Context matters: the psychoneurobiological determinants of placebo, nocebo and context-related effects in physiotherapy
grid.5606.50000 0001 2151 3065Department of Neuroscience, Rehabilitation, Ophtalmology, Genetics, Maternal and Child Health, University of Genova, Campus Universitario di Savona, via Magliotto 2, 17100 Savona, Italy
grid.7605.40000 0001 2336 6580Department of Neuroscience, University of Turin Medical School, Turin, Italy
Plateau Rosà Laboratories, Plateau Rosà Laboratories, Zermatt, Switzerland
Abstract
Background
Placebo and nocebo effects embody psychoneurobiological phenomena where behavioural, neurophysiological, perceptive and cognitive changes occur during the therapeutic encounter in the healthcare context. Placebo effects are produced by a positive healthcare context; while nocebo effects are consequences of negative healthcare context. Historically, placebo, nocebo and context-related effects were considered as confounding elements for clinicians and researchers. In the last two decades this attitude started to change, and the understanding of the value of these effects has increased. Despite the growing interest, the knowledge and the awareness of using the healthcare context to trigger placebo and nocebo effects is currently limited and heterogeneous among physiotherapists, reducing their translational value in the physiotherapy field.
Objectives
To introduce the placebo, nocebo and context-related effects by: (1) presenting their psychological models; (2) describing their neurophysiological mechanisms; (3) underlining their impact for the physiotherapy profession; and (4) tracing lines for future researches.
Conclusion
Several psychological mechanisms are involved in placebo, nocebo and context-related effects; including expectation, learning processes (classical conditioning and observational learning), reinforced expectations, mindset and personality traits. The neurophysiological mechanisms mainly include the endogenous opioid, the endocannabinoid and the dopaminergic systems. Neuroimaging studies have identified different brain regions involved such as the dorsolateral prefrontal cortex, the rostral anterior cingulate cortex, the periaqueductal gray and the dorsal horn of spine. From a clinical perspective, the manipulation of the healthcare context with the best evidence-based therapy represents an opportunity to trigger placebo effects and to avoid nocebo effects respecting the ethical code of conduct. From a managerial perspective, stakeholders, organizations and governments should encourage the assessment of the healthcare context aimed to improve the quality of physiotherapy services. From an educational perspective, placebo and nocebo effects are professional topics that should be integrated in the university program of health and medical professions. From a research perspective, the control of placebo, nocebo and context-related effects offers to the scientific community the chance to better measure the impact of physiotherapy on different outcomes and in different conditions through primary studies.
Background
Placebo and nocebo effects embody complex and distinct psychoneurobiological phenomena where behavioural, neurophysiological, perceptive and cognitive changes occur during therapeutic encounter, between the (physio) therapist and the patient, in the healthcare context [1]. Specifically, placebos and nocebos can be defined as inert treatments or active treatments that are not therapeutically effective for the disease or condition under cure (active placebo or nocebo). These treatments, if administered in a therapeutic and healthcare context, can produce remarkable effects, known as “placebo effects” or “nocebo effects” [2]. “Placebo effects” are produced by a positive healthcare context that can ameliorate the patient’s symptoms [1, 3]. Conversely, “nocebo effects” are produced by a negative healthcare context that can elevate the patient’s symptoms [4–6]. These effects can also occur when an active and therapeutically effective treatment is administered: indeed, any healthcare treatment (active or inert) that is administered in any healthcare contexts (e.g., medical, rehabilitative) can trigger contextual-related effects. Placebo, nocebo and contextual-related effects have been used as models to examine the body-mind interaction by investigating the impact of these phenomena on different bodily processes, diseases and individual behaviour [7, 8].
Indeed, the healthcare context is not a vacuum, but it is an enriched relational space created by several elements [9–15] – defined as contextual factors – such as: (1) the physiotherapist’s professionalism, mindset and appearance; (2) the patient’s beliefs, experiences and expectation about the disease and the therapy; (3) the words, gestures and behaviour presented in the physiotherapist-patient relationship during the therapeutic encounter; (4) the rituality, the invasiveness and the overt application of the intervention; (5) the furniture, the architectural design and the overall impression of the clinic [16]. These contextual factors have been suggested as responsible for a large non-specific component of treatment efficacy, directly affecting the quality of patient’s health-related outcomes (e.g., pain, disability, satisfaction, and experience) [16–20]. For instance, the same treatment (e.g., exercise) if associated with physiotherapist’s positive verbal suggestion (e.g., “This exercise will ameliorate your symptoms”) can reduce the pain and increase the strength of a patient. Whereas, if associated with verbal suggestion of uncertainty (e.g., “This exercise sometimes might reduce symptoms”), could even worsen pain and strength [17, 21, 22].
