Professional Documents
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Post-Stroke Depression:
The Case for Augmented,
Individually Tailored Cognitive
Behavioural Therapy
Niall M. Broomfield,1* Ken Laidlaw,2
Emma Hickabottom,3 Marion F. Murray,4
Rachel Pendrey,3 Janice E. Whittick3 and
David C. Gillespie4
1
INTRODUCTION
Stroke Prevalence and Incidence
Stroke is the single most common cause of adult
disability in the UK and the third most common
cause of death (National Audit Office, 2005).
Annually, stroke affects around 130 000 people in
the UK. Direct costs to the National Health Service
are estimated at 2.8 billion, with an additional
2.4 billion per year for informal care provided by
families (National Audit Office, 2005).
As stroke is a potentially fatal disease, reduction of mortality after the onset of the illness is an
important initial aim. However, as survival rates
following stroke continue to rise, a more pressing
aim becomes reduction of morbidity, as life after
stroke needs to be one that is worth living. An
important factor determining both quality of life
and morbidity is post-stroke depression (PSD).
Stroke usually occurs without warning. Thus,
survivors and those who care for them, have
little to no time to make adjustments to markedly
changed life circumstances, which has profound
consequences for actual and planned futures. PSD
is thus very common. One in three stroke survivors
suffer the condition in the first 12 months after
stroke onset (Hackett, Anderson, House, & Xia,
2009; Hackett, Yapa, Parag, & Anderson, 2005).
The consequences of PSD are highly significant.
PSD increases risk of subsequent mortality (House,
Knapp, Bamford, & Vail, 2001), impedes functional
recovery (Pohjasvaara, Vataja, Laeppavouri, Kaste,
& Erkinjuntti, 2001) and heightens levels of disability, as depressed stroke survivors give up prematurely on physical rehabilitation programmes due
to apathy and hopelessness.
203
ical impairments, including fatigue, that restrict
their levels of activity and participation; (ii) stroke
survivors are often elderly, have comorbid health
problems and experience a range of additional
stressors that are independent of their stroke; (iii)
the thinking of people surviving stroke can become
generally more negative and (iv) impairment of
cognitive abilities due to stroke impacts the way
stroke survivors process information. Each of these
factors may heighten vulnerability to development
of PSD, as outlined below.
204
ing and life satisfaction, and to identify reasons
for changes in these domains. Most participants
reported significant deterioration in everyday lifestyle activities that had been carried out in the 6
months pre-stroke (e.g., travel outings, car rides,
gardening, Do It Yourself [DIY], reading). Indeed,
the majority of the sample reported dissatisfaction
with life as a whole.
Similar results were obtained in a larger study
of 56 younger stroke survivors (average age 57.7
years). For this sample, the proportion of leisure
activities retained from pre-stroke was only 48.8%
(Hartman-Maeir, Soroker, Ring, Avni, & Katz
2007). In addition, only 39% were satisfied with
life as a whole, with activity level found to be a
significant predictor of individual satisfaction.
Predictably therefore, several investigators have
reported a relationship between post-stroke physical impairment and depression such that stroke
survivors with poorest physical functioning and
lowest life satisfaction show the highest rates of
PSD (e.g. Gayman, Turner, & Cui, 2008; Gum,
Snyder, & Duncan, 2006; Sharpe et al., 1994). These
results are consistent with behavioural theories
of depression, which suggest low mood results
from a reduction in positive reinforcement when
individuals are unable to engage in activities that
would normally bring a sense of mastery or pleasure (Westbrook, Kennerley, & Kirk 2007).
N. M. Broomfield et al.
diabetes), are themselves independently associated
with depression. In addition, the more illnesses an
individual has, the greater their risk of mood disorder (Montano, 1999). Therefore, one would expect
stroke survivors with comorbid health concerns
to be at higher risk of depression than individuals
with no history of stroke.
Stroke survivors are not only more likely to
experience additional health problems, they are
also more likely to experience stressful life events
that can negatively impact mood. Ekstam et al.
