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Article contents

Work, stress, coping, and stress management.

• Sharon Glazer Sharon Glazer University of Baltimore
•  and  Cong Liu Cong Liu Hofstra University
• https://doi.org/10.1093/acrefore/9780190236557.013.30
• Published online: 26 April 2017

Work stress refers to the process of job stressors, or stimuli in the workplace, leading to strains, or negative responses or reactions. Organizational development refers to a process in which problems or opportunities in the work environment are identified, plans are made to remediate or capitalize on the stimuli, action is taken, and subsequently the results of the plans and actions are evaluated. When organizational development strategies are used to assess work stress in the workplace, the actions employed are various stress management interventions. Two key factors tying work stress and organizational development are the role of the person and the role of the environment. In order to cope with work-related stressors and manage strains, organizations must be able to identify and differentiate between factors in the environment that are potential sources of stressors and how individuals perceive those factors. Primary stress management interventions focus on preventing stressors from even presenting, such as by clearly articulating workers’ roles and providing necessary resources for employees to perform their job. Secondary stress management interventions focus on a person’s appraisal of job stressors as a threat or challenge, and the person’s ability to cope with the stressors (presuming sufficient internal resources, such as a sense of meaningfulness in life, or external resources, such as social support from a supervisor). When coping is not successful, strains may develop. Tertiary stress management interventions attempt to remediate strains, by addressing the consequence itself (e.g., diabetes management) and/or the source of the strain (e.g., reducing workload). The person and/or the organization may be the targets of the intervention. The ultimate goal of stress management interventions is to minimize problems in the work environment, intensify aspects of the work environment that create a sense of a quality work context, enable people to cope with stressors that might arise, and provide tools for employees and organizations to manage strains that might develop despite all best efforts to create a healthy workplace.

• stress management
• organization development
• organizational interventions
• stress theories and frameworks

Introduction

Work stress is a generic term that refers to work-related stimuli (aka job stressors) that may lead to physical, behavioral, or psychological consequences (i.e., strains) that affect both the health and well-being of the employee and the organization. Not all stressors lead to strains, but all strains are a result of stressors, actual or perceived. Common terms often used interchangeably with work stress are occupational stress, job stress, and work-related stress. Terms used interchangeably with job stressors include work stressors, and as the specificity of the type of stressor might include psychosocial stressor (referring to the psychological experience of work demands that have a social component, e.g., conflict between two people; Hauke, Flintrop, Brun, & Rugulies, 2011 ), hindrance stressor (i.e., a stressor that prevents goal attainment; Cavanaugh, Boswell, Roehling, & Boudreau, 2000 ), and challenge stressor (i.e., a stressor that is difficult, but attainable and possibly rewarding to attain; Cavanaugh et al., 2000 ).

Stress in the workplace continues to be a highly pervasive problem, having both direct negative effects on individuals experiencing it and companies paying for it, and indirect costs vis à vis lost productivity (Dopkeen & DuBois, 2014 ). For example, U.K. public civil servants’ work-related stress rose from 10.8% in 2006 to 22.4% in 2013 and about one-third of the workforce has taken more than 20 days of leave due to stress-related ill-health, while well over 50% are present at work when ill (French, 2015 ). These findings are consistent with a report by the International Labor Organization (ILO, 2012 ), whereby 50% to 60% of all workdays are lost due to absence attributed to factors associated with work stress.

The prevalence of work-related stress is not diminishing despite improvements in technology and employment rates. The sources of stress, such as workload, seem to exacerbate with improvements in technology (Coovert & Thompson, 2003 ). Moreover, accessibility through mobile technology and virtual computer terminals is linking people to their work more than ever before (ILO, 2012 ; Tarafdar, Tu, Ragu-Nathan, & Ragu-Nathan, 2007 ). Evidence of this kind of mobility and flexibility is further reinforced in a June 2007 survey of 4,025 email users (over 13 years of age); AOL reported that four in ten survey respondents reported planning their vacations around email accessibility and 83% checked their emails at least once a day while away (McMahon, 2007 ). Ironically, despite these mounting work-related stressors and clear financial and performance outcomes, some individuals are reporting they are less “stressed,” but only because “stress has become the new normal” (Jayson, 2012 , para. 4).

This new normal is likely the source of psychological and physiological illness. Siegrist ( 2010 ) contends that conditions in the workplace, particularly psychosocial stressors that are perceived as unfavorable relationships with others and self, and an increasingly sedentary lifestyle (reinforced with desk jobs) are increasingly contributing to cardiovascular disease. These factors together justify a need to continue on the path of helping individuals recognize and cope with deleterious stressors in the work environment and, equally important, to find ways to help organizations prevent harmful stressors over which they have control, as well as implement policies or mechanisms to help employees deal with these stressors and subsequent strains. Along with a greater focus on mitigating environmental constraints are interventions that can be used to prevent anxiety, poor attitudes toward the workplace conditions and arrangements, and subsequent cardiovascular illness, absenteeism, and poor job performance (Siegrist, 2010 ).

Even the ILO has presented guidance on how the workplace can help prevent harmful job stressors (aka hindrance stressors) or at least help workers cope with them. Consistent with the view that well-being is not the absence of stressors or strains and with the view that positive psychology offers a lens for proactively preventing stressors, the ILO promotes increasing preventative risk assessments, interventions to prevent and control stressors, transparent organizational communication, worker involvement in decision-making, networks and mechanisms for workplace social support, awareness of how working and living conditions interact, safety, health, and well-being in the organization (ILO, n.d. ). The field of industrial and organizational (IO) psychology supports the ILO’s recommendations.

IO psychology views work stress as the process of a person’s interaction with multiple aspects of the work environment, job design, and work conditions in the organization. Interventions to manage work stress, therefore, focus on the psychosocial factors of the person and his or her relationships with others and the socio-technical factors related to the work environment and work processes. Viewing work stress from the lens of the person and the environment stems from Kurt Lewin’s ( 1936 ) work that stipulates a person’s state of mental health and behaviors are a function of the person within a specific environment or situation. Aspects of the work environment that affect individuals’ mental states and behaviors include organizational hierarchy, organizational climate (including processes, policies, practices, and reward structures), resources to support a person’s ability to fulfill job duties, and management structure (including leadership). Job design refers to each contributor’s tasks and responsibilities for fulfilling goals associated with the work role. Finally, working conditions refers not only to the physical environment, but also the interpersonal relationships with other contributors.

Each of the conditions that are identified in the work environment may be perceived as potentially harmful or a threat to the person or as an opportunity. When a stressor is perceived as a threat to attaining desired goals or outcomes, the stressor may be labeled as a hindrance stressor (e.g., LePine, Podsakoff, & Lepine, 2005 ). When the stressor is perceived as an opportunity to attain a desired goal or end state, it may be labeled as a challenge stressor. According to LePine and colleagues’ ( 2005 ), both challenge (e.g., time urgency, workload) and hindrance (e.g., hassles, role ambiguity, role conflict) stressors could lead to strains (as measured by “anxiety, depersonalization, depression, emotional exhaustion, frustration, health complaints, hostility, illness, physical symptoms, and tension” [p. 767]). However, challenge stressors positively relate with motivation and performance, whereas hindrance stressors negatively relate with motivation and performance. Moreover, motivation and strains partially mediate the relationship between hindrance and challenge stressors with performance.

Figure 1. Organizational development frameworks to guide identification of work stress and interventions.

In order to (1) minimize any potential negative effects from stressors, (2) increase coping skills to deal with stressors, or (3) manage strains, organizational practitioners or consultants will devise organizational interventions geared toward prevention, coping, and/or stress management. Ultimately, toxic factors in the work environment can have deleterious effects on a person’s physical and psychological well-being, as well as on an organization’s total health. It behooves management to take stock of the organization’s health, which includes the health and well-being of its employees, if the organization wishes to thrive and be profitable. According to Page and Vella-Brodrick’s ( 2009 ) model of employee well-being, employee well-being results from subjective well-being (i.e., life satisfaction and general positive or negative affect), workplace well-being (composed of job satisfaction and work-specific positive or negative affect), and psychological well-being (e.g., self-acceptance, positive social relations, mastery, purpose in life). Job stressors that become unbearable are likely to negatively affect workplace well-being and thus overall employee well-being. Because work stress is a major organizational pain point and organizations often employ organizational consultants to help identify and remediate pain points, the focus here is on organizational development (OD) frameworks; several work stress frameworks are presented that together signal areas where organizations might focus efforts for change in employee behaviors, attitudes, and performance, as well as the organization’s performance and climate. Work stress, interventions, and several OD and stress frameworks are depicted in Figure 1 .

The goals are: (1) to conceptually define and clarify terms associated with stress and stress management, particularly focusing on organizational factors that contribute to stress and stress management, and (2) to present research that informs current knowledge and practices on workplace stress management strategies. Stressors and strains will be defined, leading OD and work stress frameworks that are used to organize and help organizations make sense of the work environment and the organization’s responsibility in stress management will be explored, and stress management will be explained as an overarching thematic label; an area of study and practice that focuses on prevention (primary) interventions, coping (secondary) interventions, and managing strains (tertiary) interventions; as well as the label typically used to denote tertiary interventions. Suggestions for future research and implications toward becoming a healthy organization are presented.

Defining Stressors and Strains

Work-related stressors or job stressors can lead to different kinds of strains individuals and organizations might experience. Various types of stress management interventions, guided by OD and work stress frameworks, may be employed to prevent or cope with job stressors and manage strains that develop(ed).

A job stressor is a stimulus external to an employee and a result of an employee’s work conditions. Example job stressors include organizational constraints, workplace mistreatments (such as abusive supervision, workplace ostracism, incivility, bullying), role stressors, workload, work-family conflicts, errors or mistakes, examinations and evaluations, and lack of structure (Jex & Beehr, 1991 ; Liu, Spector, & Shi, 2007 ; Narayanan, Menon, & Spector, 1999 ). Although stressors may be categorized as hindrances and challenges, there is not yet sufficient information to be able to propose which stress management interventions would better serve to reduce those hindrance stressors or to reduce strain-producing challenge stressors while reinforcing engagement-producing challenge stressors.

Organizational Constraints

Organizational constraints may be hindrance stressors as they prevent employees from translating their motivation and ability into high-level job performance (Peters & O’Connor, 1980 ). Peters and O’Connor ( 1988 ) defined 11 categories of organizational constraints: (1) job-related information, (2) budgetary support, (3) required support, (4) materials and supplies, (5) required services and help from others, (6) task preparation, (7) time availability, (8) the work environment, (9) scheduling of activities, (10) transportation, and (11) job-relevant authority. The inhibiting effect of organizational constraints may be due to the lack of, inadequacy of, or poor quality of these categories.

Workplace Mistreatment

Workplace mistreatment presents a cluster of interpersonal variables, such as interpersonal conflict, bullying, incivility, and workplace ostracism (Hershcovis, 2011 ; Tepper & Henle, 2011 ). Typical workplace mistreatment behaviors include gossiping, rude comments, showing favoritism, yelling, lying, and ignoring other people at work (Tepper & Henle, 2011 ). These variables relate to employees’ psychological well-being, physical well-being, work attitudes (e.g., job satisfaction and organizational commitment), and turnover intention (e.g., Hershcovis, 2011 ; Spector & Jex, 1998 ). Some researchers differentiated the source of mistreatment, such as mistreatment from one’s supervisor versus mistreatment from one’s coworker (e.g., Bruk-Lee & Spector, 2006 ; Frone, 2000 ; Liu, Liu, Spector, & Shi, 2011 ).

Role Stressors

Role stressors are demands, constraints, or opportunities a person perceives to be associated, and thus expected, with his or her work role(s) across various situations. Three commonly studied role stressors are role ambiguity, role conflict, and role overload (Glazer & Beehr, 2005 ; Kahn, Wolfe, Quinn, Snoek, & Rosenthal, 1964 ). Role ambiguity in the workplace occurs when an employee lacks clarity regarding what performance-related behaviors are expected of him or her. Role conflict refers to situations wherein an employee receives incompatible role requests from the same or different supervisors or the employee is asked to engage in work that impedes his or her performance in other work or nonwork roles or clashes with his or her values. Role overload refers to excessive demands and insufficient time (quantitative) or knowledge (qualitative) to complete the work. The construct is often used interchangeably with workload, though role overload focuses more on perceived expectations from others about one’s workload. These role stressors significantly relate to low job satisfaction, low organizational commitment, low job performance, high tension or anxiety, and high turnover intention (Abramis, 1994 ; Glazer & Beehr, 2005 ; Jackson & Schuler, 1985 ).

Excessive workload is one of the most salient stressors at work (e.g., Liu et al., 2007 ). There are two types of workload: quantitative and qualitative workload (LaRocco, Tetrick, & Meder, 1989 ; Parasuraman & Purohit, 2000 ). Quantitative workload refers to the excessive amount of work one has. In a summary of a Chartered Institute of Personnel & Development Report from 2006 , Dewe and Kompier ( 2008 ) noted that quantitative workload was one of the top three stressors workers experienced at work. Qualitative workload refers to the difficulty of work. Workload also differs by the type of the load. There are mental workload and physical workload (Dwyer & Ganster, 1991 ). Excessive physical workload may result in physical discomfort or illness. Excessive mental workload will cause psychological distress such as anxiety or frustration (Bowling & Kirkendall, 2012 ). Another factor affecting quantitative workload is interruptions (during the workday). Lin, Kain, and Fritz ( 2013 ) found that interruptions delay completion of job tasks, thus adding to the perception of workload.

Work-Family Conflict

Work-family conflict is a form of inter-role conflict in which demands from one’s work domain and one’s family domain are incompatible to some extent (Greenhaus & Beutell, 1985 ). Work can interfere with family (WIF) and/or family can interfere with work (FIW) due to time-related commitments to participating in one domain or another, incompatible behavioral expectations, or when strains in one domain carry over to the other (Greenhaus & Beutell, 1985 ). Work-family conflict significantly relates to work-related outcomes (e.g., job satisfaction, organizational commitment, turnover intention, burnout, absenteeism, job performance, job strains, career satisfaction, and organizational citizenship behaviors), family-related outcomes (e.g., marital satisfaction, family satisfaction, family-related performance, family-related strains), and domain-unspecific outcomes (e.g., life satisfaction, psychological strain, somatic or physical symptoms, depression, substance use or abuse, and anxiety; Amstad, Meier, Fasel, Elfering, & Semmer, 2011 ).

Individuals and organizations can experience work-related strains. Sometimes organizations will experience strains through the employee’s negative attitudes or strains, such as that a worker’s absence might yield lower production rates, which would roll up into an organizational metric of organizational performance. In the industrial and organizational (IO) psychology literature, organizational strains are mostly observed as macro-level indicators, such as health insurance costs, accident-free days, and pervasive problems with company morale. In contrast, individual strains, usually referred to as job strains, are internal to an employee. They are responses to work conditions and relate to health and well-being of employees. In other words, “job strains are adverse reactions employees have to job stressors” (Spector, Chen, & O’Connell, 2000 , p. 211). Job strains tend to fall into three categories: behavioral, physical, and psychological (Jex & Beehr, 1991 ).

Behavioral strains consist of actions that employees take in response to job stressors. Examples of behavioral strains include employees drinking alcohol in the workplace or intentionally calling in sick when they are not ill (Spector et al., 2000 ). Physical strains consist of health symptoms that are physiological in nature that employees contract in response to job stressors. Headaches and ulcers are examples of physical strains. Lastly, psychological strains are emotional reactions and attitudes that employees have in response to job stressors. Examples of psychological strains are job dissatisfaction, anxiety, and frustration (Spector et al., 2000 ). Interestingly, research studies that utilize self-report measures find that most job strains experienced by employees tend to be psychological strains (Spector et al., 2000 ).

Leading Frameworks

Organizations that are keen on identifying organizational pain points and remedying them through organizational campaigns or initiatives often discover the pain points are rooted in work-related stressors and strains and the initiatives have to focus on reducing workers’ stress and increasing a company’s profitability. Through organizational climate surveys, for example, companies discover that aspects of the organization’s environment, including its policies, practices, reward structures, procedures, and processes, as well as employees at all levels of the company, are contributing to the individual and organizational stress. Recent studies have even begun to examine team climates for eustress and distress assessed in terms of team members’ homogenous psychological experience of vigor, efficacy, dedication, and cynicism (e.g., Kożusznik, Rodriguez, & Peiro, 2015 ).

Each of the frameworks presented advances different aspects that need to be identified in order to understand the source and potential remedy for stressors and strains. In some models, the focus is on resources, in others on the interaction of the person and environment, and in still others on the role of the person in the workplace. Few frameworks directly examine the role of the organization, but the organization could use these frameworks to plan interventions that would minimize stressors, cope with existing stressors, and prevent and/or manage strains. One of the leading frameworks in work stress research that is used to guide organizational interventions is the person and environment (P-E) fit (French & Caplan, 1972 ). Its precursor is the University of Michigan Institute for Social Research’s (ISR) role stress model (Kahn, Wolfe, Quinn, Snoek, & Rosenthal, 1964 ) and Lewin’s Field Theory. Several other theories have since evolved from the P-E fit framework, including Karasek and Theorell’s ( 1990 ), Karasek ( 1979 ) Job Demands-Control Model (JD-C), the transactional framework (Lazarus & Folkman, 1984 ), Conservation of Resources (COR) theory (Hobfoll, 1989 ), and Siegrist’s ( 1996 ) Effort-Reward Imbalance (ERI) Model.

Field Theory

The premise of Kahn et al.’s ( 1964 ) role stress theory is Lewin’s ( 1997 ) Field Theory. Lewin purported that behavior and mental events are a dynamic function of the whole person, including a person’s beliefs, values, abilities, needs, thoughts, and feelings, within a given situation (field or environment), as well as the way a person represents his or her understanding of the field and behaves in that space. Lewin explains that work-related strains are a result of individuals’ subjective perceptions of objective factors, such as work roles, relationships with others in the workplace, as well as personality indicators, and can be used to predict people’s reactions, including illness. Thus, to make changes to an organizational system, it is necessary to understand a field and try to move that field from the current state to the desired state. Making this move necessitates identifying mechanisms influencing individuals.

Role Stress Theory

Role stress theory mostly isolates the perspective a person has about his or her work-related responsibilities and expectations to determine how those perceptions relate with a person’s work-related strains. However, those relationships have been met with somewhat varied results, which Glazer and Beehr ( 2005 ) concluded might be a function of differences in culture, an environmental factor often neglected in research. Kahn et al.’s ( 1964 ) role stress theory, coupled with Lewin’s ( 1936 ) Field Theory, serves as the foundation for the P-E fit theory. Lewin ( 1936 ) wrote, “Every psychological event depends upon the state of the person and at the same time on the environment” (p. 12). Researchers of IO psychology have narrowed the environment to the organization or work team. This narrowed view of the organizational environment is evident in French and Caplan’s ( 1972 ) P-E fit framework.

Person-Environment Fit Theory

The P-E fit framework focuses on the extent to which there is congruence between the person and a given environment, such as the organization (Caplan, 1987 ; Edwards, 2008 ). For example, does the person have the necessary skills and abilities to fulfill an organization’s demands, or does the environment support a person’s desire for autonomy (i.e., do the values align?) or fulfill a person’s needs (i.e., a person’s needs are rewarded). Theoretically and empirically, the greater the person-organization fit, the greater a person’s job satisfaction and organizational commitment, the less a person’s turnover intention and work-related stress (see meta-analyses by Assouline & Meir, 1987 ; Kristof-Brown, Zimmerman, & Johnson, 2005 ; Verquer, Beehr, & Wagner, 2003 ).

