A Psychobiological Model of Temperament

and Character
C. Robert Cloninger, MD; Dragan M. Svrakic, MD, PhD; Thomas R. Przybeck, PhD

In
study, we describe a psychobiological model of the structure and development of
this
personality that accounts for dimensions of both temperament and character. Previous re-
search has confirmed four dimensions of temperament: novelty seeking, harm avoidance,
reward dependence, and persistence, which are independently heritable, manifest early in
life, and involve preconceptual biases in perceptual memory and habit formation. For the first time,
we describe three dimensions of character that mature in adulthood and influence personal and
social effectiveness by insight learning about self-concepts. Self-concepts vary according to the extent
to which a person identifies the self as (1) an autonomous individual, (2) an integral part of hu-

manity, and (3) an integral part of the universe as a whole. Each aspect of self-concept corresponds
to one of three character dimensions called self-directedness, cooperativeness, and self-
transcendence, respectively. We also describe the conceptual background and development of a
self-report measure of these dimensions, the Temperament and Character Inventory. Data on 300
individuals from the general population support the reliability and structure of these seven person-
ality dimensions. We discuss the implications for studies of information processing, inheritance,
development, diagnosis, and treatment. (Arch Gen Psychiatry. 1993;50:975-990)
Several lines of research are converging to dent reports of spouses and other collat¬
facilitate the integration of categorical and eral informants.10
dimensional methods for diagnosing per¬ Despite this progress in assessment
sonality disorder. First, explicit diagnostic methods, no consensus has been reached
criteria were developed to define tradi¬ on the number or content of the dimen¬
tional categories of personality disorders,1 sions needed to describe personality dis¬
and structured interviews were developed order.5·12·13 Five factors, plus or minus two,
that make such diagnoses reliably.2·3 Sec¬ account for most variation in personality
ond, self-report scales for rating quantita¬ between individuals in the general popu¬
tive dimensions of personality were devel¬ lation.12·13 When observer-rated or self-
oped using factor analysis of traits observed reported behavior is factor analyzed, two
in individuals with personality disor¬ factors like neuroticism (vs stability) and
ders4"6 or in the general population'^; these extraversion (vs introversion) are consis¬
were shown to be reliable and to correlate tently described. There is less consistency
highly with one another.3·10 Third, self- in the content of the third factor; Eysenck
reported dimensional measures were shown and Eysenck7 described tough-mindedness;
to explain much of the reliable variance in Tellegen,9 constraint; and Costa and McCrae,10
interview diagnoses of personality disor¬ openness to experience. In a popular five-
ders11 and to agree closely with indepen- factor model, two additional factors are con¬
scientiousness and agreeableness, but the
From the Department of Psychiatry, Washington University School of Medicine, optimal rotation and content of alternative
St Louis, Mo. five-factor models remain subjects of active-

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 debate.1014 Furthermore, the five- neuroticism scores are frequent in in¬ of learning in humans and other ani¬
factor model does not capture some dividuals with personality disor¬ mals, as well as psychometric stud¬
domains of personality relevant to per¬ der,11 but are not diagnostically spe¬ ies of personality in individuals and
sonality disorders, such as indi¬ cific; many psychiatric patients in twin pairs.18 The original model
vidual autonomy, traditional moral without personality disorder also have described three dimensions of per¬
values, and other aspects of matu¬ high neuroticism scores and some in¬ sonality that were postulated to be
rity and self-actualization described dividuals with high neuroticism scores genetically independent of one an¬
in humanistic and transpersonal psy¬ have no psychiatric disorder.13 Ac¬ other. The dimensions were called nov¬
chology.13 Studies of natural lan¬ cordingly, the use of the five-factor elty seeking, harm avoidance, and re¬
guage provide evidence of seven di¬ model for clinical diagnosis has been ward dependence, and were measured
mensions of personality, including two criticized in part because the con¬ with a 100-item self-report inventory
self-evaluative dimensions for good tent of its individual factors is clini¬ called the Trimensional Personality
and bad self-concepts that are cally heterogeneous.12 Questionnaire (TPQ).23 Recently the
labeled positive and negative In addition, the content of fac¬ model was extended to measure seven
valence.12 tors defined by factor analysis of in¬ dimensions of personality with the
Nevertheless, asthe number of dividual case descriptions is also etio- addition of measures of persistence, self-
measured factors increases in avail¬ logically heterogeneous. Gray16·17 used directedness, cooperativeness, and
able instruments, the cumulative pro¬ observations about the effects of an- self-transcendence. This extension is
portion of shared variance is likely tianxiety drugs on personality to ar¬ based on a synthesis of information
to increase between alternative mod¬ gue that the behavioral factors of about social and cognitive develop¬
els. In other words, what is left out neuroticism and extraversion- ment and descriptions of personality
of one model can be added until a introversion do not correspond to their development in humanistic and
comprehensive set is accumulated. underlying biologic variation. He transpersonal psychology. This seven-
However, factor analysis of indi¬ showed that drugs that reduce scores factor model supersedes models with
vidual case descriptions can only de¬ on measures of neuroticism, such as fewer factors and is formulated to al¬
termine the minimum number of alcohol and benzodiazepines, also low differential diagnosis of personal¬
measured dimensions, and cannot de¬ consistently reduce scores on mea¬ ity disorder subtypes from one an¬
compose their underlying causal struc¬ sures of introversion, suggesting that other and from other psychiatric
ture. Extrastatistical information is these dimensions are not etiologi- disorders.
needed to specify the structure of the cally independent, but rather share The model was extended to be
underlying biologic and social vari¬ biological determinants. Likewise, more comprehensive and to im¬

