Cattell and the Big Five
Factor Analytic Trait Theories
Factor Analysis- the strength of these approaches is their description of
personality through clearly defined factors, assessed through questionnaires.
It offers clear operational definitions, so the theory is verifiable.
 Correlation coefficient measures the relationship between two sets of
numbers. Positive correlations show high numbers in one factor
related to high numbers in the second factor. Negative correlations
show high numbers in one factor relate to low numbers in the second
factor- an inverse correlation. The correlational coefficient ranges
from +1.0 to 0 to -1.0, showing the strength and direction of
relationship between factors.
 Correlation matrix is a computation of all pairs of variables. They
often show redundancy, which can be described and categorized.
 Factor Analysis is the essential tool of factor analytic trait theories- a
statistical procedure based on the concept of correlation. This
techniques can describe large numbers of variable by identifying
smaller numbers of dimensions- factors. It combines lots of detailed
information about a person into more general trait statements. It was
originally used to study aspects of intelligence by testing for various
abilities and seeing related abilities. Factor analysis is a sophisticated
mathematical tool for identifying patterns of related observations.
The 16 Factor Theory: Cattell claimed that the study of personality passed
through 2 earlier phases before reaching its current scientific status.
1. Intuitive insights expressed in literature and philosophy- Plutacrch,
Bacon, Goethe.
2. Clinically oriented theorists- Freud, Adler, Jung, using some
primitive experimental work
3. Experimental and quantitative stage developed since World War I
(Since this time, the Big Five factor theory developed.)
 Biography
o Born in England, Cattell was the son & grandson of engineers
(easily seen in the influence on him in categorization &
statistical analysis). He graduated from University of London
and decided to get a graduate degree at King’s College in
psychology. He learned Spearman’s factor analysis, which had
been used to study intelligence up to that point. He first took a
position as a school psychological service director. He married
and had one child. But his work was so consuming that the
marriage failed when Monica left him. He was developing a
projective test similar to the one developed by Henry Murray.
Cattell said he was probably first to use the term “Projective
test.” He came to New York to work with E.L. Thorndike to
work in social psychology, eventually migrating to the US and
taking a professorship at Clark University, developing the
Culture Fair intelligence test. He transferred to Harvard,
working side by side with Allport, although their views on
personality factors and testing were very different. During
WWII he worked up objective personality tests for the military
for officer selection. In 1945 he moved to University of Illinois,
where he married again and had 4 children. He had a research
appointment and a computer, so his explorations of multivariate
statistical methods took off. He started the Institute for
Personality and Ability Testing (IPAT) which is the source for
buying any of the tests Cattell developed. He founded the
Society for Multivariate Experimental Psychology to foster
research in this area. He retired to Hawaii but stayed active in
theory development and use of computers for research. He died
in 1998. The year before he was given a lifetime achievement
award from the APA for creating “a unified theory of individual
differences integrating intellectual, temperamental, and
dynamic domains of personality in the context of environmental
and hereditary influences.”
 Personality: prediction of behavior
o Cattell thought the theories regarding personality development
to that time were simply speculations, bereft of any scientific
underpinnings that could actually be used to make a prediction.
Cattell defined personality as “that which permits a prediction
of what a person will do in a given situation.”
o Traits are the units of personality that have predictive value”:
“that which defines what a person will do when faced with a
defined situation.” They were conceptual tools useful for
prediction, not particularly physical realities, like Allport
thought. “Traits exist as determiners of behavior.”
 Measurement- Science is advanced by new tools. With the PET csan
and MRI, we can understand the inner workings of organ systems in
ways we could not before. Cattell insisted that personality tests
themselves be tested to show reliability and validity in order that their
findings be useful and dependable. Cattell refused to use the
interview, saying there was too much bias inherent in the procedure.
