Case Conceptulization

Praise for Case Conceptualization
“In Case Conceptualization: Mastering This Competency with Ease and

Confidence, Drs. Len and Jonathan Sperry offer a remarkably useful,
thoughtful, and easy-to-read and understand approach to clinical case
conceptualization from multiple theoretical perspectives. Many illustra-
tive case examples are provided as well. This book should be required
reading for any student interested in a career as a therapist including
psychiatrists, psychologists, social workers, and counselors of all stripes.
Licensed professionals also will surely value this book as well. Hope-
fully, many clients will get much better assessment and treatment ser-
vices thanks to the influence of this important work.”
—Thomas G. Plante, PhD, ABPP, Professor of Psychology,
Santa Clara University;
Author, Contemporary Clinical Psychology
“Case Conceptualization translates theory into practice in a way that ther-

apists will find user-friendly and immediately applicable in everyday
practice. There is a clarity, ease, and elegance to this integrative approach
to conceptualizing cases that both emerging and experienced therapists
will appreciate. Destined to be the gold standard in the field”
—Lisa Miller, PhD, Director of Clinical Training,
Teachers College Columbia University, New York;
past president, Division of Psychology and
Religion of the American Psychological Association;
editor, The Oxford Handbook of Psychology and Spirituality
“Although case conceptualization is a foundational competency for

effective counseling and psychotherapy, it is one that clinicians often
struggle to master. Drs. Len and Jonathan Sperry have developed a text
that makes learning and using the case conceptualization process clear
and accessible. This book will be an invaluable resource for clinicians-
in-training, experienced clinicians, and clinical supervisors alike. I will
use it and will recommend it to colleagues.”
—Richard E. Watts, PhD, Distinguished Professor of Counseling,
Director, Center for Research and Doctoral Studies in Counselor
Education, Sam Houston State University, Texas
“The biggest problem with too many programs that teach psychopathol-
ogy is that the training ends with diagnosis rather than beginning a
process that will guide counseling and therapy with clients. Case Con-
ceptualization is a master work that will take clinical/counseling students
step-by-step through a conceptualization process from engagement to
treatment, creating a plan and goals that are tailored for efficacy and
relapse prevention. The multiple models of case conceptualization that
make up the second half of the book are perfectly designed for com-
parative practice with five cases that remain the same through the dif-
ferent models. Len and Jonathan Sperry are the foremost developers of
an integrative approach to case conceptualization, and it is an amazing
contribution to have their whole course in one book.”
—James Robert Bitter, EdD, Professor of Counseling,
East Tennessee State University
“Far too often, mental health professionals embark with clients on a ther-
apeutic journey with no clear map of the territory. With usual clarity and
wisdom, Len and Jonathan Sperry explicate an integrated case concep-
tualization model. A must-read for clinicians of all experience levels!”
—Craig S. Cashwell, PhD, LPC, NCC, ACS, CSAT, Professor,
The University of North Carolina at Greensboro
“Case Conceptualization removes the anxiety felt by most students and

professors in how to present case material. This text offers the best
approach in how to organize a case presentation with broad applicability
ranging from clinical case conferences to grand rounds and even court
testimony. It is the single sourcebook as a desk reference on this subject
matter to prepare a clear, straightforward and conceptually sophisti-
cated case to colleagues, students, professors, and a critical audience or
even a rebuttal witness.”
—S. Richard Sauber, PhD, ABPP,
Editor, The American Journal of Family Therapy;
Former Professor, Brown University, Columbia University,
University of Pennsylvania
“This book makes case conceptualization accessible and meaningful,
and it provides a creative way for therapists to practice the process. Drs.
Len and Jonathan Sperry convincingly demonstrate that integrative case
conceptualization can capture the signature perspectives, attitudes, and
methods of diverse therapeutic orientations.”
—Ellen K. Quick, PhD, Clinical Psychologist,
Kaiser Permanente, San Diego;
Author, Doing What Works in Brief Therapy and Core Competencies
in the Solution-Focused and Strategic Therapies
“At a time when the mental health field is often driven by partisan, the-
oretical debates, Dr. Len Sperry and Dr. Jonathan Sperry have created
a practical, clearly-written, integrated approach to understanding and
treating emotional and behavioral problems. Rather than ‘taking sides’
in the often strident internecine arguments regarding the causes and
treatment of psychiatric disorders, Sperry and Sperry show how the
case conceptualization can reflect the most useful elements of biological,
psychological, social, and cultural forms of understanding. I believe this
book will be of practical value to mental health clinicians of nearly any
background and orientation, and will encourage a humane, broad-based
understanding of those who come to us for help.”
—Ronald Pies, MD, Professor of Psychiatry and Lecturer
on Bioethics & Humanities, SUNY Upstate Medical University,
New York; Clinical Professor of Psychiatry,
ufts University School of Medicine, Boston
“This new volume is a unique resource for comparing and contrasting

five major models of case conceptualization, utilizing extensive case
material to illustrate the respective step-by-step procedures. This valu-
able training guide also provides the reader with skill-building exer-
cises, thus delivering a more powerful learning experience, and offering
an important addition to the literature on case conceptualization.”
—Cory F. Newman, PhD, ABPP, Professor of Psychology, in Psychiatry;
Director, Center for Cognitive Therapy,
Perelman School of Medicine, University of Pennsylvania
“The entirety of this book can be summed up in the following quote
from Alice in Wonderland: ‘One day Alice came to a fork in the road and
saw a Cheshire cat in a tree. Which road do I take? she asked. Where do
you want to go? was his response. I don’t know, Alice answered. Then,
said the cat, it doesn’t matter.’ If Alice had had this book, she would have
understood the importance of case conceptualization and been able to
take the best possible path and get to her destination in the most effec-
tive, efficient and straightforward manner. Len and Jonathan Sperry’s
clear and cogent style make the procedure, process, and purpose of case
conceptualization understandable and useable for both novice and expe-
rienced clinicians.”
—Arthur Freeman, EdD, ScD, Director,
Department of Behavioral Medicine,
Midwestern University, Illinois
“The best available text on case conceptualization. Using a unique

instructional format with tables that make everything crystal-clear, this
book demonstrates how to write a sophisticated case conceptualization
quickly and easily irrespective of your therapeutic orientation. Every
mental health practitioner who ever struggled with how to write up a
case will benefit from this book.”
—Brian A. Gerrard, PhD, Associate Professor,
Counseling Psychology Department;
Executive Director, Center for Child and
Family Development, University of San Francisco
Case Conceptualization
This is the type of book instructors, trainees, and clinicians need—a short
text that demystifies the case conceptualization process and provides a
streamlined method for learning and mastering this competency. It pres-
ents an integrative model for conceptualizing cases, dispels common
myths about case conceptualization, and provides straightforward guide-
lines and strategies for mastering this essential competency.
Writing clinically useful case conceptualizations is no longer optional

today, and this training guide is the only resource you will need to
increase your expertise and incorporate this competency in professional
practice. Five detailed clinical case studies are referred to throughout the
book, and exercises are presented at the end of the last five chapters to help
readers in deriving Cognitive-Behavioral, Dynamic, Solution-Focused,
Biopsychosocial, and Adlerian case conceptualizations from an integra-
tive assessment. Drs. Len and Jonathan Sperry also address cultural sen-
sitivity and offer guidelines for developing cultural conceptualizations
and selecting culturally-sensitive treatments. All techniques are easy to
understand and use, ensuring that readers will master this competency
and feel confident applying it to difficult cases.
Core Competencies in Psychotherapy Series
Series Editor
Len Sperry
Florida Atlantic University, Medical College of Wisconsin
Competency represents a paradigm shift in the training and practice

of psychotherapy that is already challenging much of what is familiar
and comfortable. This series addresses the core competencies common
to highly effective psychotherapeutic practice, and includes individual
volumes for the most commonly practiced approaches today: cognitive
behavior, brief dynamic, and solution-focused therapies, and others.
Volumes in this Series
Highly Effective Therapy: Developing Essential Clinical Competencies in

Counseling and Psychotherapy
Len Sperry
Core Competencies in Counseling and Psychotherapy: Becoming a Highly

Competent and Effective Therapist
Len Sperry
Core Competencies in the Solution-Focused and Strategic Therapies: Becoming a

Highly Competent Solution-Focused and Strategic Therapist
Ellen K. Quick
Case Conceptualization: Mastering this Competency with Ease and Confidence

Len Sperry and Jonathan Sperry
Core Competencies in Cognitive-Behavioral Therapy: Becoming a Highly

Effective and Competent Cognitive-Behavioral Therapist
Cory F. Newman
Case
Conceptualization
Mastering this Competency
with Ease and Conﬁdence
LEN SPERRY AND

JONATHAN SPERRY
First published 2012
by Routledge
711 Third Avenue, New York, NY 10017
Simultaneously published in the UK

by Routledge
27 Church Road, Hove, East Sussex BN3 2FA
Routledge is an imprint of the Taylor & Francis Group, an informa business
© 2012 Taylor & Francis
The right of Len Sperry and Jonathan Sperry to be identified as authors of this work
has been asserted by them in accordance with sections 77 and 78 of the Copyright,
Designs and Patents Act 1988.
All rights reserved. No part of this book may be reprinted or reproduced or utilised
in any form or by any electronic, mechanical, or other means, now known or
hereafter invented, including photocopying and recording, or in any information
storage or retrieval system, without permission in writing from the publishers.
Trademark notice: Product or corporate names may be trademarks or registered

trademarks, and are used only for identification and explanation without intent to
infringe.
Library of Congress Cataloging in Publication Data

Sperry, Len, author.
Case conceptualization : mastering this competency with ease and confidence /
by Len Sperry, Jonathan Sperry.
pages cm. — (Core competencies in psychotherapy series)
Includes bibliographical references and index.
ISBN 978-0-415-63629-2 (hardback. : alk. paper) ISBN 978-0-415-89730-3
(pbk. : alk. paper)
1. Psychotherapy—Methodology. I. Sperry, Jonathan, author. II. Title. III. Series:
Core competencies in psychotherapy.
ISBN: 978-0-415-63629-2 (hbk)

ISBN: 978-0-415-89730-3 (pbk)
ISBN: 978-0-203-11001-0 (ebk)
Typeset in Palatino, Gill Sans, and Frutige

by EvS Communication Networx, Inc.
CONTENTS
Foreword xi
TRACY D. EELLS
Preface xiii
About the Authors xvi
Part I: Introduction 1
1 Case Conceptualizations: An Overview 3
2 Assessment and Diagnostic Formulations 29
3 Explanations and Clinical and Cultural Formulations 43
4 Treatment Planning and Treatment Formulations 60
Part II: Introduction 81
5 Biopsychosocial Case Conceptualizations 83
6 Cognitive-Behavioral Case Conceptualizations 110
7 Brief Dynamic Case Conceptualizations 139
ix
CONTENTS
8 Solution-Focused Case Conceptualizations 167
9 Adlerian Case Conceptualizations 193
Appendix 220
Index 227
x
FOREWORD
Interest among clinicians in psychotherapy case conceptualization has

increased dramatically in the last two decades. Previously, “formula-
tion”—the term exclusively used then, now slowly being replaced by “con-
ceptualization”—was an informal and unsystematic process by which the
clinician attempted to apply his or her knowledge to understand the case
at hand. Now, organizations in several countries representing multiple
mental health professions promulgate case conceptualization as a core
competency for practitioners. Metaphors for conceptualization abound,
including descriptors such as “compass,” “road map,” “linchpin,” “blue-
print,” “frame,” “plan,” and “heart of evidence-based treatment.” The
number of books and articles published on case conceptualization in the
last two decades is further evidence of its raised status.
What accounts for this growing interest? I propose three primary
influences. The first is an increase in the accountability demanded of
psychotherapists. As health care costs have risen, third-party payors are
requiring clinicians to justify their time with clients. Clinicians are now
asked by payors to describe the problems addressed in therapy, to define
explicit treatment goals and plans, and to track and regularly report on
progress. This increased scrutiny, coupled with briefer treatments, has
pressured clinicians to work more efficiently and to think more clearly
about their clients.
A second influence is the increased role of empiricism in psycho-
therapy and particularly the rise of the empirically-supported treatment
movement. Although the history of scientific psychotherapy research can
be traced back 50 years or more, the last two decades have seen a prolif-
eration of psychotherapeutic treatments for multiple disorders that have
tested in randomized controlled trials. The good news from this tremen-
dous effort is that the question of whether psychotherapy works has been
decidedly resolved in the affirmative. The explosion of scientific knowl-
edge about psychotherapy has not only demanded that clinicians be more
aware of the science, but also that they apply it to their work. Case concep-
tualization provides a framework for doing exactly that.
A third influence on the growth of case conceptualization is the pub-
lication of diagnostic manuals that are largely descriptive rather than
xi
FOREWORD
etiological. The Diagnostic and Statistical Manual of Mental Disorders (DSM-

IV-TR) and its predecessors back to 1980, describe disorders but say little
if anything about their causes, precipitants, maintaining influences, or
treatments. Nor does a diagnosis say anything about the psychosocial,
interpersonal, or cultural factors involved. Further, the syncretic nature of
the current nosologies allows for multiple combinations of criteria to sat-
isfy conditions for assigning the diagnosis. So, the presence of a diagnosis
alone provides limited information about the exact symptoms and prob-
lems the individual with that diagnosis may have. Case conceptualization
provides a structure to hypothesize about all these factors, drawing upon
the theory and science available. In doing so, it fills the gap between diag-
nosis and treatment.
Drs. Len and Jonathan Sperry are outstanding choices to provide
the current contribution to the case conceptualization literature. Dr. Len
Sperry is a “veteran” educator and advocate in this area, and he thus has
a wealth of experience to offer. His 1992 book, Psychiatric Case Formula-
tion, may have been the first ever published exclusively on this topic. It
has influenced a generation of mental health practitioners. The current
volume represents a major revision and update of the 1992 book, reflecting
advances in the psychotherapy and case formulation fields of the last 20
years. Another distinguishing feature of the book is its integrative focus.
The authors offer a general case formulation model and 17 common ele-
ments to consider when conceptualizing a case from any specific theoreti-
cal perspective. The authors are master teachers. This is evident not only
by the style of exposition but also by the many skill-building exercises
offered through the book. These engage the reader and encourage the
development of competency. I commend the authors on their book and
urge anyone interested in honing his or her case conceptualization skill
to study it well.
Tracy D. Eells, Ph.D., University of Louisville
Editor, Handbook of Psychotherapy Case Formulation, 2ed.
xii
PREFACE
Before 1990 mental health professionals and trainees seldom, if ever,

talked about case conceptualizations. Not surprisingly, very few used
case conceptualizations in their practice. Twenty years later the situa-
tion is markedly different as case conceptualizations have increasingly
become associated with competent, quality mental health practice. Today,
the capacity to use case conceptualizations is considered an essential
clinical competency, and mental health practitioners—psychotherapists,
clinical psychologists, psychiatrists, substance abuse counselors, rehabili-
tation counselors, and school counselors—are increasingly expected to
use case conceptualizations in everyday practice.
This expectation is problematic since very few practitioners have
formal training in this competency, and graduate programs have only
recently begun incorporating case conceptualizations in their training
of mental health professionals. To complicate matters, developing and
writing adequate case conceptualizations is one of the more challenging
competencies for practitioners and trainees to master. If you are a mental
health practitioner, you may have picked up this book in hopes of increas-
ing your competence with case conceptualizations. If you are a trainee in
a graduate mental health program, this book was likely assigned to assist
you in learning this competency.
This book addresses the challenge of learning and mastering this
formidable competency. It introduces an easy-to-master integrative case
conceptualization model for writing case conceptualizations that incor-
porate key elements from Cognitive-Behavioral Therapy, Dynamic Psy-
chotherapy, Solution-Focused Therapy, Adlerian Psychotherapy, and the
Biopsychosocial approach, as well as others. It highlights current develop-
ments and research on case conceptualization, treatment planning, inter-
ventions, as well as cultural sensitivity. It offers detailed and compelling
case examples and transcriptions that illustrate key points. Finally, it pro-
vides the reader with specific exercises for developing case conceptualiza-
tion skills.
The organization of the book is straightforward. Chapters 1 to 4 serve
as background material for the remaining chapters. Chapter 1 is an over-
view of case conceptualization and its components. Chapter 2 addresses
xiii
PREFACE
diagnostic and clinical or theory-based assessment before describing the

diagnostic formulation component of the case conceptualization. Chap-
ter 3 emphasizes the clinical and cultural formulation components, while
Chapter 4 emphasizes the treatment formulation component.
These four chapters prepare the reader for the heart of the book,
which is Chapters 5 to 9. In these chapters the reader is introduced to five
models of case conceptualization. Each chapter provides five examples of
full-scale case conceptualization that reflects this model. In each of these
chapters, the same five cases are analyzed and written case conceptu-
alizations are provided. Chapter 5 focuses on the Biopsychosocial Case
Conceptualizations while Chapters 6 through 9 focus on the Cognitive-
Behavioral Case Conceptualizations, Time-Limited Dynamic Case Con-
ceptualizations, Solution-Focused Case Conceptualizations, and Adlerian
Case Conceptualizations, respectively. There is also an Appendix which
includes useful worksheets, tables, and Case Conceptualization Evalua-
tion forms.
You may wonder what is unique about this book, and what value it
has for you. Currently, there are really only two ways of constructing a
case conceptualization. One is to learn and apply a structured or theory-
based method, e.g., one of the CBT or Dynamic approaches. The other is
to use a seat-of-the-pants method, e.g., one that a practitioner has devised
by trial and error that is often little more than a case summary. A third
way would be to use an integrative case conceptualization model, which
incorporates common elements from various structured methods, while
allowing the unique and distinctive elements of specific methods and
approaches. Unlike other books on case conceptualizations, this is the
only one that presents and illustrates an integrative method of case con-
ceptualization and provides exercises for learning it.
A WORD ABOUT LANGUAGE
The designations case conceptualizations, case formulations, clinical for-

mulations, treatment formulations, and diagnostic formulations tend to
be used synonymously. We will use the designation case conceptualiza-
tions instead of case formulation for two reasons. First, the designation
“case conceptualization” is gaining ascendency today throughout the
mental health community, and, second, to avoid confusion. As noted in
xiv
PREFACE
Part I, we breakout four components of case conceptualization: diagnos-

tic formulation, clinical formulation, cultural formulation, and treatment
formulation. For clarity of expression we use case conceptualization to
represent the process in general, and diagnostic, clinical, cultural, or treat-
ment formulation to represent the process in particular. We will also use
the general designation “practitioner” in place of terms like “psychothera-
pist,” “therapist,” “counselor,” “psychologist,” “psychiatrist,” “clinician,”
etc.
Finally, we would add that our professional involvement with teach-
ing and writing about case conceptualizations is longstanding, beginning
in the 1980s. The first of many articles appeared in 1989 (Sperry, 1989),
and the first book in 1992 (Sperry, Blackwell, Gudeman, & Faulkner, 1992).
Collectively, we have taught versions of this integrative model in several
graduate courses, conferences, and workshops over the past 29 years.
Nearly all participants have found this method easy to understand and
use, and subsequently many were able to master this competency and feel
confident applying it to difficult cases. We trust that this will also be your
experience.
Len Sperry and Jon Sperry
REFERENCES
Sperry, L. (1989). Integrative case formulations: What they are and how to write
them. Journal of Individual Psychology, 45, 500–507.
Sperry, L., Blackwell, B., Gudeman, J., & Faulkner, L. (1992). Psychiatric case formu-
lations. Washington, DC: American Psychiatric Association.
xv
ABOUT THE AUTHORS
Len Sperry, MD, PhD, is Professor of Mental Health Counseling at Flor-

ida Atlantic University, and Clinical Professor of Psychiatry and Behav-
ioral Medicine at the Medical College of Wisconsin. He has practiced and
researched psychotherapy for four decades and has taught courses, led
workshops, and written about case conceptualizations for the past 25
years. He has published 60 professional books, including one of the first
on case conceptualization, Psychiatric Case Formulations.
Jonathan Sperry, PhD is a licensed clinical social worker and a licensed

mental health counselor with a Ph.D. in Counseling. He is both a staff
therapist at the Counseling and Psychological Services and an adjunct pro-
fessor at Florida Atlantic University. He teaches graduate courses in psy-
chotherapy techniques with an emphasis on case conceptualization, and
has coauthored book chapters on psychotherapy and psychopathology, on
intimacy and infidelity, and on psychological and spiritual well-being.
xvi
Part I
Introduction
Chapters 1 to 4 of this book serve as background material for the chapters

in Part II. Unlike the chapters in Part II, the chapters in Part I are largely
theoretical descriptions supported by research of case conceptualization
and its components and elements. But, that does not mean they are
abstruse and devoid of clinical value. On the contrary, these chapters are
richly illustrated with clinical case material. Chapter 1 is an overview of
the structure of case conceptualization which emphasizes the clinical
value and utility of competently constructed case conceptualization.
Chapter 2 addresses diagnostic and clinical or theory-based assessment
before describing the diagnostic formulation component of case
conceptualization. Chapter 3 emphasizes the clinical and cultural
formulation components, while Chapter 4 emphasizes the treatment
formulation component.
1
Case Conceptualizations
An Overview
What are case conceptualizations and why is there so much interest in

them today? Basically, a case conceptualization is a method for under-
standing and explaining a client’s concerns and for guiding the treatment
process. It functions like a “bridge” to connect assessment and treatment
with clinical outcomes. In this era of accountability, it is not surprising
that effective clinical practice presumes the competency to construct and
utilize case conceptualizations. In fact, many consider case conceptualiza-
tion to be the most important competency in counseling and psychother-
apy, and one of the most challenging to master. This chapter introduces
and overviews the competency of case conceptualization.
The chapter begins by defining case conceptualization and its func-
tions. Next, it describes and illustrates the various elements of a case con-
ceptualization. This is followed by a discussion of the four components
of a case conceptualization: diagnostic formulation, clinical formulation,
cultural formulation, and treatment formulation. Then, it distinguishes
three levels of sufficiency for evaluating case conceptualizations. Next,
several myths about case conceptualization are discussed. Finally, it intro-
duces background material on the five clinical cases that will be cited
throughout the book, and analyzed in detail in Chapters 5 to 9.
3
CASE CONCEPTUALIZATION
CASE CONCEPTUALIZATION:
DEFINITION AND FUNCTIONS
Case conceptualizations provide practitioners with a coherent treatment

strategy for planning and focusing treatment interventions in order to
increase the likelihood of achieving treatment goals. While many prac-
titioners develop conceptualizations to guide their practice, not all practi-
tioners explicitly articulate these conceptualizations because they are
not sufficiently confident with this competency. There are a number of
reasons for developing and articulating a case conceptualization, but the
most cogent reason is that a conceptualization enables therapists to expe-
rience a sense of confidence in their work (Hill, 2005). Hill (2005) believes
that this confidence is then communicated to the client, which strength-
ens the client’s trust and the belief that the practitioner has a credible plan,
and that therapy can and will make a difference.
Case conceptualization is defined in this book as a method and
clinical strategy for obtaining and organizing information about a client,
understanding and explaining the client’s situation and maladaptive pat-
terns, guiding and focusing treatment, anticipating challenges and road-
blocks, and preparing for successful termination (Sperry, 2010).
Defi nition of Case Conceptualization: Case conceptualization is a

method and clinical strategy for obtaining and organizing informa-
tion about a client, understanding and explaining the client’s situ-
ation and maladaptive patterns, guiding and focusing treatment,
anticipating challenges and roadblocks, and preparing for success-
ful termination.
This definition highlights interrelated functions when it is understood

as a clinical strategy. These five functions are:
1. Obtaining and organizing. The case conceptualization process begins

with the first client contact and formulating tentative hypotheses
about the client’s presentation, expectations, and dynamics. These
hypotheses are continually tested out while performing an inte-
grative assessment guided by a search for patterns—maladaptive
4
CASE CONCEPTUALIZATIONS: AN OVERVIEW
patterns—in the client’s current and past life with regard to precipi-
tants, predisposing and perpetuating factors.
2. Explaining. As the contours of the client’s maladaptive pattern come
into focus and hypotheses are refi ned, a diagnostic, clinical, and
cultural formulation emerges. Within these formulations is a likely
explanation of the factors that accounts for the client’s reactions in
the past, the present, and the future without treatment. This expla-
nation will provide a rationale for treatment that is tailored to the
client’s needs, expectations, culture, and personality dynamics.
3. Guiding and focusing treatment. Based on this explanation, a treatment
formulation emerges, including strategies for specifying treatment
targets and for focusing and implementing treatment and strategies.
4. Anticipating obstacles and challenges. The test of an effective case con-
ceptualization is its viability in predicting the obstacles and chal-
lenges most likely throughout the stages of therapy, particularly
those involving active engagement in and commitments to the treat-
ment process, adherence, resistance, ambivalence, alliance ruptures,
transference enactments, relapse, and termination.
5. Preparing for termination. The case conceptualization also assists
therapists to recognize when the most important therapy goals and
treatment targets have been addressed and to identify when and
how to prepare for termination (Cucciare & O’Donohue, 2008). For
example, the process of terminating treatment can be quite stressful
for some clients, particularly those with dependency issues, rejec-
tion sensitivity, and abandonment histories. Therefore, an effectively
constructed case conceptualization which anticipates these consid-
erations can be immensely useful in preparing the client for termi-
nation (Sperry, 2010).
Elements in Case Conceptualizations

It has been said that a clinically useful case conceptualization provides
the necessary explanatory power (a compelling explanation for the pre-
senting problem) and predictive power (anticipation of obstacles and
facilitators to treatment success) for effectively and competently planning
and guiding the treatment process. So, what specifically characterizes a
clinically useful case conceptualization?
Before giving our own opinion on this question, we’d like you to
participate in a short experiment. Following are three case conceptual-
5
izations of the same client. They are labeled Version 1, Version 2, and Ver-
sion 3. Each differs in length and emphasis. Please read all three, without
looking at the “commentary” that follows each. Then, ask yourself the
question: Which version (1, 2, or 3) best explains the client and best speci-
fies a treatment plan and the likelihood of a positive outcome? Then, feel
free to go back and read the commentaries that reflect our choice and the
reasons for it.
Version 1
Geri is a 35-year-old African American female who was referred by her
company’s human resources director for evaluation and treatment fol-
lowing 3 weeks of depressed mood. Other symptoms include loss of
energy, markedly diminished interest, insomnia, difficulty concentrating,
and increasing social isolation. Of note is a family history of depression,
including a maternal aunt who presumably overdosed on sleeping pills.
She denies suicidal ideation and plan, now and in the past, saying that her
religion forbids it. Geri meets DSM-IV-TR (APA, 2000) criteria for Major
Depressive Disorder, Single Episode in the mild to moderate level. She
states her health is fine, and denies the use of medication, alcohol, or recre-
ational drugs. No previous psychiatric hospitalizations, nor individual or
family therapy are reported. The clinic’s psychiatrist advises that hospi-
talization is not indicated at this time. The treatment goals are specified as
symptom reduction and return to baseline functioning. Outpatient treat-
ment will consist of Zoloft 50 mg. a day monitored by our psychiatrist,
and psychotherapy (with this therapist) which will begin immediately
with sessions scheduled weekly.
Commentary. This version is essentially a factual description of the case

that emphasizes diagnosis (DSM Axis I) and an initial treatment plan.
Notable is the absence of personality, situational, and cultural dynamics.
Also noteworthy is the presumption, without supporting evidence, that
medication is the treatment of choice for the client. Furthermore, there
is no prediction that the client will follow the generic treatment plan nor
recover. It is questionable whether this version is actually a case concep-
tualization or not. Rather, it is basically a case summary. Unfortunately, it
has virtually no explanatory nor predictive power.
6
Version 2
Geri’s increased social isolation and depressive symptoms seem to be
her reaction to the news of an impending job transfer and promotion,
given her history of avoiding situations in which she might be criticized,
rejected, and feel unsafe. Throughout her life, she found it safer to avoid
others when possible and conditionally relate to them at other times; as
a result she lacks key social skills and has a limited social network. This
pattern can be understood in light of demanding, critical, and emotion-
ally unavailable parents, strong parental injunctions against making per-
sonal and family disclosure to others, the teasing and criticism of peers,
and schemas of defectiveness and social isolation. Her family history of
depression may biologically predispose her to sadness and social isola-
tion, as did the under development of relational skills. This pattern is
maintained by her shyness, the fact that she lives alone, her limited social
skills, and that she finds it safer to socially isolate. The goals of treatment
include reducing depressive symptoms, increasing interpersonal and
friendship skills, and returning to work. Treatment will begin immedi-
ately and emphasize reduction of her depressive symptoms and social iso-
lation with medication prescribed and monitored by the clinic psychiatrist.
Cognitive behavior therapy will focus on behavioral activation strategies,
and cognitive restructuring of her interfering beliefs of self, others, and
the world, as well as her coping strategy of shyness, rejection sensitivity,
distrust, and isolation from others. In addition, collaboration with Geri’s
work supervisor and the human resources director will be attempted in
order to accommodate of Geri’s return in a more tolerable work environ-
ment. Later, group therapy with a psychoeducational emphasis will be
added because of her significant skill deficits in assertive communication,
trust, and friendship skills. Prognosis is fair to good.
Commentary. This version provides more explanation and implications

for treatment in contrast to the descriptive focus of Version 1. Personality
and situational dynamics are emphasized in this conceptualization result-
ing in a detailed and tailored treatment plan. The Cognitive-Behavioral
perspective is evident in this version. However, cultural considerations
are not addressed, nor are potential obstacles to treatment success antici-
pated. In short, this version has considerable explanatory power but rela-
tively little predictive power.
7
Version 3
Geri’s increased social isolation and depressive symptoms seem to be
her reaction to the news of an impending job transfer and promotion,
given her history of avoiding situations in which she might be criticized,
rejected, and feel unsafe. Throughout her life, she found it safer to avoid
others when possible and to conditionally relate to them at other times; as
a result she lacks key social skills and has a limited social network. This
pattern can be understood in light of demanding, critical, and emotion-
ally unavailable parents, strong parental injunctions against making per-
sonal and family disclosure to others, the teasing and criticism of peers,
and schemas of defectiveness and social isolation. Her family history of
depression may biologically predispose her to sadness and social isola-
tion, as did the under development of relational skills. This pattern is
skills, and that she finds it safer to socially isolate. Geri and her parents
are highly acculturated, and she believes that her depression is the result
of stresses at work and a “chemical imbalance” in her brain. There are
no obvious indications of prejudice or conflicting cultural expectations
or factors that are operative. Instead, it appears that Geri’s personality
dynamics are significantly operative in her current clinical presentation.
The challenge for Geri to function more effectively is to feel safer while
she relates to others. The goals of treatment include reducing depressive
symptoms, increasing interpersonal and friendship skills, and returning
to work and establishing a supportive social network there. The focus of
treatment efforts will be to change her maladaptive beliefs and behaviors.
The therapeutic strategy will be to utilize cognitive-behavioral replace-
ment, desensitization, and social skill training to achieve these treatment
goals. First, reduction of her depressive symptoms with medication and
desensitization, and cognitive and behavior replacement for symptons
of rejection sensitivity and isolation from others. Second, social skills
training in a group therapy setting emphasizing assertive communica-
tion, trust, and friendship skills. Third, collaboration with Geri’s work
supervisor and the human resources director will be attempted in order
to accommodate Geri’s return in a more tolerable work environment.
Treatment will be sequenced with medication management by her phy-
sician (in consultation with the clinic’s psychiatrist) and cognitive and
behavioral replacement beginning immediately in an individual treat-
ment format.
8
Some obstacles and challenges to treatment can be anticipated. Given

her avoidant personality structure, ambivalent resistance is likely. It can
be anticipated that she would have difficulty discussing personal mat-
ters with therapists, and that she would “test” and provoke therapists into
criticizing her for changing or canceling appointments at the last minute,
being late, and that she might procrastinate, avoid feelings, and otherwise
“test” the therapist’s trustability. Once trust in the therapist is achieved, she
is likely to cling to the therapist and treatment and thus termination may
be difficult unless her social support system outside therapy is increased.
Furthermore, her pattern of avoidance is likely to make entry into and
continuation with group work difficult. Therefore, individual sessions can
serve as a transition into group, including having some contact with the
group therapist who will presumably be accepting and non-judgmental.
This should increase Geri’s feeling safe and making self-disclosure in a
group setting less difficult. Transference enactment is another consider-
ation. Given the extent of parental and peer criticism and teasing, it is
anticipated that any perceived impatience and verbal or nonverbal indica-
tions of criticalness by the therapist will activate this transference. Finally,
because of her tendency to cling to others whom she trusts, increasing
her capacity to feel more confident in functioning with greater indepen-
dence and increasing time between the last 4–5 sessions can reduce her
ambivalence about termination. Assuming that Geri increases her self-
confidence, relational skills, and social contacts in and outside therapy, as
well as a return to work, her prognosis is adjudged to be good. Otherwise,
it is guarded Treatment progress will not likely be dependent on cultural
or even culturally-sensitive interventions at this time. However, gender
dynamics could impact the therapeutic relationship given her strained
relationship with her father and limited involvement with men ever since.
Accordingly, female therapists for both individual and group therapy
appear to be indicated in the initial phase of treatment.
Commentary. This version emphasizes explanation and implications

for treatment instead of the descriptive emphasis of Version 1. Personality,
situational, and cultural dynamics are central to this conceptualization
resulting in a tailored treatment plan that anticipates potential obstacles
to treatment success. Some may consider this version too long. While it
is longer and more detailed than the other two versions, these focused
details add considerable explanatory and predicative power.
9
Table 1.1 Comparison of Three Case Conceptualizations
Case Conceptualization Elements Version 1 Version 2 Version 3

Presentation x x x
Precipitants x x
Pattern: maladaptive x x
Predisposition x x
Perpetuants x x
Cultural identity x
Acculturation and stress x
Cultural explanation model x
Culture v. personality x
Treatment pattern x
Treatment goals x x
Treatment focus x x
Treatment strategy x x
Treatment interventions x x
Treatment obstacles x x
Treatment-cultural x
Treatment prognosis x x
Table 1.1 is a visual comparison of the elements involved in each of the

three versions.
Clearly, Version 3 encompasses more elements than the other two
combined. While Version 2 is more detailed than Version 1, Version 3 may
appear to be too detailed. Yet, it is notable that an entire group of elements
are missing in Version 2, i.e., those pertaining to culture. While it hap-
pens that cultural elements do not appear to be as operative as they are in
other cases, there would no basis for making this determination without
accounting for them in the case conceptualization.
As we will contend throughout this book, case conceptualizations
that have high explanatory power and high predictive power are more
clinically useful than those that are not.
10
As instructors and clinical supervisors, we favor complete or full-

scale case conceptualizations, i.e., those that account for all 17 elements.
However, we leave it up to you to decide the number of elements that you
determine are sufficient in constructing a specific case conceptualization.
Components of a Case Conceptualization

