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Choosing k: How Many Factors?

library(ackwards)
bfi <- na.omit(bfi25)

k is a decision, not an output

Before you can run ackwards(), you need a value for k_max — the maximum depth of the hierarchy. This is not the same question as “how many factors does my data really have?” There is no single true k hidden in the data, and different selection criteria will give different answers depending on their assumptions and what they are optimized for.

The practical question is: what range of k is defensible, and where should I look? suggest_k() is designed to help you answer that. It runs five complementary criteria and reports their recommendations together, so you can see where they agree and where they diverge.

A few things to keep in mind before you start:

k_max is a maximum depth, not a claim about the true structure. Setting k_max = 5 tells ackwards() to fit models at every level from 1 to 5 and examine how the structure evolves across those levels. It does not assert that exactly five factors exist. In fact, deliberately setting k_max one or two levels past the consensus — to watch factors fragment at the deeper levels — is a normal and informative part of the analysis.

Overextraction is the dominant error mode. Simulation studies consistently find that the most common mistake is retaining too many factors, not too few. An overextracted level introduces factors with only 1–2 strong loadings and between-level correlations near 1.0 (a sign that the parent factor simply split in two without adding interpretive content). Forbes (2023) documents this explicitly for the bass-ackwards context: non-replicable structure tends to appear at the deeper levels of an overextracted hierarchy. Use the criteria below to identify the upper end of the plausible range, and treat levels near that ceiling with appropriate skepticism. Replicability near the ceiling can also be measured directly, with split-half comparability() — see vignette("ackwards-girard") for that workflow.

No criterion is decisive on its own. Each of the five criteria below captures a different aspect of the data, tends to err in a different direction, and can fail in different circumstances. A consensus across multiple criteria is more trustworthy than any single recommendation. Even for parallel analysis, Lim and Jahng (2019) recommend treating the estimate as a range of roughly ±1 factor resolved by interpretability — and Achim (2021) argues that even that overstates its precision. That disagreement is why suggest_k() reports a consensus range, never a single number.

The five criteria

suggest_k() computes five criteria from the same data. Here they are with their logic, typical behavior, and practical limitations.

PA-PC — Parallel Analysis (PC basis)

What it does. Computes PC eigenvalues for the observed correlation matrix, then simulates a large number of random correlation matrices of the same dimensions. Retains components whose observed eigenvalues exceed the 95th percentile of the simulated distribution.

Typical behavior. Tends to overextract — it often recommends more components than replicate in independent samples, particularly when items are moderately correlated (which they usually are in personality and clinical research). Saucier (1997, footnote 14) reported parallel analysis suggesting as many as 30 factors in wide lexical item sets. Treat its recommendation as an upper bound.

When it is useful. Best paired with engine = "pca" in ackwards(), since both operate on the same PC eigenvalue basis. It also provides a fast, stable baseline across a wide range of data types.

Limitation. The 95th-percentile threshold is a convention, not a formal test. With large samples, even trivial components can exceed the threshold.

PA-FA — Parallel Analysis (FA basis)

What it does. The same logic as PA-PC, but applied to common-factor eigenvalues rather than PC eigenvalues. The observed FA eigenvalues are compared against the 95th percentile of simulated FA eigenvalues.

Typical behavior. More conservative than PA-PC. FA eigenvalues are smaller (they exclude unique variance), so fewer of them exceed the random-data threshold. PA-FA recommendations typically equal or fall below PA-PC.

When it is useful. The model-consistent criterion for engine = "efa" or engine = "esem" in ackwards(): if your analysis assumes a common-factor model, comparing FA eigenvalues to a FA baseline is the better-matched test.

Limitation. Like PA-PC, it can be underpowered with small samples and returns NA when no observed FA eigenvalue exceeds the random threshold (a sign that the data may not support a factor model at all).

MAP — Minimum Average Partial

What it does. After extracting k components, computes the partial correlations among items (the correlations that remain after removing the k components). Reports the average squared partial correlation at each k. Recommends the k that minimizes this average — the point at which the components have removed as much shared variance as possible.

Typical behavior. Usually conservative — often recommends fewer factors than PA. Simulation studies find it performs well across a range of sample sizes and factor structures, particularly when the true number of factors is small to moderate.

