Therapeutic Alliance As A Mediator of Change A Systematic Review and Evaluation of Research (Baier, Kline & Feeny, 2020)

Journal Pre-proof
Therapeutic alliance as a mediator of change: A systematic review

and evaluation of research
Allison L. Baier, Alexander C. Kline, Norah C. Feeny
PII: S0272-7358(20)30109-4
DOI: https://doi.org/10.1016/j.cpr.2020.101921
Reference: CPR 101921
To appear in: Clinical Psychology Review
Received date: 25 November 2019

Revised date: 6 August 2020
Accepted date: 14 September 2020
Please cite this article as: A.L. Baier, A.C. Kline and N.C. Feeny, Therapeutic alliance as a
mediator of change: A systematic review and evaluation of research, Clinical Psychology
Review (2019), https://doi.org/10.1016/j.cpr.2020.101921
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© 2019 Published by Elsevier.

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Running head: ALLIANCE AS A MEDIATOR OF CHANGE
Therapeutic Alliance as a Mediator of Change: A Systematic Review and Evaluation of Research
Allison L. Baiera, Alexander C. Klinea1, & Norah C. Feenya
a
PTSD Treatment and Research Program, Case Western Reserve University, Department of
Psychological Sciences, 11220 Bellflower Road, Cleveland, OH, USA, 44106-7123

1
Present address: VA San Diego Healthcare System, 3350 La Jolla Village Drive, MC116B, San
of
Diego, CA, USA 92161.
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Preparation of this manuscript was supported by a grant to Dr. Feeny from the National Institute
of Mental Health (R01 MH066348). The funding source had no involvement in any aspect of this
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manuscript.
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Corresponding author: Allison L. Baier, Case Western Reserve University, Department of

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Psychological Sciences, 11220 Bellflower Road, Cleveland, Ohio 44106. Email:
alb184@case.edu; Phone: 216-368-8934.
Abstract
The alliance-outcome relationship has been consistently linked to positive treatment outcomes
irrespective of psychotherapy modality. However, beyond its general links to favorable treatment
outcomes, it is less clear whether the alliance is a specific mediator of change and thus a possible
ALLIANCE AS A MEDIATOR OF Journal
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mechanism underlying psychotherapy response. This systematic review evaluated research
examining the alliance as a potential mediator of symptom change, reviewing study
characteristics of 37 relevant articles examining the alliance-outcome relationship and the extent
to which these studies met recommended criteria for mechanistic research. Alliance mediated
therapeutic outcomes in 70.3% of the studies. We observed significant heterogeneity across
studies in terms of methodology, including timing of alliance assessment, study design,
constructs used in mediation models, and analytic approaches. Building on recent
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methodological advancements, we propose directions for future research examining the putative
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mediational role of alliance, such as greater uniformity in and attention to study design and
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statistical methodology. This review highlights the importance of alliance in therapeutic change
and discusses how adhering to requirements for process research will improve our ability to more
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precisely estimate how and to what extent alliance drives therapeutic change.
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Keywords: alliance, mediator, mechanism, psychotherapy, systematic review

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Therapeutic Alliance as a Mediator of Change: A Systematic Review and Evaluation of Research
The past several decades have seen the development and advancement of a range of
psychotherapies, including an increasing number of evidence-based psychotherapies with well-
defined treatment manuals and effectiveness in treating a range of mental health disorders
(Pincus & England, 2015). Despite this, dropout and nonresponse remain significant concerns
even among the most effective treatments, affecting an estimated 20-50% of patients (Nathan &
Gorman, 2015; Saxon, Firth, & Barkham, 2017; Wang et al., 2005). Improving patient adherence
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and outcomes in psychotherapy will be aided by a greater understanding of how psychotherapy
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works. In line with this, the Institute of Medicine has called for research to identify elements of
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therapeutic change to better understand the mechanisms underlying treatment response
(Weissman, 2015). A more nuanced awareness of processes driving therapeutic change would
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enable clinicians to further attend to the therapeutic elements actively contributing to treatment
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response or nonresponse, thereby optimizing treatments and ultimately providing more

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personalized, effective care.
One hypothesized process underlying treatment response is the therapeutic alliance.

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Modern definitions of the term center on the alliance as a collaborative relationship between
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therapist and patient that is influenced by the extent to which there is agreement on treatment
goals, a defined set of therapeutic tasks or processes to achieve the stated goals, and the
formation of a positive emotional bond (Bordin, 1979, 1994). Stronger alliance is consistently
associated with positive treatment outcomes across a range of psychotherapies as evidenced by
multiple meta-analyses on the subject, with fairly stable correlations between studies (Fluckiger,
Del Re, Wampold, & Horvath, 2018: r = .28, k = 295; Horvath & Bedi, 2002: r = .21, k = 100;
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Horvath, Del Re, Fluckiger, & Symonds, 2011: r = .28, k = 190; Horvath & Symonds, 1991: r =
.28; k = 190; Martin, Garske, & Davis, 2000: r = .22, k = 79).
Although alliance has consistently been linked to better outcomes across psychotherapies,
there is ongoing debate with regard to the putative nature of alliance as an actual mechanism of
change. Some argue alliance is simply a precondition necessary for any successful therapy
(Hatcher & Barends, 2006; Raykos et al., 2014; Weck, Grikscheit, Jakob, Höfling, & Stangier,
2015). As a consequence, some methodologists argue alliance is a nonspecific treatment factor
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that is important across all psychotherapies and thus is largely independent of psychotherapy
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“type”. In contrast, others argue that alliance is a specific treatment factor that drives therapeutic
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change itself and may be of greater significance in some psychotherapies (e.g., relational
therapies) over others (e.g., cognitive behavioral therapy; Siev, Huppert, & Chambless, 2009).
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Whether a nonspecific or specific factor, therapeutic alliance is well studied, with over 306
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studies in the most recent meta-analysis on the alliance-outcome relationship alone (Fluckiger,
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Del Re, Wampold, & Horvath, 2018). Although it is well established that strong alliance is
generally associated with better psychotherapy outcomes, the extent to which this process is
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itself specifically driving therapeutic change remains unclear. Randomized controlled trials
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(RCTs) offer one way to examine the question of whether alliance is a specific or nonspecific
factor; if alliance is a specific factor, there should be treatment effects such that alliance plays a
more prominent role in one therapy over another whereas if alliance is a nonspecific factor,
studies would find no treatment effects. A resolution to this debate is important for better
understanding the therapeutic alliance’s impact on psychotherapy outcomes, as well as how this
process impacts outcomes. Additionally, a greater understanding of the alliance’s role in
psychotherapy will enable researchers to examine its potential interactive effects on other
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possible mediators, thereby providing greater clarity regarding the mechanistic processes by
which treatments lead to change.
Requirements for a Mediator
Mediators help to explain why and how change is occurring and are considered the first
step in elucidating potential mechanisms of therapeutic change (Laurenceau, Hayes, & Feldman,
2007). Given that a subset of patients will drop out or not benefit from even the most effective
psychological treatments, identifying the processes underlying change will help implement
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treatments in a manner emphasizing the most “essential” treatment components responsible for
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positive outcomes and also unveil ways to optimize such components for specific patients
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(Kraemer, Wilson, Fairburn, & Agras, 2002). Notably, while the terms ‘mediator’ and
‘mechanism’ are often used interchangeably, they are substantively different in that not all
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mediators are mechanisms and researchers cannot necessarily make inferential conclusions from
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mediation analyses (Kazdin, 2007).

