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CENTENNIAL TOPICS

Clinical Effectiveness of Occupational Therapy in Mental


Health: A Meta-Analysis

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Moses N. Ikiugu, Ranelle M. Nissen, Cali Bellar, Alexya Maassen,
Katlin Van Peursem

OBJECTIVE. The purpose of this study was to estimate the effectiveness of theory-based occupational
therapy interventions in improving occupational performance and well-being among people with a mental
health diagnosis.
METHOD. The meta-analysis included 11 randomized controlled trials with a total of 520 adult participants
with a mental health diagnosis. Outcomes were occupational performance, well-being, or both. We conducted
meta-analyses using Comprehensive Meta-Analysis software (Version 3.0) with occupational performance
and well-being as the dependent variables.
RESULTS. Results indicated a medium effect of intervention on improving occupational performance
(mean Hedge’s g 5 0.50, Z 5 4.05, p < .001) and a small effect on well-being (mean Hedge’s g 5
0.46, Z 5 4.96, p < .001).
CONCLUSION. Theory-based occupational therapy interventions may be effective in improving occupa-
tional performance and well-being among people with a mental health diagnosis and should be an integral
part of rehabilitation services in mental health.

Ikiugu, M. N., Nissen, R. M., Bellar, C., Maassen, A., & Van Peursem, K. (2017). Centennial Topics—Clinical effectiveness
of occupational therapy in mental health: A meta-analysis. American Journal of Occupational Therapy, 71,
7105100020. https://doi.org/10.5014/ajot.2017.024588

O
Moses N. Ikiugu, PhD, OTR/L, is Professor and ccupational therapy was founded on the principles of humanistic philosophy
Director of Research, Department of Occupational Therapy,
University of South Dakota, Vermillion; moses.
that emphasize reintegration of people with mental and physical health
ikiugu@usd.edu challenges into the mainstream of life through participation in daily occupations
(Cole & Tufano, 2008). Over time, as the medical model became prominent
Ranelle M. Nissen, PhD, OTR/L, is Assistant in health care, practitioners focused more on physical disabilities, eventually
Professor and Academic Fieldwork Coordinator,
Department of Occupational Therapy, University of South
leading to a decline in the presence of occupational therapy in mental health
Dakota, Vermillion. (Creek, 2014; D’Amico, Jaffe, & Gibson, 2010). In recent years, the American
Occupational Therapy Association (AOTA) has been pushing for the profession
Cali Bellar, OTD, was Student, Department of
to reestablish its presence in mental health (AOTA, 2016; Gutman, 2011).
Occupational Therapy, University of South Dakota,
Vermillion, at the time of the study. To achieve this objective, occupational therapists need to demonstrate that
their interventions require specialized skills that are based on research-supported
Alexya Maassen, OTD, is Occupational Therapist, theoretical principles. Such skills can be demonstrated through competent ap-
Reliant Rehabilitation, Hull, IA. At the time of the study,
she was Student, Department of Occupational Therapy,
plication of the theoretical principles undergirding interventions, as articulated in
University of South Dakota, Vermillion. the profession’s theoretical conceptual practice models. Therefore, occupational

Katlin Van Peursem, OTD, is Occupational Therapist,


Sanford Health, Sheldon, IA. At the time of the study, Note. Each issue of the 2017 volume of the American Journal of Occupational Therapy features a special Centennial
Topics section containing several articles related to a specific theme; for this issue, the theme is occupational
she was Student, Department of Occupational Therapy,
therapy’s role in mental health. The goal is to help occupational therapy professionals take stock of how far the
University of South Dakota, Vermillion. profession has come and spark interest in the many exciting paths for the future. For more information, see the
editorial in the January/February issue, https://doi.org/10.5014/ajot.2017.711004.

