consideration an interesting family dynamic that appears to play some role: the child’s birth
order. An only child is in an unfavorable situation. Although they certainly receive attention and support from their parents, since
they receive all of it they tend to be pampered and they lack practice in being sociable. As they leave the pampered surroundings of
the home, such as when they go to school, the child grows up fighting against their environment and trying to dominate it. Their
solutions can be passive, such as being timid, anxious, or routinely getting “sick,” or their solutions can be active, such as being
excessively talkative, defiant, or combative (Alexandra Adler, 1930a; Adler, 1929/1964). They face the potential of becoming like
parasites, people who do nothing but enjoy life while expecting others to take care of them (Adler, 1928). The situation can be
much worse, however, for the oldest child. The oldest child was, for a time, an only child, and received all of the privilege and
pampering associated with that position. With the arrival of the next child, however, they lose their privileged position, and the

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mother must be particularly attentive to the new infant. The oldest child is dethroned, and this can feel quite tragic, leading to
consuming jealousy and a bitter struggle to regain the parent’s attention (Adler, 1929/1964, 1931a, 1963). Dethroning is an
experience that always leaves a great impression, and can lead to a critical attitude toward the mother and a turning away toward
the father (Adler, 1929/1964). According to Adler, one often finds the experience of being dethroned in the past of problem
children, neurotics, criminals, drunkards, and perverts (Adler, 1931a). Nonetheless, being the oldest child also has distinct
advantages. Amongst the siblings, the first born is typically the biggest and more experienced child. They have a certain power
over the other children, in that they are often given greater responsibility, including, perhaps, the responsibility of caring for their
younger brothers and sisters. They tend to be guardians of law and order, and they have an especially high valuation of power
(Adler, 1928). Adler was careful to point out, however, that too much is often made of his theories on birth order. It is not the birth
order, per se, which determines the nature of development. For example, if the oldest child is not competitive, the second child may
develop as if they were the first child. Similarly, if two children are born much later than their older siblings, the elder of those two
may develop the characteristics of a first born.
In those cases where the challenges of adolescence become too much for a child, they begin to creatively protect themselves by
doing things such as forging report cards, skipping school, etc. As they meet others doing the same things, they join with them,
form gangs, and may well start out on a road that leads to a life of crime. Demonstrating his great concern for the individual,
however, Adler wrote:
All this can be avoided if we accept the point of view of Individual Psychology that no child should be thought hopeless. We must
feel that a method can always be found to help a child. Even in the worst of circumstances there is always a particular way of
approach - but this of course needs to be found. (pg. 179; Adler, 1930b)
In a recent special issue of the American Psychologist, a series of articles were presented focusing on effective, evidence-based
prevention programs designed to increase the number of children and youth who will succeed and contribute both in school and in
life (Weissberg, Kumpfer, & Seligman, 2003). In accordance with Adler’s theories, effective parenting seems to be the best way to
reduce adolescent problem behaviors, and the family can be strengthened through approaches such as behavioral parent training,
family skills training, and family therapy (Kumpfer & Alvarado, 2003). School-based prevention programs can also be beneficial,
but it is important that educational approaches coordinate social and emotional learning with more traditional academic learning
(Greenberg, et al., 2003). Since the problems of adolescence are so variable, including such things as alcohol, tobacco, and other
drug abuse, violence, delinquency, mental illness, etc., and since they affect so many children, approaches that attempt to intervene
with one child at a time may not be adequate. Accordingly, community interventions become important, and may go so far as to
require coordinated national efforts, such as Head Start or the combined efforts of the Department of Health and Human Services,
Department of Housing and Urban Development, and the Environmental Protection Agency to reduce lead poisoning (Ripple &
Zigler, 2003; Wandersman & Florin, 2003). And last but not least, health care providers can play an important role in ensuring the
psychological well-being of their patients, as well as their physical health (Johnson & Millstein, 2003). Indeed, Adler quoted the
renowned Rudolf Virchow (one of the founders of cellular pathology; who coined the terms thrombosis, embolism, and leukemia,
among many other accomplishments) in saying: “Physicians will eventually become the educators of humanity” (pg. 317; Adler,
1918/1963; see also Knopf & Wexberg, 1930). Perhaps the most important aspect of these studies is the concerted effort to combine
scientific research with clinical practice and experience, as well as doing so in socioculturally relevant ways (Biglan, et al., 2003;
Nation, et al., 2003). Echoing Adler’s call from 1930, and moving toward its answer:
If researchers can foster increased use of scientific practices in these ways, it is possible to achieve a society in which the largest
possible proportion of children experience healthy, happy, and successful development and arrive at adulthood with the social,
emotional, and cognitive skills they need to lead healthy and successful lives. (pg. 438; Biglan et al., 2003)

The Psychology of Women

Adler’s views on the psychology of women could not have been more different than those of Freud. As someone who questioned
cultural discrimination long before most, Adler considered women to be equal to men, and he described the belief that they were
inferior as a myth. A division of labor has always been an important part of the communal life of the human species. When
neighboring groups came into conflict, it was the larger, stronger men who did most of the fighting to protect the group. According
to Adler, men extended this conflict and feeling of power to the subjugation of women. Ever since, men have enjoyed privileges
that were denied to women, and this has been maintained primarily through force, or the threat of force, but also through
indoctrination and education (Adler, 1910/ 1978, 1927/1978, 1928). Adler himself avoided the use of the term “opposite sex,” a
term that implies an adversarial relationship, preferring instead to use the term “other sex” when referring to women (Manaster &
Corsini, 1982).

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Adler recognized that what women really desire is the privilege that men enjoy, but this is not unique to women. There are also
men, or boys, who are not dominant, and they also strive for superiority and privilege. At birth, of course, both male and female
infants are helpless and inferior, and must begin to strive for superiority. The form that this striving takes is something Adler called
the masculine protest. It was not his intention to suggest that masculine traits of dominance and aggression make men better than
women, but this was the nature of the times in which he lived. It is purely cultural that the male gender role includes strength,
knowledge, physical activity, etc., whereas the female gender role includes submissiveness, weakness, the desire for physical and
emotional closeness, etc. All children display some degree of these traits, but society directs boys toward the male role, and girls
toward the female role (Adler, 1910/1978, 1912a/1963, 1928, 1929/1964). We can now recognize what many consider Freud’s
great mistake regarding the psychology of women. Women who display masculine traits were seen as neurotic by Freud, but Adler
viewed them as protesting the cultural denigration of women. Still, it is not easy to challenge the nature of society, so Adler still
acknowledged that women were more likely to be neurotic than men. However, Adler attributes the neurosis of most women to
masculine protest, not to the inability to resolve a woman’s penis envy! In 1910, just as Adler was about to break away from
Freud’s Psychoanalytic Society, Adler proposed that the great Oedipus complex is only a small part, just a stage, of the masculine
protest, for both men and women (Adler, 1910/1978).
Discussion Question: Adler described masculine protest as a cultural phenomenon in which women, and even some men, strive to
act masculine in order to ensure the privilege reserved only for men. Can you think of any strong women whose career or style of
life fits into this theory? What about any men you know (or know of)?
Woman energetically practicing karate

Figure 4.3.2 : Are strong women just that, or are they acting out their masculine protest?