A case conceptualization consists of four components: a diagnostic for-
mulation, a clinical formulation, a cultural formulation, and a treatment
formulation (Sperry, Blackwell, Gudeman, & Faulkner, 1992; Sperry, 2005,
2010). Table 1.2 lists and briefly describes each of these components.
Table 1.2 Four Components of a Case Conceptualization
Component Description
Diagnostic Formulation provides a description of the client’s presenting
situation and its perpetuants or triggering factors as
well as the basic personality pattern; answers the
“what” questions, i.e., “What happened?”; usually
includes a DSM diagnosis.
Clinical Formulation provides an explanation of the client’s pattern.
Answers the “why” question, i.e., “Why did it
happen?”; the central component in a case
conceptualization which links the diagnostic and
treatment formulations.
Cultural Formulation provides an analysis of social and cultural factors;
answers the “What role does culture play?”
question; specifies cultural identity, level of
acculturation and stress, explanatory model, and
mix of cultural dynamics and personality dynamics.
Treatment Formulation provides an explicit blueprint for Intervention
planning; a logical extension of the diagnostic,
clinical, and cultural formulations which answer
the “How can it change?” question; contains
treatment goals, focus, strategy and specific
interventions, and anticipates challenges and
obstacles in achieving those goals.
11
Evaluating Case Conceptualizations

As noted in a previous section, not all case conceptualizations are the
same. Some are more clinically useful than others. We consider explana-
tory power and predictive power to be useful global criteria in evaluating
a case conceptualization. Eells (2010) offers some specific criteria for evalu-
ating a case conceptualization. These criteria are: To what extent is a psy-
chological theory offered that explains the problems and symptoms? Is it
sufficiently and coherently articulated? Are key components of the chosen
theory included? Does it adequately account for the presenting problems?
Are all the elements of the diagnostic and clinical formulation addressed
in the treatment formulation and plan? Does the treatment formulation
and plan flow logically and coherently with the diagnostic and clinical
formulations? Does the plan include explicit goals, both short-term long-
term, and are potential red flag issues resources other than those the ther-
apist can provide considered?
Eells also offers additional criteria to evaluate the overall quality of
the case conceptualization. The criteria are comprehensiveness, coher-
ence, precision of language, the degree to which formulation themes
and the treatment plans were elaborated, complexity of the formulation,
the link between the clinical formulation and the treatment plan, and
the extent to which therapists appeared to apply a systematic process
in developing the case conceptualization (Eells, 2010). This section pro-
vides a way of characterizing the sufficiency of case conceptualizations,
including the sufficiency of each of its components. Three levels of suf-
ficiency are described.
High Level Case Conceptualizations

A high level case conceptualization is recognized by the following char-
acteristics. It addresses the “what happened” question (diagnostic formu-
lation statement), the “why did it happen” question (clinical formulation
statement), the “what can be done about it” question (treatment formula-
tion statement), and the “what role does culture play” question (cultural
formulation statement). In addition, it anticipates treatment “obstacles”
such as resistance, transference, non-compliance, etc., it specifies a clearly
defined “treatment focus” and “intervention strategy,” and it serves as the
basis for “tailoring” interventions. It also serves as a guide to making and
modifying treatment decisions, as the basis for maintaining an effective
12
therapeutic alliance, and for planning and anticipating issues regarding

termination. Finally, there is a high degree of coherence among sections
of the written report containing the various components of the case con-
ceptualization (Sperry, 2010). Specifically, this means that the treatment
formulation directly reflects the clinical formulation and the diagnostic
formulation. Finally, this conceptualization has considerable explanatory
power and predictive value.
Moderate Level Case Conceptualizations

A moderate level case conceptualization is recognized by the following
characteristics. Like the highly competent conceptualization it addresses
diagnostic, clinical, cultural, and treatment formulation questions. While
there is also a reasonable degree of coherence among sections of the writ-
ten case conceptualizations among sections of the written report contain-
ing its various components, there are missing elements that are central to
the highly competent conceptualization. Typically, while treatment goals
are included, it is less likely that a clearly identified treatment focus and
a treatment strategy are noted. Similarly, how treatment will be tailored
to the client as well as obstacles to achieving treatment targets and goals
are less likely to be included. In short, these conceptualizations may have
good to excellent explanatory power, but little predictive value.
Low Level Case Conceptualizations

Low level case conceptualizations are characterized by deficits in sev-
eral respects. First and foremost, such conceptualization tends to be an
extended description of clinical material rather than a clinically useful
explanation of it because they fail to address the diagnostic, clinical, treat-
ment, and formulation questions. As a result, treatment goals are unlikely
to be sufficiently defined and focused. Because obstacles to achieving
these goals are not anticipated, the clinician is likely to be surprised or
dismayed with the course of treatment. Premature termination is likely
because issues in the therapeutic alliance become problematic. Little or
no coherence among sections of the written report containing the concep-
tualizations will be evident. Not surprisingly, this conceptualization has
neither explanatory power nor predictive value.
13
Elements of a Case Conceptualization

Participants in our courses and workshops on case conceptualization
agree that presenting case conceptualizations in terms of its components
and elements is a painless way of understanding this competency. There
are four components: diagnostic formulation, clinical formulation, cultural
formulation, and treatment formulation. Each component encompasses a
number of case conceptualization elements. For instance, the diagnostic
formulation component consists of the elements of presentation, precipi-
tant, and pattern–maladaptive. The topmost segment of Table 1.3 lists
these three elements with brief definitions. Similarly, the other compo-
nents and elements are listed and defined in the remaining segments of
Table 1.3. These components and elements of the case conceptualization
will be described and illustrated in considerable detail in Chapters 2 to 4.
Myths About Case Conceptualizations

A number of myths and distorted notions about case conceptualizations
abound. This section attempts to dispel some of the more common ones.
MYTH 1: A Case Conceptualization is Nothing More than a Case Summary

Some consider that a case conceptualization is basically a case summary.
While there are some similarities, the two are quite different. Basically, a
case summary is a distillation of the facts of a case (presenting problem,
developmental and social history, mental status examination, etc.). In
contrast, a case conceptualization draws from those facts and constructs a
story that goes well beyond a summary of the facts of the case. It involves
a high level of abstraction in drawing viable inferences that place the
client’s presenting problem within the context of his or her life pattern.
As a result, a tailored treatment can be derived, and a likely obstacles
and challenges can be anticipated. By contrast, case summaries have no
explanatory power and little, if any, predictive power. In short, a case
conceptualization is not just a case summary.
MYTH 2: Case Conceptualizations are not Clinically Useful

It is not uncommon for some trainees and practitioners to insist that
case conceptualizations are not clinically useful. In fact, research is
beginning to show that using case conceptualizations is clinically use-
ful and related to positive treatment outcomes (Kuyken, Padesdky, &
14
Table 1.3 Elements of a Case Conceptualization
Presentation presenting problem and characteristic response to

precipitants
Precipitant triggers that activate the pattern resulting in
presenting problem
Pattern: maladaptive inflexible, ineffective manner of perceiving, thinking,
acting
Predisposition factors fostering adaptive or maladaptive functioning
Perpetuants triggers that activate one’s pattern resulting in
presentation
Cultural identity sense of belonging to a particular ethnic group
Culture: acculturation level of adaptation to the dominant culture; stress
and acculturative stress rooted acculturation including psychosocial
difficulties
Cultural explanation beliefs regarding cause of distress, condition, or
impairment
Culture v. personality operative mix of cultural and personality dynamics
Treatment pattern flexible, effective manner of perceiving, thinking,
acting
Treatment goals stated short- and long-term outcomes of treatment
Treatment focus central therapeutic emphasis providing directionality
to treatment that is keyed to the adaptive pattern
Treatment strategy action plan and vehicle for achieving a more adaptive
pattern
Treatment interventions specific change techniques and tactics related to the
treatment strategy for achieving treatment goals and
pattern change
Treatment obstacles predictable challenges in the treatment process
anticipated from the maladaptive pattern
Treatment–cultural incorporation of cultural intervention, culturally
sensitive therapy, or interventions when indicated
Treatment prognosis prediction of the likely course, duration, and outcome
of a mental health condition with or without treatment
15
Dudley, 2009). Increasingly, case conceptualization is being linked to

evidence-based practice, an unmistakable indicator of clinical utility. In
2005, the American Psychological Association’s Presidential Task Force
on Evidence-Based Practice recognized that link (APA Presidential Task
Force on Evidence-Based Practice, 2006). Others have also recognized the
link and concluded that case conceptualization is essential for effective
evidence-based practice. “Case formulation is a cornerstone of evidence-
based CBT practice. For any particular case of CBT practice, formulation is
the bridge between practice, theory and research. It is the crucible where
the individual particularities of a given case, relevant theory, and research
synthesize into an understanding of the person’s presenting issues in
CBT terms that informs the intervention” (Kuyken, Fothergilla, Musaa, &
Chadwick, 2005, p. 1188).
MYTH 3: Case Conceptualizations are Difficult to Learn and too Time Consuming
It is also not uncommon for some trainees and practitioner to insist that
doing case conceptualizations is too complex and time consuming, and
that learning to do them is difficult and takes a long time. Research
roundly discounts this myth. It demonstrates that trainees and practitio-
ners who participate in training sessions that are as short as two hours
can and do increase their capacity to develop more accurate, precise, com-
plex, and comprehensive clinical formulations compared to practitioners
without such training (Kendjelic & Eells, 2007). Obviously, developing a
high level of proficiency in case conceptualization takes additional time
and practice. Still, the point is that even a short period of training makes
a significant difference.
MYTH 4: There is Only One Type of Case Conceptualization and it Should be

Used for all Clients
It is useful and necessary to distinguish three types of case conceptualiza-
tions: provisional, full-scale, and brief case conceptualizations.
Provisional Case Conceptualization. This type of conceptualization

is constructed during the initial evaluation of the client. It is called a
provisional or a working conceptualization because inferences derived
from observation, inquiry, and prior records, if available, and necessar-
ily incomplete or the inferences have not been sufficiently tested for “fit”
and accuracy. As such, provisional case conceptualizations are subject to
change with additional information and scrutiny.
16
Full-Scale Case Conceptualization. This type of conceptualization

includes most or all of the elements of the diagnostic, clinical, cultural,
and treatment formulations. While it may begin as a provisional case con-
ceptualization, the full-scale version more accurately reflects the client’s
story and pattern, and has sufficient explanatory and predictive power to
reasonably guide treatment implementation and effect change. This type
of case conceptualization is indicated when clients present with symp-
toms and impaired functioning triggered or exacerbated by personality
pathology, whose level of functioning before the current presentation was
problematic (GAF below 65 or so). It is also indicated where histories of
problems with maintaining close relationship and jobs (or school) are
common, where there are limited coping resources, lower levels of resili-
ence, and limited readiness for change.
Brief Case Conceptualization. This type of conceptualization includes

selected elements of the diagnostic, clinical, cultural, and treatment for-
mulations (e.g., presentation, precipitant, pattern, treatment goal(s), and
treatment intervention(s)). Because fewer elements are included, it is much
shorter, i.e., brief, compared to a full-scale case conceptualization state-
ment. Typically, such clients have been high functioning (GAF of 80 or
above in the 12 months) and even though they are temporarily experien-
cing symptomatic distress or conflict, it is likely to be limited because of
adequate levels of resilience, coping resources, and high motivation and
readiness for change. Recall that a brief case conceptualization is not a
brief case summary (Myth 1).
Learning Exercise
Imagine you are doing initial evaluations on four young female clients
whose first names are Jane. They are similar in age, education, and level
of acculturation. They all complain of “feeling sad” following the breakup
of an intimate relationship. Beyond these similarities are real differences.
Read the following case description and determine whether a full-scale or
brief case conceptualization is indicated for each case. Provide a rationale
for your decision about each case.
Jane 1. This Jane meets criteria, more or less, for Adjustment Disorder
with Depressed Mood. Some avoidant and dependent features are noted.
Her GAF is rated at 68 now with 85 the highest in the past year. Previously,
17
she has been successful in maintaining intimate relationships and main-

taining a job. Her level of resilience appears to be high with readiness for
change at the action stage.
Jane 2. This Jane meets criteria for Major Depressive Disorder: Single
Episode and Avoidant Personality Disorder. Her GAF is rated at 55 now
with 65 the highest in the past year. She reports some difficulty in main-
taining intimate relationships but not with jobs. Her level of resilience
appears to be moderate with readiness for change at the preparation stage.
Jane 3. This Jane meets criteria for Major Depressive Disorder: Recurrent
and Avoidant Personality Disorder. Her GAF is rated at 45 now with 60
the highest in the past year. She reports difficulty in maintaining intimate
relationships and jobs. Her level of resilience appears to be low with readi-
ness for change at the contemplative stage.
Jane 4. This Jane meets criteria for Major Depressive Disorder: Recurrent,
Dysthmic Disorder, and Post Traumatic Stress Disorder, as well as
Borderline Personality Disorder. Her GAF is rated at 40 now with 55 the
highest in the past year. She reports considerable difficulty in maintaining
intimate relationships and jobs, and has been on disability for 3 years. Her
level of resilience appears to be very low with readiness for change at the
precontemplative stage.
Commentary. Full-scale case conceptualizations are indicated for Jane

2, 3, and 4, while a brief case conceptualization is sufficient for Jane 1.
Jane 1 has a history of being adequately resilient and having sufficient
resilience and coping resources to succeed with relationships and work.
She has been living away from her supportive and caring family for the
first time in her life. Recently, her boyfriend back home, to whom she was
“practically engaged to” told her that he was ending their relationship
because of another woman. Not having the immediate support of her car-
ing family, Jane sought counseling “to support me through this.”
MYTH 5: All Case Conceptualizations are Basically the Same

There are actually three different ways or methods for developing case
conceptualizations. The two most common are: following a structured or
theory-based method, or using a seat-of-the-pants method.
18
Structured or Standardized Case Conceptualizations Methods.

Structured methods are theory-based or standardized methods. There are
several structured methods. Eleven such methods ranging from psycho-
dynamic to cognitive-behavioral methods are described and illustrated
in Eells’ handbook (2007). The upside of such methods is that quality and
reliability can be achieved with training and experience. The downside is
that these methods tend to be complex and typically require formal train-
ing and considerable experience to master.
Non-Standardized Case Conceptualizations Methods. In everyday

practice, non-standardized or seat-of-the-pants methods are commonly
utilized by enterprising practitioners who have improvised and devel-
oped their own idiosyncratic formulas for conceptualizing cases. Usually
these practitioners develop their approach to meet the actual or perceived
requirement of third-party payors as a condition of reimbursement for
services rendered. The upside of such methods is that practitioners have
ownership of the way they conceptualize cases. The downside is that
quality and reliability of such methods may be absent or limited.
Integrative Case Conceptualization Method. A Delphi polling of psy-

chotherapy experts has predicted the development of integrative models
of case conceptualization (Norcross, Hedges, & Prochaska, 2002). In his
review of several current models of case conceptualization, Eells (2007)
notes that overlap exists among these models: “Ideally, an integrative
model of case conceptualization would capture these overlapping con-
cepts … while also retaining the distinctive features of each approach.
Such an integrative model could be particularly useful in psychotherapy
training” (Eells, 2007, p. 428). Eells (2010) anticipates what such an inte-
grative model and provides a schematic of its features. The reader will
encounter a fully articulated and user-friendly integrative model of case
conceptualization in this book.
A Strategy for Increasing Competence

in Case Conceptualization
Learning and mastering the case conceptualization competency does not
occur by chance, instead it requires having an intentional plan and strat-
egy for increasing this essential competency. Here is a six-step evidence-
based strategy that we recommended to those we teach and supervise.
19
1. Know the requisites for performing high level case

conceptualizations.
Several elements of the case conceptualizations have been intro-
duced in this chapter. It would wonderful if merely the inclusion of
all or most of these elements in a case conceptualization would be
sufficient for it to be considered an excellent conceptualization. The
reality is that more than including these elements is needed. Other
criteria for evaluating a conceptualization were described such as
comprehensiveness, coherence, language precision, and the degree
to which formulation themes and the treatment plans are elaborated
(Eells, 2010). Similarly, research reflects indicators or expertise in case
conceptualizations. It shows that expert therapists produced more
comprehensive, systematic, complex, and elaborate formulations
than experienced therapists or trainees, although trainees produced
better quality clinical formulations than experienced therapists
(Eells & Lombart, 2003; Eells, Lombart, Kendjelic, Turner, & Lucas,
2005). The Appendix includes a Case Conceptualization Evaluation
Form for evaluating the quality of a case conceptualization.
2. Dispel myths that undermine the value of case
conceptualizations.
Earlier in this chapter, six common misconceptions of case con-
ceptualizations were discussed and dispelled. Recognize if any of
these or other myths are limiting your motivation and capacity to
master this competency, and then dispel them.
3. Engage in deliberate practice in learning this competency.
Deliberate practice is an essential practice in learning and mas-
tering the competency of case conceptualization (Caspar, Berger,
& Hautle, 2004). Deliberate practice involves repetition of a spe-
cific element or case conceptualization factor until it is mastered.
Ideally, deliberate practice will be incorporated in graduate train-
ing programs as a learning strategy along with systematic learning
and coaching by instructors and supervisors who have sufficient
expertise in constructing, implementing, and evaluating case
conceptualization.
4. Seek feedback on your case conceptualizations.
Providing timely and accurate feedback to trainees on an ongo-
ing basis is essential in improving competency in the case concep-
tualizations. Trainees need feedback that is intense and systematic,
particularly when it is combined with practice, in constructing,
20
improving, and elaborating case conceptualizations. Because it is

often lacking, such feedback needs to be intentionally incorporated
in mental health training program that are committed to this com-
petency (Caspar et al., 2004).
5. Study and review various case conceptualizations, particularly
exemplars.
Ongoing study of exemplar case conceptualizations can greatly
aid the learning and mastery of this competency. This book includes
25 full-scale case conceptualizations which can serve as exemplars
or models of high level case conceptualizations. Read, study, dis-
cuss, question, compare, and contrast these and other examples of
clinically useful case conceptualizations in order to fully under-
stand their structure, explanatory power, and predictive power.
Then, model them.
6. Learn an integrative method of case conceptualization and
practice it often.
Structured and theory-based case conceptualization methods
provide unique, signature elements that can add or reduce explana-
tory and predictive power to a particular case. The challenge for
the trainee and the practitioner is to determine which structured
conceptualization elements are the best “fit” in a particular case.
Developing expertise in the full utilization of several structured
methods limits the fullest use of these methods. On the other hand,
an integrative method that can incorporate the key elements (i.e.,
predisposition, treatment focus, treatment strategy, and treatment
interventions) of specific structured methods, such as the Cognitive
Behavioral, Dynamic, or Solution-Focused, can increase both the
resulting case conceptualizations explanatory and predictive power
over a non-integrative method. As noted in the Preface, the inte-
grative nature of the method described and illustrated here is the
unique contribution and clinical value of this book.
FIVE CLINICAL CASES
This section contains background information on five clinical cases that

will referred to and analyzed in subsequent chapters. The cases repre-
sent clients with different ages, genders, ethnicities, patterns, and pre-
senting problems. Chapters 2 through 4 will cite certain aspects of these
21
cases to illustrate various points. Chapters 5 through 9 present capsule

versions of all five cases followed by detailed case conceptualizations of
each case from various perspectives: Biopsychosocial, Cognitive Behavior,
Dynamic, Solution-Focused, and Adlerian. These chapters also provide
exercises so that readers can practice constructing key elements of case
conceptualization from these various perspectives.
Geri
Geri is a 35-year-old female administrative assistant of African American
descent. She is single, lives alone, and was referred by her company’s
human resources director for evaluation and treatment following a three
week onset of depressed mood. Other symptoms included loss of energy,
markedly diminished interest, insomnia, difficulty concentrating, and
increasing social isolation. She had not showed up for work for four days
prompting the referral. The planned addition of another senior execu-
tive led Geri’s supervisor to discuss a promotion wherein Geri would be
transferred out of a relatively close-knit work team where she had been
for 16 years—and had been an administrative assistant for 6 years—to
become the new senior administrative assistant for the newly hired vice
president of sales. She reports that her parents are alive and that she has a
younger brother. She insists that her brother was favored and spoiled by
her parents, and she recalls being criticized by her parents and made fun
of by her peers and her brother. She reports that for years she has little
or no contact with her parents nor her brother, has never been in a long-
term relationship or married, and has worked at the same company since
graduating from a local community college. She acknowledged that it
was difficult to trust others and that she had only one real friend that she
trusted. This was an older lady at her company who was very supportive
and never judgmental. She denies any individual or family therapy, and
indicates that this is her first meeting with a mental health professional.
Antwone
Antwone is an African American Navy seaman in his mid-20s. An other-
wise talented seaman, he has a short temper and recently has lashed out
at crew members at the slightest provocation. After his most recent fight,
which Antwone claims was racially motivated, his commander fines and
demotes him and then orders him to undergo counseling from the base
22
psychiatrist. Antwone initially resisted working with the psychiatrist, but

after a period of testing him, Antwone agrees to cooperate. He recounted
a painful early childhood in which his father is killed by an irate girl-
friend, and his mother—another of his father’s girlfriends—gave birth to
him in prison. She was convicted of drug dealing. Afterwards he is placed
in foster care with an African American family where he was alternately
neglected and then abused (emotionally, verbally, and physically) by his
foster mother and sexually abused by her adult daughter. Antwone was
one of three foster boys in the home. There the foster mother condescend-
ingly called the three “niggers” and demanded that they meet her every
demand. At one point the foster mother beat him unconscious. Thereafter
he assumed a flight mode and would cower in fear whenever she was
around. She despised his best friend Jesse, in part because after episodes of
sexual abuse, Antwone would run to Jesse, who would emotionally calm
and support him. When he was 15, however, as the foster mother began
to berate him, he could no longer endure her tyranny and he grabbed the
shoe with which she was beating him and threatened her. She responded
by throwing him out to live on the streets. Subsequently, he lashed out at
perceived injustices. By base policy, treatment at the mental health clinic
was short, with a maximum of three sessions. During their third session,
the psychiatrist indicated that treatment would be ending and encour-
aged Antwone to find his real family. He emphasized that this was an
important step for Antwone to get closure on his issues. An infuriated
Antwone lashes out, yelling that everyone in his life has abandoned him,
including Jesse and now the psychiatrist. Antwone recounted that he was
an innocent bystander when Jesse was shot while robbing a convenience
store. For the first time, Antwone was able to admit his anger at being
abandoned by Jesse as well as the psychiatrist. He realized that fi nding
his family was necessary. With much effort and persistence, he finds and
meets both his father’s family and his mother as well as confronting his
foster mother and her daughter. The person described here is actually
Antwone Fisher who is now an accomplished poet, writer, playwright,
and film producer. The case information is from his autobiography and
the film Antwone Fisher.
Richard
Richard is a 41-year-old Caucasian male who is being evaluated for
anxiety, sadness, and anger about his recent divorce. This was his first
23
marriage to a professional woman with two children from a previous

marriage. He is handsome and engaging, and his charming manner has
allowed him to move in professional circles even though he is a high
school dropout. He currently lives on his own, is employed as a machine
operator, and frequents night spots where he “is on the lookout for the
perfect woman.” He reported that he and his former wife had “commu-
nication problems” and that she complained that he embarrassed her by
his contrarian viewpoints when they were at social events. After the most
recent episode, she informed him that she wanted a separation and there-
after filed for divorce. He has held four jobs over the past 6 years and has
been fired from his last job because he smashed his fist through a wall
after being confronted by a female coworker. He is an only child of alco-
holic parents whom he describes as “fighting all the time.” He has had
some individual counseling and, while he reports having some insight
into his issues, there has been no appreciable change in behavior in his
interpersonal behavior.
Maria
Maria is a 17-year-old first generation Mexican American female who was
referred for a psychological evaluation by her parents who became con-
cerned about her mood shifts in the past 2–3 months and about alcohol
use. Maria described her basic concern as a conflict between going away
to college in the fall and staying home to attend to her mother who is ter-
minally ill. While her parents want her to stay home, her Anglo friends
are encouraging her to go to college. She reports being pulled in two dif-
ferent directions and “stuck in the middle” and feeling “down” and “pres-
sured” regarding this decision. She is also guilty that she may fail to mea-
sure up to what a “good daughter” and may lose her parents’ acceptance
and approval. Her family is extremely important to her and “I have an
“obligation to my parents.” Yet she also wants to expand her horizons;
however “If I stay with my family my whole life, I’ll be a failure … I’ll have
wasted all my potential.” She has tried to talk with her parents, but they
seem unable to understand her. She’s conflicted, yet she does not want to
“disappoint” nor “make the wrong decision I’ll regret it forever.” While
she did admit to a single episode of alcohol use to make her feel better, she
denies any other alcohol and substance use.
24
Maria is the younger of two daughters. Her older sister dropped out
of high school, has a history of drug usage, and has minimal contact with
the family. Her parents emigrated from Mexico to the United States some
12 years ago, although her extended family remains there. She lives with
her parents in a largely Mexican community in a major metropolitan
area where they own a small dry cleaning business and lead “traditional
Mexican American lives.” Reportedly, they unfairly compare Maria to her
sister and believe that if Maria does anything wrong she’ll end up just
like her sister. But while they are overly strict with her, Maria believes “it
is because they care.” Maria speaks Spanish, has both Anglo and Mexican
friends but has not experienced anti-immigrant discrimination in the past
5 years as she and her family did when they arrived in the United States.
She believes her problems are due to a “lack of faith in God” and says
that she prays everyday to be “delivered from darkness.” Maria’s mother’s
illness has also affected her father who is convinced that without a care-
taker—like Maria—she will not live long.
Joan
Joan is a 49-year-old, married Caucasian female who was referred by her
physician for evaluation of somatic symptoms for which there was no
obvious physiological basis. She also experiences “anxiety attacks.” For
the past 5 weeks she had complained of heart palpitations and chest pain.
Although she said “everything was fine” except for her somatic symp-
toms, she went on to describe a number of current concerns and stressors.
She reports having a demanding job as a manager where she is expected
to increase production with fewer staff. While she does everything she
can to please her boss and increase production, her employees complain
that she is not supporting or advocating for them. At home, she is the pri-
mary parent who manages household chores and finances. Although her
husband’s job requires extensive travel, when he is home on weekends he
offers to help with household chores. But, she discourages it and replies
that he has made errors with the checkbook or doesn’t follow through
with picking up clothes from the dry cleaners, and so on. As a result, Joan
does most of the work. She reports that as her two daughters have become
teens they have become increasingly critical of her for not being emotion-
ally available to them. Joan is a hardworking individual who fears mak-
ing mistakes and tries to do everything right. She criticizes herself for not
25
being a better manager and parent, and holds herself and others to very
high standards. While she desires to be more relaxed, spontaneous, and
intimate with her husband and daughters, it seems that she is even more
distanced from them in the past few months.
HISTORY OF CASE CONCEPTUALIZATIONS

AND TERMINOLOGY
The matter of terminology should be addressed before closing this chap-

ter. In courses, workshops, case conferences, articles, and books you might
hear or read about case conceptualizations, case formulations, clinical
formulations, treatment formulations, and diagnostic formulations. Most
often these designations are used synonymously. It is not uncommon for
the designations case formulation and case conceptualization to be used
in the same paragraph, or to have a section of a book chapter titled case
conceptualization, and yet that designation is never to be found again in
that section. Instead, the designation case formulation is used.
Historically, “case formulation”’ was the preferred and commonly
used term or designation. In fact, the designation “case conceptualization”
does not seem to have entered professional parlance until 2000. Articles,
book chapters, and books in psychiatry and clinical psychology exclu-
sively used the designation case formulation until recently. In contrast,
case conceptualization has been used almost exclusively in the counseling
literature for quite some time. Today, case conceptualization seems to be
gaining ascendency in all mental health disciplines. Accordingly, we will
use the designation case conceptualization when describing and discuss-
ing this competency in general terms, while reserving the terms diagnos-
tic formulation, clinical formulation, cultural formulation, and treatment
formulation as specific components of a case conceptualization.
CONCLUDING COMMENT
Case conceptualization is among the most important competencies that

mental health professionals are increasingly expected to master. In the past,
some professionals justified and excused their unwillingness to develop
this competency on the grounds that case conceptualizations were not
26
clinically useful, and that learning to do them was too complex and time
consuming. As indicated earlier in this chapter, neither clinical lore nor
emerging research supports this sentiment. In fact, research shows that
case conceptualizations are clinically useful, represent evidence-based
practice, and positively influence treatment outcomes. Likewise, research
on expertise and training in case conceptualization supports the value of
formal training. Incorporating the competency of case conceptualization
in a training program provides trainees the opportunity to demonstrate
the capacity to integrate theory and practice, which may be the most elu-
sive programmatic goal of therapy training.
It is encouraging to note that mastering the competency of case con-
ceptualization is becoming a high priority in many counseling, psychia-
try, and psychotherapy training programs, and that reluctance to using
case conceptualizations is decreasing as trainees and practitioners real-
ize that it is one of the most valuable clinical competencies necessary for
effective clinical practice (Falvey, 2001).
REFERENCES
American Psychiatric Association. (2000). Diagnostic and statistical manual of mental

disorders (4th ed., text rev.). Washington, DC: Author.
American Psychological Association Presidential Task Force on Evidence-Based
Practice. (2006). Evidence-based practice in psychology. American Psychologist,
61, 271–285.
Caspar, F., Berger, T., & Hautle, I. (2004). The right view of your patient: A computer-
assisted, individualized module for psychotherapy training. Psychotherapy:
Theory, Research, Practice, Training, 41(2), 125–135.
Cucciare, M., & O’Donohue, W. (2008). Clinical case conceptualization and
termination of psychotherapy. In M. O’Donohue & W. Cucciare (Eds.),
Terminating psychotherapy: A clinician’s guide (pp. 121–146). New York, NY:
Routledge.
Eells, T. (2007). Comparing the methods. Where is the common ground? In T. Eells
(Ed.), Handbook of psychotherapy case formulation, 2ed. (pp. 412–432). New York,
NY: Guilford.
Eells, T. (2010). The unfolding case formulation: The interplay of description and
inference. Pragmatic Case Studies in Psychotherapy, 6(4), 225–254.
Eells, T., & Lombart, K. (2003). Case formulation and treatment concepts among
novice, experienced, and expert cognitive-behavioral and psychodynamic
therapists. Psychotherapy Research, 13, 187–204.
27
Eells, T., Lombart, K., Kendjelic, E., Turner, L., & Lucas, C. (2005). The quality
of psychotherapy case formulations: A comparison of expert, experienced,
and novice cognitive-behavioral and psychodynamic therapists. Journal of
Consulting and Clinical Psychology, 73, 579–589.
Hill, C. (2005). Therapist techniques, client involvement, and the therapeutic
relationship: Inextricably intertwined in the therapy process. Psychotherapy:
Theory, Research, Practice, Training, 42, 431–442.
Kendjelic, E., & Eells, T. (2007). Generic psychotherapy case formulation training
improves formulation quality. Psychotherapy: Theory, Research, Practice,
Training, 44, 66–77.
Kuyken, W., Fothergilla, C., Musaa, M., & Chadwick, P. (2005). The reliability and
quality of cognitive case formulation. Behaviour Research and Therapy, 43,
1187–1201.
Kuyken, W., Padesdky, C., & Dudley, R. (2009). Collaborative case conceptualization:
Working effectively with clients in cognitive-behavioral therapy. New York, NY:
Guilford.
Norcross, J., Hedges, M., & Prochaska, J. (2002). The face of 2010: A Delphi poll of
the future of psychotherapy. Professional Psychology: Research and Practice, 33,
316–322.
Sperry, L. (2005). Case conceptualization: A strategy for incorporating individual,
couple, and family dynamics in the treatment process. American Journal of
Family Therapy, 33, 353–364.
Sperry, L. (2010). Core competencies in counseling and psychotherapy: Becoming a highly
competent and effective therapist. New York, NY: Routledge.
Sperry, L., Blackwell, B., Gudeman, J., & Faulkner, L. (1992). Psychiatric case
formulations. Washington, DC: American Psychiatric Press.
28
2
Assessment and
Diagnostic Formulations
Assessment is a prerequisite to developing a case conceptualization, and
a comprehensive assessment is essential in developing a competent and
clinically useful case conceptualization.
Assessment organizes the content of the case conceptualization,
focuses treatment goals, clarifies expectations about what can and what
needs to change, and then defines the client’s and the clinician’s roles in
the change process (Sim, Gwee, & Bateman, 2005). The diagnostic formu-
lation is one of the four components of a case conceptualization. It is basi-
cally an appraisal of the client’s presentation, precipitants, and pattern. It
describes the client’s situation and answers the “What happened?” ques-
tion. The diagnostic formulation reflects both a diagnostic assessment and
a clinical assessment.
This chapter emphasizes the diagnostic formulation which is based
on an adequate diagnostic assessment and clinical assessment. The chap-
ter begins with a description of both diagnostic and clinical assessments.
Then, it describes and illustrates the diagnostic formulation.
Finally, the centrality of pattern in the Integrative Case Conceptualiza-
tion model is described. In this and subsequent chapters, the assumption
is that while assessment influences all components of the case conceptual-
ization, the case conceptualization influences and guides the assessment
process.
29
DIAGNOSTIC ASSESSMENT AND

