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Disability and Rehabilitation

ISSN: 0963-8288 (Print) 1464-5165 (Online) Journal homepage: https://www.tandfonline.com/loi/idre20

Understanding the therapeutic alliance in stroke


rehabilitation

Megan Bishop, Nicola Kayes & Kathryn McPherson

To cite this article: Megan Bishop, Nicola Kayes & Kathryn McPherson (2019): Understanding
the therapeutic alliance in stroke rehabilitation, Disability and Rehabilitation, DOI:
10.1080/09638288.2019.1651909

To link to this article: https://doi.org/10.1080/09638288.2019.1651909

Published online: 21 Aug 2019.

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DISABILITY AND REHABILITATION
https://doi.org/10.1080/09638288.2019.1651909

ORIGINAL ARTICLE

Understanding the therapeutic alliance in stroke rehabilitation


Megan Bishopa,b , Nicola Kayesa and Kathryn McPhersona,c
a
Centre for Person Centred Research, Auckland University of Technology, Auckland, New Zealand; bSchool of Physiotherapy, University of
Otago, Wellington, New Zealand; cHealth Research Council of New Zealand, Auckland, New Zealand

ABSTRACT ARTICLE HISTORY


Purpose: The quality of the therapeutic alliance between a client and their clinician is thought to play an Received 12 November 2018
important role in healthcare but there is limited research about this concept in stroke rehabilitation. This Revised 30 July 2019
study explored the core components of a therapeutic alliance and the factors perceived to impact on its Accepted 31 July 2019
development in a stroke rehabilitation unit.
KEYWORDS
Methods: Interpretive description methodology was used to gather and synthesise participants’ experien- Therapeutic alliance;
ces of their therapeutic relationships. Ten individual client interviews and one clinician focus group were working alliance;
conducted. Data was were analysed using conventional content analysis. therapeutic relationship;
Results: A therapeutic alliance appeared to consist of three overlapping core components: a personal rehabilitation; collaboration
connection, a professional collaboration, and family collaboration. Clients valued these components to dif-
ferent degrees and priorities could change over time. Alliance breakdowns were perceived to stem from
a clinician’s incorrect assumptions about their client’s relationship preferences or lack of responsiveness
to their needs. Recovery of the alliance seemed to depend on the strength of the pre-existing relation-
ship and steps taken to repair it.
Conclusions: Establishing and maintaining a therapeutic alliance appears to be an individualised and
complex process. A clinician’s ability to use their personal attributes therapeutically, and professional skills
flexibly, appeared integral to relationship quality.

ä IMPLICATIONS FOR REHABILITATION


 Developing therapeutic relationships requires a person-centred and sometimes family/whanau-
centred approach.
 The judicious use of self-disclosure may achieve emotional proximity and yet maintain professional
boundaries.
 Maintaining relationship health requires a proactive approach to detect and manage relationship
disruptions.

Introduction maintenance, and repair of this collaboration [21,22]. The


“therapeutic alliance” is a technical term, but it expands upon and
The quality of the therapeutic alliance has long been viewed as a
recognises the value in, a concept that is familiar to all health
catalyst for treatment success, with most evidence embedded in
professionals: the relationship between clinician and client that
30 years of psychotherapy and mental health research [1–3]. More
recently, researchers have demonstrated the alliance’s potential to acts as a vehicle to facilitate (or impede) treatment success
augment outcomes in cardiac [4] and musculoskeletal rehabilita- and recovery.
tion [4,5], diabetes management [6], and chronic pain [7,8]. Within Bordin’s [21] theoretical framework underpins the majority of
brain injury rehabilitation, the therapeutic alliance has been linked studies evaluating the alliance and its effectiveness in brain injury
to enhanced functional status [9,10], productivity [10–15], self- rehabilitation [9,10,13,17,23,24]. However, there is a paucity of
awareness [16], and emotional regulation [17]. These findings add research examining whether psychotherapy-based alliance con-
weight to the argument that it is not simply what we do with our cepts and measures actually fit brain injury rehabilitation.
clients, but the way we engage with them that may mediate Rehabilitation explicitly recognises individuals and their families as
rehabilitation outcomes [18–20]. integral members of the team [25], and recommends that clini-
The origins of the “therapeutic alliance” or “working alliance” cians share decision-making, knowledge, and expertise with family
lie in psychodynamic theory, where it has been defined as the to promote continuity of care and ongoing adjustment to disabil-
degree in which the client–therapist partnership is engaged in ity [26–29]. Such studies have concentrated on the team–family
collaborative, purposeful work [21]. Bordin [21] proposed that the (rather than team–client–family) partnership, so there remains a
alliance is comprised of the interpersonal bond between clinician lack of clarity around how clinicians might involve family within
and client, and their level of agreement around the goals and their therapeutic alliances with their clients. For clients, it is plaus-
tasks of therapy. As the alliance supports and reflects the work of ible that the nature of their neurological difficulties and the
therapy, careful attention needs to be paid to the development, rehabilitation environment may necessitate a different type of

CONTACT Megan Bishop megan.bishop@otago.ac.nz School of Physiotherapy, Wellington School of Medicine, University of Otago, P.O. Box 7343, Wellington
South 6140, New Zealand
ß 2019 Informa UK Limited, trading as Taylor & Francis Group
2 M. BISHOP ET AL.