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4.4: Alderian Psychotherapy
Adler’s approach to psychotherapy has been the topic of numerous books and chapters (e.g., Dinkmeyer, Dinkmeyer, Jr., & Sperry,
1979; Mosak, 1995; Nikelly, 1971a; Watts & Carlson, 1999), including specific books on family therapy and lifestyle counseling
for people with disabilities (Rule, 1984; Sherman & Dinkmeyer, 1987). It is generally accepted that Adlerian psychotherapists have
no specific technique, but rather are eclectic in their approach. There are, however, a few key elements to Individual Psychology.
First is the goal of understanding the style of life. Once the therapist understands the style of life, they can understand most
everything the patient does. The therapist then helps the patient to strengthen their social interest. This involves a practical
application of social interest: reorienting and readjusting the patient’s style of life. Underlying the success of therapy in Individual
Psychology is a supportive therapeutic relationship. Adler believed in facing his clients, on an equal basis. The therapist helps to
educate the patient on the nature of therapy and the goals that might be pursued, which involves helping the client to recognize the
mistaken style of life and goals they have been pursuing in the past. In this way, the therapist helps the client in their own creative
process of personality change (Dinkmeyer, Dinkmeyer, Jr., & Sperry, 1979; Mosak, 1995). This approach shares many similarities
with both the client-centered approach popularized by Carl Rogers and the behavioral-cognitive approaches developed by Albert
Ellis and Aaron Beck.

Understanding the Style of Life

Psychotherapy is about helping people to change their lives for the better. Thus, it involves looking forward, despite whether or not
we need to know what has happened in the past (and different theories consider the importance of the past in radically different
ways). According to Adler, “in order to understand a person’s future we must understand his style of life” (pg. 99; Adler, 1929a).
The style of life, and the associated scheme of apperception, brings all experience into line with the person’s fictional final goal.
So, if we can understand how a person is living their life, if we understand their style of life, we can help them to understand it as
well, and then perhaps make changes for the better. So, how might we go about understanding the style of life?
As Freud and Breuer had before him, one area of interest for Adler was the analysis of dreams. However, Adler did not distinguish
between the conscious and unconscious, or between waking and sleep. He considered dreams to be a reflection of the style of life,
and the individual’s striving for superiority. Thus, dreams do not hold any special meaning (Adler, 1912b/1963, 1928, 1929a,
1932b/1964). As such, their interpretation can be relatively straight-forward:
Take, for instance, our knowledge that mankind as a whole is really cowardly. From this general fact we can presuppose that the
largest number of dreams will be dreams of fear, danger, or anxiety. And so if we know a person and see that his goal is to escape
the solution of life’s problems, we can guess that he often dreams that he falls down. Such a dream is like a warning to him: “Do
not go on - you will be defeated.” (pg. 155; Adler, 1929a)
Of greater interest to Adler was the analysis of early memories. He believed that the earliest childhood recollections provided
valuable information, and he did not let a single patient go without having been asked about them:
The information regarding memory is significant. Memory is an activity. It is based on the life style, which here steps in by
selecting from old impressions a single one. This leads us to the question, why this single one? In it the entire life style resonates.
(pg. 197; Adler, 1932b/1964)
It is not even important if the memory is, in fact, true. A “memory” may be created by a child based on their conscious experience
in order to reflect an attitude, or an emotional tone, if that is necessary to pursue their unique, personal goal (Adler, 1928).
Accordingly, if we can obtain a person’s earliest memories, we make reasonable predictions regarding the future course of their
life. However, early memories are not reasons for behavior, but they are hints. It is also true that some forgotten memories (or
unconscious memories) may have played a role in the creation of the style of life, but they are obviously more difficult to obtain, so
they defy analysis. But, Adler did not consider them to be any different in content and tone from the conscious memories; the
unconscious psyche enacts the same style of life toward the same final goal (as with dreams; Adler, 1929a, 1931a, 1964). There
may, however, be some interesting differences in early memories based on culture. For example, Wang (2006b) examined the
earliest memories of European American and Taiwanese college students in response to five cue words: self, mother, family, friend,
and surroundings. In both groups, memories for ‘mother’ came from an earlier time than memories for ‘self,’ and memories for
‘mother,’ ‘family,’ and ‘friend’ were more socially oriented. The European Americans typically had memories from earlier ages,
and their memories tended to report more specific events and to focus on their personal roles and autonomy in those memories.
Thus, early memories not only reflect one’s style of life, but do so within a cultural context.

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In two major case studies published by Adler, The Case of Miss R. (1929b) and The Case of Mrs. A (1931b), the subtitle of each
book refers to the style of life. In the latter book, he concludes by saying: “I have simply wanted to show you the COHERENCE
OF A LIFE-STYLE” (pg. 46; Adler, 1931b). Moving well beyond neurosis, both Adler and his son Kurt applied the study of the
style of life to patients suffering from psychotic disorders, including schizophrenia and manic phase of bipolar disorder (Adler,
1929/1964; Kurt Adler, 1959). Kurt Adler does an excellent job of summarizing Individual Psychology, and he quotes his father’s
description of neurosis and psychosis as attempts by a person to avoid clashing with reality and exposing their weakness and
inferiority. However, these are “failed” styles of life, because they lead to an avoidance of social interest, which is necessary for
solving life’s challenges in cooperation with others. In the case of a disorder such as schizophrenia, the child begins life with
extreme feelings of inferiority, which lead to an exaggerated fictional goal. Subsequently, it is more difficult to achieve any success
in life, which creates a vicious cycle of failure and greater distrust of others. Finally, as the individual fails to develop social-
emotional capacities, common sense, or logic, they retreat into the private world that accommodates their exaggerated fictional
personal goal. The subsequent treatment of psychotic patients is difficult, particularly if the therapist expects too much. Kurt Adler
extends his father’s caution that the therapist must be aware of their own style of life, set aside any personal expectations, and never
expect anything of the patient (Kurt Adler, 1959). As we will see below, Harry Stack Sullivan also paid special attention to
psychodynamic processes in schizophrenia.
Discussion Question: What are your earliest memories, especially of your mother, father, and sense of self? Can you see a clear
relationship between the content of those memories and your style of life? How does your life plan fit with those memories?

