What is personality?
The first question…..
“The Steadfast Philosopher," by Gerard von Honthurst (1623)
Personality
• From the greek word
personé (masque worn
by dramatic actors)
• The meaning has changed
through history : from
“external illusion” to
“surface reality” and finally
to opaque or veiled inner
traits.
Personality
• It is seen today as a
complex pattern of
psychological
characteristics, largely
unconscious and not easily
altered, expressing
themselves automatically
in almost every facet of
functioning.
Defining Personality
• Affective and willingness
totality of the individual
(instinct, temperament,
character)
(Bini-Bazzi)
Allport (1937)
• Biosocial definition:
•the character of the individual as
a “social stimulus” personality
is a consequence of
interpersonal relationships.
• Biophisic definition: personality is the
totality of subjective qualities and
characteristics  it has an organic aspect
and a measurable quality.
Different meaning from:
Temperament
Millon-Davis
Temperament
Bini-Bazzi
From the greek word
temperà (melting pot)
it reflects the constitutional
disposition to activity and
emotionality
Aspect of personality
concerning affectivity and
elemental psychomotility
•emotivity (ability, intensity and
expressivity of own feelings)
•fundamental affective tone
Different meaning from:
Character
Millon-Davis
Character
Bini-Bazzi
From the greek word
charaktēr (incision) it
meanly indicates the moral
and social value dimensions
of personality
Totality of the elements
characterizing the values and
purpose of the individual
•self evaluation (ipervaluation,
subvaluation, ambivalence)
•purpose (submission, dominance)
Theophraste (c. 370 - c. 265)
Aristotle’s pupil, friend and collaborator before becoming
his successor at the Lyceum,
The little book of “Characters” was destinated to moral
education, rhetorical, dramatic formation or to simple
amusement?
Theophraste: The 30 characters
1. The Clever 2. The Flatterer 3. The Great talker 4.
The Lout 5. The Flagornor 6. The Rabble 7. The
Speechifier 8. The Gazette 9. The Shameless 10.
The Skinflint 11. The Boor 12. The Bore 13. The
busybody 14. The thoughtless 15. The Rude 16. The
Superstitious 17. The Grouser 18. The Being wary 19.
The Disgusting 20. The Bore 21. The maker 22. The
skinflints 23. The hablor 24. Arrogant 25. The couard
26. Reactionary 27. Old youth
28. The Scandalmonger
29. The Rabble
30. The covetous one
No definition of personality
could be considered
universally accepted…..
It depends on the different “personality
theory” of reference
Theories about personality
development
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Constitutionalistic
Olistic
Objectivistic
Social learning
Psychodinamic
Perception
Relational
Phenomenologicalexistentialist
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Cognitivistic
Functionalinstic (Allport)
Field theory (Lewin)
Personology (Murray)
Biosocial (Murphy)
Personal constructs
(Kelly)
• Self (Rogers)
• Marxism
• Factorial
Theories about personality
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Constitutionalistic
Olistic
Objectivistic
Social learning
Psychodinamic
Perception
Relational
Phenomenologicalexistentialist
•
•
•
•
•
•
Cognitivistic
Functionalinstic (Allport)
Field theory (Lewin)
Personology (Murray)
Biosocial (Murphy)
Personal constructs
(Kelly)
• Self (Rogers)
• Marxism
• Factorial
Hall C S, Lindzey G, Teorie della personalità, 1986, Boringhieri
serretti.alessandro@hsr.it
Theories about personality
development
•
•
•
•
•
•
•
•
Constitutionalistic
Olistic
Objectivistic
Social learning
Psychodinamic
Perception
Relational
Phenomenological-existentialist
Constitutionalistic theory
• From the ancient greek-roman medicine:
Hippocrates - Galen
• Humoral doctrines: all diseases stemmed
from an excess of or imbalance among
four bodily humours
Constitutionalistic theory
yellow bile =
hearth 
choleric
temperament
Constitutionalistic theory
black bile = water
 melancholic
temperament
Constitutionalistic theory
blood = fire 
sanguine
temperament
Constitutionalistic theory
phlegm = air 
phlegmatic
temperament
Ernst Kretchmer: Four basic
physical types
• pyknic: large thorax
and abdomen, soft
and poorly muscled
limbs, tendency
towards obesity
Ernst Kretchmer: Four basic
physical types
• athletic:
extensive
muscular
development,
broad skeletal
endowment
Ernst Kretchmer: Four basic
physical types
• asthenic: fragile,
possessing thin
muscularity, frail
bone structure
Ernst Kretchmer: Four basic
physical types
• dysplastic: a
mixture of the other
three variants
Ernst Kretchmer
• Psychotic disorders are
accentuations of normal
personality types
William Sheldon: Three basic dimension
• Endomorphy: predominance of
roundness and softness  viscerotomia
(gregariousnes, easy expression of
feeling and emotion, love of confort,
avoidance of pain, dependance on social
approval)
William Sheldon: Three basic dimension
• Mesomorphy: muscular and connective
tissue dominance  somatotomia
(assertiveness, physical energy, low
anxiety, courage, social callousness,
indifference to pain, need for action and
power when troubled)
William Sheldon: Three basic dimension
• Ectomorphy: linearity and fragility of
structure  cerebrotonia (restraint, selfconsciousness, introversion, social
awardness, desire for solitude when
troubled)
Somatotypes


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

Ectomorph
thin frail physique
cerebrotonia
shy, restrained, introspective
anxious, neurotic
Somatotypes
 Endomorph
 soft, rounded physique
 relaxed, social easy going
 depressed, over-indulgent
Somatotypes
 Mesomorph
 muscular, strong physique
 bold, assertive, energetic
 aggressive, hyperactive, Type A
Theories about personality
development
 Constitutionalistic
• Holistic
• Objectivistic
• Social learning
• Psychodinamic
• Perception
• Relational
• Phenomenological-existentialist
Holistic theory
• K. Goldstein
Is more useful studying an individual
completely than an isolated psychical
function in many individuals
Holistic theory
• A. H. Maslow
Personality is an integration of basic
needs
– physiological needs (hunger, thirst)
– security needs (belonging to a group, love)
– cognitive and aesthetic needs
Maslow's Hierarchy of Needs
“peak experience.”