alliance compared to those engaged in counselling-based therapy. Participants


Accruing information around therapeutic alliance priorities in
Participants included both clients admitted to and clinicians work-
stroke rehabilitation is important as some people with brain inju-
ing in a regional, inpatient rehabilitation unit in New Zealand.
ries have indicated that the quality of the clinical partnership is
Client participants were eligible if they: (a) had a stroke diagnosis,
more important than the content of therapy or its outcomes [30]
(b) had received a minimum of at least two weeks of inpatient
and affects their perceptions of rehabilitation success [17,31]. For
rehabilitation to ensure that they had opportunity to work with
rehabilitation clinicians, understanding what contributes to and
several staff, (c) were able to communicate in English without the
influences the alliance could assist in illuminating the competen-
support of an interpreter, and (d) were over the age of 18 and
cies and attributes required to create, maintain, and repair this
able to provide informed consent. They were excluded if they had
seemingly important and valued therapeutic process. Certain pro-
underlying cognitive issues such as dementia if that would pre-
fessional skills may augment the alliance. Neuropsychologists
clude their meaningful participation in an interview and/or if their
have been proposed as more frequently able to form “good” or
stroke was not their primary reason for admission. Clinician partic-
“excellent” alliances, based on self-ratings, compared to physio-
ipants were eligible if they had worked in rehabilitation for at
therapists [15]. This may be explained by their expertise in sup-
least one year with the intention that this would allow sufficient
porting clients to circumnavigate deficits in memory, insight, and
time to have consolidated their technical skills and be able to
flexibility of thought, which are perceived to be particularly prob-
reflect on the nature of their relationship with clients (their thera-
lematic in forming therapeutic alliances [32]. Alliance breakdowns
peutic alliances).
may stem from neuro-behavioural difficulties and the clinician’s
competencies. For example, video-recorded interactions between
people with brain injuries and speech–language therapy students Sampling and recruitment
highlighted that the students’ inconsistent and inexperienced
Members of the rehabilitation team referred prospective client
responses to displays of sexually disinhibited behaviour contrib-
participants who met the eligibility criteria to the research team.
uted to these breakdowns [33]. However, empirical evidence has
All potential participants received study information tailored to
demonstrated only weak correlations between a range of scores
allow those with cognitive and communication needs to make an
on cognitive tests and the alliance, suggesting that a good alli-
informed decision to take part or not. From there, client partici-
ance may be feasible even for clients with cognitive deficits [24].
pants were purposefully selected to ensure diversity in type and
This research aimed to identify and explore the core components
severity of impairments, ethnicity, and rehabilitation duration. As
of a therapeutic alliance from the perspectives of people who
the research progressed, theoretical sampling, a feature of
have experienced a stroke and rehabilitation clinicians, and the
grounded theory [40], enabled exploration of preliminary ideas
factors that may help or hinder these alliances.
and helped to refine interpretation of data. For example, concur-
rent data collection and analysis highlighted the dearth of rela-
Methods tionship experiences with social workers; therefore the remaining
two client participants were recruited who had received substan-
Design
tive social work input to further explore these perceptions. We
Interpretive description is an inductive exploration of a phenom- aimed to recruit ten client participants as this was considered suf-
enon (the therapeutic alliance) with the aim of illuminating pat- ficient in providing a meaningful portrayal of the alliance and
terns and themes while accounting for differences between enabled adequate diversity within the sample [39]. Consistent
individual perspectives [34]. As a result, it has been shown to cap- with interpretive description, we drew on the concept of
ture the complexities and nuances associated with healthcare “information power” [41] to inform sample size decisions. As such,
[34]. With philosophical roots in naturalism, interpretive descrip- sample size (and consequent information power) was regularly
tion is underpinned by the assumption that human experience is reviewed by examining the specificity of our sample and the qual-
constructed, complex, and context dependent; the researcher and ity of the data collected in relation to our study’s aims and ana-
participant interact and influence each other, and that pre-exist- lysis procedures [41].
ing theory is unlikely to account for the variations of the phenom- For clinician participants, the study was advertised on the unit
enon under study [34,35]. Interpretive description was originally and interested clinicians contacted the primary researcher directly.
developed for nursing research as a non-categorical, applied Purposeful sampling sought diversity in discipline, clinical experi-
methodology with a primary focus on developing practice ence, ethnicity, and gender.
insights and solving complex health problems [36]. To that end, it All those who chose to take part provided written consent. In
draws on methods from other methodological traditions such as accordance with ethical and legislative requirements, study partici-
grounded theory and phenomenology where necessary to main- pation was voluntary, and privacy and confidentiality maintained.
tain the pragmatic utility of findings and to critically explore
anticipated and unanticipated differences within clinically relevant
Data collection
phenomenon [37]. While other qualitative methodologies fre-
quently draw on a specific philosophical lens to inform the Semi-structured individual and focus group interviews following a
approach and support their interpretation of data, interpretive topic guide provided the primary source of data (see Table 1 for
description aims to explore phenomenon in its natural state examples of interview questions).
[36,38]. A unique feature of interpretive description is that it Client participants were individually interviewed in order to
builds a theoretical scaffold from existing substantive theory and accommodate their stroke-related needs and preferred level of
evidence, as well as disciplinary knowledge [39], with a focus on family/whanau (refers to the wider family network in Te Reo
producing findings that have relevance, meaning, and utility to Maori, New Zealand’s indigenous language) involvement and
augment practice knowledge [36,37]. The study received ethical ranged from 34 to 84 min. One focus group interview (co-facili-
approval from the Auckland University of Technology’s Ethics tated by MB and NK) was held with clinician participants, lasting
Committee (reference 12/237). 82 min. The lead author (MB) was the primary facilitator with NK
THERAPEUTIC ALLIANCE IN STROKE REHABILITATION 3