Strengthening Social Interest and Reorienting the Style of Life

Adler believed that everyone has some degree of social interest, but in neurotic and psychotic patients there is relatively less. He
described Freudian transference as an expression of the patient’s social interest, directed toward the therapist. Resistance is simply
the patient lacking the courage (i.e., feeling too inferior) to return to social usefulness and cooperation with others. The therapist
must, therefore, help the patient to strengthen their social interest and reorient their style of life. Since the style of life is creatively
formed, it becomes important to understand how and when the failed style of life began. Just as the individual took time and was
selective in the formation of their failed style of life, the therapist must take time to understand it and educate the patient about it
(Adler, 1913b/1963, 1929/1964, 1930c, 1932b/1964, 1958).
Individual Psychology stresses enormously that the psychological development of a person can reach a normal condition only when
he can achieve the necessary degree of ability to cooperate. (pg. 199; Adler, 1932b/1964)
It is almost impossible to exaggerate the value of an increase in social feeling…The feeling of worth and value is heightened,
giving courage and an optimistic view…The individual feels at home in life and feels his existence to be worthwhile just so far as
he is useful to others… (pg. 79; Adler, 1929/1964)
There are numerous ways in which a therapist can help a client to increase their social interest. It begins with the therapist openly
communicating with and accepting the patient, which is, of course, a social interaction. This is especially effective if the therapist
displays social feeling themselves, while also helping the patient to recognize the patient’s value as a human being (as well as the
value of other people). The therapist can point out that if other people, including the therapist, had the same values, goals, and
cognitive orientation as the patient then others would also have the same problems as the patient. The therapist can then nudge the
patient toward their own niche, where they can feel comfortable with others without fearing being the loser in personal interactions.
And finally, the therapist can encourage the patient to get involved in concerns outside themselves (Nikelly, 1971b). Each of these
ways of encouraging social interest can be a part of the reorientation and readjustment process, the “working-through” phase of
therapy, in which the patient gains insight into their style of life, confronts their goals, and realizes that they are capable of making
choices and decisions (Nikelly & Bostrom, 1971). The patient must be encouraged to understand and believe that they have the
power to implement their insights and change their life.
The client must not be allowed to think of himself as the victim of past circumstances but must come to recognize that the problem
is his alone and that he alone will solve it. In contrast, emphasis on past history may lead to rationalization and intellectualization
without appropriate action. The client learns more and more about his problem and does less and less about it. (pg. 103; Nikelly &
Bostrom, 1971)

Group Psychotherapy and Family Therapy

Our discussion of Adlerian psychotherapy would not be complete without mentioning group psychotherapy, and in the same
breath, family therapy. Group psychotherapy probably has multiple origins, having been tried by a variety of independent

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therapists. In 1921, Adler began interviewing and counseling parents in front of a group of professionals. This fit well within his
perspective on the three life tasks and social interest, since he felt that parents, family, and other important people, such as school
teachers, needed to be involved in the development of children. Adler soon discovered that these settings led to personal growth in
everyone present, establishing a form of group therapy that may be the oldest still in use. Strictly speaking, Individual Psychology
does not prescribe any specific techniques for group psychotherapy, but rather, there is Individual Psychology for patients in a
private setting as well as for patients receiving therapy in a group setting (Corsini, 1971).
Involving the parents in a child’s therapy is, quite obviously, the beginning of family therapy. However, when Adler established his
child guidance centers, they were open for parents, teachers, social workers, and other interested people to be able to observe the
process of psychotherapy. Adler felt it was important for everyone involved in the development of children to be educated in the
important process of Individual Psychology, and the same was true of Rudolf Dreikurs, a student of Adler who opened family
education centers in the United States (the first in Chicago in 1937; see Dreikurs, 1950; Sherman & Dinkmeyer, 1987). This
education may be particularly important for the parents, whose attitude can have a profound influence on whether psychotherapy
for a child is successful or not. As for teachers, understanding Individual Psychology can help them to put a child’s academic
performance into a context that helps to explain it as a style of life aimed toward a particular goal, even if that goal is dysfunctional
and interferes with schoolwork (Friedmann, 1930; Spiel & Birnbaum, 1930). Overall, the goal of family therapy is to improve
communication and cooperation amongst all members of the family, and to help parents avoid the most difficult problems
(Alexandra Adler, 1930a; Adler, 1930d).
In our conversations with the parents we relentlessly try to make them realize that children must not be beaten. Beating can only
lead to a discouragement of the child, and we know well enough that this can make the child worse and not better…We always
dissuade parents from engaging in warfare with the child, since the child inevitably remains in the end the stronger party. (pp. 110-
111; Alexandra Adler, 1930a)
Discussion Question: Have you ever experienced group psychotherapy, family therapy, or anything similar (or know anyone who
has)? What advantages did you experience, or what do you think you might experience if you were to work on your relationships
with family members or other people?

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4.5: A Brief Biography of Harry Stack Sullivan
Several aspects of Harry Stack Sullivan’s life history are quite strange, and so, according to some biographers, was Harry Stack
Sullivan himself. He was born on February 21st, 1892, though his medical records say he was born in 1886, in the rural community
of Norwich, New York. His father’s name was Timothy Sullivan and his mother’s name seems to have been Ella Stack, but it
remains unclear whether her name was actually Ella. That is the name that appears on Sullivan’s birth certificate and on her death
certificate, but in the family records her name was listed as Ellen, and on Sullivan’s baptismal certificate it was listed as Ellina.
Timothy Sullivan was a hired-hand on the Stack farm (or another farm nearby), whose father had died when Timothy Sullivan was
young, leaving the family quite poor. There was a great deal of discrimination against Irish Catholics at the time, and Timothy and
Ella struggled. They lived in a poor part of town, where there was an improperly drained canal that was believed to be a breeding
ground for “black diphtheria.” The Sullivans had two children before Harry, both born in February, who died in terrible convulsions
before reaching the fall of their first year. When Harry was born in February, his mother was terrified that he would die as well
(Alexander, 1990; Evans, 1996; Perry, 1982).

