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Clinical Psychology and Psychotherapy

Clin. Psychol. Psychother. 22, 83–95 (2015)


Published online 29 October 2013 in Wiley Online Library (wileyonlinelibrary.com). DOI: 10.1002/cpp.1875

Practitioner Report
The Relation between Prototypical Processes and
Psychological Distress in Psychodynamic Therapy
of Five Inpatients with Borderline Personality
Disorder
Geoff Goodman,1* Keiha Edwards1 and Hyewon Chung2
1
Clinical Psychology Doctoral Program, Long Island University, Brookville, NY, USA
2
Department of Education, Chungnam National University, Daejeon, Korea

Five inpatients with borderline personality disorder (BPD) participated in 6 months of three times per
week psychodynamic therapy (PDT). Patients completed a measure of psychological distress every
week. A total of 127 sessions were audiotaped and coded using the psychotherapy process Q-set
(PQS) and correlated with PQS prototypes of five treatment models—PDT, cognitive-behaviour therapy
(CBT), interpersonal therapy, transference focused psychotherapy and dialectical behaviour therapy.
Prototypical CBT process was most prevalent in three of the five PDT-labelled treatments. Prototypical
PDT process significantly decreased over time in three of the five treatments. Prototypical process
correlations with time were inversely proportional to prototypical process correlations with distress
levels. In a multiple regression model that included all five prototypical process correlations across
these three treatments, CBT and transference focused psychotherapy predicted distress reduction,
whereas PDT predicted increases in distress. PQS items most negatively correlated with distress
included the therapist’s emphasis on feelings, empathic attunement and control over the interaction.
Discussion of dreams or fantasies and therapist aloofness were most positively correlated with distress.
An effective PDT treatment model for severely disturbed BPD inpatients requires technical flexibility
to supplement CBT processes such as control over the interaction that can structure intense
interpersonal dysregulation and stabilize distress. Copyright © 2013 John Wiley & Sons, Ltd.

Key Practitioner Message:


• Practitioners and their patients sense which prototypical processes to increase or decrease over time to
reduce patients’ distress.
• An effective PDT treatment model for severely disturbed BPD patients needs to integrate and encourage the
emergence of empathically attuned interactions in the context of a highly structured therapy experience.
• Practitioners need to be flexible enough to change intervention strategies when they seem to be increasing
distress in severely disturbed BPD patients.

Keywords: psychiatric hospitalization, psychotherapeutic processes, treatment outcomes, treatment proto-


types, naturalistic study

While many treatment models exist to treat patients 2004b), transference focused psychotherapy (TFP; Clarkin,
diagnosed with borderline personality disorder (BPD), the Yeomans, & Kernberg, 2006), dialectical behaviour therapy
identification of effective intervention strategies, regardless (DBT; Linehan, 1993) and schema-focused therapy (Young,
of treatment model, has received comparatively less Klosko, & Weishaar, 2003) are all specifically designed for
attention, especially for psychiatrically hospitalized BPD BPD patients in once or twice per week outpatient treatment.
patients. Mentalization-based treatment (Bateman & Fonagy, One of the reasons for this lack of interest in treating BPD
inpatients is the cost of psychiatric inpatient treatment:
managed care companies are more likely to pay for day
*Correspondence to: Geoff Goodman, Ph.D., Clinical Psychology
Doctoral Program, Long Island University, 720 Northern Blvd., treatment and outpatient programmes (Sharfstein, 1992;
Brookville, NY 11548, USA. Tischler, 1990). Research on the effectiveness of treatment
E-mail: ggoodman@liu.edu for BPD inpatients has been similarly lacking. The literature

Copyright © 2013 John Wiley & Sons, Ltd.


84 G. Goodman et al.

that does exist has yielded inconsistent recommendations. in the treatment, after stabilization has occurred, the
For example, Silk and his colleagues (Silk et al., 1994) have therapist can ‘move gradually toward psychodynamic
argued in favour of a focused, time-limited approach to work as the patient improves’ (p. 225). For these patients
treating BPD inpatients that includes cognitive-behaviour at this beginning stage of treatment, therefore, therapeutic
therapy (CBT) strategies that serve to structure the patient’s success comes from conducting clinical work at Tier 1 and
experience and thereby stabilize the crisis. To the best of our Tier 2, which gradually yields to clinical work on a deeper
knowledge, however, there is no empirical support for this level at Tier 3. The current study represents a preliminary
model. On the other hand, in a naturalistic study of attempt to test this model with five BPD inpatients.
inpatients diagnosed with BPD and post-traumatic stress With the proliferation of randomized controlled clinical
disorder, trauma-focused psychodynamic therapy (PDT) trials (RCTs) to evaluate treatment outcomes, psychother-
was associated with improvements in trauma-specific apy process researchers, who study the interactions
symptoms, general psychiatric symptoms, frequency of between therapists and patients, have raised questions
self-mutilating behaviour and number of hospitalizations about the therapeutic ingredients of manualized treatment
during the 1-year follow-up period (Sachsse, Vogel, & models (Ablon, Levy, & Katzenstein, 2006; Goodman,
Leichsenring, 2006). 2010). Effective psychotherapy process sometimes has
In the absence of a consensus from the literature little to do with the treatment model the therapist
advocating a particular treatment model, one might purports to be using (Ablon & Jones, 1998, 1999, 2002;
consider an assimilative psychodynamic psychotherapy Jones & Pulos, 1993). Even therapists participating in
(Gold & Stricker, 2001; Stricker & Gold, 1996, 2005). RCTs can be engaged in a therapeutic process outside
Assimilative psychodynamic psychotherapy is one of the parameters of their manualized treatment model. For
several attempts at combining therapeutic techniques example, Ablon and Jones (1998) asked experts in PDT
across theoretical orientations. Messer (1992, 2001) and CBT to rate the 100 items of the psychotherapy
defined ‘assimilative integration’ as ‘the incorporation of process Q-set (PQS) to reflect the ideal psychotherapy pro-
attitudes, perspectives or techniques from an auxiliary cess from their particular theoretical orientation, yielding
therapy into a therapist’s primary, grounding approach’ two composited prototypical Q-sorts of PDT process and
(Messer, 2001, p. 1). CBT process. None of the 20 most characteristic items of
Assimilative psychodynamic psychotherapy (Stricker & each theoretical orientation overlapped. Ablon and Jones
Gold, 1996, p. 50) is organized into three tiers: overt (1998) then applied these two PQS prototypes to their
behaviour (Tier 1), conscious cognition, affect, perception examination of three archival psychotherapy data sets
and sensation (Tier 2), and unconscious mental processes, and found that the CBT process did not predict positive
motives, conflicts, images and representations of signifi- symptomatic treatment outcome, whereas PDT process
cant others (Tier 3). According to this approach, did predict positive symptomatic treatment outcome, in
techniques of many treatment approaches are used from both PDT and CBT treatments.
time to time as determined by the patient’s ongoing In a later study (Ablon & Jones, 2002), the CBT proto-
psychological needs. These different techniques ultimately type was positively correlated with a prototype of inter-
serve a psychodynamic conceptualization of treatment personal therapy (IPT). Six of the 20 most characteristic
and accomplish the twin therapeutic goals of symptom items of each theoretical orientation overlapped. Recently,
reduction and personality integration. Goodman (2013) developed prototypes for two additional
The therapist’s skill is then used in part to evaluate the manualized treatment models specifically designed for
treatment phase in which the use of a particular technique BPD patients—TFP and DBT—and found that both treat-
would be helpful in achieving these goals. The criteria that ment models were positively correlated with PDT (for val-
the therapist needs to consider in his or her decision idation of these prototypes, see Goodman, 2013).
making include the patient’s ‘level of suffering and ability In the current study, the PQS prototypes of PDT, CBT,
to tolerate that suffering, capacity to delay gratification, IPT, TFP and DBT were applied to the PDT sessions of five
and his or her psychological sophistication and interest BPD patients on a psychiatric inpatient unit. Are prototyp-
in self-understanding’ (Stricker & Gold, 2005, p. 225). ical processes associated with any of these treatment
Considering these criteria in beginning treatment with models effective in reducing the distress of BPD
BPD inpatients, Stricker and Gold (2005) recommended inpatients? On the basis of the literature (Stricker & Gold,
an active treatment model such as CBT because it ‘allows 2005), it would be expected that in this early phase of
more fragile or volatile patients…to experience early inpatient treatment, prototypical CBT process might be
success in therapy’ (p. 225). According to the authors, this more helpful than prototypical PDT process, even though
treatment approach, used in the beginning phase with the therapy offered on this inpatient unit is supposedly
these patients, contributes to improved self-esteem, an PDT-based.
expanded sense of competence and a perception of the In summary, to the best of our knowledge, the psycho-
therapist as a benign, positive and helpful presence. Later therapy process of BPD inpatients treated with PDT has