Table 1. Examples of interview questions. Within each transcript, the categories were examined separately,
Participant and codes checked against each other and the raw data. A
group Sample questions “memo” column was added alongside the categories to enable
Client Can you think of a therapist or nurse with whom you have a concurrent documentation of thoughts triggered during the cod-
participants particularly close/more challenging relationship? Tell me ing process, and to document data that did not appear to initially
about this relationship
What are the key things that make this a strong relationship?/ correspond to the existing categories but was potentially valuable
Why do you think it is more difficult to form a relationship [39]. The transcripts and an initial coding framework were then
with this person? exported into NVivo 10 Computer Software Package [45]. Data
How does this relationship impact on you? were coded to the coding framework in NVivo, with new codes
Has the relationship stayed the same throughout your
rehabilitation stay? (What factors have caused it to change?)
and categories created inductively by analysing data across partic-
What have you done to contribute to this relationship? ipants [44]. Patterns were identified as well as themes and rela-
Clinician What do you think are the core components of a therapeutic tionships between data sources, with initial ideas repeatedly
participants relationship? assessed and challenged [36]. This involved continuously moving
What skills or qualities are required to form these
between raw and coded data, analytical recordings, and relevant
relationships?
Tell me about relationships with clients that are more literature [39], alongside discussions with the research team.
challenging to establish or maintain. Diagramming, memos, and written summaries supported the con-
How do families influence your therapeutic relationship with a ceptualisation of key messages [38,39].
client?
How do ward based routines and requirements affect the
relationships you have with your clients? Rigour
Widely accepted strategies to enhance rigour were applied
primarily taking a support role as observer/note-taker. The term throughout data collection and analysis [46]. A transcribed pre-
“therapeutic relationship” was used during the interviews, as supposition interview acknowledged the primary researcher’s
“therapeutic alliance” is a jargon with specific theoretical roots in assumptions and understandings around the therapeutic alliance
psychotherapy that may not have been easily understood by par- concept and its potential to influence data collection and analysis
ticipants. Further, a review of the literature highlighted that an in- [46,47]. The interview guide was reviewed by research supervisors
depth conceptual exploration of this topic had not been under- and rehabilitation clinicians, and a practise interview was carried
taken in stroke rehabilitation before, so the research team wanted out with a skilled qualitative interviewer who provided valuable,
to remain open to the possibility of uncovering important con- independent feedback on terminology and interview structure.
cepts that may or may not align with “therapeutic alliance” as it is Purposeful and theoretical sampling techniques and a prolonged
currently understood. Consequently the broader term “therapeutic period of data collection yielded rich, descriptive data and pro-
relationship” will be used for the remainder of this article. moted credibility and transferability of findings [46]. Auditability
Interviews for both sets of participants were audio-recorded was enhanced via the collation of interview field notes and tran-
and transcribed for analysis. Field notes accompanied each inter- scripts, demographical information, coding records, and written
view. Post-interview reflections shaped subsequent interviews, reflections [46].The research team supported robust interpretation
promoting an iterative approach to data collection and analysis of data by: (a) each coding two interview transcripts, (b) examin-
[36,38]. Demographic and relevant health information was ing the NVivo-derived summary of categories, (c) reviewing the
obtained from both the client participants directly and their med- initial findings which contained high levels of raw data, and (d)
ical files. Functional independence measure (FIM) scores captured engaging in regular critical discussions around emerging thematic
participants’ motor, cognitive, and social skills across a range of development. Credibility was further improved by sharing prelim-
day-to-day behaviour [42]; this scale ranges from 18 (lowest) to inary findings with consenting client and clinician participants to
126 (highest). Within inpatient rehabilitation, the FIM has excellent ensure resonance with the sample from which they were
internal consistency (Cronbach’s alpha of 0.93 for admissions and derived [36,46].
0.95 for discharges) [42]. Further, there is excellent concurrent val-
idity between the motor-FIM and the Barthel Index (Spearman
correlation ¼ 0.95) [43]. Clinician participants completed a brief
Results
questionnaire to capture their demographic and professional Ten out of 12 “client” participants contacted, and seven self-refer-
details. Years of clinical experience are divided into bands in the ring “clinician” participants took part in the study. Clients were
results section to maintain participant confidentiality. aged between 29 and 76 years, had experienced a range of
stroke-related difficulties, and spent between 2 and 13 weeks in
rehabilitation at the time of their interview. Clinicians included
Data analysis
registered nurses, social workers, a speech–language therapist,
Data were analysed using conventional content analysis as and an occupational therapist; a range of ethnicities and years of
described by Hsieh and Shannon [44]. Whole interview transcripts clinical experience were represented within this group.
were repeatedly reviewed and pertinent phrases manually coded Participants’ demographic details are outlined in Tables 2 and 3.
across three categories: “key components”, “influencing factors”, Pseudonyms are used when participants are quoted.
and “family views”. The latter category was included so that data
contributed by family members could be considered separately.
Everyone is different
However, given our intention to give primacy to the clients’ voice,
family input was only included when they were augmenting The data emphasised the importance of considering how everyone
understanding of a point made by their loved one. Wherever pos- is different in building therapeutic relationships, as clients viewed
sible, codes remained in the participants’ own words or were their therapeutic relationships in different ways. These diverse
derived from a list of common codes formed inductively [37]. perceptions could be synthesised into model consisting of the
4 M. BISHOP ET AL.