CLINICAL ASSESSMENT
Consider the following scenario.
A practitioner evaluates two clients who manifest high levels of social

anxiety and avoidance. Neither communicates well with others, and
both prefer to be alone rather than engage socially. A diagnostic
assessment indicates that both clients meet criteria for the same DSM
disorder. But, beyond this shared diagnosis they have very different
treatment plans. The reason is that the clinical assessments, in this
instance, a cognitive-behavioral assessment, provided very different
results. One client has few social skills. He speaks quietly and halt-
ingly, is a poor listener, and others tend to ignore or make negative
remarks about the way he speaks. The clinical assessment reveals
significant behavioral deficits. Accordingly, the treatment plan has a
more behavioral focus and emphasizes social skills training. In con-
trast, the other client listens well, can communicate adequately, and
others tend to respond favorably to him. His problem is not that he
has skill deficits but rather that he believes that he lacks social skills.
As a result, he experiences anticipatory fears of saying the wrong
things and being humiliated, and so he is likely to discount positive
comments from others. This treatment plan has a more cognitive
focus and emphasizes the client’s maladaptive beliefs. After 12 ses-
sions of tailored treatment, both clients become symptom-free and
have increased their capacity for social relatedness.
Had treatment for both clients been based on primarily on their

common DSM diagnosis—the way many treatment planning books
and software programs are based—positive treatment outcomes might
not have been achieved. The point is that diagnostic assessment and
clinical assessment differ considerably, and that effective and competent
practitioners assume that every client is unique and multifaceted.
Accordingly, they carefully assess and conceptualize clients and then
tailor interventions that target their uniqueness.
30
ASSESSMENT AND DIAGNOSTIC FORMULATIONS
Diagnostic Assessment
A diagnostic assessment is a focused assessment of the client and the cur-
rent and developmental context influencing the client. The purpose of this
assessment is to discover the answer to the question: what accounts for
the client’s concerns, distress, and/or diminished functioning for which
the client seeks therapeutic assistance? A relatively complete diagnostic
assessment interview can often be accomplished within the first 30 to 40
minutes of the initial session between client and practitioner. However,
the time frame necessary to complete such an evaluation may take con-
siderably longer depending on the client’s previous history and treatment,
sense of ease and trust of the practitioner, language facility, and other
psychological and cultural factors.
The focus of the diagnostic assessment is to gather information about
the client that is relevant to the treatment process and outcome. This
includes data on the client’s current problems, current functioning and
mental status, social, cultural, developmental, medical history and health
behaviors, and, particularly, the expectations and resources the client
brings to therapy. Since cultural factors such as cultural identity, level of
acculturation, and cultural explanatory model can influence the treatment
process, it is imperative that these factors be identified.
The value of the diagnostic assessment cannot be underestimated.
It aids the practitioner with immediate clinical considerations: is the cli-
ent’s presentation primarily psychotic, non-psychotic, or personality-
disordered, and is the client’s presentation so acute and severe that
immediate intervention such as hospitalization is required? Essentially
the diagnostic assessment is a phenomenological description and cross-
sectional assessment of the client in terms of diagnostic criteria. It lends
itself to establishing a five axes DSM-IV-TR diagnosis (American Psychi-
atric Association, 2000) as well as addressing immediate treatment con-
siderations and disposition based on acuity, severity, and concerns about
safety issues.
Clinical Assessment
While the diagnostic assessment is useful in establishing a diagnosis
based on a client’s symptoms and behaviors which match DSM criteria,
a diagnosis does not provide an in-depth understanding of the client. A
standard diagnostic assessment will not identify the personality dynamics
nor the relational dynamics that activated that particular set of symptoms.
31
Nor will it specify why or how these symptoms began when they did,
nor what maintains them. On the other hand, a clinical assessment can
provide such an understanding. Accordingly, the clinical assessment, also
known as theory-based assessment, is a valuable component of a compre-
hensive assessment strategy. Six such assessments can be described.
Biopsychosocial Assessment
Biopsychosocial assessment focuses on the identification of relevant bio-
logical, psychological, and social factors. A factor is relevant to the extent
to which it offers an explanation for the client’s symptoms and function-
ing. Biological factors include health history, health status, substance use:
alcohol, illicit drugs, nicotine, caffeine. Psychological factors include adap-
tive and maladaptive beliefs, emotions and emotion regulation, behavior
excess and deficits, as well as skill deficits. Social factors include fam-
ily dynamics, friends, social support, environmental factors, and work
demands.
Cognitive-Behavioral Assessment
The type of information gathered in a theory-based assessment differs
depending on the specific theoretical orientations. For instance, CBT-
based assessment emphasizes cognitions and behaviors. It focuses on
questions such as: What particular maladaptive thoughts or beliefs lead to
the client’s specific emotional and behavioral problems? How do problem-
atic emotions and behavior feedback into the maintenance of maladap-
tive thoughts and beliefs (Ledley, Marx, & Heimberg, 2005)? Assessing
such clinical information is essential in developing a CBT-based case
conceptualization.
Dynamics Assessment
In dynamically-oriented approaches, such as Brief Dynamic Psychother-
apy, the focus of inquiry is more likely to be on eliciting a story or narrative
of recurrent maladaptive interpersonal patterns that reflect dysfunctional
mental working models and their reenactment in the therapeutic alliance
(Binder, 2004). Accordingly, identifying the cyclical maladaptive pattern
is essential to the dynamic case conceptualization as well as providing a
treatment focus (Levenson, 1995).
32
Solution Focused Assessment

In contrast to Biopsychosocial, Cognitive-Behavioral, and Brief Dynamic
assessment, Solution Focused assessment emphasizes solutions and
attempted solutions. Accordingly, they pose questions such as: What have
you tried? How did you do that? Exactly what did you say? Did it work?
(Quick, 2008, 2012).
Adlerian Assessment
In Adlerian assessment the focus is primarily on the identification of
life style convictions, i.e., maladaptive beliefs and schemas, and on fam-
ily pattern and dynamics. This can be accomplished with such assess-
ment devices as the elicitation of early recollections, family constellation,
and other indicators of life style convictions (Dinkmeyer & Sperry,
2000). Such information is essential in constructing an Adlerian case
conceptualization.
Integrative, Pattern-Focused Assessment

Finally, in the integrative model, the basis for this book, assessment is
pattern-focused. This means that the principal focus of clinical assess-
ment is pattern identification while the primary treatment outcome is pat-
tern change (Sperry, Blackwell, Gudeman, & Faulkner, 1992; Sperry, 2005,
2010). By identifying the sequence of the client’s presenting symptoms or
concern, its precipitants or triggers and pattern when activated, result in
the client’s response. The heart of the case conceptualization is the client’s
pattern, and treatment endeavors to shift the client’s maladaptive pattern
to a more adaptive pattern.
DIAGNOSTIC FORMULATION
The diagnostic formulation is a descriptive appraisal of the client’s pre-

sentation, precipitants, and reflects the client’s pattern. It answers the
“What happened” question. It is a phenomenological description as well
as cross-sectional assessment of the client’s unique situation and pattern.
This formulation is based on both a diagnostic assessment and a clinical
assessment.
33
Key Elements of the Diagnostic Formulation

1. Presentation
Presentation refers to the client’s characteristic response to pre-
cipitants. Presentation, also called the presenting problem, includes the
type and severity of symptoms, personal and relational functioning or
impairment, and its history and course. It also includes medical and DSM
diagnoses.
2. Precipitant
Precipitants refer to the triggers or stressors that activate the pattern
resulting in the presenting problem or concern. Another way of saying
this is that precipitants are antecedent conditions that coincide with the
onset of symptoms, distressing thoughts, or maladaptive behaviors. A
precipitant can be identified by considering the factors present at the onset
and first manifestation of the problem or concern: where did it occur, at
what time, who was there, what was said and done, what happened next,
and so on.
3. Pattern
A pattern is a succinct description of a client’s characteristic way of
perceiving, thinking, and responding. It links the client’s presentation
with the precipitant, and makes sense of the situation. Patterns are driven
by the client’s predispositions and reflect the client’s perpetuants. A pat-
tern can be adaptive or maladaptive. An adaptive pattern reflects a per-
sonality style that is flexible, appropriate, and effective, and is reflective
of personal and interpersonal competence. In contrast, a maladaptive
pattern tends to be inflexible, ineffective and inappropriate, and causes
symptoms, impairment in personal and relational functioning, and
chronic dissatisfaction. If the maladaptive pattern is sufficiently distress-
ing or impairing, it can be diagnosed as a personality disorder.
A pattern may be situation-specific or longitudinal. A situation-specific

maladaptive pattern is an explanation that is unique to the current situa-
tion only. On the other hand, a longitudinal pattern is an explanation that
is common to the current as well as to previous situations. In other words,
it reflects a lifelong pattern which can provide a reasonable explanation or
set of reasons for the client’s situation (Sperry et al., 1992; Sperry, 2005, 2010).
The following case illustrates the distinction between these types of
patterns.
34
Jack is a 13-year-old African American male who has displayed

extreme angry outbursts and disrespect toward his mother over
the past three months. This has included physically threatening his
mother on two occasions after which the court ordered anger man-
agement counseling and family counseling. Both had little impact on
his behavior. The mother was understandably concerned and asked
the court to commit Jack to a residential treatment program. Before
acting on the mother’s request, the judge referred Jack to a clinical
psychologist for a comprehensive biopsychosocial evaluation. The
evaluation identified a situation-specific pattern wherein the primary
precipitant for Jack’s threatening behavior was his mother’s rummag-
ing through his room looking for drugs and tearing up musical scores
that Jack had composed, claiming “I don’t want you to turn out like
your brother.” His brother is a rock musician who was in state prison
for selling and distributing cocaine. Jack wants to be a lead guitarist
and write music like his brother.
However, Jack neither used, experimented with, nor had drugs in
his room or anywhere else. The stepfather sides with the mother in
denigrating Jack’s music writing efforts and refuses to pay for private
music lessons. Otherwise, Jack is reasonably respectful to his parents,
is doing relatively well in school, and no other acting out behaviors
is noted with peers or school staff, nor the clinician. Noteworthy is
that Jack’s outbursts have been selective—only towards his mother—
despite the taunts of older adolescents in school and neighborhood
where Jack has been able to control his anger. In other words, there is
no indication of an ongoing and pervasive pattern of angry outburst.
Given the situation-specific pattern, a conservative treatment
strategy was planned. It involved two sessions with parents in which
the parents were apprised of the situation-specific nature of Jack’s pat-
tern and were coached on eliminating the precipitant, i.e., rummag-
ing through Jack’s room and ripping up his music. The psychologist
also assisted the parents in finding ways of engaging Jack in a less
provocative, more nurturing, but firm manner. Without such triggers
their relationship would be more like those that Jack experiences in
school. If this proved effective, no further individual or family treat-
ment would be needed, at the present time. If this is not sufficiently
effective, other interventions would be considered. In fact, the paren-
tal coaching was effective.
35
Commentary. This case demonstrates the distinction between

situation-specific and ongoing, pervasive patterns and the importance of
performing a comprehensive evaluation in arriving at a clinically useful
case conceptualization. It demonstrated the importance of accurately
specifying the key elements of the diagnostic formulation (presentation,
precipitant, and pattern). In addition, it illustrates how a treatment
plan was based on the diagnostic formulation and how reducing and
eliminating the precipitant (the mother’s provocative actions) leads to a
reduction of the presentation (Jack’s predictable acting out).
Figure 2.1 visually represents the relationship among Precipitant, Pat-
tern, and Presentation, and Table 2.1 lists and briefly defines the elements
of a diagnostic formulation.
Precipitant [ Pattern ] Presentation
Figure 2.1 Relationship of Precipitant, Pattern, and Presentation.
Constructing a Diagnostic Formulation: Case of Geri

This section illustrates how a competent practitioner begins to construct a
case conceptualization during an initial interview. The Case of Geri was
introduced in Chapter 1. Briefly, Geri is a 35-year-old single African Amer-
ican who was referred for therapy because of an extended absence from
work. Segments of the transcript that follows are from the first session.
This session involved both a diagnostic assessment (to specify a diagno-
sis, identify safety concerns, and discern treatment considerations) and
clinical assessment (to identify the maladaptive pattern and construct a
Table 2.1 Elements of the Diagnostic Formulation

precipitants
Precipitant triggers that activates the pattern resulting in a
presenting problem
Pattern-maladaptive inflexible, ineffective manner of perceiving,
thinking, acting
36
diagnostic formulation). The reader will note that the practitioner’s line of
inquiry was guided by the case conceptualization in that the practitioner
asked and elicited information on the diagnostic formulation elements.
Pr: I understand that Ms. Hicks, the director of human resources at

your company referred you to me. What’s your understanding
of why we’re meeting today?
Cl: She wanted me to see you because I haven’t been feeling too
well lately.
Pr: In what way haven’t you been feeling well?
Cl: Over the past 3 weeks, I’ve been feeling pretty sad. And, I guess
it’s been affecting my work a lot. I’ve got no initiative, no desire
to get involved with anything.
The presentation is known, or at least part of it. The practitioner then

focuses on identifying a precipitant or triggering event.
Pr: So this all started about 3 weeks ago?

Cl: Yeah.
Pr: What was going on that time?
Cl: Well, my supervisor said there was an opening for a senior
administrative assistant in the vice president of sales’ office. She
said she recommended me for the job and I should be ready to
move to the executive suite in a week. (pause). The last thing I
would ever do is to switch to another office and work for some-
one I don’t know. (exhales and sights). Even if there’s a promo-
tion and raise that goes with it.
Pr: It sounds like that news deeply affected you.
Cl: Yeah. It’s like the bottom fell out of my world right then.
Pr: What did it mean for you?
Cl: Feeling safe is more important for me than a promotion and a
raise.
The practitioner is momentary taken back by what he hears. Whereas

many would be happy with the prospect of a promotion and raise, this
client experiences just the opposite, she becomes depressed and isolative.
At this point there is a presentation (depression and withdrawal) and a
precipitant (talk of a promotion). From these two elements the practitioner
derives a tentative pattern, i.e., she “withdraws when she perceives she is
unsafe.” The pattern is tentative and is subject to modification based on
37
additional information. Additional inquiry can also determine whether

this pattern is situational or long standing.
Commentary. Here is how the practitioner came to specify Geri’s

pattern. His questions and inquiry was guided by an understanding of
the clinical value of identifying the elements of the diagnostic formulation.
In the process of eliciting them, he recognized that Geri’s interpersonal
direction or movement was away from others. Avoidance and withdrawal
are very common forms of moving away from others. She also said that
“feeling safe is more important …” Then, he put the two ideas together,
“withdrawing to feel safe.” Next, he put the pattern together with the
precipitant and presentation: talk of a promotion which is a significant
stressor for her leads to withdrawal and depression in an individual who
appears to have a pattern of withdrawing when she feels unsafe, i.e., talk
of working for a new boss in a new location, both of which are perceived
as very threatening and unsafe.
Diagnostic Formulation for Geri

Table 2.2 summarizes the key elements of the diagnostic formulation for
Geri.
Pattern and the Integrative Case Conceptualization Model

Two basic premises are useful in understanding the integrative case
conceptualization model. The first premise is an understanding about
personality development, psychopathology, and psychotherapy. It is that
individuals unwittingly develop a self-perpetuating, maladaptive pat-
tern of functioning and relating to others (personality development).
Table 2.2 Diagnostic Formulation: Case of Geri
Presentation increased social isolation and depressive symptoms

Precipitant her reaction to an impending job promotion and
transfer out of a close-knit work group
Pattern-maladaptive withdraws when she perceives she is unsafe
[DSM Diagnoses I. Major Depressive Disorder; II. Avoidant
Personality Disorder]
38
Inevitably, this pattern underlies a client’s presenting issues (psycho-

pathology). Effective treatment always involves a change process in which
the client and practitioner collaborate to identify this pattern, break it, and
replace it with a more adaptive pattern. At least two outcomes result from
this change process: Increased well-being and resolution of the client’s
presenting issue (psychotherapy).
The second premise is that pattern change is at the heart of the case
conceptualization process. Pattern is the predicable, consistent, and self-
perpetuating style and manner in which individuals think, feel, act, cope,
and defend themselves (Sperry, Brill, Howard, & Grissom, 1996; Sperry,
2006). Pattern change involves three processes: (a) identify the maladap-
tive pattern, (b) relinquish the maladaptive pattern and replace it with a
more adaptive pattern, and (c) maintain the adaptive pattern (Beitman &
Yue, 1999). Figure 2.2 depicts this model.
Pattern Indentification Pattern Change Pattern Maintenance
Figure 2.2 Model of the Pattern Change Process.
Pattern and Case Conceptualization

The pattern change process will be reflected in a clinically useful case
conceptualization. Pattern identification is the process of elucidating the
client’s maladaptive pattern and is the realm of the diagnostic formulation.
Explaining how the maladaptive pattern developed and is maintained is
the realm of the clinical formulation and cultural formulation, while a plan
for replacing it with a more adaptive pattern is the realm of the treatment
formulation.
Relational Styles, Personality Styles, and Patterns

Some time ago Alfred Adler and Karen Horney observed that all behavior
can be understood as movement in social contexts. Four kinds of move-
ment are possible: toward, away from, against, or ambivalent, e.g., toward
and against (Sperry, 2011). These types of movement can be thought of
as relational styles. They also are representative of distinct personality
styles. Personality styles are enduring patterns of perceiving, relating to,
and thinking about oneself and others that are exhibited across a wide
39
Table 2.3 Relational and Personality Styles of the Five Case
Case Relational Style Personality Style/Disorder

Geri moves away avoidant
Antwone moves against narcissistic/paranoid
Maria moves toward dependent
Richard moves against narcissistic
Joan ambivalent—toward and against obsessive–compulsive
range of personal and social contexts. When these patterns are flexible
and adaptive they are called personality styles, but when they are inflex-
ible, maladaptive and result in considerable impairment and distress they
are called personality disorders. Since patterns, relational styles, and per-
sonality styles are integrally related, knowing a client’s movement or rela-
tional style is indicative of their personality style or disorder.
Clients’ names from the five cases—introduced in Chapter 1 and
appearing throughout the rest of the book—are listed in Table 2.3 along
with corresponding relational styles and personality styles.
The Centrality of Pattern in the Integrative

Case Conceptualization Model
Pattern and pattern change are central constructs in the integrative case
conceptualization model. In fact, the five case conceptualizations meth-
ods highlighted in this book all emphasize the construct of pattern, or
are receptive to it. For example, “cyclic maladaptive pattern” is a central
construct in the Brief Dynamic Psychotherapy approach, and “schema-
driven patterns” is a key part of the Cognitive-Behavioral approach
(Young, Klosko, & Weishaar, 2003). In the Adlerian approach, the desig-
nation life plan or pattern is used synonymously with the life-style, and
in the Solution-Focused approach, exceptions and solutions represent
adaptive behaviors and solution amplification represents an adaptive
pattern. Finally, the hallmark of the Biopsychosocial approach is that it
is sufficiently pluralistic to incorporate constructs from all theoretical
approaches (Sperry et al., 1992). Clearly, this includes “pattern.”
40
CONCLUDING COMMENT
An accurate and productive comprehensive assessment is critical in con-

structing and utilizing a case conceptualization. Such an assessment
involves both a diagnostic assessment and a clinical or theory-based
assessment. While many trainees conduct an initial assessment by ask-
ing a long list of predetermined questions, a more productive compre-
hensive assessment is one that is informed by the case conceptualization,
particularly the diagnostic formulation. We illustrated how the case con-
ceptualization can effectively guide the assessment process in eliciting
the elements of the diagnostic formulation. The case conceptualization
also guides the construction of the clinical formulation and the cultural
formulation. Both of these components of the case conceptualization are
the focus of the next chapter.
REFERENCES

Beitman, B., & Yue, D. (1999). Learning psychotherapy. New York, NY: Norton.
Binder, J. (2004). Key competencies in brief dynamic psychotherapy: Clinical practice
beyond the manual. New York, NY: Guilford.
Dinkmeyer, D., & Sperry, L. (2000). Counseling and psychotherapy: An integrated,
individual psychology approach. Upper Saddle River, NJ: Prentice Hall.
Ledley, D., Marx, B., & Heimberg, R. (2005). Making cognitive-behavioral therapy
work. New York, NY: Guilford.
Levenson, H. (1995). Time-limited dynamic psychotherapy. New York, NY: Basic
Books.
Quick, E. (2008). Doing what works in brief therapy: A strategic solution focused
approach, 2nd ed. New York, NY: Academic Press.
Quick, E. (2012). Core competencies in solution-focused and strategic therapy: Becom-
ing a highly competent solution-focused and strategic therapist. New York, NY:
Routledge.
Sim, K., Gwee, K., & Bateman, A. (2005). Case formulation in psychotherapy:
Revitalizing its usefulness as a clinical tool. Academic Psychiatry, 29, 289–292.
Sperry, L. (2006). Cognitive behavior therapy of DSM-IV-TR personality disorders, sec-
ond edition. New York, NY: Routledge.
41

Sperry, L. (2011). Personality disorders: A quick and reliable strategy for screen-
ing and diagnosing axis II disorders. In H. Rosenthal (Ed.), Favorite counseling
and therapy techniques, second edition (pp. 291–298). New York, NY: Routledge.
Sperry, L., Blackwell, B., Gudeman, J., & Faulkner, L. (1992). Psychiatric case formu-
lations. Washington, DC: American Psychiatric Press.
Sperry, L., Brill, P., Howard, K., & Grissom, G. (1996). Treatment outcomes in psycho-
therapy and psychiatric interventions. New York, NY: Brunner/Mazel.
Young, J., Klosko, J., & Weishaar, M. (2003). Schema Therapy: A practitioner’s guide.
New York, NY: Guilford.
42
3
Explanations and Clinical
and Cultural Formulations
As noted in a previous chapter, a clinical formulation is one of the four
dimensions of a case conceptualization. It provides an explanation of
the client’s presentation, and offers a rationale for the client’s symptoms,
concerns, level of functioning, and maladaptive relational pattern. It
answers the “why” question. The cultural formulation likewise provides
an explanation for the client’s presentation but from a different perspective
than the clinical formulation. It describes impact of cultural factors on the
client and answers the “what role does culture play” question. The cultural
formulation provides a cultural explanation of the client’s presentation
as well as the impact of cultural factors of the client’s personality and
level of functioning. This chapter focuses on both these dimensions of
the case conceptualization. It describes the clinical formulation and its
key elements, and illustrates these with case material. Then, it describes
the cultural formulation and its key elements, and illustrates these with
case material. As a prelude to this discussion, we will briefly describe
explanations and explanatory power and the reasoning processes involved
in constructing case conceptualizations.
EXPLANATIONS AND EXPLANATORY POWER
Explanations are central to the conceptualization process. An explanation

is the practitioner’s hypothesis (or set of hypotheses) and best guess for
43
understanding a client’s maladaptive pattern and the cause or causes of

a client’s presentation. The value of a case conceptualization, particularly
the clinical formulation component of it, is the degree to which the clinical
formulations offers an accurate and compelling explanation of why
clients act, think, perceive, and feel the way they do. The degree to which
formulations sufficiently explain a pattern is referred to as its explanatory
power. Explanatory power can range from “poor” to “highly compelling.”
It does not seem to be a function of a particular approach, which means
that there is no theoretical approach that best explains the patterns and
presentations of all clients.
As trainees and practitioners become more competent and confident
in constructing case conceptualizations, they realize that not every case
conceptualization is as compelling as another. Another way of saying this
is that a case conceptualization can have varying degrees of explanatory
power ranging from low to very high. At a case conference, when trainees
are asked: “Does this case conceptualization offer an adequate explana-
tion for the ‘Why’ question?” and the response is: “Not really” it would be
reasonable to discuss the explanatory power of the case conceptualization
and if it is low, how it can be increased.
Explanatory power is a function of the accuracy and “fit” of the clini-
cal formulation between the explanation offered and data from a particu-
lar case. Although some therapeutic approaches may state or imply the
superiority of their case conceptualization method over other methods,
the reality is that because individuals and the contexts in which they live
and relate are sufficiently unique and complex, no single case conceptu-
alization method can provide the best explanations for all cases. Never-
theless, a given case conceptualization method may provide a fuller and
more compelling explanation, and thus more explanatory power, than
another case conceptualization model.
REASONING PROCESSES
IN CASE CONCEPTUALIZATION
Generating viable explanations involves two reasoning processes that are

central in completing an assessment and a case conceptualization (Sperry,
2005). They are deductive and inductive reasoning, and forward and
backward reasoning.
44
EXPLANATIONS AND CLINICAL AND CULTURAL FORMULATIONS
Deductive Reasoning Process

Deductive reasoning involves reasoning from the general to the specific.
This reasoning process is essential in completing a diagnostic assessment
as well as completing the diagnostic formulation component of the case
conceptualization. Accordingly, arriving at a DSM diagnosis is an example
of deductive reasoning. It is a process that involves collecting data about
symptomatic distress and impaired functioning, ordering this data into
criteria, and matching these criteria to a single diagnostic category. In
other words, the diagnosis (the general) provides order and meaning
to symptoms matching criteria (the specifics). For instance, a client who
presents with the specific symptoms and who meets the following criteria
would qualify for the diagnosis of social anxiety disorder: (a) marked fear
of exposure to the possible scrutiny of others, (b) avoidance of situations
in which such scrutiny may occur, (c) marked fear of exposure to
unfamiliar people, (d) responds with intense anxiety or panic when facing
such exposure, (e) recognition that their fear is excessive and irrational,
and (f) become socially isolative as a consequence of the fear (American
Psychiatric Association, 2000). In short, the deductive reasoning process
proceeds from the general to the specific.
Inductive Reasoning Process

In contrast, inductive reasoning involves reasoning from the specific
to the general. This reasoning process is essential in the process of
recognizing patterns and developing the clinical, cultural, and treatment
formulation components of a case conceptualization. The more data that
is available, i.e., symptoms, social, and developmental history, etc., the
more complex and difficult it can be to develop and feel confident about
a clinical formulation. The reason is that deriving a clinical formulation
requires inductive reasoning. Unlike deductive reasoning, the inductive
reasoning process involves synthesizing and drawing inferences from a
group of seemingly unrelated bits of data about symptoms, functioning,
and history, a single unifying concept, theme, or pattern that connects
all that disparate data into a meaningful explanation of why the client is
experiencing these particular problems in this particular context at this
particular time.
Imagine that you are playing a mind game that involves speculation.
You will be given a series of clues—in the guise of items—and are asked
45
to offer a series of guesses as to what they ultimately represent. First,

you are given an iPod and a phone charger. You speculate their link or
commonality is electronic devices. Then you are given a book of cross-
word puzzles. Finding a commonality is a bit more challenging, but after
a moment’s reflection you conclude: things that entertain and pass the
time. Next you receive a map and a bottle of water. The task has become
much more difficult, but you infer a more abstract guess or formulation:
they are both inanimate objects. Two other clues are then given: two par-
ents and three children. It then occurs to you that the concept that links
all these items together is family trip but instead of saying this out loud,
you look for other information that could confirm, deny, or modify this
inference. Ten other clues are given, including snacks, sunglasses, and
hand wipes. Each of these adds to your tentative inference of a family trip,
because, in each instance, the clues are consistent with or confirm your
guess. You now confidently voice your answer: “family trip” and win the
game! For many, the prospect of finding a common meaning among 15
or more discrete pieces of data might be daunting and even maddening.
That is why having a theoretical framework aids the process of develop-
ing a clinical formulation. Not only does a theoretical framework provide
a way of meaningfully linking collected data together, it provides a map
for eliciting and attending to selected pieces of data while ignoring other
data. For instance, imagine that the theoretical framework of practitioner
#1 (an acknowledged master therapist) would have her elicit four pieces
of data: parents, child, car, and map for which the linking theme is fam-
ily trip. Compare this to practitioner #2 (a beginning practicum student)
who, guided by no theoretical framework, collects all 15 pieces of data in
no particular order. As is often the case, students and practitioners with
little or no training and experience in deriving clinical formulations tend
to engage in premature closure. They might take the first three pieces of
data presented and arrive at and verbalize “things that entertain” as their
answer, an inference that is only partially accurate.
Forward Reasoning
Another way in which experts differ from trainees and practitioners in
constructing case conceptualizations is in the use of forward and back-
ward reasoning processes. Forward reasoning involves moving from data
to one or more hypotheses until a solution is achieved. This form of rea-
soning is more commonly utilized by experts. A case conceptualization
46
statement demonstrating this type of reasoning might read: “The client

reports that she became angry at her boyfriend and notes that as a child
she was quite close to her father who is described as affectionate and pas-
sive. Thus, she may expect other men to act like her father and become
confused and angry when they do not.” This statement begins with data
provided by the client and draws an inference based upon it (Eells et al.,
2011).
Backward Reasoning
In contrast, backward reasoning involves moving from a solution on the
basis of a hypothesis to finding supporting data. This form of reasoning is
more commonly utilized by trainees A case conceptualization statement
demonstrating this type of reasoning might read: “He probably is bor-
derline personality disordered, and so it is likely that he was emotionally
and sexually abused while growing up.” This statement begins with an
inference that the client has a personality disorder and then speculates
about a possible cause (Eells et al., 2011). In short, forward reasoning is
characterized by facts-to-inference reasoning while backward thinking is
characterized by inference-to-facts reasoning.
Reasoning Processes and Training

The task of synthesizing and drawing inferences from seemingly dispa-
rate pieces of data into a cohesive pattern and then into a clinically use-
ful case conceptualization is one that often seems beyond the capacity of
many trainees. While it is true that individuals with talent for analytic
thinking and synthesis tend to approach the case conceptualization pro-
cess with ease, such ability, while necessary, is not sufficient. Instruction
and practice, ongoing practice, are essential. Case conceptualization, par-
ticularly clinical formulation, is the requisite skill for effective treatment
planning (Eells & Lombart, 2003). Optimally, this competency is best
acquired through didactic instruction, supervision, and continued prac-
tice. However, this competency can also be acquired and mastered with
self-instruction, practice, and commitment. This involves ongoing study
of exemplary case conceptualizations and deliberate practice in model-
ing the requisite skills of focused inductive reasoning, inference making,
forward reasoning, pattern recognition, and then drafting versions of the
diagnostic, clinical, cultural, and treatment formulations until a sufficient
47
level of explanatory and predictive power is achieved. The next section

focuses on the clinical formulation.
CLINICAL FORMULATION
The clinical formulation is the central component in a case conceptualiza-

tion and, along with the cultural formulation, serves to link the diagnostic
and treatment formulations. The key element of the clinical formulation
is the Predisposition, which provides an explanation for the client’s mal-
adaptive pattern and links Precipitant with Presentation. This section
defines the key elements of the clinical formulation and their relationship
to key elements of the diagnostic formulation.
Elements of Clinical Formulation

Essentially, the clinical formulation is an appraisal of the client’s predis-
positions and perpetuants which offers and provides an explanation for
the client’s pattern and presenting problem (Sperry, 2010). Predispositions
and perpetuants are described and their relationship to pattern, presenta-
tion, and precipitant are visually depicted in Figure 3.1.
1. Predisposition
Predisposition, also called etiological or predisposing factors, are
all possible factors that account for and explain the client’s pattern. Eells
Predisposition
Precipitant [ Pattern ] Presentation

maladaptive
Perpetuants
Figure 3.1 Relationship among Predisposition, Pattern, Perpetuants, Precipitant,

Presentation.
48
(2010) refers to it as the “origins” of the formulation. The predisposition is

derived largely from the developmental, social, and health histories which
provide clues about likely predisposing factors, and reflect the client’s bio-
logical, psychological, and social vulnerabilities. Biological vulnerabilities
include medical history, current health status, medications, as well sub-
stance use. It also includes treatment history such as a personal or family
history of suicide and substance abuse or dependence. Psychological vul-
nerabilities include intrapsychic or intrapersonal, interpersonal, and other
psychological factors including intelligence and personality dynamics
such as personality style, maladaptive beliefs and schemas, automatic
thoughts, intermediate beliefs, resilience, self-concept, self-control, and
character structure. It also includes all behavioral deficits and excesses,
other Axis I or Axis II conditions, and self-management, problem solv-
ing, communication, relational, negotiation, and conflict resolution skills.
Social vulnerabilities include family dynamics, such as parental and sib-
ling characteristics, interaction styles, family secrets, educational achieve-
ment, religious training, sexual experiences, and early neglect and abuse,
be it verbal, emotional, physical, sexual, or financial. It also includes family
level of functioning, family stressors, separation, divorce, peer relations,
job stressors, support system, and environmental factors. For example, it
would be important to identify vulnerabilities to depression, impulsivity,
or to specific social and environmental factors such as drinking friends,
living in poverty, or working in a hostile environment.
2. Perpetuants
Perpetuants are also called maintaining factors. Essentially, perpetu-
ants are processes in which a client’s pattern is reinforced and confirmed
by both the client and the client’s environment. Perpetuants serve to “pro-
tect” or “insulate” the client from symptoms, conflict, or the demands of
others. For example, individuals who are shy and rejection-sensitive may
gravitate toward living alone because it reduces the likelihood that others
will criticize or make interpersonal demands on them. Because the influ-
ence of these factors seem to overlap, at times it can be difficult to specify
whether a factor is a predisposition or a perpetuant. These might include
skill deficits, hostile work environment, living alone, negative responses
of others, etc. Other times, predisposing factors function as maintaining
factors. For instance, an individual with an avoidant style (predisposition)
tends to engage in social isolation. By repeatedly distancing themselves
from others in order to be safe, that individual is unlikely to develop the
49
Table 3.1 Elements of a Clinical Formulation

presentation
social skills necessary for making friends, developing assertive communi-

cation, and intimate relationships, or engaging in conflict resolution. As a
result of feeling lonely and ineffective in relating to others, the individual
may unwittingly confirm her core belief that she is defective or unlovable.
Predisposition and Perpetuants are two elements of clinical formulation

and are defined in Table 3.1.
Table 3.2 depicts the predisposition elements from the clinical for-
mulations for the Case of Geri for three different therapeutic approaches:
Biopsychosocial, Cognitive Behavioral, and the Time Limited Dynamic
approaches. Note the different emphasis for each of these three
approaches. While the Cognitive Behavioral model limits the focus of its
explanation to maladaptive behaviors and cognitions, the Biopsychoso-
cial and Dynamics models have a much broader focus. For example, the
psychological dimension of the Biopsychosocial model is broad enough
to encompass the maladaptive behaviors and cognitions of the Cognitive
Behavioral model, as well as other psychological factors, such as resilience
and self-control. But while the Brief Dynamic model is broad like the Bio-
psychosocial model, it is more specific in its emphasis on interpersonal
relations and introjects, or beliefs about self.
Evaluating the Explanatory Power of a Clinical Formulation