Copyright © 2013 John Wiley & Sons, Ltd. Clin. Psychol. Psychother. 22, 83–95 (2015)
Prototypical Processes and Psychological Distress 85

never been studied. The current study used the PQS to representing the other three treatment models (i.e., PDT,
correlate interactions between two PDT-supervised thera- CBT and IPT) were similarly approached and selected by
pists and two reliably diagnosed BPD inpatients with five Ablon and Jones (1998, 2002).
session prototypes and then to correlate these prototypical
process scores with weekly patient-reported psychological
distress levels. The goal was to identify effective interven- Therapists
tion strategies that therapists could incorporate into their Three of the four participating therapists (for patients 1–3)
clinical work to decrease psychological distress in severely were completing post-doctoral fellowship or residency train-
disturbed BPD outpatients in crisis. Process and outcome ing programmes and were receiving weekly clinical PDT
data are presented from the treatments of five BPD supervision on their psychotherapy cases admitted to an
inpatients who participated in approximately 6 months inpatient unit dedicated to the psychodynamic treatment
of three times per week PDT. of patients diagnosed with BPD. The fourth therapist treated
Six hypotheses were formulated: (1) BPD inpatients patients 4 and 5. He was one of the clinical PDT supervisors
would experience improvement in levels of psychological of trainees on this inpatient unit (although he did not super-
distress (tested using a series of Pearson correlations); (2) vise the other three therapists). All four therapists were
prototypical process scores would vary within and be- approached to participate after one of their patients was
tween therapist–patient dyads over time (tested using a se- already enrolled in the study. No therapist refused to
ries of Pearson correlations and by visual inspection); (3) participate. The therapists of patients 1 and 3 were women,
prototypical process scores would be significantly corre- whereas the therapists of patients 2, 4 and 5 were men.
lated with distress levels (tested using a series of Pearson
correlations); (4) consistent with the nature of this inpatient Patients
unit, prototypical PDT process would be more prevalent The patients were five women diagnosed with BPD who
than prototypical processes associated with four other were admitted to this inpatient unit in crisis and undergo-
treatment models (by visual inspection); (5) consistent with ing intensive treatment. All patients satisfied criteria for
Stricker and Gold (2005), prototypical CBT process would BPD as evaluated by senior-level psychologists at
be predictive of distress levels over and above the others admission, using the Structured Clinical Interview for
(tested using a multiple regression analysis); and (6) in an Personality Disorders (SCID-II; Spitzer, Williams, &
exploratory analysis, some PQS items regardless of PQS Gibbon, 1987). All patients were also evaluated by
prototypes would be negatively correlated with distress senior-level psychologists for comorbid axis I disorders
levels (tested using a series of Pearson correlations). These at admission, independently of axis II disorders, using
hypotheses were tested in the following naturalistic, the SCID-patient version (SCID-P; Spitzer, Williams, &
quantitative single-case research study with five cases. Gibbon, 1990). All five patients had been admitted to this
unit because they posed grave danger to their own safety.
All five patients experienced painful childhoods with
neglectful, unprotective or abusive caregivers. Brief,
METHOD appropriately disguised descriptions of each patient are
provided below.
Participants
Experts Patient 1 was a 26-year-old, single, college-educated
The role of the experts in this study was to rate the 100 Caucasian woman with no prior psychiatric hospitaliza-
PQS items to reflect the ideal psychotherapy process from tions. She was diagnosed with major depressive disorder
their particular theoretical orientation. All experts in this on Axis I and BPD on Axis II, according to her hospital
study were approached and selected because of their records. She was taking medication for depression. She
nationally recognized expertise in PDT, CBT, IPT, TFP or was on disability at the time of admission. Patient 1 had
DBT. Each expert had published work concerning his or made three suicide attempts, including one that precipi-
her domain. TFP and DBT experts were either known to tated her hospitalization.
the author or referred to the author by other nationally rec- Patient 2 was a 31-year-old, divorced, college-educated
ognized experts. Regarding the credentials of the three TFP Caucasian woman with six prior psychiatric hospitaliza-
experts, all three experts were practicing TFP therapists. All tions. She was diagnosed with bipolar disorder, anorexia
three experts had also completed many years of training nervosa and bulimia nervosa on Axis I and BPD on Axis
under Otto Kernberg and his clinical supervision team. II, according to her hospital records. She was taking
Regarding the credentials of the three DBT experts, all three medication for bipolar disorder. She was unemployed at
experts were certified DBT trainers, personally trained and the time of admission. Patient 2 had made six suicide
clinically supervised by Marsha Linehan and now training attempts, including one that precipitated her current
other DBT therapists (Goodman, 2013). The 32 experts hospitalization and engaged in sexual promiscuity and