Job Demands-Control/Support (JD-C/S) and Job Demands-Resources (JD-R) Model

Focusing more closely on concrete aspects of work demands and the extent to which a person perceives he or she has control or decision latitude over those demands, Karasek ( 1979 ) developed the JD-C model. Karasek and Theorell ( 1990 ) posited that high job demands under conditions of little decision latitude or control yield high strains, which have varied implications on the health of an organization (e.g., in terms of high turnover, employee ill-health, poor organizational performance). This theory was modified slightly to address not only control, but also other resources that could protect a person from unruly job demands, including support (aka JD-C/S, Johnson & Hall, 1988 ; and JD-R, Bakker, van Veldhoven, & Xanthopoulou, 2010 ). Whether focusing on control or resources, both they and job demands are said to reflect workplace characteristics, while control and resources also represent coping strategies or tools (Siegrist, 2010 ).

Despite the glut of research testing the JD-C and JD-R, results are somewhat mixed. Testing the interaction between job demands and control, Beehr, Glaser, Canali, and Wallwey ( 2001 ) did not find empirical support for the JD-C theory. However, Dawson, O’Brien, and Beehr ( 2016 ) found that high control and high support buffered against the independent deleterious effects of interpersonal conflict, role conflict, and organizational politics (demands that were categorized as hindrance stressors) on anxiety, as well as the effects of interpersonal conflict and organizational politics on physiological symptoms, but control and support did not moderate the effects between challenge stressors and strains. Coupled with Bakker, Demerouti, and Sanz-Vergel’s ( 2014 ) note that excessive job demands are a source of strain, but increased job resources are a source of engagement, Dawson et al.’s results suggest that when an organization identifies that demands are hindrances, it can create strategies for primary (preventative) stress management interventions and attempt to remove or reduce such work demands. If the demands are challenging, though manageable, but latitude to control the challenging stressors and support are insufficient, the organization could modify practices and train employees on adopting better strategies for meeting or coping (secondary stress management intervention) with the demands. Finally, if the organization can neither afford to modify the demands or the level of control and support, it will be necessary for the organization to develop stress management (tertiary) interventions to deal with the inevitable strains.

Conservation of Resources Theory

The idea that job resources reinforce engagement in work has been propagated in Hobfoll’s ( 1989 ) Conservation of Resources (COR) theory. COR theory also draws on the foundational premise that people’s mental health is a function of the person and the environment, forwarding that how people interpret their environment (including the societal context) affects their stress levels. Hobfoll focuses on resources such as objects, personal characteristics, conditions, or energies as particularly instrumental to minimizing strains. He asserts that people do whatever they can to protect their valued resources. Thus, strains develop when resources are threatened to be taken away, actually taken away, or when additional resources are not attainable after investing in the possibility of gaining more resources (Hobfoll, 2001 ). By extension, organizations can invest in activities that would minimize resource loss and create opportunities for resource gains and thus have direct implications for devising primary and secondary stress management interventions.

Transactional Framework

Lazarus and Folkman ( 1984 ) developed the widely studied transactional framework of stress. This framework holds as a key component the cognitive appraisal process. When individuals perceive factors in the work environment as a threat (i.e., primary appraisal), they will scan the available resources (external or internal to himself or herself) to cope with the stressors (i.e., secondary appraisal). If the coping resources provide minimal relief, strains develop. Until recently, little attention has been given to the cognitive appraisal associated with different work stressors (Dewe & Kompier, 2008 ; Liu & Li, 2017 ). In a study of Polish and Spanish social care service providers, stressors appraised as a threat related positively to burnout and less engagement, but stressors perceived as challenges yielded greater engagement and less burnout (Kożusznik, Rodriguez, & Peiro, 2012 ). Similarly, Dawson et al. ( 2016 ) found that even with support and control resources, hindrance demands were more strain-producing than challenge demands, suggesting that appraisal of the stressor is important. In fact, “many people respond well to challenging work” (Beehr et al., 2001 , p. 126). Kożusznik et al. ( 2012 ) recommend training employees to change the way they view work demands in order to increase engagement, considering that part of the problem may be about how the person appraises his or her environment and, thus, copes with the stressors.

Effort-Reward Imbalance

Siegrist’s ( 1996 ) Model of Effort-Reward Imbalance (ERI) focuses on the notion of social reciprocity, such that a person fulfills required work tasks in exchange for desired rewards (Siegrist, 2010 ). ERI sheds light on how an imbalance in a person’s expectations of an organization’s rewards (e.g., pay, bonus, sense of advancement and development, job security) in exchange for a person’s efforts, that is a break in one’s work contract, leads to negative responses, including long-term ill-health (Siegrist, 2010 ; Siegrist et al., 2014 ). In fact, prolonged perception of a work contract imbalance leads to adverse health, including immunological problems and inflammation, which contribute to cardiovascular disease (Siegrist, 2010 ). The model resembles the relational and interactional psychological contract theory in that it describes an employee’s perception of the terms of the relationship between the person and the workplace, including expectations of performance, job security, training and development opportunities, career progression, salary, and bonuses (Thomas, Au, & Ravlin, 2003 ). The psychological contract, like the ERI model, focuses on social exchange. Furthermore, the psychological contract, like stress theories, are influenced by cultural factors that shape how people interpret their environments (Glazer, 2008 ; Thomas et al., 2003 ). Violations of the psychological contract will negatively affect a person’s attitudes toward the workplace and subsequent health and well-being (Siegrist, 2010 ). To remediate strain, Siegrist ( 2010 ) focuses on both the person and the environment, recognizing that the organization is particularly responsible for changing unfavorable work conditions and the person is responsible for modifying his or her reactions to such conditions.

Stress Management Interventions: Primary, Secondary, and Tertiary

Remediation of work stress and organizational development interventions are about realigning the employee’s experiences in the workplace with factors in the environment, as well as closing the gap between the current environment and the desired environment. Work stress develops when an employee perceives the work demands to exceed the person’s resources to cope and thus threatens employee well-being (Dewe & Kompier, 2008 ). Likewise, an organization’s need to change arises when forces in the environment are creating a need to change in order to survive (see Figure 1 ). Lewin’s ( 1951 ) Force Field Analysis, the foundations of which are in Field Theory, is one of the first organizational development intervention tools presented in the social science literature. The concept behind Force Field Analysis is that in order to survive, organizations must adapt to environmental forces driving a need for organizational change and remove restraining forces that create obstacles to organizational change. In order to do this, management needs to delineate the current field in which the organization is functioning, understand the driving forces for change, identify and dampen or eliminate the restraining forces against change. Several models for analyses may be applied, but most approaches are variations of organizational climate surveys.

Through organizational surveys, workers provide management with a snapshot view of how they perceive aspects of their work environment. Thus, the view of the health of an organization is a function of several factors, chief among them employees’ views (i.e., the climate) about the workplace (Lewin, 1951 ). Indeed, French and Kahn ( 1962 ) posited that well-being depends on the extent to which properties of the person and properties of the environment align in terms of what a person requires and the resources available in a given environment. Therefore, only when properties of the person and properties of the environment are sufficiently understood can plans for change be developed and implemented targeting the environment (e.g., change reporting structures to relieve, and thus prevent future, communication stressors) and/or the person (e.g., providing more autonomy, vacation days, training on new technology). In short, climate survey findings can guide consultants about the emphasis for organizational interventions: before a problem arises aka stress prevention, e.g., carefully crafting job roles), when a problem is present, but steps are taken to mitigate their consequences (aka coping, e.g., providing social support groups), and/or once strains develop (aka. stress management, e.g., healthcare management policies).

For each of the primary (prevention), secondary (coping), and tertiary (stress management) techniques the target for intervention can be the entire workforce, a subset of the workforce, or a specific person. Interventions that target the entire workforce may be considered organizational interventions, as they have direct implications on the health of all individuals and consequently the health of the organization. Several interventions categorized as primary and secondary interventions may also be implemented after strains have developed and after it has been discerned that a person or the organization did not do enough to mitigate stressors or strains (see Figure 1 ). The designation of many of the interventions as belonging to one category or another may be viewed as merely a suggestion.

Primary Interventions (Preventative Stress Management)

Before individuals begin to perceive work-related stressors, organizations engage in stress prevention strategies, such as providing people with resources (e.g., computers, printers, desk space, information about the job role, organizational reporting structures) to do their jobs. However, sometimes the institutional structures and resources are insufficient or ambiguous. Scholars and practitioners have identified several preventative stress management strategies that may be implemented.

Planning and Time Management

When employees feel quantitatively overloaded, sometimes the remedy is improving the employees’ abilities to plan and manage their time (Quick, Quick, Nelson, & Hurrell, 2003 ). Planning is a future-oriented activity that focuses on conceptual and comprehensive work goals. Time management is a behavior that focuses on organizing, prioritizing, and scheduling work activities to achieve short-term goals. Given the purpose of time management, it is considered a primary intervention, as engaging in time management helps to prevent work tasks from mounting and becoming unmanageable, which would subsequently lead to adverse outcomes. Time management comprises three fundamental components: (1) establishing goals, (2) identifying and prioritizing tasks to fulfill the goals, and (3) scheduling and monitoring progress toward goal achievement (Peeters & Rutte, 2005 ). Workers who employ time management have less role ambiguity (Macan, Shahani, Dipboye, & Philips, 1990 ), psychological stress or strain (Adams & Jex, 1999 ; Jex & Elaqua, 1999 ; Macan et al., 1990 ), and greater job satisfaction (Macan, 1994 ). However, Macan ( 1994 ) did not find a relationship between time management and performance. Still, Claessens, van Eerde, Rutte, and Roe ( 2004 ) found that perceived control of time partially mediated the relationships between planning behavior (an indicator of time management), job autonomy, and workload on one hand, and job strains, job satisfaction, and job performance on the other hand. Moreover, Peeters and Rutte ( 2005 ) observed that teachers with high work demands and low autonomy experienced more burnout when they had poor time management skills.

Person-Organization Fit

Just as it is important for organizations to find the right person for the job and organization, so is it the responsibility of a person to choose to work at the right organization—an organization that fulfills the person’s needs and upholds the values important to the individual, as much as the person fulfills the organization’s needs and adapts to its values. When people fit their employing organizations they are setting themselves up for experiencing less strain-producing stressors (Kristof-Brown et al., 2005 ). In a meta-analysis of 62 person-job fit studies and 110 person-organization fit studies, Kristof-Brown et al. ( 2005 ) found that person-job fit had a negative correlation with indicators of job strain. In fact, a primary intervention of career counseling can help to reduce stress levels (Firth-Cozens, 2003 ).

Job Redesign

The Job Demands-Control/Support (JD-C/S), Job Demands-Resources (JD-R), and transactional models all suggest that factors in the work context require modifications in order to reduce potential ill-health and poor organizational performance. Drawing on Hackman and Oldham’s ( 1980 ) Job Characteristics Model, it is possible to assess with the Job Diagnostics Survey (JDS) the current state of work characteristics related to skill variety, task identity, task significance, autonomy, and feedback. Modifying those aspects would help create a sense of meaningfulness, sense of responsibility, and feeling of knowing how one is performing, which subsequently affects a person’s well-being as identified in assessments of motivation, satisfaction, improved performance, and reduced withdrawal intentions and behaviors. Extending this argument to the stress models, it can be deduced that reducing uncertainty or perceived unfairness that may be associated with a person’s perception of these work characteristics, as well as making changes to physical characteristics of the environment (e.g., lighting, seating, desk, air quality), nature of work (e.g., job responsibilities, roles, decision-making latitude), and organizational arrangements (e.g., reporting structure and feedback mechanisms), can help mitigate against numerous ill-health consequences and reduced organizational performance. In fact, Fried et al. ( 2013 ) showed that healthy patients of a medical clinic whose jobs were excessively low (i.e., monotonous) or excessively high (i.e., overstimulating) on job enrichment (as measured by the JDS) had greater abdominal obesity than those whose jobs were optimally enriched. By taking stock of employees’ perceptions of the current work situation, managers might think about ways to enhance employees’ coping toolkit, such as training on how to deal with difficult clients or creating stimulating opportunities when jobs have low levels of enrichment.

Participatory Action Research Interventions

Participatory action research (PAR) is an intervention wherein, through group discussions, employees help to identify and define problems in organizational structure, processes, policies, practices, and reward structures, as well as help to design, implement, and evaluate success of solutions. PAR is in itself an intervention, but its goal is to design interventions to eliminate or reduce work-related factors that are impeding performance and causing people to be unwell. An example of a successful primary intervention, utilizing principles of PAR and driven by the JD-C and JD-C/S stress frameworks is Health Circles (HCs; Aust & Ducki, 2004 ).

HCs, developed in Germany in the 1980s, were popular practices in industries, such as metal, steel, and chemical, and service. Similar to other problem-solving practices, such as quality circles, HCs were based on the assumptions that employees are the experts of their jobs. For this reason, to promote employee well-being, management and administrators solicited suggestions and ideas from the employees to improve occupational health, thereby increasing employees’ job control. HCs also promoted communication between managers and employees, which had a potential to increase social support. With more control and support, employees would experience less strains and better occupational well-being.

Employing the three-steps of (1) problem analysis (i.e., diagnosis or discovery through data generated from organizational records of absenteeism length, frequency, rate, and reason and employee survey), (2) HC meetings (6 to 10 meetings held over several months to brainstorm ideas to improve occupational safety and health concerns identified in the discovery phase), and (3) HC evaluation (to determine if desired changes were accomplished and if employees’ reports of stressors and strains changed after the course of 15 months), improvements were to be expected (Aust & Ducki, 2004 ). Aust and Ducki ( 2004 ) reviewed 11 studies presenting 81 health circles in 30 different organizations. Overall study participants had high satisfaction with the HCs practices. Most companies acted upon employees’ suggestions (e.g., improving driver’s seat and cab, reducing ticket sale during drive, team restructuring and job rotation to facilitate communication, hiring more employees during summer time, and supervisor training program to improve leadership and communication skills) to improve work conditions. Thus, HCs represent a successful theory-grounded intervention to routinely improve employees’ occupational health.

Physical Setting

The physical environment or physical workspace has an enormous impact on individuals’ well-being, attitudes, and interactions with others, as well as on the implications on innovation and well-being (Oksanen & Ståhle, 2013 ; Vischer, 2007 ). In a study of 74 new product development teams (total of 437 study respondents) in Western Europe, Chong, van Eerde, Rutte, and Chai ( 2012 ) found that when teams were faced with challenge time pressures, meaning the teams had a strong interest and desire in tackling complex, but engaging tasks, when they were working proximally close with one another, team communication improved. Chong et al. assert that their finding aligns with prior studies that have shown that physical proximity promotes increased awareness of other team members, greater tendency to initiate conversations, and greater team identification. However, they also found that when faced with hindrance time pressures, physical proximity related to low levels of team communication, but when hindrance time pressure was low, team proximity had an increasingly greater positive relationship with team communication.

In addition to considering the type of work demand teams must address, other physical workspace considerations include whether people need to work collaboratively and synchronously or independently and remotely (or a combination thereof). Consideration needs to be given to how company contributors would satisfy client needs through various modes of communication, such as email vs. telephone, and whether individuals who work by a window might need shading to block bright sunlight from glaring on their computer screens. Finally, people who have to use the telephone for extensive periods of time would benefit from earphones to prevent neck strains. Most physical stressors are rather simple to rectify. However, companies are often not aware of a problem until after a problem arises, such as when a person’s back is strained from trying to move heavy equipment. Companies then implement strategies to remediate the environmental stressor. With the help of human factors, and organizational and office design consultants, many of the physical barriers to optimal performance can be prevented (Rousseau & Aubé, 2010 ). In a study of 215 French-speaking Canadian healthcare employees, Rousseau and Aubé ( 2010 ) found that although supervisor instrumental support positively related with affective commitment to the organization, the relationship was even stronger for those who reported satisfaction with the ambient environment (i.e., temperature, lighting, sound, ventilation, and cleanliness).

Secondary Interventions (Coping)

Secondary interventions, also referred to as coping, focus on resources people can use to mitigate the risk of work-related illness or workplace injury. Resources may include properties related to social resources, behaviors, and cognitive structures. Each of these resource domains may be employed to cope with stressors. Monat and Lazarus ( 1991 ) summarize the definition of coping as “an individual’s efforts to master demands (or conditions of harm, threat, or challenge) that are appraised (or perceived) as exceeding or taxing his or her resources” (p. 5). To master demands requires use of the aforementioned resources. Secondary interventions help employees become aware of the psychological, physical, and behavioral responses that may occur from the stressors presented in their working environment. Secondary interventions help a person detect and attend to stressors and identify resources for and ways of mitigating job strains. Often, coping strategies are learned skills that have a cognitive foundation and serve important functions in improving people’s management of stressors (Lazarus & Folkman, 1991 ). Coping is effortful, but with practice it becomes easier to employ. This idea is the foundation for understanding the role of resilience in coping with stressors. However, “not all adaptive processes are coping. Coping is a subset of adaptational activities that involves effort and does not include everything that we do in relating to the environment” (Lazarus & Folkman, 1991 , p. 198). Furthermore, sometimes to cope with a stressor, a person may call upon social support sources to help with tangible materials or emotional comfort. People call upon support resources because they help to restructure how a person approaches or thinks about the stressor.

Most secondary interventions are aimed at helping the individual, though companies, as a policy, might require all employees to partake in training aimed at increasing employees’ awareness of and skills aimed at handling difficult situations vis à vis company channels (e.g., reporting on sexual harassment or discrimination). Furthermore, organizations might institute mentoring programs or work groups to address various work-related matters. These programs employ awareness-raising activities, stress-education, or skills training (cf., Bhagat, Segovis, & Nelson, 2012 ), which include development of skills in problem-solving, understanding emotion-focused coping, identifying and using social support, and enhancing capacity for resilience. The aim of these programs, therefore, is to help employees proactively review their perceptions of psychological, physical, and behavioral job-related strains, thereby extending their resilience, enabling them to form a personal plan to control stressors and practice coping skills (Cooper, Dewe, & O’Driscoll, 2011 ).

Often these stress management programs are instituted after an organization has observed excessive absenteeism and work-related performance problems and, therefore, are sometimes categorized as a tertiary stress management intervention or even a primary (prevention) intervention. However, the skills developed for coping with stressors also place the programs in secondary stress management interventions. Example programs that are categorized as tertiary or primary stress management interventions may also be secondary stress management interventions (see Figure 1 ), and these include lifestyle advice and planning, stress inoculation training, simple relaxation techniques, meditation, basic trainings in time management, anger management, problem-solving skills, and cognitive-behavioral therapy. Corporate wellness programs also fall under this category. In other words, some programs could be categorized as primary, secondary, or tertiary interventions depending upon when the employee (or organization) identifies the need to implement the program. For example, time management practices could be implemented as a means of preventing some stressors, as a way to cope with mounting stressors, or as a strategy to mitigate symptoms of excessive of stressors. Furthermore, these programs can be administered at the individual level or group level. As related to secondary interventions, these programs provide participants with opportunities to develop and practice skills to cognitively reappraise the stressor(s); to modify their perspectives about stressors; to take time out to breathe, stretch, meditate, relax, and/or exercise in an attempt to support better decision-making; to articulate concerns and call upon support resources; and to know how to say “no” to onslaughts of requests to complete tasks. Participants also learn how to proactively identify coping resources and solve problems.