ability in personality traits. In other Cloninger1819 showed that the phe- prove the diagnosis of personality dis¬
words, descriptive data about indi¬ notypic structure of personality may order. We observed that the original
vidual behavior are not sufficient to per¬ differ from the underlying bioge- three dimensions distinguished among
mit any strong preference among al¬ netic structure because the observed subtypes of personality disorders, but
ternative ways of summarizing behavioral variation is the result of did not consistently differentiate in¬
personality traits. Advocates of a par¬ the interaction of genetic and envi¬ dividuals with personality disorders
ticular model derived by factor analy¬ ronmental influences. For example, or poor social adjustment from other
sis must ultimately base their pref¬ extraversion and tough-mindedness well-adapted individuals with ex¬
erence on authority or tradition if they are composed of elements that are treme personality profiles.24 Further¬
eschew external etiologic criteria.8 An genetically independent but share more, coverage of the personality
example of utmost importance in the common environmental factors.20"22 domain was incomplete with a three-
assessment of personality disorder is Such experimental information on dimensional model: some DSM-
the content of the factor called neu- etiologic factors helps to choose lll-R personality disorders such as
roticism. According to the authors of among an infinite set of alternative paranoid and schizotypal personal¬
a popular five-factor inventory, neu- models of personality structure. ity had been neglected, and some per¬
roticism measures adjustment com¬ To test hypotheses about the sonality factors measured in other di¬
pared with emotional instability and causal structure of personality, a gen¬ mensional models could not be
identifies individuals who are prone eral psychobiological model of per¬ explained by the TPQ. In a compan¬
to psychological distress, unrealistic sonality was developed and de¬ ion article25 we show that the pres¬
ideas, excessive cravings or urges, and scribed by Cloninger18 in two stages. ence of an interview diagnosis of per¬

maladaptive coping responses.15 ft is The model was initially based on a sonality disorder by DSM-U1-R criteria
a clinically heterogeneous compos¬ synthesis of information from twin is consistently predicted by low scores
ite of anxiety, hostility, depression, and family studies, studies of longi¬ on two personality dimensions: self-

self-consciousness, impulsiveness, and tudinal development, neuropharma- directedness and cooperativeness. De¬
general emotional vulnerability. High cologic and neurobehavioral studies pending on these scores, the risk of

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 personality disorder in a clinical fragments.33"33
In other words, con¬ ior, not consideration of its un¬
by
sample varied from 11% to 94%, so scious memories are concept-based derlying biologic and social deter¬
that the relationship to diagnosis is whereas unconscious memories are minants. In this psychobiological
strong. In addition, the other five di¬ percept-driven. model, four dimensions of person¬
mensions permit differential subtyp- Hippocampal processing and ality involve automatic, preconcep-
ing of all the individual DSM-III-R long-term storage in association cor¬ tual responses to perceptual stimuli,
personality disorder categories. tex appear to be essential for con¬ presumably reflecting heritable bi¬
Next, we briefly summarize the solidation of explicit memories that ases in information processing by the

development of the model and then can be intentionally retrieved; in con¬ perceptual memory system. These four
describe the structure and content of trasthippocampal processing is not dimensions will be referred to as tem¬
the factors to inform clinicians about required for retention of implicit perament factors, in contrast to the
their practical clinical use. Sample memories that are unintentionally re¬ three factors that appear to be concept-
questions are provided. trieved without any conscious recall based. The three personality factors
of the original experiential events.31·32·36 based on differences in self-
MATERIALS AND METHODS Lesion studies in humans and other concepts will be denoted as charac¬
primates show that conceptual in¬ ter dimensions.
Development of the formation is processed and stored in The temperament dimensions
Psychobiological Model a cortico-limbo-diencephalic system were defined in terms of individual
that includes the higher order sen¬ differences in associative learning in
Personality has been defined as "the sory areas of the cortex, the entorhi- response to novelty, danger or pun¬
dynamic organization within the in¬ nal cortex, the amygdala, hippocam¬ ishment, and reward. They have been
dividual of those psychophysical sys¬ pal formation, the medial thalamic described previously in detail.18 One
tems that determine his unique ad¬ nuclei, ventromedial prefrontal cor¬ temperament factor, novelty seeking,
justments to his environment."26 tex, and the basal forebrain. In con¬ is viewed as a heritable bias in the
Learning has been likewise defined trast, perceptual memories underly¬ activation or initiation of behaviors
as "the organization of behavior as a ing unconscious habits are stored in such as frequent exploratory activity
result of individual experience."27 a cortico-striatal system, which in¬ in response to novelty, impulsive de¬
Therefore, differences between indi¬ cludes the sensory cortical areas, and cision making, extravagance in ap¬
viduals in the adaptive systems in¬ the caudate and putamen.28·30 An ex¬ proach to cues of reward, and quick
volved in the reception, processing, ample of the anatomical separation loss of temper and active avoidance
and storing of information about ex¬ of these two memory systems is that of frustration. A second tempera¬
perience define personality in gen¬ monkeys with combined amygdalo- ment factor, harm avoidance, is viewed
eral. Two types of memory systems hippocampal removal show severe im¬ as a heritable bias in the inhibition
have been distinguished in pri¬ pairments in conceptual memory tasks or cessation of behaviors, such as pes¬
mates.28"30 Conscious experiences are (such as visual recognition) after de¬ simistic worry in anticipation of fu¬
represented as words, images, or sym¬ lays of only a minute, but they learn ture problems, passive avoidant be¬
bols about facts and events that have perceptual memory tasks (such as haviors such as fear of uncertainty
explicit meanings and functional re¬ concurrent visual discrimination and shyness of strangers, and rapid
lations with one another that we can habits) as quickly as normal fatigability. The third temperament
consciously retrieve, declare ver¬ animals.28·37 factor, reward dependence, is viewed
bally, and act on intentionally. In con¬ Associative learning, such as op¬ as a heritable bias in the mainte¬

trast, unconscious, implicit, or pro¬ érant conditioning of habits and af¬ nance or continuation of ongoing
cedural memories involve presemantic fective responses, requires direct per¬ behaviors, and is manifest as senti¬
perceptual processing that encodes ceptual experience of the events but mentality, social attachment, and
concrete visuospatial structural in¬ does not involve conscious recall or dependence on approval of others.
formation and affective valence; such recognition of the contingencies that Differences between individuals
perceptual processing can operate in¬ modify behavior.16 In contrast, con¬ based on these dimensions are observ¬
dependent of abstract conceptual, in¬ ceptual learning is conscious and ab¬ able in early childhood and are mod¬
tentional, or declarative pro¬ stractly symbolic, as is verbal learn¬ erately predictive of adolescent and
cesses.31·32 For example, individuals ing in which symbolic communication adult behavior.39 Accordingly, these
with amnesia who cannot recognize can alter expectancies about the en¬ aspects of personality denote traits that
or recall prior exposure to particular vironment and behavior.38 are usually considered temperament

pairs of words may have long- Prior personality models failed factors because they are heritable, mani¬
lasting affective responses and im¬ to distinguish
between distinct as¬ fest early in life, and apparently in¬
provement of their ability to com¬ pects memory because they were
of volve preconceptual or unconscious
plete the word from partial letter derived by factor analysis of behav- biases in learning.