Copyright © 2013 John Wiley & Sons, Ltd. Clin. Psychol. Psychother. 22, 83–95 (2015)
86 G. Goodman et al.

drug and alcohol abuse. Notably, she had experienced the Treatment
abrupt termination of her treatment by several previous All five patients were treated in three times per week
therapists. She had a history of severe self-destructive individual PDT. The four therapists were trained and
behaviour and complained of inner deadness. Patient 2 supervised to practice a manualized PDT that focuses on
also was reportedly sexually abused as a child by her the clarification, confrontation and interpretation of trans-
parents and a neighbour. ference on an inpatient unit founded by a prominent
Patient 3 was a 29-year-old, single, college-educated psychoanalyst who treats BPD patients (Kernberg, Selzer,
Caucasian woman with five prior psychiatric hospitaliza- Koenigsberg, Carr, & Appelbaum, 1989). This treatment
tions. She was diagnosed with dysthymic disorder, manual (Kernberg et al., 1989) defines the predecessor of
obsessive-compulsive disorder, alcohol dependence and what would later become TFP. The current TFP treatment
cocaine dependence on Axis I and BPD on Axis II, manual (Clarkin et al., 2006) is much more explicit in its
according to her hospital records. She was taking medica- treatment description and intervention strategies.
tion for depression. Patient 3 had made numerous suicide No adherence checks were conducted. The treatment
attempts and gestures, which precipitated her current hos- regimen consisted of PDT in combination with an inten-
pitalization. She also engaged in self-mutilation. Patient 3 sive milieu programme that included a weekly group for
also was reportedly sexually abused as a child by a sibling. the entire psychiatric unit, a weekly team meeting
Patient 4 was a 35-year-old, single Caucasian woman consisting of seven or eight patients and weekly voca-
who had completed 2 years of college. She had five prior tional and activity groups that all patients attended. These
psychiatric hospitalizations. She was diagnosed with treatment components were designed to help patients
bipolar disorder on Axis I and BPD on Axis II, according examine their interpersonal relationships and develop
to her hospital records. She was taking medication for job opportunities upon discharge. Multimodal treatment
bipolar disorder. She was unemployed at the time of regimens are typical of inpatient treatment settings for
admission. Patient 4 had made numerous suicide severely disturbed patients.
attempts, including one that precipitated her current
hospitalization and engaged in self-mutilation and drug
Measures
and alcohol abuse. Notably, she had undergone many
trials of electroconvulsive shock treatment. She reportedly Psychotherapy Process Q-Set
physically attacked family members. She reported brief The PQS (Jones, 2000) is a 100-item instrument that
auditory and visual hallucinations. At the end of the assesses the processes of therapeutic change within an
study, Patient 4 terminated her hospital treatment against entire audiotaped or videotaped 45-min psychotherapy
medical advice because, according to hospital records, she session. All 100 PQS items are sorted into nine piles in a
became aware that her family was adapting to life without forced-choice (ipsative) procedure ranging from most
her. She was permitted to leave the hospital because she uncharacteristic (pile 1) to most characteristic (pile 9) of
no longer posed an acute suicide risk. the session being rated. This ipsative procedure forces
Patient 5 was a 41-year-old, married, college-educated raters to place items in a normal distribution that charac-
Caucasian woman with 17 prior psychiatric hospitalizations. terizes both the high and low ends of a construct. Approx-
She was diagnosed with major depressive disorder on axis I imately one-third of the PQS items were designed to
and BPD on axis II, according to her hospital records. She capture aspects of the therapist’s actions and attitudes,
was taking medication for depression. She was a teaching one-third designed to capture aspects of the patient’s
assistant at the time of admission. Patient 5 had made attitude and behaviour or experience and one-third
numerous suicide attempts, including one that precipitated designed to capture aspects of the interaction of the
her current hospitalization. Notably, Patient 5 reported a therapist–patient dyad or the climate or atmosphere of
long history of sexual and physical abuse perpetrated by a the encounter (Jones, 2000).
family member and a neighbour during childhood. She The PQS items were selected from the psychotherapy
was reportedly raped multiple times as an adult. She also literature and from leading experts to cover psychotherapy
reported brief auditory and visual hallucinations. processes found in a wide variety of theoretical orienta-
tions, including cognitive-behavioural, psychodynamic,
It is noteworthy that the five inpatients enrolled in this gestalt, humanistic/existential, interpersonal and rational-
study were typical of BPD patients treated on this psychi- emotive (Ablon & Jones, 1998, 1999, 2002; Jones, Cumming,
atric unit. The enormous number of prior hospitalizations & Horowitz, 1988; Jones, Hall, & Parke, 1991; Jones &
for BPD patients was well within the mean of 5.45 Pulos, 1993). Every item was constructed to cover a unique
reported by Hull, Yeomans, Clarkin, Li, and Goodman aspect of psychotherapy process not duplicated by any
(1996), as well as the presence and number of comorbid other item and to guarantee maximum variability across
Axis I disorders reported by Goodman and his colleagues sessions and across patients. The reliability and validity of
(Goodman, Hull, Clarkin, & Yeomans, 1998). the PQS have been demonstrated across a variety of

