Abstract
Introduction
Occupational therapists in Canada work with individuals who have sustained a stroke in various settings. As the profession moves beyond client-centered care and into
Within this paper, it is proposed that the use of humour can contribute to collaborative relationship-focused care. With previous research, humour has been shown to aid occupational therapists in their work with clients in ways that relate to relationship building (Southam, 2003; Vergeer & MacRae, 1993). However, research on humour more generally demonstrates it can also be risky when used inappropriately or is badly timed (Kirsh & Kuiper, 2003). There is limited understanding of how humour can be used when working with specific clinical populations, especially within the occupational therapy (OT) profession. To address the knowledge gap surrounding the specific risks and benefits of using humour in OT stroke practice, a Delphi study was conducted among Canadian occupational therapists experienced in working with individuals after stroke to uncover perspectives on the risks and benefits of humour use with individuals who have sustained a stroke.
Background
Conceptualizing Humour
Humour use is often regarded as positive and useful when building relationships, coping with difficult situations, and can also be a signal of mental fitness (Martin & Ford, 2018). As humour has been conceptualized in various ways across psychology, sociology, and philosophy, several theories of humour exist. Three classic and foundational theories of humour include the incongruity theory (Schopenhauer, 1958/1818), the relief theory (Freud, 1905/1960), and the superiority theory (Hamilton & Cairns, 1961), which explore the use of humour as a means of enjoyment, catharsis, or establishing power, respectively. For this current study, humour is defined as a “broad and multifaceted term that represents anything that people say or do that is perceived as funny and tends to make them laugh, as well as the mental processes that go into both creating and perceiving such an amusing stimulus, and also the emotional response of mirth involved in the enjoyment of it”
Although humour has been shown to have mainly positive effects, including improved physical health (Lefcourt et al., 1990), humour can also be used in ways that are detrimental to relationships or personal wellbeing (Kirsh & Kuiper, 2003) such as when humour is used in ways that are offensive or sexually explicit (Kovarsky et al., 2011). Therefore, humour is a complex cognitive process that has the potential to both positively and negatively affect personal and psychosocial wellbeing.
Humour Use Within Rehabilitation Professions
Within a recent scoping review addressing the question of how humour has been explored in the rehabilitation profession literature, findings from 57 articles revealed the multi-dimensional ways humour was utilized in relation to self and others by both clients and rehabilitation professionals (Kfrerer et al., 2023). Within the reviewed studies, spanning physical therapy, OT, speech-language pathology, and audiology disciplines, clinicians used humour in attempts to establish or equalize power dynamics with their clients as well as manage therapy sessions, such as through offering moments of rest for their clients, drawing attention away from client errors, increasing engagement in therapy, or motivating clients to participate in difficult therapy tasks. Humour was also seen as a tool used by clinicians to humanize themselves in the eyes of their clients, and to build strong therapeutic connections (Kfrerer et al., 2023). On the other hand, clients employed humour to assist them in fostering group cohesion in therapy groups, to save “face” or identity during recovery, or to cope with their recovery overall.
Specific to humour use with persons who have experienced stroke, Kfrerer et al. (2023) also found 15 of the included studies addressed therapy with people with aphasia due to stroke or other causes, and six addressed therapy with people who had sustained a stroke/cerebrovascular incident, serving to illustrate how humour was utilized with, and by, those with stroke and stroke-related impairments. Interestingly, individuals who had sustained communicative or cognitive impairments from stroke used humour for several functions, including to communicate through non-verbal means, to assist in their coping, to relate socially, and to demonstrate confidence or self-esteem (Norris & Drummond, 1998; Sloan, 1992; Stagg et al., 2021; Williams & Murray, 2013). Stroke can limit the various functions that allow people to engage and build connection with others, and humour may offer a way to improve therapeutic collaboration and overall engagement. Bright et al. (2018) showcased the importance of clinician communication, laughter, and behaviour in building and sustaining engagement in therapy with individuals after stroke. However, these findings pertaining to stroke populations were largely focused on the speech language pathology discipline and thus do not directly attend to how humour could be useful in OT.