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 The of temperament
structure conceptual learning biases involved ment of self-concepts (ie, charactero-
in this model wasinferred largely in temperament.43 Hence we extend logical response sets) are distin¬
from genetic studies of personality our theory of personality to allow guished according to the extent to
in humans and neurobiological for the development of concept- which a person identifies the self as
studies of the functional organiza¬ based character traits. Character (1) an autonomous individual, (2) an
tion of brain networks regulating development is defined here in integral part of humanity or society,
classic and opérant learning re¬ terms of insight learning or reorga¬ or (3) an integral part of the unity of

sponses of rodents to simple ap¬ nization of self-concepts. Insight all things (ie, the universe, which de¬
petitive or aversive stimuli.18·40·41 involves the conceptual organiza¬ notes everything turned into one in¬
As is typical of complex systems tion of perception and is defined terdependent whole). Each aspect of
that are usually hierarchical and as the apprehension of relation¬ self-concept corresponds to one of
decomposable into stable sub¬ ships. Insight learning involves the three character dimensions that we
systems that evolved sequentially,42 development of a new adaptive call (1) self-directedness, (2) coop¬
ethologic studies also suggested response as a result of a sudden erativeness, and (3) self-transcen¬
that the phylogeny of tempera¬ conceptual reorganization of dence, respectively.
ment began with a behavioral in¬ experience.27·43 In human beings,
hibition (harm avoidance) system insight learning includes verbal Empirical Dimensions
in all animals, next added an acti¬ learning, the acquisition of learn¬ of Character
vation (novelty seeking) system in ing sets or how to learn, and ab¬
more advanced animals, and then stract conceptualization that influ¬ After the genetic structure of the four
added subsystems for behavioral ences behavioral goals and temperament dimensions was con¬
maintenance (reward dependence) expectancies. firmed, other studies were carried out
in reptiles and later phyla.43 Human beings process or to identify aspects of self-reported or
Normative studies using the convert some sensory inputs (ie, observer-rated personality that are not
TPQ, a self-report inventory mea¬ percepts) into abstract symbols (ie, correlated with temperament as mea¬
suring the three dimensions of tem¬ concepts). Consequently in human sured by the TPQ. First, in factor-
perament described here, con¬ beings, stimulus-response charac¬ analytic research on personality in 11-
firmed the proposed structure of teristics depend on the conceptual year-old children, a factor defined by
temperament with the exception that significance and salience of per¬ adjustment problems was found to
persistence emerged as a distinct fourth ceived stimuli.38 Hence character be largely uncorrelated with novelty
dimension.22·23·44 Persistence, origi¬ may be described in terms of the seeking, harm avoidance, and re¬
nally thought to be a component of response biases related to different ward dependence.24·39 Observations
reward dependence, was measured concepts of the self, ie, who and were based on behavioral adjust¬
in terms of perseverance despite frus¬ what we are, and why we are ment ratings obtained in clinical in¬
tration and fatigue; it was uncorre- here. Our unconscious automatic terviews of the children's teachers. The
lated with other aspects of reward de¬ responses to initiate, maintain, or adjustment problem factor was la¬
pendence (sentimentality, social stop behavior are initially deter¬ beled "unpopularity" because it was
attachment, and dependence on ap¬ mined by temperament factors, highly correlated with frequent peer
proval). A large-scale twin study con¬ but these can be modified and conflicts (re.75), being unpopular
firmed that each of these four tem¬ conditioned as a result of changes (r=.70), and bullying or being bul¬
perament factors had heritability in the significance and salience of lied (r=.64). The temperament and
between 50% and 65% and was ge¬ stimuli that are determined by our popularity factors were uncorre¬
netically homogeneous and indepen¬ concept of our identity. From this lated with intelligence and aca¬
dent of the others.22 In contrast, per¬ perspective, personality develop¬ demic achievement.
sonality factors derived by factor ment is seen as an iterative epige- In studies of self-reported per¬
analysis, such as neuroticism and ex¬ netic process in which heritable sonality by adults, we observed that
traversion, are composites of etio- temperament factors initially moti¬ various measures of social coopera¬
logically heterogeneous items, with vate insight learning of self- tion and compassion were not well
heritable variation in at least two di¬ concepts, which in turn modify explained by the TPQ. Specifically,
mensions besides the four TPQ tem¬ the significance and salience of the temperament factors of the TPQ
perament dimensions. In other words, perceived stimuli to which the were largely uncorrelated with some
there are more than five heritable di¬ person responds. In this way, both measures of social cooperation, such
mensions of personality.22 temperament and character devel¬ as the agreeability scale of the Neu-

Ethological studies also sug¬ opment influence one another and roticism-Extraversion-Openness per¬
gested that conceptual or insight- motivate behavior. sonality inventory,46 the aggression
based learning evolved after the pre- Three aspects of the develop- scale of the Multidimensional Per-