Table 2. Client participant characteristics.


Demographic variable Category n
Type of impairment(s) (n > 10 as some had Physical/sensory 9
multiple impairments) Cognitive 8
Communication 4
Severity of impairments based on FIM scores >107 4
(higher scores denote increased 72–107 4
independence) <72 2
Rehabilitation duration <1 month 3
1–2 months 5
2–3 months 1
>3 months 1
Ethnicity (n > 10 as some identified with NZ European 7
multiple ethnic groups) Maori 3
Pacific Islander 2
Age <45 years 2
45–65 years 4
>65 years 4

Table 3. Clinician participant characteristics.


Demographic variable Category n
Clinical experience <5 years 1
5–10 years 2
11–20 years 1 Figure 1. Core components of a therapeutic relationship.
>20 years 3
Profession Registered nurses (RN) 3
Social workers (SW) 2
Speech language therapists (SLT) 1 reciprocity. Empathy and responsiveness often manifested
Occupational therapists (OT) 1 through a clinician’s sensitivity to their client’s emotional turmoil
Gender Female 7 and vulnerabilities associated with their stroke and inpatient stay.
Male 0
Ethnicity NZ European 1 Andy (client, FIM: 95) felt “totally at ease revealing myself” as a
Maori 2 result of his physiotherapist’s understanding, non-judgmental
Pacific Islander 2 manner when he became upset. This contrasted with his reserve
British/European 2 around his social worker – part of whose role involved counselling
– as he perceived her to be a hospital “official”. Andy appeared to
following core components: (a) a personal connection, (b) a pro- prioritise a clinician’s personal qualities above their professional
fessional collaboration, and (c) family/whanau collaboration. skills in this situation.
Participants prioritised each component differently depending Being personally vested in each other appeared to involve a
on their needs and preferences. These priorities could change degree of reciprocity. Reciprocity was sometimes reflected at an
during their inpatient stay. Consequently, there appeared a need emotional level. One client’s bond flourished with a nurse who
for relationship plasticity to accommodate each client’s unique shared his distress during an adverse event, illustrating some cli-
and fluid priorities. Figure 1 attempts to illustrate the complexity ent’s heightened awareness of their clinician’s views and emo-
of these relationships through the overlapping circles, as well as tions, and the value placed on complementary behavioural
signifying the conceptual overlap between components. Inside responses. Shared humour was also appreciated by many clients.
each circle are the skills and attributes that appeared important For some, it played an important role in lifting their mood: “I
for each component. needed to be able to laugh, otherwise I would have done a lot of
crying” (Andy, client, FIM: 95). As such, humour seemed to pro-
A personal connection vide a valuable rehabilitation survival tool promoting hope for
Connecting at a personal level appeared to be a central relation- those who valued it.
ship feature for a number of clients. Clinicians perceived that this Huia (client, FIM: 114) perceived the reciprocal sharing of one-
core component was operationalised by “being yourself” (Vailea, self to be an important indicator of relationship quality:
RN, 11–20 years’ clinical experience). Clients often expressed simi- It’s in the korero [story/discussion] we share, you give a bit of yourself,
lar views: “It’s being real, as a human and a therapist” (David, FIM: somebody gives a bit of themselves, you know? And I think that’s the
118). This seemed to help participants understand and respond to gauge to the relationship and the rapport and I think it’s very, very
the person behind the stroke or uniform, creating an emotional special in the healing.
co-investment in each other. While many clients valued this core A clinician’s self-disclosure of personal information, such as
component, others held more of a detached outlook. Focusing on sharing family photos and reports of weekend activities, was often
the therapeutic work and the “escape” home seemed to be more perceived to dismantle expert–patient barriers and provide
of a priority for such participants: “confirmation that life goes on” (Andy, client, FIM: 95). Some clini-
Because the goal of everyone should be to get out as quickly as cians purposefully disclosed personal information to reduce the
possible. Hopefully they’ve got their own friends. Yeah. And don’t need power imbalance in particular situations: “But there’s definitely a
to make friends on the inside, ’cos that’s what it’s like, it’s like a prison shower conversation, you have to share, the person’s very vulner-
[laughter] (Toby, client, FIM: 71)
able, it’s not appropriate, you-them. There’s definitely a sharing.
For those who valued a personal connection, it seemed to be Trying to put them at ease” (Kerry, OT, 5–10 years’ clinical
augmented by a clinician’s empathy and responsiveness, and experience).
THERAPEUTIC ALLIANCE IN STROKE REHABILITATION 5