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A mediator (variable M) is an intervening variable that statistically explains or accounts
for the relationship between two other variables: the independent variable (variable X) and
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dependent variable (variable Y) (MacKinnon, Fairchild, & Fritz, 2007). Three major approaches
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are often used to assess mediation including: causal steps (Baron & Kenny, 1986; Judd & Kenny,
1981), difference in coefficients (Mackinnon & Dwyer, 1993), and product of coefficients
(Alwin & Hauser, 1975). The causal approach outlined by Baron and Kenny (1986) is most
widely used; however, it is limited by attenuated power and requires assumptions and study
requirements (e.g., normal distribution, large sample sizes) that can be hard to achieve in clinical
research (Hayes & Scharkow, 2013; MacKinnon, Lockwood, Hoffman, West, & Sheets, 2002;
Shrout & Bolger, 2002). Methodologists have put forth a number of alternative approaches to use
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in conjunction with the major approaches or as new stand-alone methods. These include
bootstrap and other resampling methods that help deal with violations of the normality
assumption (Preacher & Hayes, 2004), the extension of single-mediator models to multiple
mediator models to examine the potential interactive effects of multiple variables (Hayes, 2013),
multilevel mediation models to handle hierarchical data (Bauer, Preacher, & Gil, 2006; Krull &
MacKinnon, 2001), and longitudinal mediation models to examine how variables change or
remain stable over the course of time (Cheong, MacKinnon, & Khoo, 2003; Curran & Bauer,
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2011; Curran & Bollen, 2001; Curran, Lee, Howard, Lane, & MacCallum, 2012). While there
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are advantages and disadvantages to each method, multilevel longitudinal mediation methods
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offer the most robust statistical options for examining mediation in treatment data because these
models are equipped to handle the nested nature and time-course of the data. For a
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comprehensive discussion of mediation analysis and the various pros and cons of different
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methods, readers are directed to MacKinnon and colleagues’ review (2007).

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In addition to the mechanics of the mediation analysis, methodologists are increasingly
advocating for researchers to disentangle within-patient and between-patient effects in process

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research (Curran & Bauer, 2011). That is, how do the intraindividual and interindividual
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variation in scores contribute to outcome over the course of time? Researchers often make
conclusions about within-patient processes from between-patient data. However, the between-
patient relationship between a process variable (e.g., alliance) and outcome (e.g., depression
symptoms) could in fact be a proxy for some other patient variable (e.g., diagnosis, personality),
creating difficulties when drawing inferential conclusions (Curran & Bauer, 2011). Thus, an
increased focus on longitudinal mediation methods that disaggregate the within-patient and
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between-patient variation in alliance scores, is an important consideration for process research
that seeks to uncover why and how change occurs.
In sum, methodological approaches are integral to identifying and assessing proposed
mediators. Specifically, the precision and confidence of conclusions drawn are closely affected
by the types of analyses employed in studying this process.
Advances in Assessing Mediation
Mediators are an important first step in understanding hypothesized change processes;
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however, the identification of a mediator does not necessarily explain the underlying cause of
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change (Kazdin & Nock, 2003; Laurenceau et al., 2007). In addition to the statistical requirement
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for mediation, Kazdin (2007) proposed six other criteria for drawing inferential conclusions from
studying change processes that can ultimately yield important clinical information about
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psychotherapy. First, in addition to statistical mediation, researchers must be mindful of the
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temporal relationship (termed ‘timeline’; Kazdin, 2007) between the mediator and outcome, a
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criterion that has increasingly been discussed and advocated (Johansson & Høglend, 2007;
Kazdin, 2007; Kraemer et al., 2002). That is, does the mediator precede and predict the outcome
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variable over the course of time? Second, researchers must rule out other explanations for the
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observed relationship between the mediator and outcome. For example, what other competing
mediators need to be examined? Could the mediator in question simply be a proxy for some
other variable or patient trait (e.g., personality)? Or, if the mediator precedes outcome, might the
outcome variable also exert an influence over the hypothesized mediator (i.e., reverse causality)?
Kazdin (2007) refers to this criterion as ‘specificity’. Third, studies ought to manipulate the
hypothesized mediator through experimental designs (termed, ‘experimental manipulation’) to
demonstrate the relationships between the proposed mediator and outcome. Such experimental
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methods would help determine Kazdin’s fourth criteria, ‘gradient’, wherein stronger “doses” of
the proposed mediator lead to greater change in outcome. Fifth, research findings must fit within
the broader scientific theory (‘plausibility/coherence’), and sixth, research must consistently
demonstrate a relationship between the mediator and outcome across replication studies,
including different patient populations and varying treatment conditions (‘consistency’; Kazdin,
2007). While all criteria are important to the study of mediators in the quest of identifying
mechanisms of change, some experts suggest that in statistical mediation, temporality,
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specificity, and experimental manipulation should be considered the most important (Kazdin,
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2007; Kazdin & Nock, 2003). Accordingly, studies and reviews of mediation research have
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begun to focus on these particular criteria (e.g., Lemmens et al., 2017).
In addition to the criteria for studying mediators, researchers have put forth
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recommended designs for process research, including randomized controlled trials (RCTs),
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comparisons with an adequate control group, sufficient power (e.g., sample size), and spaced
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repeated measures (e.g., assessments at different timepoints throughout treatment) to allow for
adequate assessment of temporality (Kazdin, 2007; Kazdin & Nock, 2003; Laurenceau et al.,
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2007). Researchers have begun to evaluate the state of the literature with regard to these
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recommendations for process research for both posttraumatic stress disorder (Cooper, Clifton, &
Feeny, 2017) and depression treatments (Lemmens et al., 2017). Clinically, such reviews provide
greater specificity regarding treatment processes that appear to be most effective in driving
therapeutic change. These reviews also shape future research on mediation by assessing
limitations in research to date and articulating research recommendations (e.g., study design,
statistical methodology) to better understand mediators in psychotherapy.

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To date, meta-analyses have examined the alliance-outcome relationship as well as
potential moderators of the relationship, such as treatment type and patient characteristics
(Fluckiger et al., 2018; Horvath & Bedi, 2002; Horvath, Del Re, Flückiger, & Symonds, 2011;
Horvath & Symonds, 1991; Martin, Garske, & Davis, 2000). In a re-analysis (Flückiger, Del Re,
Wampold, Symonds, & Horvath, 2012) of data included in previous meta-analysis (Horvath et
al., 2011; k = 190 studies), the authors used multilevel, longitudinal meta-analytic procedures to
examine moderators of the alliance-outcome correlations over the course of therapy (e.g., design
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characteristics, therapy type). While moving toward better understanding the nuance of the
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alliance-outcome relationship, like all other meta-analyses on the subject, the authors examined
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moderators of the alliance-outcome correlation. Beyond this relationship, the extent to which
alliance serves as a potential mediator of change in psychotherapy—and whether alliance may be

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a specific or nonspecific factor—remains unclear, reflecting a critical next step in more precisely
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understanding the specific change processes occurring in treatment.

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Aims of Current Review
The primary aim of this study was to provide a systematic review of research on the
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potential role of the therapeutic alliance as a mediator of change in psychotherapy. As therapy

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change processes are better understood, clinicians will be better equipped to optimize these
“treatment drivers,” which ultimately should improve patient outcomes. Studies were selected
that examined the therapeutic alliance as a mediator between an independent variable and
treatment outcome with a statistical test of mediation (e.g., Baron & Kenny, 1986). In an effort to
better understand whether alliance is a specific factor on nonspecific factor, a broad range of in-
person, individual, outpatient psychotherapy was included. The resulting review presents the
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characteristics of 37 studies examining alliance as a mediator of change and the extent to which
alliance is supported as a possible mediator of therapeutic change.
Method
Search Strategy
The search process occurred in two phases. First, PsycInfo was systematically searched
for potentially relevant papers published in peer-review journals. Limiters applied in the search
were publication date (January 1, 1980 and July 15, 2020), language (English only), and age
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group (adulthood, defined as 18 years and older). The following search terms were used:
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“alliance” OR “therapeutic alliance” OR “helping alliance” OR “working alliance” AND
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“psychotherapy” OR “therapy” OR “cognitive (behavior(u)ral) therapy” OR “psychological
treatment(s)/intervention(s)” OR “Interpersonal (psycho)therapy” OR “psychodynamic/analytic

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therapy” OR “client centered therapy” OR “acceptance commitment therapy” AND
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“mechanism” OR “mechanisms of change/action” OR “working mechanisms (of