The American Journal of Occupational Therapy 7105100020p1


therapy practitioners in mental health need to demonstrate leisure, social participation) as defined in the Framework.
that their interventions are clearly based on (1) the princi- Well-being was defined as “the total universe of human life
ples of the profession’s theoretical conceptual practice domains, including physical, mental, and social aspects”
models (Hinojosa, 2013; Ikiugu & Smallfield, 2015), (2) (World Health Organization, 2006, p. 211). Mental
sound research evidence (Gutman, 2011), and (3) occupa- health symptoms such as anhedonia, hallucinations, and
tions that are meaningful to the client (Schell & Gillen, delusions were some of the indicators of compromised
2014). well-being.
Although the profession’s theoretical principles guide
clinical decision making, no consensus exists regarding Study Sample

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the definition of a theoretical conceptual practice model. Studies included in this meta-analysis were those in
In this study, we adopted Kielhofner’s (2009) definition which (1) participants were adults (age 18 yr or older); (2)
of a theoretical conceptual practice model as consisting of a participants had a mental health diagnosis; (3) a randomized
“solid grounding in practice, theory that clearly addresses controlled trial (RCT) design was used; (4) well-being,
a unique practice circumstance or challenge and devel- occupational performance, or both were the dependent
opment of specific practice resources” (p. 62). Some variables; (5) parametric statistics (e.g., t tests in post hoc
scholars in the profession (see, e.g., Cole & Tufano, pairwise comparisons) were used to analyze data; (6) the
2008) have distinguished between the terms theoretical language of publication was English; (7) the date of pub-
conceptual practice models and frames of reference. How- lication was between 1995 and June 2016; and (8) a simple
ever, Kielhofner (2009) made no such distinction. Others majority of the 25 criteria in the Consolidated Standards of
have relied on the Occupational Therapy Practice Frame- Reporting Trials (CONSORT; Schulz, Altman, & Moher,
work: Domain and Process (3rd ed.; AOTA, 2014) to 2010) checklist was attained.
guide eclectic theoretical considerations during evalua-
Instruments
tions and interventions aimed at improving occupational
performance through occupation-based practices. The Data Extraction Protocol. We developed a data extrac-
purpose of our meta-analysis was to answer the following tion protocol based on the Preferred Reporting Items for
question: What is the overall effect of occupational Systematic Reviews and Meta-Analysis (PRISMA; Moher,
therapy interventions that are based on the profession’s Liberati, Tetzlaff, & Altman, 2009) guidelines and the
theoretical conceptual practice models in improving oc- Cochrane Handbook for Systematic Reviews of Interventions
cupational performance and well-being among adults (Cochrane Collaboration, 2011) to ensure thoroughness
with a mental health diagnosis? and consistency of the systematic review process (Shamseer
et al., 2015). The protocol consisted of the following
fields: citation, study design, sample characteristics, oc-
Method cupational therapy intervention (independent variable),
Research Design theoretical conceptual practice model that was the source
of the intervention guidelines, duration of the inter-
This study was conducted using a meta-analytic design vention, dependent variable or variables, experimental
(Borenstein, Hedges, Higgins, & Rothstein, 2009; Portney and control group means and standard deviations on the
& Watkins, 2009). This design was best suited for ap- dependent variable or variables, post hoc pairwise com-
plying rigorous statistical procedures to estimate the ef- parison t values, and p values (Higgins & Deeks, 2011).
fectiveness of theory-based occupational therapy interventions Theoretical Conceptual Practice Model Identification
in improving occupational performance and well-being Criteria. Few researchers identified the theoretical con-
among clients with mental health conditions. ceptual practice model principles that guided the in-
tervention strategies that they investigated. Therefore, we
Definition of Variables used a framework developed by Ikiugu and Nissen (2016)
The dependent variables in our analysis were occupational to determine the theoretical model on which the inter-
performance and well-being. Occupational performance ventions were likely based, consistent with Kielhofner’s
was defined as the outcome of a dynamic transaction (2009) definition of a theoretical conceptual practice
among the client, environmental context, and occupa- model, as explained earlier. The framework consisted of
tion, manifesting in participation in areas of occupation key constructs for each of the models that Ikiugu and
(activities of daily living, instrumental activities of daily Nissen found are commonly used by occupational ther-
living [IADLs], rest and sleep, education, work, play, apy practitioners in mental health.

7105100020p2 September/October 2017, Volume 71, Number 5


We used these constructs as the criteria for deter- and well-being. The three coinvestigators read the titles and
mining which theoretical conceptual practice model was abstracts of studies that they considered potentially rele-
the source of the intervention strategies in the research vant for inclusion in the sample. References of retrieved
studies that we reviewed. For example, two key constructs articles were hand searched to identify other studies that
in the Canadian Model of Occupational Performance and potentially met the inclusion criteria. The investigators
Engagement (CMOP–E) are (1) facilitation of client au- selected the final sample by consensus. The two principal
tonomy by encouraging free choice of occupation and investigators completed an independent search in June
(2) empathic sharing of the experienced occupational 2016 and identified 3 additional studies. The final sample
performance. Therefore, because Buchain, Vizzotto, consisted of 11 RCTs (Figure 1 provides the details of the

