Eric Berne’s Development of Ego State Theory:

Where Did It All Begin and Who Influenced Him?

Ann Heathcote

Abstract thinking in his early development of ego state

This article traces the early beginnings of theory.
Berne’s development of ego state theory The Adult and Child Ego States. In his book
through a careful reading of his published The Mind in Action, Berne (1947) referred to
works. It also highlights the key theorists the “ego” using a Freudian abstract frame of
who influenced B erne in this regard and reference:
what contributions they made. Awake or asleep, the Id continues to strive
______ for gratification. During the waking hours
it is prevented from asserting itself directly
I am currently engaged in writing a biography by the Superego, with its stern ideas of
of Eric Berne, one aspect of which is tracing what is right and wrong, and by the Ego,
Berne’s theoretical development, including with its realization of what consequences
those who influenced him. The focus of this may follow unwise gratification of impul-
particular article is the beginnings of ego state ses. (p. 110)
theory. I have chosen to focus on ego states be- By 1957, in his article entitled “Intuition V.
cause that is where Berne’s development of The Ego Image,” Berne (1957b) was writing
transactional analysis began and because ego quite differently about the ego and was clearly
state theory is the cornerstone of transactional differentiating two different states of the ego.
analysis theory. In Berne’s own words, from a This is the first publication in which Berne
keynote he gave at the IV International Con- started to describe his ego state theory. For ex-
gress of Group Psychotherapy in Vienna in ample, he told the story of the lawyer who said,
1968, “Ego states are the key to Transactional “Sometimes I feel that I’m not really a lawyer,
Analysis. If you can’t break it down to ego I’m just a little boy” (p. 611). In the same arti-
states, it is not Transactional Analysis” (Berne, cle, Berne went on to state that there were two
1973, p. 71). different conscious ego states, one an adult and
In tracing his theoretical influences and de- one a child, and that this same division could
velopment, I have drawn solely from Berne’s be observed in every patient. Berne found using
published works, although I recognize that there this perspective clinically useful; for example,
may well have been other people, events, and he described a patient called Diana and then
experiences that also influenced the develop- stated:
ment of his theory in general and his ego state In the five years after the therapist focused
theory in particular. on perception of her [Diana’s] ego state
In this article I first describe the beginnings (1951-1956), she required no further hos-
and development of Berne’s ego state theory pitalization. . . . her mature ego (the “adult”)
and then explore the contribution of the main had been strengthened sufficiently so that
theorists who influenced him in this regard. she did not break down, and so that she
recognized her troublesome feelings as de-
In the Beginning lusions, the revival of an archaic ego state
In this section I trace the introduction of the (Cf. Federn [1952]). (pp. 614-615)
Adult and Child ego states in Berne’s writings I think it is reasonable to assume that “the
and then include brief descriptions of the ego therapist” in question was Berne himself, which
image, ego model, and ego symbol because means that he was thinking about different
these were clearly important aspects of Berne’s states of the ego from at least the early 1950s.

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 ERIC BERNE’S DEVELOPMENT OF EGO STATE THEORY: WHERE DID IT ALL BEGIN?