He preferred the Motivation Analysis Test.
o Personality tests were the areas that Cattell was most effective
in- he argued that a description of personality traits was
essential if we would predict behavior. His best-known and
most used test if the 16 Personality Factor Questionnaire. Some
tests were even taken out of the big test for clinical use- the
Neuroticism Scale, the Clinical Analysis Questionnaire, and the
Marriage Counseling Report, measures of anxiety and
depression. He also is well known for developing the Culture
Fair Intelligence Test, which supposedly measures a person’s
innate capacity to learn.
o Beyond personality tests- Cattell looked for patterns of
personality that could be confirmed by all three of these types
of data. Confirmation of a trait across all three types of data
increases your certainty that this is a meaningful personality
trait.
 Q-data is information derived from subjects taking a
pencil and paper test- questionnaires. Information can be
distorted by subjects if they are trying to cover up aspects
of their personality.
 T-data is objective test data- involving measuring
instruments that are indirect, so the subject can’t know
the purpose of the test. It includes projective test datainkblot tests, behavioral measures, reaction time,, blood
pressure measurements.
 L-data is life record data- school records, grade point
average, driving history, ratings at work, letters of
recommendation. These are difficult to quantify, though.
Personality is complex: the Multivariate Approach takes into account that
people are affected by multiple influences and one must not oversimplify
trait data. It is so complex, that without computers to keep track of data and
analyze it, this level of investigation would not have been possible.
Multivariate research methods incorporated several variables at one time to
predict behavior.
 Traits are patterns of observations that go together.
 Surface traits and source traits
o Surface traits are correlational clusters of variables that appear
on the surface to be a trait, there is no evidence that they are an
enduring trait. The pattern of correlations might not reappear in
different circumstances.
o Source traits are robust correlational clusters- they reappear
over and over again, in spite of differences of population,
situations; etc These traits must correspond to one cause with
the personality- to be a fundamental trait of personality.
 Measurement of source traits: the 16PF Cattell developed
questionnaires to measure the source traits as clearly as possible. The
16PF consists of 16 multiple choice scales, each measuring one
underlying source trait. The profile of the person consists of the set of
scores on all factors. Cattell even made up words to describe some
factors: Premsia is derived from “protected emotional sensitivity”
 Five Second-Order Factors- second-order factor analysis reduced
the 16 factors to 5 which are strikingly similar to the Big Five that
McCrae and Costa have developed. Two of these are:
o Extraversion which is characterized by strong liking for others,
talkativeness, optimism, and adventurous boldness. It is
believed to have strong heritability as the basis. Cattell also said
the inherited tendency was to react more strongly to ideas than
to external stimuli in introverts, and the opposite for extraverts.
o Anxiety is also called Neuroticism and consists of ego
weakness, guilt proneness, paranoid tendency, low selfsentiment and high drive tension.
Psychological Adjustment levels can be derived from studying
certain traits, such as Ego strength, low emotional stability, high
sensitivity, high imaginativity, seriousness, and low dominance.
Cattell suggested 3 particular factors were involved in emotional
adjustment and self-control: ego strength, superego strength, and selfsentiment integration. Heredity plays a part in development of
neurosis, but so does family conflict, inconsistent discipline, and
insufficient affection. Psychoticism is more serious a condition than
neurosis, showing a detachment from reality. Cattell found different
patterns of traits for various diagnoses of mental illness. He developed
clinical scales similar to the 16PF to focus on differences shown by
different diagnostic groups.
Three Types of Traits can be studied to understand the entire person:
 Ability traits relate to types of intelligence and motivation toward a
goal. Heredity and learning affect this outcome. Cattell wanted to be
able to test for innate intelligence, regardless of the nature of
education the person had. So he distinguished 2 types of intelligence:
o Fluid intelligence is the innate ability to learn. It is fluid
because it is expressed in various kinds of learning, depending
on the educational opportunities the person has.
o Crystallized intelligence is the measurement of what has been
learned through education. These test results are used to predict
scores on Advanced Placement tests and tests of knowledge.
This can continue to grow with age, if the person keeps himself
active and continues to make efforts to learn new things.
o Culture Fair Intelligence Test was developed to measure only
fluid intelligence, so as to better recognize the abilities of those
who have had poor or nonexistent education. Even so,
experience does influence scores, so it is hard to say it is
completely free of cultural/ educational influence. Cattell
examined many kinship studies to determine the heritability of
intelligence and decided 80% of intelligence is inherited.