The OT profession has a broad scope in Canada and plays a critical role in care with individuals after stroke. Research reveals stroke occurrences in Canada has increased to 108,707 annually, or one stroke every five minutes (Holodinsky et al., 2022), warranting further understanding of how to optimize therapy with individuals after stroke (Holodinsky et al., 2022; Korner-Bitensky et al., 2011; Obembe et al., 2019). To do this, drawing upon the experience of occupational therapists is critical, so that collaborative relationship-focused care can be informed by clinical experience, a key source of evidence and knowledge (Copley & Allen, 2009; Dougherty et al., 2016; Thomas & Law, 2013).
Relational Capital
In addition to focusing on humour, this study is informed by the concept of
Methods
Study Design
We employed a Delphi study design which involves soliciting expert opinions through chronological questionnaire rounds. Originating in the 1950s, the Delphi methodology serves to establish agreement in areas marked by incomplete knowledge or divergent opinions (Powell, 2003; Rowe & Wright, 1999; Trevelyan & Robinson, 2015). Responses in each round are condensed through analysis to reach a consensus understanding of panel member opinions. Recognized for its cost-effectiveness and efficacy, the Delphi technique has been shown effective in harnessing the perspectives of diverse and geographically dispersed groups (Powell, 2003). The technique fosters the gradual development and refinement of ideas, while preserving participant anonymity, and has been utilized in OT research relating to professional competencies/skills, clinical reflections, as well as to determine best practice guidelines (Buys, 2015; Castro et al., 2016; Marshall et al., 2021; Wikeby et al., 2006).
The Delphi methodology has been utilized extensively in healthcare, policy, and education and some researchers have found it useful to use this method for determining risks and benefits in specific healthcare interventions (Sirois et al., 2020; Wells et al., 2014) or policy-making (Cleemput et al., 2015). In the present study, the Delphi method was chosen to condense therapists’ expertise on humour use in stroke practice. This project was approved by Western University's Health Sciences Review Ethics Board (121126).
Data Collection
Following approval by the academic institutional research ethics board, we conducted three Delphi survey rounds using the web-based survey platform, Qualtrics (2018). Table 1 provides an overview of the procedure for the three rounds. In each round, participants were contacted via email and received a total of three reminder emails, each one week apart, if they did not complete the survey.
Procedure for Including and Eliminating Statements at Each Delphi Round.
Participants
Eligibility
Participants consisted of registered occupational therapists in Canada, with at least 2 years of experience practicing with people who have sustained a stroke at any point in their career. Previous literature endorses the minimum of 2 years’ experience with individuals after stroke to afford therapists the sufficient practice knowledge, awareness, and experience of practicing within this population (Stagg et al., 2021). Due to available resources, participants were required to be fluent in English.
Due to the nature of the Delphi method, there is a great reliance on individuals’ lived expertise and knowledge, and at times these individuals have been termed “experts.” There is contention surrounding the use of the word “expert” within the Delphi methodology due to the difficulty of operationalizing expertise (Trevelyan & Robinson, 2015). For this work, we define an
Recruitment
Participants were recruited through both convenience and snowball sampling. Recruitment advertisements were placed on the Canadian Association of Occupational Therapists (CAOT) research posting page for the six-month duration of recruitment. As well, 10 provincial level OT associations were contacted for recruitment, and recruitment advertisements were circulated by seven associations. There was no response from two provincial associations, and the final provincial association was unable to assist. Snowball sampling was also used as participants were asked to invite any other occupational therapists to join the study via email, and emails were also sent to existing research team contacts.
Participation in the Delphi study was voluntary, and all answers remained anonymous via the online survey platform. Although no standard sample size for Delphi studies exists, recent Delphi studies in the OT discipline commonly recruit between 15 and 35 participants (Hung et al., 2022; Marshall et al., 2021). Recruitment ended upon the completion of round 1, and the sample size slightly decreased across the three Delphi rounds.