While this book describes four of the most common theoretical-
therapeutic methods (Cognitive-Behavioral, Brief Dynamic, Solution-
Focused, and Adlerian), many practitioners utilize the Biopsychosocial
method, or some variant of it, as the basis for conceptualizing cases. An
often cited reason why practitioners use a non-theoretical method, such as
the Biopsychosocial method, is that their clinical formulation can remain
close to the actual data of the case, i.e., clients’ own words, ideas, and
explanations, and because the formulation can be more integrative and
include insights from one or more theoretical-therapeutic methods. In
50
Table 3.2 Clinical Formulations of Geri: Biopsychosocial, Cognitive Behavior

and Dynamic
Biopsychosocial
Predisposition biological. family history of depression
psychological. shy, avoidant, non-assertive
social. current: avoids situations in which she might be
criticized, rejected, or otherwise harmed;
past: experienced demanding, critical, emotionally
unavailable parents, and teasing and criticism of peers
Cognitive Behavioral
Predisposition Maladaptive cognitions. views herself as inadequate and
frightened of rejection, and views the world as rejecting
and critical but wants safe relationships; Maladaptive
schemas: defectiveness and social isolation
Maladaptive behaviors. history of being teased,
criticized, rejected, and otherwise harmed in early life;
demonstrates shyness and avoidance behavior in
situations she perceives as unsafe and prefers social
isolation to engagement with others
Brief Dynamic Therapy
Predisposition Acts of the self. feels depressed and worried about job
promotion
Acts of others toward the self. her parents, her brother,
and friends were critical of her as a child; she has a close
friend who is supportive
Expectations of others’ reaction. she expects co-workers,
friends, and family members to be judgmental, critical,
and demanding of her; she expects her new supervisor to
be critical of her work performance
Acts of the self towards the self (introject). she believes
that she is inadequate and is very self critical
Interactive countertransference. practitioner felt pulled
towards her while also feeling pushed away
other words, a practitioner can keep adding predisposing factors to build

a theory of the case that has a reasonably high explanatory power.
The Case of Antwone can be useful in evaluating the explanatory
power of a clinical formulation component of a case conceptualization.
51
You may recall that Antwone’s presentation involved enraged outbursts

and anger that was retaliatory in nature. Various precipitants are
noted in his current and past history. These include peers who taunt
him, particularly authority figures who make what he considers to be
unreasonable or arbitrary demands. He was also racially taunted and
teased about his lack of sexual experiences. Other precipitants include the
loss or abandonment of important persons such as only close friend, Jesse,
and the anticipation that he may be abandoned by his Navy psychiatrist.
Another way of saying this is that his maladaptive pattern was to strike
back when taunted or facing an actual or anticipated loss.
Here is how a practitioner might think through the clinical formula-
tion process with the goal of constructing a formulation with a reasonably
high explanatory power. The practitioner begins by considering what is
perhaps the most obvious predisposing factor: Antwone’s pervasive, early
childhood abuse history. Unfortunately, one cannot explain Antwone’s
enraged outbursts, his retaliation, or fighting simply on the basis of this
abuse history. The reason is that many individuals with such abuse histo-
ries who experience the same or similar precipitants do not consistently
and predictably respond to others’ provocations with aggression and
rage. Nor does a second predisposing factor, his abandonment experience,
increase explanatory power by much. The reason is that many individu-
als with similar abandonment experiences do react vengefully when pro-
voked. Similarly, a third predisposing factor, observing and modeling his
foster mother’s abusive behavior does not offer a reasonably compelling
explanation since many others abuse victim have observed abusiveness
but have not modeled it. The practitioner notes that all three of these pre-
disposing factors share a commonality: they are external and historical
descriptors.
The practitioner then looks for internal factors. A fourth predisposing
factor is different in that it reflects an internal disposition that is ongoing.
It is Antwone’s capacity to strike back and the experience of striking back
and seeking to avenge a perceived wrong. The practitioner recalls that
after 15 years of meekly “stuffing” his foster mother’s abuse, Antwone
reverses his pattern and pushes her back and threatened harm if she
abused him again.
Along with the first three, this factor provide a more compelling
explanation for Antwone’s behavior, as it does for the one-third of abused
individuals who then become abusers. Together, the explanatory power of
these four predisposing factors together is higher. The practitioner consid-
52
ers an additional predisposing factor, core maladaptive beliefs or schemas

from the Cognitive-Behavioral model. The practitioner reasons that some-
one with the schemas of defectiveness (belief that one is inferior, bad,
and unwanted), abuse-mistrust (belief that others can abuse and humili-
ate), and punitiveness (belief that others should be harshly punished) is
likely to strike back and avenge others who abuse and have made him feel
defective. In eliciting information on schemas, the practitioner concludes
that these three sets of schemas or maladaptive core belief are present and
that Antwone’s experience of being abused and abandoned, along with
his capacity to and experience of striking back at others, plus the core
beliefs that others’ must be punished for abusing or taunting him further
increases the explanatory power.
This case illustrates how a practitioner evaluates a provisional clinical
formulation and elicits additional material on predisposing factors to con-
struct a clinical formulation that has more explanatory power. Noteworthy
is that the practitioner initially utilized the Biopsychosocial method and
then turned to the Cognitive-Behavioral method to guide his efforts to
increase the explanatory power of his developing clinical formulation.
CULTURAL FORMULATION
The cultural formulation is the third of the four components of a case

conceptualization. Given the prominent role that cultural beliefs, values,
attitudes, and practices can play the lives of clients, highly effective
practitioners are sensitive to and routinely seek to learn additional
cultural information on their clients. Such information helps practitioner
better understand their clients’ personal coping and social resources, as
well helping them explore the various cultural issues that contribute to
client suffering and distress (Ridley & Kelly, 2007).
How effective are practitioners and trainees in developing
and using cultural formulations in their practices? In a study of
practitioners, most believed that effective practice was aided by the
use of cultural formulations. However, very few actually developed or
used these formulations to guide their clinical practice (Hansen et al.,
2006). Trainees seem to share a similar fate (Neufield et al., 2006). At
a time when cultural sensitivity is becoming the norm in the mental
health professions, developing this essential competency is no longer
53
optional for trainees and practitioners; it has, or will soon, become

mandatory. This section defi nes cultural formulations and describes
four elements useful in specifying such formulations. Then, two case
examples illustrate these four elements of a cultural formulation and
their treatment implications.
Definition of Cultural Formulation

A cultural formulation supports the clinical formulation and can inform
treatment focus and the type of interventions chosen. The cultural
formulation is a systematic review of cultural factors and dynamics
that have been described in the “Social History and Cultural Factors”
section of a clinical case report. It answers the “what role does culture
play?” question. More specifically, the cultural formulation statement
describes clients’ cultural or ethnic identity, their level of acculturation,
and their cultural explanatory mode (Sperry, 2010). It provides a cultural
explanation of the client’s condition as well as the impact of cultural
factors on the client’s personality and level of functioning. Furthermore,
it forms the basis for anticipating if cultural elements may impact the
relationship between the individual and the practitioner, and whether
culturally-sensitive treatment is indicated (GAP Committee on Cultural
Psychiatry, 2002).
Elements of a Cultural Formulation

The cultural formulation is based on four key cultural elements: cultural
identity, acculturation level and acculturative stress, cultural explanatory
model, and the impact of cultural vs. personality dynamics.
1. Cultural Identity
The cultural formulation begins to take shape during the diagnostic
assessment. As part the “Social and Cultural History” of that assessment,
the practitioner presumably elicits information on the client’s cultural
identity, i.e., sense of being defined by membership in a cultural or ethnic
group. This identification is not a demographic fact, rather it is the indi-
vidual’s self-appraisal and an indicator of their affirmation and sense of
belonging to a particular ethnic group, whether it is their original ethnic
group or to the mainstream culture. It is noteworthy that some adoles-
54
cents who come from mainland China to attend private high schools in
the United States quickly assume American names and identities claim-
ing that their mainstream peers will have difficulty pronouncing their
Chinese names. Or, a light-skinned, Haitian American client identifies
herself as Caucasian American to distance herself from what she perceives
as negative stereotypes of Haitians and African Americans. This contrasts
with a Cuban American client who states with pride that he remains loyal
to his Cuban customs, language, and food preferences. Such attitudes
influence an individual’s stated ethnic or cultural identity.
2. Acculturation and Acculturative Stress

Acculturation is the process of adapting to a culture different from
one’s culture of origin. It is a known stressor and risk factor that can affect
the health and behavior of immigrants. This contrasts with enculturation
which is the process of learning one’s own culture of origin including
its language, values, and rituals (Berry, 1997). Adapting to another cul-
ture can be problematic and stressful and is termed “acculturative stress.”
Acculturative stress is defined as stress rooted in acculturation. It differs
from more everyday life stress in that it involves acculturation-specific
issues such as ethnic identity, discrimination, cultural values, and low
cultural and second-language competence which results in psychosocial
distress (Berry & Annis, 1974; Wu & Mak, 2012). Such stress is not uncom-
mon in the acculturation process. It can be as blatant as racial remarks
about skin color or more subtle discrimination resulting from stares over
an accent or dialect when asking for direction or ordering food in a res-
taurant. It is also evident in generational differences in acculturation level
such as when children of immigrant parents are more acculturated then
their parents. Not surprisingly, this disparity in acculturation levels can
give rise to conflicts over expectations for language usage, dating, cur-
fews, career plans, and overall adherence to the rituals and values of the
family’s culture of origin.
Research indicates that psychological maladjustment is associated
with higher levels of acculturation and that sociocultural adaption or
competence serves to modulate the effects of acculturative stress (Wu &
Mak, 2012). Such sociocultural competence can be increased by language
proficiency, effective social interaction, and communication competence,
which includes knowledge and skill in intercultural communication
styles, rules, and social norms.
55
Level of acculturation can be estimated with a self-rating or practitio-

ner rating instruments. A commonly used one is the Brief Acculturation
Scale (Burnam, Hough, Karno, Escobar, & Telles, 1987). This scale consists
three items rated on a 5-point scale: client’s language (native vs. English),
generation (first to fifth), and social activities (preferences for friends–
native vs. mainline friends). It measures three levels of acculturation: low,
medium, and high, and is practitioner-rated based on interview data.
3. Cultural Explanation
A client’s explanation of the reason they believe they are experiencing
their problem or concern is very revealing as are the words and idioms
used to express their distress (Bhui & Bhugra, 2004). Practitioners should
routinely elicit a culture explanation or explanatory model, i.e., clients’
beliefs regarding the cause of their distress, condition, or impairment
such as nerves, possessing spirits, somatic complaints, inexplicable mis-
fortune, testing or punishment from God, etc. In addition, eliciting clients’
expectations and preferences for treatment, and, if indicated, past experi-
ences of healing in their culture provides useful information in treatment
planning decisions.
4. Culture v. Personality
Another consideration in developing a cultural formulation is iden-
tifying the extent of the influence and impact of cultural dynamics and
personality dynamics on the presentation or presenting problem. Person-
ality dynamics include the client’s personality style. The practitioner’s
task is to estimate the operative mix of cultural dynamics and personality
dynamics.
When the acculturation level is high, cultural dynamics may have rel-
atively little impact on the presenting problem while personality dynam-
ics may have significant impact. When acculturation level is low, cultural
dynamics may have a significant impact. Sometimes, both personality and
cultural dynamics have a similar impact. This is particularly common in
cultures in which females are expected to be dependent and subordinate
to males, and where female clients also exhibit a pronounced dependent
personality style. The importance of determining the mix of cultural and
personality dynamics is critical in decisions about the extent to which cul-
turally sensitive treatment may be indicated. Table 3.3 summarizes these
elements.
56
Table 3.3 Elements of a Cultural Formulation

Acculturation & level of adaptation to the dominant culture; stress
acculturative stress rooted in acculturation including psychosocial
difficulties
Cultural explanation beliefs regarding cause of distress, condition, or
impairment
Culture v. personality operative mix of cultural and personality dynamics
Constructing a Cultural Formulations: Illustrations

Constructing a clinically useful cultural formulation is based on these
four elements. For this reason an accurate and complete assessment of
this information is essential. Two cases illustrate differences in cultural
formulations.
In the Case of Geri the four elements of her cultural formulation are:
• identifies as a middle-class African American with limited ethnic

ties;
• highly acculturated with no obvious acculturative stress, i.e.,
prejudice;
• believes her depression results from job stress and a chemical brain
imbalance;
• personality dynamics are significantly operative.
In contrast, in the Case of Antwone, the four elements of his cultural

formulation are:
• identifies as African American;

• highly acculturated with considerable acculturative stress;
• believes his problems result from racial degradation and abuse
from his African American foster family and racial provocations by
White peers and superiors;
• both personality and cultural factors are operative.
In short, although both Geri and Antwone appear to have high levels
of acculturation, there are obvious differences in acculturative stress as
well as in explanatory models, and the mix of personality and cultural
dynamics. Presumably, culturally-sensitive treatment considerations
57
would be prominent in working with a client like Antwone but not

necessarily with a client like Geri.
CONCLUDING COMMENT
This chapter has described and illustrated both the clinical formulation
and cultural formulation components of the case conceptualization.
Both provide an explanation for the client’s presenting problem as
well as their pattern. With the increasing value placed on practitioner’s
sensitivity to diversity and cultural issues, it should not be surprising
that practitioners are increasingly expected to construct and implement
case conceptualizations that are culturally sensitive. Accordingly, this
chapter has emphasized the cultural formulation and its relationship to
the clinical formulation. A basic premise of this book is the more accurate
and compelling the clinical and cultural explanations, the more clinically
useful the case conceptualization. The next chapter will emphasize the
importance and clinical utility of the clinical formulation and cultural
formulation to the treatment formulation.
REFERENCES

Berry, J. (1997). Immigration, acculturation, and adaptation. Applied Psychology: An
International Review, 46(1), 5–34.
Berry, J., & Annis, R. (1974). Acculturative stress. Journal of Cross-Cultural Psychol-
ogy, 5(4), 382–405.
Bhui, K., & Bhugra, D. (2004). Communication with patients from other cultures:
The place of explanatory models. Advances in Psychiatric Treatment, 10, 474–478.
Burnam, M., Hough, R., Karno, M., Escobar, J., & Telles, C. (1987). Acculturation
and lifetime prevalence of psychiatric disorders among Mexican Americans
in Los Angeles. Journal of Health and Social Behavior, 28, 89–102.
GAP Committee on Cultural Psychiatry. (2002). Cultural assessment in clinical psy-
chiatry. Washington, DC: American Psychiatric Press.
Eells, T. (2010). The unfolding case formulation: The interplay of description and
inference. Pragmatic Case Studies in Psychotherapy, 6(4), 225–254.
58
Eells, T., & Lombart, K. (2003). Case formulation and treatment concepts among
novice, experienced, and expert cognitive-behavioral and psychodynamic
therapists. Psychotherapy Research, 13, 187–204.
Eells, T., Lombart, K., Salsman, N., Kendjelic, E., Schneiderman, C., & Lucas, C.
(2011). Expert reasoning in psychotherapy case formulation. Psychotherapy
Research, 21, 385–399.
Hansen, N., Randazzo, K., Schwartz, A., Marshall, M., Kalis, D., Fraziers, R., …
Norvig, G. (2006). Do we practice what we preach? An exploratory survey of
multicultural psychotherapy competencies. Professional Psychology: Research
and Practice, 337, 66–74.
Neufield, S., Pinterits, E., Moleiro, C., Lee, T., Yang, P., & Brodie, R. (2006). How do
graduate student therapists incorporate diversity factors in case conceptual-
izations? Psychotherapy: Theory, Research, Practice, Training, 43, 464–479.
Ridley, C., & Kelly, S. (2007). Multicultural considerations in case formation. In T.
Eells (Ed.), Handbook of psychotherapy case formulation, 2ed. (pp. 33–64). New
York, NY: Guilford.
Wu, E., & Mak, W. (2012). Acculturation process and distress: Mediating roles of
sociocultural adaptation and acculturative stress. Counseling Psychologist, 40,
66–92.
59
4
Treatment Planning and
Treatment Formulations
Two of the most common concerns trainees have in working with clients
are reflected in the questions: “What do I say?” and “What do I do?” While
logical, these questions can quickly get trainees lost and off track. Getting
lost and off track is common when trainees lack an accurate cognitive map
to guide them. To develop accurate cognitive maps to guide the treatment
process, trainees must first become competent at focusing, which means
knowing where to focus one’s attention when listening and observing.
One of the most useful questions trainees can ask themselves and their
supervisor is: “What should I be noticing and listening for when I talk
with this client?” The apparent magic that distinguishes master practitio-
ners from average ones lies in what each attends to and focuses on. The
better trainees get at focusing, the better practitioners they will become.
Because highly effective practitioners continually develop and refine this
art and competency over their careers, trainees should not expect to mas-
ter this competency right away. Case conceptualization is the technical
term for the therapeutic art and competency of focusing, including an
“assessment focus” which is central to the pattern recognition in the diag-
nostic formulation, and a “treatment focus” on pattern change which is
central to the treatment formulation and treatment process.
This chapter addresses the treatment formulation component of a case
conceptualization. The elements of the treatment formulation are first
described. Treatment focus and treatment strategy are then emphasized,
and seven basic treatment strategies are highlighted. Then, guidelines for
60
TREATING PLANNING AND TREATMENT FORMULATIONS
developing a treatment formulation for specifying tailored treatment are

presented. Since tailored treatment should reflect culture sensitivity, three
types of culturally sensitive treatments described. Finally, guidelines for
selecting such treatments are presented.
TREATMENT FORMULATION
This section describes the elements of the treatment formulation with an

emphasis on treatment focus and treatment strategy.
Elements of the Treatment Formulation

1. Treatment Goals
Treatment goals are specific outcomes clients expect to achieve in
their treatment. Also called therapeutic objectives and treatment targets,
treatment goals form the basis for the work a practitioner and the client
do together. Clinically useful treatment goals are measurable, achievable,
and realistic, and are effective to the extent they are mutually agreement
upon and the client understands them, commits to them, and believes
they that are attainable. Goals can be either short- or long-term. Typical
short-term goals are symptom reduction, increased relational function-
ing, return to baseline functioning, and return to work. For example, the
goals may be to reduce and eventually eliminate depressive symptoms or
compulsive checking and counting behaviors. A common long-term goal
is pattern change, including personality change. In short, treatment goals
are the stated outcome of treatment. In terms of the journey metaphor,
treatment goals would represent the destination.
2. Treatment Focus
Treatment focus refers to the central therapeutic emphasis that pro-
vides directionality to treatment and aims at replacing a maladaptive pat-
tern with a more adaptive pattern. Today, treatment focus is increasingly
important as the directionality of treatment has shifted from the non-
directive dictum of “follow the client’s lead” to the accountability-based
dictum of “demonstrate positive treatment outcomes.” There is a convinc-
ing body of “empirical evidence indicating that therapist ability to track
a treatment focus consistently is associated with positive treatment out-
comes” (Binder, 2004, p. 23). Treatment focus not only provides direction
61
to treatment, it also “serves as a stabilizing force in planning and practic-

ing therapy in that it discourages a change of course with every shift in
the wind” (Perry, Cooper, & Michels, 1987, p. 543). Unlike most trainees
and many practitioners, highly competent and effective practitioners excel
at establishing and maintaining a productive treatment focus.
In our integrative case conceptualization model, treatment focus is a
key element. In the journey metaphor, treatment focus is represented by
a map or GPS directions of the best route or track. Establishing a treat-
ment focus symbolizes getting on track while maintaining the treatment
focus represents staying on track. This treatment focus metaphor is very
clinically useful because it reminds the practitioner to keep answering the
question: “What is the best therapeutic direction to take right now?”
When working with a client’s situation, the practitioner can take at
least three different directions or tracks: (a) ask a string of factual ques-
tions in hopes of finding the “right” direction, (b) free-form it and go wher-
ever the conversation leads; called “following the client’s lead,” or (c) head
toward the destination, i.e., the treatment goal. Trainees commonly take
the first or second tracks or both, and seldom take the third track in which
they therapeutically process the situation and effect change.
A common scenario for trainees is to get lost or sidetracked in an
unproductive discussion with clients. For example, a client reports that
she had intended to do the mutually agreed upon homework assignment
but ended up doing something else instead. The trainee then asks several
factual questions about the circumstances. While collecting more data
about the situation, the trainee has unwittingly colluded with the client’s
maladaptive pattern of making excuses instead of taking action. After
running out of excuses, the client shifts to another topic and says she was
really depressed (or anxious) yesterday after which the trainee proceeds
again down the first or second track. Soon the session comes to an end and
no progress has been made and no change has been effected.
However, trainees and practitioners can take the third track. If they
are guided by a specific therapeutic approach, the direction question has
already been answered and specific guidelines given for how to process
a situation therapeutically. For instance, in working with a client who
failed to do agreed upon homework, the Cognitive-Behavioral approach
is clear about directionality: focus on troublesome situations which are
triggered or exacerbated by the client’s maladaptive beliefs or behaviors.
Here, the practitioner recalls from the case conceptualization that the cli-
ent’s core belief is that she is inadequate and worthless, and that one of
62
Table 4.1 Treatment Focus in Five Therapeutic Approaches
Biopsychosocial troublesome situations triggered or exacerbated by

biological, psychological, and/or sociocultural
vulnerability(ies)
Cognitive-Behavioral troublesome situations triggered or exacerbated by
maladaptive beliefs and/or behavior
Brief Dynamic troublesome interpersonal situations triggered by the
cyclic maladaptive pattern
Solution-Focused troublesome situations for which an exception or
solution can be found
Adlerian troublesome situations triggered or exacerbated
mistaken beliefs and/or discouragement
her intermediate beliefs is that if she tries and fails she will feel worthless,
so she does not try. Thus, it is not a surprise that the client did not do
the assignment and instead makes excuses. Informed by the case concep-
tualization, the practitioner can therapeutically process the maladaptive
beliefs that were activated by the homework situation. The practitioner
knew there was a treatment focus to follow. However, the practitioner still
must decide whether to follow or not follow that directive.
Table 4.1 identifies the treatment focus directive for the five therapeu-
tic approaches addressed in this book.
3. Treatment Strategy
Treatment strategy is the action plan for focusing specific interven-
tions to achieve a more adaptive pattern. The plan involves relinquishing
and replacing the maladaptive pattern with a more adaptive pattern, and
then maintaining that pattern. In terms of the journey metaphor, treat-
ment strategy represents selecting an appropriate route and vehicle that
can reach the destination in a safe and timely fashion. For example, select-
ing a town car or sedan and taking an interstate route is better suited for
driving from New York to Los Angeles in 3 days than attempting that
same journey with a motorcycle or small sports car and taking county
highways.
The most common treatment strategies are: interpretation, cognitive
restructuring, replacement, exposure, social skills training and psycho-
education, support, medication, and corrective experiences. Ordinarily, one
63
or more of these treatment strategies is associated with a given therapeu-

tic approach. For example, insight and corrective emotional experience are
associated with the Dynamic approaches, while cognitive restructuring,
exposure, and skill building are associated with the Cognitive-Behaviorial
approaches. However, some advocate that a range of treatment strategies
can be utilized to achieve treatment goals. For instance, Binder (2004) indi-
cates that treatment strategies associated with the Cognitive-Behavioral
approaches might be useful and necessary in achieving treatment goals
with some clients in Brief Dynamic Psychotherapy.
Interpretation. An interpretation is a hypothesis or guess about the

connection between a client’s thoughts, behaviors, or emotions and his or
her unconscious emotions or thoughts. Interpretations can focus entirely
on the present situations, called a dynamic interpretation, or it may sug-
gest a link between the present and the past, called a genetic interpreta-
tion (Greenson, 1967). In either instance, the client can gain a new frame
of reference and a deeper understanding of themselves and their lives.
They go beyond their overt words and offer new meaning or explanation
(Beitman & Yue, 1999). Insight is central to Psychoanalytic psychotherapy
and insight is achieved with the sequence: clarification –> confrontation
–> interpretation –> clarification –> confrontation –> interpretation, and
so on. “Working through” is the process of repeating the sequence until
the interpretation is accepted and internalized. Clearly, interpretation is
central to this sequence. While the interpretation is primarily associated
with the Dynamic approaches, interpretations are also used in various
other approaches including Jungian therapy, Existential therapy, Feminist
therapy, and Adlerian psychotherapy. While interpretation in Dynamics
approach suggest a causal connection between the past and the present,
in the Adlerian view of interpretation the practitioner links the “past and
present to indicate the continuity of the maladaptive life style, not to dem-
onstrate a causal connection” (Mosak, 2005, p. 74).
Cognitive Restructuring. Cognitive restructuring is a one of the basic

cognitive strategies for helping clients identify, challenge, and mod-
ify maladaptive and distorted beliefs so they become more adaptive
(Meichenbaum, 1977). Cognitive restructuring is often considered the
first step when using Cognitive-Behavioral strategies. It assists clients in
becoming aware of automatic thinking patterns and their influence on
self and others; changing the way they process information and behav-
64
ior; and learning to modify their beliefs about self, others, and the world.
There are various techniques utilized in restructuring such beliefs which
include: guided discovery, Socratic questioning, examining the evidence,
cognitive disputation, reattribution, i.e., modifying the attributional style,
and cognitive rehearsal (Wright, Basco, & Thase, 2006).
Replacement. An alternative to restructuring maladaptive beliefs (and

modifying maladaptive behaviors) is to replace maladaptive or unhelpful
thoughts or interpretations and behaviors with more adaptive and help-
ful one, i.e., thoughts and behaviors which are more likely to achieve the
client’s desired outcomes. Use of the replacement strategy is so common
that most practitioners are unlikely to recognize using it. For example,
with insufficient time in the session to process a new issue with cognitive
disputation, a practitioner might say “The next time when no one is call-
ing you to do something and you are starting to feel sorry for yourself and
tell yourself that nobody cares about you, what you could do instead?”
The practitioner is asking the client to come up with a replacement behav-
ior (“I’ll get on the phone and call Fred or Jack”) and/or a replacement
thought (“Because when I talk to them I’ll realize that others really do care
about me”). For many clients who are not responsive to cognitive restruc-
turing interventions such as cognitive disputation, replacement can be
an effective intervention. While it is the principal treatment strategy in
Cognitive-Behavior Analysis System of Psychotherapy (McCullough,
2000), replacement is common across several therapeutic approaches,
most notably in Cognitive Therapy, Solution-Focused Therapy, and Adle-
rian psychotherapy.
Exposure. Exposure is a treatment strategy that involves intentional and

prolonged contact with a feared object combined with actively blocking
undesirable avoidance behaviors. The exposure strategy involves the pro-
cess of habituation. Habituation is a form of learning wherein an individ-
ual will stop responding or attending to a stimulus (e.g., thought, object,
place, people, or action) as a result of repeated exposure. During expo-
sure treatment, the client is confronted with a stimulus which has previ-
ously elicited an unwanted behavior or emotional response. Even though
the client will experience increased anxiety in the short term, in the long
term, repeated and incremental exposure to that feared stimulus in vivo
(live), or in the client’s imagination, anxiety, and the avoidance response
is extinguished because of the principle of habituation. There are a variety
65
of exposure techniques which can be employed including: systematic

desensitization, guided imagery, flooding, and implosion (Goldfried &
Davison, 1994).
Support. This strategy assists clients to function better by providing

safety, acceptance, and caring (Winston, Rosenthal, & Pinsker, 2004). The
practitioner provides a supportive environment for clients to reflect on
their life situation and feel safe and cared for while relieving symptoms
or assisting clients to live with them rather than attempt personality or
pattern change. Instead it reinforces adaptive patterns of thought and
behaviors in order to reduce stress and conflicts. This supportive relation-
ship is critical in helping clients cope better, even if they cannot change
the problems they are facing. It helps cope with the challenges of daily
life and is especially useful for dealing with long-term problems that are
difficult to change. This strategy integrates psychodynamic, Cognitive-
Behavioral, and interpersonal techniques, and is part of a therapeutic
approach known as supportive therapy (Winston et al., 2004).
Psychoeducation and Social Skills Training. Psychoeducation is a

broad treatment strategy of educating and training individuals experienc-
ing psychological disturbance to increase their knowledge, coping capac-
ity, and skills required to solve their presenting problems. Skill deficits
may be noted in areas such as assertiveness, problem solving, communi-
cations, friendship skills, feeling identification and expression, empathy,
negotiation, and conflict resolution (Goldfried & Davison, 1994). There
are various means by which clients can be helped to learn new and more
adaptive interpersonal skills patterns such as assertive communication.
Skill training can occur in both individual and group therapeutic contexts
and typically employs a mix of interventions including: instruction, role-
playing, modeling, feedback, social reinforcement, and practice (Alberti,
1977; Goldfried & Davison, 1994). Common interventions utilizing the
skills training strategy include assertiveness training, problem-solving
training, and communication skills training.
Medication. Medications for psychiatric conditions are called referred

to as psychotropic medication. Psychotropic medications are chemical
substances that influence several brain functions including perception,
pain, mood, consciousness, cognition, and behavior. There are basi-
cally four classes of such medication: anxiolytics, which target anxiety
66
symptoms; antidepressants, which primarily target depressed moods

and secondarily anxiety, and other symptoms; anti-manics, which target
mania; and antipsychotics, which target psychotic symptoms. Used alone,
such medication can effectively reduce symptoms but is seldom a cure.
Because medications produce side effects and long-term usage can result
in medical complications and conditions such as diabetes, heart disease,
and obesity, medication monitoring is essential. The use of psychotropic
medication is increasing largely because insurers and health maintenance
organizations consider medication to be more cost-effective than psycho-
therapy alone. However, recent research indicates that the combination of
medication and psychotherapy is actually more cost effective over the long
run. For example, several studies have found that when antidepressant
medication is used in conjunction with Cognitive-Behavior therapy, the
combination is more effective than either strategy alone in the long-term
treatment of depression (Arnow & Constantino, 2003). The psychotherapy
can be provided by the prescriber or, more commonly, by a practitioner
who works in collaboration with the prescriber.
Corrective Emotional Experience. The treatment strategy of correc-

tive emotional experience is based on the assumption that insight alone
is insufficient to effect a change in a client behavior. Instead, true change
is more likely to occur when insight is followed with a corrective expe-
rience. Corrective emotional experience involves re-exposing a client,
under more favorable circumstances, to emotional situations which she
could not handle in the past (Alexander & French, 1946). Historically, cor-
rective emotional experience referred specifically to the positive effects
of experiencing the discrepancy between how clients expected a practi-
tioner to react to them regarding an important life issue or event, e.g.,
critical, and how the practitioner actually responded to them about issue
or an event, e.g., supportive. Today, corrective experience has a more
general meaning. It refers to all aspects of the therapeutic process that
allow clients to experience an unexpected form of relational interaction
than can help in healing a previously maladaptive pattern. Practitioners
can employ one or both of these understandings of the corrective emo-
tional experience in therapy, i.e., they can foster a corrective experience by
actively processing clients’ specific relational expectations, or in a more
general way they can foster a caring, positive therapeutic alliance (Lev-
enson, 1995). The value of this more general understanding should not be
underestimated. Experiencing a practitioner’s caring, empathy, concern,
67
and unconditional acceptance may be the first and most important cor-
rective emotional experience in the lives of many clients. This experience
can continue to occur throughout the therapeutic process as practitioners
responding to them in a manner that is respectful, accepting, caring; often
the opposite of their own parents or parental figures. Furthermore, cor-
rective emotional experiences can occur outside therapy as clients begin
discovering that, because of their corrective experiences with their prac-
titioners, others respond to them differently than in the past. In short, the
genuine relationship between clients and practitioners, and its constancy,
often serve as an ongoing corrective emotional experience which can gen-
eralize to others.
4. Treatment Interventions
A treatment intervention is a therapeutic action designed to positively
impact a client’s issue or problem. Treatment interventions are selected
based on the treatment targets and the willingness and capacity of the
client to proceed with the intervention. While there are hundreds of
treatment interventions, effective treatment outcomes involving pattern
change, require the selection of interventions that operationalize the treat-
ment strategy. With regard to the journey metaphor, treatment interven-
tions represents trip provisions such as the right grade of fuel, tires that
are appropriate for the terrains, and sufficient food, water, and money.
5. Treatment Obstacles and Challenges

Obstacles and challenges to treatment are many. Such obstacles may
originate from the client, practitioner, client-practitioner, or factors in the
treatment process itself. A full discussion of these factors is beyond the
scope of this chapter, and the interested reader can consult Chapters 4–7
of Sperry (2010). Anticipating obstacles challenges to the implementation
of the treatment plan is indispensable in achieving treatment success. The
test of an effective case conceptualization is its viability in predicting the
obstacles and challenges throughout the stages of therapy, particularly
those involving resistance, ambivalence, transference enactments, and
issues that complicate maintaining treatment gains and preparing for ter-
mination (Sperry, 2010).
Knowledge of the client’s personality style and maladaptive pattern
is invaluable in anticipating obstacles. For example, a client with depen-
dent and avoidant features can be anticipated to have difficulty discuss-
ing personal matters and, test and provoke practitioners into criticizing
68
her for changing or canceling appointments or being late. It is likely that

she will procrastinate, avoid feelings, and otherwise test the practitioner’s
trustability. However, once trust in is achieved, she is likely to cling to the
practitioner making termination difficult unless her social support system
is increased. In terms of the journey metaphor, treatment obstacles and
challenges are represented anticipated route closures, detours, accidents,
weather, and terrain. In contrast, clients with a passive-aggressive pattern
or a high level of reactance might demonstrate ambivalence or resistance
when certain expectations are communicated. Also considered would be
the client’s early relational conflict or trauma and the likelihood that trans-
ference enactments will occur. Clients who have never experienced suc-
cess in making small personal changes suggest failure-proneness, which
will likely be operative in therapy, unless these failure-prone dynamics
are directly addressed. Furthermore, clients who have difficulty saying
good bye or have experienced unexpected loss of significant others will
likely find termination most difficult.
6. Treatment-Cultural
Informed by the cultural formulation, the practitioner can decide
whether and if cultural factors are operative and whether culturally sen-
sitive treatment is indicated. If culturally sensitive treatment is indicated,
the practitioner must then select among cultural intervention, culturally
sensitive therapy, or culturally sensitive interventions and then plan how
these interventions can be incorporated with other interventions speci-
fied in the treatment plan. A subsequent section of this chapter discusses
guidelines for incorporating culturally sensitive treatments.
7. Treatment Prognosis
Treatment prognosis is a prediction of the likely course, duration,
severity, and outcome of a condition or disorder, with or without treat-
ment. A prognosis can be given before treatment begins to allow the client
the opportunity to weigh the benefits of different treatment options. Some
practitioners also offer a prognosis based on whether anticipated treat-
ment obstacles and challenges are surmounted. Prognoses range from
excellent, good, fair, guarded, to poor.
In terms of the journey metaphor, prognosis is the likelihood of a safe
arrival at destination within the anticipated time frame. Table 4.2 summa-
rizes these seven elements.
69
Table 4.2 Elements of a Treatment Formulation
Treatment pattern flexible, effective manner of perceiving, thinking,

acting
Treatment goals the stated short and long term outcomes of
treatment
Treatment focus the central therapeutic emphasis providing
directionality to treatment that is keyed to a more
adaptive pattern
Treatment strategy the action plan and vehicle for achieving a more
adaptive pattern
Treatment interventions specific change techniques and tactics related to the
treatment strategy for achieving treatment goals
and pattern change
Treatment obstacles predictable challenges in the treatment process
anticipated from the maladaptive pattern
Treatment–cultural the incorporation of cultural intervention, culturally
sensitive therapy, or interventions when indicated
Treatment prognosis a prediction of the likely course, duration, and
outcome of a mental health condition with or
without treatment
Relationship of Treatment Formulation Elements

