Abstract
Background:
Stress is a major risk factor for the impairment of psychological well-being. The present study aimed to evaluate the empirical evidence of the Transactional Stress Model proposed by Lazarus and Folkman in patients with psychosomatic health conditions.
Methods:
A structural equation model was applied in two separate subsamples of inpatients from the Department of Psychosomatic Medicine (total n = 2,216) for consecutive model building (sample 1, n = 1,129) and confirmatory analyses (sample 2, n = 1,087) using self-reported health status information about perceived stress, personal resources, coping mechanisms, stress response, and psychological well-being.
Results:
The initial model was created to reflect the theoretical assumptions by Lazarus and Folkman about their transactional stress concept. This model was modified until a sufficient model fit was reached (sample 1: CFI = 0.904, TLI = 0.898, RMSEA = 0.072 [0.071–0.074], SRMR = 0.061). The modified model was confirmed in a second sample (sample 2: CFI = 0.932, TLI = 0.928, RMSEA = 0.066 [0.065–0.068], SRMR = 0.052). Perceived external stressors and personal resources explained 91% of the variance of the stress response, which was closely related to symptoms of depression (63% variance explained). The attenuating effect of resources on stress response was higher (standardized β = -0.73, p < 0.001) than the impact of perceived stressors on stress response (standardized β = 0.34, p < 0.001).
Conclusion:
The empirical data largely confirmed the theoretical assumption of the Transactional Stress Model, which was first presented by Lazarus and Folkman, in patients with a wide range of psychosomatic conditions. However, data analyses were solely based on self-reported health status. Thus, proposed inner psychological mechanisms such as the appraisal process could not be included in this empirical validation. The operationalization and understanding of coping processes should be further improved.
Introduction
The impact of psychological stress on health has been widely confirmed (; ; ; ; ; ; ). Stress is a major risk factor for the development of mental disorders such as major depression (; ; ; ), representing one of the most burdensome diseases worldwide (). Yet, the pathway that connects stress exposure to a manifest disease is not well understood. It remains largely unknown why, in the face of adversity, some people turn ill whereas others remain healthy. Given the high number of stress-associated diseases (; ), a better understanding of underlying stress processes is urgently needed. In disease prevention, knowledge about different response patterns to stress are highly important for the early identification of people in need of medical care (). In addition, individualized interventions could be designed based on an improved understanding of the underlying mechanisms in stress response. Therefore, in this study, we seek to empirically confirm or reject stress pathways as suggested by a common stress model.
In the resilience literature, a huge number of protective factors were identified that enable an individual to overcome adversity without negative consequences (; ; ; ). These protective factors include sense of coherence, self-efficacy, and optimism (; ; ; ; ; ; ). Over the past years, the focus of resilience research moved away from the identification of protective factors toward the understanding of underlying resilience processes (). Hence, a closer look at the pathways between stressors, resources, coping, stress response, and mental health is required to better understand how resilience impacts coping with stressors.
One of the most popular models describing stress pathways has been proposed by Lazarus and Folkman as early as in 1987 with the first reports dating back to 1966 (; , ). Their Transactional Model provides the theoretical framework for the present study and is depicted in Figure 1 (upper model). The model emphasizes the person–environment transaction and suggests that a stress response is highly influenced by individual appraisal processes. Once confronted with stressors, the individual evaluates the relevance of the stressors (primary appraisal) and its own resources to overcome stress (secondary appraisal). Primary and secondary appraisals are believed to have an impact on the coping strategies chosen by the individual. Coping affects the immediate stress response as well as long-term health, psychological well-being, and social functioning. For simplicity, the authors depicted a linear section of the whole complex dynamic model and indicated the recursive nature of the model and the parallelism of the short- and long-term effects as footnotes to the figure ().