According to Cooper, Dewe, and O’Driscoll ( 2001 ), secondary interventions are successful in helping employees modify or strengthen their ability to cope with the experience of stressors with the goal of mitigating the potential harm the job stressors may create. Secondary interventions focus on individuals’ transactions with the work environment and emphasize the fit between a person and his or her environment. However, researchers have pointed out that the underlying assumption of secondary interventions is that the responsibility for coping with the stressors of the environment lies within individuals (Quillian-Wolever & Wolever, 2003 ). If companies cannot prevent the stressors in the first place, then they are, in part, responsible for helping individuals develop coping strategies and informing employees about programs that would help them better cope with job stressors so that they are able to fulfill work assignments.

Stress management interventions that help people learn to cope with stressors focus mainly on the goals of enabling problem-resolution or expressing one’s emotions in a healthy manner. These goals are referred to as problem-focused coping and emotion-focused coping (Folkman & Lazarus, 1980 ; Pearlin & Schooler, 1978 ), and the person experiencing the stressors as potential threat is the agent for change and the recipient of the benefits of successful coping (Hobfoll, 1998 ). In addition to problem-focused and emotion-focused coping approaches, social support and resilience may be coping resources. There are many other sources for coping than there is room to present here (see e.g., Cartwright & Cooper, 2005 ); however, the current literature has primarily focused on these resources.

Problem-Focused Coping

Problem-focused or direct coping helps employees remove or reduce stressors in order to reduce their strain experiences (Bhagat et al., 2012 ). In problem-focused coping employees are responsible for working out a strategic plan in order to remove job stressors, such as setting up a set of goals and engaging in behaviors to meet these goals. Problem-focused coping is viewed as an adaptive response, though it can also be maladaptive if it creates more problems down the road, such as procrastinating getting work done or feigning illness to take time off from work. Adaptive problem-focused coping negatively relates to long-term job strains (Higgins & Endler, 1995 ). Discussion on problem-solving coping is framed from an adaptive perspective.

Problem-focused coping is featured as an extension of control, because engaging in problem-focused coping strategies requires a series of acts to keep job stressors under control (Bhagat et al., 2012 ). In the stress literature, there are generally two ways to categorize control: internal versus external locus of control, and primary versus secondary control. Locus of control refers to the extent to which people believe they have control over their own life (Rotter, 1966 ). People high in internal locus of control believe that they can control their own fate whereas people high in external locus of control believe that outside factors determine their life experience (Rotter, 1966 ). Generally, those with an external locus of control are less inclined to engage in problem-focused coping (Strentz & Auerbach, 1988 ). Primary control is the belief that people can directly influence their environment (Alloy & Abramson, 1979 ), and thus they are more likely to engage in problem-focused coping. However, when it is not feasible to exercise primary control, people search for secondary control, with which people try to adapt themselves into the objective environment (Rothbaum, Weisz, & Snyder, 1982 ).

Emotion-Focused Coping

Emotion-focused coping, sometimes referred to as palliative coping, helps employees reduce strains without the removal of job stressors. It involves cognitive or emotional efforts, such as talking about the stressor or distracting oneself from the stressor, in order to lessen emotional distress resulting from job stressors (Bhagat et al., 2012 ). Emotion-focused coping aims to reappraise and modify the perceptions of a situation or seek emotional support from friends or family. These methods do not include efforts to change the work situation or to remove the job stressors (Lazarus & Folkman, 1991 ). People tend to adopt emotion-focused coping strategies when they believe that little or nothing can be done to remove the threatening, harmful, and challenging stressors (Bhagat et al., 2012 ), such as when they are the only individuals to have the skills to get a project done or they are given increased responsibilities because of the unexpected departure of a colleague. Emotion-focused coping strategies include (1) reappraisal of the stressful situation, (2) talking to friends and receiving reassurance from them, (3) focusing on one’s strength rather than weakness, (4) optimistic comparison—comparing one’s situation to others’ or one’s past situation, (5) selective ignoring—paying less attention to the unpleasant aspects of one’s job and being more focused on the positive aspects of the job, (6) restrictive expectations—restricting one’s expectations on job satisfaction but paying more attention to monetary rewards, (7) avoidance coping—not thinking about the problem, leaving the situation, distracting oneself, or using alcohol or drugs (e.g., Billings & Moos, 1981 ).

Some emotion-focused coping strategies are maladaptive. For example, avoidance coping may lead to increased level of job strains in the long run (e.g., Parasuraman & Cleek, 1984 ). Furthermore, a person’s ability to cope with the imbalance of performing work to meet organizational expectations can take a toll on the person’s health, leading to physiological consequences such as cardiovascular disease, sleep disorders, gastrointestinal disorders, and diabetes (Fried et al., 2013 ; Siegrist, 2010 ; Toker, Shirom, Melamed, & Armon, 2012 ; Willert, Thulstrup, Hertz, & Bonde, 2010 ).

Comparing Coping Strategies across Cultures

Most coping research is conducted in individualistic, Western cultures wherein emotional control is emphasized and both problem-solving focused coping and primary control are preferred (Bhagat et al., 2010 ). However, in collectivistic cultures, emotion-focused coping and use of secondary control may be preferred and may not necessarily carry a negative evaluation (Bhagat et al., 2010 ). For example, African Americans are more likely to use emotion-focused coping than non–African Americans (Knight, Silverstein, McCallum, & Fox, 2000 ), and among women who experienced sexual harassment, Anglo American women were less likely to employ emotion focused coping (i.e., avoidance coping) than Turkish women and Hispanic American women, while Hispanic women used more denial than the other two groups (Wasti & Cortina, 2002 ).

Thus, whereas problem-focused coping is venerated in Western societies, emotion-focused coping may be more effective in reducing strains in collectivistic cultures, such as China, Japan, and India (Bhagat et al., 2010 ; Narayanan, Menon, & Spector, 1999 ; Selmer, 2002 ). Indeed, Swedish participants reported more problem-focused coping than did Chinese participants (Xiao, Ottosson, & Carlsson, 2013 ), American college students engaged in more problem-focused coping behaviors than did their Japanese counterparts (Ogawa, 2009 ), and Indian (vs. Canadian) students reported more emotion-focused coping, such as seeking social support and positive reappraisal (Sinha, Willson, & Watson, 2000 ). Moreover, Glazer, Stetz, and Izso ( 2004 ) found that internal locus of control was more predominant in individualistic cultures (United Kingdom and United States), whereas external locus of control was more predominant in communal cultures (Italy and Hungary). Also, internal locus of control was associated with less job stress, but more so for nurses in the United Kingdom and United States than Italy and Hungary. Taken together, adoption of coping strategies and their effectiveness differ significantly across cultures. The extent to which a coping strategy is perceived favorably and thus selected or not selected is not only a function of culture, but also a person’s sociocultural beliefs toward the coping strategy (Morimoto, Shimada, & Ozaki, 2013 ).

Social Support

Social support refers to the aid an entity gives to a person. The source of the support can be a single person, such as a supervisor, coworker, subordinate, family member, friend, or stranger, or an organization as represented by upper-level management representing organizational practices. The type of support can be instrumental or emotional. Instrumental support, including informational support, refers to that which is tangible, such as data to help someone make a decision or colleagues’ sick days so one does not lose vital pay while recovering from illness. Emotional support, including esteem support, refers to the psychological boost given to a person who needs to express emotions and feel empathy from others or to have his or her perspective validated. Beehr and Glazer ( 2001 ) present an overview of the role of social support on the stressor-strain relationship and arguments regarding the role of culture in shaping the utility of different sources and types of support.

Meaningfulness and Resilience

Meaningfulness reflects the extent to which people believe their lives are significant, purposeful, goal-directed, and fulfilling (Glazer, Kożusznik, Meyers, & Ganai, 2014 ). When faced with stressors, people who have a strong sense of meaning in life will also try to make sense of the stressors. Maintaining a positive outlook on life stressors helps to manage emotions, which is helpful in reducing strains, particularly when some stressors cannot be problem-solved (Lazarus & Folkman, 1991 ). Lazarus and Folkman ( 1991 ) emphasize that being able to reframe threatening situations can be just as important in an adaptation as efforts to control the stressors. Having a sense of meaningfulness motivates people to behave in ways that help them overcome stressors. Thus, meaningfulness is often used in the same breath as resilience, because people who are resilient are often protecting that which is meaningful.

Resilience is a personality state that can be fortified and enhanced through varied experiences. People who perceive their lives are meaningful are more likely to find ways to face adversity and are therefore more prone to intensifying their resiliency. When people demonstrate resilience to cope with noxious stressors, their ability to be resilient against other stressors strengthens because through the experience, they develop more competencies (Glazer et al., 2014 ). Thus, fitting with Hobfoll’s ( 1989 , 2001 ) COR theory, meaningfulness and resilience are psychological resources people attempt to conserve and protect, and employ when necessary for making sense of or coping with stressors.

Tertiary Interventions (Stress Management)

Stress management refers to interventions employed to treat and repair harmful repercussions of stressors that were not coped with sufficiently. As Lazarus and Folkman ( 1991 ) noted, not all stressors “are amenable to mastery” (p. 205). Stressors that are unmanageable and lead to strains require interventions to reverse or slow down those effects. Workplace interventions might focus on the person, the organization, or both. Unfortunately, instead of looking at the whole system to include the person and the workplace, most companies focus on the person. Such a focus should not be a surprise given the results of van der Klink, Blonk, Schene, and van Dijk’s ( 2001 ) meta-analysis of 48 experimental studies conducted between 1977 and 1996 . They found that of four types of tertiary interventions, the effect size for cognitive-behavioral interventions and multimodal programs (e.g., the combination of assertive training and time management) was moderate and the effect size for relaxation techniques was small in reducing psychological complaints, but not turnover intention related to work stress. However, the effects of (the five studies that used) organization-focused interventions were not significant. Similarly, Richardson and Rothstein’s ( 2008 ) meta-analytic study, including 36 experimental studies with 55 interventions, showed a larger effect size for cognitive-behavioral interventions than relaxation, organizational, multimodal, or alternative. However, like with van der Klink et al. ( 2001 ), Richardson and Rothstein ( 2008 ) cautioned that there were few organizational intervention studies included and the impact of interventions were determined on the basis of psychological outcomes and not physiological or organizational outcomes. Van der Klink et al. ( 2001 ) further expressed concern that organizational interventions target the workplace and that changes in the individual may take longer to observe than individual interventions aimed directly at the individual.

The long-term benefits of individual focused interventions are not yet clear either. Per Giga, Cooper, and Faragher ( 2003 ), the benefits of person-directed stress management programs will be short-lived if organizational factors to reduce stressors are not addressed too. Indeed, LaMontagne, Keegel, Louie, Ostry, and Landsbergis ( 2007 ), in their meta-analysis of 90 studies on stress management interventions published between 1990 and 2005 , revealed that in relation to interventions targeting organizations only, and interventions targeting individuals only, interventions targeting both organizations and individuals (i.e. the systems approach) had the most favorable positive effects on both the organizations and the individuals. Furthermore, the organization-level interventions were effective at both the individual and organization levels, but the individual-level interventions were effective only at the individual level.

Individual-Focused Stress Management

Individual-focused interventions concentrate on improving conditions for the individual, though counseling programs emphasize that the worker is in charge of reducing “stress,” whereas role-focused interventions emphasize activities that organizations can guide to actually reduce unnecessary noxious environmental factors.

Individual-Focused Stress Management: Employee Assistance Programs

When stress become sufficiently problematic (which is individually gauged or attended to by supportive others) in a worker’s life, employees may utilize the short-term counseling services or referral services Employee Assistance Programs (EAPs) provide. People who utilize the counseling services may engage in cognitive behavioral therapy aimed at changing the way people think about the stressors (e.g., as challenge opportunity over threat) and manage strains. Example topics that may be covered in these therapy sessions include time management and goal setting (prioritization), career planning and development, cognitive restructuring and mindfulness, relaxation, and anger management. In a study of healthcare workers and teachers who participated in a 2-day to 2.5-day comprehensive stress management training program (including 26 topics on identifying, coping with, and managing stressors and strains), Siu, Cooper, and Phillips ( 2013 ) found psychological and physical improvements were self-reported among the healthcare workers (for which there was no control group). However, comparing an intervention group of teachers to a control group of teachers, the extent of change was not as visible, though teachers in the intervention group engaged in more mastery recovery experiences (i.e., they purposefully chose to engage in challenging activities after work).

Individual-Focused Stress Management: Mindfulness

A popular therapy today is to train people to be more mindful, which involves helping people live in the present, reduce negative judgement of current and past experiences, and practicing patience (Birnie, Speca, & Carlson, 2010 ). Mindfulness programs usually include training on relaxation exercises, gentle yoga, and awareness of the body’s senses. In one study offered through the continuing education program at a Canadian university, 104 study participants took part in an 8-week, 90 minute per group (15–20 participants per) session mindfulness program (Birnie et al., 2010 ). In addition to body scanning, they also listened to lectures on incorporating mindfulness into one’s daily life and received a take-home booklet and compact discs that guided participants through the exercises studied in person. Two weeks after completing the program, participants’ mindfulness attendance and general positive moods increased, while physical, psychological, and behavioral strains decreased. In another study on a sample of U.K. government employees, study participants receiving three sessions of 2.5 to 3 hours each training on mindfulness, with the first two sessions occurring in consecutive weeks and the third occurring about three months later, Flaxman and Bond ( 2010 ) found that compared to the control group, the intervention group showed a decrease in distress levels from Time 1 (baseline) to Time 2 (three months after first two training sessions) and Time 1 to Time 3 (after final training session). Moreover, of the mindfulness intervention study participants who were clinically distressed, 69% experienced clinical improvement in their psychological health.

Individual-Focused Stress Management: Biofeedback/Imagery/Meditation/Deep Breathing

Biofeedback uses electronic equipment to inform users about how their body is responding to tension. With guidance from a therapist, individuals then learn to change their physiological responses so that their pulse normalizes and muscles relax (Norris, Fahrion, & Oikawa, 2007 ). The therapist’s guidance might include reminders for imagery, meditation, body scan relaxation, and deep breathing. Saunders, Driskell, Johnston, and Salas’s ( 1996 ) meta-analysis of 37 studies found that imagery helped reduce state and performance anxiety. Once people have been trained to relax, reminder triggers may be sent through smartphone push notifications (Villani et al., 2013 ).

Smartphone technology can also be used to support weight loss programs, smoking cessation programs, and medication or disease (e.g., diabetes) management compliance (Heron & Smyth, 2010 ; Kannampallil, Waicekauskas, Morrow, Kopren, & Fu, 2013 ). For example, smartphones could remind a person to take medications or test blood sugar levels or send messages about healthy behaviors and positive affirmations.

Individual-Focused Stress Management: Sleep/Rest/Respite

Workers today sleep less per night than adults did nearly 30 years ago (Luckhaupt, Tak, & Calvert, 2010 ; National Sleep Foundation, 2005 , 2013 ). In order to combat problems, such as increased anxiety and cardiovascular artery disease, associated with sleep deprivation and insufficient rest, it is imperative that people disconnect from their work at least one day per week or preferably for several weeks so that they are able to restore psychological health (Etzion, Eden, & Lapidot, 1998 ; Ragsdale, Beehr, Grebner, & Han, 2011 ). When college students engaged in relaxation-type activities, such as reading or watching television, over the weekend, they experienced less emotional exhaustion and greater general well-being than students who engaged in resources-consuming activities, such as house cleaning (Ragsdale et al., 2011 ). Additional research and future directions for research are reviewed and identified in the work of Sonnentag ( 2012 ). For example, she asks whether lack of ability to detach from work is problematic for people who find their work meaningful. In other words, are negative health consequences only among those who do not take pleasure in their work? Sonnetag also asks how teleworkers detach from their work when engaging in work from the home. Ironically, one of the ways that companies are trying to help with the challenges of high workload or increased need to be available to colleagues, clients, or vendors around the globe is by offering flexible work arrangements, whereby employees who can work from home are given the opportunity to do so. Companies that require global interactions 24-hours per day often employ this strategy, but is the solution also a source of strain (Glazer, Kożusznik, & Shargo, 2012 )?

Individual-Focused Stress Management: Role Analysis

Role analysis or role clarification aims to redefine, expressly identify, and align employees’ roles and responsibilities with their work goals. Through role negotiation, involved parties begin to develop a new formal or informal contract about expectations and define resources needed to fulfill those expectations. Glazer has used this approach in organizational consulting and, with one memorable client engagement, found that not only were the individuals whose roles required deeper re-evaluation happier at work (six months later), but so were their subordinates. Subordinates who once characterized the two partners as hostile and akin to a couple going through a bad divorce, later referred to them as a blissful pair. Schaubroeck, Ganster, Sime, and Ditman ( 1993 ) also found in a three-wave study over a two-year period that university employees’ reports of role clarity and greater satisfaction with their supervisor increased after a role clarification exercise of top managers’ roles and subordinates’ roles. However, the intervention did not have any impact on reported physical symptoms, absenteeism, or psychological well-being. Role analysis is categorized under individual-focused stress management intervention because it is usually implemented after individuals or teams begin to demonstrate poor performance and because the intervention typically focuses on a few individuals rather than an entire organization or group. In other words, the intervention treats the person’s symptoms by redefining the role so as to eliminate the stimulant causing the problem.

Organization-Focused Stress Management

At the organizational level, companies that face major declines in productivity and profitability or increased costs related to healthcare and disability might be motivated to reassess organizational factors that might be impinging on employees’ health and well-being. After all, without healthy workers, it is not possible to have a healthy organization. Companies may choose to implement practices and policies that are expected to help not only the employees, but also the organization with reduced costs associated with employee ill-health, such as medical insurance, disability payments, and unused office space. Example practices and policies that may be implemented include flexible work arrangements to ensure that employees are not on the streets in the middle of the night for work that can be done from anywhere (such as the home), diversity programs to reduce stress-induced animosity and prejudice toward others, providing only healthy food choices in cafeterias, mandating that all employees have physicals in order to receive reduced prices for insurance, company-wide closures or mandatory paid time off, and changes in organizational visioning.

Organization-Focused Stress Management: Organizational-Level Occupational Health Interventions

As with job design interventions that are implemented to remediate work characteristics that were a source of unnecessary or excessive stressors, so are organizational-level occupational health (OLOH) interventions. As with many of the interventions, its placement as a primary or tertiary stress management intervention may seem arbitrary, but when considering the goal and target of change, it is clear that the intervention is implemented in response to some ailing organizational issues that need to be reversed or stopped, and because it brings in the entire organization’s workforce to address the problems, it has been placed in this category. There are several more case studies than empirical studies on the topic of whole system organizational change efforts (see example case studies presented by the United Kingdom’s Health and Safety Executive). It is possible that lack of published empirical work is not so much due to lack of attempting to gather and evaluate the data for publication, but rather because the OLOH interventions themselves never made it to the intervention stage, the interventions failed (Biron, Gatrell, & Cooper, 2010 ), or the level of evaluation was not rigorous enough to get into empirical peer-review journals. Fortunately, case studies provide some indication of the opportunities and problems associated with OLOH interventions.