These seven elements may at first appear to be discrete entities in the
treatment process. The reality is that they are closely related. To the extent
which they are perceived as disconnected and unrelated, a treatment
plan of the treatment formulation will reflect this view. An objective third
party who reviews a trainee’s or practitioner’s treatment formulation with
such a disconnected view is likely to find disconnects in the treatment
plan of the treatment formulation.
There may be a disconnect between the treatment goals and the diag-
nosis and diagnostic formulation, or there may be a disconnect between
what was an otherwise coherent and reasonably compelling clinical for-
mulation and the treatment focus and strategy. Probably, the most com-
mon disconnect is between the treatment pattern and the treatment goals
and interventions. While a rather standard treatment goal for a client
with a diagnosis of depression may be reducing depressive symptoms is
70
[Treatment Challenges – Treatment Prognosis]
Treatment Interventions
Treatment Strategy Treatment Focus Treatment Goals & Pattern
Treatment -Cultural
[Treatment Obstacles– Treatment Prognosis]
Figure 4.1 Relationship of Treatment Formlation Elements.
listed and matched with treatment interventions of medication referral

and behavioral activation, the treatment goal and interventions may have
little or nothing to do with achieving the adaptive treatment pattern.
To the extent to which these treatment formulation elements are
understood as interrelated, and this is reflected in the specifics of the
treatment plan, there is increased likelihood that tailored treatment will
be planned and implemented. Figure 4.1 visually depicts relationships
among these elements.
ADAPTIVE PATTERNS, PATTERN

CHANGE, AND ORDERS OF CHANGE
Pattern change involves three steps. The first step involves modifying the
client’s maladaptive pattern by first reducing its intensity and frequency,
and the second step involves developing more adaptive patterns and
increasing their intensity and frequency. The third step is maintaining
the adaptive pattern (Beitman & Yue, 1999).
It can be clinically useful for trainees to conceptualize the change pro-
cess in terms of orders of change. While originating in the family therapy
literature, similar orders of change are being described in the psychother-
apy literature (Fraser & Solovey, 2007). The basic assertion of this perspec-
tive is that when therapy is effective, a transformation of current efforts is
needed to effect change in contrast to therapy that produces stability. For
example, an unemployed client with the diagnosis of social anxiety disor-
der might take medication that effectively reduces his anxiety symptoms
but does not replace his maladaptive pattern of fearfulness and avoidance.
71
Thus, he might fill out a job application online, but out of fear decides he
cannot tolerate the prospect of a job interview when it is offered. If medi-
cation reduces his symptoms, a degree of stability has been achieved. This
represents first order change. However, if the client is helped by the prac-
titioner to learn to face his fears and avoidance behavior directly so that
he can be interviewed, offered, and start the job, a more adaptive pattern
is achieved. These actions that reflect a more adaptive pattern represent
second order change. If this same client is able to disengage from exces-
sive fearful and anxious feelings without the assistance of a practitioner,
he has achieved third order change. This represents the ultimate goal of
therapy wherein clients function as their own their therapists.
In our own clinical and supervisory experience, we can add another
order of change. Zero order of change, if we can call it that, represents
situations when no change is effected for any number of reasons. This
situation is particularly common when trainees, often to reduce their
own anxiety about how to proceed, employ the tactic of continually ask-
ing factually-oriented questions rather than process the client’s issues or
adequately engage the client. Unfortunately, the unspoken message of
this tactic is that “I don’t know what to do and I don’t expect you will get
better.” Or, practitioners are unable to establish and maintain a treatment
focus and mutually engage the client in the change process. The result is
that clients may continue to experience symptoms, become demoralized
about their situation ever improving, or not improve because they may
not want to face the responsibilities that come with getting better such as
finding a job, returning to work, or making a relationship work. Table 4.3
summarizes the orders of change.
Table 4.3 Four Orders of Change in Treatment
Order Description
zero no change is effected and may negatively impact the treatment
process
first assist clients to make a small change or reduce symptoms or
achieve stability
second assist clients to alter their pattern
third clients learn to recognize and change patterns on their own;
“become their own therapists”
72
GUIDELINES FOR DEVELOPING

A TREATMENT FORMULATION
Here are some guidelines for developing a treatment formulation and a

treatment formulation statement.
1. Review the diagnostic and clinical formulations, noting the operative pattern,
and consider severity and acuity re: treatment mode, as well as the client’s
treatment expectations, level of readiness and engagement, etc.
The first decision involves choosing an initial treatment mode:
inpatient, intensive outpatient, partial hospitalization, residential, or
outpatient treatment. If there is any indication of self-harm or harm of
others, these must be addressed immediately. Then, proceed to review
any biological aspects in any of the factors, including the predisposing
factors. For instance, if caffeine, nicotine, or other xanthine use seems to
be triggering or exacerbating the client’s condition and symptoms, reduce
or remove them. If a medical evaluation or a medication evaluation is indi-
cated, consider making an appropriate referral and/or arrangements for
collaboration. Evaluate the extent to which social-environmental predis-
posing factors are operative that are beyond the kin of therapeutic influ-
ence and consider options. If relational or family factors are operative,
consider couples or family consultation or therapy. If the client’s treatment
expectations are potentially problematic or readiness is not at the action
stage, address these and other related matters.
2. If there is a situational pattern, meaning that there is no ongoing maladap-

tive pattern, consider addressing presentation and precipitating factors as the
initial mode of treatment.
It may well be that symptomatic distress, conflict resolution, or other
presentation might be directly be reversed by eliminating the precipitat-
ing stressor or trigger. When this is not possible or sufficiently effective,
response prevention techniques might reduce or stop the presentation, be
it symptom, conflict, or impaired functioning. Presumably, resolution will
occur. If, however, there is a reoccurrence, it may suggest that there is an
ongoing maladaptive pattern which was not identified. If so, proceed to
the third guideline.
73
3. If an ongoing maladaptive pattern is operative, specify treatment targets

which reflect treatment goals and specify a treatment focus.
Specifying treatment targets related to operative predisposing and
perpetuating factors is a common way of proceeding in therapy, perhaps in
most therapies when there is no immediate change from eliminating trig-
gers or when blocking responses is not sustainable. Thus, decisions about
selecting support, interpretation, cognitive restructuring, or exposure
strategies are typically based on client receptivity and capacity to respond
to an intervention in addition to considerations such as client resources,
need, dynamics, explanatory model, and expectations. The treatment focus
serves as a guide or action plan for the practitioner to achieve the treat-
ment goal. Typically, it is based on a conceptual map informed by the
practitioner’s theoretical orientation. For example, in the interpersonally-
oriented dynamic therapies the focus is usually the client’s maladaptive
interpersonal style or pattern while in Cognitive-Behavioral therapies the
focus is usually maladaptive thinking and behaviors.
4. Consider how interventions might be tailored and sequenced.

Decisions about tailoring and sequencing are important and cannot
be left to chance. Accordingly, consider how factors such as severity, level
of functioning, level of acculturation, skill sets, and personality dynamics
could foster or impede specific interventions. Also, consider client expec-
tations. Decisions about sequencing are based on several factors such as
access to specific treatment resources, success in achieving a particular
treatment goal, or situation-specific considerations. For example, if the
pattern is determined to be situation-specific, in which case begin by
addressing precipitating factors, and only consider other factors if there
is little or no response.
5. Anticipate potential obstacles and challenges to treatment.

Review the client’s story—including the developmental and social
history—looking for potential obstacles specifically related to the ther-
apeutic alliance, personality dynamics, or the stage of therapy and, in
general, to treatment progress. Typically, these will involve resistances,
ambivalence, transference enactments, and alliance ruptures, but they
could include predictions of difficulty with certain treatment modalities
or even termination. Foreknowledge of such potential obstacles allows
the practitioner time to plan how these challenges will be met if and
when they arise.
74
6. Write an integrative treatment formulation statement.

This statement incorporates the elements of a treatment formulation
and the psychological and social treatment goals and interventions, and
biological goals and interventions, if applicable.
CULTURALLY-SENSITIVE TREATMENTS
Three types of culturally sensitive treatment are described in this section.

Then guidelines for determining when and if to incorporate such treat-
ments are provided.
1. Cultural Intervention: An intervention or healing method or activ-

ity that is consistent with the client’s belief system regarding heal-
ing and potentially useful in effecting a specified change. Some
examples are: healing circles, prayer or exorcism, and involvement
of traditional healers from that client’s culture. Sometimes, the use
of cultural interventions necessitates collaboration with or referral
to such a healer or other expert (Paniagua, 2005). Still, a practitioner
can begin the treatment process by focusing on core cultural value,
such as respito and personalismo, in an effort to increase “clinician’s
achieved credibility,” i.e., the client’s perception that the practitioner
is trustworthy and effective.
2. Culturally-Sensitive Therapy: Culturally-Sensitive Therapy is a psycho-
therapeutic intervention that directly addresses the cultural charac-
teristics of diverse clients, i.e., beliefs, customs, attitudes, and their
socioeconomic and historical context (La Roche & Christopher, 2008).
Because they utilize traditional healing methods and pathways such
approaches are appealing to certain clients. For example, Cuento
Therapy addresses culturally relevant variables such as familismo
and personalismo through the use of folk tales (cuentos) and is used
with Puerto Rican children (Costantino, Malgady, & Rogler, 1986).
Likewise, Morita therapy which originated in Japan and is now used
throughout the world for a wide range of disorders ranging from shy-
ness to schizophrenia (Li & He, 2008). These kinds of therapy appears
to particularly effective in clients with lower levels of acculturation.
3. Culturally-Sensitive Intervention: A Western psychotherapeutic inter-
vention that has been adapted or modified to be responsive to
the cultural characteristics of a particular client. Because of their
75
structured, and educational focus, Cognitive-Behaviorial therapy

(CBT) interventions are acceptable to many cultures, and are the most
often modified to be culturally sensitive (Hays & Iwanasa, 2006). For
example, particularly in culturally diverse clients with lower levels
of acculturation, disputation and cognitive restructuring of a mal-
adaptive belief are seldom the CBT intervention of choice, whereas
problem solving, skills training, or cognitive replacement interven-
tions may be more appropriate (Sperry, 2010).
GUIDELINES FOR SELECTING CULTURALLY-

SENSITIVE TREATMENTS
Here are four guidelines for deciding if culturally-sensitive treatments are
indicated.
The guidelines assume that the client’s cultural identity, level of accul-
turation, explanatory model, and treatment expectations have been elic-
ited and that a cultural formulation was developed.
1. If a client identifies (cultural identity) primarily with the mainstream

culture and has a high level of acculturation and there is no obvious
indication of prejudice, racism, or related bias, consider conventional
interventions as the primary treatment method. However, the prac-
titioner should be aware that a culturally-sensitive treatment may
(also) be indicated as the treatment process develops.
2. If a client identifies largely with the mainstream culture and has a
high level of acculturation and there is an indication of prejudice,
racism, or related bias consider culturally-sensitive interventions or
cultural interventions for cultural aspect of the client’s concern. In
addition, it may be useful to utilize conventional interventions for
related non-cultural concerns, i.e., personality dynamics.
3. If a client identifies largely with their ethnic background and level
of acculturation is low, consider cultural interventions or culturally-
sensitive therapy. This may necessitate collaboration with or referral
to an expert and/or an initial discussion of core cultural values.
4. If a client’s cultural identity is mainstream and acculturation level is
high, but that of their family is low, such that the presenting concern
is largely a matter cultural discrepancy, consider a cultural interven-
tion with the client and the family. However, if there is a imminent
crisis situation, consider conventional interventions to reduce the
76
crisis. After it is reduced or eliminated, consider introducing cul-

tural interventions or culturally-sensitive therapy.
Illustration of the Treatment Formulation

The elements of the treatment formulation of Geri are summarized in
Table 4.4. The reader will note that the adaptive pattern element is also
included since it is central to constructing the treatment formulation.
Table 4.4 Treatment Formulation Element in the Case of Geri
Pattern-adaptive Connect while feeling safe

Treatment goals Targets Interventions
a. reduce symptoms a. medication monitoring
(physician) individual therapy
b. reduce avoidant b. individual therapy
pattern (replacement strategy)
c. enhance social c. collaborate with work
network on & off supervisor; skill-oriented group
the job therapy
d. increase IP skills/ d. skill-oriented group therapy
trust assertive communication &
friendship skills
Treatment focus increase connectedness & decrease avoidant pattern
Therapeutic strategy support; replacement; skill training [interventions noted
& interventions above]
Treatment obstacles Ambivalence: anticipate
— procrastination, feeling avoidance, “testing”
practitioner’s trustability
— clinging to practitioner after trust is achieved
— likely resistance to group interventions b/o avoidant
style
— difficulty with termination
Transference-Countertransference Enactment:
“impatience” and “criticalness”
—> transference dynamics
Treatment-cultural gender may be an issue so assign supportive female
practitioners; no other cultural treatment considerations
are indicated at this time
Treatment prognosis good, provided she can increase relational skills, social
contacts and return to work
77
CONCLUDING COMMENT
The treatment formulation component of the case conceptualization is

what most practitioners consider the most important. After all, the actual
clinical value of a case conceptualization is whether the treatment plan
is sufficiently directed and focused to achieve the expected change and
result in positive treatment outcomes. This chapter ends the theoretical
and research-based discussion of case conceptualizations and its compo-
nents. In the remaining chapters (Chapters 5–9) the emphasis shifts to the
application of theory to practice, and the learning of case conceptualiza-
tion competencies.
REFERENCES
Alberti, R. (1977). Assertiveness: Innovations, applications, and issues. San Luis

Obispo, CA: Impact Publications.
Alexander, F., & French, T. (1946). Psychoanalytic therapy: Principles and applications.
New York, NY: Ronald Press.
Arnow, B., & Constantino, M. (2003). Effectiveness of psychotherapy and com-
bination treatment for chronic depression. Journal of Clinical Psychology, 59,
893–905.
Beitman, B., & Yue, D. (1999). Learning psychotherapy. New York, NY: Norton.
Binder, J. L. (2004). Key competencies in brief dynamic psychotherapy: Clinical practice
Costantino, G., Malgady, R., & Rogler, L. (1986). Cuento therapy: A culturally sana-
tive modality for Puerto Rican children. Journal of Consulting and Clinical Psy-
chology, 54, 639–645.
Fraser, S., & Solovey, A. (2007). Second order change in psychotherapy. Washington,
DC: American Psychological Association.
Goldfried, M., & Davison, G. (1994). Clinical behavior therapy (expanded edition).
New York, NY: Wiley.
Greenson, R. (1967). The technique and practice of psychoanalysis (Vol. 1). New York,
NY: International Universities Press.
Hays, P., & Iwanasa, G. (Eds.). (2006). Culturally responsive cognitive-behavioral ther-
apy: Assessment. Practice, and supervision. Washington, DC: American Psycho-
logical Association.
La Roche, M., & Christopher, M. (2008). Culture and empirically supported treat-
ments: On the road to a collision? Culture and Psychology, 14, 333–356.
Levenson, H. (1995). Time-limited dynamic psychotherapy: A guide to clinical practice.
New York, NY: Basic Books.
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Li, C., & He, Y. (2008). Morita therapy for schizophrenia. Schizophrenia Bulletin, 34,
1021–1023.
McCullough, J. (2000). Treatment for chronic depression: Cognitive behavioral analysis
system of psychotherapy. New York, NY: Guilford.
Meichenbaum, D. (1977). Cognitive behavior modification: An integrative approach.
New York, NY: Plenum.
Mosak H. (2005). Adlerian psychotherapy. In R. Corsini & D. Edding (Eds.), Cur-
rent psychotherapies (7th ed., pp. 52–95). Belmont, CA: Brooks/Cole-Thomson.
Paniagua, F. (2005). Assessing and treating cultural diverse clients: A practical guide.
Thousand Oaks, CA: Sage.
Perry, S., Cooper, A., & Michels, R. (1987). The psychodynamic formulation: Its
purpose, structure, and clinical application. American Journal of Psychiatry,
144, 543–551.
Winston, A., Rosenthal, R., & Pinsker, H. (2004). Introduction to supportive psycho-
therapy. Washington, DC: American Psychiatric Press.
Wright, J., Basco, M., & Thase, M. (2006). Learning cognitive-behavior therapy: An
illustrated guide. Washington, DC: American Psychiatric Press.
79
Part II
Introduction
In Chapters 5 through 9 the emphasis shifts to the application of theory

to practice, and the learning of case conceptualization competencies. In
these chapters the reader is introduced to five methods of case concep-
tualization. Each chapter provides five examples of full-scale case con-
ceptualization that reflect this model. In each of these chapters, the same
five cases are analyzed and written case conceptualizations are provided.
Chapter 5 focuses on the Biopsychosocial Case Conceptualizations. Chap-
ter 6 describes and illustrates Cognitive-Behavioral Case Conceptual-
izations. Chapter 7 focuses on Brief Dynamic Case Conceptualizations.
Chapter 8 describes and illustrates Solution-Focused Case Conceptualiza-
tions, while Chapter 9 addresses Adlerian Case Conceptualizations. The
Appendix includes additional tables, figures, and forms.
These chapters present the reader an integrative model for develop-
ing case conceptualizations that is broad enough to incorporate specific
therapeutic orientations.
The reader will note that each chapter contains full-scale case concep-
tualizations for five cases. Each includes a table that summarizes infor-
mation on 17 elements and a case conceptualization statement that is a
narrative version of the information in that table. Emphasized in each
chapter is the predisposition, treatment strategy, and treatment inter-
ventions because these are the signature features of the five structured
methods.
81
Many of the remaining elements in the case conceptualization tables

and statements are the same or similar for all the cases, as these repre-
sent the common structure of a case conceptualization. From a teaching
and learning perspective, we have found that this repetition of the non-
changing elements of the case conceptualization is useful and necessary
in the process of learning and mastering this formidable competency. It is
an essential part of the learning strategy we have employed in our courses
and workshops.
The question may arise: must all 17 elements be included in every case
conceptualization? The answer is: no. Some will decide that for certain
case conceptualizations they construct that it is sufficient to include fewer
elements in the treatment formulation section of their written case con-
ceptualization. Others who work primarily with a non-diverse clientele
may decide that a cultural formulation is unnecessary and may decide to
exclude it. The point is that you need not include all 17 elements. Perhaps,
you’ll decide that 12 or 13 elements—including presentation, precipitant,
pattern, pattern, treatment goals, and treatment interventions—are suf-
ficient. Just recognize that the more elements excluded can lower the
explanatory power and/or predictive power of the case conceptualization.
Readers may wonder why the Brief Dynamic Psychotherapy
approach was chosen for the Dynamic Psychotherapy chapter. There are
several reasons. Chief among these is that this approach is among the
most commonly practiced and commonly taught versions of psychody-
namic therapy today. It is also a research and evidenced-based approach,
and is competency-based (Binder, 2004). Among the psychodynamics
approaches, it is probably the easiest to learn and use. Of particular
importance for this book, this approach has a clearly defined and straight-
forward protocol for developing a case conceptualization.
Finally, each of the chapters in Part II provides readers the opportu-
nity to increase their competence in constructing case conceptualizations.
Instructions are provided near the end of each chapter, and suggested
answers to the exercises appear in the Appendix of each of these chapters.
REFERENCE

82
5
Biopsychosocial Case
Conceptualizations
This chapter describes and illustrates an atheoretical and broadly-based
method of case conceptualizations. Unlike most case conceptualizations
methods which are based on one of the many Psychodynamic theories,
Cognitive-Behavioral theories, or Interpersonal theories, the Biopsycho-
social method is largely atheoretical. Also, in contrast to most, if not all,
theory-based approaches, which are more narrowly focused, the Bio-
psychosocial method is more broadly-based and encompasses the inter-
play of three domains of human experience: the biological, psychological,
and the sociocultural. Because of its recognition of the biological domain,
the Biopsychosocial method is unique among psychotherapeutic methods
approaches.
Because of its biological basis, this method has considerable appeal to
psychiatrists, psychologists, and nurses with prescription privileges, and
a growing number of non-prescribing practitioners sensitive to the influ-
ence of the biological domain on personal functioning and well-being.
Since it encompasses two more domains than approaches that emphasize
the psychological domain, this method also has appeal to those with an
eclectic view of treatment. This is not to say that all its adherents are eclec-
tic, but rather that the method lends itself to incorporating interventions
from all the therapeutic approaches. The implication is that some who are
guided by this method will develop narrowly focused conceptualizations
that emphasize diagnosis, symptoms reduction, and medication, while
83
others—because of training, experience, and inclination—will incorpo-

rate a broad range of treatment interventions based on their more compre-
hensive diagnostic and clinical formulations. Still others, in their quest to
“tailor” treatment to a particular client’s need and preferences, will con-
sider if the signature elements from other case conceptualization methods
can improve the “fit” with their client’s circumstances and then construct
one that looks decidedly similar to a Cognitive-Behavioral (or Dynamic or
Adlerian, etc.) case conceptualization!
The chapter begins with a description and basic premises of the bio-
psychosocial perspective. Next, it describes the factors involved in biopsy-
chosocial assessment and provides some guidelines for summarizing this
type of assessment. Then, it describes the process of developing and writ-
ing a biopsychosocial case conceptualization. This process is then applied
to the five cases introduced in Chapter 1.
BIOPSYCHOSOCIAL PERSPECTIVE
The biopsychosocial perspective was proposed by George Engel in 1977

as a more integrative and comprehensive way of thinking about and treat-
ing medical and psychological conditions. Since then, it has increasingly
influenced the fields of psychiatry, psychology, social work, and more
recently, counseling. Some consider that this perspective is best under-
stood in terms of systems theory, while most do not. In actual practice, the
Biopsychosocial method of case conceptualization is utilized as if it were
an atheoretical method. The reader should note that this method of case
conceptualization is sometimes referred to as the clinical method (Sperry,
Gudeman, Blackwell, & Faulkner, 1992).
This perspective emphasizes three sets of vulnerabilities and
resources: the biological, the psychological, and the sociocultural
domains. Vulnerability means the susceptibility to develop a condition
or express symptoms or impairment. In this perspective stressors, client
vulnerabilities and resources, and levels of functioning or impairments
are central factors. Four basic premises underlying this perspective
(Sperry et al., 1992):
1. A client’s problems are best understood in terms of multi-causation

involving biological, psychological, and social factors rather than a
single etiology.
84
BIOPSYCHOSOCIAL CASE CONCEPTUALIZATIONS
2. A client’s problems are best understood in terms of a client’s biologi-

cal, psychological, and social vulnerabilities.
3. A client’s problems are best understood as manifestations of the
client’s attempts to cope with stressors (biological, intrapsychic,
interpersonal, environmental) given his or her vulnerabilities and
resources.
4. A client’s condition is best treated with a multimodal approach that
is flexible and tailored to the client’s needs and expectations rather
than with a single treatment modality.
In short, stressors activate the individual’s vulnerabilities and

resources, and symptoms are understood as the manifestation of the
individual’s attempt to cope with stressors given their vulnerabilities and
resources. Accordingly, treatment is directed to the amelioration of symp-
toms and increasing the individual’s levels of life functioning often with a
tailored, multimodal approach.
BIOPSYCHOSOCIAL ASSESSMENT
Assessment consistent with the Biopsychosocial perspective includes the

identification of relevant biological, psychological, and social factors, i.e.,
vulnerabilities and resources or protective factors. A factor is relevant
to the extent to which it offers an explanation for the client’s behavior,
symptoms and impaired functioning. The description of biological fac-
tors emphasizes the client’s health status and familial health and includes
health history, medication and medical treatment, exposure to environ-
mental toxins, and substance use: alcohol, illicit drugs, nicotine, and caf-
feine. The description of psychological factors emphasizes personality
style and coping capacities and includes adaptive and maladaptive beliefs,
emotions and emotional regulation, behavioral excesses and deficits, skill
deficits, as well as resilience and coping capacity. The description of social
factors emphasizes family dynamics and social support and includes the
influence of friends and peers, school or work demands, environmental
and community risks.
Four guidelines for assessing relevant biopsychosocial factors that
could impact a particular client are:
85
1. Identify and assess relevant biological factors particularly the cli-

ent’s health status and familial health. While being mindful of the
client’s health history and health behaviors, presenting problem,
that is, the acuity and severity of symptoms, mental status assess-
ment, and family psychiatric history, consider the likelihood that
biological factors such as heredity, medical conditions, prescription
or over-the-counter medication and vitamins, substance use includ-
ing alcohol, drugs, caffeine, nicotine, and so on, may be causing or
exacerbating the client’s symptoms. Then, write a sentence summa-
rizing these biological factors.
2. Identify and assess relevant psychological factors particularly per-
sonality style and coping capacities. While being mindful of the cli-
ent’s presenting problem, past psychiatric and/or alcohol and drug
abuse (AODA) history, development history, and the results of per-
sonality assessment or other psychological inventories, such as the
Beck Depression Inventory. Consider the client’s personality, coping
style, and internal and external stressors and hypothesize what and
how various psychological factors such as intrapsychic conflicts, dis-
torted object relations, maladaptive behaviors, maladaptive beliefs
and schemas, and so on, are impacting the client in terms of symp-
toms and functional impairment. Then, write a sentence summariz-
ing these psychological factors.
3. Identify and assess relevant sociocultural factors, particularly fam-
ily dynamics and social support. While mindful of the client’s social
history, consider the client’s social context and external stressors,
and hypothesize how various social factors, such as family dynam-
ics, social support network, ethnicity, marginalization, alienation,
poverty, prejudices, boundary violations, power and domination,
intimacy conflicts, friendship and relational skills deficits, and so
on, are impacting the client in terms of symptoms and functional
impairment. Then, write a sentence summarizing these social, fam-
ily, and cultural factors.
4. Incorporates the above biological, psychological, and sociocultural
factors into a biopsychosocial assessment statement. Specify the
various biological, psychological, and sociocultural vulnerabilities
that are reflected in the client’s symptoms, functional impairment,
or conflicts. Look for interactions among these factors. Then, write
a composite assessment statement integrating these vulnerabilities.
86
This statement will inform the “predisposition” element of the clini-

cal formulation as well as elements of the treatment formulation.
BIOPSYCHOSOCIAL CASE
CONCEPTUALIZATION METHOD
The Biopsychosocial method of case conceptualization as presented here

is similar to the other four theoretical methods described in this book
in that it shares several common elements. Yet, it is also differs from the
other four methods because of its signature elements. These include:
predisposition, treatment goals, treatment focus, treatment strategy, and
treatment interventions. Table 5.1 identifies and describes these five sig-
nature elements.
Table 5.1 Signature Elements of the Biopsychosocial Case Conceptualization
Predisposition biological vulnerabilities: esp. health and familial

health; psychological vulnerabilities: esp. personality
style and coping capacity; sociocultural
vulnerabilities: esp. family, social history, and support
Treatment goals Symptom reduction; return to baseline or improve
functioning
Treatment focus troublesome situations triggered or exacerbated by
biological, psychological, or sociocultural
vulnerabilities
Treatment strategies Basic treatment strategy: target all three domains:
biological, psychological, and sociocultural, when
indicated
Common strategies: support; replacement;
psychoeducation; medication
Treatment interventions medication evaluation and monitoring; attend to
readiness and treatment compliance issues;
supportive therapy techniques such as
encouragement; cognitive-behavioral interventions,
e.g. replace maladaptive thoughts & behaviors with
more adaptive ones; relaxation, role playing,
behavioral activation support groups and/or
psychoeducation groups involve significant other,
family, work supervisors, etc.
87
CONCEPTUALIZATION: FIVE CASES
The process of constructing a Biopsychosocial case conceptualization is

illustrated for five different cases. Following background information on
each case, there is an assessment paragraph that identifies key informa-
tion germane to this method. A table summarizes the nine elements from
the diagnostic, clinical, and cultural formulations (discussed in Chapters
2 and 3) and the eight elements of the treatment formulation (discussed
in Chapter 4) for that specific case. Finally, a narrative integrating this
information is provided in a case conceptualization statement. The first
section reports the diagnostic and clinical formulation, the second section
reports the cultural formulation, while the third reports the treatment
formulation.
Case of Geri
Geri is a 35-year-old African American female who works as an admin-
istrative assistant. She is single, lives alone, and was referred by her com-
pany’s human resources director for evaluation and treatment following 3
weeks of depression and social isolation. Her absence from work prompted
the referral. Her symptoms began soon after her supervisor told Geri that
she was being considered for a promotion. As a child she reports isolating
from and avoiding others when she was criticized and teased by family
members and peers.
Her family history suggests a biological vulnerability to depression. Geri
recalls her parents talking about her maternal aunt being prescribed
antidepressants. Besides moderate obesity she reports reasonably good
health. She denies the use of medication, alcohol, or recreational drugs.
Her developmental and social history reveals demanding, critical, and
emotionally distant parents who reportedly provided her little emotional
support and favored her younger brother. In addition, she was regularly
teased and criticized by her peers in the neighborhood and at school.
There is a lifelong history of social isolation, rejection sensitivity, and
avoidance of others instead of fighting backing or neutralizing the criti-
cism and teasing of others. She reports no best friends as a child and only
88
Table 5.2 Case Conceptualization Elements

Precipitant talk of job promotion and transfer out of her close-knit
work group
Pattern-maladaptive Avoid and disconnect from others when feeling unsafe
Predisposition biological. family history of depression
psychological. shy, avoidant, non-assertive; rejection
sensitive
social. current: avoids critical and demanding people;
past: demanding, critical, emotionally, unavailable
parents; teasing, taunting, critical peers
Perpetuants maintained by her shyness, living alone, and
generalized social isolation
Cultural identity middle-class African American with limited ethnic ties
Acculturation and highly acculturated; no obvious acculturative stress
acculturative stress
Cultural explanation sadness results from job stress and chemical brain
imbalance
Culture v. personality personality dynamics are significantly operative
Treatment pattern Connect with others while feeling safer
Treatment goals reduce depressive symptoms; increase socialization;
return to work
vulnerabilities
Treatment strategy target social vulnerabilities and foster adaptive
functioning; medication; support; replacement; skill
training
Treatment interventions medication evaluation/monitoring; supportive
therapy; replace maladaptive thoughts and behaviors;
psychoeducation group; collaborate work supervisor
Treatment obstacles “test” practitioners; likely to resist group therapy; over
dependence on practitioners; difficulty with
termination
practitioners
Treatment prognosis good, if increased social connections, skills, and
returns to work
89
one coworker with whom she feels comfortable being around. Besides a
paternal aunt, she has limited contact with her family. It is noteworthy that
despite the experience of being a college graduate and working for several
years in an office setting, she continues to have significant skill deficit in
assertive communications, friendship skills, and problem solving skills.
Furthermore, she lacks confidence in being around others whom she can-
not fully trust. She meets criteria for Major Depressive Disorder, Single
Episode and for Avoidant Personality Disorder.
Case Conceptualization Statement