FIGURE 1
Later, Lazarus and his co-authors formulated a cognitive–motivational–emotional theory that refined the analysis of specific different appraisal processes leading to different emotions (
Since the authors themselves evaluated the Transactional Model and confirmed the impact of personality factors, appraisals, and coping on psychological symptoms (
Therefore, the aim of our study was to test a structural model based on the transactional stress concept by Lazarus and Folkman in a sufficiently large sample of patients with a wide range of health conditions that received inpatient treatment in a psychosomatic clinic. A sample of psychosomatic inpatients seemed to be well suited for the analysis of a stress model as many of the psychosomatic disorders can be associated with elevated stress levels or stressful life events (
Materials and Methods
Sample and Procedure
Data were collected electronically via personal digital assistants (PDAs) as part of the clinical routine assessment at the inpatient clinic of the Department of Psychosomatic Medicine at Charité – Universitätsmedizin Berlin, Germany, between December 2007 and March 2014. The psychosomatic inpatient population encompassed a wide range of health conditions including somatoform disorders, eating disorders, and chronic pain disorders as well as physical conditions associated with mental disorders, such as depression and anxiety. The initial dataset included 2,359 cases. Only those cases with complete datasets (i.e., where patients had answered all instruments) were included in the cross-sectional analyses. Cases with incomplete data on any questionnaire were excluded (n = 145) leading to a total of n = 2,216 cases included in the study. Sensitivity analyses were carried out to evaluate whether the excluded cases differed from the included cases in their clinical or demographic characteristics. As the data were assessed electronically and as patients were forced to answer each item before the assessment was continued, there were no missing items within each assessed questionnaire. The sample was randomly split into two subsamples to allow model building in the first dataset (sample 1, n = 1,129) and confirmatory analyses in the second dataset (sample 2, n = 1,087).
Instruments
In the following paragraphs, we present the items used as indicator variables for the unobserved latent variables as well as additional data assessed in this study.
Resources
The latent factor Resources was built based on items of two different instruments that capture sense of coherence, self-efficacy and optimism, considering that these constructs have been identified as important protective factors of health (
Sense of Coherence
Self-Efficacy and Optimism
Self-efficacy is a construct that captures the belief in one’s ability to deal with environmental demands (
Perceived Stressors
The latent factor Perceived Stressors was created using the five items included in the demands subscale of the Perceived Stress Questionnaire (PSQ) (
Coping
The latent factor Coping was included in the stress model to assess the mediating process between Resources, Perceived Stressors, and Stress Response as proposed by
Stress Response
The latent factor Stress Response was created by the three dimensions tension, worries, and joy of the Perceived Stress Questionnaire (PSQ,
Psychological Well-Being
Psychological well-being was proposed as the outcome in the original Transactional Model by
Sociodemographic and Clinical Data
In addition, sociodemographic data (age, gender, education etc.) were assessed. As part of the clinical routine assessment, psychosomatic patients answered the ICD-Symptom Rating (ISR) including 29 items, covering five syndrome scales (Depression, Anxiety, Obsessive-compulsive, Somatoform, Eating disorder) and a supplementary scale (
Statistical Analyses
Descriptive analyses were performed using IBM SPSS Statistics 24. T-Tests and Mann–Whitney U tests (non-parametric data) were used to compare characteristics between subsamples and in- and excluded cases. Structural equation modeling was carried out using the lavaan package (
Model Building Analyses (Sample 1, n = 1,129)
The initial model was created to closely reflect the transactional stress concept of
To account for the multidimensional structure of the latent factors Resources, Coping, and Stress Response, second-order factor models were used. Whereas the first-order factors were measured by the items of each dimension (e.g., the first-order factor Sense of Coherence was measured by the items SOC01 to SOC09), the second-order factors were measured by the first-order factors (e.g., the second-order factor Resources was measured by the first-order factors Sense of Coherence, Self-efficacy, and Optimism).
First, we evaluated the fit of the individual measurement models by estimating first-order and second-order confirmatory factor analysis models. In a second step, the whole stress model was evaluated. To avoid overfitting the model to the specific population used in this study, modification indices were used cautiously. In fact, in this study, modification indices were only used in one case to guide the decision on removing a single item from the model.