Also, this is the first time Berne cited Federn in come to its “highest flower” (p. 621) in the
relationship to ego states (see next section). In work of Eugen Kahn (1931), who had devel-
this quote, Berne was clearly distinguishing be- oped models giving detailed clinical descrip-
tween a mature functioning ego and an archaic tions of various psychopathologies. Berne also
ego state. Later in the same article, Berne re- added that later, Kahn (Kahn & Cohen, 1936)
ferred to these two aspects of the ego as the usefully attributed a “way of experiencing” (p.
“adult” and the “child” (Berne, 1957b, p. 627) 381) to each of the psychopathological types he
respectively, putting the words “adult” and described.
“child” in quotation marks. Ego symbol: Berne (1957b) saw an ego sym-
Ego Image, Ego Model, and Ego Symbol. bol as an intermediate between an ego image
Berne (1961/1991) emphasized that he devel- and an ego model. He gave the example of a
oped his ego state theory phenomenologically, patient who brought to a session a magazine
through clinical experience and observation. cutting of a plucked chicken lying on a couch
This can be clearly witnessed through his dif- cheerfully waiting to be cooked and eaten, and
ferentiation of the ego image, ego model, and how this clearly represented the patient’s atti-
ego symbol, all of which he considered to be tude and feelings. This image of the chicken
guiding influences for the therapist (Berne, became Berne’s ego symbol for this patient.
1957b). Berne considered ego symbols to be similar to
Ego image: Berne (1957b) described the ego Silberer’s (1951) approach to functional phe-
image as the therapist’s intuitive perception of nomenon. Silberer, an Austrian psychoanalyst
the patient’s “active archaic ego state” (p. 613), (1882-1923), considered the images and sym-
for example, an adult patient who is intuitively bols perceived in the hypnagogic state (i.e., the
perceived by the therapist as a “child, writhing state of drowsiness/consciousness immediately
with embarrassment” (p. 615). Berne suggested preceding sleep) to be representative or sym-
the theoretical basis of the ego image origina- bolic of the physical or mental state of the per-
ted in Federn’s (1952) ideas, which were pub- ceiver and to reveal affects and emotions in a
lished posthumously. He quoted Weiss’s (1950) functional way.
summary of Federn’s ideas as follows: “That In his later works, Berne largely dropped ref-
ego configurations of former age levels are erences to the ego image, ego model, and ego
maintained in potential existence within one’s symbol and referred, instead, to the structural
personality is experimentally proven, since they or ego state model.
can be re-cathected directly under special con-
ditions; for instance, in hypnosis, in dreams, The Next Step
and in psychosis” (p. 80). Berne (1957b) then In this section, I will describe the introduc-
described how Federn maintained that many tion of the Parent ego state, structural analysis,
neurotics and latent psychotics were fixated in and the first definition of an ego state in Berne’s
their ego states. W ith this in mind, Berne em- writings. I will also comment on the signifi-
bellished his description of an ego image as an cance of 1957.
“intuitively selected paradigm of the patient’s The Parent Ego State. In his 1957b article
ego fixation” (p. 623). The ego image was par- entitled “Intuition V. The Ego Image,” Berne
ticularly prized by Berne as a most clinically alluded for the first time to the Parent ego state,
useful perceptual tool. without naming it, when he wrote:
Ego model: At this time, Berne (1957b) re- The therapist who works with ego images
ferred to the ego model as the therapist’s de- for a year or two will eventually run into a
scriptive perception of the patient and as “an complication. He will find that there are
academic, inferential and rather stereotyped” not two, but several, ego states that have to
(p. 617) model. He also described the ego mod- be taken into account for more precise
el as a fleshless “perceptual skeleton” (p. 617) work. W hile the child-adult framework
that could be added to bone by bone. Berne gives excellent results in many types of
stated that he considered the ego model to cases, it is possible to go farther. (p. 626)

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ANN HEATHCOTE

It was in his next article, “Ego States in Psy- Federn’s influence on Berne is discussed fur-
chotherapy,” that Berne (1957a) wrote for the ther in the next section.
first time explicitly about the Parent ego state: The first definition: It was in his 1957a ar-
It became evident that certain of his [the ticle that Berne proffered his first definition of
lawyer— Berne’s patient] attitudes did not an ego state: “An ‘ego state’ may be described
belong to either the “child” or the “adult,” phenomenologically as a coherent system of
as we increased our understanding of those feelings, and operationally as a set of coherent
components. These anomalous attitudes behavior patterns; or pragmatically, as a system
were collected and crystallized into a third of feelings which motivates a related set of be-
ego state which came to be called the “par- havior patterns” (p. 295). In this early defini-
ent,” since they were evidently a reflection tion, Berne reveals the breadth of his thinking
of parental prejudices. (p. 297) regarding the importance of experiencing and
Berne added that the “dialogue” (p. 298) be- phenomenology, the observable and behavior-
tween the ego states would sometimes, there- al, and outcomes and pragmatism.
fore, become a “trialogue” (p. 298). It was not The significance of 1957: The year 1957 was
until this second article published in 1957 that significant in terms of the history of ego state
Berne began to capitalize the initial letters of theory and, therefore, of transactional analysis.
ego states. He wrote in explanation, “It is more That was the year when Berne first published
convenient to capitalize Parent, Adult and Child articles about separate states of the ego. Yet we
when ego states are referred to, than to put know that he was thinking about ego states
them in quotation marks” (p. 300). from the early 1950s (e.g., the example of the
From Berne’s early writings, a reader may client Diana described earlier). Could it be that
come to believe there are only three ego states after his application for membership in the San
— a Parent ego state, a Child ego state, and an Francisco Psychoanalytic Institute was turned
Adult ego state— when, in fact, these labels are down, in 1956, that Berne felt freer to write
intended to portray three categories of ego and be open about his current thinking on the
states. This point was emphasized by Stewart ego? A piece of evidence for this speculation
(1992) in his book entitled Eric Berne. For comes in Berne’s book Transactional Analysis
example, he clarified that “the word ‘Child’ on in Psychotherapy, which was published in 1961.
Berne’s full definition does not refer to ‘one He noted that his use of the term “ego state”
ego-state’. It denotes a whole category of ego- met with much resistance in psychoanalytic cir-
states. All the ego-states in that category share cles. He considered that many psychoanalysts
one defining feature: they are archaic relics of preferred, and found it easier, to stick with their
the person’s own childhood” (p. 26). For fur- orthodox, concept-based theory, rather than to
ther, and more recent, clarifications and theore- consider moving to a phenomenological, clinical-
tical developments regarding ego state theory, based approach.
the reader is also referred to Ego States, edited
by Sills and Hargaden (2003). The M ain Influences on Eric Berne’s
Structural Analysis. In his article entitled Development of Ego State Theory
“Ego States in Psychotherapy,” Berne (1957a) In this section, I will introduce the main
also, for the first time, referred to “structural theorists who influenced Berne and his devel-
analysis” (p. 296) and defined it as the “process opment of ego state theory. In addition, I will
of clearly differentiating ego states” (p. 296). explore the contribution of Freud, Freudian
He (Berne, 1961/1991) explained that in look- theory, and psychoanalysis on Berne’s thinking.
ing for confirmation in the literature for the The Main Influences—From Berne’s Own
findings of structural analysis (and transaction- Words. There are two quotes from Berne him-
al analysis), he was pleased “to discover, or re- self that acknowledge the teachers whom he
discover, that he was following in the footsteps felt influenced him the most. The first quote,
of two of the most remarkable of his teachers given earlier in this paper, is the one in which
(Penfield and Federn)” (p. 20). Penfield’s and Berne said he was looking for confirmation in

