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Review

T H E CONCEPT OF CRISIS*
K A T H E R I N E EASTHAM, M.A., 1
DONALD COATES, M.D. 3
and FEDERICO ALLODI, M.D.*

Introduction latter, and both produce the same physical


'Crisis' is one of those notoriously diffi­ reactions. Lazarus (30) distinguishes be­
cult concepts which abound in the social tween two kinds of stress by using the term
sciences. Because of its wide usage the term 'threat' to refer to psychological stress. This
lacks precision and specificity; so that even implies that the individual appraises a sti­
those who work in the area of crisis inter­ mulus as potentially harmful, so that it is
vention and research are reluctant to com­ an anticipatory response involving cogni­
mit themselves to a single definition. This tion; whereas physiological stress is a res­
paper reviews the existing literature on crisis ponse to present harm. The use of the term
in an attempt to clarify the term and to is still imprecise since there is a continual
investigate its heuristic value. As we are confusion between stimulus, non-specific
primarily interested in making the concept response and rather specific response states
operational for use in the Yorklea Study, under the general rubric of 'stress reaction'.
the scope of this paper will not be as broad It must be considered whether or not it
as that of a recent review by Darbonne (9), is useful to distinguish between crisis and
to which the reader is referred for its com­ stress. A review by Howard and Scott (26)
prehensive bibliography. The reader is re­ suggests that, as applied to the individual
ferred also to the bibliography by Rochman organism, there is an exact parallel in usage.
and Hindley (42) and to a useful collection However, these authors go on to make a
of essays by Parad (35). Although the fol­ four-way classification of stressors based on
lowing discussion will be largely theoretical those which are seen as being in an external
and methodological, it is hoped that it will or internal perceptual field from the point
also be useful to those engaged in crisis of view of the observer, and those which
intervention in the evaluation and planning are symbolic or non-symbolic stresses. They
of their work. offer a problem-solving model for crisis,
assuming that a difficult problem-solving
The Relationship between Crisis and Stress situation is accompanied by a tension state
It may be illuminating to look at the in the organism, which is the stress response.
parallel development of another term which
Caplan (5) distinguishes between stress
is closely related to the concept of crisis —
and crisis temporally, since crisis is charac­
stress. Since the work of Selye, research into
terized by a short-term period, while stress
'physiological stress' has progressed con­
need not be. L . Rapoport (39) suggests that
tinuously. Physiological stress involves auto­ while stress has a pathogenic potential, crisis
matic homeostatic mechanisms activated by can be characterized by a growth-promoting
noxious stimuli, and more is now known potential.
about stressful agents in terms of time,
In spite of these attempts to distinguish
intensity and so on. However, the same pre­
between the two terms, crisis and stress tend
cision has not been achieved in the area of
to be used interchangeably, although there
'psychological stress'. Even the distinction
is some suggestion that crisis is a special
between physiological and psychological and acute kind of the more general class of
stress is confused since it can be argued that stress.
responses to the former are mediated by the
* Yorklea Study. Manuscript received April, 1970.
Current Uses of the Term 'Crisis'
i.s.sCommunity Studies Section, Clarke Institute of The following summary identifies six over­
Psychiatry, University of Toronto.
Canad. Psychiat Ass. J . Vol. 15 (1970)
lapping uses of the concept of crisis.