Confirmatory Analyses (Sample 2, n = 1,087)
The final structural model obtained in sample 1 was estimated in sample 2 for confirmatory analyses.
Results
Sociodemographic Characteristics
Sociodemographic data of the two subsamples are presented in Table 1. We did not find any significant differences between the subsamples. On average, 80% of the two subsamples exceeded the cut-off score for mild symptom stress, 65% exceeded the cut-off for moderate symptom stress, and 24% exceeded the cut-off for severe symptom stress according to the ICD-10 Symptom Rating (ISR) Total score. Sensitivity analysis comparing in- and excluded cases showed that excluded cases were somewhat older (79 vs. 67 years) and that fewer people within the excluded patients were working full- or part-time (see Supplementary Table 2). It has to be noted, however, that only about 6% of the initial sample were excluded, which probably does not limit the generalizability much.
TABLE 1
| Sample 1 (n = 1,129) | Sample 2 (n = 1,087) | Group difference p-value | |
| Sociodemographic characteristics | |||
| Age in years | |||
| M (SD) | 44.4 (14.8) | 44.8 (15.4) | 0.456 |
| Range | 17–86 | 17–87 | |
| Gender (% female) | 66.6 | 66.7 | 0.964 |
| Nationality (% German) | 92.6 | 91.0 | 0.179 |
| Employment status (% working) | 44.9 | 40.8 | 0.171 |
| Highest education (%) | |||
| University entrance diploma | 34.9 | 36.3 | 0.688 |
| Secondary school certificate | 44.6 | 42.4 | |
| Primary school certificate | 15.1 | 16.9 | |
| Without certificate | 3.3 | 2.4 | |
| Still in school | 0.8 | 1.3 | |
| Special needs school degree | 1.4 | 0.6 | |
| Partnership status (%) | |||
| Single | 33.4 | 34.4 | 0.496 |
| Married/with partner | 46.8 | 42.9 | |
| Divorced/separated | 17.6 | 17.9 | |
| Widowed | 2.2 | 4.8 | |
| Clinical characteristics | |||
| ISR [M (SD)/% above cut-off*] | |||
| Depression | 1.86 (1.02)/80.2 | 1.90 (1.06)/79.3 | 0.365 |
| Anxiety | 1.50 (1.14)/65.4 | 1.48 (1.13)/65.9 | 0.678 |
| Obsessive-compulsive | 1.06 (1.05)/49.8 | 1.07 (1.07)/50.9 | 0.824 |
| Somatoform | 1.28 (1.14)/57.0 | 1.25 (1.11)/56.4 | 0.531 |
| Eating disorder | 0.69 (1.01)/37.9 | 0.76 (1.09)/40.7 | 0.117 |
| ISR total score | 1.21 (0.66)/80.6 | 1.22 (0.67)/79.9 | 0.723 |
Characteristics of the two psychosomatic inpatient samples.
ISR, ICD-10-Symptom Ranking. ∗Cut-off scores for mild symptom stress are 1 for depressive, anxiety, and obsessive-compulsive syndrome scales; 0.75 for somatoform syndrome scale; 0.67 for eating disorder syndrome scale; and 0.6 for the ISR Total score.
Model Building in Sample 1 (n = 1,129)
The analyses of the measurement models resulted in acceptable model fit for all latent variables apart from Coping (Table 2). To further explore reasons for the insufficient model fit of the latent Coping factor, we estimated the measurement models of each of the four coping style factors and found—in contrast to
TABLE 2
| Measurement model | Resources (second order) | Perceived stressors | Coping (second order) | Stress response (second order) | Psychological well-being (depression) |
| CFI | 0.947 | 0.987 | 0.707 | 0.953 | 0.979 |
| TLI | 0.937 | 0.974 | 0.669 | 0.944 | 0.971 |
| RMSEA | 0.103 [0.098–0.108] | 0.127 [0.106–0.150] | 0.135 [0.131–0.138] | 0.097 [0.092–0.103] | 0.074 [0.064–0.084] |
| SRMR | 0.047 | 0.036 | 0.130 | 0.048 | 0.044 |
| Standardized factor loadings (SE) of items | 0.54 (0.04)– 0.89 (0.02) | 0.71 (0.02)– 0.87 (0.02) | 0.37 (0.07)– 0.84 (0.03) | 0.68 (0.04)– 0.86 (0.03) | 0.57 (0.03)– 0.85 (0.03) |
| Standardized factor loadings (SE) of second-order factors | 0.89 (0.03)– 0.93 (0.03) | 0.24 (0.03)– 0.92 (0.13) | 0.88 (0.04)– 0.91 (0.04) |
Comparison of model fits and factor loadings for measurement models.