When it is useful. A reliable secondary check that catches cases where PA overextracts. If MAP and PA-FA agree, you can be fairly confident in that range.

Limitation. MAP operates on PC components internally (it uses psych::vss() with fm = "pc"), so its recommendation reflects a component-extraction framework even when you plan to use an EFA or ESEM engine in ackwards().

VSS-1 and VSS-2 — Very Simple Structure

What it does. Fits a “very simple structure” model at each k: a loading matrix where each item loads on only one factor (VSS-1) or at most two factors (VSS-2). Reports the fit of that simplified model at each k. Recommends the k that maximizes this fit.

Typical behavior. VSS-1 often peaks early (small k), making it conservative. VSS-2 tends to peak at a higher k. Both are sensitive to whether the true structure actually has a simple-structure form.

When it is useful. As a cross-check on the other criteria. When VSS-1 and VSS-2 agree with MAP, the simple-structure interpretation is robust. When they disagree, the data may have a more complex loading structure.

Limitation. VSS criteria work poorly when items have meaningful cross-loadings (a common situation with personality scales). In those cases, VSS-1 in particular may underestimate k.

CD — Comparison Data

What it does. Generates comparison datasets by drawing from the marginal distributions of the observed items (preserving each item’s shape without assuming multivariate normality). Computes eigenvalues for each comparison dataset and applies a sequential one-sided Wilcoxon test (default α = 0.30): a factor is retained while adding it significantly reduces RMSE relative to the previous level; the procedure stops at the first non-significant improvement. The recommended k is the last retained level — it is not necessarily the minimum of the RMSE curve.

Typical behavior. Among the most accurate criteria in simulation studies (Ruscio & Roche, 2012), particularly when items have non-normal distributions — a common feature of Likert-scale data. More conservative than PA-PC.

When it is useful. Ordinal or skewed data where the normality assumptions underlying PA are questionable. CD samples from the actual marginal distributions, so it implicitly captures item skewness and discreteness.

Limitation. Requires the EFAtools package (install separately). Needs the raw data matrix — it cannot run from a correlation matrix alone. The resampling step is stochastic, so results can vary slightly across runs (use seed for reproducibility). suggest_k() reports cd_available = FALSE when EFAtools is absent and skips CD gracefully.

A note on cor = "spearman": the other four criteria respect the cor argument and compute their eigenvalues from the requested correlation matrix. CD always uses Pearson correlations internally (an EFAtools constraint). When cor = "spearman" is requested, suggest_k() warns that CD and the other criteria may diverge.

Summary table

Criterion Tends to Best for Requires
PA-PC Overextract (upper bound) engine = "pca" psych
PA-FA Conservative engine = "efa" / "esem" psych
MAP Conservative General secondary check psych
VSS-1/2 Variable Simple-structure check psych
CD Accurate in simulation; can over-retain on large, correlated samples Ordinal/non-normal data EFAtools

For a complete reference — argument definitions, return value structure, and citations — see ?suggest_k.

Running suggest_k()

sk <- suggest_k(bfi, seed = 42)
#> ℹ Running parallel analysis (20 iterations, PC + FA)...
#> ✔ Running parallel analysis (20 iterations, PC + FA)... [262ms]
#> 
#> ℹ Running MAP and VSS...
#> ✔ Running MAP and VSS... [41ms]
#> 
#> ℹ Running Comparison Data (CD)...
#> ✔ Running Comparison Data (CD)... [5.7s]
#> 
print(sk)
#> 
#> ── Factor / Component Count Suggestion (ackwards) ──────────────────────────────
#> Variables: 25
#> n: 875
#> Basis: pearson
#> Tested k: 1-8
#> 
#> ── Criteria (k = 1-8) ──
#> 
#> k = 1: PA-PC ✔ PA-FA ✔ MAP 0.0254 VSS-1 0.5178 VSS-2 0.0000 CD ✔
#> k = 2: PA-PC ✔ PA-FA ✔ MAP 0.0194 VSS-1 0.5839 VSS-2 0.6719 CD ✔
#> k = 3: PA-PC ✔ PA-FA ✔ MAP 0.0175 VSS-1 0.5913 VSS-2 0.7354 CD ✔
#> k = 4: PA-PC ✔ PA-FA ✔ MAP 0.0164 VSS-1 0.6215* VSS-2 0.7837 CD ✔
#> k = 5: PA-PC ✔ PA-FA ✔ MAP 0.0160* VSS-1 0.5738 VSS-2 0.7950* CD ✔
#> k = 6: PA-PC - PA-FA ✔ MAP 0.0172 VSS-1 0.5594 VSS-2 0.7629 CD ✔*
#> k = 7: PA-PC - PA-FA - MAP 0.0205 VSS-1 0.5613 VSS-2 0.7616 CD -
#> k = 8: PA-PC - PA-FA - MAP 0.0236 VSS-1 0.5600 VSS-2 0.7215 CD -
#> 
#> ── Recommendations ──
#> 
#> • PA-PC: k <= 5
#> • PA-FA: k <= 6
#> • MAP: k = 5
#> • VSS-1: k = 4
#> • VSS-2: k = 5
#> • CD: k = 6
#> Consensus range: k = 4-6
#> ────────────────────────────────────────────────────────────────────────────────
#> Note: k_max in ackwards() is a maximum depth. Setting k_max one or two levels
#> above the consensus to observe factor fragmentation is intentional.
#> Caution: PA-PC tends to overextract; structures may not replicate (Forbes,
#> 2023). PA-FA and CD are more conservative. Use the range.