When Sullivan was 2 ½ he was sent to Smyrna, New York to live with his maternal grandmother. Where
his mother was for the next few years is unknown. It was rumored that she had a nervous breakdown,
and may have been kept hidden away in the attic of the barn until she recovered. Although she eventually
returned to public view, she was never really Sullivan’s caretaker again. Neither was his father. When
Sullivan’s maternal grandfather died, there was no one to run the farm, which provided the support for
him and his grandmother. Being poor himself, Timothy Sullivan was granted control of the farm.
However, the Stack family had always considered Timothy Sullivan to be beneath them (the Stack family
had a prestigious ancestry), so the legal documents were quite demeaning to Timothy Sullivan, and the
farm’s name remained the Stack farm. Timothy Sullivan worked hard, but withdrew into himself and had
little contact with others (Alexander, 1990; Evans, 1996; Perry, 1982).
Sullivan did very well in school, but had few friends due to the common prejudice and discrimination. At
one point, the Ku Klux Klan burned a cross in front of the Stack farm. His only friend was a boy who
was 5 years older, Clarence Bellinger. The two were very close throughout school, and both went on to
become psychiatrists. However, after high school, they never contacted one another again. Bellinger
always spoke poorly of Sullivan, and Sullivan simply never spoke of Bellinger. The reasons why are
unknown, but it may have something to do with the fact that neither one of them ever married, and
Sullivan was widely regarded as a homosexual. When Sullivan was 35, he took in a foster son, who may
also have been a psychotic patient. Late in life, Sullivan seems to have referred to the young man as a
“lover” (Alexander, 1990). If this was their relationship when his companion was only 15, and if his
companion was a former patient, it was both unethical and criminal. It is tempting to suggest that
Sullivan’s sexual development and alleged later actions may have been influenced by an inappropriate
relationship with Bellinger while Sullivan was still quite young. However, the truth is not known, and
there are other gaps in the history of Sullivan’s life (Alexander, 1990; Evans, 1996; Perry, 1982).
Two family members helped Sullivan with his education during his school years. His mother’s sister
Margaret, a schoolteacher, brought him many books and introduced him to a wide range of intellectual
ideas. His father’s brother, Will, was a respected lawyer and then a judge who was influential in applying
psychological issues to the law. He helped to foster Sullivan’s interest in human problems. This aunt and
uncle both later helped Sullivan with college finances, and they helped him to win a prestigious New
York State Regents’ Scholarship to Cornell University. However, Sullivan was not prepared for college.

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After a fair start, his grades dropped drastically. He became involved with a group of boys who were
illegally obtaining and selling chemicals. Only Sullivan was caught, and he was convicted of mail fraud.
His whereabouts for the next 2 years are unknown. He may have been in jail, but there is evidence to
suggest that he was hospitalized at Bellevue Hospital following a psychotic break. Later in life he was
friends with the renowned A. A. Brill (the psychiatrist who first translated many of Freud’s books into
English), and Brill was working at Bellevue at the time. Sullivan was also friends later in life with
another employee who worked at Bellevue at that time, and no simple explanation can be given for his
friendship with two men who worked at Bellevue Hospital during the time Sullivan’s whereabouts are
unknown (Alexander, 1990; Evans, 1996; Perry, 1982).
In 1911, Sullivan reappeared and entered the Chicago College of Medicine and Surgery. He finished his
coursework in 1915, but did not receive a degree, possibly due to owing the school money. He worked
briefly as an industrial surgeon in a steel mill, and in 1916 joined the Illinois National Guard. After only
5 months he was released on medical grounds, supposedly due to a broken jaw. He then disappeared for a
while, later claiming that he received 75 hours of psychoanalysis during the disappearance. But where
that occurred, or with whom, is again unknown. In 1917, he was finally awarded his medical degree, and
he joined the U. S. Army. His application contained many inaccuracies and falsifications, including lying
about his age. Nonetheless, he was commissioned as a lieutenant, promoted to captain at the end of
World War I, and spent 2 years moving between Chicago and Washington, DC. In 1920, he left the
Army, and again a year of his life seems to be missing. In November, 1921, he joined St. Elizabeth’s
Hospital in Washington, DC, and began his career in psychiatry (Alexander, 1990; Evans, 1996; Perry,
1982).
St. Elizabeth’s Hospital was one of best psychiatric hospitals of the time (and remains so today), under
the leadership of the renowned William Alanson White, a pioneer in applying dynamic psychotherapy to
psychotic patients. After a year, however, there was no permanent position for Sullivan. So, he applied
for a position at the Sheppard and Enoch Pratt Hospital in Baltimore (as prestigious as St. Elizabeth’s
both then and now). White’s letter of recommendation for Sullivan was lukewarm and vague. He
described Sullivan as “better equipped than the average State Hospital assistant,” but he also
acknowledged that he didn’t really know Sullivan because of Sullivan’s personal distance from other
people (Alexander, 1990). Nonetheless, Sullivan was hired for his first clinical psychiatric position at
Sheppard Pratt (as it is more commonly known - Note: The author’s wife had the privilege of working at
Sheppard Pratt early in her career), and he began an exciting and innovative period of eight years, during
which he did the most important clinical work of his career, including innovative techniques for the
treatment of schizophrenia in young patients (Alexander, 1990; Evans, 1996; Perry, 1982). Today, the
Sheppard Pratt Health System includes the Harry Stack Sullivan Day Hospital, a partial hospitalization
program assisting adults with severe mental illness, including psychotic disorders.
During his time at Sheppard Pratt, Sullivan became close friends with a young psychiatrist named Clara
Thompson. They shared an interest in questioning Freud’s concepts of the feminine psyche and other
challenges to orthodox psychoanalysis. As Sullivan became particularly interested in the work of Sandor
Ferenczi (who accompanied Sigmund Freud and Carl Jung on Freud’s only trip to America, but later split