CFI, Comparative Fit Index; TLI, Tucker–Lewis Index; RMSEA, root mean square error of approximation, 90% CI in square brackets; SRMR, standardized root mean square residual.
The estimation of the structural model resulted in insufficient model fit (Figure 2, upper model). In addition, negative residual variances occurred for a small number of coping items indicating that the model was not appropriate for the data (
FIGURE 2

Comparison of the two structural models. Circles: unobserved latent variables, numbers next to the arrows: standardized path coefficients, **p < 0.001, SE in parentheses. aInverted items on this factor. SOC, Sense of coherence; SEF, Self-efficacy; OPT, Optimism; EVA, Evasive coping; ACT, Active coping; SUP, Support seeking; POS, Focus on positive; WOR, Worries; TEN, Tension; CFI, Comparative Fit Index; TLI, Tucker–Lewis Index; RMSEA, root mean square error of approximation, 90% CI in square brackets; SRMR, standardized root mean square residual.
TABLE 3
| Variable 1 | Operator | Variable 2 | Modification index | Standardized expected parameter change |
| Resources | ∼∼ | Tension | 555.63 | 1.67 |
| Stressors | ∼∼ | Tension | 440.63 | 0.52 |
| Joy | =∼ | PSQ04 | 434.99 | −0.42 |
| Resources | ∼∼ | Joy | 415.01 | −1.66 |
| Stress reaction | =∼ | PSQ04 | 395.80 | −0.38 |
| Depression | =∼ | PSQ04 | 390.54 | −0.39 |
| Resources | =∼ | PSQ04 | 390.27 | 0.31 |
| Sense of coherence | =∼ | PSQ04 | 389.97 | 0.31 |
| optimism | =∼ | PSQ04 | 387.82 | 0.34 |
| Stressors | ∼∼ | Joy | 378.35 | −0.58 |
| Worries | =∼ | PSQ04 | 377.74 | −0.38 |
| Tension | =∼ | PSQ02 | 372.94 | 0.45 |
| Self−efficacy | =∼ | PSQ04 | 368.93 | 0.32 |
| Worries | =∼ | PSQ02 | 357.09 | 0.43 |
| Stress reaction | =∼ | PSQ02 | 348.22 | 0.42 |
| Sense of coherence | =∼ | PSQ02 | 335.86 | −0.33 |
| Resources | =∼ | PSQ02 | 335.85 | −0.33 |
| Tension | =∼ | PSQ16 | 330.06 | 0.42 |
| Sense of coherence | =∼ | PHQ06 | 323.30 | −0.57 |
| Resources | =∼ | PHQ06 | 323.23 | −0.57 |
| Optimism | =∼ | PSQ02 | 300.05 | −0.33 |
Modification indices (cut-off > 300).
PSQ, Perceived Stress Questionnaire; PHQ, Patient Health Questionnaire; ∼∼ residual covariance; =∼ is measured by.
FIGURE 3

Final Modified Stress Model (model 2 without item PSQ04). Rectangles: observed indicator variables. Circles: unobserved latent variables. For simplification, errors and thresholds were excluded from the figure. Numbers next to the arrows: standardized path coefficients, **p < 0.001, SE in parentheses, aInverted Items on this factor. SOC, Sense of coherence; SEF, Self-efficacy; OPT, Optimism; WOR, Worries; TEN, Tension; CFI, Comparative Fit Index; TLI, Tucker–Lewis Index; RMSEA, root mean square error of approximation, 90% CI in square brackets; SRMR, standardized root mean square residual.