Despite the important role that self-disclosure seemed to play family-centric approach due to its potential rehabilitation and
in fostering a close personal connection, the need for boundaries therapeutic relationship benefits. In contrast, a client’s wish or
was acknowledged by many participants. Clinicians identified a need to involve family was revealed in a variety of responses. Six
range of factors that influenced their level of personal sharing, of the 10 client participants valued clinicians who collaborated
including the client, the situation, and their own experience, skill, with their family/whanau. Heke (client, FIM: 98) communicated
and intuition. Clients recognised the need for boundaries too: “If that the involvement of his wife was the most important constitu-
they’re going to be good nurses, if they’re going to be caring ent of his therapeutic relationships, as “everything goes back to
nurses and … efficient, they’ve got to draw, there’s got to be a my wife”. However, forming an exclusive therapeutic relationship
line. They can’t spend all their time chatting to people” (Andy, cli- with their clinician appeared a priority for other clients: “I am the
ent, FIM: 95). main conduit and everything goes through me … I do know what
works for me … so it’s better that they [my family] are left well
A professional collaboration alone … they are only a support team for me” (Toby, client,
A strong professional collaboration appeared to be based on cre- FIM: 71).
ating a mutual understanding of the client’s personal and clinical The roles, dynamics, and views of family seemed to influence
contexts, and striving towards a shared focus. Establishing the participants’ preferences around this core component. A number
right “type” of professional collaboration seemed important as cli- of participants highlighted the central role loved ones may play
ents often held specific views around their preferred degree of in a client’s life, including as principal decisions makers, rehabilita-
power and involvement in these partnerships. Some preferred the tion partners, and advocates. Identifying and involving relevant
“experts” to assume responsibility, while others favoured leading family within these roles was often perceived to be an essential
their programme with relevant guidance from clinicians: “The component of the therapeutic relationship: “Ask or clarify early in
physio fits in and directs and guides and suggests multiple paths the piece, especially when working with Maori: ‘who are the key
and more effective paths, but it’s ultimately down to the patients decision makers? Who should we speak with?’ Because in my
to … be able to indicate” (Toby, client, FIM: 71). Participants world … they’re whanau and they are very key to everything”
noted the influence of neurological factors on relationship partici- (Huia, client, FIM: 114).
pation. Clinicians discussed utilising their skills or recruiting input Some family members were considered important rehabilita-
from family members, to ensure that their relationships with cli- tion partners who could assist with skill development and provide
ents with severe impairments were both productive and personal- holistic and enduring support for the client: “that interaction of
ised. In such cases, collaborating with family/whanau (see below) that family with that patient, is going to be in an ongoing way
sometimes became a key focus. Some clients noted their relation- crucial, so our relationship with the family is also important to
ship capabilities or preferences changed over their rehabilitation build” (Susan, SW, >20 years’ clinical experience). Through their
period. For example, as David’s (FIM: 118) confidence in his com- advocacy role and sharing of client-specific information, it
munication skills improved, so too did his perceived ability to par- appeared that family could bring out the human factor for their
ticipate in therapeutic relationships. Responding to these varying loved ones. This seemed particularly salient for clients with
degrees of collaborative predilections for each individual and over marked cognitive and communication difficulties. Family advo-
time were perceived to help maintain a therapeutic relationship. cates sometimes helped clinicians to reprioritise and build stron-
A professional collaboration appeared to develop from a ger personal connections with clients, rather than being consumed
mutual understanding of the client’s personal and clinical con- by a utilitarian approach in managing the day-to-day operations
texts. A mutual understanding could then enable technical skills and processes. Strong relationships between the team and family
and expertise to dovetail with a client’s needs and preferences. had potential to improve a client’s engagement in their relation-
For several clients, this led to the development of a shared focus ships with staff, through the delivery of consistent messages:
and optimal relationship: “Whanau also supported me to stay … so it was everybody talking
It meant that they were listening. That’s that connection. It wasn’t just to me really … so I wouldn’t rebuff against it, you know, keeping
getting pulled out of the sky and saying “this is the best for you, that engagement alive and trusting” (Huia, client, FIM: 114). These
because this has what’s happened to you.” No way. When you’re findings suggest that some family members may also enhance
included in the solution and are able to participate in the solution, I the clinician–client professional collaboration by helping to align
think that’s a great thing (Huia, client, FIM: 114)
views and expectations.
Clinicians were aware that facilitating goal attainment, such as Conversely, data indicated that adverse family dynamics and
helping clients to walk again, could enhance the therapeutic con- divergent views could affect relationships within the clinician–-
nection. Yet for many clients, the creation of a mutually agreed, client–family triad. Clinicians were aware that intra-family conflict
transparent rehabilitation blueprint – rather than goal achievement sometimes caused clients to behave differently when loved ones
itself – was enough to develop a constructive partnership: “I’ve a were around. This could influence how well a client engaged in
close working relationship with both … the physio and … the their therapeutic relationships and rehabilitation. Prior to collabo-
OT … um [PT’s name]’s is certainly more I would say productive, rating with families, David (client, FIM: 118) suggested that clini-
purely because it’s easier to see the plan” (Toby, client, FIM: 71). cians explore any “uncomfortable interplay” between members, to
A common aim appeared to provide clients with windows of ensure optimal collaboration with the most relevant loved ones.
hope and tangible evidence that their clinicians were working
with them to achieve what mattered most.
Relationship disruptions
Family/wha nau collaboration More than half of the clients interviewed conveyed specific or
Building optimal family/whanau collaborations seemed to require cumulative experiences that led to a marked deterioration in at
consideration of the various roles, dynamics, and views of family least one therapeutic relationship. These relationship disruptions
members. These factors had the potential to impact on the clini- were characterised in different ways. Two clients recalled an overt
cian–client therapeutic relationship. Clinicians often prioritised a confrontation whereby the clinician was presumably aware that a
6 M. BISHOP ET AL.