463
464 CANADIAN P S Y C H I A T R I C ASSOCIATION J O U R N A L Vol. 15, No. 5

1) Organismic in which the individual either increases his


This approach to crisis makes use of the repertoire of reality-based adaptive problem-
concept of physiological stress. Thus 'crisis' solving techniques or else takes a step to­
is applied to situations in which homeostatic wards non-reality-based maladaptive prob­
limits are exceeded by continuing disruptive lem-solving techniques — i.e. mental dis­
stimulations, which usually result in prob­ order. In other words, crisis represents both
lem-solving or adaptive behaviour but may a danger to and an opportunity for ego
result in maladaptation and chronic stress integration, and the main emphasis is placed
reactions. Examples of this kind of approach on the influence of intrapersonal dynamics
can be seen in the studies of sensory bom­ on crisis outcome.
bardment or understimulation, psychosoma­
tic illness (24, 38, 37), and in the stress 3) Developmental
experiments reviewed by Howard and Scott. A developmental approach to crisis is
Similarly, the Grinker and Speigal (20) associated mainly with the work of Erikson
study of war neurosis emphasizes the im­ (14, 15, 16), R. Rapoport (40, 41) and more
portance of physical health factors (e.g. recently Dabrowski (8) and Forer (17).
fatigue, malnutrition, etc.) and invulner­ Erikson views personality development as
ability to acute environmental disturbances. a succession of differentiated phases of be­
The organismic approach tends to em­ haviour or transitional periods characterized
phasize environmental and situational fac­ by cognitive and affective changes. Here
tors, so that stress is regarded as a response crises are seen as an integral element of
to external forces. An example of this is personality growth since although they in­
the systems approach to the study of disas­ volve periods of increased vulnerability they
ters (11). also provide opportunities for the develop­
ment of healthy adaptive reactions. Similar­
2) Ego Integrative ly, Rapoport distinguishes between normal
The concept of equilibrium is also funda­ crises which practically all individuals meet
mental to the crisis theory originated by (e.g. getting married, going to school, etc.)
Lindemann (31) and developed by Caplan and pathological crises such as disasters or
(3, 4, 7) and this has constituted the 'main wars, to which only some sections of the
stream' in crisis research. population will be exposed. The major dif­
ference is that the former provide for pre­
They propose that people usually deal
paratory behaviour, while the latter cannot
adequately with problem situations by using
usually be anticipated.
habitual responses in order to maintain
equilibrium. Crisis occurs when there is an This more optimistic view of crisis is
imbalance between the difficulty and impor­ similar to that outlined in the previous sec­
tance of a problem and the resources avail­ tions and is in opposition to the traditional
able to deal with it. A hazardous situation view of regarding stress or crisis as an
(i.e. potentially crisis-producing) is one in intrinsically harmful etiological factor in
which there is a threat to basic need satis­ mental disorder. Successful coping in a
faction or a stimulus to basic need appetites. crisis situation is seen as increasing the in­
Habitual problem-solving responses are dividual's capacity to cope with future crises;
evoked but if these homeostatic mechanisms only unresolved crises are seen as increasing
are inadequate they are followed by an or­ the propensity to mental disorder.
ganismic rise in tension. The organism at­
tempts to reduce tension by trying new 4) Major Change in 'Life Space'
problem-solving behaviour, but if this is This is a term proposed by Parkes
inappropriate the attempts to discharge ten­ (37) as an alternative to either stress or
sion may take precedence over the attempts
crisis since it avoids the circularity of de­
to solve the problem. Thus crises are seen
fining either in terms of its outcome. An­
as critical turning points in the life cycle,
other advantage of this term is that it lacks
October 1970 THE CONCEPT O F CRISIS 465

the negative connotations of both crisis and while Williams' model is suited to larger
stress. groups and societies.
Parkes (37), in an unpublished working
6) Interpersonal and Sociocultural
paper, maintained the clinical perspective
Most of the above approaches to crisis
but drew on Lewinian field theory to make
are psychological in that they stress intra­
all aspects of the crisis experience part of
personal, individual adjustment to crisis
the subject's experiental field. He blurred
situations. Recently, however, there has
the usual distinctions between past, present
been more emphasis on the importance of
and future (outcome) and internal and ex­
the individual's relational milieu, his refer­
ternal (as distinguished by Howard and
ence groups, social networks and commu­
Scott). This formulation approaches systems
nity as some of the supports which influence
theory in that all aspects of experience can
crisis outcome. This kind of approach also
be interrelated without prior assumptions as
places greater emphasis on the individual's
to causal sequences in the phenomena
present situation rather than on his past ex­
studied. Parkes himself, as an investigator,
periences and personality. The sociological
has assembled study groups on the basis of
approach to crisis is exemplified in Hill's
experienced events, such as bereavement;
study of family crisis and his excellent re­
he has drawn upon a wide range of reported
view of related research (22, 23) in which
experiental aspects, such as subjective stress,
he demonstrates that when an individual
visits to physicians and prior personality;
family member is involved in a crisis the
and has examined the contribution of a
whole family must readjust.
parsimonious selection of variables to the
total patterning of the experience. The sociological approach also em­
phasizes the importance of cultural values
He states that changes in life space tend in the definition of and reaction to crisis.
to be resisted and so explains the disruption For example, the difference in the Western
of thought, perception and behaviour when and Japanese attitudes towards death; the
major changes in the life space occur. institutionalization of rites de passage, which
Parkes' approach is similar to that of Erik- help individuals cope with major transitions
son and R. Rapoport in its emphasis on in role relationships; the toleration of grief
critical role transitions in the life cycle. reactions and so on.