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 sonality Questionnaire (MPQ),18-47 and order may be defined in terms of the ing good self-esteem, able to admit
the hostility scale of the Profile of character dimensions of self- faults and accept themselves as they
Mood States.48 directedness, cooperativeness, and self- are, feel that their lives have mean¬
Furthermore, measures of indi¬ transcendence. ing and purpose, delay gratification
vidual self-acceptance and esteem were to achieve their goals, and show ini¬
not well explained by the TPQ. This Description of Character tiative in overcoming challenges. On
included the alienation scale of the the negative side, "borderline" indi¬
MPQ, in which individuals view them¬ To develop explicit self-report viduals have low self-esteem, blame
selves as victims of other people and measures of self-directedness, co- others for their problems, feel un¬
circumstances.18·47 It also includes the o pe ra t i vene ss , and self- certain of their identity or purpose,
repression factor of the Minnesota transcendence, prior descriptions and are often reactive, dependent, and
Multiphasic Psychological Inven¬ of related psychological concepts resourceless. Such low self-esteem and
tory, in which individuals have dif¬ were reviewed. These provided de¬ feelings of inferiority have been sug¬
ficulty admitting to faults about them¬ scriptions of specific component gested to be immature or "childish"
selves.49 Acceptance of individual factors for each of the three pro¬ characteristics.37 However, many chil¬
responsibility, positive self-regard, and posed dimensions of character. dren show positive self-esteem at an
leadership have been found to be cor¬ early age, particularly when their par¬
related with the ability to endorse un¬ Self-Directedness ents show consistent affection and en¬
flattering statements about self in other courage autonomy.58,59
work.50 Our interview studies indicate that More specifically, Rotter60 de¬
Finally, absorption in the MPQ self-directedness is the major deter¬ scribed the notion of locus of con¬
is also not well correlated with any minant of the presence or absence trol, differentiating those with an in¬
TPQ factors or with any the three
of of personality disorder.25 Accord¬ ternal locus of control (who believe
higher order dimensions of the ingly, we will consider this dimen¬ their success is controlled by their
MPQ.18·47 The absorption scale has sion in the most detail because of its own efforts) from those with an ex¬
been associated with differential re- clinical importance. ternal locus of control (who believe
sponsivity to hypnosis, meditation, The basic concept ofself-directed¬ their success is controlled by factors
biofeedback, and with increased ca¬ ness refers to self-determination and other than themselves). Studies of this
pacity for vivid imagery.31 Absorp¬ "willpower," or the ability of an in¬ measure showed that those with in¬
tion or self-forgetful concentration has dividual to control, regulate, and adapt ternal locus of control are more re¬
been described as a stage in insight behavior to fit the situation in ac¬ sponsible and resourceful problem-
meditation that leads to self- cord with individually chosen goals solvers, whereas others are more
transcendence.52 It is also described and values.55 Popular concepts about alienated and apathetic, tending to
as a correlate of self-actualization, self- "willpower" can be confusing, how¬ blame other people and chance cir¬
transcendence, and loving fascina¬ ever, because willpower or the "will" cumstances for problems.61 Some
tion with nature.53·54 is not an entity, but a metaphorical measures of locus of control are con¬
These observations suggested abstract concept to describe the ex¬ founded with other aspects of tem¬
that aspects of personality unmea¬ tent to which a person identifies the perament and mood (eg, depres¬
sured by the TPQ include dimen¬ imaginai self as an integrated, pur¬ sion, high harm avoidance, and
sions of character related to accep¬ poseful whole individual, rather than dependence on approval and per¬
tance of the individual self, acceptance a disorganized set of reactive im¬ suasion), but a factor of responsibil¬
of other people, and acceptance of pulses. A more neutral and informa¬ ity vs blaming appears to be distinct
nature in general. Individuals with tive term than willpower may be to from other aspects of temperament
mature personalities (ie, effective ad¬ refer to the intentional force of in¬ and related to the more general con¬
aptation and self-satisfaction) are self- dividuals to affirm or commit to par¬ cept of self-directedness.
reliant, cooperative, and possibly self- ticular goals or purposes. According Frankl62 has emphasized the
transcendent. In contrast, those with to humanists, human beings differ importance of purpose fulness and
personality disorders have difficutty from other animais in terms of their meaningful goal-direction as a moti¬
with self-acceptance, are intolerant ability to make choices among alter¬ vating force in mature people. He
and revengeful toward others, and native responses, to "change their suggested that man's main concern
may feel self-conscious and unful¬ mind," and to tell lies; therefore, hu¬ is to fulfill meaning, rather than to gratify
filled. This suggested the hypothesis man beings can be considered to be impulses and avoid conflicts. Such
that subtypes of personality disor¬ responsible for what they do.56 purposefulness varies widely among
der can be defined in terms of tem¬ On the positive side, individu¬ individuals.63 Rogers64 and Covey65 have
perament variables,18 whereas the als who are mature, effective, and well- emphasized initiative and resource¬
presence or absence of personality dis- organized leaders are described as hav- ful problem solving in effective

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 schoolchildren and business lead¬ In summary, self-directedness can was designed to measure different as¬
ers, respectively, as an important be formulated as a developmental pro¬ pects of character related to agree-
aspect of mature character. Bandura66 cess with several stages or aspects. These ability vs self-centered aggression and
and Bandura and Cervone67 de¬ include (1) acceptance of responsibil¬ hostility. In our companion article,
scribed self-efficacy, which is re¬ ity for one's own choices instead of we found that low cooperativeness
lated to resourcefulness and initia¬ blaming other people and circum¬ scores contribute substantially to the
tive in goal-directed behavior. stances, (2) identification of individu¬ likelihood of concomitant personal¬
According to some Yoga practition¬ ally valued goals and purposes vs lack ity disorder.23 Particularly in indi¬
ers, after someone has cultivated clear of goal direction, (3) development of viduals who are high or only mod¬
goals and values for a long time, what skills and confidence in solving prob¬ erately low in self-directedness, the
was initially an effort becomes "sec¬ lems (resourcefulness vs apathy), (4) probability of a diagnosis of person¬
ond nature."68 In other words, such self-acceptance vs self-striving, and fi¬ ality disorder was increased by low
integrated individuals expect their au¬ nally (5) congruent second nature vs cooperativeness. All categories of per¬
tomatic responses to be congruent personal distrust. Sample questions sonality disorder are associated with low
with their goals and values, and they from the Temperament and Charac¬ cooperativeness.
trust themselves to act spontane¬ ter Inventory (TCI) are listed in Table 1 Cooperative individuals are de¬
ously without any feeling of sup¬ along with their endorsement frequency scribed socially tolerant, em¬
as

pressed conflict. in a community sample described later. pathie, helpful, and compassionate,
Self-esteem and the ability to ac¬ The assessment of self-directedness is whereas uncooperative individuals are
cept one's limitations unapologetically crucial for diagnosis because low self- described as socially intolerant, dis¬
without fantasies of unlimited ability directedness is the common character¬ interested in other people, unhelp¬
and ageless youth are crucial aspects istic of all categories of personality dis¬ ful, and revengeful. Rogers64 has de¬
of the development of mature self- orders, as shown in our companion ar¬ scribed facilitative people who show
directed behavior.53·57·58·64 individuals ticle.25 Regardless of other personality unconditional acceptance of others,
with poor adjustment and feelings of traits or circumstances, personality dis¬ empathy with others' feelings, and
inferiority or inadequacy are often re¬ order is likely to be present if self- willingness to help others achieve their
active and deny, repress, or ignore their directedness is low, and vice versa. goals without selfish domination. Such
faults, wishing to be best at everything social acceptance, helpfulness, and
always, whereas well-adjusted children Cooperativeness concern for the rights of others are
are able to recognize and admit un¬ often correlated with one another and
flattering truths about themselves.50 The second higher order character with positive self-esteem.69 Empa¬
Such positive self-esteem and ability factor of cooperativeness was formu¬ thy, defined as a feeling of unity or
to accept individual limitations has been lated to account for individual dif¬ identification with other people, is
found to be strongly correlated with ferences in identification with and ac¬ said to allow improved communica¬
responsibility and resourcefulness.50 ceptance of other people. This factor tion and compassion for others.70