Data Generation and Analysis Procedures
Round 1
Round 1, which began in May of 2023 and concluded in September 2023, consisted of delivering a semi-structured survey with open-ended questions. The purpose of this first round was to generate items for the consensus process in rounds 2 and 3. Before participants answered these questions, they were asked to complete demographic information which was not linked to their survey responses. The demographic items included their role (occupational therapist practitioner; occupational therapist practice lead; occupational therapist clinical director; researcher; other); gender (man; woman; non-binary; other); age; region/location of practice in Canada; and years of OT practice with persons’ post-stroke. Participants were also asked to rank how often they use humour in practice (always, often, not often, not at all) and the extent to which they believed the following statement: “humour contributes to relationship-building with clients” (very true of what I believe, somewhat true of what I believe, somewhat untrue of what I believe, very untrue of what I believe). Descriptive data was calculated from the demographic questions.
Participants were then presented with the following open-ended questions: 1) “The benefits of using humour in OT practice with persons who have sustained a stroke are…”; and 2) “The risks of using humour in OT practice with persons who have sustained a stroke are…”. Participants were asked to list as many risks and benefits as possible. These responses were analyzed according to the process outlined by Hasson et al. (2000), which has been used in Canadian OT Delphi studies (Leclair et al., 2016; Marshall et al., 2021). Because the questions were open-ended, it was critical to capture both frequency and comprehensiveness in responses. To achieve this, all responses from round 1 were collated and content analysis was completed by the first author to group similar responses together into like categories (Hasson et al., 2000). Participant responses were coded based on similarity, where responses interpreted as addressing the same issue were coded in the same groupings. These coded responses were then grouped into categories of risks and benefits to humour use. All responses were categorized, including those only mentioned once, allowing all insights to be captured.
To provide overarching descriptions for responses addressing the same issue, categories were renamed based on the area or topic of focus, so that they could be formulated as a statement of risk or benefit in round 2. Renaming was done by taking all the original responses in a category, for example that were similar to humour “allows clients to feel that the occupational therapist is equal” (P23) and humour “decreases any power dynamics that may occur” (P3) and rewording into a statement such as “humour use can minimize perceived power imbalances between the therapist and client” (See Table 3). The principal author (MK) completed this for all categories, ensuring the statement began with “humour…” so that it may be presented in round 2 as full statements. This was done carefully, to ensure words that were repeated were integrated, and meaning was retained, with only minimal editing. To further verify this grouping system, two additional authors, (CM) and (DR), then compared the initial survey responses with the derived statements independently, and then with the principal author, ensured original meanings were maintained. As noted, no responses were excluded, and all original participant responses were maintained and reworded into statements for round 2.
Round 2
Round 2 took place during October and November 2023. The purpose was to generate consensus opinion on the statements of risks and benefits from round 1. Participants were asked to rate their agreement with each risk or benefit using a Likert scale: “Below are a list of risk and benefit statements from Round 1. Please rate your agreement of each risk and benefit statement on a 4-point Likert scale, ranging from 1 = Disagree to 4 = Agree.” A 4-point Likert scale was utilized intentionally to force a decision without a neutral option (1 = disagree, 2 = somewhat disagree, 3 = somewhat agree, 4 = agree).
Standards for item exclusion vary across Delphi studies, however criteria for exclusion were derived from standards published in the OT literature (Leclair et al., 2016; Marshall et al., 2021). Using these criteria, a risk/ benefit statement was excluded in Rounds 2 and 3 if: 1) 70% or more of participants did not rate the statement ≥3; 2) the median was not ≥3; and 3) the interquartile range (IQR) was >1. Once a statement was eliminated based on these criteria, it was removed from the study. The statements remaining after analysis were combined to create round 3.
Round 3
Round 3 took place from late December of 2023 to early February of 2024. The purpose of round 3 was to further establish consensus using the analyzed choices from round 2. Participants were again asked to rate their agreement with each risk or benefit using the same Likert scale. Responses were analyzed using the predetermined exclusion criteria to result in a final consensus of benefits and risks.
Results
Thirty occupational therapists responded to Round 1, 23 in Round 2, and 21 in Round 3 (see Table 2). Participants median age was 40 years old (IQR = 17.5, Range = 25–68) and 96.7% identified as women (29 women, 1 man). Twenty-nine (96.7%) identified as OT practitioners, and 1 identified as an OT practice lead. Participants reported having practiced with persons post-stroke for a median of 7 years (IQR = 10, Range = 2–25). Of the 30 participants, 20 practiced in Ontario (66.7%), 5 in Alberta (16.7%), 3 in British Columbia (10.0%), 1 in Nova Scotia (3.3%), and 1 in Newfoundland and Labrador (3.3%). All respondents believed humour was at least somewhat important to building relationships with clients, with variance in their actual use of humour in practice (see Table 2).