5) Communications Model Is There A Crisis Syndrome?


Since most models of crisis involve refer­ What are the characteristics of crisis and
ence to problem-solving activities, recent how do we recognize that an individual is
theories have stressed the role of informa­ in a state of crisis? Parad and Caplan (34)
tion in crisis resolution. For example, Wil­ suggest that the five essential features of
liams (48) suggests that "The general func­ crisis are as follows:-
tion of communication in crisis is to pro­ a) The stressful event poses a problem
vide the actor with information which will which is, by definition, seen as insoluble
enable him to make choices to avoid, mini­ in the immediate future.
mize or remedy the consequences of the b) The problem taxes the resources of the
crisis." He illustrates this point by descri­ individual or family since it is beyond
bing the reactions to mass disasters in cy­ their traditional problem-solving meth­
bernetic terms. Similarly, Hamburg et al. ods.
(21) also study the seeking and use of in­ c) The situation is seen as a threat to the
formation during stress. Ruesch (43) cate­ life goals of the individual or family.
gorizes crises into four kinds: input, antici­ d) There is a generalized physical tension
pation and recollection, decision and output which is symptomatic of anxiety, and
crises. Ruesch's model is more applicable at this tension mounts to a peak and then
the intrapersonal and small group level, falls.
466 CANADIAN PSYCHIATRIC ASSOCIATION JOURNAL Vol. 15, No. 5

e) The crisis situation awakens unresolved a) An initial rise in tension, which calls
key problems from the near and distant forth habitual problem-solving responses
past. of homeostasis.
From a more clinical perspective, crisis b) Lack of success leads to a further rise
can be recognized by the following symp­ in tension, marked by feelings of help­
toms (32): lessness, ineffectuality and emotional up­
a) Crisis is acute rather than chronic and set.
extends from one to six weeks. c) A further rise in tension stimulates the
b) It produces marked changes in behav­ mobilization of emergency problem-
iour, which is commonly less efficient solving mechanisms. The individual tries
than usual. novel methods (e.g. redefinition, trial and
error, or need resignation) which may
c) There are subjective feelings of helpless­
solve the problem.
ness, ineffectiveness, anxiety, fear, guilt
d) If the problem continues, tension mounts
and defensiveness.
beyond a further threshold and major
d) Although there are common crisis situa­
disorganization occurs.
tions the individual's own perceptions of
Caplan writes in very general terms, but
threat are unique, so that crisis is rela-
Tyhurst describes in some detail the typical
tivistic.
reactions to three specific crises •— disaster,
In order to assess the appropriateness of immigration and retirement. For example,
crisis therapy it is obviously essential that a following disaster there is a typical reaction
crisis situation can be reliably identified. A of regression and dependency which is rare­
clear description of a crisis syndrome is also ly found in other types of crisis. So Tyhurst
a prerequisite of further research because raises the question as to whether we should
of the need to match non-crisis control speak of one overall crisis syndrome or
groups. Sifneos (45) attempts to do this whether such a general term loses sight of
when he discusses the generic features of important differences. Tyhurst feels that in
one hundred and eight cases. He places spite of the differences all post-crisis reac­
great emphasis on an external, hazardous tions can be usefully described in three
situation and a precipitating event. Bloom common stages — impact, recoil and post­
(1) found this to be the consensus among traumatic. Each of these stages can be fur­
experienced clinicians. A recent paper by ther described in terms of stress, time (dura­
Golan (19) abstracts four components from tion and perspective) and psychological
Sifneos' study — a hazardous event, a vul­ phenomena. Thus for all crises the subject's
nerable state, a precipitating factor and a time perspective during the period of im­
state of active crisis (disequilibrium) as the pact is on the present; during recoil it is on
major diagnostic features of crisis. He pro­ the past; while the final period is character­
poses a model intake interview, intended to ized by a return to a usual time perspective.
elicit these features and to assist clinicians
in the recognition of crisis. Yet even Golan Hill likens the progress of family crisis
admits that his model represents an ideal to a 'roller coaster' — crisis — disorganiza­
type. tion — recovery and reorganization; which
is very similar to Tyhurst's classification.
A recurring theme in the empirical des­ Hill makes an explicit distinction between
criptions of the crisis syndrome is the idea the short and long term effects of crisis,
that crises go through characteristic stages which is usually implicit in other models.
of development. Three writers discuss stages However, he provides no empirical evidence
in the crisis syndrome — Caplan (5), Ty- to demonstrate the usefulness of his typol­
hurst (47) and Hill (23). ogy.
Caplan states that crisis results in physi­ The apparent differences between the
cal tension which is characterized by four crisis syndromes described above are due
phases: mainly to differences in emphasis. Thus
October 1970 THE C O N C E P T O F CRISIS 467