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 Helpful generativity and compas¬ helpfulness, (4) compassion vs re- transpersonal psychology has re¬
sion are frequently noted as signs of vengefulness, and (5) pure-hearted cently provided descriptions of the
maturity in developmental psychol¬ principles vs self-advantage. Sample subjective experiences and changes
ogy.71 Such compassion involves the questions about cooperativeness are in behavior of people who attain the
willingness to forgive and be kind to listed in Table 2. Uncooperative in¬ state of "nirvana" or self-transcen¬
others regardless of their behavior, dividuals tend to see the world and dence as a result of insight medita¬
rather than to seek revenge or to en¬ others as hostile and alien to them. tion techniques.81·82 Self-transcen¬

joy their embarrassment or suffer¬ In contrast, cooperative individuals dence refers generally to identification
ing; it involves feelings of brotherly feel they are synergistic components with everything conceived as essen¬
love and the absence of hostility.53·72 of a mutually supportive and help¬ tial and consequential parts of a uni¬
Effective business leadership of¬ ful community that is motivated by fied whole. This involves a state of
ten involves helpfulness, ie, skill in compassion and reciprocal respect. "unitive consciousness" in which ev¬
finding mutually satisfying ("win- erything is part of one totality. In uni¬
win") solutions to problems, rather Self-Transcendence tive consciousness, there is no indi¬
than looking out only for personal vidual self because there is no
gain.63 Religious traditions from Bud¬ Most people meditate or pray daily, meaningful distinction between self
dhism to Judeo-Christianity also em¬ which is more frequent than sexual and other—the person is simply aware
phasize the concept of "pure- intercourse according to population of being an integral part of the evo¬
hearted" acceptance of principles or surveys.77 Frequent meditation or lution of the cosmos. This unitive per¬
natural laws that cannot be broken prayer is often associated with en¬ spective may be described as accep¬
without inevitable bad conse¬ hanced life satisfaction and personal tance, identification, or spiritual union
quences for the individual, society, effectiveness, particularly in older with nature and its source.79
and nature.65·73 Belief in such natu¬ adults.78 Nevertheless, self- We found that self-transcendence
ral principles, as opposed to imme¬ transcendence and character traits as¬ was lower in psychiatric inpatients
diate self-advantage or social con¬ sociated with spirituality have usu¬ than adults in the general commu¬
ventions, represents an advanced level ally been neglected in systematic nity, but did not differentiate most
of moral or character development, research and omitted from person¬ patients with personality disorders
as described by Kohlberg74·75 and ality inventories that purport to be from those without such disor¬
Baruk.76 comprehensive, including the five- ders.25 In the clinical setting of our
In summary, cooperativeness can factor model. However, much infor¬ interview studies with psychiatric
be formulated as a developmental pro¬ mation about the observable behav¬ patients, self-transcendence was
cess with several aspects or stages. ior of self-transcendent individuals significantly low only in patients
These include (1) social acceptance has been written based on the lives with many symptoms of schizoid
vs intolerance, (2) empathy vs social of mystics and saints79·80 and self- personality disorder.23 In contrast,
disinterest, (3) helpfulness vs un- actualizing individuals.53·54 Also self-directedness and cooperative-

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 ness were low in all personality mortal,83 which leads us to identify important for the adjustment and per¬
disorders. Self-transcendence can with nature as a whole or with its source. sonal satisfaction of many people, par¬
be particuiarly useful in differenti¬ Such arguably metaphorical concepts ticularly those over 35 years of age.84
ating schizoid from schizotypal pa¬ as extrasensory perception or reincar¬ Self-transcendence merits further sys¬
tients because the latter tend to nation of souls can be understood as tematic study in samples from both
endorse questions about extrasen¬ attempts to describe the experience clinical and general populations to clarify
sory perception and other aspects of transpersonal identification using its clinical significance.
of self-transcendence. words, which unavoidably denote
The stable self-forgetfulness of things and events. Use of language to Empirical Testing of the
self-transcendent people has been de¬ describe self-transcendent experience Personality Model
scribed as the experienced
same as is difficult at best because self-
transiently by people when they are transcendent cognition is intuitive rather A sample of 300 adults, 150 women
totally absorbed, intensely concen¬ than analytical and deductive.83 and 150 men, completed the TCI,
trated, and fascinated by one thing.54 Considered as a developmental which is a 226-item, true-false ques¬
In such one-pointed concentration process, self-transcendence has mul¬ tionnaire measuring seven dimen¬
people may forget where they are and tiple aspects or stages. These stages sions of personality. These include a
lose all sense of the passage of time. can be simplified into some basic ex¬ 107-item version of the TPQ, mea¬
Such absorption often leads to periences and behaviors that have been suring the temperament dimensions
"transpersonal" identification with things described in abroad spectrum of people of novelty seeking, harm avoidance,
outside the individual self. The per¬ and cultures, not just rare mystics: (1) and reward dependence and persis¬
son may identify (or feel a sense of spiri¬ self-forgetful vs self-conscious expe¬ tence, ft also includes a 119-item char¬
tual union) with anything or every¬ rience, (2) transpersonal identification acter inventory measuring self-
thing. They may experience the feel¬ (ie, identification with nature) vs self- directedness, cooperativeness, and self-
ing that they are part of or being guided differentiation, and (3) spiritual ac¬ transcendence. These 119 items were
by a wonderful intelligence, which is ceptance vs rational materialism. Some selected from 195 items obtained by
possibly the divine source of all phe¬ examples of questions about these fac¬ generating 15 questions for each of
nomena. Ultimately, there maybe loss tors are listed in Table 3. In our clini¬ the 13 rationally defined character
of all distinctions between self and other cal studies only the symptoms of schiz¬ factors. This included measures of the
by identifying with the concept of an oid personality disorder were signifi¬ five aspects of self-directedness, five
immanent God as one-in-all. cantly correlated with low self- aspects of cooperativeness, and five
Such transpersonal identification transcendence, so it is not a common aspects of self-transcendence de¬
leads to spiritual acceptance, or the characteristic of traditional concepts scribed in the prior section. These
apprehension of relationships that can¬ of personality disorder.25 Nevertheless, measures were pretested in a sample
not be explained by analytical reason¬ current DSM-U1-R definitions of per¬ of 212 college students, discarding
ing or demonstrated by objective ob¬ sonality disorder may be too narrow questions that had extreme re¬
servation to others. Spirituality has been because spirituality and other phenom¬ sponse frequencies (generally out¬
defined as our inner craving to be im- ena measured by this dimension are side 20% to 80% endorsement) or