The output prints in two sections. The criteria table shows the raw evidence at each k, using two display conventions:

The recommendations block summarizes each criterion’s single suggested k (or range for PA), and the consensus range spans the minimum to maximum across all available recommendations. Note that this block lists six lines by default even though suggest_k() runs five criteria: "vss" is one entry in the criteria argument (they share a single psych::vss() call) but reports two numbers, VSS-1 and VSS-2, since it fits simple structure at two different complexities.

The diagnostic plot

autoplot(sk)
plot of chunk autoplot
plot of chunk autoplot

When EFAtools is installed and CD is computed, the plot is a 2×2 grid; otherwise it falls back to a single-column three-panel layout.

Scree / Parallel Analysis (top-left). The solid blue line is the observed PC eigenvalue profile; the grey dashed line is the PA-PC 95th-percentile threshold. Retain PC-based components where the blue line is above the grey dashed line (left of the PA-PC star). The solid teal line and grey dotted line show the same for the FA basis (PA-FA). The two comparisons are independent — you read each pair against its own threshold.

MAP (top-right). Lower is better. The criterion minimizes at the starred k.

VSS (bottom-left). Higher is better. VSS-1 (solid green) and VSS-2 (dashed purple) each peak at their starred k.

CD — Comparison Data (bottom-right, when available). Shows the mean RMSE between observed and comparison-data eigenvalues at each k. The curve is drawn only over the levels that were actually computed by EFAtools::CD (up to the first non-significant improvement plus one). The starred k is the last level retained by the sequential Wilcoxon test — it need not be the visible minimum of the plotted curve. Requires EFAtools.

Look for visual convergence across panels. When the scree elbow, the MAP minimum, and a VSS peak all occur at roughly the same k, the evidence is unusually consistent. When they scatter, you have genuine ambiguity, and exploring a range of k values in ackwards() is the right response.

Matching the criterion to your engine

If you plan to use… Prefer… Rationale
engine = "pca" PA-PC, MAP PA-PC uses the same PC basis as the engine
engine = "efa" PA-FA, MAP, CD PA-FA is basis-consistent; MAP and CD are robust across models
engine = "esem" PA-FA, MAP, CD Same rationale as EFA

This is a best-practice recommendation, not a hard rule. Running all five criteria regardless of your engine is cheap and informative — you will see where the criteria agree and where they pull in different directions.

The arguments

criteria — which criteria to compute

By default suggest_k() runs all five criteria (CD only if EFAtools is installed). The criteria argument lets you request a subset — useful when you only trust certain criteria for your data, or when you want a faster run:

# Just MAP (skips parallel analysis and CD entirely)
suggest_k(bfi25, criteria = "map")

# Only the two parallel-analysis criteria
suggest_k(bfi25, criteria = c("pa_pc", "pa_fa"))

Skipping is a genuine computational saving, not just output filtering: "pa_pc" and "pa_fa" share a single psych::fa.parallel() call (so both run, or neither), and "map" and "vss" share a single psych::vss() call. Requesting "map" alone therefore avoids the parallel-analysis simulation altogether. "vss" selects VSS-1 and VSS-2 together as a unit.