Geri’s increased social isolation and depressive symptoms (presentation)
seem to be her reaction to the news of an impending job transfer and pro-
motion, given her history of avoiding situations in which she might be
criticized, rejected, and feel unsafe (precipitant). Throughout her life, she
found it safer to avoid others when possible and conditionally relate to
them at other times; as result she lacks key social skills and has a limited
social network (pattern). Her reaction and pattern can be understood in
light of rejection sensitivity and non-assertiveness, critical parents, and
injunctions against making personal and family disclosure to others,
and the teasing and criticism of peers. Her family history of depression
may biologically predispose her to sadness and social isolation, as did
the under development of relational skills (predisposition). This pattern is
skills, and that she finds it safer to socially isolate (perpetuants).
She identifies herself as a middle-class African American but has little
interest and no involvement with the African American community (cul-
tural identity). She is highly acculturated, as are her parents, and there is
no obvious acculturative stress (culture-acculturation). She believes that her
depression is the result of stress at work and a “chemical imbalance” in her
brain (cultural explanation). There are no obvious cultural factors that are
operative. Instead, it appears that Geri’s personality dynamics are signifi-
cantly operative in her current clinical presentation (culture v. personality).
The challenge for Geri is to function more effectively and feel safer
in relating to others (treatment pattern). The goals of treatment include
reducing depressive symptoms, increasing interpersonal and friendship
skills, returning to work, and increasing her social network (treatment
goals). Treatment that is focused on interpersonal relatedness will keep
the treatment goals in the forefront of therapy (treatment focus). The basic
90
strategy for treatment is to target her vulnerabilities while fostering a

more adaptive pattern and functioning. Specific treatment strategies
include medication, support, replacement, and skill training (treatment
strategy). Initially, reducing her depressive symptoms will be addressed
with medication, support, and behavioral activation in an effort to suf-
ficiently energize her to accomplish daily routines and responsibilities.
Next, cognitive and behavior replacement interventions will target her
rejection sensitivity and isolation from others. Then, social skills training
in a group therapy setting emphasizing assertive communication, trust,
and friendship skill. Finally, collaboration with Geri’s work supervisor
and the human resources director will be arranged in an effort to accom-
modate Geri’s return in a more tolerable work environment. Treatment
will be sequenced with medication management by her physician (in
consultation with the clinic’s psychiatrist) and cognitive and behavioral
replacement beginning immediately in an individual treatment format
which will prepare her to transition into a group treatment mode (treat-
ment interventions). Some obstacles and challenges to treatment can be
anticipated. Given her avoidant personality structure, ambivalent resis-
tance is likely. It can be anticipated that she would have difficulty dis-
cussing personal matters with practitioners, and that she would test
and provoke practitioners into criticizing her for changing or canceling
appointments at the last minute, being late, and that she might procras-
tinate, avoid feelings, and otherwise test the practitioner’s trustability.
Once trust in the practitioner is achieved, she is likely to cling to the
practitioner and treatment and thus termination may be difficult unless
her social support system outside therapy is increased. Furthermore, her
pattern of avoidance is likely to make entry into and continuation with
group work difficult. Therefore, individual sessions can serve as a transi-
tion into group, including having some contact with the group practitio-
ner who will presumably be accepting and nonjudgmental. This should
increase Geri’s feeling safe and making self-disclosure in a group setting
less difficult. Transference enactment is another consideration. Given the
extent of parental and peer criticism and teasing, it is anticipated that
any perceived impatience and verbal or nonverbal indications of critical-
ness by the practitioner will activate this transference. Finally, because of
her tendency to cling to others to whom she trusts, increasing her capac-
ity to feel more confident in functioning with greater independence and
increasing time between the last 4–5 sessions can reduce her ambivalence
about termination (treatment obstacles).
91
Treatment progress does not seem dependent on cultural or even

culturally-sensitive interventions at this time. However, gender dynamics
could impact the therapeutic relationship given her strained relationship
with her father and limited involvement with men ever since. Accordingly,
female practitioners for both individual and group therapy appear to be
indicated in the initial phase of treatment (treatment-cultural). Assuming
that Geri increases her self-confidence, relational skills, and social con-
tacts in and outside therapy, as well as returns to work, her prognosis is
adjudged to be good; if not it is guarded (treatment prognosis).
Case of Antwone
Antwone is an African American Navy seaman in his mid-20s who has
lashed out at others with limited provocation. Recently, his commander
ordered him to undergo compulsory counseling. From infancy until the
time he enlisted in the Navy he lived in foster placements, mostly with an
abusive African American foster family.
Antwone reports neglect and abuse—emotional, verbal, and physical—
by his African American foster family, particularly the mother, who used
racial slurs to intimidate him, and her older daughter who repeatedly sex-
ually molested him when he was a young boy. At age 15, he reported that
he refused to submit to the abuse, and he confronted his foster mother
which effectively stopped the abuse. It also led to him being expelled
from her home. Afterwards, he became selectively vengeful, aggressive,
and defensive and became even more rejection sensitive.
Enlisting in the Navy provided stability and a chance to grow and
learn. He reported that while he tried to be a good sailor, he was regularly
taunted by his peers, and was unfairly treated by White peers and offi-
cers. Besides the neglect and abuse of his foster family, he reported that he
had one emotionally supportive male friend and confidante. However, he
was unexpectedly killed just prior to Antwone’s enlistment in the Navy.
While he is desirous of having a close, intimate relationship with a female,
he is inexperienced and leery of intimacy. No obvious biological predis-
posing factors are noted.
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Presentation verbal and/or physical retaliation; confusion
Precipitant provocation (teasing and/or perceived injustice) by
peers or authority figures
Pattern-maladaptive strikes back and conditionally relates
Predisposition biological. non-contributory
psychological. aggressive; impulsive; suspicious;
defensive; rejection sensitive
social. current: taunting/abuse by peers; arbitrary
actions of authority figures; past: neglected/abused by
foster family; loss of supportive friend and confidante
Perpetuant suspiciousness; emotional regulation and conflict
resolution deficits
Cultural identity African American; ambivalent about ethnic involvement
Acculturation and highly acculturated; considerable acculturative stress
Cultural explanation racial degradation; racial provocations of white peers
and superiors
Culture v. personality personality and cultural factors operative
Treatment pattern connect and relate to others while being careful
Treatment goals anger and impulse control; increase positive coping
skills; find family of origin
Treatment focus emotional self-regulation in interpersonal and work
situations
Treatment strategy target psychological and social vulnerabilities; foster
adaptive functioning; support; replacement; skill
training and psychoeducation; cognitive restructuring
Treatment replace maladaptive thoughts and behaviors; group for
interventions impulse, emotional regulation skill training; affirm him;
encourage finding biological family
Treatment obstacles transference-countertransference enactments with male
practitioner; aggressive acting out; depending on and
idealizing the practitioner
Treatment-cultural therapeutically frame and process his foster family’s
prejudice and abuse as self-loathing passed down from
their ancestors to him; Bibliotherapy
Treatment prognosis good to very good
93

Antwone’s verbal and physical lashing out at others and his confusion
about others’ intentions (presentation) appears to be his response to the
taunting and provocation of his peers, or the arbitrary actions of authority
figures which he tends to perceive as unjust or racially motivated (precipi-
tant). Throughout his life Antwone has sought to be accepted and make
sense of being neglected, abused, and abandoned, and to protect himself
by aggressively striking back and conditionally relating to others in the
face of perceived threat or injustice (pattern).
(predisposition). His limited capacity for emotional regulation along

with deficits in conflict resolution skills serve to maintain this pattern
(perpetuants).
Antwone identifies as African American and maintains some ethnic
ties (cultural identity). Although he is highly acculturated, he continues
to experience considerable acculturative stress which seems to be
exacerbated by his cultural beliefs explanatory method (acculturation). He
believes that his problems result from racial degradation and abuse from
his African American foster family, as well as from racial provocations by
his White peers and Navy superiors (cultural explanation). It appears that
both personality and cultural factors are operative (culture v. personality).
The challenge for Antwone to function more effectively is to relate
to others while being careful in getting to know and trust them (treat-
ment pattern). Treatment goals that will facilitate this more adaptive pat-
tern include emotional self-regulation, particularly increasing control
over his anger and impulsivity, and improving assertive communication
and conflict regulations skill. A third goal is to find his biological family
and attempt to understand and come to terms with their lack of involve-
ment in his early life which resulted in his foster care placement (treatment
94
goals). Treatment that is focused primarily on impulse and emotional self-

regulation in interpersonal and work situations will keep the treatment
goals in the forefront of therapy (treatment focus). Compatible treatment
strategies include therapeutic support, replacement, and psychoedu-
cation (treatment strategy). Supportive techniques will be used to affirm
him, encourage him to relate more effectively with others, and to seek
out and connect with his extended family. Cognitive-Behavioral interven-
tions will be used to replace maladaptive thoughts and behaviors with
more adaptive ones. He will also be involved in a skills training group
to increase impulse control, emotional regulation, and conflict resolu-
tion (treatment interventions). Specific treatment obstacles and challenges
can be anticipated. These include the likely possibility that Antwone will
quickly identify with a caring practitioner as the positive father figure and
role method that he has never had. It is also likely that this will engen-
der a predictable transference-countertransference enactment which may
result in him aggressively acting out (treatment obstacles). In addition to
addressing personality and interpersonal treatment targets, an effective
treatment outcome will require addressing the cultural dimension of
prejudice, not only prejudice from White peers and superiors, but also his
experience of Black-on-Black prejudice. It may be useful to therapeutically
frame his foster family’s prejudice and abuse toward him in terms of self-
loathing that was passed down from their ancestors to him; then, it can
be therapeutically processed. Because he is an avid reader, bibliotherapy,
i.e., books and articles that analyze and explain this type of prejudice,
could be a useful therapeutic adjunct (treatment-cultural). Antwone brings
several strengths and resources to therapy including intelligence; he’s, a
reader with wide interests, he has received regular promotions in rank,
at least until recently, he writes poetry, and he has learned two foreign
languages. These resources plus his motivation to change suggest a good
to very good prognosis (treatment prognosis).
Case of Maria
Maria is a 17-year-old first generation Mexican American female who was
referred for counseling because of mood shifts. She is conflicted about her
decision to go off to college instead of staying home to care for her termi-
nally ill mother. Her family expects her to stay home. She is angry at her
older sister, who left home at 17 after her parents insisted that her culture
95
“requires” her to take care of parents when they get old or become ill. Her
Anglo friends encourage her to go to college and pursue her dreams.
At her parents insistence Maria comes to counseling because of a single
episode of experimentation with alcohol. There is no family history of
substance abuse or other mental disorders and Maria was “turned off
by the booze. It didn’t do anything for me except make me sick.” She
reports no health problems, uses no medication, and except for the single
experimentation with alcohol, has never used recreational drugs. There
is no family history of psychological or substance use problems nor
treatment for these. In terms of personality style, Maria exhibits a need to
please, dependence on others, difficulty expressing her disagreement, and
low assertiveness. Her parents are reportedly quite strict and demanding,
and insist on the “old ways” where the adult daughter relinquishes her life
to care for aging or sick parents. While her Anglo friends encourage her
to emancipate from her family, her parents insist that she is as rebellious
as her older sister. The family emigrated to the United States from Mexico
when Maria was 4 years old. It is noteworthy that her parents rely on her
be their translator.

Maria’s depressive symptoms, confusion, and recent experimentation
with alcohol use (presentation) seem to be her reaction to the pressures
coming from her parents, her friends, and herself to make a decision to
either go away to college next fall or to stay home and devote herself to the
care of for her parents, particularly her ill mother (precipitant). Through-
out her life, Maria has attempted to be a good daughter and friend has
become increasingly stuck in meeting the needs of others at the expense
of her own needs (pattern). Her reaction is understandable in light of her
personality dynamics, which include her need to please others and her
difficulty expressing disagreement with others. Along with these depen-
dent features is a deficit non-assertive communication. While she seems
to be clear on the issues and alternatives, she does not want to disappoint
others, but finds it difficult to speak her mind. Complicating matters is
that her parents are strict and demanding parents who espouse cultural
expectations that differ from those of her peers. Maria is preoccupied
96

Presentation moodiness; confusion; experimentation with alcohol use
Precipitant pressures and conflict over going away to college or
staying to care for her parents
Predisposition biological. none besides a single episode of
experimentation
psychological. need to please; difficulty expressing
disagreement with others; dependent; low
assertiveness skills
social. current: strict, demanding parents; friends expect
her to emancipate; parents call her rebellious; past:
emigrated as child; translator for parent
Pattern-maladaptive meet others’ needs but not her own
Perpetuant dependent and pleasing style; low assertiveness;
cultural expectation
Cultural identity working class Mexican American;
Acculturation and low to moderate level of acculturation; stress from
acculturative stress ambivalence about parental and cultural expectations
Cultural explanation problems caused by “lack of faith”
Treatment pattern meet her needs and the needs others
Treatment goals increase self-efficacy, assertiveness, decision making;
decrease moodiness
Treatment focus situations involving conflicting expectations
Treatment strategy target family/interpersonal vulnerabilities; foster
adaptive functioning; support; replacement; skill
training;
Treatment Supportive techniques; cognitive behavior replacement;
interventions role playing to increase empowerment and assertiveness
skills
Treatment obstacles may capitulate to parents and cultural expectations;
pleasing the practitioner; practitioner may unwittingly
advocate autonomy
Treatment-cultural process cultural expectations about caregiver role and
need to please; family sessions addressing parents’
cultural expectations
Treatment prognosis fair to good
97
with the worry that if she cares for her family, she will have wasted her
potential and her life will be a failure. Also, her single episode of experi-
mentation with alcohol did not provide the self-medication she thought it
would and she ceased its use. However, it was of sufficient concern to her
parents that they sought counseling for her (predisposition). Her low level
of assertiveness and unwillingness to disappoint her parents serves to
maintain this pattern (perpetuant).
Maria identifies herself as a working-class Mexican American with a
moderate level of involvement in that heritage (cultural identity). Her level
of acculturation is in the low to moderate range while her parents’ level
is in the low range. Since her older sister refused to follow the cultural
mandate that the oldest daughter would meet her parents’ needs rather
than her own, that responsibility is now on Maria. Maria’s ambivalence
about whether to follow cultural norms and expectations and her own
aspirations is a quite distressing for her (acculturation & stress). Her explan-
atory model is that her problems are due to a “lack of faith” a belief that is
consistent with a lower level of acculturation. Although she and her fam-
ily experienced some discrimination upon arrival here, it ended by mov-
ing to a “safer” Mexican American neighborhood (cultural explanation). It
appears that both personality and cultural factors are operative. Specifi-
cally, cultural dynamics that foster dependency, i.e., good daughters care
for their parents without question, serve to reinforce her dependent per-
sonality dynamics (culture v. personality).
The challenge for Maria to function more effectively is to meet both
her own needs in addition to the needs others (treatment pattern).
(treatment goals). Treatment that is focused on empowerment and balanc-

ing expectations so that her needs get met will keep the treatment goals in
the forefront of therapy (treatment focus). Treatment strategies compatible
with these treatment goals and focus include therapeutic support, skill
98
training, replacement, and (treatment strategies). Supportive techniques

will affirm her, and encourage her to balance the expectations of others
with her own aspirations, and unproductive thoughts and behaviors asso-
ciated with these expectations will be processed with cognitive behavior
replacement strategy. Increasing self-efficacy, empowerment, and asser-
tiveness skills will be facilitated with role playing. In such enactments,
Marie can practice assertive communication while assuming both her
role and then switching to the role of her father (treatment interventions). In
terms of likely treatment obstacles and challenges, it is likely that Maria
will attempt to please the practitioner by readily agreeing to the practi-
tioner’s suggestions and between session assignments, but afterwards
become conflicted and then fail to follow up. It is also likely that the client
will capitulate to her parents’ expectations. Accordingly, the practitioner
might early in treatment make the predictive interpretation that this might
occur, but that it does not indicate failure, and that it can be therapeutically
processed. Finally, practitioners working with dependent clients need to
anticipate how their own needs and values may become treatment obsta-
cles. This can occur when they unwittingly advocate for and expect clients
to embrace independence and autonomy before the client is sufficiently
ready (treatment obstacles). Effective treatment outcomes will also address
relevant cultural dynamics. Specifically, this may involve therapeutically
processing her explanatory model that lack of faith is the source of her
problem. Depending on the saliency and strength of this belief, educa-
tion and cognitive disputation may be indicated. The cultural expecta-
tion about caring for her parents in light of her need to please would also
be processed. In addition, family sessions may be indicated wherein her
parents can review and revise their cultural expectations of her (treatment-
cultural). Besides the impact of personality and culture, the resources that
Maria brings to therapy influence her prognosis. She is bright, successful
in school, and has already identified her needs and career aspirations. At
this point, however, given her lower level of acculturation and dependent
personality dynamics, her prognosis is the fair to good range (treatment
prognosis).
Case of Richard
Richard is a 41-year-old Caucasian male who is being evaluated for anxi-
ety, sadness, and anger following his recent divorce. He currently lives
on his own, is employed as a machine operator, and frequents night spots
99
where he “is on the lookout for the perfect woman.” He has held four
jobs over the past 6 years and has been fired from his last job because
he smashed his fist through a wall after being confronted by a female
coworker. He is an only child of alcoholic parents whom he describes as
“fighting all the time.”
Moodiness, impulsivity, and anger are traits common to both Richard
and his father. Unlike his father’s alcohol abuse, Richard denies any alco-
hol or drug use saying, “I can’t stand the thought of being like him.” In
terms of personality style, Richard manifests a number of narcissistic
traits including entitlement, a lack of empathy, arrogance, a haughty atti-
tude, and superficiality. In addition, difficulty controlling his anger and
impulses are prominent. He describes considerable difficulty in relating
in a cooperative and cordial manner. He appears to be unwilling to meet
the interpersonal demands of others and views women as objects to be
used, and he exhibits limited communication skills. His developmental
history is positive for being frightened by fights between his angry, abu-
sive, alcoholic father and his alcoholic and emotionally detached mother.
He admits his only friend growing up was his maternal grandmother. He
only felt safe and accepted by her. She died about 3 years ago, at which
time his problems seemed to have intensified.

Richard’s angry outbursts, sadness, and anxiety (presentation) seem to be
reactions to his recent divorce (precipitant). From adolescence, he has ele-
vated himself and belittled and abused others with an aggressive style,
making it difficult to sustain safe and satisfying relationships (pattern).
His reaction can be understood in terms of his entitlement, superficial
manner, arrogant. and haughty attitudes, and lack of empathy. Along
with this narcissistic style is his propensity to act out which further rein-
forces his impulsiveness and relational skill deficits. He has also exhibited
difficulty as well as an unwillingness to meet interpersonal demands for
social decorum and anger control. He sees women as objects and demon-
strates limited communication skills. His role model of masculinity and
relationships was his angry, abusive, alcoholic father who regularly physi-
cally and verbally assaulted his alcoholic, emotionally detached mother.
100

Presentation angry outbursts, sadness, and anxiety
Precipitant recent divorce
Predisposition biological. appears to be non-contributory
psychological. entitled; superficial; lack of impulse
control; lacks empathy, arrogant, haughty attitudes
social. current: difficulty meet interpersonal demands
and controlling anger; sees women as objects;
limited communication skills; past: frightened by
fights between his abusive, alcoholic father and his
mother; felt safe and accepted by maternal
grandmother
Pattern-maladaptive elevates self while belittling and using others
Perpetuant impulsivity; limited relationship skills; inability to
empathize
Cultural identity middle class Caucasian male
Acculturation and highly acculturated; no obvious cultural stress
Cultural explanation anxiety, anger, sadness caused by abusive, non- loving
parents
Culture v. personality personality dynamics operative
Treatment pattern self-confident and respectful of others
Treatment goals anger and impulse control; reduce sadness and
anxiety
Treatment focus interpersonal situations involving impulse control
and self worth
Treatment strategy target psychological vulnerabilities and foster
adaptive functioning; support; skills training;
replacement
Treatment interventions supportive techniques; cognitive behavior
replacement; anger and impulse control skill building;
role playing to foster restraint and respectfulness
Treatment obstacles minimization of his own problematic behaviors,
idealization or devaluation of practitioner, arrogant
attitude
Treatment-cultural no cultural focus to treatment indicated
Treatment prognosis fair
101
Although observing his father frightened him, Richard appears to be have

internalized this relational behavior. It is noteworthy that he only felt safe,
secure, and accepted by his maternal grandmother (predisposition). This
pattern is maintained by his inability to empathize, impulsivity, and lack
of relational skills (perpetuants).
Richard identifies as a middle-class Caucasian male (cultural identity).
He appears to be highly acculturated, and there is no obvious no obvi-
ous indications of acculturative stress (acculturation & stress). He believes
that his current problems of anger, sadness, and anxiety result from the
bad example he received from his abusive and non-loving parents who
fought constantly when they drank (cultural explanation). Finally, person-
ality dynamics are predominant and adequately explain his presenting
problem and pattern (culture v. personality).
The challenge for Richard to function more effectively is to remain
self-confident while endeavoring to be more respectful of others (treatment
pattern). Goals of treatment that support this more adaptive pattern would
initially include increasing his anger and impulse control, reducing sad-
ness and anxiety, and increasing cooperative and respectful behavior
(treatment goals). Treatment that is focused primarily on interpersonal situ-
ations that involve impulse control, require empathy, and are threatening
to his sense of self will keep the treatment goals in the forefront of ther-
apy (treatment focus). Treatment strategies compatible with these treatment
goals and focus include therapeutic support, skills training, and replace-
ment (treatment strategies).
(treatment interventions). With regard to likely treatment obstacles and

challenges, it is likely that Richard will minimize his own problematic
behaviors by blaming circumstances or others. It can be expected that he
will alternate between idealization or devaluation of the practitioner, at
least in the beginning phase of therapy. His entitled and arrogant atti-
102
tude could activate practitioner countertransference. Furthermore, since

it is not uncommon for clients with a narcissistic style to discontinue in
treatment when their symptoms, immediate conflicts or stressors are suf-
ficiently reduced, the practitioner who believes the client can profit from
continued therapy needs to point out—at the beginning of therapy and
thereafter—that until the client’s underlying maladaptive pattern is suf-
ficiently changed, similar issues and concerns will inevitably arise in
the future (treatment obstacles). Since the primary influence is personal-
ity dynamics, no cultural focus to treatment indicated (treatment-cultural).
Finally, because of the client’s conditional manner of relating, multiple
job firings, and impulsivity, at this point, his prognosis is considered fair
(treatment prognosis).
Case of Joan
Joan is a 47-year-old, married, Caucasian female referred for evaluation of
somatic symptoms, for which there was no obvious physiological basis.
Although she minimizes her concerns, she describes a number of concerns
and stressors. While she attempts to please her boss by increasing the pro-
ductivity of her employees, they complain that she is too demanding and
nonsupportive. At home she is criticized by her two teenage daughters
for not being emotionally available to them. She criticizes herself for not
being a better manager, parent, and spouse.
Joan reports drinking 5–7 cups of coffee and consuming a dark chocolate
bar every day. Initially, she saw no connection between these stimulating
substances and her anxiety and sleep difficulties. She is concerned about
her health, particularly heart palpitations and chest pain issues and she
notes a family history of heart attack and stroke. She is also concerned
about insomnia. A brief evaluation of sleep indicates poor sleep hygiene.
Her personality style appears to be obsessive compulsive type given her
perfectionism, criticalness, conscientiousness, and feeling avoidance.
She is committed to her job and is skilled at managing time and meeting
deadlines, but is less skilled in relating to others and supporting them
emotionally. She reports that family life and work are highly stressful.
She admits having difficulty delegating tasks to her employees, and that
she probably is emotionally unavailable to her employees as well as her
103

Presentation anxiety; insomnia; heart palpitations and chest pain
Precipitant increased stress at work, recently her daughters have
become increasingly critical of her for not being
emotionally available to them
Pattern-maladaptive overly conscientious and emotionally distant
Predisposition biological. high caffeine intake
psychological. perfectionism, criticalness;
conscientious; feeling avoidant;
social. current: highly stressful work situations;
emotionally unavailable to employees and
daughters; past: demanding, controlling father,
distant mother
Perpetuant perfectionism; task focused; little time for family
Cultural identity upper middle-class WASP female
Cultural explanation problems result from stress and chemical brain
imbalance
Treatment pattern reasonably conscientious and emotionally present
Treatment goals decrease job/family stressors; increase emotionally
availability; reduce stimulants
Treatment focus stressful work and family situations
Treatment strategy target biological/relational vulnerability; foster
adaptive functioning; medical evaluation;
replacement; psychoeducation
Treatment Interventions evaluate chest pain/palpitations; replace
perfectionistic behaviors; role play worker & family
issues; psychoeducation on sleep hygiene
Treatment obstacles may minimize certain issues; feeling avoidance; high
expectations for successful outcome in therapy;
alternates: pleasing practitioner and undermining
therapy
Treatment prognosis good
104
daughters. Her developmental history indicates that achievement and

perfection were family values and that her father was demanding, con-
trolling, and critical both to Joan and her mother.

Joan’s has somatic symptoms, including heart palpitations and chest pain
as well as anxiety and insomnia (presentation), appear to be her reaction
to the increased stress at work and family issues (precipitant). Throughout
her life Joan has striven to achieve, be conscientious, make no mistakes,
nor show caring and the softer emotions in order to feel that she has
worth as a person. All this conscientiousness and emotional distancing
has negatively affected her relations with her family and workers (pattern).
(predisposition). This pattern seems to be maintained and reinforced by

constant activity, conscientiousness, feeling avoidance and related obses-
sive-compulsive features (perpetuants).
Jane identifies herself as upper middle-class WASP female (cultural
identity). She is highly acculturated, and there is no obvious indications of
acculturative stress (acculturation & stress). She believes that her anxiety,
sleep problems, and physical symptoms result from increasing family and
job stressors and from a chemical imbalance in her brain (cultural expla-
nation). Finally, personality dynamics are predominant and adequately
explain her presenting problem and pattern (culture v. personality).
The challenge for Joan to function more effectively is to be reason-
ably achievement-oriented and conscientious and more emotionally
present to family members and her employees (treatment pattern). Pri-
mary treatment goals include decreasing her job and family stressors,
and increasing her ability and willingness to be emotionally available to
her employees and her family members. A secondary goal is the decreas-
105
ing anxiety and insomnia (treatment goals). Treatment that is focused

primarily on her stressful work and family life situations will keep the
treatment goals in the forefront of therapy (treatment focus). Treatment
strategies compatible with these treatment goals and focus include thera-
peutic support and replacement (treatment strategy). A cardiology refer-
ral to evaluate her chest pain and palpitation is an immediate priority.
Finding more adaptive interpretations and behaviors that replace her
perfectionistic interpretations and behaviors could modulate and limit
her compulsivity. In addition, psychoeducation and processing the link
between caffeine and anxiety, palpitations, and insomnia can reduce her
caffeine and chocolate intake (treatment interventions). In terms of likely
treatment obstacles and challenges, it is probable that Joan will mini-
mize certain issues, such as her relationship with her father as well as
with her husband, believing they are unrelated to her currents stressors.
Her feeling avoidance can present challenges that the practitioner should
be prepared to address. Consistent with her obsessive-compulsive style,
she will have high expectations for a successful outcome in therapy but
is likely to undermine change efforts while she appears to be cooper-
ating with the therapeutic process and pleasing the practitioner (treat-
ment obstacles). Since the primary influence is personality dynamics, no
cultural focus to treatment is indicated (treatment-cultural). Finally, to the
extent to which therapy is able to work through these challenges, her
prognosis is good (prognosis).
SKILL BUILDING EXERCISES
Our experience in assisting others in learning and mastering case

conceptualizations is that trainees and practitioners have increased their
competence and confidence with the use of this—and similar—skill
building exercises. Here is how it works. Besides the complete report
of the Case of Geri, there are four other cases in this chapter which are
incomplete. You will note that certain elements of the tables and the
case conceptualization statements are blank or open. These open spaces
represent the signature elements of a particular case conceptualization
model. In this chapter, these open spaces provide you an opportunity
to develop and enhance your competence in Biopsychosocial case
conceptualizations with the aid of specific prompts.
106
To simulate the process of constructing a full case conceptualization,

we suggest that you begin with the case of Antwone. Read the background
information on the case as well as the Biopsychosocial Assessment section.
It should provide sufficient information to develop a “predisposition”
statement, i.e., an explanation for Antwone’s behavior. If you need a brief
prompt, review the “predisposition” section of the Table 5.3. Then, write
one or more sentences that translates the key points of this signature
element the open space for “predisposition” in the case conceptualization
statement. Write it in such as way that it provides a compelling explanation
for Antwone’s pattern and presentation.
Next, go to the case of Maria and you will find that the case
conceptualization statement has an open space for “Treatment Goal.”
Then, specify treatment goals that are appropriate for this case. If you
need a prompt review the signature element of “Treatment Goal” in
Table 5.3. Move on to the cases of Richard and Joan where you will find
blank spaces for you to fill in other signature elements. The Appendix to
this chapter contains our responses to the open spaces. We don’t expect
that your responses will be exactly the same, but rather that they are
thematically similar.
When you are finished with the case of Antwone, proceed on to the
cases of Maria, Richard, and Joan. Following these same instructions will
provide you with additional experience in constructing Biopsychosocial
Case Conceptualizations.
CONCLUDING NOTE
This chapter has emphasized the Biopsychosocial method of case

conceptualization. The basic premises of the biopsychosocial perspective
were discussed, the factors involved in a biopsychosocial assessment, and
the signature elements of this method were described. Then this case
conceptualization method was applied to five cases. While one might
assume that this method is less commonly used than the Cognitive-
Behavioral, Dynamic, Solution Focused, Adlerian, and other theory-
based methods of case conceptualization, our experience is that many
trainees and practitioners prefer this method because it is relatively easy
to learn and use. Others prefer it because it easily lends itself to an eclectic
approach to clinical practice. The next chapter describes and illustrates
the Cognitive-Behavioral method of case conceptualization.
107
REFERENCES
Engel, G. L. (1977). The need for a new medical model: A challenge for biomedicine.
Science, 196, 129–136.
Sperry, L., Gudeman, J., Blackwell, B., & Faulkner, L. (1992). Psychiatric case
formulations. Washington, DC: American Psychiatric Press.
APPENDIX: SIGNATURE ELEMENTS EXERCISE
Case of Antwone
Predisposition
His reaction can be understood as his aggressive and impulsive means of
protecting himself against the hurt, arbitrary judgments, rejection, and
losses that he has experienced since early life, starting with his mother
who abandoned him, his foster family who both neglected and abused
him, and the loss of his only supportive friend and confidante. He believes
no one wants him and is leery of getting close to others, although he craves
intimacy.
Case of Maria
Treatment Goal
Treatment goals include increasing her sense of self-efficacy and empow-
erment and the capacity for assertively making, articulating decisions,
and communicating her own needs. A secondary goal is to decrease her
moodiness which may well be situational.
Case of Richard
Supportive techniques will be used to affirm him and encourage him
to increase relational skills. Skills like anger and impulse control can be
fostered and developed in individual and group sessions. The replacement
intervention will be used to replace maladaptive thoughts and behaviors,
especially those involving anger and sadness, with more adaptive ones.
108
Role playing will be used in fostering restraint and respectfulness in

relating to others.
Case of Joan
Predisposition
Her reaction is understandable in light of her personality dynamics of
perfectionism, criticalness, conscientiousness, and feeling avoidance,
highly demanding and stressful work situations where she has difficulty
delegating tasks to her employees and is unable to emotionally support
them during the increased demands for production and the looming threat
of layoffs. Family stressors include an uninvolved husband resulting in her
doing all of the housework and the criticism of her daughters that she was
emotionally unavailable to them. Growing up, she faced similar demands
for achievement and perfection which came from her controlling and
critical father. Furthermore, her increased intake of caffeine in the form of
coffee and chocolate may exacerbate her anxiousness and insomnia.
109
6
Cognitive-Behavioral Case
Conceptualizations
While Chapter 5 described a generic, nontheory-based method of case
conceptualization, this chapter describes and illustrates the first of four
theory-based methods, one that is based on Cognitive-Behavioral Ther-
apy. Cognitive-Behavioral Therapy is one of the most commonly practiced
psychotherapeutic approaches throughout the world today. Currently,
there are several variations of it in which some emphasize the cognitive
side and others emphasize the behavioral side of the approach. Neverthe-
less, the Cognitive-Behavioral case conceptualization method described
here is sufficiently broad to be compatible with most Cognitive-Behavioral
Therapy approaches. This chapter begins with a discussion of the
Cognitive-Behavioral perspective, then addresses Cognitive-Behavioral
assessment and identifies the unique factors that are assessed. Next, it
describes the unique clinical, cultural, and treatment formulation com-
ponents of this case conceptualization method. Finally, it illustrates this
method by providing Cognitive-Behavioral case conceptualizations for
five clinical cases.
COGNITIVE-BEHAVIORAL PERSPECTIVE
Cognitive-Behavioral Therapy represents a merging of cognitive therapy

perspective with behavioral therapy perspective (Wright, Basco, & Thase,
110
COGNITIVE-BEHAVIORAL CASE CONCEPTUALIZATIONS
2006). While the various Cognitive-Behavioral approaches differ in empha-

sis, clinicians typically combine cognitive interventions and behavioral
interventions in their work with clients. In addition, Cognitive-Behavioral
Therapy has been adapted to nearly all diagnostic conditions and is the
most commonly utilized therapeutic approach with culturally diverse cli-
ents. Cognitive-Behavioral Therapy is a here-and-now approach that is
problem-focused, and also seeks to modify or correct maladaptive cogni-
tions and behaviors using a variety of cognitive and behavioral methods
to change rigid thinking, mood, and behavior. Since behavior is learned,
negative behavior can be unlearned while new and more effective behav-
iors can be learned. The therapeutic relationship is collaborative in that
the client shares responsibility of setting the agenda for the session and
doing between session homework.
While cognitions and behaviors are the central focus of assessment
and intervention, they are also central to case conceptualization. Cogni-
tions are identified at one of three levels: automatic thoughts, intermedi-
ate beliefs, and schemas. Automatic thoughts are immediate thoughts or
running commentary going through an individual’s mind at a given point
in time.
Intermediate beliefs are the “if-then” rules or conditional assump-
tions that individuals implicitly follow. This level of belief influences an
individual’s automatic thoughts. Schemas are core beliefs that individuals
have about self, the world, and the future. This level of belief influences an
individual’s intermediate beliefs. For example, individuals with a schema
of abandonment such as “Everybody I really care about always leaves me”
are likely to have an intermediate belief such as: “Others will leave me
unless I am really important to them.”
At least three types of problematic or maladaptive behaviors are
recognized. These include behavioral excesses, e.g., uncontrollable rage,
behavioral deficits, e.g., social withdrawal, and inappropriate behavior,
e.g., laughing when another is injured. An additional type of behavior that
is potentially problematic is social skill deficits, e.g., lack of assertiveness,
undeveloped friendship skills, and limited self-regulation skills. These
maladaptive behaviors along with maladaptive cognitions are incorpo-
rated into a Cognitive-Behavioral case conceptualization.
The mark of successful Cognitive-Behavioral treatment is healthier
and more effective ways of thinking and behaving to achieve desired
outcomes. Newman (in press) identified a view of psychological wellness
from a Cognitive-Behavioral perspective:
111
From a CBT perspective, psychological wellness is comprised of a num-

ber of characteristics and capabilities, including a person’s possessing:
(1) a broad behavioral repertoire that can be used effectively to solve
problems, to relate well to others, and to respond in differential ways
that will be positively reinforced across many different situations; (2)
cognitive flexibility, objectivity, astute observational skills, and hope-
fulness, along with a sense of self-efficacy; and (3) good emotional self-
regulation, while still possessing an appropriate range of affect and a
capacity for joy.
This and the next section describe Cognitive-Behavioral assessment and

the Cognitive-Behavioral case conceptualization.
COGNITIVE-BEHAVIORAL ASSESSMENT
A Cognitive-Behavioral assessment emphasizes relevant cognitive and

behavioral factors that add additional information to the diagnostic
assessment, and facilitate the development of cognitive behaviorally-
focused clinical and treatment formulations. The primary goal of
Cognitive-Behavioral assessment is “to agree on a formulation and treat-
ment plan with the client” (Kirk, 1989, p. 15).
A common strategy for doing this type of assessment is to begin
with behaviors and then address cognitions. Start by identifying and
analyzing problematic behaviors and affects. Behaviors are categorized
as behavioral excesses (e.g., uncontrollable rage), behavioral deficits (e.g.,
social withdrawal), or inappropriateness (e.g., laughing when another is
injured). Problematic behaviors and affects can be identified by analyzing
a specific situation looking for antecedents, specific behaviors, and con-
sequences and if there is an ongoing pattern of impaired functioning. A
situational analysis is useful in identifying a client’s behavioral and cog-
nitive contributions to the distress experienced (McCullough, 2000). It can
also evaluate the extent to which clients’ maladaptive pattern of behaviors
and cognitions divert them from achieving their desired outcomes. Help-
ful questions to ask include:
• “Describe the situation that was so stressful for you.” (elicit the
beginning, middle, and end of the problematic situation)
112
• “What were your behaviors in the situation?” (elicit specific behav-

iors: gestures, eye contact, tone of voice “What did you say?” “How
did you say it?” etc.)
• “What did you want out of the situation?” “Did you get what you
wanted?”
• “What was going on in your life before your symptoms began?”
(elicits antecedents)
• “What is the effect of these symptoms (behaviors, decreased func-
tioning, etc)?” (elicits consequences)
• “What sort of things are you not doing right now because of this
problem?”
• “What do you do to try to make your situation more manageable?”
(elicits severity and client’s efforts to “solve” the problem)
• “In what other situations have you experienced these symptoms?”
(conflicts, difficulties, etc.) Following up on this question helps
identify a client’s ongoing pattern beyond the current problematic
situation.
Next, elicit the client’s beliefs and interpretation of the problematic

situation. Some useful questions include: “What was your interpretation
of the situation?” and “What did it mean to you?” can be useful in the
elicitation of the client’s automatic thinking and intermediate beliefs. This
inquiry is essential because it “begins to tap into automatic thoughts and
deeper, more long-standing core beliefs” (Ledley, Marx, & Heimber, 2005,
p. 42). This process helps the client examine their problematic cognitions
such as all-or-none thinking, catastrophizing, and disqualifying the posi-
tive. In addition, probing the client’s earlier experiences can be useful in
identifying core maladaptive beliefs and schemas. The three main lev-
els of clients’ thinking to assess and modify are (in descending order)
automatic thoughts, intermediate beliefs, and schemas. Schemas are core
beliefs that clients have about self, other people, and the world.
Cognitive-Behavioral Case Conceptualization