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psychotherapy)” OR “processes of therapy” OR “process research” OR “change” OR
“mediation” OR “mediator” OR “mediating effects”. Following the initial search, reference lists
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of prior meta-analyses of the alliance-outcome relationship (e.g., Horvath et al., 2011; Fluckiger
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et al., 2018) were reviewed as well as reference lists of potentially suitable papers.
Inclusion Criteria
Studies were eligible for inclusion if they met the following criteria: (a) the study
consisted of adult patients; (b) the study was empirical and quantitative (i.e., reviews,
commentaries, theoretical essays, meta-analyses, systematic reviews, and qualitative studies
were excluded); (c) the study was not a case report; (d) patients received in-person, outpatient,
individual psychotherapy (i.e., group, inpatient, and telehealth modalities were excluded); (e) the
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analytic method of the study included statistical mediation with the alliance as the hypothesized
mediating variable; (f) the study included a validated clinical symptom outcome measure as the
dependent variable in the mediation model(s) (e.g., Beck Depression Inventory; Beck, Steer,
Ball, & Ranieri, 1996); (g) the study used a validated measure of therapeutic alliance (e.g.,
Working Alliance Inventory; Hatcher & Gillaspy, 2006); and (h) the study was reported in
English. Inclusion criteria adhered to the precedent of prior alliance reviews examining in-
person, individual psychotherapy (e.g., Smith, Msetfi, & Golding, 2010) and reviews of process
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mediation research (e.g., Lemmens et al., 2017). Given that the goal of this review was to
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evaluate the state of the literature, studies were not excluded for poor study quality (Cuijpers,
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van Straten, Bohlmeijer, Hollon, & Andersson, 2010; Hedges & Pigott, 2004); however, if more
than one study used an identical dataset, we chose to include the study with the strongest
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methodology and study quality as defined by our coding criteria below.
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Coding Procedures
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Key study characteristics and variables related to process research were coded by the first
author (blinded for review) and a trained, independent rater. Interrater reliability between coders
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was excellent ( = .93), and minimal differences in coding were resolved by consensus. Study
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characteristics included: psychotherapy intervention type(s), primary diagnosis of the sample,
setting of study, validated measure of the therapeutic alliance, validated clinical symptom
outcome measure, statistical method(s) used to examine mediation, and main study findings.
Additionally, papers were assessed on whether or not they met key criteria for process research
following the methodology of Lemmens and colleagues (2017) including: the use of an RCT
design, use of a control group, sufficient sample size for mediation analyses (defined as n 40 in
line with other reviews evaluating process research), examination of multiple mediators within
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one study, assessment of temporality (defined as 2 or more assessments of the therapeutic
alliance during the treatment phase that were examined over the course of time, not as an
average), and direct experimental manipulation of alliance. We chose to follow guidelines
outlined by Lemmens and colleagues in an effort to maintain consistency with the literature;
however, we also wanted to ensure maximum relevancy of criteria to the study of alliance as a
mediator of change. Consequently, we chose to collapse two criteria—RCT design and use of a
control group—into one criterion due to overlap (i.e., all studies in the review with a control
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group were also an RCT). As previously stated, the direct comparison of two treatments can
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yield interesting information regarding whether alliance is a specific or nonspecific mediator of
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change. Additionally, we elected to add in a criterion regarding whether or not researchers
adequately disentangled within and between-patient effects specifically for the mediation
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analysis, bringing the total criteria to six. Studies were rated as either meeting the criteria (1) or
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not (0).
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Results
Study Selection
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Study selection followed PRISMA guidelines (Moher, Liberati, Tetzlaff, Altman, & The,
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2009) and is presented in Figure 1. The initial PsycINFO search yielded 1,613 citations, which
were screened on the basis of title. Reference lists from meta-analyses and studies deemed
potentially eligible for inclusion were also reviewed, which provided an additional 59 citations
for review. Following this initial screening, a total of 479 studies with potential to meet inclusion
criteria were retained. Each abstract was then closely reviewed, followed by the full text (n =
192) if necessary to determine eligibility. A total of 442 studies were excluded, with the most
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common reasons for exclusion including lack of empirical study and lack of mediation.
Ultimately, 37 studies met full inclusion criteria and are denoted with asterisks in the references.
Study Characteristics
Table 1 provides an overview of study characteristics and the extent to which each study
met predetermined criteria for process research. Thirty-seven studies were included in the review
with data from 5,530 patients. Studies were published between 1990 and 2020 with sample sizes
ranging between 20 to 646 (median = 103; M = 149; SD = 144.1). The majority of studies were
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conducted in the United States (59.5% vs. 24.3% in Europe, and 16.2% in other parts of the
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world). Study settings were mixed with 10 studies (27.0%) utilizing data from training clinics or
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counseling centers and the remaining studies utilizing data from RCTs, hospitals, and/or
specialized treatment centers. Almost half (17 studies; 45.9%) were published in the last five
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years, including the years 2015 to 2020. Eighteen of the 37 studies examined the alliance within
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the context of cognitive therapy (CT), cognitive behavioral therapy (CBT), or a combined
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sample that included at least one arm of CT or CBT. Ten studies examined various forms of
psychotherapy, often in the context of community mental health clinics or university counseling
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centers. Other treatments examined either in isolation or, in a combined sample with CT/CBT
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included Interpersonal Therapy (IPT, k = 4), Supportive Therapy (k = 2), Supportive Expressive
Therapy (SET, k = 3), Schema Focused Therapy (SFT, k = 2), Psychoanalytic Therapy (PA, k =
1), Psychodynamic Therapy (PD, k = 1), Cognitive Behavioral Analysis System of
Psychotherapy (CBASP, k = 1), Transference Focused Psychotherapy (TFP, k = 1), Functional
Analytic Psychotherapy (FAP, k = 1), Dialectical Behavior Therapy (DBT, k = 1), Unified
Protocol (UP, k = 1), Single Disorder Protocols (SDP, k = 1), and Return to Work Intervention
(RTW-I, k = 1). Six studies included a combined treatment or pharmacologic treatment.

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The most common disorders studied were major depressive disorder (MDD; 15/37
studies, 40.1%) and mixed diagnostic samples (37.8%), followed by posttraumatic stress disorder
(PTSD; 5.4%), borderline personality disorder (BPD; 5.4%), chronic pain (2.7%), and bulimia
nervosa (2.7%), and exhaustion disorder (2.7%). Consequently, outcome measures varied
widely; the most commonly used outcome measure was the self-report Beck Depression
Inventory (Beck, Steer, Ball, & Ranieri, 1996), used in 11 of the 37 studies. The Working
Alliance Inventory or one of its short-form or revised versions (Hatcher & Gillaspy, 2006;
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Horvath & Greenberg, 1989; Tracey & Kokotovic, 1989) was the alliance measure used most
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often (25/37 studies; 67.6%) followed by versions of the Helping Alliance (Alexander &
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Luborsky, 1986; Luborsky et al., 1996; Morgan, Luborsky, Crits-Christoph, Curtis, & Solomon,
1982), which was used in 4 studies (10.8%). In terms of who reported the quality of alliance, the
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majority of studies (26/37) used patient ratings, six studies used independent observer ratings,
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and five used patient and therapist ratings (e.g., ran two separate models, one with patient ratings
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and one with therapist ratings). The timing of alliance assessments also varied widely across
studies as can be seen in Table 1.