self fulfillment
Actualizing Needs
esteem
belonging, love
Psychological Needs
safety
physiological
Basic Needs
Key Assumptions
inherent striving for selfrealization
 satisfaction of needs leads to
growth
 frustration of needs leads to
pathology
 self-actualization

Self-Actualized People
ideal self = perceived (actual)
 take responsibility for self-change
 acknowledge imperfections and
ordinary feelings like others
 accept themselves as worthwhile

Self-Actualized People
have a deep feeling of kinship
with others
 enjoy solitude as well as
companionship
 are able to focus on problems
outside themselves
 are strongly ethical, creative

Holistic theory
• P. Lecky
Personality is the maintaining of a
unified and auto - consistent aspect in
an unstable environment, from which
the individual accepts the self - coherent
values and rejects the others.
Abhidharma….oriental psychology
• The mind is the start
point, the focus point
and also, the arrival
point
• Psychopathology is
due to a lack of
control on the mindbody
Abhidharma….oriental psychology
• There is no agent
separated from the
action, no percept
separated from
perception, no coscient
subject separated from
conscience
• Meditation conducts to a
sane personality
– Concentration
– Attention
Theories about personality
development
 Constitutionalistic
 Holistic
• Objectivistic
• Social learning
• Psychodinamic
• Perception
• Relational
• Phenomenological-existentialist
Objectivistic theory
• Russian reflexologic school
– I. P. Pavlov
• force (scarce sensibility to peripheric stumuli)
• equilibrium (related to EEG indexes)
• mobility (adaptive capacity)
• American behaviourism
– J. B. Watson
• habits (cue + response) as fundaments
• drives (instinct and learning) as dynamic factors
Theories about personality
development
 Constitutionalistic
 Holistic
 Objectivistic
• Social learning
• Psychodinamic
• Perception
• Relational
• Phenomenological-existentialist
Social learning theory
• J.B Rotter
– personality is the characteristic way to
react to an identifiable situation
– potential behaviour (interaction between
the individual and the environment)
– expectation of the individual, based on
his/her past experiences
– reinforcement strictly connected to
motivation
– motivation
Theories about personality
development
 Constitutionalistic
 Olistic
 Objectivistic
 Social learning
• Psychodinamic
• Perception
• Relational
• Phenomenological-existentialist
Theories of
Personality
Sigmund Freud
...a distinctive and relatively
stable pattern of behavior,
thoughts, motives, and emotions
that characterizes an individual.
Alfred Adler
Jung and Adler were “Freud pupils”, who
used some Freudian ideas but developed
many ideas of their own...
Carl Jung
Freud’s
Psychoanalytic Theory
Three Main Components
• Thoughts and behavior are guided mainly by the
unconscious part of the mind.
• Sexual motivation plays a central role in
everyday life.
• Concept of “infantile sexuality”: erotic
experiences in infancy and early childhood
shape personality in adulthood.
Freud’s
Psychoanalytic Theory
Three Levels of the Mind
• Conscious: everything we are aware of at the
moment; just the “tip of the iceberg”.
• Preconscious: memories that we can bring to
consciousness.
• Unconscious: memories, wishes, and instincts
(desires) that are too threatening or painful to
bring to consciousness.
According to Freud, much of what people do,
think and feel is really a way of avoiding anxiety.
Anxiety is the way the body signals us that we face
a threatening situation.
For Freud, the threat comes from the unconscious:
an unacceptable sexual or aggressive impulse.
Protecting ourselves from this anxiety is normal
and natural. Carried to an extreme, it becomes a
psychological disorder:
Neurosis: a disorder in which one’s efforts to avoid
anxiety interfere with or limit normal human
functioning; it involves self-punishing, selfdefeating behavior, and emotional or physical
symptoms.
Freud assumed that neurotic patients were like
normal individuals; they just went too far in their
efforts to avoid anxiety.
The theory is harder to apply to a more severe type
of disorder:
Psychosis: an extreme mental disturbance
involving distorted perceptions of reality and
irrational behavior; basically, a complete break with
reality.
Freud said that personality is divided into 3 parts,
ID, EGO, and SUPEREGO. They are always in
conflict but most of the time the conflict is
unconscious.