Stress Response was predicted by Perceived Stressors and Resources demonstrating an explained variance of 91%. The impact of Resources on Stress Response was greater than the impact of Perceived Stressors on Stress Response. Resources also influenced Perceived Stressors. The impact of Stress Response on Depression was high which was expressed by an explained variance of 63% (Figure 3).
Confirmatory Analysis in Sample 2 (n = 1,087)
The proposed model was confirmed in the second sample of psychosomatic inpatients, yielding adequate model fit (CFI = 0.932, TLI = 0.928, RMSEA = 0.066 [0.065–0.068], SRMR = 0.052). The standardized path coefficients were very similar to the ones in the exploratory sample (Table 4). To investigate, whether we artificially overfitted the model by deleting the PSQ04 item, we estimated the initial model without this modification in sample 2. This resulted in a slightly lower, but still adequate fit (Table 4).
TABLE 4
| Structural models | Sample 1 | Sample 2 (confirmatory) | ||
| Model 2 | Model 2 without item PSQ04 | Model 2 | Model 2 without item PSQ04 | |
| CFI | 0.896 | 0.904 | 0.925 | 0.932 |
| TLI | 0.890 | 0.898 | 0.921 | 0.928 |
| RMSEA [CI] | 0.074 [0.073–0.076] | 0.072 [0.071–0.074] | 0.069 [0.067–0.070] | 0.066 [0.065–0.068] |
| SRMR | 0.064 | 0.061 | 0.056 | 0.052 |
| Standardized path coefficients | ||||
| • Resources→ Perceived Stressors | −0.46** (0.03) | −0.51** (0.03) | −0.48** (0.03) | −0.54** (0.03) |
| • Resources→ Stress Response | −0.76** (0.03) | −0.73** (0.03) | −0.77** (0.03) | −0.75** (0.03) |
| • Perceived Stressors→ Stress Response | 0.32** (0.03) | 0.34** (0.03) | 0.29** (0.02) | 0.32** (0.03) |
| • Stress Response → Depression | 0.79** (0.03) | 0.80** (0.03) | 0.86** (0.03) | 0.86** (0.03) |
| R2Perceived Stressors | 0.21 | 0.26 | 0.23 | 0.29 |
| R2Stress Response | 0.90 | 0.91 | 0.90 | 0.91 |
| R2Depression | 0.63 | 0.63 | 0.73 | 0.73 |
Comparison of model fits, standardized path coefficients, and explained variance of the final model.