Copyright © 2013 John Wiley & Sons, Ltd. Clin. Psychol. Psychother. 22, 83–95 (2015)
Prototypical Processes and Psychological Distress 87

archived treatment samples (Ablon & Jones, 1998, 1999, requested to sort the 100 PQS items relevant to psycho-
2002; Jones et al., 1988; Jones et al., 1991; Jones & Pulos, therapy process—as they see this process occurring within a
1993). Mean intraclass correlations (ICCs) have ranged prototypical psychotherapy session from their theoretical
between 0.73 and 0.89 per rater pair across samples (Ablon perspective (i.e., PDT, CBT, IPT, TFP or DBT process).
et al., 2006; Goodman, 2010). Reliability analyses for indi- Expert raters provided their prototypical PQS ratings on
vidual PQS items have also ranged between 0.50 and 0.95 the basis of their understanding of an ideally conducted
across samples (Ablon et al., 2006). Construct and discrimi- session rather than an actual recorded session; they were
nant validity has also been demonstrated across samples given extensive instructions on how to rate these items
(Jones et al., 1988; Jones et al., 1991; Jones, Krupnick, & and were encouraged to contact the investigator with
Kerig, 1987; Jones & Pulos, 1993). any questions. Expert raters were paid honoraria for their
participation in this Institutional Review Board-approved
study. Expert raters’ prototypical PQS ratings within each
Structured Clinical Interview for Personality Disorders treatment model were composited by adding all the
(SCID-II) and SCID-Patient Version ratings and dividing by the number of experts and used
The SCID-II (Spitzer et al., 1987) semistructured in all statistical analyses, yielding five session prototypes.
interview was used to confirm the diagnosis of BPD Stuart Ablon provided the composited prototypical PQS
(Clarkin, Hull, & Hurt, 1993). Two senior-level psycholo- ratings of the PDT, CBT and IPT treatment models.
gists independently evaluated the patients’ audiotaped Patients were approached consecutively to participate in
responses and assigned scores for the BPD criteria. a study of the effectiveness of psychotherapy for patients
Interrater agreement for BPD on the basis of this rating diagnosed with BPD. Eight patients were approached;
system was 100%. The SCID-patient version (SCID-P) patient recruitment was closed after five patients had
(Spitzer et al., 1990) semistructured interview was used agreed to participate. For the purposes of this study,
to establish comorbid Axis I diagnoses (Clarkin et al., patients were contacted 1 to 2 weeks after admission—after
1993). Adequate reliability and validity data are presented their adjustment to the unit and completion of an extensive
in the SCID-II (Spitzer et al., 1987) and SCID-P (Spitzer psychiatric evaluation that lasted three to six sessions (for
et al., 1990) manuals. additional details, see Goodman et al., 1998). All patients
signed informed consent forms and consented to have
their sessions audiotaped. At this time, patients were
Symptom Checklist-90-Revised administered the SCID-II and SCID-P to obtain Axis I and
The measure of weekly symptoms used in this study was Axis II diagnoses. Patients 2 and 4 refused to complete
the symptom checklist-90-revised (SCL-90-R; Derogatis, the SCL-90-R.
1983). The SCL-90-R is a self-report symptom checklist in Data collection took place during the first 6 months of hos-
which patients are asked to rate the severity of 90 symptoms pitalization. The length of stay varied according to the
over the previous week, using a 5-point Likert-type Scale patients’ rate of symptom remission and the social worker’s
(0 = not at all; 1 = a little bit; 2 = moderately; 3 = quite a bit; ability to make adequate discharge plans. Every session was
4 = extremely). This assessment takes 12–15 min to adminis- audiotaped, but only every third session was transcribed
ter and is organized into 10 scales: somatization, obsessive- verbatim and coded—typically the final session of each
compulsive, interpersonal sensitivity, depression, anxiety, week. Patients completed the SCL-90-R at this session.
hostility, phobic anxiety, paranoid ideation, psychoticism Financial limits prevented transcription of all sessions. Every
and the Global Severity Index (GSI). Test–retest reliability third session was selected for transcription because the
coefficients for all scales have ranged between 0.80 and researchers wanted a representation of treatment from
0.90 (Derogatis, 1983). every week to have evenly spaced data points. Patient 1
Because the GSI was designed to assess overall was audiotaped and transcribed for 23 sessions (out of
psychological distress, it was the only symptom measure the total 69 sessions), patient 2 for 31 sessions (out of the
used in this study. Weekly GSI scores comprised the total 93 sessions), patient 3 for 21 sessions (out of the total
dependent variable. Mean Cronbach’s alpha coefficient 63 sessions), patient 4 for 32 sessions (out of the total 96
of the GSI in this sample was 0.67. sessions) and patient 5 for 20 sessions (out of the total
60 sessions).
Two teams, each consisting of two clinical psychology
Procedure doctoral students, coded verbatim transcriptions of all
127 sessions of the five patients enrolled in this study
The expert raters used a common vocabulary of 100 PQS using the PQS. Thus, two coders coded every transcrip-
items to characterize prototypical psychotherapy process tion independently of each other. The four doctoral
in an ideally conducted session from their theoretical students were given extensive training on coding prac-
perspective. Expert raters were contacted by email and tice sessions using the PQS until all coders’ interrater

Copyright © 2013 John Wiley & Sons, Ltd. Clin. Psychol. Psychother. 22, 83–95 (2015)
88 G. Goodman et al.

Table 1. Cross-classified random effects modelling results for the five prototypical process scores as individual outcome variables

PDT CBT IPT

p p
Fixed Effect Coefficient SE T ratio value Coefficient SE T ratio value Coefficient SE

Mean initial status 0.139 0.018 7.766 <0.001 0.256 0.028 8.993 <0.001 0.139 0.018
Mean growth rate !0.004 0.003 !1.493 0.138 0.001 0.002 0.330 0.742 !0.001 0.002
Random Effect Variance df χ2 p value Variance df χ2 p value Variance df
component component component
Initial status, b00j 0.012 4 26.903 <0.001 <0.001 4 4.463 0.347 <0.001 4
Growth rate, b10j <0.001 4 10.568 0.031 <0.001 4 6.498 0.164 <0.001 4
Therapist effect, c00k <0.001 3 2.959 >0.500 <0.001 3 4.729 0.191 <0.001 3
Level-1 error, eijk 0.022 0.026 0.011

PDT = psychodynamic therapy. CBT = cognitive-behaviour therapy. IPT = interpersonal therapy. TFP = transference focused psychotherapy. DBT =
dialectical behaviour therapy. SE = standard error.