Psychodynamic Theories
Motives
Unconscious
Conscious
Conflicts
Personality = Interplay
Key Assumptions
 psychic determinism - all feelings,
thoughts, actions have a purpose, are
motivated
 personality is determined by events or
actions from early life
 personality is the interplay of conscious
and unconscious conflicts, motives
Key Concepts
 developmental stages
 psychodynamic (object) relations
 defense mechanisms
Structure of the Mind
 Unconscious:
material unavailable to current awareness motivated forgetting
 Preconscious:
material available to awareness, momentarily out
of consciousness - lack of attention
 Perceptual Conscious: material in current
awareness
Windows to the Unconscious
 dreams
 humor
 slips of the tongue
Personality Structure
 ID: source of libidinal (sexual)
and aggressive drives
 Pleasure Principle: immediate
gratification of drives and
impulses
Personality Structure
 EGO: Source of rational choice
 Reality Principle: search for
realistic, balanced gratification
of drives
Personality Structure
 SUPEREGO: Source of “socially correct”
choice - “conscience”
 Morality Principle: demands for “perfect”
behavior “always”, regardless of
circumstances
Well-Balanced Personality
Structure
id
ego
demands
of
real world
superego
Antisocial Personality
id
ego
demands
of
real world
superego
Compulsive Personality
id
ego
demands
of
real world
super
ego
Depressed, Anxious
id
ego
superego
demands of
real world
Psychotic Personality
id
ego
superego
demands
of real world
Jung’s
Psychological Types Theory
• Attitudes (extroversion and introversion)
• Functions (judgement criteria: thought - feeling,
perception criteria: intuition - sensation)
• 8 psychological types based on the combination
of the two attitudes with the four functions
–
–
–
–
introverted
introverted
introverted
introverted
thought
feeling
intuition
sensation
extroverted
extroverted
extroverted
extroverted
thought
feeling
intuition
sensation
Jung’s
Psychological Types Theory
• Attitudes (extroversion and introversion)
• the attitude towards which the subject
orients him/herself :
– on the objective reality (extroverted)
– on the subjective reality (introverted)
• judgement functions (thought and
feeling)
– rational function: they proceed through value
attributions
• perception functions (intuition and
sensation)
– perceptive functions: they proceed through
sense
Adler’s Theory
• Personality is the result of the conflict
between power will (which attempts to
compensate the inferiority complex)
and social feeling (which is caused by
the need of co-operation of the
individual whit his/her limits)
• differences in personality are due to
different cultural values and
adaptability to the environmental
circumstances.
Reich’s Theory
• Personality is a chronic alteration of ego, to protect
it from internal and external harms
• it is an armour, and so a limitation of the psychic
mobility.
• This limitation is attenuated by some atypical
relationships, the only free communications in a
blinded system (bioenergetics)
• two principles
– endogenous = libido
– exogenous = “orgone” (education, ethics, “social needs”
satisfaction)
• these two principles are in conflict: personality is
the result
Reich’s Theory
• Hysteric: nervous, agile, inconstant,
apprehensive
• Coactus: inhibited, depressive
• Phallic - narcissistic: self confident,
arrogant, vigorous, impressive
• Masochist: who feels pleasant all the things
that other people feel unpleasant
Reich’s Theory - developments: A. Lowen
• Oral: characterised by the desire and pleasure to talk
as a mean to obtain attention, interest and love
• Masochist: characterised by a self directed
aggressiveness
• Hysteric: characterised by an excess of energy which
overcome the ego
• Phallic-narcissistic: characterised by exaggerated
sexuality and aggressiveness to compensate a
constitutional weakness
M. Klein’s Theory
• The development of personality is essentially
relationship related
• first relationship are fundamental for future
personality development: mother-infant relationship
• schizo - paranoid position: first 4 months of life
– aggressiveness co- exist with libido: the object is partial
and divided, the processes actuated are introjection and
projection; fear has a persecution character and the not integrated ego defends itself with scission and denial
• depressive position: after the fifth month of life
– scission between the good object and the bad object is
attenuated and the child perceives the mother as a whole
person; the fear becomes depressive for the imagined harm
of destroying the mother
Object Relations
 focus on mental representations of self
and others
 integration of the positive and negative
aspects into realistic whole
 formation of attachments – intimate
relations
 attachment theory
K. Horney’s Theory
• Personality develops as the result of the conflicts
between the individual and the environment,
between the need of a passive dependence and the
defence against an hostile society
• “basic anxiety” = is produced by all the situations
disturbing the confidence of children in the
relationship with their parents
• the children react against this basic anxiety with
different attitudes: hostility, submission, evasion,
which can become stable drives or needs in
personality dynamics
O. Rank’s Theory
• Personality depends on the fixation in one of the
three phases of development
– the phase in which the individual wants the things the
others want Dependent Character
– The phase of the conflict between the individual exigencies
and the exigencies of the others  Neurotic Character
– The phase in which the individual integrates his exigencies
with the exigencies of the others  Integrated Character
E. Fromm’s Theory
• Personality is the result of the conflict between
certainty research and freedom desire
• These are two contrasting exigencies because
certainty limits freedom and freedom is authentic
when it leaves out of consideration certainty
• Five types
– Receptive: depends on the others, sense of
