Kevin Medved
PSYCH 438, Ross McLean
12/17/12
Personality Pathology and Five-Factor Theory
Since the latter half of the 20th century, trait theory has been an extremely popular
approach to studying and conceptualizing personality among researchers in the psychological
sciences. Henry Odbert and Gordon Allport guided the field in its first forays into trait theory in
the 1930s. Other famous researchers—Hans Eysenck, Raymond Cattell, Ernest Tupes, Raymond
Christal, and Warren Norman—continued in their footsteps over the next several decades,
generating their own lists of key traits through the use of factor analysis. Beginning in the 1970s
and continuing through the ‘80s and ‘90s, Paul Costa and Robert McCrae joined in the efforts to
construct their own taxonomies of personality traits; their early work replicated some of the
findings of Hans Eysenck, overlapping with his documentation of neuroticism (N) and
extraversion (E). Eventually, Costa and McCrae expanded their list to include openness (O),
agreeableness (A), and conscientiousness (C) in addition to N and E. Although these Big Five
factors originally existed as nothing more than a classification of basic traits, the two
researchers’ later work remodeled them as “basic tendencies” and, together with a few other core
components, wove it all into what is now known as Five-Factor Theory (FFT) (Feist & Feist,
2009). An empirically established model of behavior, FFT’s system of interacting elements is a
comprehensive look at personality that does an excellent job of accounting for both normal and
abnormal personality development and expression.
Several key elements comprise the foundation of FFT. The first are known as basic
tendencies. First defined by Costa and McCrae in 1996, this term refers to the fundamental
characteristics of an individual that are based in biology or early experiences; while basic
tendencies originally encompassed things like cognitive abilities, natural talents, sexual
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orientation, and so on, Costa and McCrae’s later work focused primarily on the Big Five:
neuroticism, extraversion, openness, agreeableness, and conscientiousness. In FFT, these factors
are presented as biologically-based, bipolar traits that follow a bell-shaped distribution among
the population and have relative stability in an individual over time. Each trait is governed by
four basic postulates: 1) each adult human possesses a unique set of traits and demonstrates a
unique pattern of characteristics based on his or her levels of N, E, O, A, and C; 2) internal
biological elements like genetics, hormones, and neural structures alone give rise to the Big Five,
meaning that familial relationships and an individual’s environment have no influence
whatsoever; 3) developmental changes in these traits are common throughout childhood but
happen more gradually and less frequently when an individual reaches adulthood, eventually
stopping altogether; 4) finally, traits are characterized by hierarchical order, with the Big Five
acting as a broad classification system, with each factor generating its own set of traits and
behavioral tendencies (Feist & Feist, 2009).
Although all of the basic tendencies (referring specifically to the five factors) contribute
to an individual’s personality system and patterns of behavior, contribution is not equal in
magnitude across the board. Neuroticism (N) and extraversion (E) are the two strongest and most
influential factors; similarly conceptualized and documented by Hans Eysenck, they are also
arguably the ones with the strongest and most extensive body of empirical support. Individuals
who score high on measures of neuroticism tend to be anxious, temperamental, self-conscious,
self-pitying, and vulnerable; those who score low are generally calm, even-tempered,
comfortable, self-satisfied, and unemotional. High levels of extraversion are associated with
individuals who act as “joiners” in social situations and are affectionate, passionate, active,
talkative, and fun-loving; on the opposite end of the spectrum, low scorers are typically loners
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who are reserved, unfeeling, passive, quiet, and sober. High levels of openness to experience (O)
characterize someone who prefers variety and is imaginative, creative, curious, and liberalminded; an individual with low levels of O prefers routine, familiar experiences and is down-toearth, uncreative, uncurious, and closed-minded. Those who score high on measures of
agreeableness (A) are typically softhearted, trusting, generous, amiable, and laid-back;
individuals who score in the opposite direction tend to be ruthless, coldhearted, distrustful,
stingy, and critical of others. Finally, high levels of conscientiousness (C) are associated with
people who are hardworking, organized, punctual, ambitious, and attentive to detail, while low
levels translate to being lazy, negligent, disorganized, and aimless (Feist & Feist, 2009).