Caplan stresses the organismic, physiologi­ definition of crisis from an experimental


cal reactions to crisis; while Tyhurst's inter­ study of its empirical usage.
est lies in psychological reactions, such as Darbonne points out that certain external
changes in perception and emotional behav­ events or hazardous situations tend to pro­
iour. Hill, on the other hand, is concerned duce crisis in the majority of cases so that
with group reactions to crisis and therefore the individual, subjective nature of crisis is
emphasizes changes in family solidarity and not an insoluble problem when studying
role relationships. these types of events. Waldfogel and Gard­
Other writers have included the pre-crisis ner's idea (3) of a continuum from external­
period among the stages of crisis (see Davis, ly precipitated to internally precipitated
[10] — prelude/warning/impact/inventory/ crises could be useful here since the former
recovery), especially for those crises which tend to be universally stressful. Holmes and
can be anticipated: for example, Janis' (27) Rahe (25) find a high degree of consensus
study of the relationship between pre-opera- amongst both Americans and Japanese as
tive preparation and anxiety and post­ to those events which involve major life
operative adjustment. changes. If such a consensus exists it should
be possible to select empirically some situa­
However, the general impression is that
tions which are nearly always crisis-produc­
the various sequential schemes which are
ing, such as the death of a spouse or serious
offered are merely descriptive conveniences
illness.
rather than being intrinsic to the concept
of crisis; so that reliable categorization of 2) Circularity
crisis, as opposed to non-crisis situations, is
Closely related to the above problem is
still problematical.
the danger of defining crisis tautologically,
in terms of either its outcome or degree of
Problems in Usage disturbance; although, as already noted, a
1) Subjectivity definition which relies completely on pre­
Many writers would argue that crisis is cipitating events is equally unsatisfactory.
an essentially subjective concept because any To assess the diffuseness or otherwise of
trivial incident can provoke a crisis if an the crisis outcome it is necessary to under­
individual defines it as threatening. take longitudinal studies which consider
However, a study by Bloom (1) casts both healthy and pathological reactions to
doubt on this viewpoint. He attempted to crisis, plus accidental and developmental
clarify the definition of crisis by studying crises. This would also help to resolve the
the nature of agreement between experi­ stress versus selection debate (12). Thus vali­
enced clinicians. Eight experts judged dation requires the study of cohorts of large
whether fourteen hypothetical case histories numbers of people experiencing the same
constituted crisis situations or riot. Two ele­ situation or event. This type of data has not
ments were found to be significantly related yet been forthcoming and those long-term
to a judgement of crisis: a) a known preci­ studies which do exist tend to be rather
pitating event, and b) a slow (one to two descriptive (10). Some evidence suggests
months) rather than a rapid (one week) re­ that only a small percentage of people ex­
solution. This study implies that behavioural periencing a given crisis are left with resi­
disturbance and a subjective awareness of dual impairments. It is possible that the
tension are not fundamental characteristics consequences follow a normal distribution,
of crisis. However, Bloom cautions against so that a small number emerge permanently
an oversimplified definition of crisis purely damaged while an equal number emerge
in terms of specific events since there are strengthened, leaving the majority only tem­
individual differences in vulnerability to the porarily disturbed.
same event. His study is significant in that An example of some good longitudinal
it constitutes the only attempt to derive a studies is the series on premature birth by
468 CANADIAN P S Y C H I A T R I C ASSOCIATION JOURNAL Vol. 15, No. 5