inadequacy, masochistic
– Parasite: sadist traits, hostility, manipulation
– Possessive: personality structured on the material
possession
– Merchant: importance given to the social role
– Productive: tension to progress and trascendence
E. S. Sullivan’s Theory
• Relationships are essential in the development of
personality
• Dynamisms are the essential schemes of behaviour
in relationships
• Personifications are images (originated in infancy)
that the individuals attribute to themselves and to
others; when they are shared they become
stereotypes
• Cognitive processes are subdivided in:
– Protothaxic
– Parathaxic
– Synthaxic
Theories about personality
development
 Constitutionalistic
 Olistic
 Objectivistic
 Social learning
 Psychodinamic
• Relational
• Phenomenological-existentialist
Relational theory (Watzlawick)
• Personality is a system
• Personality is distinct by comunication
which has not any opposite, because both
activity and inactivity (words and silence)
are a message, and influence the others,
who have to answer to communication by
communicating themselves
Theories about personality
development
 Constitutionalistic
 Olistic
 Objectivistic
 Social learning
 Psychodinamic
 Relational
• Phenomenological-existentialist
K. Jaspers
• Attitude :
– Objective
– Autoreflectant
– Enthusiactic
• Images of the world
– Spatio-sensorial
– Psychic-cultural
– Metafisic
K. Jaspers
• Throug the same attitudes men
communicate to each other and
comprehend each other. When
attitudes are different, they live,
thought, act, near each other
without being in touch
Theories about personality
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•
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Constitutionalistic
Olistic
Objectivistic
Social learning
Psychodinamic
Perception
Relational
Phenomenologicalexistentialist
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•
•
Cognitivistic
Functionalinstic (Allport)
Field theory (Lewin)
Personology (Murray)
Biosocial (Murphy)
Personal constructs
(Kelly)
• Self (Rogers)
• Marxism
• Factorial
Hall C S, Lindzey G, Teorie della personalità, 1986, Boringhieri
serretti.alessandro@hsr.it
Factorial theories
• R.B. Cattell
– personality traits
– measure instruments
L=biographicinterview
Q=autovalidation inventory
T=objective tests 16PF
• H.J. Heysenk
– dimensions
– types (general factors), traits (group
factors), abitual responses, specific
responses
Raymond Cattell-History
•
•
•
•
Born 1905 in England
World War I led to interest in social issues
Initial training in physics and chemistry
Worked with Spearman--mathematical
emphasis
• Exposed to factor analysis in the U.S.
• A key figure in the trait and factor
movement during and after World War II
Trait Approach
(formal definition)
Traits are emotional, cognitive, and
behavioral tendencies that constitute
underlying personality dimensions
Trait & Factor Assumptions
• A myriad of human characteristics exist
• Basically, a smaller sub-set of personality traits
can account for human individual differences
• Traits may be identified both deductively
(consistent with an existing theory) or inductively.
• Different theorists proposed different traits based
on their methodological approach (e.g. Jung vs
Cattell)
• Traits vs states (e.g anxiety)
• There was a “Trait and Factor” era in psychology
Trait Approach
How do we measure traits?
Trait Approach
One approach would be to generate
labels for oneself (e.g., honest,
dishonest).
Trait Approach
What is the major problem with
this approach?
Trait Approach
There are over 18,000 words in
Webster’s dictionary that can be used
to describe an individual.
Many of these words however denote
similar characteristics
Trait Approach
Cattell (1957) reduced the majority of these words
to a list of 16 traits (e.g., warm,
emotionally stable, intelligent…)
Trait Approach
• factor analysis (a statistical technique
used to identify underlying
dimensions)
• given a list of items determine which
item(s) is related to which item(s)
Assumptions of Factor Analysis
• An inductive method
– Exploratory vs confirmatory factor analysis
• Founded on quantitative observations
• A data reduction approach
– Simplify original data
– Identify relationships (factors)
• Limited by the extent of original data and
the number of individual cases included
– A common bias in FA studies
Methods of Factor Analysis
• Quantification of a broad range of data
– Convergent and divergent
– Multiple methods
• Based on correlation and matrix algebra
• Factor loading (principle components analysis)
• Factor rotation (orthogonal - varimax - and
oblique)
• Factor interpretation (qualitative)
• Pre-computer computations were Herculean
Cattell’s Approach
• Source vs surface traits
• Extensive quantitative data (L, Q, & T data)
– Avoid method error variance
• Oblique factor rotation (factor intercorrelation)
• 16 PF Scale
• Cattell believed that he had found all of the
important personality traits
Cattell’s Trait Categories
• 23 Normal Primary Source Traits
• 12 Abnormal Primary Source Traits
• 8 Second order Source Traits
– Factor analysis of factor analysis
Cattell’s Dynamic Trait Theory
• Attitudes: a desire to act in response to a
situation.
• Ergs: 10 innate drives or motives
• Sems: social acquired attitudes (learned)
• Dynamic
– Inter-relation of attitudes, ergs, and seems
– Used to explain and predict behavior..
Trait Theory
• Cattell’s 16 PF
• 16 basic behavior clusters
• position on continua, creates profile
• relaxed – tense; trusting – suspicious;
practical – imaginative; submissive –
dominant; timid – venturesome
Hans Eysenk-History
•
•
•
•
Born 1916 in Germany
Went to England to escape the Nazi’s
Accidentally entered psychology
Influenced by psychometrically oriented
teachers (Spearman)
• Study of the effectiveness of
psychotherapy
Eysenk’s Approach
• Hypothetic-deductive: pre-analysis
theorizing
• Genetic-biological emphasis
• Traits are “important semi-permanent
personality dispositions.”