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Henna Neto, and Elkis (2003) investigated interventions article search and selection). The articles constituting the
that included “free choice of activities” used in therapy and sample are listed in the references and indicated by
developing “a common activity, as a whole” during group asterisks.
sessions, thus “enabling richer and more varied exchanges Appraisal of Bias and Methodological Quality. To assess
between” clients and “between them and the therapist” (p. the risk of bias and methodological quality, we eval-
27), we concluded that these strategies were likely derived uated each study using the PRISMA protocol and the
from the CMOP–E. CONSORT checklist. Analysis revealed that of the 11
PRISMA Protocol. We used the PRISMA protocol studies, randomization was concealed in 6, researchers
(Liberati et al., 2009) to evaluate the risk of bias for the or participants were blinded in none, and data col-
studies included in the meta-analysis. The protocol requires lectors were blinded in 4. All 11 RCTs met a majority
assessment of each study to determine whether it meets the of the CONSORT criteria.
following criteria: concealment of randomization; no early Data Extraction. We read each of the articles and
termination of the trial; and blinding of research partici- extracted data using the data abstraction protocol. We
pants, researchers, and data collectors. The more of these used the theoretical conceptual practice model identifi-
criteria are met, the less bias is attributed to the trial. cation framework (Ikiugu & Nissen, 2016) to determine
CONSORT Checklist. The CONSORT checklist (Moher the theoretical basis for each study’s experimental inde-
et al., 2010) consists of 25 criteria that are used to ap- pendent variable.
praise RCTs for external and internal validity on the basis Statistical Analysis. We entered the abstracted data into
of randomization status as stated in the study title; a Comprehensive Meta-Analysis software database (Version
summary of the trial design, methods, results, and con- 3; Biostat Inc., Englewood, NJ). Hedge’s g was computed as
clusions in the abstract; statement of specific objectives or a measure of effect size because it is less biased than
hypotheses; list of study participant eligibility criteria; Cohen’s d (Borenstein et al., 2009). Because the reviewed
description of the settings and locations where data were studies were conducted in disparate environments and
gathered; description of how the sample size was deter- involved participants with a variety of mental health
mined; and description of the method used to generate conditions, variability of effect sizes was expected.
the random allocation sequence (Moher et al., 2011). We Therefore, we used a random effects model to compute
read each study and indicated the page number on which the summary effect sizes (Borenstein et al., 2009). We
each criterion on the CONSORT checklist was addressed. tested the data for homogeneity of effect sizes using the Q
If a simple majority of the 25 criteria on the checklist were statistic. Even when the hypothesis of heterogeneity was
met, we considered the study to be eligible for inclusion in rejected, however (p > .10), we used the random effects
the meta-analysis. model on the basis of our previously stated rationale. To
assess articles for publication bias, we constructed a funnel
Procedures
plot, followed by Duval and Tweedie’s (2000) trim-and-
Search Strategies and Study Selection Criteria. Three fill method and Egger, Davey Smith, Schneider, and
student coinvestigators completed a comprehensive search Minder’s (1997) regression intercept test (Borenstein,
of the literature between September 2015 and January Hedges, Higgins, & Rothstein, 2004).
2016. The databases searched were MEDLINE, CINAHL,
PsycINFO, ClinicalKey, Social Work Abstracts, Cochrane
Library, PubMed Health, and OTseeker. We used the Results
following search terms in various combinations: occupational In total, 520 people participated in the 11 studies in our
therapy, occupational therapy interventions, mental health, sample. Occupational performance was measured for
theoretical conceptual practice models, occupational performance, 323 participants, and well-being was measured for 349

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Figure 1. Illustration of the systematic search strategy.
Note. CONSORT 5 Consolidated Standards of Reporting Trials; RCT 5 randomized controlled trial.