The second core component of FFT is characteristic adaptations. These are personality
structures that are developed or acquired as individuals adapt to their environment and
experience its influences. Characteristic adaptations encompass a wide range of learned
behaviors like skills, habits, attitudes, and relationships and are directly influenced by basic
tendencies. In the process of learning a skill—for example, the ability to speak English—the
speed of the process is a basic tendency, while the skill itself is a characteristic adaptation. The
first part of the phrase, i.e. the word “characteristic”, reflects the consistent, unique influence of
the basic tendencies; the second part, “adaptations”, reflects the idea that these behaviors and
relationships are established as a result of the influence of the environment. Interaction between
basic tendencies and characteristic adaptations is at the heart of Costa and McCrae’s method of
transforming the Five Factor Model—solely a method of classifying traits—into an actual
comprehensive theory of personality; this system successfully captures both the stability and
plasticity of personality through basic tendencies and characteristic adaptations, respectively
(Feist & Feist, 2009).
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Costa and McCrae put forth three basic postulates that govern characteristic adaptations.
The first is the aforementioned concept that traits and environmental elements both influence the
development of adaptive behaviors in unique ways that explain both the consistency and
plasticity of personality. The second postulate states that our characteristic responses to
situations are not always in line with our own goals and values. When one of the basic tendencies
is exists in an individual to an extreme degree, it can translate into a maladaptive characteristic
adaptation. The third and final postulate holds that characteristic adaptations can change and
evolve over time as biological maturation results in changes in an individual’s basic tendencies;
changes in characteristic adaptations can also occur as a result of shifts in the individual’s
environment or deliberate psychological intervention by a therapist. This concept also reflects
the plasticity aspect of Costa and McCrae’s theory (Feist & Feist, 2009).
Possibly the most important of all, however, the third and final core component of FFT is
self-concept. Although Costa and McCrae define self-concept as a characteristic adaptation
itself, it receives special attention because of its influence on personality. Consisting of an
individual’s knowledge, views, and evaluations of his or her self, self-concept contributes
significantly to how he or she behaves and reacts in almost any given set of circumstances (Feist
& Feist, 2009).
In addition to the three core components of FFT, there exist three peripheral components
that also play into the system of an individual’s personality. The first peripheral component,
biological bases, is perhaps the most straightforward; biological bases are essentially the genes,
hormones, and brain structures that give rise to a person’s basic tendencies. While Costa and
McCrae have not explicitly stated which specific biological elements are the most responsible,
researchers are confident that the answers are within reach, given recent advances in behavioral
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genetics and brain imaging technologies. The second peripheral component, the objective
biography, is a somewhat more abstract concept. It consists of every thought and feeling a person
has experienced and every action he or she has performed over his or her lifespan. An
individual’s objective biography does not include any aspect of self-perception; rather, it is
purely a cumulative record of the events and experiences of his or her lifetime. The final
peripheral component, external influences, essentially refers to the role of the environment in the
development and expression of personality. The physical and social situations in which we find
ourselves throughout life present us with a variety of demands and opportunities; how we
respond in these contexts is a function of characteristic adaptations and the mutual influence of
characteristic adaptations and the environment. According to Costa and McCrae, that mutual
influence is the true root of human behavior (Feist & Feist, 2009).
As a complex system of interacting parts similar, in a way, to a series of gears, FiveFactor Theory is a comprehensive method of describing and understanding normal personality
development and expression. An individual’s biology—his or her hormones, brain structures,
and other elements that have a genetic basis—give rise to his or her basic tendencies, resulting in
varying levels of neuroticism, extraversion, openness to experience, agreeableness, and
conscientiousness. The individual’s place on each trait spectrum forms a unique profile of
fundamental characteristics. This profile can change somewhat during the individual’s early
years of life due to maturation processes, but later on it largely remains stable. If the individual is
blessed with a normal (i.e. non-pathological, non-maladaptive) profile of basic tendencies, he or
she will likely show normal personality development and expression. Through dynamic
processes, the basic tendencies shape the individual’s adaptive responses (acquired skills, habits,
attitudes, and relationships) to various elements and situations presented by the environment. The
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individual’s self-concept is also a product of the combined influence of the basic tendencies and
the environment, and it in turn has a significant effect on the individual’s willingness and ability
to engage in various aspects of life, especially interpersonal interactions and relationships and
pursuit of goals. Characteristic adaptations and external influences (cultural norms, life events,
etc.) contribute to the thoughts, feelings, actions, and occurrences catalogued in the individual’s
objective biography, which also contributes to self-concept. Ultimately, Five-Factor Theory’s
greatest strength lies in its ability to account for both the stability and plasticity of personality. It
parallels the classic idea of the interaction of biology and environmental influences in
determining an individual’s behavior (Feist & Feist, 2009).