(2007) demonstrated that almost half their sample
of stroke survivors experienced new major life
events in the year after their stroke: falls in four
of 27 participants, death of a close relative in six
of 27 and change of housing in two of 27. Becker
(1993) also found that 25 of 36 participants experienced a major life event in the year following their
stroke. Taken as a whole, these data reinforce the
point that stroke survivors are quite likely to experience physical calamity (e.g., falling because of
limb weakness or poor balance), bereavement (e.g.,
spouses and friends, like themselves, are likely to
be older) and social disruption (e.g., having to
move to new accommodation because of strokeimposed limitations).
205
are eroded, and stroke recovery rate slows. In our
view, regardless of whether negative thinking is a
cause or a consequence of depressed mood, what
is critical is to make sure that any psychological
intervention being used actually addresses it (cf.
Nicholl et al., 2002).
206
negative affect than those with reduced attentional
control (Derryberry & Rothbart, 1988). Similarly,
following stroke, some patients struggle to inhibit
self-perspective (Samson, Apperly, Kathirgamanathan, & Humphreys, 2005), tending to over personalize events, another common cognitive feature of
depression (Woodruff-Borden, Brothers, & Lister,
2001).
N. M. Broomfield et al.
over time. Four participants showing consistent
benefit of CBT, six showed some benefits and
nine showed no benefits. Lincoln et al. (1997) concluded that CBT for PSD may be effective for some
patients, and argued for larger scale evaluation.
Overall, while there are many merits of this study,
there are a number of limitations such as the small
number of participants receiving CBT out of those
identified. In addition there was a lack of experience in the delivery of CBT and it is unclear as
to whether the treatment was provided according
to a specific CBT manual and whether individual
therapists were receiving supervision and support
from experienced CBT practitioners.
Similar to Lincoln et al. (1997), Rasquin, Van De
Sande, Praamstra, and Van Heugten (2009) delivered CBT to five first-episode depressed stroke
survivors using a single-subject quasi-experimental AB design. Following a 4-week baseline,
participants completed eight (weekly) 1-hour
treatment sessions of CBT for PSD with a psychologist. Patients received an intervention book
adapted for stroke patients. Structure was clear
with easy to understand information, accounting for participants cognitive difficulties. Initial
treatment sessions covered mood monitoring and
relaxation (sessions two, three, four), then cognitive restructuring (sessions five, six) and activity
planning (sessions seven, eight). Homework exercises were frequent. Visual analogue measures
(VAS) were employed thrice weekly, with repeat
of baseline assessments at treatment end, 1 month
and 3 months follow-up. Results were mixed,
consistent with Lincoln et al. (1997). All patients
were positive about the intervention. Four out of
the five participants showed improved mood on
VAS at treatment end, relative to baseline scores.
Three of five participants showed significant mood
improvement at 1 month and 3 months follow-up.
However, not all participants showed consistent
improvements and some continued to complain
of depressogenic symptoms. Rasquin et al. (2009)
conclude that CBT may have had impact, but that
larger scale, longer term evaluation including a
control group will be required in order to clarify
how efficacious this intervention can be.
Lincoln and Flannaghan (2003) followed-up the
earlier work by Lincoln et al. (1997) and carried
out the first ever randomized controlled trial (RCT)
of CBT for PSD. In this pioneering study, participants were randomly allocated to receive one of
three options: 10 sessions of CBT, 10 sessions
of attention control interviews with no therapeutic
intervention or usual care (no treatment). In this
Clin. Psychol. Psychother. 18, 202217 (2011)
DOI: 10.1002/cpp
207
research trial could switch from delivering CBT to
delivering supportive discussion, without error or
at the very least contamination between treatment
modes. Finally, no formal evaluation of the quality
of CBT delivered was attempted. Thus, while
the neutral outcomes observed by Lincoln and
Flannaghan (2003) are disappointing, it is arguable that a definitive trial has not been conducted
to measure the impact of CBT on PSD.
208
decreased levels of functioning. For these reasons,
CBT for PSD ought to be the first choice psychotherapy treatment option and would be if a stronger
case could be made for its efficacy (Laidlaw, 2008).
