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Eysenck, McCrae, and Costa’s Trait and Factor Theories
Hans Jurgen Eysenck was born in Berlin on March 4, 1916, the only child of a theatrical family.
Eysenck’s factor analytic technique yielded three general bipolar factors or types—extraversion/introversion, neuroticism/stability, and psychoticism/superego. The Five-Factor Theory (often called the Big Five) includes neuroticism and extra- version; but it adds openness to experience, agreeableness, and conscientiousness. These terms differ slightly from research team to research team, but the underlying traits are quite similar.
The Pioneering Work of Raymond B. Cattell
An important figure in the early years of psychometrics was Raymond B. Cattell (1905–1998), who was born in England but who spent most of his career in the United States.
First, Cattell used an inductive method of gathering data; that is, he began with no preconceived bias concerning the number or name of traits or types. In contrast, Eysenck used a deductive method to identify three personality factors. That is, he had some preconceived hypothesis in mind before he began gathering data.
Second, Cattell used three different media of observation to examine people from as many angles as possible. The three sources of data included a person’s life record (L data) derived from observations made by other people; self-reports (Q data) obtained from questionnaires and other techniques designed to allow people to make subjective descriptions of themselves; and objective tests (T data), which measure performance such as intelligence, speed of responding, and other such ac- tivities designed to challenge people’s maximum performance.
Third, Cattell divided traits into common traits (shared by many) and unique traits (peculiar to one individual). He also distinguished source traits from trait in- dicators, or surface traits. Cattell further classified traits into temperament, motiva- tion, and ability. Traits of temperament are concerned with how a person behaves, motivation deals with why one behaves, and ability refers to how far or how fast one can perform.
Fourth, Cattell’s multifaceted approach yielded 35 primary, or first-order, traits, which measure mostly the temperament dimension of personality. Of these factors, 23 characterize the normal population and 12 measure the pathological dimension. The largest and most frequently studied of the normal traits are the 16 personality factors found on Cattell’s (1949) Sixteen Personality Factors Questionnaire (16 PF Scale).
Fifth, while Cattell was measuring a large number to traits, Eysenck was con- centrating on types, or superfactors that make up several interrelated traits.
Eysenck’s Factor Theory
The personality theory of Hans Eysenck has strong psychometric and biological components. However, Eysenck (1977a, 1997a) contended that psychometric so- phistication alone is not sufficient to measure the structure of human personality and that personality dimensions arrived at through factor analytic methods are sterile and meaningless unless they have been shown to possess a biological existence.
Criteria for Identifying Factors
First, psychometric evidence for the factor’s existence must be established. A corollary to this criterion is that the factor must be reliable and replicable. Other investigators, from separate laboratories, must also be able to find the factor, and these investigators consistently identify Eysenck’s extraversion, neuroticism, and psychoticism.
A second criterion is that the factor must also possess heritability and must fit an established genetic model. This criterion eliminates learned characteristics, such as the ability to mimic the voices of well-known people or a religious or political belief.
Third, the factor must make sense from a theoretical view. Eysenck employed the deductive method of investigation, beginning with a theory and then gathering data that are logically consistent with that theory.
The final criterion for the existence of a factor is that it must possess social relevance; that is, it must be demonstrated that mathematically derived factors have a relationship (not necessarily causal) with such socially relevant variables as drug ad- diction, proneness to unintentional injuries, outstanding performance in sports, psychotic behavior, criminality, and so on.
Hierarchy of Behavior Organization
Eysenck (1947, 1994c) recognized a four-level hierarchy of behavior organization. At the lowest level are specific acts or cognitions, individual behaviors or thoughts that may or may not be characteristic of a person.
At the second level are the habitual acts or cognitions, that is, responses that recur under similar conditions.
Several related habitual responses form a trait—the third level of behavior. Eysenck (1981) defined traits as “important semi-permanent personality disposi- tions” (p. 3).
Eysenck concentrated on the fourth level, that of types or superfactors. A type is made up of several interrelated traits. For example, persistence may be related to inferiority, poor emotional adjustment, social shyness, and several other traits, with the entire cluster forming the introverted type. Each of the four levels of behavior organization are shown in Figure 14.3.
Dimensions of Personality
Eysenck, extracted only three general superfactors. His three personality dimensions are extra- version (E), neuroticism (N), and psychoticism (P), although he did not rule out “the possibility that further dimensions may be added later” (Eysenck, 1994b, p. 151). Figure 14.4 shows the hierarchical structure of Eysenck’s P, E, and N.
Neuroticism and psychoticism are not limited to pathological individuals, al- though disturbed people tend to score higher than normal people on scales measur- ing these two factors. Eysenck regarded all three factors as part of normal personal- ity structure. All three are bipolar, with extraversion being at one end of Factor E and introversion occupying the opposite pole. Similarly, Factor N includes neuroticism at one pole and stability at the other, and Factor P has psychoticism at one pole and the superego function at the other.
1. Extraversion - Eysenck’s concepts of extraversion and introversion are closer to the popular usage. Extraverts are characterized primarily by sociability and impulsiveness but also by jocularity, liveliness, quick-wittedness, optimism, and other traits indicative of people who are rewarded for their association with others (Eysenck & Eysenck, 1969).