• Use of orthogonal rotation
• Focus on Types or derived factors--aiming
for maximum simplicity
Eysenk’s Factors
• Factor characteristics
– Bi-polar factors
– Normally distributed
• Extraversion-Introversion
• Neuroticism-Stability
• Psychoticism-Superego function
Evaluation of Trait & Factor
Theories
•
•
•
•
•
•
Generated much research
Precise and testable
Moderately falsifiable
Applied value (16 PF and MPI)
Research validity
Parsimony
Trait Approach
(Five Factor Model)
A good acronym to use in remembering
these five factors is:
OCEAN-
openness
conscientiousness
extroversion
agreeableness
neuroticism
Trait Theory
• Big Five
•
•
5 higher order factors
OCEAN – openness, conscientiousness,
extraversion, agreeableness, neuroticism
• Really Big 2
• extraversion – introversion
• stability – instability
Trait Approach
(Five Factor Model)
Can anyone see a
potential problem with
this research?
Hint: On what has this
work been based?
Trait Approach
(Five Factor Model)
The potential problem pertains to
whether these traits are crossculturally universal?
Trait Approach
(Five Factor Model)
McCrae and colleagues (1997, 1998)
these five factors do appear to be
similar across cultures
Trait Approach
(Five Factor Model)
• when words are translated the five traits
appear
• when words from the native language are
used the five traits do not always hold up
e.g., Chinese - only three of the five
factors appeared
Trait Approach
(advantages)
• Traits are measurable
• Develop more objective personality tests
– MMPI (Minnesota Multiphasic Personality
Inventory)
• Two methods to approach
the study of personality:
–NOMOTHETIC or CONSTRUCT
CENTERED (Alport,1937)
–IDIOGRAPHIC
Nomothetic approach
• Is concerned with personality in an
abstract sense not with any one individual.
• The emphasis is on discovering how
certain constructs relate or coher with
others, and why.
Personality is an integrated
phenomenon:
•
•
•
•
•
•
Needs
motives
mechanisms
traits
schemas
defenses
Personality is described in terms
of deviation of individual scores
from the group mean…...
• The combination of various levels of
individual difference variables constitutes
individuality.
• Numerous scales representing a selection
of personality traits are factor analized for
“latent” pattern of covariation.
• The larger factors are taken as fundamental
dimensions of personality.
Advantages
• Looking at personality in the abstract, not
being grounded to any one person.
• “genuinely scientific enterprise”.
• single, measurable and comparable
phenomena.
Idiographic approach
• Enphasizes individuality, complexity and
uniqueness of each person
• individuality is the result of a unique
history of trans-action between biological,
(temperament and genetic constitution)
and contextual factors
“The history of personality is
personality” (Murray, 1938)
• Not only a cross-sectional description but
also an elucidation of the specific
develomental constraints
– possibilities
– experiences
– free will
– chance
Various definitions
various study approaches
various personality theories
Is personality a persistent
feature?
The second question...
Personality: relationship to Axis I disorders
T
I
M
E
Onset
Complication model:
Prolonged Axis I disorder
produces personality changes
Vulnerabily model:
Psychosocial stressors penetrance
personalitydefenses to different depths.
When no coping responses are
available an Axis I disorder ensues
Pathoplasty model:
Althought personality is
not involved in the
development of an Axis I
disorder once one exist,
personality influences its
course
All these models..
• ..are possible and likely to be true for
different individuals
• In fact it is not impossible that all are
applicabile within a single individual to
some degree
Approaches to classification of PD
• Categorical models  Traits
• Dimensional models  EPQ, Cattell
• Prototypal model  DSM III, IV etc…
Empirical issues
• Are clinical syndromes discrete
entities?
• Can they be clearly separated?
• Is personality consistent?
• Behaviours over time and situations
rarely achieve correlations beyond
the 0.30 level, the so called
“personality coefficient” (Mischel,
1979)
The third question...
Genetics
What is the matter with
personality?
Demonstrating Genetic
Influence in the Past
• Pedigree Analysis
• Twin Studies
– MZ vs. DZ concordance
• Adoption Studies
Demonstrating Genetic
Influence in the Future
• Direct DNA analysis of affected
individuals
• Gene rescue
Overview
• What is a Gene?
• How Genes Influence Behavior?
• Research
Theory of Evolution
• Charles Darwin’s On the Origins of the Species, 1859
• Species undergo gradual orderly change
– fossil record
– structural similarities among existing species
– programs of selective breeding
– observations of evolution in progress
Darwin proposed mechanism of natural selection
Mendelian Genetics
• Gregor Mendel was simultaneously
studying dichotomous traits in true
breeding lines
– genes
– alleles
– dominant/recessive
– genotype/phenotype
– homozygous/heterozygous
Genes
• Deoxyribonucleic Acid (DNA)
• Double-Helical Structure discovered 1953
• Transcription to proteins
• 23 chromosome pairs
• 18,000 - 20,000 genes
• 3 Billion Bases
• only 1-2% of DNA
codes for genes
How Genes Work
•
•
•
•
DNA is made of nucleotides (A,T,C,G)
Pattern of nucleotides determines amino acid ID
String of amino acids form protein
Proteins constrain structure and function of
organism (interacting with the environment)
• Only about 1-1.5% is coded DNA, other 99% is
poorly understood but regulates coding
How genes influence phenotype
• Genes rarely cause phenotype
– quantitative effects are more common
• Genes determine the range of possible
responses to the environment
• Genes always interact with environment to
determine outcome
– e.g., environment can turn on/off gene
transcription
Hunt for genetic influence
Phenotype
Gene (one gene at a time)
Gene
Phenotype (now possible)
* non-coding (regulatory) DNA may also
influence phenotype. I.e., nicotine addiction
and neuroticism with regulation of serotonin
(HTTLPR)
Single Gene vs. Oligogenic traits
• Qualitative vs. Quantitative traits
• Mendelian traits/diseases are relatively rare
– Sickle cell anemia is caused by a single point
mutation (A to T) in one of the genes that specifies
hemoglobin protein of red blood cells.