One theme common to all existing studies of CBT
for PSD, concerns the intervention itself. Psychotherapy models are not usually designed to take
account of physical comorbidity in depression and
this is usually reserved as an area requiring great
experience and skill on the parts of therapists. Yet
the CBT interventions offered by both Lincoln
et al. (1997) and Lincoln and Flannaghan (2003)
employed traditional non-modified CBT. Although
Rasquin et al. (2009) did employ an intervention
book to account for cognitive deficits, their CBT
intervention still focused on examining the impact
of activity scheduling and cognitive restructuring
on mood. Perhaps the lack of consistent treatment
effects observed thus far in the nascent literature
relates not just to the methodological limitations
of previous studies, but also to what CBT actually
comprised in these trials. In order for CBT to be
shown efficacious with this population, consideration may also need to be given to the elements of
CBT itself. We turn to this now.
AUGMENTING AND
INDIVIDUALIZING CBT FOR PSD:
USING PSYCHOLOGICAL MODELS
AS VEHICLES FOR CHANGE
We believe the next generation of CBT treatment
research in PSD should not only learn from the
design limitations of prior work, but also examine
the efficacy and feasibility of an augmented CBT
intervention. The need for an augmented CBT
model is analogous to the situation in CBT for
anxiety disorders. To refine the effectiveness of
interventions and enhance outcome, there is more
than one model of CBT for the anxiety disorders.
For instance, a CBT treatment plan based upon
the CBT model for panic disorder may have some
relevance when working with someone who has a
simple phobia but for a better treatment outcome,
the use of a more specific treatment model is necessary. It is a better fit and results in better treatment. Thus, what is proposed here is simply that
for CBT to be a better fit for the needs of stroke
survivors, there should be a specific model for its
use, one which takes account of the trauma, acute
onset and loss elements of stroke, including physical and psychological loss and the consequences to
that individual.
Copyright 2010 John Wiley & Sons, Ltd.
N. M. Broomfield et al.
No existing model of CBT currently exists that
is an optimal fit for PSD and therefore an adequate test of CBT as a treatment for PSD has not
yet been executed. Grant and Casey (1995) have
similarly argued that when using CBT with frail
older people, the therapist needs to be creative
in individualizing therapeutic interventions.
Increasingly, researchers are looking at how to
enhance psychotherapy outcome by addressing age specific issues (Knight & Laidlaw, 2009)
and the cognitive deficits of acquired brain
injury (Gracey, Evans, & Malley, 2009). While the
ability to individualize CBT is a hallmark of this
therapy, for clinicians inexperienced in working
with stroke survivors there is a need for guidance
about candidate elements for augmentation and
individualization.
Due to the nature of stroke, strict manualized
traditional CBT may be missing out important aspects of therapeutic work. Kneebone and
Dunmore (2000) have highlighted that PSD is a
heterogeneous phenomenon. Therefore traditional
therapies may require specific adaptations, at
least in the context of applying CBT for depression after stroke. Dewar and Gracey (2007), for
example, state that loss of identity emerges as
a key theme in psychotherapeutic interventions
addressing adjustment to acquired brain injury.
They outline an intervention using CBT techniques
but with greater emphasis on behavioural experiments, which may be a particularly effective means
of modifying the meaning of current situations to
patients, thus helping create a more positive sense
of self.
In a similar vein, Laidlaw and colleagues
(Laidlaw, 2008; Laidlaw, Thompson, Dick-Siskin,
& Gallagher-Thompson, 2003) propose a specific
cognitive error associated with stroke that an augmented CBT programme should include. Baseline
distortions occur when stroke survivors compare
their current level of functioning with that prior
to the onset of their stroke. Individuals become so
focused on wanting to make a full recovery from
stroke, they catastrophize about what they cannot
do now, compared with what they could achieve
pre-stroke, unhelpfully contrasting their current
level of functioning to how they were the day before
their stroke, rather than the days after. By doing so,
stroke survivors focus on deficits and can become
demoralized as they appraise their progress as
inadequate, with a consequent increase in anxiety,
hopelessness, apathy and frustration. This difference in appraisal can be most usefully illustrated
to patients with a graph (see Figure 1).