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The three earliest studies (Barber, Connolly, Crits-Christoph, Gladis, & Siqueland, 2009;
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DeRubeis & Feeley, 1990; Feeley, DeRubeis, & Gelfand, 1999) used temporal correlations to
examine the relationship between alliance and residualized symptom change at different time
points in therapy. Only one of these three (Barber et al., 2000) found evidence that alliance
mediated symptom change. However, the methodology used in these first three studies limits the
ability to draw strong conclusions about the role of alliance on outcome. The most common
statistical method used to examine mediation was through a causal step approach utilizing linear
regressions (Baron & Kenny, 1986). Of the 13 studies using this method, eight relied on
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bootstrapping methods to examine the size of the indirect effect (Preacher & Hayes, 2004) - a
method that can account for violation of normality assumptions (MacKinnon et al., 2007). Taken
together, the majority of studies using a causal step approach found support for alliance as a
mediator (10/13 studies).
Over the course of time, in line with advances in methodology, statistical methods used in
the identified studies became more sophisticated and included multilevel mediation (Krull &
MacKinnon, 2001), growth modeling (Cheong et al., 2003), and various forms of longitudinal
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modeling (Curran & Bollen, 2001). Indeed, ten of the 17 studies published in the past five years
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(including 2015) used one of these methods (e.g., Falkenström, Ekeblad, & Holmqvist, 2016;
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Renner et al., 2018; Santoft et al., 2018). Of the 20 studies using more advanced statistical
methodology (e.g., multilevel and longitudinal modeling compared to simple mediation models),
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the majority (15/20) found at least some evidence supporting alliance as a potential mediator. As
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presented in Table 1, studies were substantially different from one another in terms of design
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(e.g., different populations, psychopathology, treatment-type) as well as the extent to which they
met requirements for process research. Furthermore, studies differed with how they handled
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missing data. Studies largely used available data (20/37), often in conjunction with imputation
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methods and in line with analytic requirements or theoretical rationale (e.g., to be included in
analyses, patients needed at least “x” number of data points or patients needed to attend at least
“x” number of treatment sessions). Six studies used completer samples. The remaining studies
did not report how missing data were handled or, identifed an intent-to-treat approach (e.g., last
observation carried forward) and did not specify if they included patients with no data.
Conclusions regarding alliance as a mediator even among the most statistically advanced studies
should thus be interpreted in the context of the variability noted across studies.
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Process Characteristics
For an overview on the number of studies meeting each of the requirements for process
research, readers are directed to Table 2. The majority of studies (81.1%) had sample sizes
greater than 40 patients and are thus likely sufficiently powered for appropriate inclusion in
systematic reviews or meta-analyses on the basis of sample size and power (Hedges & Pigott,
2004; Kazdin & Bass, 1989). Fewer than two-thirds of the studies (59.5%) included more than
two assessments of alliance, and only half examined other putative mediators in addition to the
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alliance (51.4%). While 20 studies (54.5%) examined patients from RCTs, only 13 studies
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(48.1%) made use of the RCT design in examining differential treatment effects. Finally, seven
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studies (18.9%) adequately disentangled within and between-patient effects.
As noted, mediation analyses alone are not sufficient for drawing conclusions about
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change processes. The strength of the argument for the mediator in question is proportional to the
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number of criteria met for process research (Kazdin, 2007). No study met all six criteria. Only
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one study met five criteria. Falkenström and colleagues (2016) conducted an RCT comparing
CBT (n = 43) to IPT (n = 41) in a sample of patients with major depressive disorder. The authors
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utilized multilevel longitudinal models and additionally disaggregated within and between-
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patient effects (Curran et al., 2012; Wang & Maxwell, 2015), finding a reciprocal relationship
between the alliance and change in depressive symptoms. That is, alliance predicted next session
change in depression scores and vice-versa, suggesting mutual influence of alliance and
symptoms. These results did not differ between treatments suggesting that the two-way
movement of alliance and symptom change was important across both treatment modalities
providing support for alliance as a common factor across treatments.

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Six studies met four criteria and therefore seem to be promising with regard to meeting
process research requirements for understanding drivers of therapeutic change. Klein et al.
(2003) examined CBASP (n = 228) to CBASP plus antidepressant medication (n = 227) for the
treatment of depression. The authors utilized mixed effects growth modeling on treatment
initiators with baseline data to examine the temporal relationship between alliance and change in
depressive symptoms. The study found alliance at week 2 predicted subsequent improvement in
depressive symptoms after controlling for prior change. The authors found no evidence of
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reverse causality (i.e., symptoms predicting improvements in alliance) and treatment condition
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did not moderate the findings.
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In a large study of primary care patients (N = 646), Falkenstrom and colleagues (2013)
used longitudinal multilevel models to examine whether alliance predicted symptom

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improvement or vice versa. The authors additionally disentangled effects following procedures
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recommended by Curran and Bauer (2011) and found that within-patient alliance predicted next
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session symptom change and vice versa. While this was a naturalistic sample, the authors
additionally examined whether the alliance-outcome relationship differed between treatment