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 were weakly correlated with the other 18 years or older were recruited se¬ sample consisted of 114 white (62
retained items on each factor. No se¬ quentially, and were excluded only men and 52 women) and 186 non-
lection was made based on intercor- if they were in an oversampled gender- white (88 men and 98 women) sub¬
relations between factors. This yielded age group. The recruiters and ad¬ jects.
13 scales that are internally consis¬ ministrators of the test were blind to To test for representativeness of
tent and face-valid measures of the the personality model measured by the sample, the results of the TPQ
constructs to be tested here. the TCI. The mean (±SD) age of the were compared with those obtained

Subjects were solicited for par¬ sample was 34.1 ± 12.9 years (range, in a national area probability sample
ticipation in the study as they en¬ 18 to 91 years). The women (mean of 1019 noninstitutionalized adults.23
tered ashopping mall whose cus¬ [±SD], 35.5±13.7 years; range, 18 Statistical analyses were car¬
tomers were thought to be fairly to 91 years) were slightly older than ried out using version 6.03 of the SAS
representative of the general popu¬ the men (mean [±SD], 32.7±11.9 statistical software (SAS Institute, Cary,
lation of St Louis, Mo. Subjects aged years; range, 18 to 84 years). The NC).85

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 *
Correlations above .40 are indicated in bold. S1 indicates responsibility vs blaming; S2, purposefulness vs lack of goal direction; S3, resourcefulness; S4,
self-acceptance vs self-striving; S5, congruent second nature; C1, social acceptance vs social intolerance; C2, empathy vs social disinterest; C3, helpfulness
vs unhelpfulness; C4, compassion vs revengefulness; C5, pure-hearted principles vs self advantage; ST1, self-forgetful vs self-conscious experience; ST2,
transpersonal Identification vs self-differentiation; and ST3, spiritual acceptance vs rational materialism.

RESULTS max (that is, allowing for

rotation three dimensions of character are
nonindependence of factors) are summarized in Table 8. The only
Variability of Personality Traits shown in Table 7. The highest correlations above .40 relate harm
loadings of all the cooperativeness avoidance with self-directedness
The means, SDs, and internal con¬ scales and self-acceptance are on ( .47) and cooperativeness with
reward dependence (.54) and self-
—

sistency (Cronbach a) for each scale factor 1. In other words, the abil¬
and subscale are shown in ity to accept limitations about one¬ directedness (.57).
Tables 4 and 5 for the tempera¬ self is associated with the ability to Principal component analysis
ment and character scales, respec¬ tolerate and accept limitations in identified seven factors with eigen¬
tively. The results for the tempera¬ other people as well. The highest values greater than 1. fn the vari-
ment scales were similar to those loadings of all the self-directedness max solution the variances ex¬
obtained in a national area probabil¬ subscales except self-acceptance plained by each factor were
ity sample,23 suggesting that the are on factor 2. The highest load¬ 14.2%, 12.0%, 10.1%, 9.0%,
sample was representative of the gen¬ ings of all the self-transcendence 7.6%, 6.0%, and 5.7%, accounting
eral adult population. All the scales scales are on factor 3. The vari¬ for 65.0% of the total variance.
showed substantial variability among ances explained by each factor af¬ The standardized factor loadings
individuals. The internal consis¬ ter rotation were 30%, 27%, and following Promax rotation are

tency of the composite scales was high, i5%, respectively. Interfactor cor¬ shown in Table 9. Ignoring cor¬
ranging from .76 to .87 for the tem¬ relations were .52 for factors f relations with other factors, the
perament scales and .84 to .89 for and 2, —.16 for factors 2 and 3, variances explained by each ro¬
the character scales. and .06 for factors 1 and 3. The tated factor ranged from 4.4% to
derived three-factor solution for 2.0%, which is 17.7% to 8.0% of
Structure of Character Scales the f3 character scales corre¬ the total variance in the 25 factors.
sponds closely with the rationally The correlations among the seven
The correlations among the 13 defined dimensions of self- empirically derived factors corre¬
character subscales are summa¬ directedness, cooperativeness, and sponded closely to those summarized
rized in Table 6. Principal com¬ self-transcendence. in Table 8 for the rationally defined
ponent analysis identified three factors.
factors with eigenvalues greater Structure of Temperament The persistence factor appears
than 1.0. These accounted for and Character to be a fairly distinct seventh dimen¬
35%, 16%, and 8% of the variance sion of personality, but it has sig¬
(59% cumulatively). The standard¬ The correlations among the four nificant relations to other aspects of
ized factor loadings following Pro- dimensions of temperament and both temperament and character. It