reliabilities among themselves were sufficiently high Data Analysis: Psychotherapy Process Q-Set
(i.e., mean ICC ≥ 0.70) to begin coding the current Prototype Process Scores (Cross-Classified Random
sample. Doctoral students were aware of the five Effects Modelling)
patients’ primary diagnosis of BPD but were blind to
all other information about the patients and therapists. The data were structured with assessment time points
Doctoral students were trained to code the transcrip- (measured in weeks) cross-classified by patients and
tions in front of them on the basis of the verbal therapists (Raudenbush & Bryk, 2002). Prior to descriptive
exchanges recorded in each transcription, not on any analyses, a cross-classified random effects (CCRE) model
prior theoretical ideas or clinical or personal experiences. was used to test the hierarchical and cross-classified
Throughout the duration of the coding process, weekly structure of the data. CCRE models uniquely test such
coding team meetings were held to go over discrepant structures, and the HCM2 model program (Scientific
PQS items to improve coding accuracy and to prevent Software International, Inc., Skokie, Illinois, USA) within
interrater drift. As coding team leader, the first author also HLM software (Raudenbush, Bryk, Cheong, Congdon, &
consulted with Stuart Ablon on a regular basis during this du Toit, 2004) was used to conduct these analyses.
process whenever questions arose within the teams With this knowledge of the multiple weeks nested within
regarding coding specific items. Sessions from all five patients and therapists, creation of the cross-classified
patients were randomly assigned to these two coding models for the data was the next step. The model would
teams in random order. Thus, session 19 from patient 5 consist of multiple time points cross-classified by patients
might be coded 1 week, and then session 6 from patient and therapists. Thus, an unconditional CCRE model was
2 might be coded the following week. The mean ICC created, with each of the five sets of PQS prototypical
between each pair of coder ratings aggregated across all process scores as individual outcome variables.
127 sessions was 0.73 (range: 0.52–0.87). A mean reliability Table 1 summarizes the results for the five sets of PQS
of 0.73 exceeds the generally acceptable criterion of 0.70 prototypical process scores using CCRE modelling. As
used to determine acceptable reliability in psychotherapy seen in Table 1, no statistically significant variance was
process and outcome research (Orlinsky & Howard, found between therapists and patients. The location of
1986). Fleiss and his colleagues (Fleiss, 1981; Fleiss & variation revealed that the majority of the variance
Cohen, 1973; Shrout & Fleiss, 1979) would interpret occurred between repeated measures (see PDT prototypi-
the magnitude of the range of ICC values as good cal process scores), indicating that neither therapists nor
to excellent. patients were affecting individual growth variably.
Each pair of coder ratings was composited by adding
the two ratings and dividing by 2. These 127 composited
PQS ratings of psychotherapy process were used to
calculate prototypical process scores—the Pearson
RESULTS
correlation coefficients between each of the five Hypothesis 1: Distress Levels over Time
composited PQS prototypical Q-sort ratings and the
127 composited PQS ratings. Higher correlations Three of the five patients in this study completed the
indicate greater prevalence of that treatment model’s SCL-90-R every week. The GSI (a measure of psycholog-
prototypical process. ical distress) from the SCL-90-R was used as the outcome

Copyright © 2013 John Wiley & Sons, Ltd. Clin. Psychol. Psychother. 22, 83–95 (2015)
Prototypical Processes and Psychological Distress 89
Table 1. (Continued)

IPT TFP DBT

T ratio p value Coefficient SE T ratio p value Coefficient SE T ratio p value


7.766 <0.001 0.260 0.050 5.160 <0.001 !0.062 0.013 !4.902 <0.001
!0.400 0.689 !0.003 0.002 !2.133 0.035 0.001 0.001 0.732 0.466

χ2 p value Variance component df χ2 p value Variance component df χ2 p value


2.063 >0.500 0.010 4 23.229 <0.001 <0.001 4 8.367 0.078
4.799 0.308 <0.001 4 3.022 >0.500 <0.001 4 8.057 0.088
3.402 0.334 <0.001 3 4.174 0.242 <0.001 3 3.089 0.379
0.019 0.005

measure (Figure 1). The GSI scores were correlated with Prototypical PDT process was most prevalent in only one
time measured in weeks. Cohen’s (1992) d effect sizes based treatment (Figure 2) and significantly decreased over time
on these Pearson correlations are reported in Table 2. A in three of the five treatments (Table 2).
negative effect size indicates that distress decreased over
time. All three patients (designated patient 1, patient 3 and
patient 5) demonstrated a medium effect size in distress Hypothesis 5: Predictors of Distress Levels within and
reduction. Patient 5, the most symptomatically disturbed across Treatments
of the three patients, showed the most dramatic improve-
ment, followed by patient 3 and Patient 1. The five sets of PQS prototypical process scores were
entered as predictors of distress levels into three multiple
regression models with time as a control variable within
Hypotheses 2 and 3: Psychotherapy Process Q-Set each of the three treatments with distress data available
Prototypical Process Scores and Distress Levels (i.e., 1, 3 and 5). Patient 1’s regression model was not
over Time significant. Time was significant for patient 3’s
(β = !0.74, p < 0.01) and patient 5’s (β = !0.78, p < 0.05)
Each of the five sets of 127 PQS prototypical process treatments. None of the five sets of prototypical process
scores was correlated with weeks and the GSI scores. scores were significant.
The prototypical process scores were significantly corre- The five sets of prototypical process scores were
lated with both time and distress levels (Table 2). entered as predictors of distress levels in a multiple
Figure 2 indicates the various contributions that each regression model with time as a control variable
prototypical process made to the treatment of each of the across all three treatments with distress data available (i.e.,
five patients. Visual inspection of Figure 2 suggests that 64 sessions). This model accounted for 37% of the variance
the constellation of prototypical process scores uniquely (F[6, 57] = 5.47, p < 0.001), with significant effects for
characterizes the psychotherapy process of each of these time (β = !0.26, p < 0.05), prototypical PDT process (β = 0.51,
five treatments. No two treatments appear similar to each p < 0.05), prototypical CBT process (β = !0.65, p < 0.001)
other. To underscore these differences in the magnitude of and prototypical TFP process (β = !0.84, p < 0.001).
these prototypical process scores across treatments, it Thus, prototypical PDT process predicted increases in
should be pointed out that prototypical PDT process was distress, whereas prototypical CBT and TFP process
most prevalent in patient 2’s treatment but least prevalent predicted decreases.
in patient 4’s treatment. Although the means of the first four
sets of prototypical process scores are generally in the
positive range, the DBT prototypical process scores are Hypothesis 6: Psychotherapy Processes Significantly
always in the negative range. Prototypical DBT process Correlated with Distress Levels
was the least prevalent prototypical process measured.
In an exploratory analysis, the 100 PQS items, regardless
of PQS prototypes, were correlated with the GSI scores.
Hypothesis 4: Prevalence of Prototypical Table 3 lists the mean pile numbers of the most and least
Psychodynamic Therapy Process characteristic PQS items for all five patients over 127
sessions. Table 4 lists the eight PQS items significantly
Interestingly, prototypical CBT process was most preva- correlated with distress levels at p < 0.001 (after a
lent in three of the five PDT-labelled treatments (Figure 2). Bonferroni correction was applied to control for type I