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type, namely supportive, psychodynamic, or CBT finding no difference between groups lending
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support for alliance as a nonspecific factor.
Sasso and colleagues (2016) re-examined data from the CT arm of a treatment trial for
depression by disaggregating within-patient and between-patient variance in alliance scores as
predictors of session to session symptom change early in treatment. The authors found that
neither within-patient nor between-patient variation in scores predicted subsequent symptom
change. The authors noted their limited sample size (N = 60) as a possible explanation for their
null findings.
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In an RCT comparing SET (n = 49) to clinical management (e.g., supportive
interventions) and pharmacotherapy (n = 51) or clinical management and placebo (n = 49) for
patients diagnosed with depression (Zilcha-Mano et al., 2014), alliance temporally predicted
subsequent symptoms. The reverse relationship (symptom scores predicting next session alliance
scores) was not observed. No significant treatment interaction was observed suggesting alliance
was an important predictor of change across these treatment modalities.
Santoft et al. (2019) compared CBT (n = 40) to RTW-I (n = 42) for the treatment of
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“exhaustion disorders” or burnout, a disorder found in the International Statistical Classification
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of Diseases and Related Health Problems (ICD-10; Organization, 2004). Over half of the sample
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(57.3%) met criteria for a comorbid disorder. The authors used a multilevel mediation model,
finding no association between the alliance and subsequent symptom changes over time.
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Additionally, alliance did not mediate the relationship between treatment type and outcome.
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Finally, Gomez Penedo and colleagues (2020) compared the alliance as a predictor of
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next session symptomatology in exposure-based cognitive therapy and CBT for patients with
depression. The authors used a hybrid random effect model finding both within-patient and
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between-patient alliance predicted next session symptomatology even when adjusting for
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treatment condition.
Thus, of these seven studies scoring highest (4 or 5 out of 6 criteria) with regard to
meeting requirements for process research, findings are mixed. Five studies found evidence for
the mediating role of alliance whereas two studies did not. Additionally, four studies investigated
reciprocity (i.e., alliance predicting symptoms and symptoms predicting alliance); two found
support for this two-way movement between the alliance and symptom change. All five studies
finding support for alliance as a mediator of change also found support for alliance as a
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nonspecific or “common” factor suggesting alliance is an important construct irrespective of
psychotherapy modality. Three studies (Falkenström et al., 2016; Sasso et al., 2016; Santoft et
al., 2019) had modest sample sizes under 100 patients which may have impacted findings;
however, all studies were adequately powered.
In addition, 7 studies (18.9%) met exactly half of the criteria for process research and 15
studies (40.5%) only met two criteria. Finally, 7 studies (18.9%) only met one of the six criteria.
While the combination of criteria met varied between studies, most met the sample size (30/37
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studies) and temporality criteria (22/37 studies). It should be noted that the temporality criterion
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did not mandate testing for reciprocity or reverse causation, but only that the study included two
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or more assessments of alliance during the active phase of treatment. Taken together, 26 of the
37 studies (70.3%) found some evidence for the mediating role of alliance. Of note, only seven
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studies (18.9%) could be considered of “highest quality” with respect to meeting at least 4
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criteria for process research. Given the small number of studies meeting these requirements,
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results should be interpreted with caution.
Discussion
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Of all papers identified in this systematic review, the majority (70.3%; 26 of 37 studies)
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found evidence for alliance as a mediator of change despite significant heterogeneity between
study designs, statistical analytic procedures, and overall quality. Although additional, more
targeted research is needed to more comprehensively unpack the alliance-outcome relationship,
results of this review reinforce that alliance likely plays an important role pantheoretically in
effective psychotherapy (Weck et al., 2015). The studies were critiqued with regard to the extent
to which they met six criteria for process research (Kazdin, 2007), in line with prior
methodology used to evaluate change mechanisms in clinical research (Lemmens et al., 2017)
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while adapted to best meet this particular review. Only seven studies met four or more criteria
for process research pointing to clear future directions for the study of alliance as a change
mechanism. Nevertheless, an increasing number of research groups over the past five years made
use of robust analytic techniques that adequately deal with assumption violations, hierarchical
data, and longitudinal methods to include disaggregating within-patient and between-patient
effects, evidencing the promising advancements of recent research and methodological
approaches.
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Given the positive alliance-outcome correlation that has consistently been observed in
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treatment research, alliance indeed seems to play some role in promoting symptom reduction,
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either mechanistically or by facilitating mechanistic processes. To answer the question of how
the alliance contributes to change, mediation analyses are needed coupled with robust research
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designs that utilize RCTs to further investigate the question of whether the alliance is a specific
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or nonspecific factor of change. If the alliance is a nonspecific factor as the research to date
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supports, then RCTs comparing different therapies should find no differences between treatments
in the role of alliance on treatment outcome. However, some continue to argue alliance as a
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specific change factor more important for certain psychotherapies (e.g., relational) than others
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(e.g., exposure therapy). Additionally, studies should aim for large sample sizes to ensure
adequate power, multiple assessments of both validated alliance measures and validated outcome
measures to assess temporality, and the study of multiple constructs in concert. We further
acknowledge that given ethical and clinical demands of optimizing the therapeutic alliance in
treatment, the manipulation of alliance within a clinical research framework is challenging, if not
impossible. However, the ability to study if the magnitude of the mediator influences outcome is
a critical step in identifying mechanisms of change. It may be that the alliance is one purported
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change process that will be difficult to unequivocally ascertain as a mechanism, whereas other
constructs (e.g., Socratic dialogue, exposure activities, behavioral activation) can be manipulated
ethically. However even when omitting this criterion, of the 37 included papers, less than half
(15 studies, 40.5%) met at least three of the other five requirements, evidencing the paucity of
literature adhering to stringent criteria for understanding mediators and drivers of treatment
change.
The 37 studies included in this review varied widely with regard to the extent to which
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they met requirements for process research in addition to mediation method used and sample
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size. Ultimately, research aimed at uncovering possible change processes—including the
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alliance—must move toward inclusion of requirements for process research beginning with
mediation analyses. While the statistical methodology used in the included studies largely
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improved over the course of time to account for more advanced models, future research will need
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to focus on using methodologically robust methods that are specific to the data in question. For
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example, most mediation models examine linear changes; however, change is not always linear
(Hayes, Laurenceau, Feldman, Strauss, & Cardaciotto, 2007). Patients often show sudden gains
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(Jun, Zoellner, & Feeny, 2013) and experience ruptures and repairs in the alliance throughout the
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course of treatment (McLaughlin, Keller, Feeny, Youngstrom, & Zoellner, 2014), which may not
be accurately reflected in linear models. Notably, we explicitly omitted such papers from this
review (e.g., Zilcha-Mano, Eubanks, Bloch-Elkouby, & Muran, 2020) for methodological
consistency and interpretation, as well as our focus in examining the links between outcomes and
alliance throughout the entire course of therapy. Thus, future studies should explore the use of
nonlinear and curvilinear models, which could help elucidate the temporal patterns associated
with change processes. Perhaps the alliance is critical early in the therapeutic process and less
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susceptible to ruptures later on in treatment. In order to study temporal patterns, research must
make use of repeated measurement of alliance and symptoms over the course of treatment.
Identifying a time course of possible mediators, such as the alliance, will help clinicians better
understand when and where in treatment they might wish to direct their focus.
Identifying mediators ultimately relies on sound study designs including RCTs and
careful assessment of putative mediators to allow for an examination of temporality and
specificity. It will be important for future research to make use of these study designs. Better
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understanding the mechanistic role of alliance will be assisted by research on alliance that is
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crafted during study design rather than being a secondary analysis of treatment data.
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Approaching the study of alliance from the outset will enable researchers to ensure inclusion of
important aspects of sound process research such as multiple assessments of alliance and other
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putative change processes that might interact with alliance throughout the duration of treatment.
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Finally, as the alliance-outcome relationship is better understood, research should

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continue to examine possible moderators of the relationship, such as therapist effects or patient
characteristics. Recent research, for example, has demonstrated that impact of alliance on
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outcomes may be more relevant for some patients than others. Specifically, the impact of alliance
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on symptom change in patients receiving treatment for depression has been affected by
chronicity of depression, whereby the effects of alliance on outcome were greatest among
patients with fewer prior depressive episodes (e.g., Lorenzo-Luaces, DeRubeis, & Webb, 2014;
Lorenzo-Luaces et al., 2017). It is thus likely that alliance drives therapeutic change to a greater
degree for certain patients.
Clinically, cultivation of alliance should be prioritized at the earliest stages of treatment.
In addition to being broadly associated with optimal treatment outcomes, a stronger alliance
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appears to also itself reflect an independent contributor to symptom reduction and likely be one
of the many processes driving change across therapy types, patient characteristics, and treatment
settings. Notably, while alliance appears to mediate change for some patients, it is also clear that
other treatment processes and techniques impact outcomes as well. Treatment process research
studying psychotherapy mechanisms has consistently implicated the role of specific processes on
symptom reduction (e.g., change in posttraumatic cognitions and fear reduction; Cooper et al.,
2017) in prolonged exposure for posttraumatic stress disorder). The current review suggests
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however that, in addition to these specific treatment components, alliance itself often also
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contributes to therapeutic change for patients. It is thus possible alliance independently drives
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therapeutic change; however, it is likely more plausible that the alliance does not act in isolation
but rather facilitates other treatment processes (Lorenzo-Luaces & DeRubeis, 2018; Rothman,
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2013). For example, the alliance between a patient and provider likely impacts the design and
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assignment of homework, creation of exposure exercises, or receptivity to Socratic dialogue.

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Finally, in addition to alliance being particularly salient for symptom change among certain
patients, it is also likely that the alliance may be more relevant for the implementation of certain
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techniques rather than others (Tschacher, Junghan, & Pfammatter, 2014). Thus, perhaps the
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quest to resolve the debate between whether specific or common factors are responsible for
therapeutic change is misguided. Research efforts that consider the complexity of the therapeutic
change process between specific and common factors and that capitalize on recent
methodological and statistical advances would further propel our scientific understanding of
change processes.
Given the importance of the alliance, clinicians should consider introducing routine and
systematic ways of monitoring the alliance such as with brief, validated patient-rated measures
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(e.g., WAI; (Horvath & Greenberg, 1989). It is well-documented that there are benefits to
monitoring patient progress throughout the course of psychotherapy to track gains or setbacks
and make adjustments to the therapy as needed (Knaup, Koesters, Schoefer, Becker, & Puschner,
2009; Lambert & Lo Coco, 2013; Lambert & Shimokawa, 2011; Sapyta, Riemer, & Bickman,
2005). In addition to symptom monitoring, clinical outcomes across treatment are bolstered by
patient feedback related to the alliance (MacDonald, 2014; McClintock, Perlman, McCarrick,
Anderson, & Himawan, 2017; Norcross & Wampold, 2011). Systematically monitoring the
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alliance would also assist clinicians’ attention to potential therapeutic ruptures, which have been
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shown not to negatively affect outcome so long as they are repaired (McLaughlin et al., 2014).
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Furthermore, studies have found that alliance scores are not inflated due to the presence of a
therapist or knowing that the scores would be reviewed by a therapist, which should relieve
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clinician concerns regarding demand characteristics or social desirability of regular
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administration of alliance measures within psychotherapy (Reese et al., 2013).