Criteria you do not request are skipped, and their k_* fields in the result are NA. The print() method and the autoplot() diagnostic render only the criteria you asked for, and the consensus range is computed from the requested criteria only.

cor — correlation basis

cor controls the correlation matrix used to compute eigenvalues for PA, MAP, and VSS. It should match (or approximate) the cor argument you plan to use in ackwards().

Ordinal data caveat. If your items are ordinal (e.g., Likert scales), you may plan to use cor = "polychoric" in ackwards(). But suggest_k() does not support cor = "polychoric" — parallel analysis and MAP do not have a polychoric eigen-decomposition path. The standard practice is to run suggest_k() with the default cor = "pearson" and then switch to cor = "polychoric" in ackwards(). The PA-PC and PA-FA recommendations on the Pearson matrix serve as a reasonable upper and lower bound for the polychoric analysis; see vignette("ackwards-ordinal") for more.

n_iter — Monte Carlo iterations

n_iter controls how many random matrices are simulated for parallel analysis. The default is 20, which is fast but noisy. For a publication-ready result, increase to 100 or more:

sk_hi <- suggest_k(bfi, n_iter = 100, seed = 42)

For a quick initial exploration, n_iter = 5 is often sufficient:

sk_fast <- suggest_k(bfi, n_iter = 5)

seed — reproducibility

The seed argument is passed to set.seed() before the Comparison Data (CD) step, making CD results reproducible across runs.

Honest caveat. Parallel analysis uses psych::fa.parallel() internally, which does not respond reliably to set.seed(). PA simulation results will vary slightly from run to run regardless of the seed argument — this is a known limitation of the underlying function. CD, which uses EFAtools::CD(), does respond to set.seed() and is reproducible when seed is set.

When the criteria agree — and when they don’t

suggest_k() earns its keep precisely when the criteria disagree, because the spread tells you how much the choice of k is a judgement call rather than a fact read off the data. It helps to see both extremes.

Idealized data. sim16 is a built-in simulated dataset (1,000 cases, 16 continuous variables) with a known, cleanly separated 1 → 2 → 4 hierarchy (see ?sim16). When the planted signal is this strong and this clean, the criteria line up:

sk_sim <- suggest_k(sim16, seed = 42)
print(sk_sim)

The criteria collapse onto essentially one answer — the consensus is k = 4, recovering the four factors built into sim16. This is what “watch the method recover a known structure” looks like. It is not, however, what most real datasets look like, so do not treat this tidy consensus as the normal case.

Realistic data. The BFI-25, worked through next, is the contrast. Its criteria span k = 4–6, and no single value is obviously correct. That disagreement is not a defect in the criteria; it is a faithful signal that the data support a band of defensible depths. Reasoning under that kind of disagreement — not chasing a single number — is the skill this vignette is really about.

A worked recommendation for the BFI

The BFI-25 has 25 items measuring five personality traits. The criteria do not all converge here, which is itself informative:

print(sk) # reproduced from earlier
#> 
#> ── Factor / Component Count Suggestion (ackwards) ──────────────────────────────
#> Variables: 25
#> n: 875
#> Basis: pearson
#> Tested k: 1-8
#> 
#> ── Criteria (k = 1-8) ──
#> 
#> k = 1: PA-PC ✔ PA-FA ✔ MAP 0.0254 VSS-1 0.5178 VSS-2 0.0000 CD ✔
#> k = 2: PA-PC ✔ PA-FA ✔ MAP 0.0194 VSS-1 0.5839 VSS-2 0.6719 CD ✔
#> k = 3: PA-PC ✔ PA-FA ✔ MAP 0.0175 VSS-1 0.5913 VSS-2 0.7354 CD ✔
#> k = 4: PA-PC ✔ PA-FA ✔ MAP 0.0164 VSS-1 0.6215* VSS-2 0.7837 CD ✔
#> k = 5: PA-PC ✔ PA-FA ✔ MAP 0.0160* VSS-1 0.5738 VSS-2 0.7950* CD ✔
#> k = 6: PA-PC - PA-FA ✔ MAP 0.0172 VSS-1 0.5594 VSS-2 0.7629 CD ✔*
#> k = 7: PA-PC - PA-FA - MAP 0.0205 VSS-1 0.5613 VSS-2 0.7616 CD -
#> k = 8: PA-PC - PA-FA - MAP 0.0236 VSS-1 0.5600 VSS-2 0.7215 CD -
#> 
#> ── Recommendations ──
#> 
#> • PA-PC: k <= 5
#> • PA-FA: k <= 6
#> • MAP: k = 5
#> • VSS-1: k = 4
#> • VSS-2: k = 5
#> • CD: k = 6
#> Consensus range: k = 4-6
#> ────────────────────────────────────────────────────────────────────────────────
#> Note: k_max in ackwards() is a maximum depth. Setting k_max one or two levels
#> above the consensus to observe factor fragmentation is intentional.
#> Caution: PA-PC tends to overextract; structures may not replicate (Forbes,
#> 2023). PA-FA and CD are more conservative. Use the range.