Participant Demographic Characteristics.
Round 1
A total of 125 benefits and 73 risks to using humour in OT practice with individuals who have sustained a stroke was generated by participants. Corresponding to Hasson et al. (2000), we generated initial themes from this original list, resulting in 37 benefits and 20 risks. Table 3 lists Round 1 responses and the derived statements that were utilized for Round 2.
Round 1 Responses and Derived Statements.
Benefit statements collectively emphasized the importance of humour in building rapport and trust with individuals after stroke. Establishing a strong therapeutic relationship through humour was seen as essential for effective therapy, with repeated mentions of rapport development and enhancement using humour. Humour was also seen as enhancing expression and communication from individuals after stroke, as well as therapists. There was also repeated mention of humour facilitating aspects of learning, coping, engagement, and motivation in therapy post-stroke. Additionally, there was a recognition of humour aiding in minimizing power imbalances between therapist and client to create a more equal and supportive environment.
Risk statements highlighted concerns such as offending or insulting clients, especially those who may be emotionally labile. There was recognition of the possibility of misunderstandings due to cognitive deficits, aphasia, or general communication problems, which could lead to the breakdown of rapport or the therapeutic relationship. Additionally, the statements touched on issues related to professionalism, with humour sometimes being perceived as unprofessional or diminishing the seriousness of therapy. Overall, statements underscored the importance of carefully considering the appropriateness of humour, based on the client's characteristics, cultural background, cognitive abilities, and therapeutic context.
Round 2
In Round 2, 23 participants responded to the survey, a 77% response rate. Statements were eliminated based on the predetermined criteria, eliminating five benefits and 18 risks due to lack of consensus, resulting in 32 benefits and two risks at this stage.
The final 32 benefits underscored humour in enhancing the client-therapist relationship, increasing motivation and engagement in clients, and allowing clients to better communicate and express themselves. There was also consensus on benefits related to emotional and cognitive advantages, such as facilitating coping and learning. The two risks maintained focused on individual differences in humour appreciation and cognitive impairments leading to the misinterpretation of sarcasm.
Round 3
For round 3, 21 participants completed the survey, 70% response rate. Responses from round 3 were analyzed using the predetermined exclusion criteria, and no further risks or benefits were eliminated. Therefore, consensus remained. Table 4 showcases all statements generated in round 1, along with the consensus after rounds 2 and 3 of the Delphi.
Consensus After Each Round on Benefits and Risks of Humour Use by Occupational Therapists With Clients Who Have Sustained a Stroke.
Benefits were arranged into categories as follows: therapist-client relational benefits (
Discussion
We conducted this study to understand the risks and benefits of using humour in OT practice with individuals after stroke, as perceived by therapists. Our findings highlight the multifaceted benefits, as well as critical risks, to using humour with individuals after stroke. The 32 benefits and two risks associated with using humour with individuals after a stroke suggest that humour is one tool or relational practice that is useful to foster collaborative relationship-focused practice in OT practice with people after stroke.
Benefits to Humour Use
More specifically, the present research highlights benefits of humour use in forming trust and connections with people after stroke. Of the 32 benefits, 10 specifically addressed relational benefits, while others, including communication and expression, also contribute to relationship building and optimal therapy relationships. Participants agreed that using humour in the initial stages, and throughout therapy, could foster a “team” like feeling with their clients and allowed the therapist to create relationships with the client's family and support members, both of which are critical in fostering open communication about care. These findings highlight the importance of building relational capital, which consists of the value created from nurturing therapy relationships over time. This allows for the creation of positive rapport, trust, and a comfortable environment for therapy (Stagg et al., 2021). Building this “capital” or trust has been shown to have positive effects on overall therapy through increased treatment adherence and reduced depressive symptoms in patients with brain injury (Hall et al., 2010). In addition, strong therapeutic relationships have been shown to have positive effects on somatic outcomes such as chronic pain (Kinney et al., 2020). In combination with these previous and related findings, there is potential for humour to be one technique to build relational capital and thereby contribute to collaborative-relationship focused practice (Restall & Egan, 2021).