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Key strengths of this review include its systematic search adherent to PRISMA
guidelines, with a comprehensive examination of therapeutic alliance through mediation analyses

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and thus a mechanistic viewpoint. A diverse range of patients, primary diagnoses,

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psychotherapies, and treatment settings were included enhancing the generalizability of the
findings. However, findings should be interpreted in the context of several limitations. As
presented in Table 1, study characteristics varied widely which should be considered in the
context of this review’s conclusions. Given the variability in methodological design implemented
across studies, we elected not to conduct a meta-analysis. We also note that the variables in the
relationships with alliance as a mediator (i.e., “X” and “Y” variables) were not uniform. The
heterogeneity of factors precluded the possibility of reliably and meaningfully evaluating the size
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of effects related to alliance as a mediator. Advancements in methodology ultimately equate to
advancements in what can be reliably concluded regarding processes of change and, more
broadly, how treatments work (Zilcha-Mano, 2019). Notably, this review highlights significant
advancements in analytic approaches and methodology in recent years, with roughly half of
included studies published within the last five years. Recent papers have shifted from
correlational analyses taken at a snapshot during treatment to more advanced longitudinal models
that provide more precise estimates of the relationship between alliance and outcomes.
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Additional progress in design and methodology will better illuminate the role that alliance plays
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in driving therapeutic change and enable future meta-analytic studies.
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Results of the current review suggests that alliance itself may be an independent driver of
therapeutic change. In the majority of studies included in the current review, alliance mediated
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symptom reduction, supporting the alliance as a potential causal process, either independently or
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in conjunction with other change processes. This effect was observed across a broad range of
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patients, disorders, and settings that were included in this review. Alliance likely impacts
psychotherapy in complex ways, reflecting the need for future targeted research to untangle these
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complex interactions and better elucidate when, how, for whom, and the extent to which alliance
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serves as a mediator of outcome.

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Acknowledgements
The authors wish to thank Alexandra Bowling for her diligent review of articles included in this
review.
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ALLIANCE AS A MEDIATOR OF CHANGE Journal Pre-proof 43
Table 1
Characteristics and results of 37 identified studies aimed at examining the potential role of the therapeutic alliance as a mediator of treatment outcomes and the
extent to which they meet requirements for process research.
Study Characteristics and Results Requirements for Process Research

Primary Setting & Diagnosis Alliance Timepoint of Statistical Main Finding(s) RCT Disentan N 40 Multiple Temporal Manipula
Author, Intervention(s)* Measure Alliance Measure Mediation gled Mediator ity tion
Date
DeRubeis
et al.,
Outpatient Center;
CT (n = 25)
MDD PHAS
(observer)
Session 2 plus
one tape from
Method
Temporal
correlations
No significant correlation
between alliance and subsequent
o
0
f Effects
0 0 1 1 0
o
1990 each of the change or prior change scores.
r
following
periods: weeks 4-
Feeley et
al., 1999
RCT data; Combined
sample: CT & CT +
MDD PHAS
(observer)
6; 7-9; 10-12
Same as
DeRubeis et al
Temporal
correlations
- p
No significant correlation
between alliance and subsequent
0a 0 0 1 1 0
Barber et
ADM (n = 25)
Combined data from Mixed CALPAS

1990
End of sessions Temporal

r e
change or prior change scores.
Alliance predicted symptom 0 0 1 1 1 0

al., 2000 four open trials;
Supportive-Expressive
Dynamic Therapy (n =
(patient) 2, 5, 10, and each
5th session
thereafter
correlations
l P
change. Depression predicted
late alliance but not early
alliance.
a
88)
n
Zuroff et RCT data; Combined MDD VTAS Sessions 3 & 15 Causal steps Increase in alliance partially 0a 0 1 0 1 0
r
al., 2000 sample: IPT, CBT, (observer) mediated the relationship
ADM + CM & placebo between perfectionism and
+ CM (n = 149)
u outcome.
Jo
Wilson et RCT data; Combined BN HRQ End of session 4 Causal steps Alliance did not mediate the 1 0 1 1 0 0
al., 2002 sample: CBT & IPT (n (patient) relationship between treatment
= 154) type and outcome.
Klein et RCT data; MDD WAI- Weeks 2 (after 3- Mixed effects Early alliance predicted change 1 0 1 1 1 0
al., 2003 CBASP (n = 169) Abbreviat 4 sessions), 6 growth in depressive symptoms, no
vs. ed 4-items (after 8-12 modeling treatment moderation. The
CBASP + ADM (n = (patient) sessions), and 12 reverse relationship was not
198) (after 16-20 observed.
sessions)
Baldwin Naturalistic database Mixed WAI Prior to session 4 Multilevel Therapist variability in alliance, 0 1 1 0 0 0
et al., collected from 45 (patient) mediation model but not patient variability,
2007 University counseling accounted for the relationship
centers; Various between pretreatment scores and
psychotherapy outcome.
treatment (n = 331)
Spinhove RCT data; BPD WAI-SF After 3, 15, and Longitudinal Alliance predicted change in 1 0 1 1 1 0
n et al., SFT (n = 44) (patient 33 months multilevel model symptoms. The reverse
2007 vs. and relationship was not observed.
TFP (n = 34) therapist)
Forbes et Academic treatment PTSD WAI-SF 3 weeks post Causal steps Alliance did not mediate the 0 0 1 1 0 0
al., 2008 center; Unspecified (patient intake relationship between anger at
psychotherapy and intake and post treatment
treatment (n = 103) therapist) symptoms
Byrd et Naturalistic database Mixed WAI-SF After session 3, Causal steps Alliance mediated the 0 0 1 0 0 0
f
al., 2010 from a University (patient) 4, or 5 with Sobel test relationship between comfort
training clinic; Various with closeness (attachment) and
psychotherapy
treatment (n = 66)
outcome
o
Owen et
al., 2011
Naturalistic database
from University
counseling center;
Mixed ITASr-SF
(patient)
End of academic
quarter
Causal steps
with bootstrap
method
Alliance mediated the
ro
relationship between clients'
p
perceptions of microaggressions
0 0 1 0 0 0
Crits-
Various psychotherapy
treatment (n = 232)
Data from a study on MDD CALPAS After sessions 3- Longitudinal -
and therapy outcomes
e
Alliance predicted next session 0 0 1 1 1 0
Christoph
et al.,
2011
training therapists;
Alliance-Fostering
Therapy (n = 45)
(patient) 16 multilevel model
r
symptom change. The reverse
relationship was observed only
P
in later treatment sessions.
Webb et
al., 2011
RCT data;
CT (n = 105)
MDD WAI-SF
(observer)
Session 3 and 3rd
to last session
a l
Multiple
regressions with
change scores
Early alliance significantly
predicted depressive symptom
improvement
0 0 1 0 1 0
Hirsh et
al., 2012
Subsample RCT data;
DBT (n = 43)
vs.
BPD WAI-SF
(patient)
Baseline, 4, 8,
and 12 months
u rnCausal steps
with product of
coefficient
relationship between
agreeableness and outcome in
1 0 1 0 1 0
o
GPM (n = 44) method DBT only
Strunk et
al., 2012
Falkenstr
om et al.,
RCT data;
CT + ADM arm (n =
176)
Primary Care;
MDD
Mixed
WAI-SF
(observer)
WAI-SF
(patient)
J Sessions 1-3
After every
session
Longitudinal
model
Longitudinal
multilevel model
Alliance scores did not predict
subsequent symptom change
Within-patient alliance predicted

next session symptom change
0a
0
0
1
1
1
1
1
1
1
0
2013 treatment including and vice versa. There was no