Reading the rendered table (the numbers below are computed from the sk object, so they always match the table above — PA values can vary across builds):

The conservative criteria. MAP recommends k = 5; VSS-1 and VSS-2 peak at k = 4 and 5. Where two of these converge, that value is a meaningful signal — they err on the side of too few factors, so their answer is a floor worth taking seriously.

The liberal criteria. PA-PC retains k ≤ 5 and PA-FA k ≤ 6. In this run PA-FA (6) exceeds PA-PC (5). Normally PA-PC over-extracts relative to PA-FA, making PA-PC the liberal upper bound; an inversion like this one reflects the dataset’s eigenvalue geometry plus PA’s run-to-run simulation noise, not a contradiction. Read both, but trust PA-FA as the model-consistent criterion for EFA and ESEM engines.

CD recommends k = 6. CD generates comparison data that reproduce the observed correlation structure under a k-factor model (as well as the items’ marginal distributions), so its recommendation reflects how many factors are needed to mimic the data’s actual eigenvalue profile. In simulation it is among the most accurate criteria, though it can over-retain on large, highly correlated samples.

Defensible choice: the top of the range (here 6). Taking the maximum across criteria covers every recommendation and sits above the conservative floor. Setting k_max there lets ackwards() show whether the deepest level reveals interpretable sub-facets or merely splits the Big Five into arbitrary micro-factors:

k_upper <- 6 # the top of your criterion range
x <- ackwards(bfi, k_max = k_upper, cor = "polychoric")
autoplot(x)

If the deepest level looks like overextraction (very thin arrows, factors that split and immediately re-merge, between-level r ≈ 1), you can interpret one level down with confidence that you have not missed structure. If it reveals interpretable sub-facets instead, you have found something worth reporting.

This “set k slightly high, then interpret down” approach is the standard bass-ackwards workflow. The method is specifically designed for this kind of structured exploration.

References

Achim, A. (2021). Determining the number of factors using parallel analysis and its recent variants: Comment on Lim and Jahng (2019). Psychological Methods, 26(1), 69–73. https://doi.org/10.1037/met0000269

Forbes, M. K. (2023). Improving hierarchical models of individual differences: An extension of Goldberg’s bass-ackward method. Psychological Methods. https://doi.org/10.1037/met0000546

Horn, J. L. (1965). A rationale and test for the number of factors in factor analysis. Psychometrika, 30(2), 179–185. https://doi.org/10.1007/BF02289447

Lim, S., & Jahng, S. (2019). Determining the number of factors using parallel analysis and its recent variants. Psychological Methods, 24(4), 452–467. https://doi.org/10.1037/met0000230

Revelle, W., & Rocklin, T. (1979). Very simple structure: An alternative procedure for estimating the optimal number of interpretable factors. Multivariate Behavioral Research, 14(4), 403–414. https://doi.org/10.1207/s15327906mbr1404_2

Ruscio, J., & Roche, B. (2012). Determining the number of factors to retain in an exploratory factor analysis using comparison data of a known factorial structure. Psychological Assessment, 24(2), 282–292. https://doi.org/10.1037/a0025697

Saucier, G. (1997). Effects of variable selection on the factor structure of person descriptors. Journal of Personality and Social Psychology, 73(6), 1296–1312. https://doi.org/10.1037/0022-3514.73.6.1296

Velicer, W. F. (1976). Determining the number of components from the matrix of partial correlations. Psychometrika, 41(3), 321–327. https://doi.org/10.1007/BF02293557

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