Introverts are characterized by traits opposite those of extraverts. They can be described as quiet, passive, unsociable, careful, reserved, thoughtful, pessimistic, peaceful, sober, and controlled.
2. Neuroticism - People who score high on neuroticism often have a tendency to overreact emotionally and to have difficulty returning to a normal state after emotional arousal. They frequently complain of physical symptoms such as headache and backache and of vague psychological problems such as worries and anxieties. Neuroticism, how- ever, does not necessarily suggest a neurosis in the traditional meaning of that term. People can score high on neuroticism and be free of any debilitating psychological symptoms.
Eysenck accepted the diathesis-stress model of psychiatric illness, which suggests that some people are vulnerable to illness because they have either a genetic or an acquired weakness that predisposes them to an illness.
3. Psychoticism - Eysenck’s original theory of personality was based on only two personality dimensions—extraversion and neuroticism.
Eysenck (1994a) hypothesized that people high on psychoticism have a high “predisposition to succumb to stress and develop a psychotic illness”
Measuring Personality
Eysenck evolved four personality inventories that measure his superfactors. The first, the Maudsley Personality Inventory, or MPI (Eysenck, 1959), assessed only E and N and yielded some correlation between these two factors. For this reason, Eysenck de- veloped another test, the Eysenck Personality Inventory, or EPI. The EPI contains a lie (L) scale to detect faking, but more importantly, it measures extraversion and neu- roticism independently, with a near zero correlation between E and N (H. J. Eysenck & B. G. Eysenck, 1964, 1968). The Eysenck Personality Inventory was extended to children 7 to 16 years of age by Sybil B. G. Eysenck (1965), who developed the Junior EPI.
Biological Bases of Personality
According to Eysenck, personality factors P, E, and N all have powerful biological determinants. He estimated that about three fourths of the variance of all three personality dimensions can be accounted for by heredity and about one fourth by environmental factors.
Personality as a Predictor
According to Eysenck, psychoticism, extraversion, and neuroticism should predict results of experimental studies as well as social behaviors. Eysenck’s theory assumes that extraversion is a product of low cortical arousability. Therefore, introverts, compared with extraverts, should be more sensitive to a vari- ety of stimuli and learning conditions. Eysenck (1997a) argued that an effective theory of personality should predict both proximal and distal consequences.
Eysenck (1997a) further argued that many psychology studies have reached erroneous conclusions because they have ignored personality factors.
Eysenck (1995) also hypothesized that psychoticism (P) is related to genius and creativity.
Personality and Disease
Eysenck and his associates (Marusic, Gudjonsson, Eysenck, & Starc, 1999) developed a complex biopsychosocial model for heart disease that included 11 biological and 7 psychosocial factors. Their re- search with men in the Republic of Slovenia supported the hypothesis that personal- ity factors interact with a variety of biological factors to contribute to heart disease. One such interaction was for smoking, neuroticism, and emotional reactivity; that is, high P scorers who smoke and who react to stress with anger, hostility, and aggression increase their risk for heart disease.
The Big Five: Taxonomy or Theory?
Eysenck’s three-factor approach is a good example of how a scientific theory can use a taxonomy to generate hundreds of hypotheses.
Robert R. McCrae and Paul T. Costa, Jr.
Robert Roger McCrae was born April 28, 1949 in Maryville, Missouri, a town of 13,000 people located about 100 miles north of Kansas City.
Paul T. Costa, Jr. was born September 16, 1942 in Franklin, New Hampshire, the son of Paul T. Costa, Sr. and Esther Vasil Costa.
In Search of the Big Five
n the late 1970s and early 1980s, Costa and McCrae, like most other factor researchers, were building elaborate taxonomies of personality traits, but they were not using these classifications to generate testable hypotheses. Instead, they were sim- ply using factor analytic techniques to examine the stability and structure of person- ality. During this time, Costa and McCrae focused initially on the two main dimensions of neuroticism and extraversion.
Five Factors Found
As late as 1983, McCrae and Costa were arguing for a three-factor model of per- sonality. Not until 1985 did they begin to report work on the five factors of person- ality. This work culminated in their new five-factor personality inventory: the NEO- PI (Costa & McCrae, 1985). The NEO-PI was a revision of an earlier unpublished personality inventory that measured only the first three dimensions; N, E, and O.
Description of the Five Factors
People who score high on neuroticism tend to be anxious, temperamental, self-pitying, self-conscious, emotional, and vulnerable to stress- related disorders. Those who score low on N are usually calm, even-tempered, self- satisfied, and unemotional.
People who score high on extraversion tend to be affectionate, jovial, talkative, joiners, and fun-loving. In contrast, low E scorers are likely to be reserved, quiet, lon- ers, passive, and lacking the ability to express strong emotion
Openness to experience distinguishes people who prefer variety from those who have a need for closure and who gain comfort in their association with familiar people and things. People who consistently seek out different and varied experiences would score high on openness to experience. People high on openness are generally creative, imaginative, curious, and liberal and have a preference for variety. By contrast, those who score low on openness to experience are typically conventional, down-to- earth, conservative, and lacking in curiosity.