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with Freud), he encourage Thompson to go to Budapest and be psychoanalyzed by Ferenczi. She did so,
and upon her return she was Sullivan’s training analyst, and Sullivan was later admitted to the American
Psychoanalytic Society. The two remained close throughout their lives, and supposedly agreed to marry
one another, but both quickly broke off the engagement the very next morning (Alexander, 1990; Evans,
1996; Perry, 1982).
In 1930, Sullivan moved to New York City to establish a private practice and conduct research.
However, he failed to make much money, incurred some family debts following his father’s death, and
he filed for bankruptcy in 1932. The next few years were interesting, but unstable. He was the driving
force behind the establishment of the William Alanson White Foundation in 1933, and he actively
collaborated with two colleagues at Yale University (where they likely had an influence on Erik
Erikson’s work). However, one of those colleagues died in 1939, and Sullivan immersed himself in a
project studying Black adolescents in Tennessee and Mississippi. He then settled in Bethesda, Maryland,
where he spent the rest of his career (Alexander, 1990; Evans, 1996; Perry, 1982).
The year 1939 marked the beginning of a highly productive period for Sullivan. Dexter Bullard, the
director of a psychiatric hospital named Chestnut Lodge, provided Sullivan with steady consulting
opportunities. This provided Sullivan financial security, and through Chestnut Lodge he met many
influential psychiatrists in the Washington, DC area. William Alanson White had died in 1937, and
Sullivan delivered a series of public lectures, which became the First William Alanson White Memorial
Lectures, and which were released as Sullivan’s only book published while he was still alive:
Conceptions of Modern Psychiatry (Sullivan, 1940). The White Foundation established the journal
Psychiatry, and the Washington School of Psychiatry. Sullivan also encouraged the White Foundation to
establish a second training program in New York City, and the core faculty included Clara Thompson
and Erich Fromm. The second program is known today as the William Alanson White Institute. When, in
1941, Karen Horney was disqualified as a training analyst by the New York Psychoanalytic Society,
Clara Thompson walked out of the meeting, and helped to establish a rival Association for the
Advancement of Psychoanalysis, with Horney as its dean. A series of political battles between opposing
psychoanalytic societies followed, in many ways pitting followers of Freud against those whose interests
and relationships were closer to Sullivan (Alexander, 1990; Evans, 1996; Perry, 1982).
In 1945, Sullivan became quite ill, and was urged to retire for his health. Instead, Sullivan accepted a
new challenge. He was invited by Brock Chisholm, who was soon to become the first director of the
World Health Organization, to serve as a consultant for the post-World War II International Congress on
Mental Health. Sullivan focused on applying psychiatric principles to problems of world peace,
including educating children on values for peace. He helped to establish the World Federation for Mental
Health, and participated in the UNESCO Seminar on Childhood Education Toward World-Mindedness.
In January 1949, following a particularly frustrating meeting of the World Federation for Mental Health,
Sullivan died in a hotel room in Paris, France. He was cremated, as he had requested, and his ashes were
buried at Arlington National Cemetery, honoring his service to the U. S. Army Medical Corps during
World War I. A committee was established by the White Foundation to publish his papers. Between 1953

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and 1972, the committee published seven books of Sullivan’s work, ensuring that his theories remained
available to the fields of psychiatry and psychology (Alexander, 1990; Evans, 1996; Perry, 1982).
Placing Sullivan in Context: America’s Psychodynamic Theorist
Harry Stack Sullivan was an enigmatic character. His parents were poor and, apparently, both suffered
from mental illness; his siblings died during their infancies. The region where he was raised was
extremely prejudiced against Irish Catholics, and the KKK burned a cross in front of their home. As a
student, Sullivan was very successful, but legal problems (due to his own bad choices) and presumed
hospitalizations for his own mental illness delayed his success in college and medical school. And yet, he
went on to become the most influential psychodynamic theorist born in America, worked at two highly
prestigious psychiatric hospitals, co-founded an influential foundation, and has a hospital named after
him. Like Adler, however, his contributions seldom receive proper recognition, and he remains
somewhat obscure.
Sullivan’s most interesting and enduring contributions relate to his relationship with William Alanson
White. Although Sullivan only worked with White briefly, and White’s letter of recommendation for
Sullivan’s next position admits that White considered Sullivan to be distant and hard to get to know,
Sullivan vigorously pursued White’s interest in the treatment of schizophrenia. Sullivan helped to found
the William Alanson White Foundation, which established two psychiatric training institutes and the
journal Psychiatry, and Sullivan delivered the First William Alanson White Memorial Lectures. Today,
the Sheppard Pratt Health System includes the Harry Stack Sullivan Day Hospital (for the treatment of
psychotic disorders).

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4.6: Sullivan's Interpersonal Psychology
Sullivan shares two particular distinctions with Adler: his influence is extraordinarily wide ranging, and he is not very well known.
It has been suggested that he was the most original and creative American-born psychiatrist (Chapman & Chapman, 1980). In
Corsini & Wedding’s Current Psychotherapies (1995), Sullivan is mentioned in ten of the fourteen chapters, including those written
by Albert Ellis, Carl Rogers, Aaron Beck, and Rollo May, as well as the chapters written about Sigmund Freud, Alfred Adler, and
Carl Jung. Due largely to his emphasis on interpersonal relationships, he is acknowledged by Jean Baker Miller and other founding
members of the Stone Center (see Chapter 9; Jordan, et al., 1991; Miller, 1976). So how can he be relatively unknown? According
to Evans (1996), there are a number of reasons for Sullivan’s lack of popularity, but two seem to stand out. First, Sullivan did not
publish much during his lifetime, and what he did publish was somewhat poorly written and difficult to understand. Second,
Sullivan was apparently a very difficult and strange man, whose writings often included derogatory statements about psychiatry
and psychiatrists (even though this was his own field). Whatever the reasons are for his lack of renown, Sullivan has had a
significant influence on psychiatry and psychology nonetheless.