• Most diseases, like heart disease, obesity or
schizophrenia are thought to be polygenic
– still important to identify particular influences
Technological Advances
• Human Genome project
– consensus sequence June, 2000
• Identification of polymorphic DNA
–
–
–
–
–
Single nucleotide polymorphisms (snps)
variations from consensus sequence in at least 1%
information about disease susceptibility
information about early human migrations
approximately 2,500,000 such variations contribute to
differences in phenotype
Genes, Environment &
Personality
Behavioral Genetics (BG)
• Interested in Determining Source of
Individual Differences
– Genetic Influences (G)
– Environmental Influences (E)
– Interactions Between G and E
Is Behavioral Genetics
“Deterministic”?
• “Influence” versus “Determine”
• Rarely is behavior "completely" genetic
• Genetic influence does not preclude
environmental intervention.
• Role of Environment is extremely profound
/ important
Genotype:
•
•
•
•
Genetic makeup of the individual.
Identical Twins Share Same Genotype
Siblings share ½ their genotype
Parents and biological children share ½
their genotype.
Phenotype:
• Any Measurable, Observable
Characteristic
• (Examples:)
– Specific Behaviors
– IQ (Note Difference between IQ and
“Intelligence”)
– Disorders (or symptoms)
– Height, Weight, Hair Color
– Personality Traits
Environment:
• Anything not genetically inherited
• Includes pre-natal influences
– Shared Environment: Environmental Effects shared
by family members
• Physical Structure of Home
• Parental Discipline Style???
– Non-shared Environment: Environmental. Effects
unique to the individual -- NOT shared by family
members.
• Illnesses
• Peers
• Differing Perceptions???
Single Gene Explanations of
Complex Behaviors are Unlikely
to be Correct
Most Complex Characteristics Influenced by
Multiple Genes
– Intelligence / IQ
– Personality
• Behaviors above usually normally distributed in
population
How are Genetic Influences
Investigated?
Family Studies
Genes
Environment
Adoption Studies
Biological
Adoptive
Genes
Environment
Twin Studies
• Monozygotic Twins
• 100% genetic overlap
• Dizygotic Twins
• 50% genetic overlap
• Concordance rate of traits
• similarity of the twin pair – both high, both
low
Amazing “Lost Twins”
Two Jims
 married women named Linda &
Betty
 named sons James Allan
 chain smoked Salems
 drove Chevrolets
 had workshops in the basement,
enjoyed carpentry
 had a minor heart attack
 gained and lost 10 pounds
Amazing “Lost Twins”
Two Jims
 these males were MZ twins
(100% genetic overlap);
 separated at birth;
 became acquainted (reunited)
at age 36
Amazing “Lost Twins”
L
•
•
•
•
•
•
•
•
•
•
•
•
and D
had Ph.D’s and were university professors
drove VWs
had brothers named John
jogged and played racquetball
gourmet cooks and had same cookbooks
used same deodorant, make-up, toothpaste
stored rubber bands on cupboard handles
got married and divorced in same years
read many of the same magazines/ books
lived in Oklahoma and Chicago
ordered same clothes from LL Bean
had 3 identical pairs of Bass shoes
Amazing “Lost Twins” - NOT
L and D
 these females were totally unrelated
(had no genetic overlap);
 were reared apart in Illinois and
Texas;
 became acquainted at age 34
 what accounts for their amazing
similarities?
Global Personality Traits
• Minnesota reunited twin studies
• MZ twins - 100% genetic overlap
• DZ twins - 50% genetic overlap
• compared concordance when reared together or
reared apart
• heritability = 0.39 - 0.58 on a wide range
of traits
Twin Study Method
• Twins Differ with respect to genetic
relatedness
– MZ (Identical) Twins Share 100% of Genes
– DZ (Fraternal) Twins Share 50% of Genes
• MZ and DZ Twins are equal with respect to
shared environment
• If MZs more similar than DZs, infer genetic
influence
• If MZs differ, assume environmental influence
Special Case: Identical Twins
Reared Apart (MZA)
Big 5 Trait Descriptors (OCEAN)
• Openness to experience: curiosity, flexibility,
unconventional attitudes
• Conscientiousness: diligent, disciplined, wellorganized, dependable
• Extraversion: outgoing, sociable, upbeat,
assertive
• Agreeableness: sympathetic, trusting,
cooperative, straightforward
• Neuroticism (anxiousness): anxious, irritable,
self-conscious..
Extraversion – 5 Twin Studies
Britain US
Men
MZ
DZ
Swe. Austral.
Finl.
.65
.25
.57
.20
.47
.20
.50
.13
.46
.15
Women
MZ .46
DZ .18
.62
.28
.54
.21
.53
.19
.49
.14
Neurobiological
bases of personality
The Brain
• Brain reaches its
maximum number
of synaptic
connections and its
greatest metabolic
activity around age
3 or 4
Brain Hemispheric Hypothesis
• Left side of Brain-Role in Positive
Emotions-Creative side of Brain
• Right side of Brain-Role in Negative
Emotions-Methodological, systematic side
of Brain
Messages from Brain Travel by
Nervous System
• The Central Nervous
System is the
Communications
Highway of the body
• Brings help to the
body based on the
messages it screens
from the environment
Neurons where the messages
are delivered!