Copyright © 2013 John Wiley & Sons, Ltd. Clin. Psychol. Psychother. 22, 83–95 (2015)
90 G. Goodman et al.

Figure 1. Plot of SCL-90-R GSI Scores by Weeks in Treatment


Figure 2. Five Mean Prototypical Ratings for each Patient

Table 2. Effect sizes of prototypical process scores and distress correlated with distress levels. Two PQS items positively
levels over time correlated with distress levels were the therapist’s aloof-
Weeks PDT CBT IPT TFP DBT
ness (item 9) and the discussion of dreams or fantasies
(item 90). The only PQS item that appeared in both this
Patient 1 table and the table of most characteristic items over the
Weeks — !1.11** 0.48 !0.18 !0.76* !0.39 127 sessions (Table 3) had to do with the therapist’s show
SCL-90-R !1.03** 0.43 !0.26 0.63* 0.22 0.55* of interest in the patient (item 31).
Patient 2
Weeks — 0.74* 0.60* !0.04 !0.20 0.46
SCL-90-R — — — — — —
Patient 3
DISCUSSION
Weeks — !0.53* 0.43 0.49 !0.23 !0.73* This study demonstrated that severely disturbed BPD
SCL-90-R !1.73** 0.76* !0.45 !0.20 0.66* 0.03 inpatients can respond to intensive PDT over a 6-month
Patient 4 period, which supports the first hypothesis. The PQS
Weeks — !0.45 !0.31 !0.61* !0.34 !0.07 prototypical process scores also varied within and be-
SCL-90-R — — — — — — tween therapist-patient dyads over time, thus supporting
Patient 5 the second hypothesis. The magnitude of the five prototypi-
Weeks — !0.53* !0.60* 0.22 !0.80** 0.80** cal process scores gave each therapeutic dyad its own
SCL-90-R !2.05** 0.49 0.23 !0.29 0.70* !0.38 unique shape.
*Cohen’s (1992)d ≥ absolute value of 0.50 (medium effect size). Who is responsible for the unique shape of these
**Cohen’s (1992)d ≥ absolute value of 0.80 (large effect size). treatments—the therapist or the patient? Because the same
PDT = psychodynamic therapy. CBT = cognitive-behaviour therapy. IPT = therapist treated both patient 4 and patient 5, any differ-
interpersonal therapy. TFP = transference focused psychotherapy. DBT =
dialectical behaviour therapy. SCL-90-R = symptom checklist-90-revised. ences between these two treatments in the constellation of
prototypical process scores would implicate the patient’s
characteristics (or the unique reciprocal interaction between
errors associated with conducting 100 statistical tests). The the patient’s characteristics and the therapist’s characteris-
PQS item most negatively correlated with distress levels tics) as the driving force behind these differences. When
was the therapist’s emphasizing the patient’s feelings the therapist was held constant, the constellation of
(item 81), whereas the second most negatively correlated prototypical process scores across these two patients
PQS item with distress levels was the therapist’s actively nevertheless varied (Figure 2). In truth, the therapist’s
exerting control over the dyadic interaction (item 17). different responses to these two patients could have just
Therapist clarification (item 65) was also negatively as significantly originated in different aspects of his

Copyright © 2013 John Wiley & Sons, Ltd. Clin. Psychol. Psychother. 22, 83–95 (2015)
Prototypical Processes and Psychological Distress 91

Table 3. Most and least characteristic psychotherapy process Table 4. Significant correlations between psychotherapy process
Q-set items for 127-session sample Q-set items and symptom checklist-90-revised Global Severity Index