Additionally, the present study suggests humour use can have beneficial effects on an individual's motivation and engagement in therapy and care, through increasing their enjoyment of therapy sessions, and affording helpful distraction and/or rest. As OT practice with people after stroke often addresses basic activities of daily living and cognitive interventions which can be taxing on individuals after a stroke, humour may be an important way to sustain motivation in therapy and offer helpful breaks when needed (Bright et al., 2018; Steultjens et al., 2003). Emotional benefits showcased in the findings suggest humour use can alleviate feelings of anxiety in the client and help to foster a hopeful perspective. Timing the use of humour at moments of fatigue or frustration in therapy sessions can therefore create a moment of reprieve.
Humour involves cognitive and communicative functions that are associated with engagement in therapy, communicative intent, working memory, and problem-solving (Bright et al., 2018; Cheang & Pell, 2006; Zhou et al., 2021). This study's findings support humour to foster communication in situations in which individuals face communication challenges, as well as empower them to showcase their personality in therapy sessions. Similarly, previous speech-language pathology research showed humour was a way for people with stroke-related aphasia to expand communicative confidence in therapy sessions (Simmons-Mackie & Schultz, 2003), and functioned as a dynamic tool for various social and communicative purposes (Simmons-Mackie & Damico, 2009). At the same time, one of the risks highlights the potential for misunderstanding, as sarcastic forms of humour may be misinterpreted due to cognitive deficits.
Participants proposed that humour and associated smiling can facilitate learning and neuroplasticity in the brain. Previous research has pointed to the ability of humour use to promote the development of new neural pathways that aid learning through improving engagement, delayed recall (Sambrani et al., 2014), short term memory (Stoutenberg et al., 2016), and insight problem solving (Zhou et al., 2021); important findings when considering interventions with post-stroke individuals, as both right and left hemispheres are intricately involved in the comprehension and appreciation of humour (Bihrle et al., 1986; Horton et al., 2011; Sambrani et al., 2014; Shammi & Stuss, 1999). Stewart et al. (2016) explored the neuroscience behind play therapy, suggesting that the humour used by magicians and play therapists encourages the development of new neural pathways. Therefore, humour in therapy may optimize learning and neuroplasticity involved in recovery from stroke, although additional research with persons with stroke is warranted.
Risks to Humour Use
The present study's consensus resulted in two risks occupational therapists could consider when working with individuals who have sustained a stroke, specifically, that (1) sarcastic humour may not be interpreted correctly due to cognitive deficits, and that (2) humour use may not be appreciated by some clients. Previous research demonstrates that personality and individual characteristics affect the use and appreciation of humour, which may explain the risk that not all people will appreciate its use (Booth-Butterfield & Booth-Butterfield, 1991; Martin et al., 2003; Schermer et al., 2013). Given previous research highlighting using humour at inappropriate or sensitive times can damage rapport or potentially offend individuals who have sustained a brain injury (Kovarsky et al., 2011), further work is needed to understand when and when not to use humour in therapy. Risks that were identified in round 1 that were close to meeting consensus criteria, such as the risk of humour not being perceived as funny and the risks of an individual misinterpreting humour due to cognitive impairments or aphasia, should be revisited and explored in future research.
Practice Implications
Within this study, humour use was found to be experienced by occupational therapists as primarily a beneficial practice when working with people who have sustained a stroke. Using humour with people after stroke can assist occupational therapists in creating a supportive therapeutic relationship, a “team” like feeling, while benefitting the therapy process overall, through enhancing enjoyment and motivation, and opening communication lines. When considering using humour as a relational practice, occupational therapists should consider its timing and use of humour to offer moments of rest when fatigue is present. Also, humour should be considered when looking to facilitate learning and neuroplasticity in stroke recovery, although this area warrants further research. This work also supports the recommendation that humour can assist in tempering feelings of anxiety and depression after stroke and can assist in building relational capital with clients and their support networks, leading to improved therapy relationships and outcomes. We encourage occupational therapists to reflect on their own use of relational practices with stroke populations, and to pay close attention to relational practices that can benefit people after stroke, but also may be risky to use. For example, it is important for occupational therapists to avoid the use of sarcastic humour in stroke populations, as impairments in cognition may lead to misinterpretation.
