Module 4: Case Conceptualization and Treatment Planning

Objectives

• To better understand the role of case conceptualization in cognitive-behavioral therapy.

• To develop specific case conceptualization skills, including:

a) Assessing patient concerns/difficulties

b) Establishing a treatment plan (goal setting)
c) Identifying treatment obstacles

What are case conceptualization and treatment planning, and why are they important in Brief CBT?

Case conceptualization is a framework used to 1) understand the patient and his/her current problems, 2) inform
treatment and intervention techniques and 3) serve as a foundation to assess patient change/progress. Case
conceptualization also aids in establishing rapport and a sense of hope for patients.

Case conceptualization is vital to effective treatment and represents a defining characteristic of expert clinicians.
Using these skills, clinicians are better able to define a treatment plan using intervention techniques that provide the
best opportunities for change. This focused and informed approach provides the roadmap for both patients and
therapists and should include a foundation for assessing change/progress. Case conceptualization is particularly
important for short-term therapy, as it serves to focus both the patient and clinician on the salient issues so as to
avoid ancillary problems that often serve as distractions to core goals.

When? (Indications/Contraindications)

• Conceptualization should begin during the first session and become increasingly refined as treatment
progresses.
• An assessment of current difficulties and the creation of a problem list should occur during the first session.
• A treatment plan (including treatment goals) should be addressed early in treatment (sessions 1, 2). Early
conceptualization and treatment planning may require modification as additional information becomes
available.
• Treatment plans and goals should be routinely revisited to ensure that the patient is improving and agrees
with the flow of the therapeutic work.

How? (Instructions/Handouts)

Case Conceptualization Step 1: Assessing Patient Concerns/Difficulties

The patient's presenting concerns and current functioning can be assessed in a number of different ways. The
following section outlines several possible avenues for identification of problems/concerns.

A) Using established self-report symptom inventories. A common practice in CBT involves the use of self-report
symptom measures to assess baseline functioning as well as therapeutic progress. Frequently used measures for

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depression and anxiety include Beck Depression Inventory – Second Edition, Patient Health Questionnaire
(depression), Geriatric Depression Scale, Beck Anxiety Inventory, and the State-Trait Anxiety Inventory.

Self-report measures are often completed by patients while in the waiting room and evaluated by the clinician
during the session. Often self-report measures can serve as a routine agenda item during CBT sessions and can
highlight important improvements and/or continuing symptoms. Information obtained from these self-report
inventories can also provide insight into the way the patient thinks and behaves and factors that might be important
areas of need.

B) Problem lists. These are a common and useful strategy for identifying the psychological, social, occupational,
and financial difficulties faced by patients. Therapists who used problem lists typically elicit a list of five to 10
difficulties from the patient during the first part of session 1. Problems are best identified using open-ended
questions (e.g., “What brings you to this clinic?” “What issues would you like to focus on in our work together?”).
Problems are best described in terms of symptom frequency (How often does the symptom occur?), intensity (How
mild or severe is it?) and functional impact (What influence does the symptom have on daily functioning or general
distress?).

Some patients may describe their difficulties or goals in vague or abstract ways, such as, “I want to improve my life,
or I want to be happy again.” Problems and subsequent goals are best described in specific terms to maintain
clinical focus. For example, specific problems are listed in the following table.

Problem Frequency Severity Impact

Limited social contacts; Highly distressing; socially

Socially Stay at home 6
moderate-to-severe debilitating; estranged
Isolated out of 7 days
isolation family/friends

Pain leading to decreased

Experience Pain intensity is high, 7 of
Pain activity level, inability to
pain each hour 10, when present
work

Very intense when Highly distressing;

Feelings of Occur 3 out of 7
present; sometimes influences work, social,
Worthlessness days
involves suicidal thoughts and intimate relationships

Decreased activity level,

Occurs almost Fatigue not intense but
Fatigue frequent naps, inability to
constantly troublesome
complete daily tasks

C) Assessing cognitions. Within the CBT model, it is often helpful to examine the patient's thoughts especially as
they are perceived by the patient. A commonly used, structured way to examine these factors is to assess (ask
questions related to) how the patient perceives him-/herself, others, and the future. For example, a patient might
describe him- or herself as incapable, not useful, or a burden. He or she may generally perceive others to be critical
or hard to please. And his/her view of the future might be largely pessimistic and contain beliefs that the future will
include only more losses and disappointments (see also Thought Records in Modules 9 and 10).