One case study regarding Cardiff and Value University Health Board revealed that through focus group meetings with members of a steering group (including high-level managers and supported by top management) and facilitated by a neutral, non-judgemental organizational health consultant, ideas for change were posted on newsprint, discussed, and areas in the organization needing change were identified. The intervention for giving voice to people who initially had little already had a positive effect on the organization, as absence decreased by 2.09% and 6.9% merely 12 and 18 months, respectively, after the intervention. Translated in financial terms, the 6.9% change was equivalent to a quarterly savings of £80,000 (Health & Safety Executive, n.d. ). Thus, focusing on the context of change and how people will be involved in the change process probably helped the organization realize improvements (Biron et al., 2010 ). In a recent and rare empirical study, employing both qualitative and quantitative data collection methods, Sørensen and Holman ( 2014 ) utilized PAR in order to plan and implement an OLOH intervention over the course of 14 months. Their study aimed to examine the effectiveness of the PAR process in reducing workers’ work-related and social or interpersonal-related stressors that derive from the workplace and improving psychological, behavioral, and physiological well-being across six Danish organizations. Based on group dialogue, 30 proposals for change were proposed, all of which could be categorized as either interventions to focus on relational factors (e.g., management feedback improvement, engagement) or work processes (e.g., reduced interruptions, workload, reinforcing creativity). Of the interventions that were implemented, results showed improvements on manager relationship quality and reduced burnout, but no changes with respect to work processes (i.e., workload and work pace) perhaps because the employees already had sufficient task control and variety. These findings support Dewe and Kompier’s ( 2008 ) position that occupational health can be reinforced through organizational policies that reinforce quality jobs and work experiences.

Organization-Focused Stress Management: Flexible Work Arrangements

Dewe and Kompier ( 2008 ), citing the work of Isles ( 2005 ), noted that concern over losing one’s job is a reason for why 40% of survey respondents indicated they work more hours than formally required. In an attempt to create balance and perceived fairness in one’s compensation for putting in extra work hours, employees will sometimes be legitimately or illegitimately absent. As companies become increasingly global, many people with desk jobs are finding themselves communicating with colleagues who are halfway around the globe and at all hours of the day or night (Glazer et al., 2012 ). To help minimize the strains associated with these stressors, companies might devise flexible work arrangements (FWA), though the type of FWA needs to be tailored to the cultural environment (Masuda et al., 2012 ). FWAs give employees some leverage to decide what would be the optimal work arrangement for them (e.g., part-time, flexible work hours, compressed work week, telecommuting). In other words, FWA provides employees with the choice of when to work, where to work (on-site or off-site), and how many hours to work in a day, week, or pay period (Kossek, Thompson, & Lautsch, 2015 ). However, not all employees of an organization have equal access to or equitable use of FWAs; workers in low-wage, hourly jobs are often beholden to being physically present during specific hours (Swanberg McKechnie, Ojha, & James, 2011 ). In a study of over 1,300 full-time hourly retail employees in the United States, Swanberg et al. ( 2011 ) showed that employees who have control over their work schedules and over their work hours were satisfied with their work schedules, perceived support from the supervisor, and work engagement.

Unfortunately, not all FWAs yield successful results for the individual or the organization. Being able to work from home or part-time can have problems too, as a person finds himself or herself working more hours from home than required. Sometimes telecommuting creates work-family conflict too as a person struggles to balance work and family obligations while working from home. Other drawbacks include reduced face-to-face contact between work colleagues and stakeholders, challenges shaping one’s career growth due to limited contact, perceived inequity if some have more flexibility than others, and ambiguity about work role processes for interacting with employees utilizing the FWA (Kossek et al., 2015 ). Organizations that institute FWAs must carefully weigh the benefits and drawbacks the flexibility may have on the employees using it or the employees affected by others using it, as well as the implications on the organization, including the vendors who are serving and clients served by the organization.

Organization-Focused Stress Management: Diversity Programs

Employees in the workplace might experience strain due to feelings of discrimination or prejudice. Organizational climates that do not promote diversity (in terms of age, religion, physical abilities, ethnicity, nationality, sex, and other characteristics) are breeding grounds for undesirable attitudes toward the workplace, lower performance, and greater turnover intention (Bergman, Palmieri, Drasgow, & Ormerod, 2012 ; Velez, Moradi, & Brewster, 2013 ). Management is thus advised to implement programs that reinforce the value and importance of diversity, as well as manage diversity to reduce conflict and feelings of prejudice. In fact, managers who attended a leadership training program reported higher multicultural competence in dealing with stressful situations (Chrobot-Mason & Leslie, 2012 ), and managers who persevered through challenges were more dedicated to coping with difficult diversity issues (Cilliers, 2011 ). Thus, diversity programs can help to reduce strains by directly reducing stressors associated with conflict linked to diversity in the workplace and by building managers’ resilience.

Organization-Focused Stress Management: Healthcare Management Policies

Over the past few years, organizations have adopted insurance plans that implement wellness programs for the sake of managing the increasing cost of healthcare that is believed to be a result of individuals’ not managing their own health, with regular check-ups and treatment. The wellness programs require all insured employees to visit a primary care provider, complete a health risk assessment, and engage in disease management activities as specified by a physician (e.g., see frequently asked questions regarding the State of Maryland’s Wellness Program). Companies believe that requiring compliance will reduce health problems, although there is no proof that such programs save money or that people would comply. One study that does, however, boast success, was a 12-week workplace health promotion program aimed at reducing Houston airport workers’ weight (Ebunlomo, Hare-Everline, Weber, & Rich, 2015 ). The program, which included 235 volunteer participants, was deemed a success, as there was a total weight loss of 345 pounds (or 1.5 lbs per person). Given such results in Houston, it is clear why some people are also skeptical over the likely success of wellness programs, particularly as there is no clear method for evaluating their efficacy (Sinnott & Vatz, 2015 ).

Moreover, for some, such a program is too paternalistic and intrusive, as well as punishes anyone who chooses not to actively participate in disease management programs (Sinnott & Vatz, 2015 ). The programs put the onus of change on the person, though it is a response to the high costs of ill-health. The programs neglect to consider the role of the organization in reducing the barriers to healthy lifestyle, such as cloaking exempt employment as simply needing to get the work done, when it usually means working significantly more hours than a standard workweek. In fact, workplace health promotion programs did not reduce presenteeism (i.e., people going to work while unwell thereby reducing their job performance) among those who suffered from physical pain (Cancelliere, Cassidy, Ammendolia, & Côte, 2011 ). However, supervisor education, worksite exercise, lifestyle intervention through email, midday respite from repetitive work, a global stress management program, changes in lighting, and telephone interventions helped to reduce presenteeism. Thus, emphasis needs to be placed on psychosocial aspects of the organization’s structure, including managers and overall organizational climate for on-site presence, that reinforces such behavior (Cancelliere et al., 2011 ). Moreover, wellness programs are only as good as the interventions to reduce work-related stressors and improve organizational resources to enable workers to improve their overall psychological and physical health.

Concluding Remarks

Future research.

One of the areas requiring more theoretical and practical attention is that of the utility of stress frameworks to guide organizational development change interventions. Although it has been proposed that the foundation for work stress management interventions is in organizational development, and even though scholars and practitioners of organization development were also founders of research programs that focused on employee health and well-being or work stress, there are few studies or other theoretical works that link the two bodies of literature.

A second area that requires additional attention is the efficacy of stress management interventions across cultures. In examining secondary stress management interventions (i.e., coping), some cross-cultural differences in findings were described; however, there is still a dearth of literature from different countries on the utility of different prevention, coping, and stress management strategies.

A third area that has been blossoming since the start of the 21st century is the topic of hindrance and challenge stressors and the implications of both on workers’ well-being and performance. More research is needed on this topic in several areas. First, there is little consistency by which researchers label a stressor as a hindrance or a challenge. Researchers sometimes take liberties with labels, but it is not the researchers who should label a stressor but the study participants themselves who should indicate if a stressor is a source of strain. Rodríguez, Kozusznik, and Peiró ( 2013 ) developed a measure in which respondents indicate whether a stressor is a challenge or a hindrance. Just as some people may perceive demands to be challenges that they savor and that result in a psychological state of eustress (Nelson & Simmons, 2003 ), others find them to be constraints that impede goal fulfillment and thus might experience distress. Likewise, some people might perceive ambiguity as a challenge that can be overcome and others as a constraint over which he or she has little control and few or no resources with which to cope. More research on validating the measurement of challenge vs. hindrance stressors, as well as eustress vs. distress, and savoring vs. coping, is warranted. Second, at what point are challenge stressors harmful? Just because people experiencing challenge stressors continue to perform well, it does not necessarily mean that they are healthy people. A great deal of stressors are intellectually stimulating, but excessive stimulation can also take a toll on one’s physiological well-being, as evident by the droves of professionals experiencing different kinds of diseases not experienced as much a few decades ago, such as obesity (Fried et al., 2013 ). Third, which stress management interventions would better serve to reduce hindrance stressors or to reduce strain that may result from challenge stressors while reinforcing engagement-producing challenge stressors?

A fourth area that requires additional attention is that of the flexible work arrangements (FWAs). One of the reasons companies have been willing to permit employees to work from home is not so much out of concern for the employee, but out of the company’s need for the focal person to be able to communicate with a colleague working from a geographic region when it is night or early morning for the focal person. Glazer, Kożusznik, and Shargo ( 2012 ) presented several areas for future research on this topic, noting that by participating on global virtual teams, workers face additional stressors, even while given flexibility of workplace and work time. As noted earlier, more research needs to be done on the extent to which people who take advantage of FWAs are advantaged in terms of detachment from work. Can people working from home detach? Are those who find their work invigorating also likely to experience ill-health by not detaching from work?

A fifth area worthy of further research attention is workplace wellness programing. According to Page and Vella-Brodrick ( 2009 ), “subjective and psychological well-being [are] key criteria for employee mental health” (p. 442), whereby mental health focuses on wellness, rather than the absence of illness. They assert that by fostering employee mental health, organizations are supporting performance and retention. Employee well-being can be supported by ensuring that jobs are interesting and meaningful, goals are achievable, employees have control over their work, and skills are used to support organizational and individual goals (Dewe & Kompier, 2008 ). However, just as mental health is not the absence of illness, work stress is not indicative of an absence of psychological well-being. Given the perspective that employee well-being is a state of mind (Page & Vella-Brodrick, 2009 ), we suggest that employee well-being can be negatively affected by noxious job stressors that cannot be remediated, but when job stressors are preventable, employee well-being can serve to protect an employee who faces job stressors. Thus, wellness programs ought to focus on providing positive experiences by enhancing and promoting health, as well as building individual resources. These programs are termed “green cape” interventions (Pawelski, 2016 ). For example, with the growing interests in positive psychology, researchers and practitioners have suggested employing several positive psychology interventions, such as expressing gratitude, savoring experiences, and identifying one’s strengths (Tetrick & Winslow, 2015 ). Another stream of positive psychology is psychological capital, which includes four malleable functions of self-efficacy, optimism, hope, and resilience (Luthans, Youssef, & Avolio, 2007 ). Workplace interventions should include both “red cape” interventions (i.e., interventions to reduce negative experiences) and “green cape” interventions (i.e., workplace wellness programs; Polly, 2014 ).

A Healthy Organization’s Pledge

A healthy workplace requires healthy workers. Period. Among all organizations’ missions should be the focus on a healthy workforce. To maintain a healthy workforce, the company must routinely examine its own contributions in terms of how it structures itself; reinforces communications among employees, vendors, and clients; how it rewards and cares for its people (e.g., ensuring they get sufficient rest and can detach from work); and the extent to which people at the upper levels are truly connected with the people at the lower levels. As a matter of practice, management must recognize when employees are overworked, unwell, and poorly engaged. Management must also take stock of when it is doing well and right by its contributors’ and maintain and reinforce the good practices, norms, and procedures. People in the workplace make the rules; people in the workplace can change the rules. How management sees its employees and values their contribution will have a huge role in how a company takes stock of its own pain points. Providing employees with tools to manage their own reactions to work-related stressors and consequent strains is fine, but wouldn’t it be grand if organizations took better notice about what they could do to mitigate the strain-producing stressors in the first place and take ownership over how employees are treated?

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Under Pressure: a Stress Management Case Study

Helping team members reflect on the symptoms of stress and how to alleviate it.

By the Mind Tools Content Team

This plausible case study will enable participants to recognize the symptoms of stress in themselves or in colleagues and take action to remedy the situation.

Participants will be able to …

• develop a higher level of awareness of stress in the workplace
• highlight the symptoms of stress and recognize them in themselves and in colleagues
• learn methods of dealing with stress in the workplace

Facilitator’s Guide

This straightforward case study requires little in the way of facilitation but mingle with the groups and be on hand to answer any questions or prompt discussion.

It could be used as part of a stress management workshop or stress awareness campaign. It would work best with groups of up to six participants. Allow just over an hour for completion.

Suggested Resources

• copy of task sheet per delegate
• white board or flipchart

What to Do (35 Minutes)

• Introduce the case study explaining its objectives to the participants.
• If you are dealing with a larger group, split them into sub–groups of five or six people.
• Distribute the task sheets amongst participants and allow 30 minutes for completion.

Review Activity (10 Minutes)

Bring the group(s) back to discuss their results. Possible answers to the questions could include the following:

1. What behavioral and psychological changes in Jen suggest that she may be stressed? Jen has become short–tempered, forgetful, intolerant, feels constantly anxious, her concentration is impaired and she is under–eating.

2. Can you list two other behavioral changes suggestive of stress? This could include any two of the following:

• aggressive behavior
• pessimistic and negative
• increased alcohol/drug use or smoking
• carelessness
• over–eating
• withdrawal and listlessness

3. What physical symptoms is Jen showing that suggest she may be stressed? Jen has decreased appetite, sleep disturbance, weight loss and she is susceptible to minor illnesses.

4. List five other physical symptoms or signs of stress. This could include any of the following:

• tightness of the chest, neck, jaw, face, abdomen, shoulder and back muscles
• hunched posture and clenched fists
• breathing becomes shallow and rapid
• irritable bowel symptoms such as diarrhea or constipation
• shaking hands
• chronic (long–term) pain
• facial expression shows tension – frown, tightened eyebrows, clenched jaw, pursed lips

5. If you were Ahmed, what would you do to help Jen? There are a number of approaches Ahmed could take to help Jen. Depending on his seniority, he may be able to take action in one of the following ways:

• arrange a meeting with Jen. Give her some notice, and outline why you want to meet her. You’re concerned about her health and you want to establish if it is work related. If so, establish what can be done to resolve these issues and to support Jen
• allow half a day, in private, perhaps away from the workplace, to explore your observations and Jen’s response in detail
• review the project objectives, timescales, resources, processes. Establish realistic goals and think creatively around overcoming the constraints. But, the constraints must be addressed
• assign another project manager to co–manage the project with Jen
• look at the hours that Jen is working and, if they are excessive, try to reduce them
• change the hours of Jen’s work week so that she is not traveling in rush-hour traffic
• offer Jen the opportunity to work from home where appropriate

In addition to the above, he could also:

• encourage Jen to take up a sport or a hobby
• suggest that she takes up yoga
• suggest that she speaks to her GP who may refer her on to a counselor or suggest other forms of treatment
• encourage her to investigate other methods of relaxation including aromatherapy, relaxation exercises and breathing exercises

It could be that Jen would find some of these options intrusive, others less so. Make sure that the group is aware of the sensitivities surrounding this.

This list is by no means exhaustive. There are positives and negatives surrounding each of these suggestions. Make sure that you cover all of these with the group.

Apply Learning (15 Minutes)

Ask participants to work individually for five minutes and either select a colleague they are concerned about, or themselves and list up to three:

• behavioral or psychological changes
• physical symptoms

Encourage them to select a learning partner if they wish and discuss what they can do to manage their own stress or how they can help/support their colleague.

Under Pressure – Task Sheet

Jen Breeze is a project manager for Techtron, a multinational IT consultancy. She has always enjoyed her work, but has recently found herself under increasing pressure in the workplace. Although when in her early 20s and 30s Jen ‘thrived on stress’ she feels that now, at 45, her work is taking a toll on both her health and her personal life.

Jen was recently assigned to work on her biggest project to date. As an experienced manager, she recognizes that both the budget and the timescale for the project are highly unrealistic. She has discussed her concerns with senior management, but her words fell on deaf ears. She knows that she is accountable for the success of the project and feels constantly uneasy. She has even found herself lying thinking about it in the early hours of the morning. On top of this, Jen has to drive 30 miles, each way, every day to reach work through rush-hour traffic.

A senior colleague, Ahmed Nazir, meets with Jen in the staff canteen for lunch on a regular basis, and has seen a gradual change in her over the last few months. She never seems to listen to him anymore and he has difficulty holding a sensible conversation with her. She looks tired and rarely eats much. He finds her forgetful and is concerned that this will have a knock-on effect on the quality of work that she is producing. He is, however, more worried about Jen and wants to help.

Jen herself is also worried, not only about the forthcoming project launch meeting, but about herself. Although Jen has a reputation for being approachable, she has found herself regularly ‘snapping’ without good reason at team members. At home too, she feels that she is short–tempered and intolerant of her husband. She feels ‘wound up’ all the time and can’t seem to relax. She knows that she has inadvertently lost a significant amount of weight. Her friends complain that they have not seen her in weeks, but she cannot face the simple task of phoning them. To make matters worse she has had a recurring cold for over three months and has been unable to shake it off. The thought of going into work each day fills her with dread and she is unsure how much longer she can go on functioning like this.

Task Consider the following questions:

• What behavioral and psychological changes in Jen suggest that she may be stressed?
• Can you list two other behavioral changes suggestive of stress?
• What physical symptoms is Jen showing that suggest she may be stressed?
• List five other physical symptoms or signs of stress.
• If you were Ahmed, what would you do to help Jen?
• If you were Jen what steps would you take to help yourself, and the project?

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Using Exercise as a Stress Management Technique During the COVID-19 Pandemic: The Differences Between Men and Women in College

Psychological stress is a major concern in college students and can lead to negative mental and physical health outcomes. The COVID-19 pandemic has increased psychological stress. Using exercise as a stress management technique has been shown to have a large effect in preventing and treating psychological stress. This study attempts to understand the gender differences between how using exercise as a stress management technique predicts perceived stress levels during the COVID-19 pandemic. Students completed an online survey to self-report their stress management techniques, perceived stress (PSS-10), grade point average (GPA) and demographics (age, race/ethnicity, sexual orientation, gender identity). Independent samples t-tests compared each PSS-10 item for those who did/not use exercise as a stress management technique for each gender. Separate linear regression models compared perceived stress levels in those who did/not use exercise as a stress management tool for each gender. GPA, sexual orientation, and race/ethnicity were included as covariates. Data from 384 students were analyzed. Four PSS-10 items showed significant differences in women who did/not use exercise as a stress management technique. Women who used exercise as a stress management technique reported significantly lower levels of perceived stress compared to those women who did not ( p < 0.05); while men showed no significant differences whether or not they used exercise as a stress management technique. University officials should recognize gender differences in stress among their students when creating programs/interventions to prevent and treat student psychological stress.