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 pects of self-transcendence. The ef¬
fects of ethnicity on character were
small, accounting for less than 3%
of variance in any scale.
Age was strongly correlated with
self-directedness (r=.30; P<.0001)
and cooperativeness (r=.35; P<.0001),
but not self-transcendence (r=.01; dif¬
ferences were not significant). The ef¬
fect of age on each character scale is
depicted in Figures 1 through 3.
The sample was divided into quin¬
tiles according to age. This yielded
groups with ages between 18 and 21
years (n=58; mean age, 19 years), 22
and 29 years (n=64; mean age, 26
years), 30 and 35 years (n=62; mean
*The highest loadings are indicated in bold. S1 indicates responsibility vs blaming; S2, purposefulness age, 33 years), 36 and 43 years (n=61;
vs lack of goal direction; S3, resourcefulness; S4, self-acceptance vs self-striving; S5, congruent second mean age, 40 years), and 44 and 91
nature; C1, social acceptance vs social intolerance; C2, empathy vs social disinterest; C3, helpfulness vs
unhelpfulness; C4, compassion vs revengefulness; C5, pure-hearted principles vs self advantage; ST1, years (n=55; mean age, 55 years). For
self-forgetful vs self-conscious experience; ST2, transpersonal identification vs self-differentiation; and self-directedness (Figure 1), each com¬
ST3, spiritual acceptance vs rational materialism. ponent increased for birth cohorts
from age f8 to 43 years. Self-
congruence was still higher in the old¬
est cohort, whereas the other com¬
ponents remained at about the same
level in cohorts aged 40 years and
older.
For cooperativeness (Figure
2), each component increased for
the birth cohorts from ages 18 to
43 years, much like self-
directedness except that the great¬
est increase was between the co¬
*Correlations above .40 are indicated in bold. NS indicates novelty seeking; HA, harm avoidance; P, horts from 18 to 29 years.
persistence; RD, reward dependence; SD, self-directedness; C, cooperativeness; and ST, Compassion and principles
self-transcendence.
showed some further increase in
the oldest cohorts.
has positive correlations greater than tively consider persistence to be a tem¬ For self-transcendence (Figure
.20 with three self-directedness com¬ perament factor because of its promi¬ 3), self-forgetfulness and transper¬
ponents: resourcefulness (.36), con¬ nent development in early childhood. sonal identification were lowest in the
gruent second nature (.28), and pur¬ cohort between ages 30 and 35 years.
posefulness (.24). However, it is not Effects of Demographic Spiritual acceptance increased most
strongly correlated with other as¬ Variables on Character sharply in the cohort aged about 40
pects of self-directedness such as re- years compared with the next younger
sponsibility (.14) and self- The effects of gender, ethnicity, and cohort.
acceptance (.08). Persistence has age were examined on the character
negative correlations less than —.20 scales. Women had higher scores on COMMENT
with three temperament factors: fa- total cooperativeness (81% vs 72%
tigability ( .29), impulsiveness as proportion of total items; P<.01) Our empirical results and review
—

( .21), and disorderliness ( .21).

— —
and each of its components. Women of prior literature support a tridi¬
In this sample, it was not signifi¬ also had higher scores in spiritual ac¬ mensional model of character
cantly correlated with reward- ceptance than men (71% vs 64%; structure. These three factors of

dependence measures such as sen¬ P<.01). self-directedness, cooperativeness,

timentality (.09), attachment (.03), There were no gender differ¬ and self-transcendence can be un¬
or dependence ( .07). We tenta-
—
ences in self-directedness or other as- derstood in terms of the epigenetic

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 *Highest loadings are given in bold; postulated factors, in italics. NS1 indicates exploratory excitability; NS2, impulsiveness; NS3, extravagance; NS4,
disorderliness; HA1, worry/pessimism; HA2, fear of uncertainty; HA3, shyness with strangers; HA4, fatigability and asthenia; RD1, sentimentality vs
insensitivity; RD2, persistence; RD3, attachment vs detachment; RD4, dependence vs independence; S1, responsibility vs blaming; S2, purposefulness; S3,
resourcefulness; S4, self-acceptance vs self-striving; S5, congruent second nature; C1, social acceptance vs social intolerance; C2, empathy; C3, helpfulness;
04, compassion vs revengefulness; C5, pure-hearted principles; ST1, self-forgetful vs self-conscious experience; ST2, transpersonal identification vs
self-differentiation; and ST3, spiritual acceptance vs rational materalism.

development of increasingly inclu¬ character traits arise as stable resi¬ Development

sive concepts of the self: identifica¬ dues of normal defense mecha¬
tion as an autonomous individual nisms, such as anticipation, altru¬ The finding of three distinct charac¬
(self-directedness), as an integral ism, and sublimation. Anticipation, ter dimensions has strong implications

part of human society (coopera¬ which enables people to work for for models of longitudinal develop¬
tiveness), and as an integral part of long-term goals, can lead to some ment. The findings of Erikson71·86
the universe (self-transcendence). self-directed behaviors like pur- and others are often interpreted to
This supports the hypothesis that posefulness. Likewise altruism can mean that there is a fixed stepwise

personality iscomplex hierarchic

a lead to cooperative traits, such as sequence in which development of
system that can be naturally decom¬ helpfulness and compassion. De¬ one factor necessarily precedes the

posed into distinct psychobiological spite such parallels in content, development of the next. Bowlby87
dimensions of temperament and psychodynamic concepts of char¬ has suggested an alternative epige-
character. acter are categorical constructs that netic model in which personality
emphasize the uniqueness of each development of each individual
Alternative Models individual. In contrast, we empha¬ can proceed along any one of a set
size the consistent quantitative of potential paths, depending on
We do not assume that the psy¬ structure of the differences among initial temperament and initial ex¬
chobiological model presented individuals. This dimensional perience. According to this
herein provides the only way to structure facilitates the testing of multiple-path epigenetic model,
derive a description and understand¬ quantitative, falsifiable hypotheses each subsequent step in develop¬
ing of character traits. In fact, psy- relating psychological variation to ment is a motivated effort to adapt
chodynamic theories suggest that its biological and social causes. to current circumstances, given

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 tinguish developmental effects from
cohort effects. Nevertheless, our find¬
Resourceful
85 ings suggest the importance of age
and/or cohort effects in the unfold¬
Congruent
SD1 ing of character and encourage fu¬
ture longitudinal research.
g 75 Responsible SD 2
SD 3
Purposeful DIAGNOSIS
SD 4
65
•SD 5
Self-accepting These character scales may help to
55 clarify current concepts of what a per¬
sonality disorder is in contrast to more
optimal adaptation. That is, indi¬
45 — — — — - — " — " — - —I
viduals with extreme variants of tem¬
15 20 25 30 35 40 45 50 55 60 perament may be well-adapted, depend¬
Age, y ing on their character and circum¬
stances. However, anyone who is low
in self-directedness and cooperative¬
Figure 1. Relationship of age to self-directedness (SD) subscale scores in quintiles of 300 individuals
from the general community. ness is likely to have a personality dis¬