Whereas Adler considered relationships to be an obvious consequence of social interest, the primary
factor in Individual Psychology is the striving for superiority. Social interest and interpersonal
relationships, of course, make healthy superiority possible. For Sullivan, however, it was the
interpersonal relationships themselves that were paramount:
One achieves mental health to the extent that one becomes aware of one’s interpersonal relations…It is
part of the framework that supports all explanations of what is going on, what might be going on, and
what will presently be going on…It is the necessary formula to which everything must be assimilable, if
it is therapy. (pg. 207; Sullivan, 1940)
Euphoria, Tension, and Security
Sullivan believed that we exist somewhere between the states of absolute euphoria and absolute tension.
Absolute euphoria is a state of utter well-being, which, unfortunately, is not really possible. The closest
we can come to experiencing absolute euphoria is in the deep sleep of a newborn infant. Tension is the
alternative state to euphoria, and tension is very much a part of our lives. It arises from two sources:
needs and anxiety. There are two basic types of needs: those that arise from actual biological needs
(food, water, air, etc.), and those that are cultural or learned. In real life, however, these types of needs
cannot be separated. An infant cannot satisfy its biological needs, it must be cared for. Thus, Sullivan
talked routinely about a mothering need, which is a need for an intimate, interpersonal relationship.
When the mother does indeed care for the infant, the infant experiences this as tenderness, and the infant
develops an ongoing need for tenderness. Thus, through the need for a mother and the need for
tenderness, the infant finds itself in a world in which it needs interpersonal relationships for continued
survival and psychological development (Chapman & Chapman, 1980; Lundin, 1979; Mullahy &
Melinek, 1983; Sullivan, 1940, 1953).
Anxiety is the result of real or imagined threats, and can be experienced by the infant or caused by an
anxious mother. In either case, it can be particularly intense in an infant because they cannot specifically
do anything about it. Furthermore, unlike biological needs that can be met quite specifically (e.g., a
hungry child can be fed), how can anxiety be satisfied? The answer, according to Sullivan, is through the
pursuit of interpersonal security. In other words, a sense of security, the alternative to anxiety, can be
obtained only through relationships that provide the child with tenderness and empathy. Sullivan used

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the term empathy to describe “the peculiar emotional linkage that subtends the relationship of the infant
with other significant people - the mother or the nurse” (pg. 17; Sullivan, 1940). Long before infants
show any sense of understanding emotional expressions, they seem to be able to share in emotional
feelings, through what Sullivan considered an innate capacity for empathy. Even an infant is not,
however, merely a recipient of the relationships in which it is involved, it is an active and engaged
person. Likewise, children do not simply wait and hope for security, they actively engage in thoughts and
behaviors that Sullivan called security operations. Security operations serve to maintain our sense of
self-esteem, or self-respect, and they often begin with an emphatic sense of “I.” Unfortunately, this leads
to an odd paradox: the concept that we can have self-esteem without being in relationship with others:
It is one’s prestige, one’s status, the importance which people feel one is entitled to, the respect that one
can expect from people…that dominate awareness. These things are so focal in interpersonal relations of
our day and age that the almost unassailable conviction develops…that each of us, as defined by the
animal organism that we were at birth, are unique, isolated individuals in the human world… (pg. 219;
Sullivan, 1964)
Dynamisms and the Self-System
Underlying Sullivan’s emphasis on interpersonal relationships is the fundamental concept of dynamism.
Similar to the physical universe, our psychological environment involves ongoing transfers of energy (in
the psychological sense) between ourselves and the people we interact with, and this is a dynamic back-
and-forth system (i.e., a relationship). A dynamism is a relatively enduring pattern of energy
transformation that allows us to characterize a living organism. Each organism, or each person, has many
dynamisms, but the ones of particular interest to psychiatrists, according to Sullivan, are those related to
how we interact with others (Sullivan, 1953).
One of the most important dynamisms is the self-system. The self-system is somewhat unique, in that it
integrates and provides meaning for all of the individual’s interactions and experiences; Sullivan referred
to it as a secondary dynamism (secondary here refers to a higher level of processing, not secondary in
importance; Sullivan, 1953). The self-system also integrates the security operations, and serves to protect
the individual from tension. Chapman & Chapman (1980) offer a useful description of various ways in
which the self-system utilizes security operations in the actions of a 3-year-old child:
1. When faced with an emotionally threatening situation, the child may lapse into stubborn silence.
2. When there is tension between the child and the demands of older children, the child will obstinately
resist the efforts of the older children to get the child to conform to their desires.
3. When stressful interpersonal situations arise, the child will withdraw into solitary play.
4. In new, anxiety-provoking environments the child will physically cling to a familiar adult.
5. When anxiety arises between the child and others, the child may engage in meticulous play with
inanimate objects (toys, coloring books, etc.).
6. When the child’s emotional needs are not met by others, they may regress into more immature
behavior and speech.

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By observing these behaviors, we can understand who this child is at this point in their life. For a 3-year-
old, such behaviors are quite normal. However, such security operations would be considered less
appropriate for an adult. And yet, sometimes these behaviors become part of the self-system of an
adolescent, or an adult, and Sullivan referred to such instances as dynamisms of difficulty (Sullivan,
1956, 1972). When dynamisms of difficulty go into action, they fail to achieve a desired goal, or at best
achieve only an unsatisfactory goal. Since they are relatively enduring, as are all dynamisms, they tend to
characterize states of psychological illness, and would indicate the need for psychotherapy. As a curious
side-note, while discussing the dynamism of the self-system, Sullivan appears to be the first person to
have used the now well-known term significant other (Sullivan, 1953).
Another important type of dynamism is the personification. A newborn infant cannot really understand
who their mother is, or who they themselves are, so the infant develops an image of the mother, the
father, themselves, etc. These images, which can sometimes conflict with one another, are called
personifications. For instance, when the mother feeds and comforts the infant, she is the “good” mother.
But when she fails to display appropriate tenderness, or her own anxiety is expressed to and experienced
by the infant, she is the “bad” mother. Later, as the child develops greater intellectual capacity and
experience, these personifications are fused into a single mother. Similarly, the infant begins life with
personifications of itself as sometimes “bad” and sometimes “good,” and later in life fuses these
personifications as the adolescent begins to establish a clear identity (Chapman & Chapman, 1980;
Mullahy & Melinek, 1983; Sullivan, 1953, 1964). As with all of the concepts we have discussed here,
the process of personification continues into adulthood. A mother will develop her own personifications
of the infant, which, as mentioned above, may be experienced by the infant. For example, if a baby is
colicky (cries constantly and cannot be soothed), it can be very frustrating for a mother, especially a new
mother. Her anxiety may lead to a personification of her baby as inconsolable and of herself as a “bad”
mother. Her discomfort, then, in caring for her baby can be experienced by the baby, leading to the
baby’s personification of her as a “bad” mother. The key here, according to Sullivan’s theory, is that
neither the mother nor the baby is in any way bad or good, inconsolable or tender, except in relation to
one another!
Sullivan described the personified self as those aspects of personality about which one is consciously
aware. This provides important information for a psychotherapist, and pursuing information about the
personified self is an important part of the psychiatric interview (Sullivan, 1954). During the interview,
Sullivan recommended that the psychotherapist examine four aspects of personified self: what does the
patient esteem and/or disparage about themselves; to what experiences is the patient’s self-esteem
particularly and unreasonably vulnerable; what are the characteristic security operations employed when
the patient is made anxious; and how great are the patient’s reserves of security? In addition to these
important points, Sullivan also considered it essential for a psychotherapist to gain an impression of the
whole interview situation, particularly with regard to the patient’s sense of proportion in terms of where
they fit into life. By understanding the personified self, the patient’s knowledge of themselves, and how
they view themselves within the context of their life, the psychotherapist can gain an understanding of
what is realistically possible for the patient during the course of therapy (Sullivan, 1954).