participants. A total of 91 outcomes (44 occupational recommended for the Q test to reject the heterogeneity
performance outcomes and 47 well-being outcomes) were hypothesis (Kim, Yoo, Jung, Park, & Park, 2012).
measured. The Behavioral/Cognitive–Behavioral (B/CB) However, Higgins (2008) argued that “any amount of
theoretical conceptual practice model was used to guide in- heterogeneity is acceptable, providing both that the pre-
tervention in 5 studies; CMOP–E in 3 studies; and the defined eligibility criteria for the meta-analysis are sound
Cognitive Disabilities (CD) model, unspecified client- and that the data are correct” (p. 1158).
centered models, and a psychodynamic model in 1 study Because heterogeneity in this case was not substantial
each. The interpretation of effect sizes was as follows: d > 0.20, (p > .05), our meta-analysis inclusion criteria were sound,
small; d > 0.50, medium; and d > 0.80, large (Cohen, 1988). and great care was taken to ensure data accuracy, we judged
that we could combine the remaining 6 studies in the meta-
Efficacy of Theory-Based Interventions in Improving analysis. The effect of intervention on occupational per-
Occupational Performance formance was medium (Hedge’s g 5 0.50, 95% CI [0.26,
A test of homogeneity revealed significant heterogeneity in 0.74], Z 5 4.05, p < .001; see Supplemental Table 1,
effect sizes in the 7 studies in which occupational per- available online with this article at https://ajot.aota.org). The
formance was measured, Q(6) 5 37.57, p < .001. Analysis funnel plot indicated no publication bias (fail-safe N 5 51
for moderators indicated that much of the variability studies; Egger’s regression intercept 5 0.56, p 5 .40,
could be attributed to 1 outlier study (N 5 42) in which one-tailed). This finding was confirmed using Duval and
intervention was based on unspecified client-centered Tweedie’s (2000) trim-and-fill procedure (Figure 2).
theory. The intervention had a small effect favoring the
control group (Hedge’s g 5 20.06, 95% confidence Efficacy of Theory-Based Interventions in
interval [CI] [20.20, 20.07], Z 5 20.91, p 5 .36). Improving Well-Being
When the study was removed from analysis, heteroge- A test of homogeneity revealed significant heterogeneity in
neity was reduced, Q(5) 5 10.05, p 5 .07. A p > .10 is the effect sizes among the 7 studies in which well-being

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Figure 2. Standardized mean differences plotted against standard error of the differences.
Note. No publication bias was evident in this meta-analysis (fail-safe N 5 51, Egger’s regression intercept 5 0.56, p 5 .40). Std. diff 5 standardized difference;
Std err 5 standard error.

was measured, Q(6) 5 537.26, p < .001. Analysis for on the profession’s theoretical conceptual practice models
moderators revealed that much of the variability could be in improving occupational performance and well-being
attributed to 2 outlier studies (N 5 102) in which un- among people with mental health challenges. There
specified client-centered theory and the psychodynamic was indication of a medium effect of interventions in
model were used to guide intervention strategies. A small improving occupational performance among treated
effect of intervention was found, based on unspecified participants. This finding was consistent with previous
client-centered principles, on well-being that favored the con- research indicating that occupational therapy interven-
trol group (Hedge’s g 5 20.40, 95% CI [20.56, 20.23], tions were effective in improving performance of occu-
Z 5 24.65, p < .001). The effect of intervention based pations such as work, parenting, home management and
on the psychodynamic model (N 5 60) was very large maintenance, and social participation among people with
(Hedge’s g 5 3.46, 95% CI [3.18, 3.75], Z 5 23.85, p < serious mental illness (Arbesman & Logsdon, 2011;
.001). Removal of the 2 studies reduced heterogeneity to Gutman, Kerner, Zombek, Dulek, & Ramsey, 2009;
acceptable levels, Q(4) 5 7.73, p 5 .10. Subsequent anal- Gutman et al., 2007; Oka et al., 2004). In addition,
ysis indicated that there was a small effect of intervention on training clients in social skills, life skills, IADLs, and
well-being among study participants (Hedge’s g 5 0.46, neurocognitive interventions, coupled with vocational,
95% CI [0.28, 0.65], Z 5 4.96, p < .001; Table 1). social, and IADL training, has been found to be effective
The funnel plot revealed that there was a significant in enhancing executive functioning and healthy routines
publication bias (fail-safe N 5 64 studies, Egger’s regression among people with mental health disorders (Anzai et al.,
intercept 5 3.35, p 5 .01, one-tailed). Duval and Tweedie’s 2002; Katz & Keren, 2011; Zielinski Grimm et al.,
(2000) procedure revealed that the bias was corrected by 2009).
trimming and imputing 2 studies, leading to an adjusted Our findings also indicate that occupational therapy
Hedge’s g of 0.37 (95% CI [0.16, 0.57]; Figure 3). interventions may have a small effect in improving well-
The imputed studies seemed to correspond to the 2 being for people with a mental health diagnosis. This
that were removed to address the problem of heterogeneity. result was consistent with the findings of a systematic
When the 2 studies were added back into the analysis, the review by Gibson, D’Amico, Jaffe, and Arbesman (2011)
summary effect was still small (Hedge’s g 5 0.49). However, that occupational therapy was effective in enhancing
the publication bias was corrected (fail-safe N 5 320 occupational performance and reducing mental health
studies, Egger’s regression intercept 5 12.01, p 5 .15). symptoms, thus improving well-being. Finally, the the-
oretical principles that informed intervention strategies in
the studies constituting our sample were drawn from the
Discussion B/CB, CMOP–E, CD, Occupational Adaptation (OA),
The purpose of this meta-analysis was to estimate the Model of Human Occupation (MOHO), and psycho-
effectiveness of occupational therapy interventions based dynamic theoretical conceptual practice models. This