D) Assessing behaviors and precipitating situations. Precipitating situations are events, behaviors, thoughts, or
emotions that activate, trigger, or compound patient difficulties.

The Antecedents, Behavior, Consequences (ABC) Model is a formalized model for examining behavior (symptoms)
in a larger context. It postulates that behaviors are largely determined by antecedents (events that precede
behavior/thoughts/mood) and consequences (events that follow the behavior/thoughts/mood).

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The ABC model (see worksheet) is used in a functional assessment. It follows the premise that behavior (B) is
shaped by antecedents (A) and consequences (C). The antecedent occurs before a behavior and may be a trigger
for a particular reaction in the patient. Behavior is any activity (even a thought or feeling) that the patient exhibits in
response to an antecedent. Consequences are events that occur after the behavior and direct the patient to either
continue or discontinue the behavior. Two kinds of consequences are examined in a functional assessment: short-
term and long-term consequences.

Antecedents: Antecedents, or events that occur before a behavior, typically elicit emotional and
physiological responses. Antecedents may be affective (an emotion), somatic (a physiological response),
behavioral (an act), or cognitive (a thought). They are also subject to contextual (situational) and relational
(interpersonal) factors. For example, a patient who reports depression (behavior) may feel bad when he or
she is alone at home late at night (contextual antecedent) or better when he or she is around family
(relational antecedent). Alternatively, he or she may feel depressed by thinking, “I will always be alone”
(cognitive antecedent). It’s important to remember that antecedents can both increase and decrease a
particular behavior.

To help your patient identify antecedents, teach him or her to pinpoint conditions that affect his or her
behavior.

“What were you feeling right before you did that?” (Affective)

“What happens to you physically before this happens? Do you feel sick?” (Somatic)

“How do you normally act right before this happens?” (Behavioral)

“What thoughts go through your mind before this happens?” (Cognitive)

“Where and when does this usually happen?” (Contextual)

“Do you do this with everyone, or just when you are around certain people?” (Relational)

Behaviors: A behavior is anything the patient does, feels, or thinks immediately following the antecedent.
Each behavior that your patient displays could potentially include an affective component (feelings or
moods), a somatic component (bodily sensations such as rapid heartbeat or stomachache), a behavioral
component (what a patient does or doesn’t do), and a cognitive component (thoughts or beliefs).

Consequences: Consequences are categorized as being either positive or negative. Positive

consequences increase the chances that a behavior will be repeated through the experience of something
pleasant or the removal of something negative (e.g., do not have to do a chore). Negative consequences
decrease the occurrence of a behavior, either by the presence of something noxious (e.g., being yelled at)
or the absence of something desired (e.g., a child being grounded from watching TV). Patients tend to
repeat behaviors that result in something positive or the removal of something negative.

Identifying Consequences. Similarly to identifying antecedents, when you and a patient are attempting to identify
the consequences of a certain behavior, it is important to explore all components of each consequence.

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 “How do you feel immediately after this occurs?” (Affective)

“Do you have any bodily sensations after this happens, like trembling?” (Somatic)

“How do you react after this behavior occurs? (Behavioral)

“What do you think about after this happens?” (Cognitive)

“Are you in a different place when this behavior ends?” (Contextual)

“Are there any people who make this behavior worse? Make it better?” (Relational)

When completing a functional assessment, both short- and long-term consequences are examined. Short-term
consequences tend to be behavioral reinforcers, while long-term consequences tend to be negative outcomes. In
the case of addiction, the short-term consequence of using a substance is intoxication, or escape from a negative
mood; the long-term consequence may be legal trouble, family problems, or a hangover.

Understanding the positive and negative consequences of a behavior for a patient helps design the timing and
nature of intervention. For example, in the case above, an intervention would need to follow a noxious antecedent
to offset the negative mood it causes. Treating the negative mood would then decrease the need for escape
through substance use. A variety of questions may be used to elucidate a short-term consequence:

“Does this behavior get you attention in some way?”