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Discussion Question: Sullivan described the personified self as knowing what you like or dislike about
yourself, what experiences are particularly damaging to your self-esteem, your characteristic security
operations, and how deep your reserves of security are. Consider each of these points, and provide
yourself with a self-evaluation. Overall, do you see yourself as a relatively healthy, secure person, or
someone whose life is plagues by tension and anxiety?

Developmental Epochs
Sullivan considered an understanding of the course of human development to be essential to
understanding individuals. He described seven developmental epochs: infancy, childhood, the juvenile
era, preadolescence, early adolescence, late adolescence, and adulthood (Sullivan, 1953, 1954, 1964).
These developmental stages represent a gradual unfolding of the individual’s capacity for effective
interpersonal relationships or, in other words, the individual’s ability to fit into the social structure of
their environment (Chrzanowski, 1977; Lundin, 1979). As we all know, children maintain very different
relationships than adults do, and we would not expect children to have adult-like relationships. Thus,
when attempting to evaluate a person’s state of mental health, which Sullivan equated with their ability
to form healthy relationships, we clearly need to understand something about what constitutes the
developmentally appropriate possibilities.
Infancy begins at birth, and lasts until the acquisition of speech. It is the time of the most empathic
connection between the infant and its caregivers, which can be characterized by tenderness and security,
or by anxiety and tension. Childhood lasts through the remainder of the preschool years, and involves
extending one’s interpersonal relationships outside of the immediate family to peers (friends and
playmates). In addition, language is incorporated into one’s experiences of approval and disapproval.
The juvenile era begins as one enters grade school. Once again, interpersonal relations are expanded to
include a wider variety of people and situations, including competition with one’s peers and
subordination to authority figures (such as teachers and the school’s principal).
Adolescence involves some very dramatic changes, particularly in the direction of the intensely intimate
relationships of adulthood. During preadolescence, there is a marked increase in the closeness of
friendships (e.g., “best friends forever!”), which is characterized by an intimate dynamism. Early
adolescence is marked by an interest in the other sex, and an erotic dynamism is formed. Late
adolescence, which Sullivan placed between the middle high school years the early college years, were a
time of developing full and mature interrelationships, as well as understanding of the need for
responsible citizenship within one’s society. When these dynamisms, including the self-system, become
stabilized, and society has transformed the individual into a completely social being, the person has
attained adulthood (Chrzanowski, 1977; Lundin, 1979; Sullivan, 1953, 1954, 1964).
Sullivan provided ages for the transition of these developmental epochs, but he also acknowledged that
they are based on experience. Thus, it is possible for the stages to occur at different times in unique
individuals. The course, however, remains the same, unless the course fails to progress. If an individual
is not provided with the opportunities to advance their interpersonal development, there can be an arrest
of development (Sullivan, 1953, 1964). An arrest of development does not mean that the personality

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becomes static, but rather, the freedom and velocity of constructive changes becomes markedly reduced.
Later, the arrested development becomes apparent through eccentricities in one’s interpersonal relations.
The individual does not simply continue to act like a normal child, there is an increased likelihood that
this “warp” in personality development will also lead to malevolent dynamisms and the consequent
social problems (such as delinquency and crime).
Discussion Question: Do you know anyone who demonstrates arrested development (someone who
seems immature, especially in relationships)? Are you able to maintain a friendship with that person, or
is the situation too stressful?

Final Notes on Harry Stack Sullivan

From his early days working with William Alanson White, Sullivan was particularly interested in the
treatment of schizophrenia. One of the books published by the White Foundation was entitled
Schizophrenia as a Human Process (Sullivan, 1962), in which his longtime friend Clara Thompson
described him as having a “genuine liking and respect” for his patients. Later the White Foundation
published a series of seminars Sullivan offered to the psychiatric residents at Sheppard Pratt, as well as
members of the Chestnut Lodge and the Washington School of Psychiatry, on the treatment of a young,
male schizophrenic. The text includes commentary by others some 25 years after the seminar (see
Kvarnes & Parloff, 1976).
Like Alfred and Kurt Adler, Sullivan recognized the difficulty of treating psychotic patients. The
prognosis, in Sullivan’s opinion, depends to a large extent upon the patient’s history of successful
interpersonal relationships:
…let us consider the empirical fact that the schizophrenia which appears in the form of a sudden
dramatic onset is usually considered to have a more favorable prognosis than the schizophrenia with
more gradual onset. But in those cases of sudden onset in which satisfactory experience with significant
persons in the past is totally lacking, the patient may be practically beyond redemption; he may manifest
empirically trustworthy capacity for recovery to the extent of making excellent institutional recovery; but
the psychiatrist is daft who expects that he can put the patient out into the world without prompt relapse.
(pg. 197; Sullivan, 1956)
Returning to Sullivan’s basic concept of personality, he offered the following definition:
Personality is the relatively enduring configuration of life-processes characterizing all of the person’s
total activity pertaining to such other persons, real or fantastic, as become from time to relevant factors in
his total situations. (pg. 47; Sullivan, 1972)
While this definition is rather sweeping in its coverage, it remains focused on interpersonal relationships.
According to Thompson, Sullivan was very serious about his own relationships:
The quality of his friendship showed the same genuineness and tolerance so characteristic of his relation
to patients. He was slow in making friends. He tested them for a long time…Once a person had passed
the test he could count on Harry for absolute loyalty. No matter what your mistakes - and he might point

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them out to you privately - before the world he was on your side…He had a characteristic phrase when
parting form a friend - “God keep you.” (pg. xxxiv; Clara Thompson in Sullivan, 1962)