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 ERIC BERNE’S DEVELOPMENT OF EGO STATE THEORY: WHERE DID IT ALL BEGIN?

the literature to support his findings on struc- some of the concepts he was using “were anti-
tural analysis and was gratified to find “that he cipated by Federn in his ego psychology” (p.
was following in the footsteps of two of the 300), thereby clearly crediting Federn’s influ-
most remarkable of his teachers (Penfield and ence. Berne concluded that what he was doing
Federn)” (Berne, 1961/1991, p. 20). The sec- that was new was “not necessarily the concepts,
ond quote is as follows: but the emphasis and development” (p. 300). In
Of the many teachers who influenced my terms of the significance of Federn’s influence
thinking and feeling (and here I am name- on Berne, it is also worth remembering that
dropping, getting considerable satisfaction from 1941, Federn was Berne’s first training
from having had the privilege of knowing analyst at the New York Psychoanalytic Insti-
them), the most meaningful have been tute. Berne’s analysis was cut short when he
Professor Eugen Kahn, the late Dr. Paul joined the United States Army in 1943.
Federn and Prof. Erik Erikson. (Berne, Erik Erikson, ego identity, and psychosocial
1963, p. xi) development: Erikson (1902-1994, German-
It is clear from these quotes that Berne consid- born American child and adult psychoanalyst
ered Federn, Erikson, Kahn, and Penfield to and educator) was clearly influential to Berne,
have been highly influential on his thinking. including being Berne’s second analyst from
Paul Federn and ego state theory develop- 1947-1949 and one of the founders of the San
ment: The work of Federn (1871-1950, Austri- Francisco Psychoanalytic Society. Erikson used
an and American psychoanalyst) and (later) his knowledge of cultural, environmental, and
Weiss (1889-1970, Austrian and Italian psycho- social influences to broaden and expand psy-
analyst) was the precursor to Berne’s own theo- choanalytic theory and to move beyond Freud’s
retical development of ego states. W eiss was narrow psychosexual focus. Erikson’s concept
Federn’s chief exponent and the editor of Fe- of ego identity contributed to an understanding
dern’s (1952) book Ego Psychology and the of personality as it develops over the life span,
Psychoses, which was published posthumously. with particular emphasis on adolescence. Berne
According to Berne, W eiss both clarified and frequently cited Erikson’s (1950, 1959) work
systematized Federn’s ego psychology. I give in his writing.
below brief quotes from their preceding work Eugen Kahn and the classification model:
on ego states, all of which were referred to by Berne credits Kahn’s (1887-1973, German and
Berne. American psychiatrist) classification model as
Federn (1952) wrote of: providing the template for the ego model (Berne,
• “Day-by-day ego states” (p. 218) 1957b). He considered the ego model to come
• “A mental duologue between two parts of to its “highest flower” (p. 621) in the work of
the ego, the adult and the infantile” (p. 93) Kahn (1931). He also felt Kahn’s attribution of
W eiss (1950) wrote: a “way of experiencing” (Kahn & Cohen, 1936,
• “Every ego-state is the actually experi- p. 381) for each of his psychopathological cate-
enced reality of one’s mental and bodily gories was a useful way of thinking about and
ego with the contents of the lived-through describing fixated ego states (Berne, 1957b).
period.” (p. 141) Berne (1963) wrote that of all his many teach-
• “Two or more separate ego states may strug- ers, Kahn represented one of “the most mean-
gle to maintain integration and may con- ingful” (p. xi).
sciously exist at one time.” (p. 141) Wilder Penfield and neurological (and oth-
• “The residual infantile ego state of the adult er) research: Berne frequently referred to Pen-
person” (p. 79) field’s (1891-1976, American and Canadian
• The “ ‘psychic presence’ . . . the mental im- neurosurgeon and neurologist) work, as he felt
age of another ego” (p. 68) it provided evidence to confirm his own con-
Berne’s development of ego state theory clusions regarding ego state theory (Penfield
rests firmly on the foundations laid by Federn. himself did not use the term “ego state”). For
For example, Berne (1957a) himself wrote that example, Berne (1964) stated:

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ANN HEATHCOTE

Ego states are normal physiological phe- Penfield’s experiments involving electrical
nomena. The human brain is the organ or stimulation of the cortex. He noted that both
organizer of psychic life, and its products sets of experiments described the simultaneous
are organized and stored in the form of experiencing of two ego states (although neith-
ego states. There is already concrete evi- er used the actual words “ego states”), that is,
dence for this in some findings of Penfield “one oriented toward the current external and
and his associates. (p. 26) psychological reality, the other a ‘reliving’ (rath-
Berne (1961/1991) explained Penfield’s work er than mere recall) of scenes dating back as far
as follows: “Penfield [1952] has demonstrated as the first year of life” (Berne, 1961/1991, p. 19).
that in epileptic subjects memories are retained
in their natural form as ego states. By direct The Contribution of Freud, Freudian
electrical stimulation of the bared temporal cor- Theory, and Psychoanalysis
tex of either side, he was able to evoke these Sigmund Freud (1856-1939) was an Austrian
phenomena” (p. 17). And he quoted from sever- neurologist and the founder of psychoanalysis.
al of Penfield’s books and articles, for example: From 1941-1956 Berne trained as a Freudian
The subject feels again the emotion which analyst and was a third-generation Freudian. A
the situation originally produced in him, careful reading of Berne’s published books and
and he is aware of the same interpreta- articles reveals that Berne continued to refer to
tions, true or false, which he himself gave and be informed by his Freudian psychoanaly-
to the experience in the first place. Thus, tic training for the remainder of his life. This
evoked recollection is not the exact photo- was acknowledged by Paul McCormick, the
graphic or phonographic reproduction of editor of Berne’s book Intuition and Ego States,
past scenes and events. It is reproduction which was published posthumously: “Readers
of what the patient saw and heard and felt may see . . . from all of Berne’s books [and
and understood. (Penfield, 1952, p. 183) articles] . . . that he [Berne] has not disavowed
Berne (1961/1991) considered that Penfield his indebtedness to Freudian theory, regardless
demonstrated, through his neurosurgical ex- of his having parted from the Freudians” (McCor-
periments, what Federn had first noted on psy- mick, 1977, p. ix).
chiatric grounds, namely, that “psychological Berne continued to use Freudian theory in
reality is based on complete and discrete ego two main ways: first, to clarify, delineate, and
states” (p. 18). differentiate his own theories and concepts
The significance and interpretation of Pen- from Freudian ones, and second, to describe,
field’s findings were subsequently questioned discuss, and make links between his clinical ex-
— for example, they occurred less than 8% of periences and findings (especially where he had
the time, and the same stimulation often evoked no developed theory or concept of his own) and
different effects. It is now thought that Pen- Freudian theory. So, for example, Berne differ-
field’s findings are more likely related to “auras entiated and contrasted his Child ego state from
that precede epileptic attacks or to hallucina- Freud’s (1933) id: “The Child, archaic as it is,
tions than to rekindled memory traces” (Kolb is still an organized ego state, while the id, ac-
& W hishaw, 1985, p. 71). However, it is clear cording to Freud, is ‘a chaos . . . it has no
that Berne was influenced by and used Pen- organization and no unified will’ ” (Berne,
field’s work to confirm his ego state theory at 1957a, p. 301).
the time he was developing it. He also compared and likened his Adult ego
Berne (1961/1991) was also influenced by state with Freud’s “ego”:
and quoted other research, for example, a psy- Although there are theoretical differences
chiatric study on the use of LSD to facilitate which become significant in advanced work,
psychotherapy (Chandler & Hartman, 1960). for ordinary purposes it is not necessary to
Berne was struck by the resemblance between distinguish the Adult and Freud’s ‘ego.’
this study’s pharmacological reactivation of ar- Both have the task of dealing simultane-
chaic ego states and that achieved through ously with internal and external forces, and