“What good things happen as a result of this behavior?”

“Does this help you in some way?”

“Do you feel a certain ‘rush’ from doing this?”

“Does this behavior help you avoid something you don’t want to do?”

Case Conceptualization Step 2: Clinical Hypotheses and Treatment Plan

Establishing focused clinical hypotheses based upon the information obtained in Case Conceptualization Step #1
serves to direct intervention options and possible treatment techniques. These hypotheses may require adaptation
as new information becomes available during treatment. Clinical hypotheses can either be used exclusively by the
therapist or can be shared with patients. Generally, sharing this information only improves trust and communication
between patient and therapist.

A focused clinical hypothesis for a person with depression might be as follows:

"Since your retirement, you have experienced many life transitions and numerous losses (e.g., financial, social,
functional). Your thoughts, which used to be largely positive and ambitious, are now negative and pessimistic; and
you appear to be fearful of the future. In reaction to your mood and negative thoughts, you have reduced the
number of your activities; and you have begun to withdraw from your family."

The end result of case conceptualization is formation of a treatment plan, an agreed-upon strategy between patient
and therapist that gives direction to the therapeutic process. A treatment plan should include a presentation of the
causes of the patient's current difficulties (e.g., cognitive and behavioral factors creating symptoms or difficulties)
and a specific plan. When presenting the plan, actively involve the patient and incorporate his or her feedback.

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 Example: “In the brief amount of time we have spent together, it appears that we have identified some
thoughts and behaviors that are likely contributing to your current difficulties. In particular, your view of
yourself and your future are quite negative, and you have stopped doing many things that used to bring you
pleasure. My recommendation would be to further explore your thoughts and see if we can find a more
balanced view of your current difficulties. I would also like to talk with you more about re-engaging in
activities you used to find pleasurable. What do you think about these targets for therapy?"

Case Conceptualization Step 3: Identifying Possible Treatment Obstacles

It is not uncommon for patients to simply agree with recommendations from their therapist.
However, it is important to identify potential obstacles to treatment early on to avoid setbacks or treatment failures.
Asking for frequent feedback from the patient helps to reduce over-compliance and serves to include the patient in
a collaborative and active treatment approach. As part of this collaborative venture, it is important to ask the patient
whether he or she sees any potential obstacles to treatment. Barriers might include logistic difficulties (financial,
travel), personal beliefs (concerns about stigma, effectiveness of treatment) or interpersonal issues (family not
supportive of therapy).

Tips for Using Case Conceptualization in Brief Therapy

• Case conceptualization in Brief CBT is much the same as with longer forms of treatment with the following
exceptions:

o Brief therapy leaves little room for delays in case formulation.

o The time constraints of brief therapy must be considered in all treatment/goalsetting endeavors.
Treatment goals should be reasonable, measurable and as simple as possible.

o Because of limited time, the focus of treatment in Brief CBT also generally limits the depth of
cognitive interventions. For example, it is quite frequent to address automatic thoughts and
intermediate beliefs as foci of treatment, while addressing core beliefs is often difficult. If core beliefs
are addressed, this usually occurs indirectly through more surface-level intervention techniques or
at a time when the patient is particularly ready for such work.

Homework Assignment Examples

1. Think about our agreed-upon treatment plan, and consider any adjustments it might need.
2. Make a list of any obstacles to therapy that may arise.

Supplemental Readings

Cormier, W.H. & Cormier, L.S. (1991). Interviewing strategies for helpers: Fundamental skills and cognitive
behavioral interventions, 3rd ed. Pacific Grove, CA: Brooks/Cole Publishing Company. Chapter 8.
Persons, J.B. & Tompkins, M.A. Cognitive-behavioral case formulation. In Ells T. (Ed.). Handbook of
psychotherapy and case formulation. New York: Guilford Press, pp. 314-339.
Beck, J.S. (1995). Cognitive therapy: Basics and beyond. New York: Guilford Press;
Chapters 2 and 3.

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 Functional Assessment: ABC’s

Antecedents Behaviors Short-Term Consequences Long-Term Consequences

(What happened before?) (What did you do?) (What was the result 1 second (What were the lasting results?)
and 1 hour following behavior?)

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