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4.7: Personality Theory in Real Life
Achieving Athletic Excellence Despite Physical Challenges
Adler’s studies on inferiority began with physical problems, what he called organ inferiority (Adler,
1917). Most students of Adler look past that medical beginning, and focus instead on the psychological
inferiorities that children experience during their development. However, there are many people with
organ inferiority, or what we more commonly refer to as disabilities, handicaps, or “challenges.” There
may be some debate as to which term is preferred, but since the phrase “politically correct” is itself a
contradiction in terms, I will use the terms disability and handicap as presented in Warren Rule’s book
Lifestyle Counseling for Adjustment to Disability (Rule, 1984). In his summary of previous research,
Rule adopts the definition of a disability as a “relatively severe chronic impairment of function” that
occurs as the result of a congenital defect, disease, or an accident. Accordingly, disability refers to actual
physical, mental, or emotional impairments that become a handicap only if they cause lowered self-
assessment, reduced activity, or limited opportunities. When disabilities become a handicap, they can
affect the individual’s entire style of life. Thus, Rule brought together a group of therapists trained in
Individual Psychology, and published the aforementioned book on using lifestyle counseling for people
with disabilities that have led to handicaps.
However, not everyone with a disability develops a handicap. Instead, some individuals become truly
inspirational by the way in which they live their lives in spite of their disability, or rather, as if they
simply were not disabled. Erik Weihenmayer (2001; see also Stoltz & Weihenmayer, 2006) was born
with retinoscheses, a degenerative eye disease, which slowly destroyed his retinas, leaving him blind by
the age of 13. In high school, Erik spent a month one summer at the Carroll Center for the Blind in
Massachusetts. The summer camp included a weekend of rock climbing in N. Conway, New Hampshire
(where the author has done a lot of rock-climbing). Weihenmayer’s rock climbing experience altered his
life. He continued climbing rock, and then moved on to ice-climbing and mountaineering. He didn’t just
followed more experienced climbers up the cliffs, he also learned to lead-climb: placing one’s own
protection along the climb and then clipping in the rope, what climbers call “the sharp end” of the rope. I
had the pleasure of climbing with Erik in Michigan’s Upper Peninsula a few years ago, while his seeing-
eye dog slept in a sort of ice cave formed by the overhanging ice. It is truly extraordinary to watch him
climb. He moves so smoothly, as he feels the ice above with his ice axe, and then sets the ice axe so
deliberately when he finds the right spot, that you would not know he was climbing blind if you only
watched for a little while. Eventually, Erik decided to pursue the Seven Summits, climbing the highest
peak on each continent: Mt. McKinley (N. America), Aconcagua (S. America), Mt. Everest (Asia), Mt.
Elbrus (Europe), Vinson Massif (Antarctica), Mt. Kosciusko (Australia), Kilimanjaro (Africa). He
accomplished his goal in 2002.
Erik Weihenmayer is by no means the only well-known, disabled climber. In an amazing video, Beyond
the Barriers (Perlman & Wellman, 1998), Erik goes climbing with Mark Wellman and Hugh Herr.
Wellman was paralyzed from the waist down in a climbing accident (Wellman & Flinn, 1992), and Herr
lost both of his lower legs to frostbite after being caught in a vicious winter storm on Mt. Washington,

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NH (Osius, 1991; Note: The author has suffered a small patch of frostbite during a winter storm on Mt.
Washington). In Beyond the Barriers, Herr leads the hike toward the climb, while Erik carries Wellman.
Once on the climb, Herr leads the climb, Erik follows, and they set ropes for Wellman to do pull-ups up
the cliff. It simply has to be seen to be believed. One of the surprising aspects is how they joke with each
other about what they are doing. As Erik is carrying Wellman, Wellman says: “I don’t know man. A
blind man giving a para a piggyback ride? It’s a pretty scary thing!” When Herr starts climbing on a day
when it was snowing, he says his hands are getting numb from the cold. So, Erik asks him how his feet
feel! Humor was always an important part of Adlerian psychotherapy (Scott, 1984), so perhaps it should
not be surprising that a sense of humor is an aspect of their personalities. One of the funniest stories that
Erik tells is about the time he accidentally drank out of his climbing partners piss bottle (a bottle used to
urinate inside the tent during storms). Erik became quite upset that the bottle wasn’t marked somehow,
but his partner defended himself by saying he had clearly written on the bottle which one it was. It
slowly dawned on Erik’s partner that the writing was of no help to Erik. As another example of Erik’s
humor, consider the challenge he tried to avoid after having climbed the highest peaks in Africa and
North and South America:
Emma Louise Weihenmayer was born on June 21, year 2000, at 3:57 A.M. There is so much to learn
about parenthood. Sometimes being a father is about as intense as climbing Denali, Kilimanjaro, and
Aconcagua, all in a day. Because I’m blind, I tried to convince Ellie that I couldn’t change diapers, but
for some reason, she didn’t buy it. (pg. 303; Weihenmayer, 2001)
In addition to his climbing, Erik Weihenmayer is a college graduate with a teaching certificate, and he
spent some time as a middle school teacher. He also tried the sport of wrestling, and was a wrestling
coach. Trevon Jenifer was also a wrestler.
Trevon Jenifer was born without legs. Perhaps even more challenging, however, was the fact that he was
the fourth child of a poor, single mother living in a ghetto outside of Washington, DC. Obviously, Trey
(the name he goes by) began life facing difficult obstacles, but little by little, things got better. His
mother, Connie, made a conscious decision to take care of him the best she could. She soon met Eric
Brown, who became Trey’s step-father, providing a stable home for their family. He met a wonderful
special education teacher named Bob Gray, who got Trey interested in sports, and who helped to make
participating in sports a realistic possibility. He eventually joined a wheelchair track and basketball team
named Air Capital, and he was very successful on the track, setting national records in the 100-, 200-,
and 400-meter races. It was prior to his junior year in high school, however, that his step-father, who had
been a wrestler, recommended that Trey try out for the wrestling team, the regular wrestling team.
What Trey wanted more than anything was to fit in, to have a normal social life at school. Being in a
wheelchair, that was not likely to happen. However, he felt that sports might help him accomplish that
goal, so he did try out for the wrestling team. He worked hard, learned as much as he could, and he made
the varsity team as the 103-pound competitor (actually, there was no one else that light on the team, but
he didn’t know that). His coach, Terry Green, did all he could to help Trey find a wrestling style that
would take advantage of his relative arm strength (he made weight without legs, so his upper body was
relatively large) while overcoming the disadvantage of not being able to balance or leverage his body

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weight by spreading out his legs. Now it was up to Trey. He was nervous in his first match, didn’t assert
himself, and was easily pinned. In his second match he became the aggressor and earned his first