Mean Item # PQS item r


PQS # Most characteristic items over 127 sessions Pile #
81 Therapist emphasizes patient’s feelings !0.59
88 Patient brings up significant 7.37 in order to help him/her experience
issues and material them more deeply
69 Patient’s current or recent 7.34 17 Therapist actively exerts control over !0.57
life situation is emphasized the interaction
31a Therapist asks for more information 7.24 6 Therapist is sensitive to the patient’s !0.54
or elaboration feelings, attuned to the patient; empathic
46 Therapist communicates with patient 6.97 65 Therapist clarifies, restates or rephrases !0.49
in a clear, coherent style patient’s communication
23 Dialogue has a specific focus 6.91 28 Therapist accurately perceives the !0.45
86 Therapist is confident or 6.89 therapeutic process
self-assured (versus uncertain or defensive) 31 Therapist asks for more information !0.43
35 Self-image is a focus of discussion 6.87 or elaboration
63 Patient’s interpersonal relationships 6.87 90 Patient’s dreams or fantasies are discussed 0.44
are a major theme 9 Therapist is distant, aloof 0.52
12 Silences occur during the hour 6.74 (versus responsive and affectively involved)
26 Patient experiences discomforting or 6.73
painful affect p < 0.001. Bonferroni correction applied.
PQS = psychotherapy process Q-set.
Least characteristic items over 127 sessions
16 There is discussion of body functions, 3.76
physical symptoms, health reciprocal: a particular prototypical process causes changes
2 Therapist draws attention to patient’s 3.80
in patient distress levels, which in turn cause changes in a
nonverbal behaviour
11 Sexual feelings and experiences are discussed 3.90 prototypical process, which in turn causes changes in
100 Therapist draws connections 3.91 distress levels. Time-series analysis could provide greater
between the therapeutic relationship evidentiary weight in settling the direction of causality.
and other relationships Contrary to the fourth hypothesis, prototypical CBT pro-
87 Patient is controlling 3.95 cess was most prevalent in treatments 1, 4 and 5, whereas
24 Therapist’s emotional conflicts 3.98 prototypical PDT process was most prevalent only in
intrude into relationship
57 Therapist explains rationale behind t 4.00 treatment 2 and significantly decreased over time in treat-
echnique or approach to treatment ments 1, 3 and 5. A plausible explanation for these PDT
10 Patient seeks greater intimacy with therapist 4.04 therapists’ extensive use of CBT interventions is that they
a
realized that prototypical CBT process early in treatment
PQS item 31 is also listed as one of the eght most significantly correlated
items with the SCL-90-R GSI (Table 4).
facilitated building the therapeutic alliance, stabilized the
PQS = psychotherapy process Q-set. patients’ symptoms and was paving the way for later
‘bread-and-butter’ PDT interventions (e.g., questioning of
the patients’ views of herself and the therapist, exploring
the therapeutic relationship) after discharge to an outpatient
own personality, elicited by each patient’s different setting (Stricker & Gold, 2005). Perhaps, the treatment of
interaction pattern. severely disturbed BPD patients requires the temporary
The prototypical process scores were significantly use of more supportive CBT processes early in recovery
correlated with distress levels, thus supporting the third (i.e., tiers 1 and 2) that serve the treatment goals of
hypothesis. The magnitude of prototypical process scores alliance-building and stabilization before more ambitious
also varied over time (Table 2). The pattern of findings treatment models (i.e., tier 3) are attempted. Patients need
suggests that prototypical process correlations with time to feel secure enough after the crisis has passed to explore
were inversely proportional to prototypical process the contents of their own minds. It is possible that
correlations with distress levels. Prototypical process scores prototypical CBT process implemented within a CBT-
positively correlated with time were negativelycorrelated labelled treatment model might yield different results on
with distress levels and vice versa. The therapeutic dyad the basis of a difference in the ‘therapeutic background’
sensed which prototypical processes to increase or decrease created by the use of a different treatment model. A
over time to reduce the patient’s distress. hypothesis regarding the contextualization of treatment
Ultimately, whether changes in prototypical process strategies could be tested by comparing correlations
cause changes in distress levels or vice versa is not known. between prototypical processes and outcomes among
It is quite plausible that these change processes are differently labelled treatment models.

Copyright © 2013 John Wiley & Sons, Ltd. Clin. Psychol. Psychother. 22, 83–95 (2015)
92 G. Goodman et al.

Consistent with Stricker and Gold (2005) and in support terms’ (p. 117). The reason is that BPD patients experience
of the fifth hypothesis, prototypical CBT process predicted widespread ‘symbolic failure, particularly associated
distress reduction over and above the others. In the with incongruent mirroring’ (p. 118). Thus, transference
three treatments with distress data available, prototypical interpretation, particularly with severely disturbed BPD
PDT process decreased over time and simultaneously patients, whose symbolic capacity has clearly failed,
predicted increased distress over and above the others. would be ineffective. Only after a primitive symbolic
Quite plausibly, these therapists used fewer PDT capacity has become activated should a therapist attempt
interventions over time because they learned that making transference interpretation with BPD patients. Conversely,
these technical adjustments—away from PDT—would the non-confrontational and non-interpretive aspects of
reduce their patients’ distress and facilitate alliance-building TFP such as the high degree of structure, active therapist
and stabilization. stance and emphasis on clarification could account for
The fact that these patients improved with prototypical the significant contribution of prototypical TFP process
CBT process in their sessions further supports the in the prediction of distress reduction.
hypothesis that these PDT-trained and supervised therapists Bateman and Fonagy (2004b) recommended cognitively
were being sensitive to what seemed to be working to based mentalization—identifying the mental states in the
ameliorate their patients’ distress. It is noteworthy that the patient and others and connecting mental states to
PQS items that assess therapist confrontation (item 99), behaviours—as the effective ingredient of BPD treatment
transference interpretation (items 92, 98 and 100), defence —not confrontation or transference interpretation. In fact,
interpretation (item 36) and patient insight (item 32)— five of the eight most characteristic PQS items signifi-
important PDT interventions—were not significantly cantly correlated with distress reduction are consistent
correlated with distress levels. with this recommendation (Table 4). On the basis of our
Consistent with the sixth hypothesis, eight PQS items reading of Bateman and Fonagy’s (2004a, 2004b) defini-
were significantly correlated with distress levels, p < 0.001, tion, mentalization is the outcome of an empathically
in the three treatments with distress data available. Only attuned, sensitive therapist (item 6) accurately perceiving
one PQS item characteristic of prototypical PDT process the therapeutic process (item 28) and using this emotional
(Ablon & Jones, 1998, p. 75)—the therapist’s sensitivity to knowledge to emphasize the patient’s feelings in order to
the patient’s feelings (item 6)—was significantly correlated help him or her experience them more deeply (item 81) by
with distress reduction. One PQS item also characteristic of getting the patient to elaborate (item 31) and by clarifying
prototypical PDT process—the discussion of the patient’s the patient’s communications (item 65). Combine this
dreams or fantasies (item 90)—was significantly correlated process with a highly structured therapy experience
with increases in distress. On the other hand, three PQS characteristic of CBT (item 17), and one has all the
items characteristic of prototypical CBT process (Ablon & essential ingredients for an effective treatment for severely
Jones, 1998, p. 76)—the therapist actively exerts control disturbed BPD patients. This distress-reducing psycho-
over the interaction (item 17), the therapist’s accurate therapy process sounds more Rogerian (Rogers, 1977)
perception of the therapeutic process (item 28) and the ther- and cognitive-behavioural than psychodynamic.
apist asks for more information or elaboration (item 31)— This study illustrates a powerful method for simulta-
were significantly correlated with distress reduction. neously assessing psychotherapy process and adherence
No PQS items characteristic of prototypical CBT process to a specific treatment model’s prototypical process using
were significantly correlated with increases in distress. the same instrument. In spite of a lack of adherence data,
These findings suggest that the prototypical treatment some treatment models prematurely claim efficacy in the
model for severely disturbed BPD inpatients includes a treatment of BPD patients. For example, even though
highly structured therapy experience in which the therapist TFP was shown to outperform DBT and supportive psy-
accurately perceives the therapeutic process through chotherapy (SPT) on some outcome measures in an RCT
eliciting elaboration (but not exploring dreams or fantasies), (Clarkin, Levy, Lenzenweger, & Kernberg, 2007; Levy
as well as an acute sensitivity to the patient’s feelings, et al., 2006), it is not known whether the patients in the
emphasizing empathic attunement rather than confron- TFP condition received pure TFP and not an alloyed ver-
tation or transference interpretation. sion. Clarkin and his colleagues (Clarkin et al., 2007)
Bateman and Fonagy (2004b) suggested that TFP—a reported that twice-weekly outpatient TFP was associated
BPD treatment model that prescribes therapist confronta- with significant improvement in 10 of 12 symptom
tion and transference interpretation (Clarkin et al., 2006) domains, whereas once-weekly outpatient SPT was
—expects too much agentive thinking from the patient, associated with significant improvement in only six
which the patient could perceive as blaming. In contrast, domains and once-weekly outpatient DBT with once-
a therapist who practices mentalization-based treatment weekly skills training in only five domains. Levy and
‘would not expect the patient to understand much of the his colleagues (Levy et al., 2006) similarly reported that
discourse that the therapist might verbalize in relational TFP was associated with significant changes from