supportive, treatment moderation.
psychodynamic, and
CBT (n = 646)
Patterson University training Mixed WAI-SF After session 3 Causal steps Alliance did not mediate the 0 0 1 0 0 0
et al., clinic; Unspecified (patient) with Sobel test relationship between treatment
2013 psychotherapy (n = 68) expectancy and outcome
Sasso et RCT data; MDD WAI-SF Sessions 1-4 Longitudinal Within-patient and between- 0a 1 1 1 1 0
al., 2014 CT arm (n = 60) (observer) model patient alliance scores did not
predict subsequent symptom
change early in treatment
Yoo et al., Data from 13 Mixed WAI-SF After the 3rd Multilevel Alliance mediated the 0 0 1 0 0 0
2014 University counseling (patient) session mediation model relationship between treatment
centers, 4 community with bootstrap expectancy and outcome
counseling centers, and method
7 private practices;
treatment (n = 284)
Zilcha- RCT data; SET (n = MDD WAI Weeks 2, 4, 8, AR longitudinal Alliance predicted subsequent 1 0 1 1 1 0
Mano et 49) vs. CM + ADM (n (patient) and 16 multilevel model symptom levels, an effect not
al., 2014 = 51) vs. CM + PBO (n moderated by treatment type.
= 49)
McClinto
ck et al.,
2015
Naturalistic database
from University clinic;
Mixed WAI-SF
(patient)
Average of
Sessions 3-9
Causal steps
with bootstrap
method
relationship between expectancy
and outcome
o
0
f 0 1 1 0 0
ro
treatment (n = 116)
Burns et RCT data; Combined Chronic WAI-SF Week 4 and week Cross-lagged Alliance was associated with 0a 0 1 1 1 0
al., 2015 sample:
Enhanced CBT & CBT
(n = 94)
Pain (patient) 8 panel
correlations
p
subsequent symptom change.
-
Xu et al.,
2015
Naturalistic sample
from university
Mixed WAI-SF
(patient)
Prior to each
session starting
Latent change
score modeling
r e
Alliance predicted subsequent
symptom improvement and vice
0 0 1 0 1 0
training clinic; Various

psychotherapy
treatment (n = 638)
with session 3
l P
versa
Klug et
al., 2016
Data from comparative
trial in outpatient
MDD HAQ
(patient
Every 3 months
(CBT) and 6
n a
Multilevel
mediation model
Alliance did not mediate the
relationship between treatment
1 0 0 1 0 0
r
university clinic; and months (PA, PD) type and outcome
PA (n = 35) therapist)
vs.
PD (n = 31)
u
Jo
vs.
CBT (n = 34)
Kushner RCT data; MDD CALPAS 3rd and 12th Serial multiple Alliance mediated the 1 0 1 0 1 0
et al., ADM (n = 74) (patient session mediation model relationship between
2016 vs. and with bootstrap agreeableness and symptom
IPT (n = 65) therapist) method change, an effect not moderated
vs. by treatment
CBT (n = 70)
Maitland RCT data; Mixed WAI-SF Average of Causal steps Alliance mediated the 1 0 0 0 0 0
et al., FAP (n = 11) (patient) sessions 1-3 with bootstrap relationship between treatment
2016 vs. method condition symptom change.
WW (n = 11)
Falkenstr RCT data from MDD WAI-SR After every Dynamic panel Alliance predicted next session 1 1 1 1 1 0
om et al., community-based (patient) & session data model symptom change. Results were
2016 psychiatric clinic; WAI-SF not moderated by treatment and
CBT (n = 43) (therapist) the reverse relationship was not
vs. observed.
IPT (n = 41)
Zilcha- RCT data; Mixed WAI Sessions 1-4 Multilevel Early alliance development 0a 0 1 0 1 0b
Mano et Various psychotherapy (patient) mediation model predicted treatment outcome for
al., 2017 treatment (n = 166) patients with pretreatment
with therapists interpersonal problems
randomized to different
feedback conditions
Lawson et University training PTSD ITA-RS Session 3 or 4 Causal steps Alliance mediated the 0 0 1 0 0 0
al., 2017 clinic; Integrated (patient) with bootstrap relationship between baseline
Relationship and method interpersonal problems and
Trauma-Based CBT (n dissociation posttreatment, but
= 76) not between interpersonal
problems and trauma symptoms
posttreatment
o f
Renner et
al., 2018
Specialized care
facility; SFT (n = 20)
MDD SRS
(patient)
After every
session
AR longitudinal
multilevel model
r o
Alliance did not predict change
in depressive symptoms nor vice
versa.
0 0 0 1 1 0
Sauer-
Zavala et
RCT data;
UP (n = 77)
Mixed
Anxiety
WAI-SF
(patient)
After session 4 Causal steps
with bootstrap
- p
relationship between treatment
1 0 1 0 0 0
al., 2018 vs.

SDP (n = 76)
Disorders method
e
expectancy and change in
r
symptoms in SDP but not UP.
Santoft et
al., 2019
RCT data; CBT (n =
40)
vs.
Exhaustio
n Disorder
WAI-SF
(patient)
After every
session
Multilevel
mediation model
l P
Therapeutic alliance did not
mediate the relationship between
condition and burnout.
1 0 1 1 1 0
a
RTW-I (n = 42)
n
Rubel et RCT data; CBT (n = GAD WAI-SF After every Dynamic Within-patient alliance scores 1 1 0 0 1 0
r
al., 2019 57) with patients (patient) session structural were associated with reduction in
randomized to three equation anxiety and increase in coping
different priming
conditions (n = 19 per
u modeling experiences during the following
session. Results were not
Jo
condition) moderated by condition.
Brattland Naturalistic RCT; Mixed WAI-SF At Session 1 and Multilevel Alliance mediated the 1 0 1 0 0 0
et al., various psychotherapy (patient) after 2 months of mediation model relationship between treatment
2019 treatment with patients treatment condition and outcome.
randomized to TAU (n
= 74) or ROM (n = 69)
Gomez- RCT data; EBCT (n = MDD WAI-SF After every Hybrid random Within-patient and between- 1 1 1 0 1 0
Penedo et 70) vs. CBT (n = 71) (patient) session effects model patient alliance predicted next
al., 2020 session symptomatology even
when adjusting for treatment
condition
Leibovich RCT data; combined MDD WAI-SF Session 4 Causal steps Alliance mediated the 0a 0 1 0 0 0
et al., sample of supportive (patient) with bootstrap relationship between supportive
2020 therapy vs supportive- method techniques and outcome
expressive therapy (n =
61)
Sullivan Naturalistic database Mixed ITA-RS Early (session 3 Causal steps Alliance did not mediate the 0 0 1 1 0 0
et al., from a University or 4); middle with bootstrap relationship between early
2020 training clinic; trauma- (between sessions method interpersonal distress and
based CBT and 6-8); late outcome
relational-based CBT (between sessions
(n = 137) 16-24)
Note: Column Headings: RCT = Randomized Controlled Trial; n 40 = Sample size per treatment arm is at least 40 or, combined is at least 40 if study did not examine treatment
effects; Control = Control Group; Multiple Mediators = Study included more than alliance as a potential mediator; Temporality = Study included two or more assessments of
alliance during treatment phase; Manipulation = Manipulation of Alliance; 0 = Absent/No; 1 = Present/Yes. *Denotes reported sample size used in analysis; a Denotes data comes
from RCTs but authors do not make use of RCT design in analyses such as by looking at treatment moderation; b Study randomized clinicians to different kind of feedback
pertaining to the alliance but did not examine this manipulation in the analyses. Interventions: CT = Cognitive Therapy; ADM = Antidepressant Medication; IPT = Interpersonal
Therapy; CBT = Cognitive Behavioral Therapy; EBCT = Exposure-Based Cognitive Therapy; CM = Clinical Management; CBASP = Cognitive Behavioral Analysis System of
f
Psychotherapy; SFT = Schema Focused Therapy; TFP = Transference Focused Psychotherapy; PA = Psychoanalytic; PD = Psychodynamic; DBT = Dialectical Behavior Therapy;
GPM = General Psychiatric Management; FAP = Functional Analytic Psychotherapy; WW = Watchful Waiting; UP = Unified Protocol; SDP = Single Disorder Protocols
o
(empirically supported); RTW-I = Return to Work Intervention; ROM = Routine Outcome Monitoring. Diagnosis: MDD = Major Depressive Disorder; BN = Bulimia Nervosa;
r o
BPD = Borderline Personality Disorder; PTSD = Posttraumatic Stress Disorder; GAD = Generalized Anxiety Disorder. Alliance Measures: WAI = Working Alliance Inventory;
WAI-SF = Working Alliance Inventory Short Form; WAI-SR = Working Alliance Inventory Scale Revised; CALPAS = California Psychotherapy Alliance Scale; PHAS = Penn
- p
Helping Alliance Scale; VTAS = Vanderbilt Therapeutic Alliance Scale; HRQ = Helping Relationship Questionnaire; HAQ = Helping Alliance Questionnaire; HAQ-R = Helping
Alliance Questionnaire-Revised; HAq-II = Helping Alliance Questionnaire-II; ITASr-SF = Individual Treatment Alliance Scale Revised-Short Form; ITA-RS = Individual
e
Therapy Alliance Revised/Shortened; SRS = Session Rating Scale. AR = autoregressive.
P r
a l
r n
u
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Table 2.
Number (%) of studies meeting criteria for process research (n = 37)
Requirement n studies (%)
RCT, yes, n (%) 13 (35.1)
Disaggregated within and between-patient effects, yes, n (%) 7 (18.9)
Sample size per condition 40, yes, n (%) 30 (81.1)
Multiple mediators, yes, n (%) 19 (51.4)
of
Temporality, yes, n (%) 22 (59.5)
ro
Manipulation of mediator, yes, n (%) 0 (0.00)
-p
Note. RCT = randomized controlled trial; n = number of studies, % = percent of studies
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Journal Pre-proof
Running head: ALLIANCE AS A MEDIATOR OF CHANGE 43
Figure 1.
PRISMA flow diagram of study identification and selection process
Unique records identified Additional records identified