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Figure 3. Plot of standardized differences in means against standard errors of the differences.
Note. Std diff 5 standardized difference.

result was similar to the finding in previous studies that interesting to find out how diagnostic categories modulate
the B/CB model, MOHO, and CMOP–E were the the effects of interventions.
most frequent sources of intervention strategies in mental
health practice (Ikiugu, 2012; Ikiugu & Nissen, 2016;
Implications for Occupational
Lee, Taylor, & Kielhofner, 2009). However, unlike in
previous studies, the OA and psychodynamic models also
Therapy Practice
featured in our meta-analysis. Our findings indicate that occupational therapy inter-
ventions based on the following theoretical frameworks
Limitations may be effective in improving occupational performance
and well-being among people with a mental health di-
In most cases, the researchers did not identify the theo-
agnosis: B/CB, MOHO, CMOP–E, psychodynamic,
retical conceptual practice models on which the inter-
CD, and OA. However, many times the researchers did
ventions that they investigated were based. We often had
not clearly identify the occupational therapy theories
to use previously developed criteria (Ikiugu & Nissen,
that guided their intervention strategies. One interesting
2016) to determine the theoretical basis of interventions.
finding was that when the theoretical basis of intervention
It is possible that we could have made errors in inter-
was extremely ambiguous (unspecified client-centeredness),
preting the interventions investigated in the studies that
the effect was very small and tended to favor the control
constituted our study sample. Moreover, the appraisal of
group. This finding further underscores the importance of
bias and methodological quality of the studies in our
basing interventions on clear occupational therapy theo-
sample revealed a lack of reporting of preferred criteria.
retical principles. Overall, the results of the study suggested
Therefore, the effect sizes reported should be viewed with
that
these limitations in mind.
• Interventions based on theoretical conceptual practice
models may lead to improvement in occupational per-
Considerations for Future Research formance and well-being among people with a mental
In future research, investigators may consider completing health diagnosis.
content analysis of the studies that do not meet the in- • Clear identification of specific theoretical conceptual
clusion criteria for meta-analysis to generate more infor- practice models on which interventions are based is
mation about the theoretical conceptual practice models often lacking in the published mental health occupa-
that are generally used to guide interventions in mental tional therapy research.
health. Such investigations may shed more light on the • A clearer description of the theoretical basis of inter-
theoretical reasoning used by occupational therapy cli- ventions (independent variables) in research may pro-
nicians and researchers when they plan therapeutic in- vide clinicians with stronger rationales when claiming
terventions. Moreover, in future meta-analyses it may be reimbursement for services.

7105100020p6 September/October 2017, Volume 71, Number 5


Conclusion Borenstein, M., Hedges, L., Higgins, J., & Rothstein, H.
(2004). Comprehensive Meta-Analysis (Version 2) [Com-
The purpose of this meta-analysis was to estimate the ef- puter software]. Englewood, NJ: Biostat.
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the profession’s theoretical conceptual practice models in H. R. (2009). Introduction to meta-analysis. Chichester,
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pBuchain, P. C., Vizzotto, A. D., Henna Neto, J., & Elkis, H.
people with a mental health diagnosis. Our findings suggest
(2003). Randomized controlled trial of occupational ther-
that occupational therapy interventions had a medium ef- apy in patients with treatment-resistant schizophrenia. Re-
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