INTRODUCTION

People experience psychological stressors over their lifetime for a variety of reasons, including life events (e.g. divorce of parents), environmental (e.g. neighborhood safety, traffic), social (e.g. injustice, assault), behavior (e.g. physical inactivity, alcohol use), and many others ( 14 , 15 , 17 , 21 ). These stressors can lead to negative health consequences amongst all populations ( 43 ), making stress management a major public health importance. Psychological stress can cause acute physiological effects of the body, such as increased heart rate and blood pressure, which can lead to future health consequences, including increasing the risk of many non-communicable diseases ( 49 ). Psychological stress has also showed to have negative effects on the brain, increasing the risk of major mental disorders, such as major depressive disorder ( 18 ) and anxiety ( 39 ). Early studies on stress and mental health suggested that the number of negative stressors (e.g. physical, environmental, and financial factors) in children predicted the risk of negative mental health, rather than the pattern of such factors ( 31 ). Understanding the mechanisms of stress and need for proper stress-management is important to future mental health research.

Although stress is inevitable, literature suggests college-aged individuals are at a higher risk for daily life stressors compared to other age groups, due to the increased daily stressors ( 2 ). Leaving home for the first time, making friends, and understanding personal identity are examples of stressors a college student uniquely endures. Academic performance, often indicated by grade point average (GPA), and the pressure to succeed are also major concerns that lead to stress among college students ( 7 ). Specific demographic characteristics such as race/ethnicity and sexual orientation have also been shown to increase psychological distress. Racial discrimination and underappreciation and/or underrepresentation of minority individuals cause profound negative effects on mental health of children and adults ( 11 , 35 , 51 ). Similarly, non-heterosexual individuals tend to have higher levels of perceived psychological stress, compared to their heterosexual counterparts ( 9 , 10 , 27 , 45 , 46 ).

Along with academic pressures, race/ethnicity, and sexual orientation, studies have suggested that there are gender disparities in psychological stress. Female college students experience higher perceived levels of stress compared to their male counterparts ( 25 ), making it essential to understand the gender differences between stress factor effects. Stressful life events may also have different effects on an individual, based on gender. In their study on gender differences and coping styles, Matud (2004) found that despite experiencing similar amounts of stressful life events, women were more likely to be negatively impacted by stressors than men ( 34 ). Physiological and neurological differences in the body suggest that the female hormonal and immune systems react differently to psychological stressors compared to men ( 8 ). Differences in long-term effects of daily life stressors between men and women may also be due to different coping styles. While women are more likely to use emotional and avoidance tactics of coping, men showed an increase in using rational and detachment coping styles ( 34 ).

Perceived stress, or how the individual witnesses their psychological stress, is one of the many subjective ways that researchers measure stress. Tools that assess perceived stress ( 19 ) typically measure perceived response to life events in a given time frame. Perception of stress is important for psychological research, due to the different effects stressors can have on different individuals. Although stress is a natural part of one’s life, it is important for one to find ways to cope, prevent, and alleviate negative psychological stress. Coping can lower the risk of future negative health consequences seen from longitudinal stress ( 30 ). Stress management and coping can have very individualized effects, but there are many behavior changes that have shown to significantly promote healthy psychological health. Stress management techniques such as meditation ( 40 ), social support of family/friends/peers ( 16 ) and restful sleep ( 13 ) have significantly lowered stress levels amongst college students.

A major contributor to stress levels in all populations, including college students, is participation in physical activity (PA) ( 6 , 44 ). Individuals who participate in PA report lower levels of perceived stress ( 20 , 22 ). PA is a long-term lifestyle behavior that should be introduced at some capacity to all able children, adolescents, and adults. Using exercise as a stress management technique has shown to have preventative and treatment effects on perceived stress ( 26 , 32 ). Other than promoting positive mental health in college students ( 36 ), using PA to manage stress will also promote physical health, by decreasing the risk of many long term non-communicable diseases ( 3 ). In college students, studies have also showed that students who participated in vigorous PA were likely to report positive mental health and lower levels of perceived stress ( 50 ).

College students are in the midst of an important developmental transition from young adulthood to adulthood, which can lead to increased stress and major effects in the future ( 5 ). This makes college students an important population to study. This transitionary time-period is also very critical for introducing healthy habits, because many of these habits made in this time-period are likely to last a lifetime ( 53 ). The United States’ college population was struck with major life changes in the Spring of 2020 due to the COVID-19 pandemic. Students were sent home from their institutions to completely change their way of living. In-person classes were changed to online classes, and quarantines with stay-at-home orders decreased the amount of time spent with peers. Although many US students had increased stress pertaining to their fear of family member’s health, they also showed increased levels of academic and social stressors, such as difficulty concentrating, concern of academic performance, and lower amounts of social interactions from peers ( 48 ). Although stressful life events have increased during the COVID-19 pandemic, PA was still associated with positive affect in college students ( 33 ). This association makes it important for us to understand more about how exercise plays a role in an individual’s mental health.

The current study aims to understand the gender differences between how using exercise as a stress management technique predicted overall perceived stress during the COVID-19 pandemic. We also aim to detect gender differences between how perceived stress factors are predicted by use of exercise as a stress management tool. Understanding these concepts is important for colleges to manage student mental and physical health while they complete their courses virtually under pandemic conditions, creating and implementing prevention strategies for overall mental health.

Participants

Study design -.

This cross-sectional study was performed from the results of an online survey (Qualtrics, Provo, UT). This survey was sent to individuals at a large Northeastern university. Participants were enrolled in general health and wellness courses. The survey was sent in the month of April 2020, and approximately four weeks after the institution switched to remote learning due to the pandemic and many state governments had issued stay-at-home orders. For the survey, response rate was 30.69% ( n = 519) and completion rate was 94.61% ( n = 491). Volunteers who completed the survey had an opportunity to enter a drawing to win a $50 gift card as incentive. Contact information for the drawing was collected separately from the survey data to ensure anonymity was protected. Before starting the survey, informed consent was presented when opening the link, along with a statement saying only individuals 18 or older can participate. Participants with incomplete survey data ( n = 98) were discarded. Individuals who completed the survey but were not currently students were excluded from analyses ( n = 9). The Pennsylvania State University Institutional Review Board approved this study and all methods followed ethical consideration for exercise psychology ( 38 ).

Demographics -

Participants self-reported age, race/ethnicity, semester standing, gender identity (male, female, non-binary), and sexual orientation. Race/ethnicity, gender identity, and sexual orientation were dummy-coded based on answer choice to allow for proper statistical analyses. Non-Hispanic white and straight (heterosexual) were used as referent groups (dummy coded = 1) for race/ethnicity and sexual orientation, respectively.

Perceived Stress -

Stress was assessed using the 10-item Perceived Stress Scale (PSS-10) ( 19 ), which measures perceived stress on a five-point scale ranging from 0 (never) to 4 (very often). Participants rated how often they have felt in the past month to 10 different responses that focused on different areas of perceived psychological stress. These points were summed to create a continuous overall perceived-stress level score from 0–40. In previous literature, this scale has shown positive validity in measuring proper psychometric stress properties in the college-student population ( 41 , 47 ). In the current study, the PSS-10 scale showed good reliability ( α = 0.869).

Physical Activity Behaviors -

Self-reported moderate (MPA) and vigorous (VPA) leisure time physical activity ( 4 ) was assessed using the validated Global Physical Activity Questionnaire (GPAQ) ( 12 ). Muscle-strengthening (strength-training - ST) activity was measured similarly to the GPAQ ( 52 ), using items that assessed the frequency (days per week) and duration (minutes per ST bout) throughout the week of moderate or high-intensity muscle strengthening (for at least 10 minutes to gain a minutes/week outcome).

Stress Management Techniques -

Participants rank ordered their most used stress management techniques during the COVID-19 stay at home order. Stress management techniques included: using medication, eating, relaxation techniques (e.g. breathing, meditating), exercising, talking to someone, drinking alcohol, sleeping, creative crafting, watching TV, cooking, and/or organizing. Participants were then dichotomized into groups based on whether they selected exercise as a technique to manage stress or not.

Grade Point Average (GPA) -

Participants were asked to self-report their collegiate cumulative GPA on a four-point scale (0.0 – 4.0).

Statistical Analysis

Frequencies and descriptive statistics were computed to summarize the data. All data were analyzed using the SPSS Version 26.0 (IBM, Armonk, NY). Independent samples t-tests were performed separately for men and women to test the differences for each PSS-10 question item between those who use exercise as a stress management technique and those who do not. After initial linear regression modeling showed significant ( p < 0.05) differences between PSS-10 score and using exercise as a stress management tool, two separate independent linear regression models for both men and women were performed. Each were conducted to show the individual significance of using exercise as a stress management technique to predict stress level variance. Due to previous literature showing differences in stress levels amongst specific demographics; race/ethnicity, sexual orientation and GPA were used as covariates in linear regression models. A p -value of 0.05 was used for all analyses. A post-hoc power analysis using G*Power version 3.1.9.7 (University of California – Los Angeles, CA, U.S.A) was completed and determined that the sample size was adequate for analyses.

The sample ( n = 384) consisted of college students (20.45 ± 1.40 years), with the majority identifying as women ( n = 282, 73.4%) and Non-Hispanic White ( n = 294, 76.7%). In the sample, 78.4% of men and 84.0% of women reported using exercise as a stress management tool. Table 1 shows a complete description of participant socio-demographic frequencies with mean stress scores and percentage of those who used exercise as a stress management tool.

Demographics and PSS-10 scores for those who used exercise as a stress management tool.

Note: NH = non-Hispanic

Weekly Physical Activity Levels -

Table 2 shows the results from independent samples t-tests testing the differences between weekly minutes of MPA, VPA and ST.

Differences in weekly PA levels in those who use exercise as a stress management technique and those who do not.

Note: PA = Physical Activity, MPA = Moderate PA, VPA = Vigorous PA, ST = Strength Training

Women and PSS-10 Items -

Four PSS-10 items were found to have a significant difference when compared to women who used exercise as a stress management technique and those who didn’t. “Felt nervous or ‘stressed’; been able to control irritations in your life; felt that you were on top of things; and felt difficulties were piling up so high that you could not overcome them” all had scores significantly lower in women who used exercise as a stress management technique versus those who did not ( Table 3 ).

Difference in individual PSS-10 item scores between those who use exercise as a stress management tool or not.

Men and PSS-10 Items -

There were no PSS-10 items that had a significant difference depending on whether men used exercise as a stress management tool or did not ( Table 3 ).

Women and Exercise Stress Management -

Using exercise as a stress management tool significantly predicted ( p = 0.022, β = -2.796) the variance of perceived stress levels for women. Women who used exercise as a stress management tool were more likely to have lower perceived stress scores. Race/ethnicity and sexual orientation also significantly predicted the variance of an individual’s stress levels. GPA did not predict stress level variance. The model for women explained 5.3% of the total variance ( Table 4 ).

Models predicting PSS-10 score based on individual use of exercise as a stress management tool.

Note: GPA = Grade Point Average

Tech. = technique

Men and Exercise Stress Management -

Using exercise as a stress management tool did not significantly ( p = 0.343, β = -1.662) predict the variance of total stress levels for men. The covariates did not predict the variance of stress levels for men (race/ethnicity, p = 0.998; GPA, p = 0.155; sexual orientation, p = 0.696). The model for men explained 3.2% of variance in total stress levels ( Table 4 ).

Stress management is important for all individuals but became more of a priority during the COVID-19 pandemic due to the increased stress levels college students are feeling from the pandemic ( 48 ). It is important to find ways to properly manage stress. One way that this can be done is through exercise ( 44 ). The findings from this study revealed gender differences in how using exercise as a stress management tool during the COVID-19 pandemic predicted perceived stress level variance in college students. Women who used exercise as stress management technique reported significantly lower perceived stress scores compared to their peers who did not. For men, there were no differences between perceived stress scores among those who used exercise as stress management and those who did not.

The COVID-19 pandemic created much change for all individuals throughout the world. Lockdowns and stay-at-home orders were implemented, which had negative health effects on all individuals ( 29 ), including college students ( 48 ). Adolescents participating in social distancing were shown to have a decrease in PA along with well-being ( 37 ). Even though increases of negative mental health were seen through individuals, those who participated in PA continued to show higher levels of psychological affect than those who did not participate in PA ( 33 ).

Women who used exercise as a technique to manage stress showed differences in specific items of the PSS-10. Four items were shown to have lower scores (less perceived stress) in those who used exercise as a stress management technique. These four items asked questions about ‘being nervous or stressed’, ‘being able to control irritations’, ‘felt on top of things’, and ‘not being able to overcome difficulties’ in their lives. Participating in exercise as a stress management tool may help to create a sense of control in college women’s lives, especially under extraordinary circumstances ( 24 , 42 ). There are many studies that have shown the positive effects exercise has on decreasing perceived stress ( 41 , 47 ), but the findings from the current study fill the gaps in reference to college students during the COVID-19 pandemic.

Gender differences in perceived stress and exercise is an important realm to study. As this study suggests, men and women’s participation in exercise as a stress management tool predicted perceived stress in different ways. We believe that this difference may be due to the physiological/biological effects PA has on men and women, which has been shown in previous studies ( 1 ). In the realm of public health and PA interventions, different strategies may be needed to engage different genders. Classes may be promoted specifically engaging women, while other types of stress management techniques may be important to look into for men.

Although the current study did not have a large enough sample size to examine racial/ethnic differences, we know there are disparities in health outcomes and it is important to understand the role PA plays in diverse populations ( 28 , 51 ). The increases in perceived stress level with underrepresented populations may contribute to negative mental health consequences ( 18 , 39 ), physical health consequences ( 49 ), and even death by suicide ( 23 ). University officials should focus on increasing education and funding towards initiatives and programs that attempt to treat or prevent negative health effects in these populations.

This study has several limitations. The PSS-10, although reliable and validated, are self-reported and participants may have inaccurate recall. Furthermore, a student population from a large north-eastern university does not allow for generalizability to all college-aged individuals in the US, or in other countries. The convenience sampling method is also a limitation of this study. Weekly minutes of PA (VPA, MPA or ST) was not added to any regression model due to multicollinearity, after formative analyses revealed significant ( p < 0.01) correlations between weekly PA minutes and stating individuals used exercise as a stress management tool. This limited the models, and future research should attempt to understand the role intention of exercise for stress, as well as actual PA participation plays on predicting perceived stress levels.

In the current study, underrepresented populations contributed to a much smaller proportion of the sample, making it difficult to generalize the study to the US college populations. Future research in this area should focus on understanding diverse population differences in stress and PA throughout the COVID-19 pandemic (i.e. gender, sexual orientation, race/ethnicity, religion, etc.). Future studies should also attempt to look into differences between intention of exercise versus actual amounts of exercise/PA in order to understand gender differences in perceived stress. Understanding the differences based on these demographics and how specific stress management tools work for certain populations will give public health and university officials an initial understanding of what types of programs will work for specifically targeted populations under these special circumstances.

It is also important that researchers develop an understanding for exercise’s potential in affecting perceived stress. Future research into college student behavior during the COVID-19 pandemic should also look into different forms, intensity, and duration of PA in order to gain an understanding for what type of exercise is most important in stress management.

The findings of the study suggest that women using exercise as a stress management tool have lower perceived stress scores than those who do not use exercise as a stress management tool. In their male counterparts, there were no significant difference in perceived stress levels between men using exercise as a stress management tool or not. These results should encourage universities and college administrators to advocate for more ways to lower perceived stress scores through exercise classes, exercise promotion, and/or other means to get people active. These efforts should be offered to all college students, with an emphasis and focus on women.

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Stress and Well-Being: A Systematic Case Study of Adolescents’ Experiences in a Mindfulness-Based Program

• Original Paper
• Published: 28 November 2020
• Volume 30 , pages 431–446, ( 2021 )

Cite this article

• Deborah L. Schussler   ORCID: orcid.org/0000-0001-5970-4326 1 ,
• Yoonkyung Oh 2 ,
• Julia Mahfouz 3 ,
• Joseph Levitan 4 ,
• Jennifer L. Frank 1 ,
• Patricia C. Broderick 1 ,
• Joy L. Mitra 1 ,
• Elaine Berrena 1 ,
• Kimberly Kohler 1 &
• Mark T. Greenberg 1  

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Research on mindfulness-based programs (MBPs) for adolescents suggests improvements in stress, emotion regulation, and ability to perform some cognitive tasks. However, there is little research examining the contextual factors impacting why specific students experience particular changes and the process by which these changes occur. Responding to the NIH call for “n-of-1 studies” that examine how individuals respond to interventions, we conducted a systematic case study, following an intervention trial (Learning to BREATHE), to investigate how individual students experienced an MBP. Specifically, we examined how students’ participation impacted their perceived stress and well-being and why students chose to implement practices in their daily lives. Students in health classes at two diverse high schools completed quantitative self-report measures (pre-, post-, follow-up), qualitative interviews, and open-ended survey questions. We analyzed self-report data to examine whether and to what extent student performance on measures of psychological functioning, stress, attention, and well-being changed before and after participation in an MBP. We analyzed qualitative data to investigate contextual information about why those changes may have occurred and why individuals chose to adopt or disregard mindfulness practices outside the classroom. Results suggest that, particularly for high-risk adolescents and those who integrated program practices into their daily lives, the intervention impacted internalizing symptoms, stress management, mindfulness, and emotion regulation. Mindful breathing was found to be a feasible practice easily incorporated into school routines. Contextual factors impacted practice uptake and program outcomes. Implications for practitioners aiming to help high school students manage stress are discussed.

Systematic case study provides nuanced data about how individuals respond to a mindfulness-based program (MBP).

High-risk adolescents received the most benefit from MBP participation.

Students who practiced were more likely to experience change across outcomes.

The MBP most impacted the way students responded to stress.

Mindful breathing may be the most accessible practice for students.

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Author Contributions

All authors contributed to the study conception and design. Qualitative data collection and analysis were performed by D.L.S., J.M., and J.L. Quantitative analysis was performed by Y.O., while J.L.M., E.B., and K.K. led the quantitative data collection. The first draft of the manuscript was written by D.L.S. and Y.O., and all authors commented on previous versions of the manuscript. All authors read and approved the final manuscript.

The project described was supported by Award Number R305A140113 from the Institute of Education Sciences (IES). The content is solely the responsibility of the authors and does not necessarily represent the official views of the Institute of Education Sciences or the U.S. Department of Education.

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Schussler, D.L., Oh, Y., Mahfouz, J. et al. Stress and Well-Being: A Systematic Case Study of Adolescents’ Experiences in a Mindfulness-Based Program. J Child Fam Stud 30 , 431–446 (2021). https://doi.org/10.1007/s10826-020-01864-5

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Understanding stress management intervention success: A case study-based analysis of what works and why

--> Boulos, Marina Wasfy Aziz (2019) Understanding stress management intervention success: A case study-based analysis of what works and why. PhD thesis, University of Leeds.