through PsycINFO database through reference lists of other
Identification
searching with initial screening reviews, meta-analyses, and

criteria manuscripts
(n = 1,613) (n = 59)
of
Records after duplicates removed and
screened on the basis of title (n = 1,651)
ro
Records excluded (n = 287):
-p
Screening
- No mediation (n = 28)
- Case study (n = 38)
Records screened on basis
- Group treatment (n = 7)
re
of abstract
- Not adult (n = 14)
(n = 479)
- Not empirical (n = 137)
lP
- Not psychotherapy (n = 59)

- Telehealth (n = 4)
na
Eligibility
Full-text articles excluded (n = 155):

Full-text articles assessed - No mediation (n = 77)
ur
for eligibility - Case study (n = 1)

(n = 192) - Group treatment (n = 13)
- Inpatient treatment (n = 4)
Jo
- No validated alliance measure (n =

5)
- Not adult (n = 3)
- No validated symptom outcome
measure (n = 13)
Included
- Not empirical (n = 17)

Included
- Not psychotherapy (n = 4)
Studies included in present - Telehealth (n = 8)
review - Same data as another study (n =
(n = 37) 10)
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Role of funding sources

This work was supported by the National Institute of Mental Health (R01 MH066348) awarded
to NCF. The funding source had no role in study design, analysis, writing or decision to submit
this paper for publication.
Contributors
ALB developed the concept for the study and reviewed the literature. ACK and NCF consulted
on scope of the review and relevant methodology such as search terms and inclusion/exclusion
criteria. ALB wrote the first draft of the manuscript and all three authors contributed to and have
approved the final manuscript.
Conflict of interest
All authors declare that they have no conflicts of interest.
of
Acknowledgments
The authors wish to thank Alexandra Bowling for her diligent review of articles included in this
ro
review.
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Highlights
 We evaluated studies examining the alliance as a mediator of change in psychotherapy.
 Alliance plays an important role pantheoretically.
 Studies displayed methodological and statistical heterogeneity.
 Steps for improving future mediation research are proposed.
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Author Biographies
Allison L. Baier, M.A., is a doctoral candidate at Case Western Reserve University. Her research
interests include understanding mechanisms underlying treatment outcomes and effectively
increasing dissemination and implementation of evidence-based interventions for PTSD.
Alexander C. Kline, Ph.D., is a graduate of Case Western Reserve University and current
Postdoctoral Fellow at UCSD/VA San Diego Healthcare System. His research focuses on
interventions for PTSD and related comorbidities, with emphasis on processes and predictors
linked to clinical outcomes.
Norah C. Feeny, Ph.D., is a Professor in the Department of Psychological Sciences at Case

Western Reserve University. Her research interests include examining patient preferences,
of
evaluating interventions for PTSD, and understanding what predicts who will benefit from these
treatments.
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Therapeutic alliance as a mediator of change: A systematic review

Allison L. Baier, Alexander C. Kline, Norah C. Feeny

To appear in: Clinical Psychology Review

Received date: 25 November 2019

© 2019 Published by Elsevier.

Therapeutic Alliance as a Mediator of Change: A Systematic Review and Evaluation of Research

Allison L. Baiera, Alexander C. Klinea1, & Norah C. Feenya

Psychological Sciences, 11220 Bellflower Road, Cleveland, OH, USA, 44106-7123

Corresponding author: Allison L. Baier, Case Western Reserve University, Department of

Psychological Sciences, 11220 Bellflower Road, Cleveland, Ohio 44106. Email:

alb184@case.edu; Phone: 216-368-8934.

mechanism underlying psychotherapy response. This systematic review evaluated research

examining the alliance as a potential mediator of symptom change, reviewing study

therapeutic outcomes in 70.3% of the studies. We observed significant heterogeneity across

studies in terms of methodology, including timing of alliance assessment, study design,

constructs used in mediation models, and analytic approaches. Building on recent

Keywords: alliance, mediator, mechanism, psychotherapy, systematic review

Therapeutic Alliance as a Mediator of Change: A Systematic Review and Evaluation of Research

psychotherapies, including an increasing number of evidence-based psychotherapies with well-

response or nonresponse, thereby optimizing treatments and ultimately providing more

personalized, effective care.

One hypothesized process underlying treatment response is the therapeutic alliance.

associated with positive treatment outcomes across a range of psychotherapies as evidenced by

.28; k = 190; Martin, Garske, & Davis, 2000: r = .22, k = 79).

2015). As a consequence, some methodologists argue alliance is a nonspecific treatment factor

process impacts outcomes. Additionally, a greater understanding of the alliance’s role in

which treatments lead to change.

Requirements for a Mediator

mediation analyses (Kazdin, 2007).

A mediator (variable M) is an intervening variable that statistically explains or accounts

methods, readers are directed to MacKinnon and colleagues’ review (2007).

In addition to the mechanics of the mediation analysis, methodologists are increasingly

advocating for researchers to disentangle within-patient and between-patient effects in process

between-patient variation in alliance scores, is an important consideration for process research

that seeks to uncover why and how change occurs.

In sum, methodological approaches are integral to identifying and assessing proposed

by the types of analyses employed in studying this process.

Advances in Assessing Mediation

Mediators are an important first step in understanding hypothesized change processes;

hypothesized mediator through experimental designs (termed, ‘experimental manipulation’) to

mechanisms of change, some experts suggest that in statistical mediation, temporality,

statistical methodology) to better understand mediators in psychotherapy.

To date, meta-analyses have examined the alliance-outcome relationship as well as

alliance serves as a potential mediator of change in psychotherapy—and whether alliance may be

understanding the specific change processes occurring in treatment.

Aims of Current Review

potential role of the therapeutic alliance as a mediator of change in psychotherapy. As therapy

alliance is supported as a possible mediator of therapeutic change.

treatment(s)/intervention(s)” OR “Interpersonal (psycho)therapy” OR “psychodynamic/analytic

“mechanism” OR “mechanisms of change/action” OR “working mechanisms (of

psychotherapy)” OR “processes of therapy” OR “process research” OR “change” OR

commentaries, theoretical essays, meta-analyses, systematic reviews, and qualitative studies

characteristics included: psychotherapy intervention type(s), primary diagnosis of the sample,

one study, assessment of temporality (defined as 2 or more assessments of the therapeutic

average), and direct experimental manipulation of alliance. We chose to follow guidelines

1), Psychodynamic Therapy (PD, k = 1), Cognitive Behavioral Analysis System of

Psychotherapy (CBASP, k = 1), Transference Focused Psychotherapy (TFP, k = 1), Functional

(RTW-I, k = 1). Six studies included a combined treatment or pharmacologic treatment.

studies as can be seen in Table 1.

mediator (10/13 studies).

providing support for alliance as a common factor across treatments.

used longitudinal multilevel models to examine whether alliance predicted symptom