relationship disruption had occurred. In contrast, the remaining emotions. Andy (client, FIM: 95) felt “terrified, you know I am still
client participants described their weakening relations by their frightened of that woman” after an interaction with a nurse
adverse but potentially suppressed emotional reactions: “It’s hurt whom he had not met before. He indicated that she, or anyone
my feelings … I didn’t say anything, but … I’m nearly saying some- else, had failed to discuss or repair their damaged relations.
thing to her” (Masina, client, FIM: 78). Some clinicians appeared to Consequently, he ended his relationship with her by seeking her
be tuned into these subtle expressions of relationship dissatisfac- removal from his care. Another client experienced a similar situ-
tion whereas others seemed less observant or rationalised such ation, again when the therapeutic relationship was in its infancy.
behaviour in different ways. Huia (FIM: 114) reported that her This suggests that some new relationships may have insufficient
clinicians assumed that she was depressed after she disengaged foundations or lack core components required to withstand such
from her rehabilitation and relationships. In reality, Huia’s with- transgressions. In these examples the rationale for, and subse-
drawal stemmed from her Maori values and beliefs being compro- quent management of, each clinician’s behaviour appeared
mised. Her experience outlines the potential for clinicians to absent, which may also have affected outcomes.
attribute “resistant” or “disengaged” behaviour to non-relationship A surprise finding was that not all relationship disruptions
factors when it may be a response to how clinical staff act or appeared detrimental. Connections could be preserved or even
speak about things that greatly matter to clients. strengthened if a relationship disruption was therapeutically man-
Two main factors appeared to contribute to relationship dis- aged and co-existed with a robust relationship, as Toby (client,
ruptions: erroneous assumptions and/or a perceived lack of FIM: 71) experienced: “I didn’t blow up for no good reason … but,
responsiveness to one’s needs and preferences. These factors had I mean, yeah in the end, we got there and it’s [the relationship]
the potential to impact on the integrity of the core components better”. Toby reported an instant connection with his physiother-
of a therapeutic relationship. One client recalled a clinician who apist and had worked with her for several months before the
shared a lengthy story about her dog, potentially at the expense “blow up” happened. His respect for her knowledge and skills was
of delivering care: “You could see with her that she was more evident, all of which may have created a safe platform for him to
looking in the mirror at herself … and nothing with my require- vent his frustrations and pave the way for a more collaborative
ments were met there” (Heke, client, FIM: 98). Similar sentiments partnership:
were expressed about clinicians who shared superfluous personal I think in the process of doing that … I would say we’d go, OK well I
details, such as their age. These clinicians may have compromised can say what I want and it’s going to be listened to … all I wanted to
the therapeutic relationship by misinterpreting what was needed do was make sure that we are on the same page and we’re working
to establish the right level of personal connection with a person. together in the same way and the next day I just felt a little bit more
empowered (Toby, client, FIM: 71).
Alternatively, the type and level of information disclosed may
have detracted from, rather than enhanced, the per-
sonal connection.
Professional collaborations sometimes suffered when a client’s
Discussion
preferred degree of collaboration or rehabilitation focus was This study provided a detailed exploration of the core compo-
not respected: nents of a therapeutic relationship in stroke rehabilitation. Two
I didn’t blow up for no good reason and perhaps [PT’s name] was
themes surfaced from the interviews of clients with stroke and
labouring under one set of goals, one set of results, but you’ve got to members of the clinical team. The first theme, everyone is differ-
understand I was in the process of saying “no, we are shifting the goal ent, proposed three core relationship components that client par-
posts” (Toby, client, FIM: 71). ticipants valued to varying degrees: a personal connection, a
Some clients reported discrepancies in desired outcomes for a professional collaboration, and family/whanau collaboration. The
task, such as a washing and dressing assessment, where clinicians second theme, relationship disruptions, suggested that erroneous
appeared to adhere to their own ideals or pre-set performance assumptions or a perceived lack of clinical responsiveness contrib-
criteria, rather than stopping and considering their individual situ- uted to relationship disruptions. The strength of the pre-existing
ation. Clinicians agreed that various factors may contribute a task- relationship and active efforts in a repair process appeared to
focused and assumption-laden approach. These included the impact on whether these relationships deteriorated to the point
need for a coping strategy for managing difficult clientele and of breakdown, or recovered. This research challenges existing alli-
adherence to professional rules and regulations. ance theory and assumptions, and raises a number of implications
The data indicated that assumptions around the role of family for rehabilitation practice.
members endangered some therapeutic relationships. In one cli- Client participants’ therapeutic relationship preferences were
ent’s case, clinicians did not appear to be collaborating with the individual and nuanced. This inferred that an optimal relationship
most relevant members of her whanau: did not necessarily require all core components to be strong, but
rather, each component needed to be emphasised, or balanced,
… what’s really important when working with whanau – I can’t help according to the person’s priorities. Priorities could change over
but stress – is get them to find out who are the key decision makers
’cos that’s how it can get messy, you know? I think, what I’ve been
time, indicating a need for relationship plasticity within and
experienced is they’ve been involved but I think some assumptions between clients. These findings are in contrast to Bordin’s theory
were made in my case, you know? When there’s a number of whanau, of working alliance [21], where each dimension (interpersonal
ask wh anau, you know? It mightn’t be the only ones that are turning bond, tasks, and goals) was argued to be equally important to
up that are the key, they are only the soldiers – foot soldiers … (Huia, the alliance. Further, existing alliance theory suggests that the
client, FIM: 114)
type of alliance required will depend on the genre of psychother-
Following a relationship disruption, some clients experienced a apy [21]. In this sense, the therapeutic approach taken appears
relationship breakdown whereby they terminated their relation- most formative to the alliance (a more clinician-directed, tech-
ship, actively distanced themselves physically or emotionally from nical, disciplinary-based approach). Interpretation of the current
their clinician, or declined therapeutic input. All relationship study’s findings suggest the unique and specific needs and prefer-
breakdowns appeared to adversely affect the client’s mood or ences of the client to be most formative to the development of
THERAPEUTIC ALLIANCE IN STROKE REHABILITATION 7