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 ERIC BERNE’S DEVELOPMENT OF EGO STATE THEORY: WHERE DID IT ALL BEGIN?

both are most clearly manifested when the (1895/1950) in their work with Anna O. when
individual is attempting to deal objectively they observed Anna O. displaying two separate
with external reality. (Berne, 1957a, p. 301) states of consciousness, a normal one and a
And, in the following quote, we can see childish one. Berne explained that for cogent
Berne making a theoretical link between his reasons at the time, Freud concentrated on psy-
theory and Freud’s theory: “The characteristic chodynamics, resulting in a conceptual struc-
of the archaeopsyche is what Freud calls pri- ture rather than a clinical one.
mary process; that of the neopsyche, secondary
process; and that of the exteropsyche, some- Conclusion
thing akin to identification” (Berne, 1961/1991, This article has traced the early beginnings of
p. 240). Berne’s development of ego state theory and
In the early 1960s, Berne (1961/1991) clari- discovered the key theorists who influenced
fied the relationship between his use of psycho- Berne in the development of this theory. Berne’s
analytic and Freudian concepts and his own first reference to ego states came in his 1957
theory: article entitled “Intuition V. T he Ego Image.”
Psychoanalysis and its cognates as used in In it he clearly differentiated between “adult”
this book are meant to refer to what is and “child” ego states. Berne (1957b) explicitly
known as “orthodox” psychoanalysis, that named the “parent” ego state later in the same
is, the resolution of infantile conflicts year in his next article, Ego States in Psycho-
through the systematic use of free associa- therapy. It was there that Berne referred to
tion, dealing with the phenomena of trans- structural analysis for the first time and gave
ference and resistance according to the prin- his first definition of an ego state.
ciples of Freud. It may be borne in mind, In his development of ego state theory, Berne
however, that after fifteen years the psy- was clearly influenced by the work of many
choanalytic movement and the writer offi- theorists, the main ones being Federn, Erikson,
cially parted company (on the most friend- Kahn, and Penfield. Berne also continued to
ly terms) a few years ago, and that the wri- use and be informed by Freudian theory. W hat
ter’s concept of ego function is different becomes transparent is that Berne developed
from that of the majority of orthodox psy- and built his own theory of ego states from the
choanalysts, approaching more closely the foundations laid by Paul Federn.
viewpoints of Federn (1952) and his pupil
Edoardo W eiss (1950). (pp. 12-13) Ann Heathcote is a Certified Transactional
A quote from Berne’s reply to a critique of Analyst (psychotherapy) with a private psycho-
transactional analysis, in 1969, succinctly sums therapy practice in North West Manchester,
up his attitude toward Freudian (and behavior- United Kingdom. She also manages The Wors-
ist) theory: ley Centre for Psychotherapy and Counselling.
As to the Freudian and behavioristic ele- Ann can be reached at The Worsley Centre for
ments in transactional theory, I think both Psychotherapy and Counselling, 50 Bridge-
Freud and Pavlov (as well as some of their water Road, Walkden, Worsley M28 3AE, Uni-
followers) were right, and I think I am ted Kingdom; annheathcote@theworsleycentre.
right too, so I am not ready to discard any co.uk .
of us. Therefore, there has to be a way to
get us together, which may take another REFERENCES
Berne, E. (1947). The mind in action: Being a layman’s
ten years to do more elegantly than I have
guide to psychiatry. New York: Simon and Schuster.
done it so far. (p. 478) Berne, E. (1957a). Ego states in psychotherapy. American
One further point of interest comes from the Journal of Psychotherapy, 11(2), 293-309.
Note section of Chapter 17 of Berne’s (1961/ Berne, E. (1957b). Intuition V. The ego image. The
1991) book Transactional Analysis in Psycho- Psychiatric Quarterly, 31, 611-627.
Berne, E. (1963). The structure and dynamics of organi-
therapy. In it Berne explained how structural zations and groups. New York: Grove Press.
analysis was noted in 1895 by Breuer and Freud Berne, E. (1964). Games people play: The psychology of

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ANN HEATHCOTE

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