A Cognitive-Behavioral case conceptualization includes clinical, cultural,
and treatment formulations that emphasize the unique characteristics of
the Cognitive-Behavioral perspective. The clinical formulation provides
an explanation of the client’s presenting problems and ongoing pattern
in terms of maladaptive beliefs and maladaptive behaviors (Young, 2003).
113
The cultural formulation identifies the client’s cultural identification,

acculturation, and the explanation or reason believed to be the cause
of the presenting problem. Assuming that cultural dynamics influence
the client’s presenting problem, it identifies the operative mix of cultural
dynamics and personality dynamics. The treatment formulation provides
a Cognitive-Behavioral framework for setting treatment goals, specifying
a treatment focus and treatment strategies and interventions for achieving
treatment goals. This formulation emphasizes the modification of both
behavior patterns and cognitions using various cognitive and behavioral
methods. Preparing the client for termination and relapse prevention
strategies are integrated in the therapeutic process at the outset of
treatment to foster the clients’ ability to cope and respond to digressed
behavior patterns and cognitions. If indicated, culturally sensitive
treatments are also incorporated in the treatment process. Among all the
current psychotherapies, the Cognitive-Behavioral approach is the most
culturally sensitive as it has been adapted to several ethnicities (Craske,
2010), including African American and Latino (Miranda, Nakamura, &
Bernal, 2003) and Asian (Hwang, 2006).
Table 6.1 Signature Elements of the Cognitive-Behavioral Case

Conceptualization
Predisposition maladaptive behaviors
maladaptive beliefs
Treatment goals reduce maladaptive beliefs and behaviors
develop more adaptive beliefs and behaviors
maladaptive beliefs and/or behaviors
Treatment Basic treatment strategy: identify and modify specific
strategies maladaptive beliefs and behaviors
Common strategies: support; cognitive restructuring;
replacement; exposure; skill training/psychoeducation
Treatment Socratic questioning; examining the evidence cognitive
interventions restructuring, including disputation; self-monitoring and
Automatic Thought Record; cognitive and behavioral
replacement thought stopping; behavioral activation
exposure; EMDR skills training (assertiveness, problem-
solving, etc.); behavioral rehearsal; and enactment stress
reduction and relaxation
114
Cognitive-Behavioral Case Conceptualization Method

The Cognitive-Behavioral method of case conceptualization is simi-
lar to the other four theoretical models described in this book in that it
shares several common elements. Yet, it also differs from the other four
methods because of its signature elements. These include: predisposi-
tion, treatment goals, treatment focus, treatment strategy, and treatment
interventions.
Table 6.1 identifies and describes these five signature elements.
The process of constructing a Cognitive-Behavioral case conceptualiza-

tion is illustrated for five different cases. Following background informa-
tion on each case, there is an assessment paragraph that identifies key
information germane to this model. Then a table summarizes the nine ele-
ments from the diagnostic, clinical, and cultural formulations (discussed
in Chapters 2 and 3) and the eight elements of the treatment formulation
(discussed in Chapter 4) for that specific case. Finally, a narrative inte-
grating this information is provided in a case conceptualization state-
ment. The first paragraph reports the diagnostic and clinical formulation,
the second paragraph reports the cultural formulation, while the third
reports the treatment formulation.
Case of Geri
pany’s human resources director for evaluation and treatment following 3
weeks of depression and social isolation. Her absence from work prompted
the referral. Her symptoms began soon after her supervisor told Geri that
she was being considered for a promotion. As a child she reported isolat-
ing and avoiding others when she was criticized and teased by family
members and peers.
115
Besides diagnostic assessment information, the Cognitive-Behavioral
assessment added the following: Geri mentioned that her family was
demanding, critical, and emotionally distant throughout her childhood.
She stated that her parents provided her with very little emotional support
as a child and she rarely speaks with them today. Her younger brother
reportedly would laugh and call her fat and ugly. Neighborhood kids and
classmates at school would also tease her and make fun of her, and she adds
that all she can remember about teachers is that they criticized her. Since
childhood she has been very shy in most interpersonal relationships and
she avoids talking to others when possible. An assessment of maladaptive
behaviors and cognitions identified the following: among behavioral defi-
cits was social withdrawal. Also noted were prominent social skill deficits
in relational skills and friendship skills. Regarding maladaptive cogni-
tions, she made the following statements: “It’s safer not to trust anyone,”
“If people got to know me better, they wouldn’t like me;” and “Getting
close to others isn’t worth the risk.” She also stated that “I’d rather be safe
and alone than get a promotion and a raise.” Table 6.2 describes the results
of the diagnostic and Cognitive-Behavioral assessment summarized for
the key elements of a full-scale case conceptualization.
Table 6.2 Cognitive-Behavioral Case Conceptualization Elements

work group
Pattern-maladaptive avoid and disconnect or withdraw when feeling unsafe
Predisposition Maladaptive cognition: views herself as inadequate and
frightened of rejection, and views the world as
rejecting and critical but wants safe relationships;
Maladaptive schemas: defectiveness and social
isolation
Maladaptive behaviors: history of being teased, criticized,
rejected; social isolation and avoidance behavior
which limited learning relational and friendship skills
Perpetuant maintained by her shyness, living alone, and
Cultural identity middle-class African American; limited ethnic ties
116

imbalance
Treatment pattern connects while feeling safer
Treatment goals reduce maladaptive beliefs and behaviors; develop
more adaptive beliefs and behaviors
Treatment strategy identify and modify specific maladaptive beliefs and
behaviors; cognitive restructuring; replacement;
exposure; skill training/psychoeducation; medication
Treatment Socratic questioning; examining the evidence; cognitive
interventions restructuring, including disputation; self-monitoring
and Automatic Thought Record; cognitive and
behavioral replacement; thought stopping; behavioral
activation; exposure; skills training;
termination
practitioners
Treatment prognosis good, if increased social connections, skills, and returns
to work

motion, given her history of avoiding situations in which she might be criti-
cized, rejected, and feel unsafe (precipitant). Throughout her life, she found
it safer to avoid others when possible and conditionally relate to them at
other times; as result she lacks key social skills and has a limited social
network (pattern). Geri’s overt problems are understandable when viewed
as a consequence of her core beliefs. Her self-view involves core beliefs
about being inadequate and being vulnerable to negative evaluations of
117
others. Her world view involves core beliefs about life being unfair and
unpredictable, and others being critical, rejecting, and demanding. These
are reflected in maladaptive schemas that include defectiveness and social
isolation. Her maladaptive behaviors consist of shyness and avoidance
in situations she perceives as unsafe and she prefers social isolation to
engagement with others. In the past, Geri preferred to avoid social situa-
tions because it protected her from the possibility of making mistakes and
being rejected. Her beliefs are consistent with an avoidant personality pat-
tern in which she tends to perceive situations as threatening and unsafe
and subsequently withdraws from others to feel safe. Behaviorally, this
pattern of avoidance manifests itself in shyness, distrust, and social isola-
tion, and since early life has resulted in skill deficits including assertive
communication, negotiation, conflict resolution, and friendship skills. In
short, her pattern can be understood in light of demanding, critical, and
emotionally unavailable parents, the teasing and criticism of peers, and
her response of withdrawal and avoidance behavior which limited the
learning of adaptive relational skills (predisposition). This pattern is main-
tained by her shyness, the fact that she lives alone, her limited social skills,
and that she finds it safer to socially isolate (perpetuants).
She identifies as middle-class African American but is not involved
with that community (cultural identity). She and her parents are highly
acculturated, and there is no obvious acculturative stress (culture-
acculturation). She believes that her depression is the result of stresses at
work and a “chemical imbalance” in her brain (cultural explanation). There
are no obvious cultural factors that are operative. Instead, it appears that
Geri’s personality dynamics are significantly operative in her current clin-
ical presentation (culture v. personality).
in relating to others (treatment pattern). Treatment goals include reduc-
ing depressive symptoms, increasing interpersonal and friendship skills,
and returning to work and establishing a supportive social network there
(treatment goals). The treatment focus is to analyze troublesome situations
triggered or exacerbated by her maladaptive beliefs and behaviors (treat-
ment focus). The basic treatment strategy will be to identify and modify
specific maladaptive beliefs and behaviors and utilize support, cogni-
tive restructuring, replacement, exposure, and skills training as primary
strategies (treatment strategy). Initially, behavioral activation will be used
in conjunction with medication to reduce her clinical depression and
energize her sufficiently to be able to participate in therapy and be ready
118
to return to work, and she will be referred for medication evaluation

along with medication monitoring, if indicated. Increasing relational and
friendship skills are best accomplished in a psychoeducation group and
individual therapy will be useful in transitioning her to such a group.
Her maladaptive beliefs will be processed with guided discovery, and
she will be taught to self-monitor thoughts, behaviors, and feelings, and
to challenge them with the Automatic Thought Record (treatment inter-
vention). Some obstacles and challenges to treatment can be anticipated.
Given her avoidant personality structure, ambivalent resistance is likely.
It can anticipated that she would have difficulty discussing personal mat-
ters with practitioners, and that she would “test” and provoke practitio-
ners into criticizing her for changing or canceling appointments at the
last minute, being late, and that she might procrastinate, avoid feelings,
and otherwise test the practitioner’s trustability. Once trust in the practi-
tioner is achieved, she is likely to cling to the practitioner and treatment
and thus termination may be difficult unless her social support system
outside of therapy is increased. Furthermore, her pattern of avoidance
is likely to make entry into and continuation with group work diffi-
cult. Therefore, individual sessions can serve as a transition into group,
including having some contact with the group practitioner who will pre-
sumably be accepting and non-judgmental. This should increase Geri’s
feeling of safety and make self-disclosure in a group setting less diffi-
cult. Transference enactment is another consideration. Given the extent
of parental and peer criticism and teasing, it is anticipated that any per-
ceived impatience and verbal or nonverbal indications of criticalness by
the practitioner will activate this transference. Finally, because of her
tendency to cling to others with whom she trusts, increasing her capac-
ity to feel more confident in functioning with greater independence and
increasing time between the last 4–5 sessions can reduce her ambivalence
about termination (treatment obstacles). Treatment progress does not seem
dependent on cultural or even culturally-sensitive interventions at this
time. However, gender dynamics could impact the therapeutic relation-
ship given her strained relationship with her father and limited involve-
ment with men ever since. Accordingly, female practitioners for both
individual and group therapy appear to be indicated in the initial phase
of treatment (treatment-cultural). Assuming that Geri increases her self-
confidence, relational skills, and social contacts in and outside therapy,
as well as returns to work, her prognosis is adjudged to be good; if not, it
is guarded (treatment prognosis).
119
Case of Antwone
Antwone is an African American Navy seaman in his mid-20s who has
ordered him to undergo compulsory counseling. From infancy until the
time he enlisted in the Navy he lived in foster placements, mostly with an
abusive African American foster family.
assessment added the following: He stated that he is aggressive with
others because he is trying to protect himself against the hurt, arbitrary
judgments, rejection, and loss that he has experienced since early life.
This all started with his mother who abandoned him, and then his foster
family who both neglected and abused him. He is wary and defensive
around others, although he desires caring relationships. An assessment
of maladaptive behaviors and cognitions identified the following: He pre-
sented with problems with assertive communications, negotiation, con-
flict resolution, and very few friendship skills. He identified that he gets
in physical altercations almost every week and constantly feels angry and
confused. One of his automatic thoughts is: “I don’t get close to others
since they always harm or leave me.” Table 6.3 describes the results of the

Predisposition Maladaptive cognitions: views himself as defective, but
also as industrious and self-protective; views the
world as dangerous, unfair and demanding and
others as hurtful and rejecting; Maladaptive schemas:
defectiveness, abuse/mistrust, punitiveness
Maladaptive behaviors: lashes out and becomes defensive
at perceived injustices when he anticipates rejection;
he is wary and defensive around others; problems
with assertive communications, negotiation, conflict
resolution, and very few friendship skills
120
Perpetuant limited capacity for emotional regulation, lacks conflict

resolution skills
Cultural identity African American with some conflict about ethnic ties
Acculturation and highly acculturated with considerable acculturative
acculturative stress stress
and superiors
Treatment goals increase emotional self-regulation, particularly
increasing control over his anger and impulsivity, and
improving assertive communication and conflict
regulation skills
exposure; skill training/psychoeducation
behavioral replacement; behavioral activation;
exposure; skills training
Treatment obstacles “test” practitioner; aggressive attitude; over
dependence on practitioner; difficulty with termination
Prognosis good to very good
Cultural treatment therapeutically frame and process his foster family’s
their ancestors to him; Bibliotherapy.
diagnostic and Cognitive-Behavioral assessment summarized for the key

elements of a full-scale case conceptualization.

Antwone’s verbal and physical lashing out at others and his confusion
about others’ intentions (presentation) appears to be his response to the
121
taunting and provocation of his peers, or the arbitrary actions of authority

figures which he tends to perceive as unjust or racially motivated (precipi-
tant). Throughout his life, Antwone has sought to be accepted and make
sense of being neglected, abused, abandoned, and to protect himself by
aggressively striking back and conditionally relating to others in the face
of perceived threat or injustice (pattern). His reaction can be understood
as his aggressive and impulsive means of protecting himself against the
hurt, arbitrary judgments, rejection, and loss that he has experienced from
his birth mother and adoptive family. Antwone learned that aggressive
behavior is used to communicate and to neutralize or defeat others. Ant-
wone had a history of emotional, verbal, and physical abuse as a child. He
also experienced neglect and a history of abandonment. Cognitively, his
self-view involves core beliefs about being defective and that others typi-
cally harm or abuse him. His world view involves core beliefs about life
being dangerous, unfair and that others are harmful and rejecting. These
are reflected in maladaptive schema of defectiveness, mistrust/abuse, and
punitiveness. Behaviorally, this pattern of striking back and conditionally
relating to others since early life, has resulted in skill deficits including
assertive communications, negotiation, conflict resolution, and friendship
skills (predisposition). His limited capacity for emotional regulation, along
with deficits in conflict resolution skills, serves to maintain this pattern
(perpetuants).
to experience considerable acculturative stress which seems to be
exacerbated by his cultural beliefs explanatory model (acculturation). He
The challenge is for Antwone to function more effectively in relating
to others while being careful in getting to know and trust them (treatment
pattern).
122
(treatment goals). These goals would foster a more adaptive pattern in

which he can care before more fully connecting with others. The treat-
ment focus is to analyze troublesome situations triggered or exacerbated
by maladaptive beliefs and/or behaviors (treatment focus). The therapeutic
strategy will be to identify and modify specific maladaptive beliefs and
behaviors with cognitive restructuring, replacement, exposure, and skill
training/psychoeducation (treatment strategy). His maladaptive beliefs
will be processed with guided discovery, and he will be taught to self-
monitor thoughts, behaviors and feelings and to challenge them with
the Automatic Thought Record. Increasing conflict regulation and rela-
tional skills will be accomplished in a psychoeducation group. Behavioral
replacement will be implemented in individual therapy to help him find
alternative behaviors when he becomes anger or is involved in a conflict.
Other interventions will include Socratic questioning, examining the evi-
dence, disputation, cognitive and behavioral replacement (treatment inter-
vention). Specific treatment obstacles and challenges can be anticipated.
These include the likely possibility that Antwone will quickly identify
with a caring practitioner as the positive father figure and role model
that he has never had. It is also likely that this will engender a predict-
able transference-countertransference enactment which may result in
him aggressively acting out (treatment obstacles). In addition to addressing
personality and interpersonal treatment targets, an effective treatment
outcome will require addressing the cultural dimension of prejudice, not
only prejudice from White peers and superiors, but also his experience of
Black-on-Black prejudice. It may be useful to therapeutically frame his fos-
ter family’s prejudice and abuse toward him in terms of self-loathing that
was passed down from their ancestors to him; then, it can be therapeuti-
cally processed. Because he is an avid reader, bibliotherapy, i.e., books and
articles that analyze and explain this type of prejudice could be a useful
therapeutic adjunct (treatment-cultural). Antwone brings several strengths
and resources to therapy including intelligence, he is a reader with wide
interests, he received regular promotions in rank, at least until recently, he
writes poetry, and he has learned two foreign languages. These resources
plus his motivation to change suggest a good to very good prognosis
123
Case of Maria
Maria is a 17-year-old first-generation Mexican-American female who was
referred for counseling because of mood shifts. She is conflicted about her
decision to go off to college instead of staying home caring for her termi-
nally ill mother. Her family expects her to stay home. She is angry at her
older sister who left home at 17 after her parents insisted that her culture
“requires” her to take care of parents when they get old or become ill. Her
Anglo friends encourage her to go to college and pursue her dreams.
assessment added the following: She discussed that her parents, her
boyfriend, and her friends regularly tell her what she should be doing
with her life. She also believes that she is misunderstood by everyone, her
acceptance by others is conditional on her making the “right” decision,
and that she will end up being a failure. An assessment of maladaptive
behaviors and cognitions identified the following: She identified herself
as shy, passive, and “someone who always puts others first.” She identified
that she tries to avoid conflict as much as possible and she has recently
felt “stuck” and started drinking alcohol with friends to relax and forget
about everything that is bothering her. Some of her automatic thoughts
include “If I go to college my parents will not love me anymore,” “Nobody
understands me,” and “I don’t know what to do, I can’t handle this
situation.” Table 6.4 describes the results of the diagnostic and Cognitive-
Behavioral assessment summarized for the key elements of a full-scale
case conceptualization.

Presentation moodiness; confusion; experimentation with alcohol
use
Pattern-maladaptive meet others’ needs but not hers
124
Predisposition Maladaptive cognitions: views herself as nice yet

inadequate and needing to please others; views the
world and others as demanding, but insensitive to
her needs; Maladaptive schemas: self-sacrifice,
approval seeking, and defectiveness
Maladaptive behaviors: subservience and pleasing
behavior as well as underdeveloped assertive
communication skills; alcohol use for coping
Cultural identity working-class Mexican American
Treatment goals reduce maladaptive beliefs and behaviors develop
behavioral replacement; thought stopping; exposure;
skills training
advocate autonomy
125

Maria’s depressive symptoms, confusion, and recent experimentation with
alcohol use (presentation) seem to be her reaction to the pressures coming
from her parents, her friends, and herself to make a decision to either go
away to college next fall or to stay home and devote herself to the care of for
her parents, particularly her ill mother (precipitant). Throughout her life,
Maria has attempted to be a good daughter and friend and has become
increasingly stuck in meeting the needs of others at the expense of her
own needs (pattern). Her reaction is understandable given her upbringing
in a traditional Mexican-American family, in which family is highly val-
ued. Cognitively, her self-view involves core beliefs about being defective
and inadequate. Her world view involves core beliefs about the world and
others as demanding, but also insensitive to her needs. She believes that
she is a bad daughter if she leaves or will let herself down if she capitulates
to her parents expectations. Her beliefs are consistent with a dependent
personality pattern in which she tends to perceive situations as difficult
and unfair and subsequently puts others needs first and neglects her
own. Her maladaptive schemas include self-sacrifice, approval seeking,
and defectiveness. Behaviorally, this pattern of pleasing-others manifests
itself in shyness, passive communication, and neglecting her own needs,
and, since early life, has resulted in skill deficits including assertive com-
munications, negotiation, and conflict resolution (predisposition). Her low
level of assertiveness and unwillingness to disappoint her parents serves
to maintain this pattern (perpetuant).
mandate that the oldest daughter would meet her parents needs rather
aspirations is quite distressing for her (acculturation & stress). Her explana-
tory model is that her problems are due to a “lack of faith” a belief that is
ily experienced some discrimination upon arrival here, it ended by mov-
ing to a “safer” Mexican-American neighborhood (cultural explanation). It
appears that both personality and cultural factors are operative. Specifi-
cally, cultural dynamics that foster dependency, i.e., good daughters care
126
for their parents without question, serve to reinforce her dependent per-
sonality dynamics (culture v. personality).
her own needs in addition to the needs others (treatment pattern). Treat-
ment goals include increasing her sense of self-efficacy and capacity for
assertively making and articulating decisions (treatment goals). A second-
ary goal is to decrease her moodiness, which may well be situational and
resolve as she can communicate her needs and rationale more assertively.
The treatment focus is to analyze troublesome situations triggered or
exacerbated by maladaptive beliefs and/or behaviors (treatment focus). The
therapeutic strategy will be to identify and modify specific maladaptive
beliefs and behaviors with cognitive restructuring, replacement, expo-
sure, and skill training/psychoeducation (treatment strategy).
(treatment intervention). In terms of likely treatment obstacles and chal-

lenges, it is likely that Maria will attempt to please the practitioner by
readily agreeing to practitioner’s suggestions and between session assign-
ments, but afterwards become conflicted and then fail to follow up. It
is also likely that the client will capitulate to her parents’ expectations.
Accordingly, the practitioner might early in treatment make the predictive
interpretation that this might occur, but that it does not indicate failure,
and that it can be therapeutically processed. Finally, practitioners working
with dependent clients need to anticipate how their own needs and values
may become treatment obstacles. This can occur when they unwittingly
advocate for and expect clients to embrace independence and autonomy
before the client is sufficiently ready (treatment obstacles). Effective treat-
ment outcomes will also address relevant cultural dynamics. Specifically,
this may involve therapeutically processing her explanatory model that
a lack of faith is the source of her problem. Depending on the saliency
and strength of this belief, education and cognitive disputation may be
127
indicated. The cultural expectation about caring for her parents in light of
her need to please would also be processed. In addition, family sessions
may be indicated wherein her parents can review and revise their cul-
tural expectations of her (treatment-cultural). Besides the impact of person-
ality and culture, the resources that Maria brings to therapy influence her
prognosis. She is bright, successful in school, and has already identified
her needs and career aspirations. At this point, however, given her lower
level of acculturation and dependent personality dynamics, her prognosis
is the fair to good range (treatment prognosis).
Case of Richard
Richard is a 41-year-old, Caucasian male who is being evaluated for anxi-
on his own, is employed as a machine operator, and frequents night clubs
jobs over the past 6 years, and has been fired from his last job because
coworker. He is the only child of alcoholic parents whom he describes as
assessment added the following: As a child, he observed that adults fight,
attack each other, and neglect and terrify their children. Since childhood,
he has had challenges with perspective taking, friendship skills, emotional
regulation, and anger management. Today, he continues to have tumultu-
ous relationships with a great deal of conflict. During the interview Richard
presented with an arrogant attitude and he even questioned the creden-
tials of the practitioner. An assessment of maladaptive behaviors and cog-
nitions identified the following: He identified problems in controlling his
anger and stated that his ex-wife called him impulsive and demanding.
He described people as being “all good” or “all bad” and reported that he
“can’t cope with all of these toxic people” in his life. Two of his automatic
thoughts are: “If my friends don’t call me it means they don’t want me
around” and “I need a woman for me to be happy.” Table 6.5 describes
the results of the diagnostic and Cognitive-Behavioral assessment summa-
rized for the key elements of a full-scale case conceptualization.
128

Predisposition Maladaptive cognitions: views himself as entitled to
special considerations; views the world as his for the
taking and that others will available and responsive to
his needs; Maladaptive schemas: entitlement,
defectiveness, and emotional deprivation
Maladaptive behaviors: angry, short-tempered, impulsive,
neglectful, and demanding behaviors
Perpetuant. impulsivity; limited relationship skills; inability to
empathize
Cultural identity middle-class Caucasian male
Cultural explanation anxiety, anger, sadness caused by abusive, non-loving
parents
Treatment goals reduce maladaptive beliefs and behaviors develop more
adaptive beliefs and behaviors
behavioral replacement; exposure; skills training
dependence on practitioners; difficulty with termination
practitioners
to work
129

Richard’s angry outbursts, sadness, and anxiety (presentation) seem to
be reactions to his recent divorce (precipitant). From adolescence he has
elevated himself, while belittling and abusing others with an aggres-
sive style, making it difficult to sustain safe and satisfying relationships
(pattern).
(predisposition). This pattern is maintained by his inability to empathize,

impulsivity, and an inability to regulate his emotions (perpetuant).
Richard identifies as a middle-class Caucasian male (cultural iden-
tity). He appears to be highly acculturated with no obvious indications
of acculturative stress (acculturation & stress). He believes that his current
problems of anger, sadness, and anxiety result from the bad example he
received from his abusive and non-loving parents who fought constantly
when they drank (cultural explanation). Finally, personality dynamics are
predominant and adequately explain his presenting problem and pattern
(culture v. personality).
self-confident while endeavoring to be more respectful of others (treatment
pattern). Treatment goals include increasing his anger and impulse control,
and reducing sadness and anxiety. Treatment goals include increasing his
anger and impulse control, and reducing sadness and anxiety (treatment
goals). The treatment focus is to analyze troublesome situations triggered
or exacerbated by maladaptive beliefs and/or behaviors (treatment focus).
The basic treatment strategy will be to identify and modify Richard’s mal-
adaptive beliefs and behaviors. Treatment strategies compatible with the
treatment goals and focus include cognitive restructuring, replacement,
exposure, and skill training (treatment strategy). Increasing relational and
130
empathy skills and anger management are best accomplished in a psycho-

education group and individual therapy will be useful in transitioning
him to such groups. His maladaptive beliefs will be processed with guided
discovery, and he will be taught to self-monitor thoughts, behaviors and
feelings and to challenge them with the Automatic Thought Record. Cog-
nitive and behavioral replacement will be utilized to help him improve his
mood and to start leaving his home on weekends to play golf and spend
time with friends. Other interventions will include Socratic question-
ing, examining the evidence, disputation, thought stopping, behavioral
activation, exposure, and behavioral rehearsal and enactment (treatment
intervention). With regard to likely treatment obstacles and challenges, it
is likely that Richard will minimize his own problematic behaviors by
blaming circumstances or others. It can be expected that he will alter-
nate between idealization or devaluation of the practitioner, at least in the
beginning phase of therapy. His entitled and arrogant attitude could acti-
vate practitioner countertransference. Furthermore, since it is not uncom-
mon for clients with a narcissistic style to discontinue in treatment when
their symptoms, immediate conflicts or stressors are sufficiently reduced,
the practitioner who believes the client can profit from continued ther-
apy needs to point out—at the beginning of therapy and thereafter—that
until the client’s underlying maladaptive pattern is sufficiently changed,
similar issues and concerns will inevitably arise in the future (treatment
obstacles). Since the primary influence is personality dynamics, no cultural
focus to treatment is indicated (treatment-cultural). Finally, because of the
client’s conditional manner of relating, multiple job firings, and impulsiv-
ity, his prognosis is considered fair (treatment prognosis).
Case of Joan
Joan is a 47 year-old, married, Caucasian female referred for evaluation of
Although she minimizes her concerns, she describes a number of worries
non-supportive. At home she is criticized by her two teenage daughters
131
assessment added the following: Joan stated that she has always been
a very hard worker and considers herself a perfectionist. During the
interview she was concerned that if her responses to questions were too
long and she also reported feeling very anxious for the majority of the time.
An assessment of maladaptive behaviors and cognitions identified the
following: Since childhood she has had challenges with time management,
stress management, and self-soothing. She views herself as imperfect and
she views others as demanding, critical, and dependent upon her. Evidence
of some her automatic thoughts during the interview include “I have to
do everything because my husband can’t do anything right,” “I have to
be perfect because anything less is not good enough,” and “I can’t show
emotion because it is a sign of weakness.” Table 6.6 describes the results of
the diagnostic and Cognitive-Behavioral assessment summarized for the
key elements of a full-scale case conceptualization.

Joan’s somatic symptoms of heart palpitations and chest pain as well
as anxiety and insomnia (presentation) appear to be her reaction to the

Predisposition Maladaptive cognitions: views herself as reliable,
competent, righteous, and responsible but defective;
views the world as unpredictable and overly
demanding while others are irresponsible and
ineffective; Maladaptive schemas: unrelenting
standards, punitiveness, and emotional inhibition
Maladaptive behaviors: history of feeling avoidance,
overwork, and somatic symptoms during times of
increased stress; limited stress and time management
skills; few self-soothing skills
132

imbalance
Treatment goals reduce maladaptive beliefs and behaviors develop
Treatment interventions Socratic questioning; examining the evidence;
cognitive restructuring, including disputation;
self-monitoring and Automatic Thought Record;
cognitive and behavioral replacement; thought
stopping; exposure; skills training; stress reduction
and relaxation
Treatment obstacles “test” practitioners; likely to resist group therapy;
over dependence on practitioners; difficulty with
termination
practitioners
returns to work
increased stress at work and family issues (precipitant). Throughout her

life Joan has striven to achieve, be conscientious, make no mistakes, nor
show caring and the softer emotions in order to feel she has worth as
a person. All this conscientiousness and emotional distancing has nega-
tively affected her relations with her family and workers (pattern). Her
reaction is understandable in light of her core beliefs in which she views
herself as reliable, competent, righteous, and responsible but defective.
Joan views the world as unpredictable and overly demanding, while
133
others are irresponsible and ineffective. Her maladaptive schemas include

unrelenting standards, punitiveness, and emotional inhibition. These
beliefs are consistent with an obsessive-compulsive personality pattern in
which she tends to perceive situations as difficult and unsafe, and emo-
tionally withdraws from others to feel safe. Behaviorally, this pattern of
avoidance, overworking, and somatic symptoms manifest during times of
increased stress. Since early life, she has had skill deficits including time
management skills, self-soothing, and stress management. Joan has lim-
ited stress and time management skills (predisposition). This pattern seems
to be maintained and reinforced by perfectionism and over conscientious-
ness (perpetuant).
Joan identifies herself as an upper middle-class WASP female (cultural
identity). She is highly acculturated and there is no obvious indications of
The challenge for Joan to function more effectively is to be reasonably
achievement-oriented and conscientious, and more emotionally present to
family members and her employees (treatment pattern).
(treatment goals). The treatment focus is to analyze troublesome situations

triggered or exacerbated by her maladaptive beliefs and behaviors (treat-
ment focus). The basic treatment strategy will be to identify and modify
her specific maladaptive beliefs and behaviors. Treatment strategies that
support the treatment goal and focus include cognitive restructuring,
replacement, exposure, and skill training (treatment strategy). Her mal-
adaptive beliefs will be processed with guided discovery, and she will be
134
taught to self-monitor thoughts, behaviors and feelings and to challenge

them with the Automatic Thought Record. Cognitive restructuring will
also be utilized to revise these beliefs. Exposure will be implemented to
help Joan gain skills on coping with her performance being imperfect.
She will be taught thought stopping skills to cope with her ruminating
thoughts related to perfectionism. Increasing time management and
stress management skills will be best accomplished in a psychoeducation
group (treatment intervention). In terms of likely treatment obstacles and
challenges, it is probable that Joan will minimize certain issues, such as
her relationship with her father as well as her husband, believing they are
unrelated to her currents stressors. Her avoidant style can present chal-
lenges which the practitioner should be prepared to address. Also consis-
tent with her obsessive-compulsive style, she will have high expectations
for a successful outcome in therapy but is likely to undermine change
efforts while she appears to be cooperating with the therapeutic process
and pleasing the practitioner (treatment obstacles). Since the primary influ-
ence is personality dynamics, no cultural focus to treatment indicated
(treatment-cultural). Finally, to the extent to which therapy is able to work
through these challenges, her prognosis is good (prognosis).
SKILL BUILDING EXERCISES: COGNITIVE-

BEHAVIORAL CASE CONCEPTUALIZATIONS
Our experience in assisting others in learning and mastering case concep-

tualizations is that trainees and practitioners have increased their com-
petence and confidence with the use of this—and similar—skill building
exercises. Here is how it works. Besides the complete report of the Case of
Geri, there are four other cases in this chapter which are incomplete. You
will note that certain elements of the tables and the case conceptualiza-
tion statements are blank or open. These open spaces represent the signa-
ture elements of a particular case conceptualization model. In this chapter,
these open spaces provide you an opportunity to develop and enhance
your competence in Cognitive-Behavioral case conceptualizations with
the aid of specific prompts.
information on the case as well as the Cognitive-Behavioral Assessment
135
section. It should provide sufficient information to develop a “Treatment

Goal” statement. If you need a brief prompt, review the “Treatment Goal”
section of the Table 6.3. Then, write one or more sentences that translate
the key points of this signature element in the open space for “Treatment
Goal” in the case conceptualization statement.
Next, go to the case of Maria and you will find that the case conceptu-
alization statement has an open space for “Treatment Intervention.” Then,
specify treatment interventions that are appropriate for this case. If you
need a prompt review the signature element of “Treatment Intervention”
in Table 6.3. Move on to the cases of Richard and Joan where you will find
that your responses will be exactly the same, but rather that they will be
cases of Maria, Richard, and Joan. Following these same instructions
will provide you with additional experience in constructing Cognitive-
Behavioral Case Conceptualizations.
CONCLUDING NOTE
The Cognitive-Behavioral model of case conceptualization was described

and illustrated. The basic premises of the Cognitive-Behavioral per-
spective were listed and the factors involved in a Cognitive-Behavioral
assessment were discussed. The Cognitive-Behavioral model of case con-
ceptualization was then applied to five cases and illustrated with their
clinical, cultural, and treatment formulations. Chapter 7 analyzes and
illustrates these same five cases with the brief dynamic model of case
conceptualization.
REFERENCES
Craske, M. G. (2010). Cognitive-behavioral therapy. Washington, DC: American Psy-

chological Association.
Hwang, W. (2006). The psychotherapy adaptation and modification framework:
Application to Asian Americans. American Psychologist, 61, 702–715.
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Kirk, J. (1989). Cognitive-behavioral assessment. In K. Hawton, P. M. Salkovskis, J.