Clin. Psychol. Psychother. 18, 202217 (2011)
DOI: 10.1002/cpp
209
100%
75%
10%
Day
before
CVA
Day
after
CVA
Grief-Resolution in PSD
Stroke often results in multiple losses and a subsequent reaction of grief towards these losses. Unless
Clin. Psychol. Psychother. 18, 202217 (2011)
DOI: 10.1002/cpp
210
resolved, rehabilitation efforts can be affected
(Coetzer, 2004). For at least the first 612 months
after a stroke, patients often go through a period
of loss and grief for their former self and therefore
CBT may need to employ strategies associated with
bereavement work. Although most rough approximations of care suggest that psychotherapy after a
stroke should take place about 6 months after the
initial onset this is a matter of opinion rather than
any scientific study. If an individual is in distress
and medications have not worked, it may be useful
to employ CBT in an explorative manner, earlier. At
any stage however, working with stroke survivors
can usefully employ the conception that the loss
experienced through a stroke leaves the individual
grieving for their lost pre-stroke self. Supporting
the individual through this process and educating them about the phases of grief (Kubler-Ross
& Kessler, 2005; Worden, 2001) should be a useful
addition to a package of CBT care at this time.
An example of the initial stage of denial can be
seen in the common wish of stroke survivors to
make an immediate and full recovery to the extent
that they often deny the reality of their situation
and the demands required to make a substantial recovery. This stage of anger is often seen in
stroke survivors irritation and fury at either their
lack of perceived progress or an ultimately futile
attempt to beat this stroke, rather than have it beat
me. The notion that a transition is taking place
in stages similar to bereavement has a lot of relevance to people who are attempting to achieve
a new resolution of an acutely intense and frightening situation. Similarly, as people can become
emotionally labile during recovery from stroke,
it is reassuring and normalizing to help people
think of bereavement where often difficult and
intense emotions are experienced. As many older
people will already have experienced bereavement
after a loss, this concept carries high validity for
them. It is important to bear in mind that after
a stroke, loss is not just of physical mobility but
also a loss of an anticipated future. These are significant and distressing experiences for individuals
to try to resolve. Thus, existing stage theories of
bereavement intuitively and clinically make sense
in working with stroke survivors. In support of
this, Hibbard et al., (1992) outline a single case
study design involving CBT for PSD modified to
consider grief and loss issues, alongside problems
of insight and cognitive deficit. Treatment duration
comprised 52 sessions, including some additional
sessions with the clients spouse. Both patient
and spouse completed outcome measures. After
Copyright 2010 John Wiley & Sons, Ltd.
N. M. Broomfield et al.
6 months of treatment and 1-year follow up, the
diagnosis was not depressed.
Making sense of loss may be an important part
of the adjustment process and result in less distress
(Davis, Nolen-Hoeksema & Larson, 1998). Thus, it
appears sensible for the therapist to actively focus
on loss when working with stroke survivors, promoting acceptance of and adaptation to the reality
of the situation, and those issues that are personally
relevant and meaningful for them. To that end, we
suggest that an explicit grief-resolution approach
is adopted as a legitimate target for CBT for PSD.
Making sense of the individuals attributions of loss
is entirely consistent with the CBT philosophy, but
has rarely been mentioned in regard to treatment
interventions in PSD. Support for this idea also
comes from Torges, Stewart, and Nolen-Hoeksema
(2008) who showed that older adults who were
more skilled at regret-resolution were more likely
to make better adjustments to loss, and therefore,
achieve improved outcome for depression.
211
the patients least deficient mode of attention to
enhance concentration (Hibbard, Grober, Gordon,
Alette, & Freeman, 1990).
Gracey and colleagues (e.g. Gracey, Oldham, &
Kritzinger, 2007; Gracey et al., 2009) use similar
process adaptations in their neuropsychological rehabilitation work with acquired brain injury
(ABI) patients. Furthermore, in CBT single casework, they demonstrate the particular clinical
benefit of behavioural experiments to treat adjustment and identity problems after ABI (Dewar
& Gracey, 2007). Behavioural experiments can
provide a powerful vehicle for new learning and
belief appraisal by operating at implicational levels
of processing (Teasedale, 1999).