• Bio-chemical
electrical impulses
create a cascade of
effects based on the
message sent to
various organ
receptors of the body
Neurotransmitters Impacted
Too!
• Not only are there
physiological changes
but there is altering of
neurotransmitters
based on messages
from brain
• Absence or
overabundance can
create whole new set
of consequences
Neurotransmitters
• Brain = Billions of Brain Cells-Neurons
• Neurons transmit information – electrical
conduction within nerve cells & between
nerve cells
• Message once carried through body cell
(Axon) crosses space –Synapse to
receiving cell
Types of Neurotransmitters
•
•
•
•
Dopamine-dopaminergic system
Norepinephrine-noradrenergic system
Serotonin-serotonergic system
Control senses, thinking, perception,
mood, attention, and behavior
• Unfortunately at this time we can not
measure amount for baseline therapeutic
levels
Neurotransmitter
Noradrenalin
Anxiety
Response
to stimuli
Energy
Interest
Motivation
Mood
Emotion
Thik
Serotonin
Impulsivity
Sex
Appetite
Aggressivity
Impulse
Healy & McMonagle
J Clin Psychiatry 9 / 1999, p. 625
Dopamin
Dopamine Receptors and
Personality Traits
Nature, 1991
Nature, 1992
“Novelty Seeking” Gene
D4 Dopamine Receptor Gene
SHORT FORM
LONG FORM
More Extraverted
Less Deliberate, Conscientious
Higher Novelty Seeking
Potential susceptibility genes Novelty
Seeking
• Ebstein et al (1996) Dopamine D4 receptor (D4DR)
exon III polymorphism associated with the human
personality trait of Novelty Seeking. Nat Genet
12:78-80.
 Association between NS and the 7 repeat allele in the
locus for DRD4 (11p15.5) in a group of 124 unrelated
Israeli normal subjects. NS was assessed from the
Tridimensional Personality Questionnaire (TPQ)
(Cloninger et al., 1987).
Potential susceptibility genes
Novelty Seeking
• Benjamin et al (1996) Population and familial
association between the D4
dopamine
receptor gene and measures of Novelty Seeking.
Nat Genet 12:81-84.
Association between NS and long alleles of DRD4
gene in 315 subjects, mostly male siblings from United
States. This study utilized the NEO Personality
Inventory (NEO-PI-R)(Costa and McCrae, 1992) from
which TPQ NS scores can be estimated.
Potential susceptibility genes
Novelty Seeking
Ebstein, R. P., et al., 1996. Dopamine D4 receptor (D4DR) exon III polymorphism associated with the human personality trait of
Novelty Seeking. Nat Genet 12, 78-80.
Ebstein, R. P., et al., 1997. 5-HT2C (HTR2C) serotonin receptor gene polymorphism associated with the human personality trait of
reward dependence: interaction with dopamine D4 receptor (D4DR) and dopamine D3 receptor (D3DR) polymorphisms. Am J
Med Gen 74, 65-72.
Jonsson, E. G., et al., 1997. Lack of evidence for allelic association between personality traits and the dopamine D4 receptor gene
polymorphisms. Am J Psychiatry 154, 697-9.
Ono, Y., et al., 1997. Association between dopamine D4 receptor (D4DR) exon III polymorphism and novelty seeking in Japanese
subjects. Am J Med Gen 74, 501-3.
Sander, T., et al., 1997. Dopamine D4 receptor exon III alleles and variation of novelty seeking in alcoholics. Am J Med Gen 74, 4837.
Vandenbergh, D. J., et al., 1997. No association between novelty seeking and dopamine D4 receptor (D4DR) exon III seven repeat
alleles in Baltimore Longitudinal Study of Aging participants. Mol Psychiatry 2, 417-9.
Jonsson, E. G., et al., 1998. Lack of Association Between Dopamine D4 Receptor Gene and Personality Traits. Psychol Med 28,
985-989.
Noble, E. P., et al., 1998. D2 and D4 dopamine receptor polymorphisms and personality. Am J Med Gen 81, 257-67.
Staner, L., et al., 1998. Association between Novelty-seeking and the Dopamine D3 receptor gene in bipolar patients - A preliminary
report. Am J Med Gen 81, 192-194.
Auerbach, J., et al., 1999. Dopamine D4 receptor (D4DR) and serotonin transporter promoter (5-HTTLPR) polymorphisms in the
determination of temperament in 2-month-old infants. Mol Psychiatry 4, 369-373.
Bau, C. H., et al., 1999. Dopamine D4 receptor gene and personality dimensions in Brazilian male alcoholics. Psych Genet 9, 13943.
Kuhn, K. U., et al., 1999. Allelic variants of dopamine receptor D4 (DRD4) and serotonin receptor 5HT2c (HTR2c) and temperament
factors: Replication tests. Am J Med Gen 88, 168-172.
Paterson, A. D., et al., 1999. Dopamine D4 receptor gene: novelty or nonsense? Neuropsychopharmacology 21, 3-16.
Benjamin, J., et al., 2000. Association between tridimensional personality questionnaire (TPQ) traits and three functional
polymorphisms: dopamine receptor D4 (DRD4), serotonin transporter promoter region (5-HTTLPR) and catechol Omethyltransferase (COMT). Mol Psychiatry 5, 96-100.