Caplan, Mason, and Kaplan (6). The moth­ personal crisis reactions and changes in the
er's immediate reaction and style of coping social structure of interpersonal relation­
was classified as 'good' or 'bad', and the ships. Krause found that the time of greatest
eventual mother-child relationship was suc­ anomie and relative deprivation, and hence
cessfully predicted on this basis. These are of crisis proneness, was different for the
the only studies which attempt to test the full-time residents and day clients at a re­
crisis model by predicting crisis outcome habilitation centre.
from crisis behaviour, and to abstract mean­ Yet both these studies assume (rather
ingful classifications of different types of than test) the idea that situational factors
coping syndromes. But even the authors override individual personality differences.
admit that one cannot tell if the outcome There are no systematic studies which at­
is caused by the coping style or if both are tempt to assess the relative importance or
caused by another factor. weight of individual and situational factors
for crisis behaviour. The question which
3) Personality and past experience versus
should be posed is 'how much', rather than
current life situation and interpersonal
'which?' In other words an interactional
relations.
approach is needed.
Under the influence of psychoanalytic
Endler and Hunt (13) early concluded
theory earlier writers attempted to isolate
that the debate over the relative importance
characteristics of the 'crisis prone' individual
of individual personality versus situations
analogously to studies of accident prone-
versus mode of response was a pseudo issue.
ness and susceptibility to psychosomatic
In a series of studies (limited only by a struc­
disorders. This view assumes that the in­
tured questionnaire approach) they examined
dividual personality is more important for
the contribution of each of these aspects to
predicting both the occurrence and outcome
experienced anxiety and hostility and de­
of crisis than the current relational milieu.
monstrated that although each of the three
The only relevant studies were of individual
aspects taken singly accounted for only a
cases, until Grinker and Spiegal (20), start­
small portion of the variance, the three
ing from this vantage point, found that pre­
taken in pairs and altogether accounted for
vious experience and personality were poor
much of the variance in the subjective state.
predictors of coping style. Similarly, Glass
These studies suggest a manner for handling
and Atriss (18) concluded that crisis behav­
the mass of data produced by studies
iour is more influenced by practical circum­
such as Parkes advocates. They also sug­
stances and group support than by indivi­
gest a future bridge between the probability
dual personality characteristics. Kaplan (28)
model, in which weightings for frequency
also emphasizes the importance of current
and implied hazard (based on a general
life situation and relationships; and Brown
population) might be applied to specific
(2) found that the prognosis for schizo­
events, situations and modes of response.
phrenic patients was more dependent on the
That is, they suggest a calculus which would
social environment of the discharged pa­
at once allow for both the individual ex­
tient than either the clinical diagnosis or
perience of the reporting person as well as
the patient's symptomatic state at discharge.
the weighting factors of hazard and risk
Two recent sociological studies further probability — the personal idiosyncratic
demonstrate the importance of situational state and the public partially-predictable
factors. The first (46) found that team one.
nursing provides a more supportive milieu
than functional nursing; so that individual Responses to the Dilemmas
adjustment to the same stressful situation is The foregoing discussion of problems in
strongly influenced by the social structure research usage defines a dilemma limiting
and organizational setting. The second study both theoretical statements and empirical
(29) found significant associations between studies. Our discussion of subjectivity, for
October 1970 THE CONCEPT O F CRISIS 469