In keeping with the above, and the small number
of controlled trials that show CBT for emotion disturbance following ABI can be effective if adapted
for cognitive deficits (e.g. Bradbury et al., 2008;
Tiersky et al., 2005), we would advocate that CBT
for PSD will require adaptations to take account of
an individuals cognitive weaknesses.
212
patients completed the most homework assignments, the quality of completion of homework
was judged to be poorer than those without executive dysfunction. However, this preliminary study
shows great promise in that it suggests people with
executive impairments can be supported to engage
in therapies such as CBT. For people who may have
neurological impairments after stroke and who also
develop a mood disorder, this study holds out the
promise of potential benefits if the adjustments to
CBT can be delivered in an individually tailored
way.
Mohlman et al. (2008) present a single case
evaluation of CBT for an individual with executive-dysfunction, supportive of this. Their CBT
treatment intervention was augmented with a
packet of measures designed to enhance skills in
attention, memory and executive functioning. In
the programme, the executive skills component
was completed at the start of each CBT session,
and organized to become progressively more challenging. The CBT sessions were augmented with a
standardized executive training package used in
the rehabilitation of individuals with frontal lobe
injuries (see Mohlman et al., 2008 for more details).
The interventions were very clearly structured into
three parts, consisting of executive function training, CBT and homework assignment. At the end
of treatment, there were substantial improvements
evident not only in mood, but also in neuropsychological functioning.
While the work of Mohlman et al. (2008) is intriguing, we are not arguing here that sessions for CBT
for PSD include a package of executive dysfunction
training as that is too prescriptive and is inconsistent with the collaborative individualized nature
of good CBT. Rather what is advocated here is
that CBT can be augmented using a range of ideas
so as to improve access to clients who may ordinarily be denied treatment for depression using
psychological methods. Augmenting CBT may
mean taking steps to help people with cognitive
impairment engage with therapy, and this may
consist of some training and some more structured
support around aspects of treatment such as homework completion, and by these means more people
will have access to help that may reduce mood
disorder.
It is an intriguing prospect that outcome of CBT
for PSD might be enhanced if the intervention
is specifically augmented to improve an individuals executive functioning. When applying CBT
with stroke survivors for instance, early sessions
could incorporate attention-control strategies with
Copyright 2010 John Wiley & Sons, Ltd.
N. M. Broomfield et al.
explicit focus on homework exercises that increase
self-monitoring abilities.
For example, Mohlman and Gorman (2005)
state that prior to ending the session, the therapist
worked with the client to complete one part of the
homework assignment to ensure that the nature
of the task was understood. In addition, Mohlman
and Gorman (2005) also note that the last 5 minutes
of a therapy session were devoted to a review of
the topics and tasks completed in the session. This
type of work seeks to enhance the engagement
of individuals with cognitive impairment in CBT
and is consistent with the ethos of CBT in that
it is skills-enhancing and non-pathologizing in its
attempts to ensure treatment is collaborative and
individual (Zeiss & Steffen, 1996).
Thus, the multi-modal work suggested by the
mantra, say it, show it, do it, formulated by Zeiss
and Steffen (1996), should be emphasized in work
with people with stroke. More specifically prior to
a patient leaving the session, the therapist should
explain what is required in the homework task (say
it), encourage the completion by modeling what is
required (show it) and then ensure that no obstacles are left for the completion of the task (do it).
213
Key
Predisposing
Indicates expected
therapeutic
strategies
Perpetuating
Assessment
Precipitants
Protective
CBT Phase 1
Sessions 1-3
Cognitive
interventions
CBT Phase 2
Sessions 4-12
Behavioural
interventions
Grief work
SOC
SOC
Executive
skills training
214
augmented, individually tailored treatment approach
is employed. Any such augmented CBT approach
must, in our view, take account of the trauma,
acute onset and loss elements of stroke, including
the physical and psychological consequences to
the individual, and integrate a combination of five
key components: motivational interviewing, griefresolution, selection optimization compensation,
cognitive adaptations and executive skills training. We believe it is only by incorporating these
components into a novel therapy protocol, and by
testing this augmented treatment approach, tailored to individual patient need, that CBT for PSD
can ultimately be refined and treatment outcome
enhanced.
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