Unfortunately he decided that this formed the basis of a
rationale for a eugenics movement designed to eradicate the
minority people who were thought to have lower intelligence
and would reproduce at a high rate, bringing down the
intelligence of the whole society. (Aboriginal policies in
Australia, justification for Nazi eradication of many peoples)
The truth was found that intelligence increased over the
generations, did not decline as feared. This argument resurfaces
from time to time even today, as justification for dropping
educational support programs for disadvantaged youth (The
Bell Curve)
 Temperament traits are inherited source traits that determine the
general style with which a person carries out what s/he does. It is also
a group of characteristics that are highly heritable, as found in twins
separated at birth.
 Dynamic traits are motivational- they give energy and direction to
action. He believed some motivations were innate and others were
learned. Ergs were innate; metaergs were learned motivations.
o Ergs are innate motivational traits. They are related to instincts
as found in animals- innate reactions toward a goal, even
though means may be learned. Ergs include anger, curiosity,
fear, greed, hunger, loneliness, pity, pride, sensuousness, and
sex. Genetics may serve to vary the level of an ergic trait, as
well as the way the trait is channeled into behavior. One person
seeks security through force, another through legal protections
or financial planning.
o Metaergs are the learned patterns that ergs get channeled into.
Cattell thought of them as environmental-mold dynamic source
traits (learned motivations.) They can be general- patriotism,
values around education, or specific- opposition to a particular
candidate.
 Sentiments are general metaergs. They are deep
underlying motivations that form early and endure. These
may be feelings about home, family, religion, country.
The most important sentiment is the self-sentiment- a
master motive. These are central to the personality.
 Attitudes are specific responses to situations. They are
an interest in a course of action in any given situation.
(Wanting to spend Thanksgiving with the family.) They
are very specific, and useful to know so as to know how a
broader dimension of personality would be expressedlove of country may be expressed in voting, getting
involved in political campaigns, writing letters to editor,
or sending letter bombs to people you find distasteful.
Subsidiation – this is the process of channeling basic drives (ergs) into
purposive activities. This requires learning. It takes a series of acts to
complete a goal and we must learn the sequences to the goal. These are
means-end activities- the instrumental goals along the way to achieving the
main goal.
The Dynamic Lattice is a diagram of subsidiation relationships. Attitudes
are on the left, and are subsidiary to sentiments, in the middles which are
subsidiary to ergs on the right. There are multiple connections among these
motivational levels. Metaergs (attitudes and sentiments) are learned. Their
connections with each other are affected by learning. As we develop these
connections change. Ergs are generally satisfied indirectly through metaergs.
 Confluence learning is learning a behavior that can satisfy many
motivations. These involve coordinating several traits, as well. So
learning a foreign language well can open many opportunities to you
for varied jobs, as well as foreign travel and prestige.
Predicting Behavior
 The Specification Equation is Cattell’s engineering/ statistical
approach to quantifying the human personality in order to predict
behavior. According to Cattell, all behavior can be predicted using
this obtuse and boring equation. Just know what the purpose is. Forms
of this equation are used to predict the potential success of applicants
to college from their GPA, SAT scores, letters of recommendation,
etc. Where the formula breaks down is in quantifying all the situations
that people face. Even the environment cannot completely be
measured, as what really must be measured is the person’s
psychological environment or life space- one’s perception of one’s
environment. This equation assumes that each person’s traits are
stable, but more recent research shows that traits are easily overcome
by certain environments, so they aren’t as stable as first thought.
 Nomothetic & Idiographic Approaches:
o R-Technique
o P-Technique
Syntality
Determinants of Personality: Heredity and Environment
 Constitutional traits
 Environmental-mold traits
 MAVA – the Multiple Abstract Variance Analysis
 Heritability
The Role of Theory in Cattell’s Empirical Approach- Cattell has been
accused of being atheoretical, just doing empirical work blindly and
predicting without a guiding theory. He claimed his models are theory and
his statistical methodology could answer complex questions regarding
human personality. He was very suspicious of theory that was built before
any data was acquired (as Freud did.) His techniques did result in many
discoveries in a briefer time than alternative approaches.