If compared with other healthcare professionals, the physiotherapist’s clinical action is deeply pervaded by placebo and nocebo effects for several reasons strongly related to the characteristics of physiotherapy administration [23]. Physiotherapists spend a significant amount of time with their patients in numerous sessions, intervening on different disorders (e.g., motor, cardio-respiratory, gastrointestinal, urogynecological or neurological), and therefore easily establishing an empathetic therapeutic relationship [24, 25]. Moreover, physiotherapists, more than medical doctors, interact with their patients using verbal (e.g., encouraging words) and non-verbal (e.g., communicative, non-therapeutic touch) elements [26, 27]. Every physiotherapy intervention, being it manual treatment, exercises or modalities, is naturally enriched by different contextual factors that can influence the trajectory of outcomes towards a positive or a negative result, depending on how they are managed by the physiotherapist [17] (Fig. 1).
Throughout the history of physiotherapy, placebo, nocebo and contextual-related effects have always been considered a challenging phenomena for two main reasons [28]. From a research perspective, these represented possible confounders capable of decreasing both internal and external validity of the studies conducted [29, 30]. From a clinical perspective, contextual factors symbolise troublesome and non-specific variables that can attenuate the therapeutic role of the specific interventions such as manual treatments, therapeutic exercise and modalities administration [31, 32].
It was at the end of the first decade of the twenty-first century that this attitude started to change. Indeed, the scientific community began to investigate the mechanisms of action of different therapeutic interventions like exercise and manual treatment of joint, soft and neural tissue, enlightening the weight of placebo and nocebo effects in such mechanisms and therefore their relevant role in physiotherapy [33, 34]. Emergent studies have suggested a mechanical and neurophysiological mechanism (peripheral, spinal and supraspinal) as the base of the effects induced by the therapeutic interventions adopted by the physiotherapists [35–37]. Considering the supraspinal mechanisms, placebo and nocebo effects were indicated as important top-down modulators of patient’s symptoms, mainly pain and motor performance [38–44], thus becoming elements that physiotherapists should attentively consider in their clinical practice [17].
Despite the growing interest in the physiotherapy field [16, 17], the knowledge and the awareness of using contextual factors to enhance placebo and avoid nocebo effects is still limited among physiotherapists [45]. The same unawareness has also been shown among other healthcare providers such as nurses and physicians [46, 47]. Moreover, the lack of a clear education about this professional topic in physiotherapy university courses reduces their perceived translational value and their relevance for physiotherapy practice [16, 48].
The aim of this narrative review is to offer a general overview of placebo, nocebo and contextual factors effects by: (1) presenting the psychological models behind their effects; (2) describing the neurophysiological mechanisms involved; (3) underlining the impact for the physiotherapy profession (clinical, managerial and educational); and (4) tracing lines for future researches.
To this end, the narrative review style has been selected, citing both primary studies (e.g., clinical trial) and secondary studies (e.g., systematic review, narrative review) on placebo and nocebo effects from different healthcare fields (e.g., medicine, nursing, physiotherapy) as previously reported [16, 17, 19]. Some studies specifically focus on the role of inert substances in producing positive (placebo) or negative (nocebo) effects, whereas others refer to the effect of the therapeutic context when an active treatment is administered (context-related effects).
Main text
Clinical, managerial and educational implications for physiotherapy profession
In accordance with the evidence reported in this review, the analysis of placebo, nocebo and context-related effects may lead to new therapeutic strategies that are capable of improving the professional action of the physiotherapist and of influencing management and education.