the therapeutic alliance. Rather than making assumptions, a key asking them about their personal lives. Researchers suggest that
responsibility for clinicians was to consider each client’s relation- clinicians with clear beliefs and rationale for disclosing are less
ship needs and preferences first and adapt how they worked with likely to impede the relationship or therapy when they share
each individual and potentially their family/whanau. This is con- some personal information [54]. Newly qualified staff may benefit
sistent with Leplege et al.’s [48] view of person-centredness as an from training highlighting the potential risks and benefits of dis-
individualised and holistic approach that acknowledges variability closures through facilitated discussions around common clinical
within and between individuals. Contextualising the “right” thera- scenarios. Such training may improve clinicians’ reasoning, com-
peutic relationship appeared to require an accurate appraisal of fort levels, and professional safety when expressing their personal
each person and each situation, so that clinicians could tailor their identities. Reconsidering how professional boundaries are concep-
personal resources and clinical skills accordingly. Such skills tualised may also be useful. Researchers have argued that the
extended beyond technical abilities to include inter-personal and term “boundary” indicates a rigid, pre-determined demarcation
emotional competencies similar to that described by McCormack separating out ethical from unethical behaviour, which does not
et al. [49]. reflect the context-dependent nature of therapeutic relationship
This research proposed that family/wha nau collaborations were boundaries in practice [60]. These researchers proposed
sometimes an essential element of therapeutic relationships. This “therapeutic territory” as an alternative metaphor as it denotes a
core component is notably absent from Bordin’s [21] theory of shared space that clients and clinicians may enter and monitor.
working alliance. Other psychotherapy researchers categorise the Adapting therapeutic relationship “territories” to the individual’s
family system as an extra-therapeutic factor [50], where this needs and preferences is congruent with the present
research identified them as potentially a core and indeed, signifi- study’s findings.
cant factor within therapeutic relationships. These different con- A clinician’s behaviour following a relationship disruption
ceptualisations of the alliance may be explained by the unique impacted on how clients viewed these relationships. Regaining
needs of the population and context. For example, engaging with relationship health appeared to require reparation of whichever
families may be important in stroke rehabilitation [25,28,51] but core relationship component(s) had been compromised. For one
less pertinent in certain counselling-based interactions. Given participant, this involved re-negotiating power levels and goals in
these different alliance conceptualisations and approaches, stroke order to repair the compromised professional collaboration com-
rehabilitation would benefit from a theoretical framework and ponent. These findings are supported by research that encourages
measures that are more contextually relevant. therapists to identify and address whichever relationship ele-
A clinician’s disclosure of personal information seemed to play ment(s) has ruptured [61,62]. Addressing relationship discontent
an important role in augmenting therapeutic relationships pro- may be particularly pertinent in the early phases of relationship
vided they were responsive to one’s relationship and care needs. formation. A couple of participants experienced relationship
These disclosures had the potential to reduce expert-patient bar- breakdowns with clinicians they had only recently met, with one
riers and promote comfort, cultural responsiveness, and an emo- requesting that the staff member be removed from his care.
tional investment in each other. In contrast, debate exists in the Other studies illustrate that some clients choose to end their clin-
psychotherapy literature around the benefits, ethics, and risks ical partnership based on their initial impressions of their clinician
associated with clinician-led disclosures as these have the poten- [63,64]. Elkin et al. [63] demonstrated that a clinician’s responsive-
tial to breach intimacy/sexual boundaries [52,53], create a role ness and promotion of a positive therapeutic atmosphere within
reversal where the client feels obliged to “manage” the relation- the first two sessions is predictive of the clients’ perceptions of
ship [52,53], contaminate the therapy process [54,55], or cause an the relationship and engagement in therapy. Relationship devel-
alliance/relationship rupture [53,56]. Many of these issues were opment, review, and maintenance may need to be integrated
not identified in our study, which may reflect the different health from the very first interaction(s) in order to facilitate continued
conditions, therapy contexts and subsequent therapeutic relation- relationship and rehabilitation engagement.
ship needs. All client participants appeared to require a degree of This study has provided original insights around the challenges
human connection with their clinicians to promote comfort and that stroke clinicians may experience in identifying that a relation-
trust in their relationships. Appropriate self-disclosures could facili- ship has been compromised – a pre-requisite for the reparation
tate this process and provide a welcome distraction from their dif- process [65]. Several of our study’s client participants suppressed
ficulties – the same distraction that may be considered a their concerns and withdrew from the clinician or elements of
hindrance in psychotherapy [55]. Evidence in this study and their rehabilitation, and some even declined care. Some perceived
others suggests that non-disclosure of personal information may that their dissatisfaction was erroneously attributed to a stroke-
interfere with the formation of a therapeutic connection [53, 57]. related problem, such as fatigue or depression. This suggests a
It could be posited that failure to disclose any personal informa- risk that clinicians may sometimes misjudge or minimise their cli-
tion may be ethically unsound if the client requires this to actively ent’s relationship experiences. Existing brain injury research may
engage in their recovery. implicitly encourage clinicians to conceptualise a rehabilitation or
Professional boundaries are considered to be important in relationship engagement issue as a neurological one. Qualitative
guiding a clinician’s disclosure of personal information [52,53,58], researchers report that a client’s neuropsychological, communica-
yet clinician participants in our study often relied on intuition and tion, or motivational difficulties are the main barriers to forming
experience to establish appropriate boundaries. Community or maintaining a strong alliance/relationship [32,33,66,67].
speech–language therapists similarly identified that negotiating Quantitative studies have predominantly focused their investiga-
boundaries are done implicitly and are difficult to explain [59]. tions on client-related factors that may influence rehabilitation
Prior to applying self-disclosures, clinicians may wish to contem- compliance and/or alliance quality, such as injury variables [16],
plate in advance what information they feel personally and pro- metacognitive or cognitive skills [10,16,24], or emotional distress
fessionally comfortable sharing with their clients, and in what [10]. Such aims and methods perhaps assume that the client is
situations. This may pre-empt instances where clinicians suddenly the “common factor” impacting on, if not impeding, relationship
find themselves at a decision-making juncture, such as a client strength, with little consideration given to the role of the clinician.
8 M. BISHOP ET AL.