**p < 0.001, SE in parantheses, R2: explained variance.
Discussion
This study largely confirmed the theoretical Transactional Model in a slightly modified version by excluding Coping in two randomly split psychosomatic subsamples. We were able to show empirically—as hypothesized by
Coping had to be excluded from the model, as the measurement models for different literature-based and exploratory factor solutions did not fit the data and led to estimation problems in the complex structural stress model. The items of the Brief COPE did not consistently load on the four different factors proposed by
This same approach (i.e., using or even developing measurement models that enable the instrument- and population-independent assessment of latent factors) could potentially improve future analyses of the Transactional Stress Model (and other similar models). Those kinds of analyses would, however, require very large sample sizes to ensure reliable assessment across different populations. Once these measures have been developed, it would probably be far easier to create complex structural models by simply combining different IRT measures such as Stressors, Stress Response, or psychological well-being. Luckily, over the past years, there have been increasing efforts to develop IRT-based measures that are easily applicable in clinical and non-clinical samples, for example by the Patient-Reported Outcomes Measurement Information System (PROMIS) initiative (
We empirically confirmed the core piece of the transactional theory, which describes that stress response is induced by a transaction between the person and the environment. This applies even though the pathways for coping and appraisal processes could not be directly analyzed given that Coping had to be excluded from the model and given that no direct measures of appraisals were included. Furthermore, it could be shown that depression is highly influenced by the individual response to stress. By modeling the different facets of the stress process, we addressed Lazarus’ claim that as stress is a complex, multivariate process, it has to be measured by a series of instruments that capture the different facets of the stress process (
Strengths and Limitations
The strengths of the present study design were that the large sample size allowed to perform consecutive model building and confirmatory analyses in two separate subsamples, and the inclusion of well-established questionnaire items as indicator variables for the latent factors. The Transactional Model from
The present study has a cross-sectional design. Therefore, hypothesized causal relations must be treated with caution. Longitudinal data are needed to further confirm the Transactional Model. Furthermore, repeated-measurement designs will give more insight into intra-individual variations of the stress process in different encounters. In this way, research could focus more on the process character of stress, as was already suggested by Lazarus as early as 1978 (
Only patients with complete datasets for all questionnaires were included in the study. Post hoc analyses revealed statistically significant differences in gender and employment status between the dropouts and completers. This could be a possible bias of the study. However, compared with the whole sample size (n = 2,216), the number of non-completers (n = 145) was low.
A cut-off > 0.9 for the model fit indices CFI and TLI is regarded as sufficient fit by some authors (
In the past, there was much debate about the potential confounding of stress perception and psychopathology, given that they both rely on self-report measures (
Nevertheless, it would be interesting to include some objective criteria in future studies to evaluate the concordance of objective criteria and the subjective construal of reality.
Conclusion
The Transactional Model could be confirmed in empirical data of psychosomatic patients, although it was slightly modified by excluding Coping from the model. The main paths hypothesized by Lazarus and Folkman were embedded in the model: Stress response is strongly predicted by individual resources and perceived stressors. The individual stress response in turn highly predicts depression.
Statements
Data availability statement
The dataset generated and analyzed for this study can be obtained from the corresponding author upon reasonable request. Requests to access these datasets should be directed to NO, nina.obbarius@charite.de.
Ethics statement
The study was reviewed and approved by the Charité’s Ethics Committee. The study was carried out in compliance with the Declaration of Helsinki. Written informed consent for participation was not required for this study in accordance with the national legislation and the institutional requirements.
Author contributions
NO and MR planned the study. NO was in charge of the data analyses and drafted the initial version of the article. FF, GL, AO, and MR supported statistical analyses and interpretation. NO and AO drafted the first version of the revised manuscript. All authors discussed each section of the article, and commented on the article, and agreed to be accountable for the content of the work.
Funding
We acknowledge support from the German Research Foundation (DFG) and the Open Access Publication Fund of Charité – Universitätsmedizin Berlin.
Conflict of interest
The authors declare that the research was conducted in the absence of any commercial or financial relationships that could be construed as a potential conflict of interest.
Supplementary material
The Supplementary Material for this article can be found online at: https://www.frontiersin.org/articles/10.3389/fpsyg.2021.584333/full#supplementary-material
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Summary
Keywords
stress, depression, Lazarus, transactional model, structural equation model
Citation
Obbarius N, Fischer F, Liegl G, Obbarius A and Rose M (2021) A Modified Version of the Transactional Stress Concept According to Lazarus and Folkman Was Confirmed in a Psychosomatic Inpatient Sample. Front. Psychol. 12:584333. doi: 10.3389/fpsyg.2021.584333
Received
17 July 2020
Accepted
29 January 2021
Published
05 March 2021
Volume
12 - 2021
Edited by
Ivan Nyklíček, Tilburg University, Netherlands
Reviewed by
Stefanie Duijndam, Tilburg University, Netherlands; Paul Lodder, Tilburg University, Netherlands
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© 2021 Obbarius, Fischer, Liegl, Obbarius and Rose.
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*Correspondence: Nina Obbarius, nina.obbarius@charite.de
This article was submitted to Health Psychology, a section of the journal Frontiers in Psychology
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