This thesis investigates the process behind stress management interventions (SMIs). This includes the design, implementation and evaluation of interventions (both formative and summative), along with exploring the roles of involved stakeholders. Although there exists a plethora of studies around work-related stress across several disciplines, they are predominantly focused on the effects of stress on individuals, organisations and society, highlighting the various costs which are associated with it. However, studies on SMIs are less common, particularly ones with detailed accounts of the SMI process. As a result, this hinders our understanding of which SMIs work for whom in what context (Biron, 2012), making it difficult for forthcoming studies to benefit from the results. A multiple case study research, of a higher education institute (Russell University) and an Arm’s Length (ALMO) housing association (Bravo City Homes), was conducted to address what the literature has neglected. Specifically, it examined the various steps of the SMI process, highlighting the key roles of the involved stakeholders, while contrasting the effects that context had across two different sectors. This was done through forty semi-structured interviews with relevant stakeholders from both organisations to gain retrospective insight into the SMI processes, understand their role and what they perceived it to be, and to evaluate what helped and hindered the success of SMIs. It was found that giving each step of the research process sufficient attention from each of the relevant stakeholders was key. The lack of communication around who the relevant stakeholders were significantly hindered the interventions. Managers, in particular, were found to be crucial to SMI success by supporting the interventions and enhancing communication. Other stakeholders whose roles were found to be vital were Human Resources and trade unions, which have also been neglected in the literature.

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Revealing the Hidden Consequences: Real-life Case Studies in Stress and Anxiety

In today's fast-paced world, stress and anxiety are part and parcel of everyday life. While they are natural reactions to challenging circumstances, persistent, poorly managed stress can result in serious health outcomes. The stress behind the development of these illnesses is often not seen or well-treated since it is invisible and doesn't show up on x-rays or lab tests.

Case Study 1: The Physical Toll of Chronic Stress and Anxiety

John, a middle-aged executive, experienced chronic stress due to work and family pressure, leading to a range of health issues. Having never learned good stress management skills, John overate, drank too much coffee in the daytime and alcohol in the evening, and made no time for exercise or relaxation in his overbusy days. 

He didn’t complain or even recognize how stressed he was since all his colleagues and friends seemed to be dealing with the same issues.  He didn't recognize the signs of stress but over a few years accumulated a number of medical diagnoses and medications to go with them.

• Eating on the run and too much coffee and alcohol gave him chronic heartburn, diagnosed as “GERD” (GastroEsophageal Reflux Disease) and treated with omeprazole and antacids
• John developed high blood pressure and high cholesterol, putting him at high risk for heart disease and stroke, so was given blood pressure medications and statin medication
• His increasingly poor sleep was treated with Trazodone, a medication that knocked him out but left him feeling groggy and starting his day with 2 or 3 large cups of coffee
• As he became increasingly exhausted and using more alcohol, he got crankier and more irritable, early signs of depression in men. His doctor started him on an antidepressant which helped his mood, but didn't help him change his lifestyle which was at the root of all these “diagnoses.”

Case Study 2: Mental and Emotional Consequences

Susan, a school teacher, faced constant anxiety due to high workload and financial problems. This prolonged exposure to unmanaged stress and anxiety led to:

• Emotional Burnout: Over time, Susan experienced emotional exhaustion leading to feelings of detachment, a condition often referred to as burnout.
• Cognitive Difficulties: Chronic stress and burnout affected her ability to concentrate, plan, and make good decisions.
• Depression: Eventually, persistent stress and anxiety triggered the onset of depression in Susan

Case Study 3: The Social Impact

Emma, a college student suffering from chronic stress, worry, and anxiety, exhibited changes in her social behavior:

• Isolation: She started withdrawing from her friends and social activities, leading to feelings of loneliness and even more stress.
• Conflict: Her stress made her irritable, leading to increased conflict in her personal relationships, worsening her isolation and loneliness.

Identifying these signs of too much stress is the first step towards recovery. None of these people had an illness or disease – they were overstressed and didn't have the tools or support to help them manage it.  There are many techniques and tools that can help to keep stress and anxiety at manageable levels:

• Mindfulness and Meditation: Techniques like these helped John stay focused on the present moment, reducing his stress levels.
• Physical Activity: Regular exercise assisted Susan in reducing her stress. It served as a natural mood enhancer and distracted her from constant worry.
• Balanced Diet: Emma found that a healthy diet helped combat her stress. Certain foods even assisted in reducing stress, such as those rich in omega-3 fatty acids and vitamin C.
• Guided Imagery: Upon recognizing the detrimental effects of stress and anxiety on their daily lives, John, Susan, and Emma decided to learn how to reduce stress and manage it better when it couldn’t be avoided.  Either on their own or with the urging of a therapist, they discovered relaxation and guided imagery. The skills and practices they learned became a keystone of their healthy lifestyle, playing a significant role in alleviating their stress and anxiety and guiding them towards recovery.

Recognizing the signs of excessive stress and anxiety is the first step towards effectively managing them. Learning good elf-care stress and anxiety reduction skills is the second step. If you’re too overwhelmed or mired down in the stress, professional help you dig out of it. Remember, seeking help and making strides towards a healthier life is absolutely okay. Living a life free from the burden of constant worry is your right. The journey to that life begins now.

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Practice of stress management behaviors and associated factors among undergraduate students of Mekelle University, Ethiopia: a cross-sectional study

• Gebrezabher Niguse Hailu 1  

BMC Psychiatry volume  20 , Article number:  162 ( 2020 ) Cite this article

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Stress is one of the top five threats to academic performance among college students globally. Consequently, students decrease in academic performance, learning ability and retention. However, no study has assessed the practice of stress management behaviors and associated factors among college students in Ethiopia. So the purpose of this study was to assess the practice of stress management behaviors and associated factors among undergraduate university students at Mekelle University, Tigray, Ethiopia, 2019.

A cross-sectional study was conducted on 633 study participants at Mekelle University from November 2018 to July 2019. Bivariate analysis was used to determine the association between the independent variable and the outcome variable at p  < 0.25 significance level. Significant variables were selected for multivariate analysis.

The study found that the practice of stress management behaviors among undergraduate Mekelle university students was found as 367(58%) poor and 266(42%) good. The study also indicated that sex, year of education, monthly income, self-efficacy status, and social support status were significant predictors of stress management behaviors of college students.

This study found that the majority of the students had poor practice of stress management behaviors.

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Stress is the physical and emotional adaptive response to an external situation that results in physical, psychological and behavioral deviations [ 1 ]. Stress can be roughly subdivided into the effects and mechanisms of chronic and acute stress [ 2 ]. Chronic psychological stress in early life and adulthood has been demonstrated to result in maladaptive changes in both the HPA-axis and the sympathetic nervous system. Acute and time-limited stressors seem to result in adaptive redistribution of all major leukocyte subpopulations [ 2 ].

Stress management behaviors are defined as behaviors people often use in the face of stress /or trauma to help manage painful or difficult emotions [ 3 ]. Stress management behaviors include sleeping 6–8 h each night, Make an effort to monitor emotional changes, Use adequate responses to unreasonable issues, Make schedules and set priorities, Make an effort to determine the source of each stress that occurs, Make an effort to spend time daily for muscle relaxation, Concentrate on pleasant thoughts at bedtime, Feel content and peace with yourself [ 4 ]. Practicing those behaviors are very important in helping people adjust to stressful events while helping them maintain their emotional wellbeing [ 3 ].

University students are a special group of people that are enduring a critical transitory period in which they are going from adolescence to adulthood and can be one of the most stressful times in a person’s life [ 5 ]. According to the American College Health Association’s National College Health Assessment, stress is one of the top five threats to academic performance among college students [ 6 ]. For instance, stress is a serious problem in college student populations across the United States [ 7 ].

I have searched literatures regarding stress among college students worldwide. For instance, among Malaysian university students, stress was observed among 36% of the respondents [ 8 ]. Another study reported that 43% of Hong Kong students were suffered from academic stress [ 9 ]. In western countries and other Middle Eastern countries, including 70% in Jordan [ 10 ], 83.9% in Australia [ 11 ]. Furthermore, based on a large nationally representative study the prevalence of stress among college students in Ethiopia was 40.9% [ 12 ].

Several studies have shown that socio-demographic characteristics and psychosocial factors like social support, health value and perceived self-efficacy were known to predict stress management behaviors [ 13 , 14 , 15 , 16 , 17 ].

Although the prevalence of stress among college students is studied in many countries including Ethiopia, the practice of stress management behaviors which is very important in promoting the health of college students is not studied in Ethiopia. Therefore this study aimed to assess the practice of stress management behaviors and associated factors among undergraduate students at Mekelle University.

The study was conducted at Mekelle university colleges from November 2018 to July 2019 in Mekelle city, Tigray, Ethiopia. Mekelle University is a higher education and training public institution located in Mekelle city, Tigray at a distance of 783 Kilometers from the Ethiopian capital ( http://www.mu.edu.et/ ).

A cross-sectional study was conducted on 633 study participants. Students who were ill (unable to attend class due to illness), infield work and withdrawal were not included in the study.

The actual sample size (n) was computed by single population proportion formula [n = [(Za/2)2*P (1 − P)]/d2] by assuming 95% confidence level of Za/2 = 1.96, margin of error 5%, proportion (p) of 50% and the final sample size was estimated to be 633. A 1.5 design effect was used by considering the multistage sampling technique and assuming that there was no as such big variations among the students included in the study.

Multi-stage random sampling was used. Three colleges (College of health science, college of business and Economics and College of Natural and Computational Science) were selected from a total of the seven Colleges from Mekelle University using a simple random sampling technique in which proportional sample allocation was considered from each college.

Data were collected using a self-administered questionnaire by trained research assistants at the classes.

The questionnaire has three sections. The first section contained questions on demographic characteristics of the study participants. The second section contained questions to assess the practice of stress management of the students. The tool to assess the practice of stress management behaviors for college students was developed by Walker, Sechrist, and Pender [ 4 ]. The third section consisted of questions for factors associated with stress management of the students divided into four sub-domains, including health value used to assess the value participants place on their health [ 18 ]. The second subdomain is self-efficacy designed to assess optimistic self-beliefs to cope with a variety of difficult demands in life [ 19 ] and was adapted by Yesilay et al. [ 20 ]. The third subdomain is perceived social support measures three sources of support: family, friends, and significant others [ 21 ] and was adapted by Eker et al. [ 22 ]. The fourth subscale is perceived stress measures respondents’ evaluation of the stressfulness of situations in the past month of their lives [ 23 ] and was adapted by Örücü and Demir [ 24 ].

The entered data were edited, checked visually for its completeness and the response was coded and entered by Epi-data manager version 4.2 for windows and exported to SPSS version 21.0 for statistical analysis.

Bivariate analysis was used to determine the association between the independent variable and the outcome variable. Variables that were significant at p  < 0.25 with the outcome variable were selected for multivariable analysis. And odds ratio with 95% confidence level was computed and p -value <= 0.05 was described as a significant association.

Operational definition

Good stress management behavior:.

Students score above or equal to the mean score.

Poor stress management behavior:

Students score below the mean score [ 4 ].

Seciodemographic characteristics

Among the total 633 study participants, 389(61.5%) were males, of those 204(32.2%) had poor stress management behavior. The Median age of the respondents was 20.00 (IQR = ±3). More ever, this result showed that 320(50.6%) of the students came from rural areas, 215(34%) of them had poor stress management behavior.

The result revealed that 363(57.35%) of the study participants were 2nd and 3rd year students, of them 195 (30.8%) had poor stress management.

This result indicated that 502 (79.3%) of the participants were in the monthly support category of > = 300 ETB with a median income of 300.00 ETB (IQR = ±500), from those, 273(43.1%) students had poor stress management behavior (Table  1 ).

Status of practice of stress management behaviors of under graduate students at Mekelle University, Ethiopia

Psychosocial factors

This result indicated that 352 (55.6%) of the students had a high health value status of them 215 (34%) had good stress management behavior. It also showed that 162 (25.6%) of the students had poor perceived self-efficacy, from those 31(4.9%) had a good practice of stress management behavior. Moreover, the result showed that 432(68.2%) of the study participants had poor social support status of them 116(18.3%) had a good practice of stress management behavior (Table  1 ).

Practice of stress management behaviors

The result showed that the majority (49.8%) of the students were sometimes made an effort to spend time daily for muscle relaxation. Whereas only 28(4.4%) students were routinely concentrated on pleasant thoughts at bedtime.

According to this result, only 169(26.7%) of the students were often made an effort to determine the source of stress that occurs. It also revealed that the majority (40.1%) of the students were never made an effort to monitor their emotional changes. Similarly, the result indicated that the majority (42.5%) of the students were never made schedules and set priorities.

The result revealed that only 68(10.7%) of the students routinely slept 6–8 h each night. More ever, the result showed that the majority (34.4%) of the students were sometimes used adequate responses to unreasonable issues (Table  2 ).

Status of the practice of stress management behaviors

The result revealed that the practice of stress management behaviors among regular undergraduate Mekelle university students was found as 367(58%) poor and 266(42%) good. (Fig  1 )

Factors associated with stress management behaviors

In the bivariate analysis sex, college, year of education, student’s monthly income’, perceived-self efficacy, perceived social support and perceived stress were significantly associated with stress management behavior at p < =0.25. Whereas in the multivariate analysis sex, year of education, student’s monthly income’, perceived-self efficacy and perceived social support were significantly associated with stress management behavior at p < =0.05.

Male students were 3.244 times more likely to have good practice stress management behaviors than female students (AOR: 3.244, CI: [1.934–5.439]). Students who were in the age category of less than 20 years were 70% less to have a good practice of stress management behaviors than students with the age of greater or equal to 20 year (AOR: 0.300, CI:[0.146–0.618]).

Students who had monthly income less than300 ETB were 64.4% less to have a good practice of stress management behaviors than students with monthly income greater or equal to 300 ETB (AOR: 0.356, CI:[0.187–0.678]).

Students who had poor self- efficacy status were 70.3% less to have a good practice of stress management behaviors than students with good self-efficacy status (AOR: 0.297, CI:[0.159–0.554]). Students who had poor social support were 70.5% less to have a good practice of stress management behaviors than students with good social support status (AOR: 0.295[0.155–0.560]) (Table  3 ).

The present study showed that the practice of stress management behaviors among regular undergraduate students was 367(58%) poor and 266(42%) good. The study indicated that sex, year of education, student’s monthly income, social support status, and perceived-self efficacy status were significant predictors of stress management behaviors of students.

The current study revealed that male students were more likely to have good practice of stress management behaviors than female students. This finding is contradictory with previous studies conducted in the USA [ 13 , 25 ], where female students were showed better practice of stress management behaviors than male students. This difference might be due to socioeconomic and measurement tool differences.

The current study indicated that students with monthly income less than 300 ETB were less likely to have good practice of stress management behaviors than students with monthly income greater than or equal to 300 ETB. This is congruent with the recently published book which argues a better understanding of our relationship with money (income). The book said “the people with more money are, on average, happier than the people with less money. They have less to worry about because they are not worried about where they are going to get food or money for their accommodation or whatever the following week, and this has a positive effect on their health” [ 26 ].

The present study found that first-year students were less likely to have good practice of stress management behaviors than senior students. This finding is similar to previous findings from Japan [ 27 ], China [ 28 ] and Ghana [ 29 ]. This might be because freshman students may encounter a multitude of stressors, some of which they may have dealt with in high school and others that may be a new experience for them. With so many new experiences, responsibilities, social settings, and demands on their time. As a first-time, incoming college freshman, experiencing life as an adult and acclimating to the numerous and varied types of demands placed on them can be a truly overwhelming experience. It can also lead to unhealthy amounts of stress. A report by the Anxiety and Depression Association of America found that 80% of freshman students frequently or sometimes experience daily stress [ 30 ].

The current study showed that students with poor self-efficacy status were less likely to have good practice of stress management behaviors. This is congruent with the previous study that has demonstrated quite convincingly that possessing high levels of self-efficacy acts to decrease people’s potential for experiencing negative stress feelings by increasing their sense of being in control of the situations they encounter [ 14 ]. More ever this study found that students with poor social support were less likely to have a good practice of stress management behaviors. This finding is similar to previous studies that found good social support, whether from a trusted group or valued individual, has shown to reduce the psychological and physiological consequences of stress, and may enhance immune function [ 15 , 16 , 17 ].

Ethics approval and consent to participate

Ethical clearance and approval obtained from the institutional review board of Mekelle University. Moreover, before conducting the study, the purpose and objective of the study were described to the study participants and written informed consent was obtained. The study participants were informed as they have full right to discontinue during the interview. Subject confidentiality and any special data security requirements were maintained and assured by not exposing the patient’s name and information.

Limitation of the study

There is limited literature regarding stress management behaviors and associated factors. There is no similar study done in Ethiopia previously. More ever, using a self-administered questionnaire, the respondents might not pay full attention to it/read it properly.

This study found that the majority of the students had poor practice of stress management behaviors. The study also found that sex, year of education, student’s monthly income, social support status, and perceived-self efficacy status were significant predictors of stress management behaviors of the students.

Availability of data and materials

The datasets used during the current study is available from the corresponding author on reasonable request.

Abbreviations

Adjusted Odd Ratio

College of Business& Economics

College of health sciences

Confidence interval

College of natural and computational sciences

Crud odds ratio

Ethiopian birr

Master of Sciences

United States of America

United kingdom

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Hailu, G.N. Practice of stress management behaviors and associated factors among undergraduate students of Mekelle University, Ethiopia: a cross-sectional study. BMC Psychiatry 20 , 162 (2020). https://doi.org/10.1186/s12888-020-02574-4

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Stress: A Case Study

Read the story of a women who thought she was having a heart attack, but was instead diagnosed with panic disorder, panic attacks.

Although on the surface everything seemed fine, she felt that, "the wheels on my tricycle are about to fall off. I'm a mess." Over the past several months she had attacks of shortness of breath, heart palpitations, chest pains, dizziness, and tingling sensations in her fingers and toes. Filled with a sense of impending doom, she would become anxious to the point of panic. Every day she awoke with a dreaded feeling that an attack might strike without reason or warning.

On two occasions, she rushed to a nearby hospital emergency room fearing she was having a heart attack. The first episode followed an argument with her boyfriend about the future of their relationship. After studying her electrocardiogram, the emergency room doctor told her she was "just hyperventilating" and showed her how to breathe into a paper bag to handle the situation in the future. She felt foolish and went home embarrassed, angry and confused. She remained convinced that she had almost had a heart attack.

Her next severe attack occurred after a fight at work with her boss over a new marketing campaign. This time she insisted that she be hospitalized overnight for extensive diagnostic tests and that her internist be consulted. The results were the same--no heart attack. Her internist prescribed a tranquilizer to calm her down.

Convinced now that her own doctor was wrong, she sought the advice of a cardiologist, who conducted another battery of tests, again with no physical findings. The doctor concluded that stress was the primary cause of the panic attacks and "heart attack" symptoms. The doctor referred her to psychologist specializing in stress.

During her first visit, professionals administered stress tests and explained how stress could cause her physical symptoms. At her next visit, utilizing the tests results, they described to her the sources and nature of her health problems. The tests revealed that she was highly susceptible to stress, that she was enduring enormous stress from her family, her personal life, and her job, and that she was experiencing a number of stress-related symptoms in her emotional, sympathetic nervous, muscular and endocrine systems. She wasn't sleeping or eating well, didn't exercise, abused caffeine and alcohol, and lived on the edge financially.

The stress testing crystallized how susceptible she was to stress, what was causing her stress, and how stress was expressing itself in her "heart attack" and other symptoms. This newly found knowledge eliminated a lot of her confusion and separated her concerns into simpler, more manageable problems.