The present study’s design differed from previous studies examin- following an acquired brain injury, for example, Foster et al. [26]
ing therapeutic relationship quality or disharmony in that it also and Sohlberg et al. [28], but there appear to be few studies pro-
explored client perspectives of the challenges they experienced viding clarity on how to manage the complexities of this collabor-
when engaging with clinicians across different professions. Our ation. For example, future research could explore whether the
findings support the view that clinicians play a vital role in client therapeutic relationship with the client is of prime importance
engagement via the therapeutic relationship [19,68,69]. For clini- and needs preserving at all costs, or perhaps, whether a systems
cians in this field, avoiding making assumptions when clients approach may be more appropriate given the enduring nature of
decline or disengage from their therapy or relationships may be stroke-related deficits and influencing role of some family in a cli-
an important first step. Mindfully listening and observing client ent’s life. Due to the qualitative nature of this inquiry, there were
behaviour and undertaking intermittent “relationship health no formalised assessments undertaken of relationship quality or
checks” to identify any issues or changing relationship priorities, its impact on rehabilitation outcomes. As such, while there were
may also be important in ensuring that relationships are both co- anecdotal reports regarding the benefits of a strong therapeutic
constructed and constructive. relationship, further research is needed to explore the association
with outcome. Finally, this research may provide the basis for the
development of a conceptually sound, valid and reliable relational
Study limitations measure, which will further support research aiming to explore
There are limitations to this research that require acknowledg- the impact of the therapeutic relationship on outcome.
ment. Participants were recruited from one rehabilitation unit, lim-
iting the transferability of these findings to other rehabilitation Conclusion
units with different client and clinician characteristics and service
idiosyncrasies. Interviews occurred at one time point for each cli- This research contributes new knowledge around how people
ent, so the data are unlikely to have detected all the relationship with stroke, and rehabilitation clinicians, experience therapeutic
nuances over time, particularly for those with memory deficits. relationships in a stroke rehabilitation service. It is novel in its
Findings suggested that several participants had difficulty recall- explicit exploration of the therapeutic alliance in the inpatient
ing their initial interactions with staff when they entered rehabili- stroke rehabilitation setting, and of the views of clinicians from a
tation many weeks earlier, whereas others had only recently range of disciplinary backgrounds and clients experiencing a
started working with their rehabilitation clinicians. As a result, it is range of difficulties post stroke. The findings suggest that the per-
difficult to determine whether there were common relationship sonal connection, professional collaboration and family/whanau
patterns over an entire rehabilitation journey and if/how these collaboration appear the most salient core components of these
were affected by pivotal events such as discharge planning or key relationships. Clients may preferentially “weight” these compo-
staff turnover. Interviews were not separated into client–clinician nents differently, and each component may move to the relation-
dyads due to the likely methodological challenges associated with ship foreground or background over the course of their inpatient
identifying and recruiting the most relevant clinician(s) for each stay. Developing and maintaining therapeutic relationships
client. This is likely to have oriented the data and subsequent appears to require a person-centred approach and relationship
findings to primarily reflect the clients’ relationship perceptions. plasticity to accommodate each client’s unique and fluid priorities.
For example, the “culpable” clinician’s perspective of a relation- This may involve a level of emotional and intellectual awareness,
as well as an ability to use one’s personal attributes and profes-
ship disruption reported by a client was not elicited and may
sional competencies therapeutically. Given the value many partici-
have provided further contextual information. There were no eli-
pants placed on their relationships, determining and addressing
gible male clinicians working on the rehabilitation unit at the
or even prioritising each client’s therapeutic relationship needs
time of the focus group interview or member checking discussion.
and preferences may augment rehabilitation processes
However, none of the participants discussed the role of gender in
and outcomes.
relation to their therapeutic relationships and it did not appear to
be an influencing factor in the studies reviewed during this
research. Finally, many participants had difficulties separating their Acknowledgements
therapeutic relationships perceptions from their general rehabilita-
tion experiences. Other researchers have similarly observed Thank you to the participants in this study for sharing their thera-
that these perceptions are often difficult to separate [30]. peutic relationship experiences.
Consequently, there is potential that the present findings also
incorporate perspectives on what makes rehabilitation successful Disclosure statement
for some participants and less so for others.
No potential conflict of interest was reported by the authors.

Future research
ORCID
Future studies could explore whether it is necessary for all mem-
bers of the team to have a strong or “good enough” therapeutic Megan Bishop http://orcid.org/0000-0001-9666-8299
relationship with the client to impact on outcomes, or whether Nicola Kayes http://orcid.org/0000-0002-2747-667X
some relationships may be more important than others. This is of Kathryn McPherson http://orcid.org/0000-0003-1240-8882
interest given the high numbers and different characteristics of
therapeutic relationships that clients are likely to encounter over
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