In this manner, Five-Factor Theory also vaguely parallels the diathesis-stress model of
psychological disorders and captures abnormal personality development and expression just as
well as it does normal personality. Essentially, the diathesis-stress model of disorders states that
mental illness results when an individual who possesses a biological predisposition to
maladaptive patterns of thought, emotion, and behavior faces sufficiently stressful experiences in
his or her life. The degree of stress necessary to trigger psychopathology depends on the severity
of the predisposition. This concept is equally reflected in Five-Factor Theory. In FFT, an
individual’s biology determines his or her profile of basic tendencies; this profile can fall
somewhere on the spectrum between adaptive and maladaptive, but it is not the sole determinant
of the person’s personality and patterns of behavior. These are the products of both human
biology and the environment; that is, at every level of the theory except for basic tendencies,
aspects of the environment have a degree of sway in some form or another. The degree of
pathology present in the basic tendencies and the severity of stressors from the environment
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determine whether the individual will develop a personality disorder as well as the severity of
that disorder (Feist & Feist, 2009).
As a model of abnormal personality, FFT has its strengths and weaknesses. While it has a
large body of empirical support, has been widely replicated and used, and is an actual systemic
theory of personality instead of a simple trait-classification system, its main strength is its ability
to explain instances of comorbidity in personality disorders while still differentiating between
them. Co-occurrence of disorders is best explained at the level of basic tendencies, specifically
the Big Five factors. Levels of certain traits underlie groups of personality disorders that are
often seen together in clinical settings; for example, low levels of agreeableness are common
among narcissistic, borderline, antisocial, and paranoid personality disorders. Low scores on
measures of extraversion are associated with both schizoid and avoidant personality disorders,
and neuroticism—which is most strongly related to borderline personality disorder—underlies
many mental illnesses. These commonalities can help to account for instances where these
disorders are seen together; at the same time, however, the disorders can be distinguished from
one another by the different ways in which they are associated with facets of high or low levels
of each trait. For example, someone who has low levels of agreeableness could be extremely
arrogant (related to narcissistic personality disorder), overly suspicious (related to paranoid
personality disorder), or incapable of experiencing empathy (related to antisocial personality
disorder). Delving into issues of comorbidity necessitates looking beyond the surface of higherorder traits and actually discussing the more specific characteristics that fall on each spectrum.
The unfortunate irony of Five-Factor Theory is that while it could be a great help to clinicians
due to its ability to explain comorbidity, specialists in the field have claimed that it is relatively
useless in clinical settings due to how complicated it is (Feist & Feist, 2009).
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Ultimately, however, it is undeniable that FFT is a well-established, comprehensive
theory that explains both normal and abnormal personality development and expression. It is
empirically supported, helps to explain relationships between many diagnoses, accounts for both
the stability and plasticity of personality, and on an intuitive level makes for a sensible model of
human behavior. Its alleged usefulness in clinical settings is admittedly a disadvantage; however,
the goal of the theory is not to be, in and of itself, a streamlined, clear-cut tool for diagnosis. Its
purpose is to paint an accurate picture of the complex, abstract concept of personality that
translates into empirical findings and captures the richness and depth of thought and behavior.
And in that respect, it succeeds. Future efforts to make FFT more useful to clinicians could likely
include establishing profiles of N, E, O, A, and C that are prototypic of different personality
disorder diagnoses.
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References
Feist, J., & Feist, G. J. (2009). Theories of personality (7th ed.). New York, NY: McGraw-Hill.
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