example, should have made clear that in­ Several empirical investigations allow an
vestigators were holding to a clinical model approach to the Schulberg and Sheldon pro­
of crisis which, though it did justice to the bability model. Holmes and Rahe (27) exam­
patient's (or client's) world, did so at the ined a standard list of life events (forty-five
expense of excluding the field of social and events) in terms of the amount of social
environmental interaction. However, a meth­ readjustment which each implies. They
odological innovation by Schulberg and showed that a wide range of respondents
Sheldon (44) (investigators associated with agree on the amount of social readjustment
Caplan and the Laboratory of Community implied by the specific event which they
Psychiatry) offers a suggestion which will study. Further, they have shown that the
overcome the impasse. life events, both weighted (by degree of
social readjustment) and unweighted, pre­
A methodological approach consistent
dict physical illness episodes in selected
with a public health or preventive orienta­
populations but they have not reported fre­
tion is advocated by Schulberg and Sheldon
quencies for life events. Myers et al. (33),
(44), who suggest that the major omission
in a community survey employed an event
in previous crisis theories was the failure
list offifty-fouritems (many of them derived
to specify associations between risk event
from Holmes and Rahe) to examine the in­
and personal reactions, that is the probability
ter-relationship between events, symptomatic
that the crisis would arise from the com­
disturbance, social role adjustment and dis­
bination of hazardous events and personal location. Similarly, the Yorklea Study is
vulnerability. They further divided the pro­ analyzing data on twenty-six to thirty events,
bability of a crisis event occurring into those interpersonal ties and reliance, the use of
which might be anticipated (for the indivi­ informal and formal helping resources and
dual or for a population at large), and those a broader range of respondent mental health
for which anticipation was impossible; for parameters than other studies. The two
the former, high risk groups could be de­ studies have in common a present orienta­
fined and primary preventive programs tion and an attention to the possibility of
attempted, whereas the latter might be identifying high risk groups in terms of
approached through emergency helping events. We have made allowance for sub­
programs and non-specific methods of jectivity by allowing respondents to define
strengthening coping style (ego strength). specific events as 'for better' or 'for worse',
They adequately stress the distinction be­ so that for each event, for example
tween: 1) the probability of hazardous events bereavement, the frequency both for the
occurring, and 2) the probability that the individual and the household and 'the
event will be hazardous to the individual. hazard', retrospectively appraised, can be
This reformulation of the problem results estimated.
in a hypothetical equation P = k F x H x
V, in which P is the probability of a crisis Conclusion
response, F is the frequency in the popula­
The concept of crisis has been reviewed
tion at risk, H is the hazard implied in the
with emphasis on its evolution and empiri­
event and V is the individual's vulnerability.
cal attempts to anchor it in both psycho­
The research task becomes the working-
logical and social situation models. Because
out of indices for each of the three variables
of an interest in putting the concept into
so that crisis-proneness may be predicted
operation and testing its usefulness for re­
for subgroups or comparisons made between
different population segments. This redefin­ search, particularly for predicting outcome
ing of variables in terms of public and ex­ and the vulnerability of individuals and
periential frequency vastly extends an groups, the review has done less than justice
earlier formulation of Hill that crisis = to the unifying function of the concept in
events x resources x labelling. bringing together several applied disciplines
— psychiatry, social work, psychology and
470 CANADIAN P S Y C H I A T R I C ASSOCIATION J O U R N A L Vol. 15, No. 5

nursing — as well as to its central role in cluded that the concept adds nothing to
the emergent theory of community psychir earlier usages, such as stress, coping, res­
atry. This diffusion stems from the dominant ponse, distress; and our own research prac­
role played by Caplan and the Laboratory tice is to employ these rather than the term
of Community Psychiatry at Harvard in 'crisis'. It would seem that the present am­
the development of community psychiatry biguity of the term should be preserved, and
and the mental health centres. that its current usage by clinicians to refer
With regard to the usefulness of the con­ to the whole sequence of occurrences has
cept in treatment we must conclude, with advantages in emphasizing the uniformity in
Parad (36), that the effectiveness of short- the total process, but that for research pur­
term crisis therapy, though generally opti­ poses crisis cannot be put into operation
mistic, remains uncertain since: 1) crisis except by breaking it into components
intervention still has not been applied ex­ selected and interrelated to do justice to the
tensively enough to crisis situations (i.e. global concept.
those defined by external precipitation and
short duration), and 2) no adequate com­ References
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