From a clinical perspective, the integration of the contextual factors with the best evidence-based therapy represents an opportunity to stimulate placebo effects and to prevent nocebo effects; boosting therapy effectiveness. This would be done in accordance with the ethical and deontological code of conduct [118, 119]. Indeed, contextual factors pervade every clinical action (e.g., history taking, physical examination, therapy administration, prognosis communication and revaluation) and directly affect the quality of health-related outcomes [16, 17]. A positive context (e.g., an encouraging verbal suggestion during a joint manipulation [54], or an empathetic therapeutic relationship during a modalities administration [120]), can ameliorate patients’ clinical outcomes by triggering placebo effects. Instead a negative context (e.g., a detrimental verbal indication delivered during a joint manipulation [54] or during a muscle strength test [121, 122]), can worsen patients’ symptoms by stimulating nocebo effects. Examples of clinical application of contextual factors are presented in Table 1.
Contextual factors Actions to enhance (placebo effects) Actions to avoid (nocebo effects) (A) Physiotherapist’s features • improve physiotherapist’s professionalism;• be aware of physiotherapist’s mindset;• promote physiotherapist’s appearance; • overlook physiotherapist’s professionalism;• be unaware of physiotherapist’s mindset;• disregard physiotherapist’s appearance; (B) Patient’s features • examine patients’ mindset;• analyse patients’ baseline; • neglect patients’ mindset;• ignore patients’ baseline; (C) Patient-physiotherapist relationship • manage verbal communication;• optimise non-verbal communication; • neglect verbal communication;• ignore non-verbal communication; (D) Treatment features • amplify the rituality of treatments;• be aware of therapeutic touch;• consider the modality/posology of treatment;• use marketing of treatment; • limit the rituality of treatments;• be unaware of therapeutic touch;• omit the modality/posology of treatment;• neglect marketing of treatment; (E) Healthcare setting features • adopt positive distractors and supportive indications;• use comfort elements, decorations and ornaments; • avoid positive distractors and supportive indications;• omit comfort elements, decorations and ornaments;
From a clinical point of view, it is imperative to distinguish between the changes in patients’ symptoms resulting from placebo and nocebo effects, and those rising from other variables [123]. Possible confounders include the natural history (the spontaneous relief of the dysfunction and symptom modifications) and the regression to the mean (a statistical event caused by selection biases). Moreover, the patient’s and clinician’s confirmation biases during the description of clinical symptoms as well as unrevealed effects of simultaneous treatments have been reported as other confounders [1, 124].
From a managerial perspective, placebo, nocebo and context-related effects could help policy decision-makers during the design of the healthcare setting [16, 17]. Taking into account contextual factors offers the opportunity to significantly improve patients’ perception of physiotherapy services in terms of quality and overall satisfaction [16, 17]. Thus, at multiple levels (e.g., private or public services, inpatients or outpatients units), stakeholders, organizations and governments should encourage assessment and management of contextual factors [125, 126]. The positive context around the treatment (e.g., respect of timetable of physiotherapy treatment, a quiet setting) can impact the overall patients’ satisfaction and perception of their health care experiences by enhancing the attractiveness of a specific physiotherapy service [20, 127]. A positive healthcare context invites patients to choose, return to and recommend the physiotherapy service. Moreover, it increases the adherence to prescribed treatments and follow-ups [20, 127]. Instead, a negative healthcare context (e.g., a noisy environment, an overcrowded setting) improves the likelihood of patients’ dissatisfaction, the abandonment of the service and the withdrawing from the treatment plan [20, 127].
From an educational perspective, contextual factors (e.g., patient-clinician relationship) are underestimated during the majority of physiotherapy degrees. Awareness and practice of these professional topics should be strengthened and steadily integrated in teaching programs (e.g., core curriculum and core competence) and activities (e.g., skill-labs, role-playing), aiming to prepare the students for a better management of the psychosocial component in the clinical practice [16, 128]. In physiotherapy education, contextual factors help students to consider the therapeutic outcome as a complex, not predictable and nonlinear result of multiple interactions between different variables (e.g., clinicians, patients and healthcare setting) that evolve during the therapeutic encounter [129] in a positive or negative way through placebo and nocebo effects. Emerging evidence has suggested that awareness of contextual factors corresponds to good diagnostic skills and therapeutic reasoning [130–134], thus suggesting to academics and lecturers an additional teaching instrument for the development of students’ clinical ability.
Emerging lines for future research
With an increased understanding of contextual factors, and placebo and nocebo effects, the physiotherapy scientific community can measure the impact of physiotherapeutic interventions with greater precision in primary studies.