She realized that she was feeling tremendous pressure from her boyfriend, as well as her mother to settle down and get married; yet, she didn't feel ready. At the same time, work was overwhelming her as a new marketing campaign began. Any serious emotional incident--a quarrel with her boyfriend or her boss--sent her over the edge. Her body's response was hyperventilation, palpitations, chest pain, dizziness, anxiety, and a dreadful sense of doom. Stress, in short, was destroying her life.

Adapted from The Stress Solution by Lyle H. Miller, Ph.D., and Alma Dell Smith, Ph.D.

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APA Reference Staff, H. (2007, February 18). Stress: A Case Study, HealthyPlace. Retrieved on 2024, June 4 from https://www.healthyplace.com/anxiety-panic/articles/stress-a-case-study

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Stress and Health

Stress is a common problem in most societies. There are three main types of stress that may occur in our everyday lives: acute (a brief event such as a heated argument or getting stuck in a traffic jam), acute episodic (frequent acute events such as work deadlines), and chronic stress (persistent events like unemployment from a job loss, physical or mental abuse, substance abuse, or family conflict). Many of us may experience a combination of these three types.

Our bodies react to all types of stress via the same mechanism, which occurs regardless if the stress arises from a real or perceived event. Both acute and chronic stressors cause the “fight-or-flight” response. Hormones are released that instigate several actions within seconds: pumping blood and oxygen quickly to our cells, quickening the heart rate, and increasing mental alertness. In prehistoric times, this rapid response was needed to quickly escape a dangerous situation or fight off a predator. However all types of stress can trigger this response, as described in more detail below:

• A very small region at the base of the brain, called the hypothalamus, sets off the reaction and communicates with the body through the autonomic nervous system (ANS). This system regulates involuntary responses like blood pressure, heart rate, breathing, and digestion. The ANS signals nerves and the hormone corticotropin to alert the adrenal glands, located on the top of each kidney, to release a hormone called adrenaline into the blood. [1]
• Adrenaline (also known as epinephrine) quickens the heart rate and increases blood pressure so more blood circulates to the muscles and heart to support a boost of energy. More oxygen in the blood is available to the heart, lungs, and brain to accommodate faster breathing and heightened alertness. Even one’s vision and hearing may become sharpened.
• If stress continues, the adrenal glands release another hormone called cortisol, which stimulates the release of glucose into the blood and increases the brain’s use of glucose for energy. It also turns off certain systems in the body to allow the body to focus on the stress response. These systems include digestion, reproduction, and growth.
• These hormones do not return to normal levels until the stress passes. If the stress does not pass, the nervous system continues to trigger physical reactions that can eventually lead to inflammation and damage to cells.

With acute stress, the event is brief and hormone levels will gradually return to normal. Acute episodic and chronic stress repeatedly trigger the fight-or-flight response causing a persistent elevation of hormones, leading to a risk of health problems: [2]

• Digestive issues (heartburn, flatulence, diarrhea, constipation)
• Weight gain
• Elevated blood pressure
• Chest pain, heart disease
• Immune system problems
• Skin conditions
• Muscular pain (headaches, back pain, neck pain)
• Sleep disruption, insomnia
• Infertility
• Anxiety, depression

How Chronic Stress Affects Eating Patterns

Chronic stress can affect the body’s use of calories and nutrients in various ways. It raises the body’s metabolic needs and increases the use and excretion of many nutrients. If one does not eat a nutritious diet, a deficiency may occur. [2] Stress also creates a chain reaction of behaviors that can negatively affect eating habits, leading to other health problems down the road.

• People feeling stress may lack the time or motivation to prepare nutritious, balanced meals, or may skip or forget to eat meals.
• Stress can disrupt sleep by causing lighter sleep or more frequent awakenings, which leads to fatigue during the day. [4] In order to cope with daytime fatigue, people may use stimulants to increase energy such as with caffeine or high-calorie snack foods. The reverse may also be true that poor-quality sleep is itself a stressor. Studies have found that sleep restriction causes a significant increase in cortisol levels. [4]
• During acute stress, the hormone adrenaline suppresses the appetite. [5] But with chronic stress, elevated levels of cortisol may cause cravings, particularly for foods high in sugar, fat, and calories, which may then lead to weight gain. [5,6]
• Cortisol favors the accumulation of fat in the belly area, also called central adiposity, which is associated with insulin resistance and an increased risk of type 2 diabetes , cardiovascular disease , and certain breast cancers. [5,7-9] It also lowers levels of the hormone leptin (that promotes satiety) while increasing the hormone ghrelin (that increases appetite). [3]

Tips to Help Control Stress

• Mindful eating. When we “stress-eat,” we eat quickly without noticing what or how much we’re eating, which can lead to weight gain. Mindful eating practices counteract stress by encouraging deep breaths, making thoughtful food choices, focusing attention on the meal, and chewing food slowly and thoroughly. This increases enjoyment of the meal and improves digestion. Mindful eating can also help us realize when we are eating not because of physiological hunger but because of psychological turbulence, which may lead us to eat more as a coping mechanism.

• Research has also found that meditation training may lengthen or prevent the shortening of protein structures called telomeres. [11] Telomeres generally shrink in length with age and in those experiencing chronic stress; this can lead to the death of cells and inflammation, which is associated with an increased risk of age-related dementia and cardiovascular disease. Meditation practice has been associated in some studies with greater telomere activity and length in response to a reduction in anxiety, chronic stress, and cortisol levels.
• Mental health counseling or other social support. Feeling alone can add to stress. It can help to talk through feelings and concerns with a trusted individual. Often, just realizing that you are not alone and that your feelings are not unusual can help lower stress.
• Practicing work-life balance. Use vacation and personal time, or just set aside an hour a day. A periodic escape from the pressures of work can do wonders to reduce stress, increase productivity, and decrease the risk of physical and mental illnesses that are associated with workplace burnout.

• Good sleep hygiene. Stress can cause a heightened sense of alertness, which delays the onset of sleep as well as cause interrupted sleep throughout the night. This can prevent one from entering the deeper sleep stages in which the body repairs and grows tissue and supports a healthy immune system. The REM (rapid eye movement) sleep stage in particular helps with mood regulation and memory. Aim for 7-9 hours of sleep a night by slowing down about 30 minutes before bedtime. Controlling stress through the other tips listed above can also improve sleep quality.
• Waxenbaum JA, Reddy V, Varacallo M. Anatomy, Autonomic Nervous System. [Updated 2020 Apr 5]. In: StatPearls [Internet]. Treasure Island (FL): StatPearls Publishing; 2020 Jan. Available from: https://www.ncbi.nlm.nih.gov/books/NBK539845/
• Gonzalez MJ, Miranda-Massari JR. Diet and stress. Psychiatric Clinics . 2014 Dec 1;37(4):579-89.
• Sinha R. Role of addiction and stress neurobiology on food intake and obesity. Biological psychology . 2018 Jan 1;131:5-13.
• Geiker NR, Astrup A, Hjorth MF, Sjödin A, Pijls L, Markus CR. Does stress influence sleep patterns, food intake, weight gain, abdominal obesity and weight loss interventions and vice versa?. Obesity Reviews . 2018 Jan;19(1):81-97.
• Torres SJ, Nowson CA. Relationship between stress, eating behavior, and obesity. Nutrition . 2007 Nov 1;23(11-12):887-94.
• Chao AM, Jastreboff AM, White MA, Grilo CM, Sinha R. Stress, cortisol, and other appetite‐related hormones: Prospective prediction of 6‐month changes in food cravings and weight. Obesity . 2017 Apr;25(4):713-20.  *Multiple authors report funding disclosures.
• Huang T, Qi Q, Zheng Y, Ley SH, Manson JE, Hu FB, Qi L. Genetic predisposition to central obesity and risk of type 2 diabetes: two independent cohort studies. Diabetes Care . 2015 Jul 1;38(7):1306-11.
• Harris HR, Willett WC, Terry KL, Michels KB. Body fat distribution and risk of premenopausal breast cancer in the Nurses’ Health Study II. Journal of the National Cancer Institute . 2011 Feb 2;103(3):273-8.
• Dale CE, Fatemifar G, Palmer TM, White J, Prieto-Merino D, Zabaneh D, Engmann JE, Shah T, Wong A, Warren HR, McLachlan S. Causal associations of adiposity and body fat distribution with coronary heart disease, stroke subtypes, and type 2 diabetes mellitus: a Mendelian randomization analysis. Circulation . 2017 Jun 13;135(24):2373-88.
• Soltani H, Keim NL, Laugero KD. Diet Quality for Sodium and Vegetables Mediate Effects of Whole Food Diets on 8-Week Changes in Stress Load. Nutrients . 2018 Nov;10(11):1606.
• Conklin QA, Crosswell AD, Saron CD, Epel ES. Meditation, stress processes, and telomere biology. Current opinion in psychology . 2019 Aug 1;28:92-101.

Last reviewed October 2021

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Case Study Research Method in Psychology

Saul Mcleod, PhD

Editor-in-Chief for Simply Psychology

BSc (Hons) Psychology, MRes, PhD, University of Manchester

Saul Mcleod, PhD., is a qualified psychology teacher with over 18 years of experience in further and higher education. He has been published in peer-reviewed journals, including the Journal of Clinical Psychology.

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Case studies are in-depth investigations of a person, group, event, or community. Typically, data is gathered from various sources using several methods (e.g., observations & interviews).

The case study research method originated in clinical medicine (the case history, i.e., the patient’s personal history). In psychology, case studies are often confined to the study of a particular individual.

The information is mainly biographical and relates to events in the individual’s past (i.e., retrospective), as well as to significant events that are currently occurring in his or her everyday life.

The case study is not a research method, but researchers select methods of data collection and analysis that will generate material suitable for case studies.

Freud (1909a, 1909b) conducted very detailed investigations into the private lives of his patients in an attempt to both understand and help them overcome their illnesses.

This makes it clear that the case study is a method that should only be used by a psychologist, therapist, or psychiatrist, i.e., someone with a professional qualification.

There is an ethical issue of competence. Only someone qualified to diagnose and treat a person can conduct a formal case study relating to atypical (i.e., abnormal) behavior or atypical development.

 Famous Case Studies

• Anna O – One of the most famous case studies, documenting psychoanalyst Josef Breuer’s treatment of “Anna O” (real name Bertha Pappenheim) for hysteria in the late 1800s using early psychoanalytic theory.
• Little Hans – A child psychoanalysis case study published by Sigmund Freud in 1909 analyzing his five-year-old patient Herbert Graf’s house phobia as related to the Oedipus complex.
• Bruce/Brenda – Gender identity case of the boy (Bruce) whose botched circumcision led psychologist John Money to advise gender reassignment and raise him as a girl (Brenda) in the 1960s.
• Genie Wiley – Linguistics/psychological development case of the victim of extreme isolation abuse who was studied in 1970s California for effects of early language deprivation on acquiring speech later in life.
• Phineas Gage – One of the most famous neuropsychology case studies analyzes personality changes in railroad worker Phineas Gage after an 1848 brain injury involving a tamping iron piercing his skull.

Clinical Case Studies

• Studying the effectiveness of psychotherapy approaches with an individual patient
• Assessing and treating mental illnesses like depression, anxiety disorders, PTSD
• Neuropsychological cases investigating brain injuries or disorders

Child Psychology Case Studies

• Studying psychological development from birth through adolescence
• Cases of learning disabilities, autism spectrum disorders, ADHD
• Effects of trauma, abuse, deprivation on development

Types of Case Studies

• Explanatory case studies : Used to explore causation in order to find underlying principles. Helpful for doing qualitative analysis to explain presumed causal links.
• Exploratory case studies : Used to explore situations where an intervention being evaluated has no clear set of outcomes. It helps define questions and hypotheses for future research.
• Descriptive case studies : Describe an intervention or phenomenon and the real-life context in which it occurred. It is helpful for illustrating certain topics within an evaluation.
• Multiple-case studies : Used to explore differences between cases and replicate findings across cases. Helpful for comparing and contrasting specific cases.
• Intrinsic : Used to gain a better understanding of a particular case. Helpful for capturing the complexity of a single case.
• Collective : Used to explore a general phenomenon using multiple case studies. Helpful for jointly studying a group of cases in order to inquire into the phenomenon.

Where Do You Find Data for a Case Study?

There are several places to find data for a case study. The key is to gather data from multiple sources to get a complete picture of the case and corroborate facts or findings through triangulation of evidence. Most of this information is likely qualitative (i.e., verbal description rather than measurement), but the psychologist might also collect numerical data.

1. Primary sources

• Interviews – Interviewing key people related to the case to get their perspectives and insights. The interview is an extremely effective procedure for obtaining information about an individual, and it may be used to collect comments from the person’s friends, parents, employer, workmates, and others who have a good knowledge of the person, as well as to obtain facts from the person him or herself.
• Observations – Observing behaviors, interactions, processes, etc., related to the case as they unfold in real-time.
• Documents & Records – Reviewing private documents, diaries, public records, correspondence, meeting minutes, etc., relevant to the case.

2. Secondary sources

• News/Media – News coverage of events related to the case study.
• Academic articles – Journal articles, dissertations etc. that discuss the case.
• Government reports – Official data and records related to the case context.
• Books/films – Books, documentaries or films discussing the case.

3. Archival records

Searching historical archives, museum collections and databases to find relevant documents, visual/audio records related to the case history and context.

Public archives like newspapers, organizational records, photographic collections could all include potentially relevant pieces of information to shed light on attitudes, cultural perspectives, common practices and historical contexts related to psychology.

4. Organizational records

Organizational records offer the advantage of often having large datasets collected over time that can reveal or confirm psychological insights.

Of course, privacy and ethical concerns regarding confidential data must be navigated carefully.

However, with proper protocols, organizational records can provide invaluable context and empirical depth to qualitative case studies exploring the intersection of psychology and organizations.

• Organizational/industrial psychology research : Organizational records like employee surveys, turnover/retention data, policies, incident reports etc. may provide insight into topics like job satisfaction, workplace culture and dynamics, leadership issues, employee behaviors etc.
• Clinical psychology : Therapists/hospitals may grant access to anonymized medical records to study aspects like assessments, diagnoses, treatment plans etc. This could shed light on clinical practices.
• School psychology : Studies could utilize anonymized student records like test scores, grades, disciplinary issues, and counseling referrals to study child development, learning barriers, effectiveness of support programs, and more.

How do I Write a Case Study in Psychology?

Follow specified case study guidelines provided by a journal or your psychology tutor. General components of clinical case studies include: background, symptoms, assessments, diagnosis, treatment, and outcomes. Interpreting the information means the researcher decides what to include or leave out. A good case study should always clarify which information is the factual description and which is an inference or the researcher’s opinion.

1. Introduction

• Provide background on the case context and why it is of interest, presenting background information like demographics, relevant history, and presenting problem.
• Compare briefly to similar published cases if applicable. Clearly state the focus/importance of the case.

2. Case Presentation

• Describe the presenting problem in detail, including symptoms, duration,and impact on daily life.
• Include client demographics like age and gender, information about social relationships, and mental health history.
• Describe all physical, emotional, and/or sensory symptoms reported by the client.
• Use patient quotes to describe the initial complaint verbatim. Follow with full-sentence summaries of relevant history details gathered, including key components that led to a working diagnosis.
• Summarize clinical exam results, namely orthopedic/neurological tests, imaging, lab tests, etc. Note actual results rather than subjective conclusions. Provide images if clearly reproducible/anonymized.
• Clearly state the working diagnosis or clinical impression before transitioning to management.

3. Management and Outcome

• Indicate the total duration of care and number of treatments given over what timeframe. Use specific names/descriptions for any therapies/interventions applied.
• Present the results of the intervention,including any quantitative or qualitative data collected.
• For outcomes, utilize visual analog scales for pain, medication usage logs, etc., if possible. Include patient self-reports of improvement/worsening of symptoms. Note the reason for discharge/end of care.

4. Discussion

• Analyze the case, exploring contributing factors, limitations of the study, and connections to existing research.
• Analyze the effectiveness of the intervention,considering factors like participant adherence, limitations of the study, and potential alternative explanations for the results.
• Identify any questions raised in the case analysis and relate insights to established theories and current research if applicable. Avoid definitive claims about physiological explanations.
• Offer clinical implications, and suggest future research directions.

5. Additional Items

• Thank specific assistants for writing support only. No patient acknowledgments.
• References should directly support any key claims or quotes included.
• Use tables/figures/images only if substantially informative. Include permissions and legends/explanatory notes.
• Provides detailed (rich qualitative) information.
• Provides insight for further research.
• Permitting investigation of otherwise impractical (or unethical) situations.

Case studies allow a researcher to investigate a topic in far more detail than might be possible if they were trying to deal with a large number of research participants (nomothetic approach) with the aim of ‘averaging’.

Because of their in-depth, multi-sided approach, case studies often shed light on aspects of human thinking and behavior that would be unethical or impractical to study in other ways.

Research that only looks into the measurable aspects of human behavior is not likely to give us insights into the subjective dimension of experience, which is important to psychoanalytic and humanistic psychologists.

Case studies are often used in exploratory research. They can help us generate new ideas (that might be tested by other methods). They are an important way of illustrating theories and can help show how different aspects of a person’s life are related to each other.

The method is, therefore, important for psychologists who adopt a holistic point of view (i.e., humanistic psychologists ).

Limitations

• Lacking scientific rigor and providing little basis for generalization of results to the wider population.
• Researchers’ own subjective feelings may influence the case study (researcher bias).
• Difficult to replicate.
• Time-consuming and expensive.
• The volume of data, together with the time restrictions in place, impacted the depth of analysis that was possible within the available resources.

Because a case study deals with only one person/event/group, we can never be sure if the case study investigated is representative of the wider body of “similar” instances. This means the conclusions drawn from a particular case may not be transferable to other settings.

Because case studies are based on the analysis of qualitative (i.e., descriptive) data , a lot depends on the psychologist’s interpretation of the information she has acquired.

This means that there is a lot of scope for Anna O , and it could be that the subjective opinions of the psychologist intrude in the assessment of what the data means.

For example, Freud has been criticized for producing case studies in which the information was sometimes distorted to fit particular behavioral theories (e.g., Little Hans ).

This is also true of Money’s interpretation of the Bruce/Brenda case study (Diamond, 1997) when he ignored evidence that went against his theory.

Breuer, J., & Freud, S. (1895).  Studies on hysteria . Standard Edition 2: London.

Curtiss, S. (1981). Genie: The case of a modern wild child .

Diamond, M., & Sigmundson, K. (1997). Sex Reassignment at Birth: Long-term Review and Clinical Implications. Archives of Pediatrics & Adolescent Medicine , 151(3), 298-304

Freud, S. (1909a). Analysis of a phobia of a five year old boy. In The Pelican Freud Library (1977), Vol 8, Case Histories 1, pages 169-306

Freud, S. (1909b). Bemerkungen über einen Fall von Zwangsneurose (Der “Rattenmann”). Jb. psychoanal. psychopathol. Forsch ., I, p. 357-421; GW, VII, p. 379-463; Notes upon a case of obsessional neurosis, SE , 10: 151-318.

Harlow J. M. (1848). Passage of an iron rod through the head.  Boston Medical and Surgical Journal, 39 , 389–393.