With the rise of collaborative relationship-focused practice, it is crucial that OT education include a focus on the use of relational practices, such as humour, that can optimize therapeutic relationships and therapy outcomes. It is also important that future research seeks to understand humour use in OT from the perspectives of individuals after stroke. This could be done through observational study designs that allow researchers to explore what is happening in real time practice and track outcomes. Additionally, future research should further explore the various risks identified in all rounds of this study, and how they may be important in understanding what therapists can avoid when using humour to foster collaborative relationships with the individuals they work with.
Strengths and Limitations
When employing a Delphi study, the representativeness of the participants can effect the depth of data generated, as well as external validity. In turn, Delphi studies should focus on recruiting as diverse of a group as possible (Trevelyan & Robinson, 2015). The inclusion criteria utilized (2 years’ experience with individuals who have sustained a stroke) was intentional, to ensure a range of experience on the topic, while still ensuring participants had adequate experience with this clinical population. As seen, the participants possessed a large range of years working in with people after stroke, as well as diversity in age. Participants practiced in five Canadian provinces, although 83% were from two provinces. Moreover, almost all participants identified as women. The predominantly female composition of the participant sample is reflective of the gender distribution in the profession (Canadian Institute for Health Information, 2024) and the focus on Canadian occupational therapists may limit the generalizability of findings to other cultural contexts or healthcare systems. As well, the requirement that participants be fluent in English may have limited the generalizability of the findings.
A limitation of this study may also be the absence of a “no comment” option in the survey rounds. While this was intended to encourage definitive responses, it may have restricted participants, particularly on topics with limited knowledge (e.g., learning and neuroplasticity). Including a “no comment” option, as recommended by Trevelyan and Robinson (2015), could have provided a more accurate reflection of participants’ views on areas where they lacked expertise. Attrition can often be a concern in Delphi studies (Keeney et al., 2006; Trevelyan & Robinson, 2015). Across rounds, the 30 participants decreased to 21, and this has the potential to introduce bias into the study results. A final limitation relates to the Delphi methodology, which is unable to capture key contextual elements due to its electronic completion, and inability for participants to fully expand on their thoughts and responses, especially in rounds 2 and 3. Future studies related to this work may include qualitative descriptive interviews to further explore and contextualize humour use in stroke settings and further uncover contextual factors that shape the risks and benefits found in this study.
Conclusions
Participants identified that the use of humour in OT with people after stroke has multiple benefits, including enhancing the therapeutic relationship and positively impacting emotional, cognitive, communicative, and engagement aspects of therapy and the client. However, two risks identified included comprehension difficulties and differing humour preferences between client and therapist. This Delphi study advances our understanding of humour's role in OT stroke practice, providing evidence-informed insights to guide clinical practice and education. By harnessing the collective wisdom of experienced practitioners, this study contributes to the ongoing growth of collaborative relationship-focused practice in this profession, fostering a deeper appreciation for the potential of relational aspects such as humour in promoting positive rehabilitation outcomes for individuals post-stroke. Future studies should look to contextualize these findings to better illustrate the important situational factors at play and provide further evidence of the benefits derived from the use of humour.
Key Messages
Occupational therapists need to tailor their use of humour to individual's backgrounds and contexts, recognizing that contextual differences and personal experiences and locations shape how humour is received and interpreted, especially after stroke.
Humour holds significant potential in enhancing collaborative relationship-focused practice within OT, particularly with individuals who have sustained a stroke. Canadian occupational therapists have identified humour as a valuable tool for building rapport, improving communication, promoting emotional well-being, and increasing client engagement.
Footnotes
Declaration of Conflicting Interests
The author(s) declare that there is no conflict of interest.
Funding
The authors received no financial support for the research, authorship, and/or publication of this article.