In contrast to the simplicity of creating a pharmaceutical placebo (where the active component of the treatment is removed), devising physiotherapy placebos is a significant challenge. At first, the aim should be to identify the best physiotherapy placebos for existing treatments. Various studies tried to develop [135, 136] and validate [137–139] a sham placebo technique. The principle obstacles are the needs to assess the patients’ blinding, their expectations and their priori (real) inertness [140–142]. However, a novel sham procedure has recently been validated [143] and applied in clinical settings; both to patients with migraines [144] and those with cervicogenic headache [145], thus paving the way for a series of further studies.
Secondly, the impact of contextual factors on patient outcomes should be examined. The task of designing a proper trial continues to be inconclusive among scholars [78, 146]. Primary studies should follow a research agenda aimed to estimate the effect of contextual factors on various patient’s clinical outcomes and in various health conditions. Using randomized clinical trials, there is a need to compare the same physiotherapy treatment performed in a neutral and enriched context [16]; measuring the change of subjective (e.g., pain, disability, expectation and satisfaction) and objective (e.g., heart rate variability, salivary cortisol, electromyographic activity) outcomes.
Thirdly, researchers should examine the patient’s perception of contextual factors. Although the patient’s viewpoint on placebo interventions has been investigated through surveys and qualitative interviews [47, 147], only study in this field has accounted for the influence of the patient’s viewpoint so far; it investigated contextual factors in patients with musculoskeletal pain [148]. Moreover, an item bank of contextual factors has been presented to evaluate the patient’s viewpoint regarding the overall healthcare experience [149]. This preliminary finding represents an initial phase for the creation of a questionnaire that: classifies patients based on their preferred contextual factors; and helps clinicians to enrich the physiotherapy treatment with specific contextual elements.
Conclusions
In summary (Table 2), this narrative review provides a stimulus for reflection on the role and strength of placebo, nocebo and context-related effects surrounding the administration of a physiotherapy treatment. On one hand, a positive healthcare context can significantly improve therapeutic effectiveness. On the other hand, a negative context can manifest adverse effects. However, the research on contextual factors is still at an early stage, and it constitutes an emerging field for investigation. Findings in this area of research could generate new psychologically appreciative treatments and thus create opportunity for growth for the physiotherapy profession.
Take-home message • Placebo and nocebo effects are psychoneurobiological phenomena respectively produced by a positive and a negative healthcare context around the treatment; • The healthcare context is composed by contextual factors such as the feature of: the physiotherapist; the patient; the patient-physiotherapist relationship; the treatment; and the healthcare setting. • The psychological determinants of placebo and nocebo effects include: expectation; learning (classical conditioning and observational learning); reinforced expectations; mindset; and personality traits. • The neurophysiological mechanisms of placebo and nocebo effects involve different systems (the endogenous opioid, the endocannabinoid, and the dopaminergic) and brain regions (dorsolateral prefrontal cortex, the rostral anterior cingulate cortex, the periaqueductal gray, and the dorsal horn of spine). • From a clinical perspective, the manipulation of the healthcare context with the best evidence-based therapy represents an opportunity to trigger placebo effects and to avoid nocebo effects respecting the ethical and deontological code of conduct. • From a managerial perspective, stakeholders, organizations and governments should encourage the assessment of the healthcare context aimed to improve the quality of physiotherapy services. • From an educational perspective, placebo and nocebo effects are professional topics that should be integrated in the university program of health and medical professions. • From a research perspective, the control of placebo, nocebo and context-related effects offers to the scientific community the chance to better measure the impact of physiotherapy on different outcomes and in different conditions through primary studies.
Abbreviations
- GH
- growth hormone
- PD
- Parkinson disease
- CCK
- Cholecystokinin
- ACC
- Anterior cingulate cortex
- PAG
- Periaqueductal gray
- PFC
- Prefrontal cortex
- DLPFC
- Dorsolateral prefrontal cortex
- rACC
- Rostral anterior cingulate cortex
- EEG
- Electroencephalographic
- LEP
- Laser-evoked potential
- CNV
- Contingent negative variation
- RP
- Readiness potential
Acknowledgements
The authors want to thank Samuele Graffiedi and Mattia Mirandola for their valuable advices during the advancement of this manuscript.
Funding
The authors declare that they have no funding for this review.
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Competing interests
The authors declare that they have no competing interests.