The Agreeableness Scale distinguishes soft-hearted people from ruthless ones. People who score in the direction of agreeableness tend to be trusting, generous, yielding, acceptant, and good-natured. Those who score in the other direction are generally suspicious, stingy, unfriendly, irritable, and critical of other people.
The fifth factor—conscientiousness—describes people who are ordered, con- trolled, organized, ambitious, achievement focused, and self-disciplined. In general, people who score high on C are hardworking, conscientious, punctual, and perse- vering. In contrast, people who score low on conscientiousness tend to be disorga- nized, negligent, lazy, and aimless and are likely to give up when a project becomes difficult. Together these dimensions make up the personality traits of the five-factor model, often referred to as the “Big Five” (Goldberg, 1981).
Evolution of the Five-Factor Theory
For 25 years, Costa and McCrae had been at the forefront of contemporary personality research, developing and elaborating on the Five-Factor Model. Accord- ing to McCrae and Costa (1999), “neither the model itself nor the body of research findings with which it is associated constitutes a theory of personality. A theory or- ganizes findings to tell a coherent story, to bring into focus those issues and phe- nomena that can and should be explained” (pp. 139–140). Earlier, McCrae and Costa (1996, p. 78) had stated that “the facts about personality are beginning to fall into place. Now is the time to begin to make sense of them.” In other words, it was time to turn the Five-Factor Model (taxonomy) into a Five-Factor Theory (FFT).
Units of the Five-Factor Theory
In the personality theory of McCrae and Costa (1996, 1999, 2003), behavior is pre- dicted by an understanding of three central or core components and three peripheral ones. The three central components include (1) basic tendencies, (2) characteristic adaptations, and (3) self-concept.
Core Components of Personality
1. Basic Tendencies - As defined by McCrae and Costa (1996), basic tendencies are one of the central components of personality, along with characteristic adaptions, self-concept, biological bases, objective biography, and external influences. McCrae and Costa defined basic tendencies as
the universal raw material of personality capacities and dispositions that are generally inferred rather than observed. Basic tendencies may be inherited, imprinted by early experience or modified by disease or psychological intervention, but at any given period in an individual’s life, they define the individual’s potential and direction. (pp. 66, 68)
2. Characteristic Adaptations - Core components of Five-Factor Theory include the characteristic adaptations, that is, acquired personality structures that develop as people adapt to their environment. The principal difference between basic tendencies and characteristic adaptations is their flexibility. Whereas basic tendencies are quite stable, characteristic adaptations can be influenced by external influences, such as acquired skills, habits, attitudes, and relationships that result from the interaction of individuals with their environment. McCrae and Costa (2003) explained the rela- tionship between basic tendencies and characteristic adaptations, saying that the heart of their theory “is the distinction between basic tendencies and characteristic adaptations, precisely the distinction that we need to explain the stability of person- ality” (p. 187).
3. Self-Concept - McCrae and Costa (2003) explain that self-concept is actually a characteristic adaptation (see Figure 14.8), but it gets its own box because it is such an important adaptation. McCrae and Costa (1996) wrote that it “consists of knowl- edge, views, and evaluations of the self, ranging from miscellaneous facts of per- sonal history to the identity that gives a sense of purpose and coherence to life” (p. 70). The beliefs, attitudes, and feelings one has toward oneself are characteristic adaptations in that they influence how one behaves in a given circumstance.
Peripheral Components
The three peripheral components are (1) biological bases, (2) objective biography, and (3) external influences.
1. Biological Bases - The Five-Factor Theory rests on a single causal influence on per- sonality traits, namely biology. The principal biological mechanisms that influence basic tendencies are genes, hormones, and brain structures.
2. Objective Biography - The second peripheral component is objective biography, defined as “everything the person does, thinks, or feels across the whole lifespan” (McCrae & Costa, 2003, p. 187). Objective biography emphasizes what has happened in people’s lives (objective) rather than their view or perceptions of their experiences (subjective).
3. External Influences - People constantly find themselves in a particular physical or social situation that has some influence on the personality system. The question of how we respond to the opportunities and demands of the context is what external in- fluences is all about. According to McCrae and Costa (1999, 2003), these responses are a function of two things: (1) characteristic adaptations and (2) their interaction with external influences.
Basic Postulates
Each of the components of the personality system (except biological bases) has core postulates. Because the components of basic tendencies and characteristic adapta- tions are most central to the personality system, we will elaborate only on the pos- tulates for these two components.
Postulates for Basic Tendencies
Basic tendencies have four postulates: individuality, origin, development, and struc- ture. The individuality postulate stipulates that adults have a unique set of traits and that each person exhibits a unique combination of trait patterns. The precise amount of neuroticism, extraversion, openness, agreeableness, and conscientiousness is unique to all of us, and much of our uniqueness results from variability in our geno- type.
Second, the origin postulate takes a clear if somewhat controversial stance: All personality traits are the result solely of endogenous (internal) forces, such as ge- netics, hormones, and brain structures. In other words, the family environment plays no role in creating basic tendencies.