order, and vice versa. The importance

of self-transcendence in character de¬
velopment is arguable in early life, but
it becomes a major concern as we face
death and misfortune. The availabil¬
ity of this set of personality measures
C1 should facilitate evaluation and clas¬
sification of personality and its disor¬
C2
ders, as well as studies of inheritance,
C3
information processing, and develop¬
C4 ment (cognitive, personal, social, moral,
C5 and spiritual).
The three dimensions of char¬
acter are distinct from previously de¬
scribed measures of temperament.
Overall, our results support a seven-
dimensional model of personality; four
temperament factors and three char¬
acter factors. The temperament fac¬
Age, y
tors appear to be more directly tied
Figure 2. Relationship of age to cooperativeness (C) subscale scores in quintiles of 300 individuals to neurobiological and genetic de¬
from the general community.
terminants of behavior, in contrast
to the epigenetic development of self-
currentpersonality. However, if there titativemeasures of the multiple fac¬ concepts in character. Furthermore,
really fixed developmental
were a tors of temperament and character. the temperament dimensions ap¬
sequence for character traits, then ma¬ Some sequences in character devel¬ pear to be more closely related to sus¬
turity could be adequately de¬ opment may be more frequent or op¬ ceptibility to different neurotic syn¬
scribed on a single scale. The obser¬ timal than others, and the correla¬ dromes, such as anxiety and
vation of three character dimensions tions among the character and somatoform disorders, rather than to
suggests that there are multiple as¬ temperament dimensions suggest the presence or absence of person¬
pects of character development, each some reciprocal interaction. Our find¬ ality disorders or psychoses.40 Eat¬
having unique antecedents. Never¬ ings about longitudinal develop¬ ing disorders and substance abuse dis¬
theless, the joint staging and inter¬ ment should be considered illustra¬ orders appear to involve differences
action of these multiple dimensions tive and tentative because this is a in both temperament and character
has received little study because of cross-sectional study of people of vary¬ development, but this requires fur¬
the absence of comprehensive quan- ing age. In this study we cannot dis- ther systematic study.19

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 techniques may facilitate learning self-
directed behavior.53 Some other meth¬
ods of psychological treatment, such
75 as psychoanalysis, transactional analy¬

sis, and reality therapy, are also di¬

70-
rected primarily at development of self-
ST 1 directed behavior.81 fn contrast, other
65
ST 2 experiential techniques are designed
to facilitate acceptance of others or de¬
60
'
ST 3
velopment of cooperative behavior;
these include Rogerian counseling,64
55·
logotherapy,62 and interpersonal psy-
chosynthesis.94 Finally, attainment of
50 self-transcendence is a goal ofJungian
analysis84 and insight meditation as
45 — - —~
20 25 30
—- — - —~ —- ~ " —
35 40 45 50 55 60
practiced in Mahayana Buddhism,
Vedanta Hinduism, Taoism, and mys¬
ge, y
tical forms of other religions.32 Much
Figure 3. Relationship of age to self-transcendence (ST) subscale scores in quintiles of 300 research is needed to explore the in¬
individuals from the general community. teractions of specific drugs and psy¬
chosocial interventions in treatment
INHERITANCE the influence of environmental of personality and its disorders.
change on personality. Finally, assuming that charac¬
It is likely genetic factors are
that ter and temperament involve concept-
as important in character develop¬ MEMORY SYSTEMS based and percept-driven memory,
ment as they are for temperament. stable personality change probably re¬
In fact, the heritability of character The most fundamental distinction be¬ quires that conceptual insights modify
may explain why some individuals tween character and temperament habits by disciplined practice, per¬
maintain inflexible maladaptive be¬ here appears to be that character de¬ haps facilitated by combined phar-
havior patterns whereas others velopment is a concept-based pro¬ macotherapy. In other words, per¬
with similar temperaments do not. cess whereas temperament involves sonality change has both rational and
Conceptual learning, such as self- differences between individuals in per¬ emotional components.95 Conscious
aware imitation, is an evolutionary ceptual processes and habit forma¬ intention is transient, effortful, and
development of mammals.43 Indi¬ tion. This corresponds to the dis¬ inefficient, whereas perceptual con¬
vidual differences in human twins tinction of conceptual memory ditioning is more long-lasting, auto¬
for the MPQ primary factors of (regulated by the cortico-limbo- matic, and efficient.34·96·97 A combi¬
alienation, aggression, and absorp¬ diencephalic memory system) and nation of cognitive-behavioral
tion are influenced by genetic fac¬ perceptual memory (regulated by the treatments and, perhaps only ini¬
tors as much as other aspects of cortico-striatal memory system). tially, medications to alter indi¬
personality.88 However, if cultural vidual differences in temperament
perspectives89·90 and social learn¬ TREATMENT should be most effective.
ing39·64·66·91 are as important in the
epigénesis of self-concepts as has Different pharmacological interven¬
been suggested, then environmen¬ tions have been proposed in the modi¬ Accepted for publication November 4,
tal effects associated with particu¬ fication of temperament.40·92 For ex¬ 1992.
lar families and cultures should be ample, lithium therapy reduces fre¬ This study was supported in part
more important in character devel¬ quency of temper outbursts and by grant MH31302 from the National
opment than has been observed increases reflectiveness.93 However, Institute of Mental Health, and grants
for temperament. Comparisons of lithium therapy does not change self- AA07982 and AA08028 from the Na¬
the inheritance of temperament concepts or increase self-directedness, tional Institute on Alcoholism and Al¬
and character should be useful for and compliance outside of authoritar¬ cohol Abuse, National Institutes of Health,
testing sociocultural learning hy¬ ian controlled settings is poor.93 In con¬ Bethesda, Md, and a grant from the John
potheses. Likewise, the effect of trast, different psychological treatments D. and Catherine T. MacArthur Foun¬
different forms of psychotherapy may be relevant for the development dation Mental Health Research Net¬
on character development should of different aspects of character. For work on the Psychoblology of Depres¬
be a controlled way of assessing example, particular cognitive-behavioral sion, Chicago, III.

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 inventories in clinical assessment: general re- for new association in normal and amnesic sub-
Helpful comments were received quirements and the potential for using the NEO jects. J Exp Psychol Learn Mem Cogn. 1985;
from many colleagues, particularly Sam¬ personality inventory. Psychol Assess. 1992; 11:501-518.
uel Guze, MD, John Nemiah, MD, and 4:14-19. 33. Parkin AJ, Reid TK, Russo R. On the differen-
Norman Sartorius, MD, and our de¬ 13. John OP. The search for basic dimensions of tial nature of implicit and explicit memory. Mem
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