Copyright © 2013 John Wiley & Sons, Ltd. Clin. Psychol. Psychother. 22, 83–95 (2015)
Prototypical Processes and Psychological Distress 93

insecure to secure attachment and significant increases in Because all inpatients on this BPD psychiatric unit
mentalization compared with DBT and SPT. On the sur- received intensive milieu therapy in addition to individual
face, it would appear that TFP produces both symptom- psychotherapy three times per week, it is not clear
atic and structural change; however, neither of these whether the decreases in distress levels can be attributed
studies provided any quantitative information about to the psychotherapy process or whether the milieu
treatment adherence to TFP. Thus, these TFP therapists therapy influenced the psychotherapy process. In this
could have been practicing CBT process, mentalization naturalistic study, internal validity was sometimes
process or no manualized process at all. The PQS proto- sacrificed on the altar of ecological validity.
types illuminate the processes actually taking place in ther- Future researchers need to investigate adherence to var-
apy sessions and can therefore resolve any doubts about iously labelled treatment models with various types of
which treatment model therapists are implementing. BPD patients in various settings. Specifically, treatments
The limitations of this study are worthy of mention. The of BPD patients with various levels of disturbance or dif-
small sample size prohibits facile generalizations to the ferent constellations of symptoms (Clarkin et al., 1993),
population of severely disturbed BPD patients. In a sense, treatments in various settings (e.g., inpatient, day
the current study can be considered hypothesis-generating treatment and outpatient) and treatments that systemati-
rather than hypothesis-testing even though hypotheses cally study pairings of therapist and patient attachment
were in fact tested. Future studies that use larger sample organizations or levels of mentalization could yield
sizes would be able to test these hypotheses more formally findings that clarify the findings of this study.
and, if supported, would improve confidence in their In summary, an effective PDT treatment model for
generalizability to this patient population. severely disturbed BPD inpatients needs to integrate
Because managed care companies refuse to pay for and encourage the emergence of empathically attuned
lengthy hospital stays, in all likelihood, patients with interactions in the context of a highly structured therapy
BPD no longer receive long-term PDT on inpatient psychi- experience. At the same time, these treatments require
atric units. The findings of this study are therefore also not technical flexibility to accommodate the patient’s unique
generalizable to PDT as currently practiced in outpatient presentation in crisis.
settings with stable BPD patients. Other prototypical
processes not identified in this study might characterize
other treatment models for BPD patients.
Moreover, symptom reduction in the short term—the
ACKNOWLEDGEMENTS
only outcome measure used in this study—is not an
appropriate yardstick for measuring enduring structural These data were collected with a grant from the Fund for
change. In fact, PDT might purposely increase distress Psychoanalytic Research of the American Psychoanalytic
levels in the service of a longer-term goal—personality Association awarded to James W. Hull (John F. Clarkin and
change. Follow-up data are not available on the patients Frank E. Yeomans, co-investigators). The first author
enrolled in this study to determine outcome trajectories. secured additional funding for the completion of this study
Multiple methods of assessing weekly or monthly from the International Psychoanalytical Association Research
treatment outcomes that include both symptomatic and Advisory Board (Celeste Schneider, co-investigator) and the
structural or personality change could address this Long Island University Research Fund. Stuart Ablon,
question about the enduring quality of both kinds of Raymond Levy and Tai Katzenstein provided timely
changes experienced by these patients over the entire consultation on the use of the PQS, and Bernard S. Gorman
course of treatment. Personality change in an inpatient provided additional statistical consultation. Stuart Ablon
treatment setting, however, might be too ambitious a goal. graciously shared his PQS prototype data. We appreciate
In addition, because they feel so overwhelmed, severely the assistance of the two groups of expert raters who
disturbed BPD patients in crisis might experience diffi- provided PQS ratings of the prototypical psychotherapy
culty completing measures beyond a simple symptom sessions characterizing TFP and DBT. Giacomo Buscaino,
questionnaire. In the current study, two of the five Silvia Fiammenghi, Anna Marantidis and Alana Tappin
patients refused to complete the SCL-90-R because provided expert coding assistance. Mary Beth Brady
responding to 90 items on a weekly basis felt over- faithfully transcribed all 127 session audiotapes. Joyce
whelming to them. The other three patients seemed to McFadden, Jennifer Neill and Freddy Aguero took time
underreport their symptoms in a misguided attempt to out of their hectic work schedules to assist with the
receive more privileges or an earlier discharge date. retrieval of hospital records. Valeda Dent reproduced
In this study, only one-third of the sessions were the tables and figures in Microsoft Word, and Tina Lo
transcribed; thus, the data represent an outline of checked references. Finally, we want to thank the four
psychotherapy process in these treatments rather than therapists and five patients for their participation in
a comprehensive picture. this study.

Copyright © 2013 John Wiley & Sons, Ltd. Clin. Psychol. Psychother. 22, 83–95 (2015)
94 G. Goodman et al.

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