The Five Factor Theory: McCrae and Costa tried to activate the grand
scheme of Cattell’s vision- an empirically supported model of traits that
encompasses the full spectrum of personality. Their Big Five model was
focused on description of personality, not divining the causes of personality.
The Big Five theory asserts that there are 5 basic factors of personality. They
were developed from factor analysis of words people use for personality
descriptors- the lexical approach similar to Allport going through the
dictionary listing all 17,000+ words for traits. The Big Five consist of 5
broad personality traits: “OCEAN”: extraversion, agreeableness,
neuroticism, conscientiousness, openness. A self-report questionnaire has
been developed to measure these factors- the NEO-PI.
 The Big Five
o Extraversion is also called dominance-submissiveness, or
surgency (Cattell). Talkativeness, passion, activity, dominance,
sociability. Introversion is quite, less expressive, passivity.
Extraverts value excitement and fun, many social contacts, as
well as having control. They are judged friendlier, fun-loving,
and affectionate. They are more willing to have sexual contact
without commitment, and they have more sexual contacts than
introverts. They make friends more quickly than introverts. One
facet of extraversion, low shyness, also predicts falling in love
more easily. They seem happier and they may be programmed
to respond more intensely to pleasure than less extraverted
people.
o Agreeableness consists of traits like good-natured, softhearted, trusting, as opposed to low agreeableness as seen in
irritability, ruthlessness, suspiciousness. It is also called Social
adaptability or Likability. High agreeableness personalities tend
to avoid hostility and go along with others. Those low in this
trait are suspicious, and uncooperative. High Agreeableness
people report they value being helpful, forgiving, and loving.
They report little conflict in their relationships and when it
happens, their self-esteem is affected negatively. Men are more
likely to use power to get their way or resolve conflict, even if
they score high in agreeableness. There is a general avoidance
of conflict in people high in agreeableness. It may or may not
serve them well in the long run.
o Neuroticism consists of worrying, emotionality, vulnerability,
anxiety. Persons low in this trait are calm, less emotional,
hardy, self-controlled, and generally feel a sense of well-being.
Those low on neuroticism have Emotional Stability, emotional
control, and ego strength. Those who are low on neuroticism
are happier and more satisfied with life than those who score
high. Neurotics are unhappy and dissatisfied with life. They
have difficulties in relationships and commitment and often
suffer low self-esteem. They also report more negative events
with family and friends, leisure and finance.
o Conscientiousness includes hardworking, ambitiousness, and
responsibility. People low in consciousness are negligent, lazy,
aimless, irresponsible. Conscientiousness includes
dependability, impulse control and will to achieve, as well as
orderliness and self-discipline. People high in this trait are
organized, punctual, ambitious. They are generally motivated to
achieve and students get higher grades in school. They are
rewarded with high self-esteem. They also show higher job
satisfaction, income, and status. They set and achieve higher
goals, get better evaluations from bosses, and are generally
satisfied with their lives. They have better attendance records.
In family relationships and health, these people are less
susceptible to sexual infidelity than those low in
conscientiousness. Women are more likely to have a regular
mammogram.
o Openness has to do with openness to novel or interesting life
experiences. It includes creativity, imagination, need for variety
in life. People lower in openness are less creative, down-toearth, preferring routines. People high in this trait value
imagination, broadmindedness and esthetics, beauty. People
low in Openness value cleanliness, obedience, and national
security. Openness is conducive to personal growth. These
people are more creative and better problem solvers in many
ways.
A final word – the five factors consist of components, facets that can
be measured separately. Each facet is more precise and focused trait
than the larger factor, but all the facets are positively correlated with
one another. We want to understand and recognize facets that go with
certain factors, to protect ourselves or enhance our dominance in the
tribe. One connection to extraversion is social dominance. We use this
information to form alliances, cooperate in service to a goal, and in
finding appropriate mates. The Big Five factors have been confirmed
in the California Personality Inventory, the Eysenck Personaliyt
Inventory, and the Myers-Briggs Type Inventory. The traits found are
relatively stable over life and can be used to predict adjustment.