Kotler, M., et al., 2000. Failure to replicate an excess of the long dopamine D4 exon III repeat polymorphism in ADHD in a family-
Molecular Genetic Studies
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
Ebstein
Benjamin
Compton
Ebstein
Sullivan
Staner
Ekelund
Strobel
Hill
Kuhn
Ekelund
Persson
Comings
Lusher
Suhara
1996
1996
1996
1997
1998
1998
1999
1999
1999
1999
1999
2000
2000
2001
2001
DRD4
DRD4
DRD2
DRD3, HTR2C,DRD4
DRD4
DRD3
DRD4
DRD4
DRD2 and DRD4
DRD4 and 5HTT
DRD4
DRD4
DRD4
DRD4
DRD2 (PET study)
TCI Novelty Seeking
NEO Novelty Seeking
TCI NS In cocaine abusers
TPQ RD and P
TCI NS negative
TPQ NS in bipolar subjects
TCI Novelty seeking
TPQ novelty seeking
MPQ Affective Dimension
TPQ NS and RD (DRD4)
TCI Novelty Seeking
NEO NS negative
TCI self trascendence
TCI NS in substance ab.
TCI NS and DRD2 binding
Molecular Genetic Studies
•
•
•
•
•
•
•
•
•
•
•
Herbst
Persson
Tsai
Mitsuyasu
Ronai
Kusumi
Bookman
Jonsson
Okujama
Tsai
Tsai
2000
2000
2001
2001
2001
2002
2002
2002
2002
2002
2002
DRD4 and 5HTT
DRD4
alpha1a NaR
DRD4
DRD4
5HT2A
DRD4
DRD4
DRD4
5HTT
NaT
TCI NS and HA negative
NEO Extroversion negative
TPQ Reward dependence
TCI Reward dependence
TCI Novelty Seeking
TCI negative all dim.
NEO Extroversion
TCI NS negative
TCI NS in Japanese
TPQ Harm Avoidance
TPQ Reward Dependence
5-HTT gene
Promotor
polymorphism
s/l
Serotonin
transporter
(5-HTT)
VNTR
polymorphism
(intronic)
REGULATORY VARIANT OF 5-HT TRANSPORTER
A functional polymorphism in the transcriptional control region upstream of the 5-HTT
coding sequence (5-HTTLPR) has been reported (Heils et al., 1996).
Anxiety-related traits
short variant of the
serotonin transporter gene
(5-HTT or SERT)
Munafo, 2005
Savitz, 2004
Schinka, 2004
Association studies between Harm Avoidance trait and
SERTPR serotonin transporter polymorphism
Author
Year
Sample size
Associated allele
Scale used
1. (Lesch, 1996)
1996
505
Short allele
TPQ
2. (Ebstein, 1997)
1997
120
None
TPQ
3. (Nakamura, 1997)
1997
203
None
TCI
4. (Ricketts, 1998)
1998
84
(47 Parkinson disease +
37 controls)
Short allele
TPQ
5. (Gelernter, 1998)
1998
322
None
TPQ
6. (Kumakiri, 1999)
1999
144
None
TCI
7. (Katsuragi, 1999)
1999
101
Short allele, SS genotype
TPQ
8. (Osher, 2000)
2000
148
SS genotype
TPQ
9. (Herbst, 2000)
2000
425
None
TCI
10. (Samochowiec, 2001)
2001
127
Long allele
TCI
11. (Van Gestel, 2002)
2002
219
Long allele
TCI
12. (Tsai, 2002)
2002
192
None
TPQ
13. (Jacob, 2004)
2004
601
(cluster C personality
disorder patients)
Short allele
TPQ
14. (Samochowiec, 2004)
2004
100
None
TCI
15. (Kim, 2005)
2005
211
None
TCI
16. (Serretti, 2006)
2006
207
(73 major depressive
disorder + 134 bipolar
disorder)
SS genotype associated with low NS
scores
TCI
17. (Rybakowski, 2006)
2006
225
(132 anorexia nervosa +
93 controls)
None
TCI
18. (Monteleone, 2006)
2006
219
(125 bulimia + 94
controls)
Short allele
TCI
19. (Becker, 2006)
2006
384
None
J-TCI
(a) SERTPR and Intron 2 VNTR serotonin transporter polymorphisms
Overview of associations between temperament factors and candidate genes
(symbols refer to published studies: + positive study, - negative study)
HARM
AVOIDANCE
SEROTONIN
5-HT1A
+
5-HT2A
++----
5-HT3A
+
NOVELTY
SEEKING
REWARD
DEPEND
ENCE
++----
+
5-HT2C
DOPAMINE
MONOAMINE OXIDASE
A
CATECHOL-OMETHYLTRANSFERASE
CYTOCHROME P450
+
PERSIST
ENCE
+
HTTLPR
+++++++++++++++++++
+++----------------------
+
DRD2
++--
++---
DRD3
-
++----
DRD4
++-+
++++++++++++++++++
++++-------------------
+
+
MAO-A
+--
+---
+-
+
+
++++
+
COMT
CYP2D6
EGF
NOREPINEPHRINE
TRANSPORTER
NET
+-+
+
CYP2C19
EPIDERMAL GROWTH
FACTOR
+
+
+
+
-
+
An integrative perspective
• Both the nomothetic and idiographic
perspectives are unsatisfying
• Individuals cannot be made so individual
that they become ineffable
• The individual is a singular phenomenon
only partially accessible to science and
its methods
• We are called on not merely to record
behaviour in this or that domain, but to
explain it