Harlow, J. M. (1868).  Recovery from the Passage of an Iron Bar through the Head .  Publications of the Massachusetts Medical Society. 2  (3), 327-347.

Money, J., & Ehrhardt, A. A. (1972).  Man & Woman, Boy & Girl : The Differentiation and Dimorphism of Gender Identity from Conception to Maturity. Baltimore, Maryland: Johns Hopkins University Press.

Money, J., & Tucker, P. (1975). Sexual signatures: On being a man or a woman.

Further Information

• Case Study Approach
• Case Study Method
• Enhancing the Quality of Case Studies in Health Services Research
• “We do things together” A case study of “couplehood” in dementia
• Using mixed methods for evaluating an integrative approach to cancer care: a case study

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Banking on interest rates: A playbook for the new era of volatility

The recent accelerated rise in global interest rates, the fastest in decades, brought the curtain down on an extended period of cheap money but provided little clarity on the longer-term outlook. In 2024, competing forces of tepid growth, geopolitical tension, and regional conflict are creating nearly equal chances of higher-for-longer benchmark rates and rapid cuts. In the banking industry, this uncertainty presents both risks and opportunities. But in the absence of recent precedent, many institutions lack the necessary playbook to tackle the challenge.

As rates have risen from their record lows, banks have in general profited from rising net interest margins (NIMs). However, if policy makers switch swiftly into cutting mode, banks may see the opposite effect. For now, futures markets predict the start of that process toward the end of 2024. In that context, the question facing risk managers is how they can retain the benefit of higher rates while preparing for cuts and managing the potential for macroeconomic surprises.

The volatility playing out in rates markets is reflected in bank deposit trends, with customers more actively managing their cash to make the most of shifting monetary conditions. In Europe, deposits reached 63 percent of available stable funding (ASF) in 2023, compared with 57 percent in 2021. 1 Monitoring of liquidity coverage ratio and net stable funding ratio implementation in the EU , Third Report, European Banking Authority, June 15, 2023. In the US, conversely, the share of deposits over total liabilities fell over a similar period as money migrated to investments such as money market funds.

In the face of accelerating deposit flows, McKinsey research shows that bank risk management and funding performance has been highly variable. Between 2021 and 2023, the best-performing US and EU banks saw interest rate expenses rise 70 percent less than the worst-performing banks (Exhibit 1). Among the drivers were better deposit and interest rate management.

Alongside the impacts of deposit flows, funding has come under pressure from other factors, including the steady withdrawal of pandemic-related central bank liquidity facilities. Meanwhile, innovations such as instant payments have motivated customers to make faster and larger transfers. These withdrawals can happen quickly and be fueled by social media, creating a powerful new species of risk.

In the context of a more uncertain environment, regulatory authorities are doubling down on oversight of the potential impacts of rate volatility—for example, by asking banks to mitigate the potential effects of rate normalization, increasing overall scrutiny, and demanding evidence of methodology upgrades. Among European supervisory priorities for 2024–26, banks are advised to sharpen their governance and strategic frameworks to strengthen asset and liability management (ALM) and develop new funding plans and contingency measures for short-term liquidity shocks, including evaluating the adequacy of assumptions supporting some behavioral models. 2 “SSM Supervisory Priorities, 2024-2026,” in Supervisory priorities and assessment of risks and vulnerabilities , European Central Bank, 2023. In the same vein, the Basel Committee on Banking Supervision in 2023 proposed a recalibration of shocks for interest rate risk in the banking book. Banks can achieve this by extending the time series used in model calibration from the current December 2015 standard to December 2022, bringing more volatile rate distributions into the equation.

In a recent McKinsey roundtable, 40 percent of Europe, Middle East, and Africa bank treasurers said the topic that will attract most regulatory attention in the coming period is liquidity risk, followed by capital risk and interest rate risk in the banking book (IRRBB). With these risks in mind, 34 percent of treasurers said their top priorities with respect to rate risk were enhancing models and analytics, revising pricing strategies on loans and deposits, and beefing up ALM governance and monitoring capabilities.

Most participants also expected treasury teams to get more involved in strategic planning and board engagement and to engage business units more closely to define pricing strategies and product innovation (Exhibit 2).

In response to these dynamics, we expect to see many banks revisiting the role of the treasury function in the months ahead. For many, this will mean moving away from approaches designed for the low-rate era and toward those predicated on uncertainty. In this article, we discuss how forward-looking banks are redesigning their treasury functions to obtain deeper insights into probabilities around interest rates and their impacts on pricing, customer behavior, deposits, and liquidity.

Five steps to enhancing the treasury function

To manage volatile interest rates more effectively, leading banks are revisiting practices in the treasury function that evolved during the low-interest-rate period and may no longer be fit for purpose—or at least should be updated for the new environment. Pioneers have taken steps in five broad focus areas: steering and monitoring, risk measurement and capabilities, stress testing, bank funding, and hedging.

Build efficiency and sophistication

A precondition of effective oversight of interest rate business is to ensure decision makers have a clear view of the current state of play. Currently, the standard approach across the industry is somewhat passive, meaning it is based on static or seldom-reviewed pricing and risk management decisions, often taken by relationship managers. Models are fed with low-frequency data, and banks use static fund transfer pricing (FTP) to calculate net interest margins. Monitoring often reflects regulatory timelines rather than the desire to optimize decision making.

Forward-looking banks are tackling these challenges through a more hands-on approach to steering and monitoring, including the following measures:

• dynamic reviews of FTP, reflecting microsegment behaviors and pricing strategies tied to customer lifetime value and the opportunity cost of liquidity
• increased product innovation to boost funding from both corporate and retail clients
• ensuring access to high-quality, frequent, and granular data, with systems equipped to send early warning signals on potential changes in customer behaviors, especially to capture early signs of liquidity shifts
• use of risk limits and targets as active steering mechanisms, bolstered by links to incentives
• automation of reporting and monitoring, so liquidity and other events can be scaled internally much faster, backed by real-time data where possible

Upgrade IRRBB measurement and capabilities

Leading banks are getting a grip on IRRBB risk in areas such as balance sheet management, pricing, and collateral. Many have assembled dedicated teams to help them make more effective decisions. Given the threat to deposits, some are making greater use of scenario-based frameworks, bringing together liquidity and interest rate risk management. They are using real-time data to inform funding and pricing decisions.

To ensure they consider all aspects of rate risk, leading banks employ a cascade of models, feeding the outputs into steering and stress-testing frameworks, and capturing behavioral indicators that can inform balance sheet planning and hedging activities. Some banks are employing behavioral models to forecast loan acceptance rates and credit line drawings. Best practice involves using statistical grids differentiated by type of customer, product, and process phase.

When it comes to loans, some banks are leveraging advanced analytics to predict prepayments and their impacts on balance sheets and hedging requirements. Best practice in prepayments modeling is to move away from linear models and toward machine learning algorithms such as random forests to consider nonlinear relationships (for instance, between prepayments and interest rate variation) and loan features (for example, embedded options), as well as behavioral factors. We see five key steps:

• Customer segmentation . Banks can use advanced analytics to achieve granulated segmentation—for example, incorporating behavioral factors.
• Prepayment behavior . Banks can quantify constant prepayments and prepayments subject to criteria including interest rate levels, prepayment penalties, age of mortgage, and borrower characteristics. Leading banks establish a parent model and leverage customer segmentation to derive dedicated prepayment functions, taking into account customer protections such as statutory payment holidays.
• Interest rate scenarios . Banks can employ Monte Carlo simulations and other models to analyze a range of scenarios, including extreme and regulatory scenarios, and simulate potential prepayment behaviors for each scenario.
• Hedging ratios and strategy . Decision makers should evaluate the value of mortgages under different interest scenarios and derive sensitivities to economic value and P&L. They can then select hedging instruments with the aim of neutralizing scenario impacts.
• Pricing . Mortgage pricing can be adjusted based on maturity and potential prepayment behavior. Banks can use fund transfer pricing, with risks handled by a dedicated team in the treasury function.

Another important focus area is deposit decay. Many banks still prioritize moving-average approaches segmented by maturity and backed by expert judgment. A best practice would be to identify a core balance through a combined expert and statistical approach, looking at trends across customer segmentation, core balance modeling, deposit volume modeling, deposit beta and pass-through rates, and replicating portfolio/hedge strategies. This would mean leveraging advanced analytics and high-frequency data relating to transactions, to estimate each account’s non-operational liquidity, which customers may be more likely to move elsewhere (see sidebar “Case study: Deposit modeling to limit deposit erosion”). Some banks also use survival models to gauge non-linearities in deposit behaviors.

Case study: Deposit modeling to limit deposit erosion

One bank achieved an equivalent of €150 million to €200 million positive P&L impact on €30 billion of deposits by using advanced analytics techniques for repricing. The tool provided transparency on the following measures:

• the amount of liquidity at risk for each client—that is, the excess liquidity the client could potentially invest or move freely to other banks
• the churn probability for each client, or the probability the client would move the liquidity if the bank took no action, based on client sophistication, the quality and intensity of the client’s relationship with the bank, and the level of market competition
• the customer value at risk, an estimate of future revenues that would be at risk if the client moved the liquidity elsewhere (for example, including not only the opportunity cost of funding, but also revenues from related services)

Armed with this transparency, the bank was able to formulate client-specific strategies for repricing actions and product offerings (for example, investment products and transaction banking services), optimizing both its funding sources and profitability. New capabilities to support the effort included a deposits command center, producing a real-time dashboard for monitoring, including early warning triggers, sales team mobilization, and new product offering, especially for cash-rich corporate clients.

In the context of IRRBB strategy, leading banks are keeping a close eye on both deposit beta and pass-through rates (the portion of a change in the benchmark rate that is passed on to the deposit rate). They back their judgments with views on client stickiness, which they traditionally arrive at through expert judgment and market research. A more advanced approach is to derive regime-based elasticities, capturing data from historical economic cycles.

Better modeling enables more resilience: One bank’s story

A European global bank wanted to improve its forecasting in a rising-interest-rate context. Managers decided to focus more on customer behavior. They moved away from expert-judgment buffers to advanced analytics and stochastic modeling and a more focused approach to model calibration. They also updated scenario planning based on regulatory guidelines and best-in-class approaches, such as an IRRBB dynamic balance sheet methodology. Through these changes, the bank was able to estimate its duration gap (between assets and liabilities) more accurately and thereby reduce delta economic value of equity (EVE). As a result, the bank recorded a 70-basis-point uplift in return on equity, resulting from capital savings on interest rate risk and a direct P&L impact from reduced hedging.

Finally, risks need to be optimally matched with hedges. The recent trend is to use stochastic models to support hedging decisions, enabling banks to gauge non-linearities. Forward-looking banks increasingly integrate deposit, prepayment, and pipeline modeling directly into their hedging strategies. They also ensure model risk is closely monitored, with models recalibrated frequently to reduce reliance on expert input (see sidebar “Better modeling enables more resilience: One bank’s story”).

Improve stress testing

Several players are integrating interest rate risk, credit spread risk, liquidity risk, and funding concentration risk in both regulatory and internal stress tests. Indeed, the IRRBB, liquidity risk, and market risk (credit spread risk in the banking book, or CSRBB) highlight the trade-off between capital and liquidity regulations. In short, higher capital requirements may reduce the need for excessive liquidity, and vice versa, for a bank with stable funding—a situation that remains a challenge to current regulatory frameworks.

Stress testing to measure interest rate risk is also evolving, with some banks adopting reverse stress testing (see sidebar “Enhancing Basel's interest rate risk measures: Exploring the efficacy of reverse stress testing and VAR”).

Enhancing Basel’s interest rate risk measures: Exploring the efficacy of reverse stress testing and VAR

Research conducted by a group of bank risk managers suggests that the current supervisory outlier tests for interest rate risk in the banking book (IRRBB) may not adequately address all significant risk scenarios. Specifically, the scenarios outlined in the BCBS 368 guidelines for stress testing economic value of equity (EVE) and net interest income (NII) may fall short in identifying substantial IRRBB risks. This oversight could make it more difficult for banks to recognize material risks of loss, especially if they have complex or unconventional portfolios.

To identify more material risks, experts are recommending a shift in approach. Instead of focusing solely on extreme and plausible scenarios, they are advised to consider all possible scenarios and integrate reverse stress testing. This would involve simulating thousands of historical and hypothetical scenarios, covering almost the entire spectrum of possible yield curves. After computing NII and EVE, attention would be directed to the scenarios that could have most adverse impact on the bank's balance sheet.

In alignment with this proposed methodology, Australian banks will be mandated from 2025 to calculate IRRBB capital using measures of expected shortfall rather than value at risk (VAR). The change is intended to incorporate tail risk, with the new methodology utilizing data from the past seven years, coupled with a distinct one-year stress period.

In upgrading their stress-testing frameworks and interest rate strategies, banks need to balance net interest income (NII) and economic value of equity (EVE) risks that may materialize as a function of rate volatility. On NII, banks can productively apply scenario-based yield curve analysis across regulatory, market, and bank-specific variables and weigh these in the context of overall balance sheet exposures, hedges, and factors including deposits, prepayments, and committed credit lines. Additional economic risks include basis risk, option risk, and credit spread risk, which also should be measured.

Tailor planning

Bank funding plans are often generic, periodic, and spread across different frameworks and methodologies, including funding plans, capital plans, internal capital adequacy assessment processes (ICAAP), and internal liquidity adequacy assessment processes (ILAAP). They are often designed for a range of purposes and audiences and updated only when prompted by regulatory requirements. In future, banks will need dynamic, diversified, and granular funding plans—for example, tailored to products and regions. The plans should reflect flexible and contingent funding sources, central bank policies, and the trade-off between risks and costs.

Embrace dynamic hedging strategies

In the era of low rates, hedging of interest rate risk was a less prominent activity. Banks often employed simple, static, short-term, or isolated strategies, mostly aimed at protecting P&L. Few banks paid a great deal of attention to collateral management.

Now, in a more volatile rate environment, the potential for losses is much higher, suggesting banks need more sophisticated, agile, and frequent hedging to respond to shifts in interest rates, credit spreads, and customer deposit behaviors (Exhibit 3). Indeed, in 2023, the traded volume of euro-denominated interest rate derivatives increased by 3.4 times compared with 2020, according to the International Swaps and Derivatives Association. 3 “Interest rate derivatives US: Transaction data,” ISDA.

Hedging strategies are evolving to be dynamic, horizontally integrated across the organization, and wedded to risk appetite frameworks, so banks can balance P&L priorities and reductions in tail risk. On the ground, banks will likely need to recalibrate their strategies frequently, ideally leveraging a comprehensive scenario-based approach to reflect changes in the external environment. Many, for example, have already revisited hedging to reflect higher rates, but as rates fall, they will need to assess factors such as the impact of convexity on short positions. The objective of these exercises would ideally extend beyond risk mitigation to the optimization of NII (see sidebar “Replication and hedging: The upsides of NIM optimization”).

Replication and hedging: The upsides of NIM optimization

Broadly, banks may consider four approaches to replication and hedging, each of which offers benefits that will vary according to the bank’s unique asset base.

Static replication is a widely applied and robust approach that involves derivation and adjustment of cash flows from deposit volume models for deposit rate elasticity and pass through rates. The remainder of cash flows are replicated with bonds, interest rate swaps, or loans. Future deposit growth can be incorporated if desired.

Dynamic hedging of present value of net interest margin (NIM) treats the deposit portfolio like a structured product. Banks calculate the present value of NIM arising from deposits, enabling derivation of present value sensitivity to changes in interest rates. The method supports dynamic hedging and can take into account negative convexity.

Static NIM optimization provides the recommended trade-off between granularity and sophistication on the one hand and usability on the other, and it is our preferred approach. It involves design of the fixed-income portfolio to replicate deposit balance dynamics over a sample period. The analyst then selects the portfolio yielding the most stable margin, represented by minimization of margin standard deviation of the spread between the portfolio return and deposit rate. The approach enables NIM maximization, with the caveat that shorter tenors tend to be preferred in periods of low benchmark rates.

Dynamic NIM optimization permits banks to model future interest rates with NIM and investment strategy optimized for a future horizon. Again, NIM can be maximized, but the approach requires assumptions on volume growth, and the optimization horizon may not extend to the full rate cycle.

A key principle of best-in-class hedging strategy is that a proactive, forward-looking approach tends to work best and will enable banks to hedge more points on the yield curve. And with forward-looking scenario analysis, they should be able to anticipate risks more effectively. Consider the case of a bank that was exposed to falling interest rates and did not meet the regulatory threshold for outliers under the new IRRBB rules for changes in NII. Through analysis of potential client migrations to other products and a push to help clients make those transfers, combined with a new multi-billion-dollar derivative hedging strategy, the bank brought itself within the threshold.

Banks should not view hedging as a stand-alone activity but rather as integrated with risk management, backed by investment in talent and education to ensure teams choose the right hedges for the right situation. These may be traditional interest rate derivatives but equally could be options or swaptions to bring more flexibility to the hedging strategy. Advanced analytics will be table stakes to support decision making and identify risks before they materialize. A more automated approach to data analytics will likely be required. And collateral management should be a core element of hedging frameworks, with analytics employed to forecast collateral valuations and needs, optimize liquidity reserves, and mitigate margin call risk.

Next steps: Making change happen

To effectively implement change across the activities highlighted here, best practice would be to bring together modeling capabilities under a dedicated data strategy. The target state should be comprehensive capabilities, a unified and actionable scenario-based framework, and routine use of advanced analytics techniques and behavioral data for decisions around pricing and collateral. Most likely, a talent strategy also will be required to support capability building across analytics, trading, finance, pricing, and risk management.

Banks must marshal a broad range of market data to support effective modeling. The data will include all credit lines, including both on-balance sheet and off-balance sheet items, deposit lines, fixed-income assets and liabilities, capital items, and other items on the banking book. Ideally, banks would assemble 15 to 20 years of data, which would take in the previous period of rising interest rates from 2004 to 2007. Alongside these basic resources, banks need information on historic residual balances, amortization plans, optionality, currencies, indexing, counterparty information, behavioral insights, and a full set of macro data. Some cutting-edge models incorporate about 150 different features.

Armed with comprehensive data, banks can build behavioral models (for example, prepayments, deposits) to estimate parameters and infer behavioral effects in different scenarios. They can then integrate behavioral outputs into stress-testing simulations, alongside expert-based insights. Once macroeconomic data has been inputted, banks should be able to compute delta NII and EVE for three years. Visualization tools and hedging replica analysis can help teams clarify their insights and test their hedging strategies across risk factors.

Banks that have embraced the levers discussed here have set themselves on a course to more proactive and effective interest rate risk management. Through a sharper focus on high-quality data and the use of advanced analytics and scenario-based frameworks, banks have shown they can make better decisions, upgrade their hedging capabilities, optimize the cost of funding, and ensure they stay within regulatory thresholds. In short, they will be equipped to respond faster and more flexibly as interest rates enter a new era of volatility.

Andreas Bohn is a partner in McKinsey’s Frankfurt office, Sebastian Schneider is a senior partner in the Munich office, Enrique Briega is a knowledge expert in the Madrid office, and Mario Nargi is an associate partner in the Milan office.

The authors wish to thank Gonzalo Oliveira and Stefano Terra for their contributions to this article.

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