Kirk, & D. M. Clark (Eds.), Cognitive behaviour therapy for psychiatric problems:
A practical guide (pp. 13–51). New York, NY: Oxford University Press.
Ledley, D. R., Marx, B. P., & Heimberg, R. G. (2005). Making cognitive-behavioral
therapy work: Clinical process for new practitioners. New York, NY: Guilford.
McCullough, J. (2000). Treatment for chronic depression: Cognitive behavioral analysis
system of psychotherapy. New York, NY: Guilford.
Miranda, J., Nakamura, R., & Bernal, G. (2003). Including ethnic minorities in
mental health Intervention research: A practical approach to a long-standing
problem. Culture, Medicine, and Psychiatry, 27, 467–486.
Newman, C. (in press). Core competencies in cognitive behavior therapy. New York,
NY: Routledge.
Wright, J., Basco, M., & Thase, M. (2006). Learning cognitive-behavior therapy: An
illustrated guide. Washington, DC: American Psychiatric Press.
APPENDIX
Case of Antwone
Treatment Goal
Treatment goals include emotional self-regulation, particularly increasing
control over his anger and impulsivity, and improving assertive commu-
nication and conflict regulation skills.
Case of Maria
Increasing relational and assertiveness skills will be accomplished
in a psychoeducation group and individual therapy will be useful
in transitioning her to such a group. Her maladaptive beliefs will be
processed with guided discovery, and she will be taught to self-monitor
thoughts, behaviors, and feelings and to challenge them with the
Automatic Thought Record. Role play will be used to help her improve
her assertiveness skills while the practitioner can also work with her on
disputing some of her irrational beliefs about specific situations. Other
interventions will include Socratic questioning, examining the evidence,
cognitive and behavioral replacement, thought stopping, and exposure.
137
Case of Richard
Predisposition
Richard’s overt problems are understandable when viewed as a conse-
quence of his core beliefs. Richard views himself as entitled to special
considerations. He views the world as his for the taking and that oth-
ers will be available and responsive to his needs. His maladaptive sche-
mas include entitlement, defectiveness, and emotional deprivation. These
beliefs are consistent with a narcissistic personality pattern in which he
tends to perceive situations as serving to his needs. Maladaptive behav-
iors consist of anger, emotional dysregulation, impulsivity, and demand-
ingness. Behavior deficits include limited relational skills, including the
capacity to respond with empathy.
Case of Joan
Treatment Goal
Primary treatment goals include decreasing her job and family stressors,
and increasing her ability and willingness to be emotionally available to
her employees and her family members. A secondary goal is to restruc-
ture her core beliefs about herself and her view of the world.
138
7
Brief Dynamic Case
Conceptualizations
Of the several psychodynamic approaches, the interpersonal dynamic
psychotherapies are currently in vogue. Among these, Brief Dynamic
Psychotherapy, also known as Time-Limited Dynamic Psychotherapy
(Strupp & Binder, 1984; Binder, 2004; Levenson, 1995), is a commonly used
and research-based approach and is the focus of this chapter. The goals
of Brief Dynamic Psychotherapy treatment are to foster client insight and
facilitate corrective emotional experiences (Levenson, 1995). This chap-
ter begins with a description of the Brief Dynamic perspective and its
basic premises. Next, it describes the factors involved in a Brief Dynamic
assessment and provides some guidelines for summarizing this type of
assessment. Then, it describes the process of developing and writing a
Brief Dynamic case conceptualization. This process is then applied to the
five cases introduced in Chapter 1.
BRIEF DYNAMIC PERSPECTIVE
This perspective is based on the observation that early in life, clients

develop a cyclic maladaptive pattern of relating to others and this pattern
influences all aspects of their life functioning in the present. Levenson
(1995, 2010) identified its major goals as providing new experiences for
the client within oneself and relationally with others, and assisting the
139
client in finding new understandings or insight into themselves and

their relationships. This perspective assumes that client’s maladaptive
interpersonal patterns are reenacted in therapy, and practitioners will
be influenced by the client’s enactments. The practitioner’s role is that
of participant and observer, while also relating to the client in a caring
and supportive, as well as directive and active manner. Psychopathology
is understood to be rooted in faulty relationship patterns with early
caregivers, and these maladaptive patterns are nearly always reflected in
presenting symptoms and interpersonal distress and dissatisfaction.
Among all the perspectives described in this book, this one is unique
in its emphasis on in-session enactments that foster insight and corrective
interpersonal experiences. It also utilizes the practitioner’s own objective
or interactive countertransferential reaction to the client, objective in the
sense that the reactions would be similar to most other practitioners who
have contact with the client. This contrasts with the more “subjective coun-
tertransference” that reflects the practitioner’s own unfinished business.
A maladaptive pattern that is cyclic in nature, reflects a client’s
repetitive and maladaptive interactions, particularly the inflexible, self-
perpetuating behaviors, self-defeating expectations, and negative self-
appraisals that lead to dysfunctional interactions with others (Butler &
Binder, 1987; Bulter, Strupp, & Binder, 1993). Deriving a cyclical maladap-
tive pattern allows the practitioner to understand the clients current and
historical relational patterns and process them in a brief psychodynamic
fashion. Four aspects of the clients’ maladaptive pattern are specified
(Levenson, 2010):
1. Acts of Self: Include thoughts, feelings, motives, perceptions, and

behaviors of the client (interpersonally).
2. Expectations of Others: Pertains to how the client imagines others will
react to them in response to their behavior (act of self).
3. Acts of Others towards the Self: Consists of the actual behaviors of oth-
ers, as observed or perceived (or assumed) by the client.
4. Acts of the Self towards the Self (introject): Involve all of the clients’
behaviors or attitudes toward themselves.
In short, this approach “assumes that a client has unwittingly

developed over time a self-perpetuating, maladaptive pattern of relating
to others, and that this pattern underlies the client’s presenting issues. The
practitioner’s job is to use the clinical relationship to facilitate for the client
140
BRIEF DYNAMIC CASE CONCEPTUALIZATIONS
a new experience of relating, allowing the client to break the old pattern
and thereby resolve the presenting issues” (Levenson, 2007, p. 76).
The next two sections describe Brief Dynamic assessment and the
Brief Dynamic case conceptualization method.
BRIEF DYNAMIC ASSESSMENT
A Brief Dynamic assessment emphasizes factors that add additional infor-

mation to the diagnostic assessment and facilitate the development of
theory-based clinical and treatment formulations. Assessment focuses on
both the current situations and predisposing factors, i.e., cyclical maladap-
tive patterns. This analysis includes steps identified by Levenson (2010):
1. Let the client tell their story.

2. Conduct an “anchored history” in which they identify what precipi-
tated particular actions, feelings, and attributions. They start where
the client is and get a deeper understanding of the client’s dynamics.
3. Attend to the emotional flavor of the client’s narrative. Pay attention
to verbal and non-verbal communication.
4. Explore the emotional context of the presenting symptoms or prob-
lems: When did the problems start? What interpersonal dynamics
were going on in the client’s life at that time? Where is the client’s
pain? What did the client have to disown, tone down, or distort in
themselves to be more acceptable to others?
5. Listen, observe, and probe for relevant information to derive the cli-
ent’s maladaptive relational pattern. Practitioners should ask them-
selves the following questions as they endeavor to understand the
client’s cyclic pattern (Binder, 2004):
Acts of Self: What are the clients’ wishes and intentions regard-
ing the other person? How does the client behave toward the
other person?
Expectations of Others: What does the client assume or expect are
the other person’s intentions of the other person? What are the
client’s reactions?
Acts of Others towards the Self: How does the client perceive and
interpret the actions and intentions of the other person? What
are the client’s reactions?
141
Acts of the Self towards the Self (introject): How does a client treat
himself? How does the client’s experience of the interactions
and relationship with the other influence the manner in which
the patient views and treats himself or herself?
Interactive countertransference: What is my objective reaction to
the client: do I experience being unaffected, drawn toward,
pushed back or repelled by the client, or both drawn toward
and pushed back?
BRIEF DYNAMIC CASE

CONCEPTUALIZATION METHOD
A Brief Dynamic case conceptualization is based on the client’s cyclic mal-

adaptive pattern of relating to others and how this pattern influences all
aspects of a clients’ life functioning. Information and inferences derived
from the Brief Dynamic Assessment are formulated into a full-scale case
conceptualization, which can be shared and discussed with the client.
Essentially, the diagnostic and clinical formulation components outline
the client’s patterns of relating to others, the manner in which they treat
themselves, and how they view themselves, i.e., introjects. The cultural
formulation component provides an explanation of cultural dynamics and
interaction with personality dynamics, if operative. Finally, the treatment
formulation component provides a map for shifting to a more adaptive
relational pattern. The Brief Dynamic model of case conceptualization as
presented here is similar to the other four theoretical models described
in this book in that it shares several common elements. Yet, it is also dif-
fers from the other four models because of its signature elements. These
include: predisposition, treatment goals, treatment focus, treatment strat-
egy, and treatment interventions. Table 7.1 identifies and describes these
five signature elements.
BRIEF DYNAMIC CASE

The process of constructing a Brief Dynamic case conceptualization is

142
Table 7.1 Signature Elements of the Brief Dynamic Case Conceptualization

Predisposition cyclical maladaptive pattern [acts of the self, acts of others
toward the self, expectations of others, acts of the self
towards the self]
Treatment goals insight (new understandings) corrective relational
experiences (new experiences)
Treatment focus troublesome interpersonal relationships triggered by his
cyclic maladaptive pattern
Treatment Basic treatment strategy: use of the therapeutic relationship
strategies to foster experiential interpersonal learning and revise
and refine the cyclic pattern
Common strategies: support; interpretation; corrective
emotional experience
Treatment Revision/refinement of the cyclic maladaptive pattern
interventions dynamics interpretations
transference analysis
clarification and confrontation, working through incisive
questioning, coaching, and practice
[intentional pragmatism: selective use of other approaches’
interventions]
each case, there is an assessment paragraph that identifies key information

germane to this model. Then a table summarizes the nine elements from
paragraph reports the diagnostic and clinical formulation, the second
paragraph reports the cultural formulation, while the third reports the
treatment formulation.
Case of Geri
Geri is a 35-year-old, African American female who works as an admin-
istrative assistant. She is single, lives alone, and was referred by her
company’s human resources director for evaluation and treatment fol-
lowing 3 weeks of depression and social isolation. Her absence from work
prompted the referral. Geri’s symptoms began soon after her supervisor
143
told her that she was being considered for a promotion. As a child, she
reports isolating and avoiding others when she was criticized and teased
by family members and peers. She is highly acculturated and believes
that her depression is a result of work stress and a “chemical imbalance”
in her brain.
Brief Dynamic Assessment

Besides diagnostic assessment information, the dynamic assessment
added the following: Geri had difficulty relating to her peers both in early
life as well as currently. Then, she was criticized, teased, and made fun
of by peers. Now, she avoids being criticized and teased by isolating her-
self from others. She did not have a best friend growing up, but currently
trusts one coworker. She views herself as inadequate and defective and
is very self-critical. She described feeling disgusted with herself several
times during the interview, and cried when she spoke about her expecta-
tion that others would be critical of her. She also mentioned that others,
starting with her father, are demanding and judgmental. She recalled
being called “fat” and “stupid” by her peers and family. She reported that
for years she has had little or no contact with her parents nor her brother,
and has never been in a long-term relationship. Finally, it is interesting
to note the practitioner’s own interactive countertransference to Geri:
the practitioner initially experienced being drawn toward her and then
pushed away.
Table 7.2 describes the results of the diagnostic and Brief dynamic
assessment which are summarized for the key elements of a full-scale

them at other times; as result she lacks key social skills and has a limited
social network (pattern). Her reaction and pattern can be understood in
light of her history of avoidance and critical figures in her life. She avoids
most relationships and has a history of social isolation throughout her life.
144

Precipitant impending job promotion and transfer out of a close-knit
work group
Pattern-maladaptive disconnects (withdraws) when feeling unsafe
Predisposition acts of the self: depressed and worried about job
promotion
acts of others toward the self: critical family and peers; one
close friend
expectations of others: judgmental, critical, demanding of
her
acts of the self towards the self (introject): inadequate;
defective; self critical
Perpetuant relational dynamics; shyness; living alone; generalized
social isolation
imbalance
Treatment goals experience insight and corrective interpersonal
experiences
Treatment focus troublesome interpersonal relationships triggered by her
cyclic pattern
Treatment strategy therapeutic relationship to foster experiential learning
and revise cyclic pattern; support; interpretation;
corrective emotional experience
Treatment revise and refine cyclic pattern; dynamic interpretation;
interventions transference analysis; coaching on relational skills and
practice; role playing
practitioners
Treatment prognosis good, if increased social connections, relationship skills,
and returns to work
145
While this serves to reduce the likelihood of being criticized and increase
her feeling of safety, she feels alone and secretly wishes for more friends
and an intimate relationship. Family members and coworkers are critical
of her, and she perceives some to be overly demanding. She had no best
friend growing up, but has one coworker she trusts. She assumes that if
she takes the promotion that she was recently offered, her new supervi-
sor will be both overly demanding and critical of her work performance.
She views herself as inadequate and is very self-critical, and she expects
others to be demanding and critical (predisposition). This cyclic pattern is
skills, and the safety of avoidance and social isolation (perpetuants).
with that community (cultural identity). She is highly acculturated, as are
her parents, and there is no obvious acculturative stress (culture-accultur-
ation). She believes that her depression is the result of stresses at work
and a “chemical imbalance” in her brain (cultural explanation). There are no
obvious cultural factors that are operative. Instead, it appears that Geri’s
personality dynamics are significantly operative in her current clinical
presentation (culture v. personality).
The challenge of change for Geri will be to function more effectively
and feel safer in relating to others (treatment pattern). The primary goals of
treatment are to decrease depressive symptoms, foster insight, enhance
interpersonal problem solving skills, and encourage corrective emotional
and interpersonal experiences (treatment goals). Treatment that is focused
primarily on addressing Geri’s troublesome relational situations that are
triggered by her cyclic maladaptive relational pattern will keep the treat-
ment goals in the forefront of therapy (treatment focus). The basic treat-
ment strategy is to utilize the therapeutic relationship to facilitate new
relational experiences and understanding and revising the maladaptive
pattern. Related strategies include support, interpretation, role playing,
and medication (treatment strategy). Supportive techniques will be used
to affirm her and encourage her to be more proactive in seeking out rela-
tionships with others. Transference-countertransference enactments will
be analyzed and processed as they arise. Role playing specific troubling
situation will be used to increase Geri’s awareness of her cyclic pattern,
and to foster corrective emotional experiences. Other interventions will
include dynamic interpretations to foster insight, coaching to develop
relational skills, and then practicing these skills. Referral will be made
for a medication evaluation and, if indicated, medication monitoring will
146
be arranged (treatment interventions). Some obstacles and challenges to

treatment can be anticipated. Given her avoidant personality structure,
ambivalent resistance is likely. It can anticipated that she would have dif-
ficulty discussing personal matters with practitioners and that she would
“test” and provoke practitioners into criticizing her for changing or can-
celing appointments at the last minute, being late, and that she might
procrastinate, avoid feelings, and otherwise test the practitioner’s trust-
ability. Once trust in the practitioner is achieved, she is likely to cling to
the practitioner and treatment; termination may be difficult unless her
social support system outside therapy is increased. Furthermore, her
pattern of avoidance is likely to make entry into and continuation with
group work difficult. Therefore, individual sessions can serve as a transi-
tion into group, including having some contact with the group practitio-
ner who will presumably be accepting and non-judgmental. This should
increase Geri’s feeling of safety and make self-disclosure in a group set-
ting less difficult. Transference enactment is another consideration. Given
the extent of parental and peer criticism and teasing, it is anticipated that
any perceived impatience and verbal or nonverbal indications of critical-
ness by the practitioner will activate this transference. Finally, because
of her tendency to cling to others with whom she trusts, increasing her
capacity to feel more confident in functioning with greater independence
and increasing time between the last 4–5 sessions can reduce her ambiva-
lence about termination (treatment obstacles). Treatment progress does not
seem dependent on cultural or even culturally-sensitive interventions
at this time. However, gender dynamics could impact the therapeutic
relationship given her strained relationship with her father and limited
involvement with men ever since. Accordingly, female practitioners for
both individual and group therapy appear to be indicated in the initial
phase of treatment (treatment-cultural). Assuming that Geri increases her
self-confidence, relational skills, and social contacts in and outside ther-
apy, as well as returns to work, her prognosis is adjudged to be good; if
not it is guarded (treatment prognosis).
Case of Antwone
Antwone is an African American, Navy seaman in his mid-20s who has
ordered him to undergo compulsory counseling. He reported being placed
in foster care as an infant, and was neglected and abused— emotionally,
147
verbally, and physically—by his African American foster family, particu-

larly by his adoptive mother who used racial slurs to intimidate him. At
age 15, he would no longer endure her abuse and tyranny, and confronted
her which resulted in him being thrown out on the street.

added the following:
Antwone had difficulty relating to his peers both in early life as well
as currently. In the past, he was taunted and teased by his peers. Now he
fights back and identified being extremely sensitive to perceived injus-
tices. He discussed his history of being abused—emotionally, verbally,
sexually, and physically—by his African American foster family. He
recalled many episodes of corporal punishment from his adoptive mother.
Based on these and related experiences of abuse and neglect, he has come
to expect that others will harm him and treat him unfairly. He is often
angry with himself and tends to focus on information that makes him
angry. He views himself as inadequate and unlovable. During the inter-
view he shifted from being comfortable with the practitioner to quickly
seeming suspicious of the practitioner’s intentions and withdrawing from
the discussion by using one word responses and becoming angry with
innocuous questions. Finally, the practitioner’s own interactive counter-
transference to Antwone can be noted. The practitioner initially experi-
enced being drawn toward him and then felt pushed away as Antwone’s
voice became noticeably strident in describing a past situation.
Table 7.3 describes the results of the diagnostic and Brief dynamic

Pattern-maladaptive strikes back and conditionally relates to others
148
Predisposition acts of the self: angry, enraged outbursts; depressed;

isolative
acts of others toward the self: abuse/neglect from family;
taunted by peers
expectations of others: others will harm or treat him
unfairly
acts of the self towards the self: confused/ruminates about
losses and rage
resolution skills; his cyclic pattern
and superiors
Treatment pattern be careful while more fully connecting with others
experiences
Treatment focus troublesome interpersonal relationships triggered by
his cyclic pattern
Treatment strategy use therapeutic relationship to foster experiential
learning and revise cyclic pattern; support;
interpretation; corrective emotional experience
Treatment revise and refine cyclic pattern; dynamic interpretation,
interventions transference analysis, coaching on relational skills and
practice; role playing
practitioner; aggressive acting out; depending and
149

Antwone’s verbal and physical lashing out at others and his subsequent
confusion about others’ intentions (presentation) appears to be his response
to the taunting and provocation of his peers, or the arbitrary actions of
authority figures which he tends to perceive as unjust or racially motivated
(precipitant). Throughout his life, Antwone has sought to be accepted and
to make sense of being neglected, abused, and abandoned. Over time he
developed a maladaptive pattern of relating to others where he preemp-
tively strikes back and conditionally relates to others in order to protect
himself (pattern). His presentation and pattern can be understood in light
of his ongoing experience of the harmful behavior of others’ beginning
with neglect by his biological mother who abandoned him at birth, several
years of physical, emotional, and sexual abuse by his adoptive family, and
the taunting by his Navy peers in the present. It is not surprising that he
becomes despondent and isolated. He has come to expect that others will
attempt to control him, harm him, and treat him unfairly. He is confused
about his fate, particularly the recent unexpected loss of his best friend.
He spends hours in solitary pursuits and ruminates about the cruelty and
injustice he has faced, yet seems convinced that his preemptive striking
back is justified and necessary to stay alive (predisposition). His limited
capacity for emotional regulation, self-justification about striking back,
and deficits in conflict resolution skills serve to maintain this cyclic pat-
tern (perpetuants).
Antwone identifies as African American who is somewhat con-
flicted about maintaining ties in the Black community (cultural identity).
Although he is highly acculturated, he continues to experience consider-
able acculturative stress, which seems to be exacerbated by his cultural
beliefs and explanatory model (acculturation). He believes that his prob-
lems result from racial degradation and abuse from his African American
foster family, as well as from racial provocations by his White peers and
Navy superiors (cultural explanation). It appears that both personality and
cultural factors are operative (culture v. personality).
The challenge of growth for Antwone will be to engage more fully
with others while at the same time exercising carefulness and discern-
ment. This more adaptive pattern will permit him to experience inter-
personal relations that are safe (treatment pattern). The primary goals of
treatment are to foster insight, enhance interpersonal problem solving
skills, and corrective emotional and interpersonal experiences (treatment
150
goals). Treatment that is focused primarily on Antwone’s troublesome

relationships will keep the treatment goals in the forefront of therapy
(treatment focus). The basic treatment strategy is to utilize the therapeutic
relationship to facilitate new relational experiences and understanding
and revising the maladaptive pattern. Supporting treatment strategies
include support, dynamic interpretation, and fostering corrective emo-
tional experiences with his Navy peers and superior (treatment strategies).
(treatment interventions). Specific treatment obstacles and challenges can be

anticipated. These include the likely possibility that Antwone will quickly
identify with a caring practitioner as the positive father figure and role
model that he has never had. It is also likely that this will engender a pre-
dictable transference-countertransference enactment which may result in
only prejudice from White peers and superiors, but also his experience of
Black-on-Black prejudice. It may be useful to therapeutically frame his fos-
ter family’s prejudice and abuse toward him in terms of self-loathing that
cally processed. Because he is an avid reader, bibliotherapy, i.e., books and
articles that analyze and explain this type of prejudice, could be a useful
therapeutic adjunct (treatment-cultural). Antwone brings several strengths
and resources to therapy including intelligence, he is a reader with wide
interests, he received regular promotions in rank, at least until recently,
he writes poetry, and has learned two foreign languages. These resources
plus his motivation to change suggest a good to very good prognosis
151
Case of Maria
Maria is a 17-year-old, first-generation, Mexican-American female who
was referred for counseling because of mood shifts. She is conflicted
about her decision to go off to college instead of staying home to care
for her terminally ill mother. Her family expects her to stay home. She
is angry at her older sister who left home at 17 after her parents insisted
that her culture “requires” taking care of parents when they get old or
become ill. Her Anglo friends encourage her to go to college and pursue
her dreams.

added the following: Maria began experimenting with alcohol and is
experiencing guilt and depressed mood. She is also conflicted believing
that she is a bad daughter if she leaves to go to college or that she will
relinquish her career aspirations if she stays home and cares for her par-
ents. She insists that her parents have already made many major decisions
for her already. She said that she is used to people telling her what to do
and even occasionally fears having to make decisions on her own. She
admitted to feeling somewhat dependent on her friends and family. She
discussed that her culture places a high demand on caring for parents if
any assistance is needed. She cried when speaking about her fear that her
parents will not love her if she does not stay home and care for them. She
views herself as inadequate and also feels stuck. Finally, it is interesting
to note the practitioner’s own interactive countertransference to Maria.
The practitioner initially felt pulled towards Maria, and was tempted to
tell her to break away from her cultural expectations. Table 7.4 describes
the results of the diagnostic and brief dynamic assessment which are
summarized for the key elements of a full-scale case conceptualization.

Competing demands of Maria’s parents, friends, and herself about her
future (precipitant) have resulted in feeling conflicted and experiencing
bouts of low energy, alcohol consumption, and feeling stuck (presentation).
This is largely because she pleases others, particularly her parents, while
neglecting her own needs and dreams (pattern).
152

Presentation moodiness; confusion; experimentation with alcohol use
Pattern-maladaptive meets others’ needs but not her own needs and desires and
is “stuck”
Predisposition acts of the self: symptoms of guilt and depression; drinking
alcohol to “relax”
acts of others toward the self: others tell her what to do with
her life
expectations of others: told what to do; lose parent love if
she goes to college
acts of the self towards the self (introject): feels inadequate and
stuck
Perpetuant dependent and pleasing style; low assertiveness; cultural
expectations, her cyclic pattern
Treatment pattern meets needs of herself and others
Treatment goals experience insight and corrective interpersonal experiences
cyclic pattern
Treatment strategy use therapeutic relationship to foster experiential learning
and revise cyclic pattern; interpretation; corrective
emotional experience
Treatment revise and refine cyclic pattern, dynamic interpretation,
interventions transference analysis, support; coaching on relational skills
and practice; role playing
advocate autonomy
Treatment-cultural process cultural expectations about caregiver role and need
to please; family sessions addressing parents’ cultural
expectations
153
(predisposition). Her low level of assertiveness and unwillingness to disap-

point her parents serves to maintain this pattern (perpetuant).
Maria identifies herself as a working-class Mexican American with
a moderate level of involvement in that heritage (cultural identity). Her
level of acculturation is in the low to moderate range; her parents’ level
ily experienced some discrimination upon arrival in the United States, it
ended by moving to a “safer” Mexican-American neighborhood (cultural
explanation). It appears that both personality and cultural factors are oper-
ative. Specifically, cultural dynamics that foster dependency, i.e., good
daughters care for their parents without question, serve to reinforce her
dependent personality dynamics (culture v. personality).
The challenge of growth for Maria will be to achieve a balance between
meeting needs of others and meeting her own needs (treatment pattern).
The primary goals of treatment are to foster insight, enhance interpersonal
problem solving skills, and to achieve corrective emotional and interper-
sonal experiences. Accomplishing these goals reflects a more adaptive
pattern (treatment goals). Treatment that is focused primarily on her trou-
blesome interpersonal relationships will keep the treatment goals in the
forefront of therapy (treatment focus). The basic treatment strategy will be to
use the therapeutic relationship to foster experiential learning and modify
and refine her cyclic pattern. Treatment strategies compatible with these
154
treatment goals and focus include utilizing the therapeutic relationship

to facilitate new relational experiences and understanding, and revising
her maladaptive pattern (treatment strategy). Supportive techniques will be
used to affirm her and encourage her to be more proactive in meeting her
own needs. A new interpersonal experience could include the practitioner
treating Maria in a way that empowers her to make her own decisions by
avoiding the temptation to tell Maria what to do. Additionally, increasing
Maria’s awareness of her cyclic pattern by assisting her to achieve aware-
ness and insight into her relational style will help her find a healthier pat-
tern. Transference-countertransference enactments will be analyzed and
processed as they arise. The practitioner will use therapeutic enactments
to increase Maria’s awareness of her cyclic pattern and to foster corrective
emotional experiences. The practitioner will facilitate corrective emotional
experiences by empowering Maria to meet her own needs and others more
effectively. Other interventions will include dynamic interpretations to fos-
ter insight, coaching to develop relational skills, and then practicing these
skills (treatment interventions). In terms of likely treatment obstacles and
challenges, it is probable that Maria will attempt to please the practitioner
by readily agreeing to the practitioner’s suggestions and between session
assignments, but afterwards become conflicted and then fail to follow up.
It is also likely that the client will capitulate to her parents’ expectations.
may be indicated wherein her parents can review and revise their cultural
expectations of her (treatment-cultural). Besides the impact of personality
and culture, the resources that Maria brings to therapy influence her prog-
nosis. She is bright, successful in school, and has already identified her
155
needs and career aspirations. At this point, however, given her lower level
of acculturation and dependent personality dynamics, her prognosis is in
the fair to good range (treatment prognosis).
Case of Richard
where he is “on the lookout for the perfect woman.” He has held four

Besides diagnostic assessment information, the TLDP assessment added
the following: Richard presented with sadness, outbursts of anger, and
anxiety. Richard has had difficulty relating to his peers both in early life
as well as currently. He reported that he has been fired from several jobs
due to his anger and has even punched his fist into a wall at his former
employer’s office. He was raised by alcoholic parents whom he describes
as “fighting all the time.” He identified that his parents were rarely emo-
tionally available to him. He mentioned feeling very lonely and depressed
throughout most of his childhood. More recently, his co-workers fear his
anger and are often intimidated by him. He typically expects that others
will be available and responsive to his needs. He mentioned that he is
very determined and will “step on others to get what I need.” He doubts
his abilities and is often self critical and angry with himself. Finally, it
is interesting to note the practitioner’s own interactive countertransfer-
ence to Richard. The practitioner felt pushed away from Richard and even
felt intimidated several times during the interview. Table 7.5 describes the
results of the diagnostic and brief dynamic assessment which are summa-
rized for the key elements of a full-scale case conceptualization.
156

Pattern-adaptive elevates self while belittling and using others
Predisposition acts of the self: angry outbursts, sadness, and anxiety
acts of others toward the self: abusive parent; wife
withdrew; fearful co-workers
expectations of others: expects others will be
unresponsive to his needs
acts of the self towards the self (introject): doubts his
abilities; feels inadequate
empathize; his cyclic pattern
Cultural explanation anxiety, anger, sadness caused by abusive, non-loving
parents
experiences
Treatment focus troublesome interpersonal relationships triggered by
his cyclic pattern
learning and revise cyclic pattern; interpretation;
Treatment interventions revise and refine cyclic pattern, dynamic
interpretation, transference analysis, support;
coaching on relational skills and practice; role playing
attitude
157

Richard’s angry outbursts, sadness, and anxiety (presentation) seem to be
reactions to his recent divorce (precipitant). Richard views himself as enti-
tled to special considerations. He views the world as his for the taking and
that others will be available and responsive to his needs. Throughout his
life, he has continued to elevate himself while belittling and using others
(pattern). Richard’s presentation and pattern can be understood in light of
his being abused and then belittling and using others. His pattern is cyclic
in that he is rigidly self-focused and expects others to meet his needs for
his own personal gain. His parents were described as constantly fighting
with each other and emotionally abusive to him. His former wife with-
drew from their relationship. His coworkers and friends fear his anger.
He expects that others will be unresponsive to his needs so he is overly
demanding and so he uses others to meet his needs. He views himself as
inadequate and doubts his abilities (predisposition). This pattern is main-
tained by his inability to empathize, impulsivity, and a lack of relational
skills (perpetuants).
He appears to be highly acculturated, and there are no obvious indications
The challenge of growth for Richard will be to achieve a more adap-
tive pattern in which he can feel confident about himself and meet his
needs while being respectful of others (treatment pattern).
158
(treatment goals). The basic treatment strategy will be to use the therapeu-
tic relationship to foster experiential learning and revise Richard’s cyclic
pattern. Treatment strategies supportive of the treatment goals and focus
include dynamic interpretations, transference analysis, role playing, and
coaching (treatment strategy). Supportive techniques will be used to affirm
him and encourage him to be more respectful in relating to others. Exam-
ining his relational patterns, in-session behavior, and dynamic interpreta-
tions to foster insight into his cyclic pattern serve as a prelude to change.
The therapeutic relationship will be used to foster corrective emotional
experiences with Richard. Coaching and role playing will be utilized to
increase his ability to empathize and respond more sensitively to oth-
ers (treatment interventions). With regard to likely treatment obstacles and
behaviors by blaming circumstances or others. It can be expected that he
will alternate between idealization or devaluation of the practitioner, at
least in the beginning phase of therapy. His entitled and arrogant atti-
the future (treatment obstacles). Since the primary influence is personality
dynamics, no cultural focus to treatment is indicated (treatment-cultural).
Case of Joan
Joan is a 47-year-old, married, Caucasian female referred for evaluation
of somatic symptoms, for which there was no obvious physiological
basis. Although she minimizes her concerns, she describes a number of
apprehensions and stressors. While she attempts to please her boss by
increasing the productivity of her employees, they complain that she is
too demanding and nonsupportive. At home she is criticized by her two
teenage daughters for not being emotionally available to them. She criti-
cizes herself for not being a better manager, parent, and spouse.
159

added the following: Joan has always thought of herself as someone who
did what was expected even at great personal sacrifice. She identified that
her employees complain that she is too demanding and nonsupportive,
and her two teenage daughters criticize her for not being emotionally
available to them. As a child, her parents encouraged her perfectionist
behaviors by telling her siblings to be more like her. She often expects that
others are unreliable and inconsistent and has difficulty entrusting other
family members with important tasks or household chores. She identi-
fied that she expects that others have high standards for her performance
and she also expects to be misunderstood. She views herself as a perfec-
tionist and is very self critical. She reported that she spends almost an
hour a day critiquing her performance and judging her work. Finally, it
is interesting to note the practitioner’s own interactive countertransfer-
ence to Joan. The practitioner initially experienced being drawn toward
her. Table 7.6 describes the results of the diagnostic and brief dynamic

life, Joan has striven to achieve, be conscientious, make no mistakes, and
avoids showing softer emotions, and vulnerability. All this conscientious-
ness and emotional distancing has negatively affected her relations with
her family and workers (pattern). Her presentation can be understood in
light of her lifelong pattern in which she has played the role of “good
daughter,” and always tried her hardest to be perfect and to please her
parents. Her employees complain that she is too demanding and non-
supportive, and her two teenage daughters criticize her for not being emo-
tionally available to them. She expects to be misunderstood which usually
happens, since she is not presenting herself fully. She also expects that
others have high standards for her performance. She often worries about
performing perfectly and is very self-critical (predisposition). This pattern
seems to be maintained and reinforced by constant activity, conscientious-
ness, avoidance, and related obsessive-compulsive features (perpetuants).
160

Pattern-adaptive overconscientious and emotionally distant
Predisposition acts of the self: anxiety; insomnia; heart palpitations and
chest pain
acts of others toward the self: parental demand for
perfection; complaints
expectations of others: high standards for her performance;
be misunderstood
acts of the self towards the self (introject): fear of not being
perfect; self critical
Perpetuant perfectionist, highly critical of herself and others; her
cyclic pattern
Cultural explanation problems result from stress and chemical brain imbalance
experiences
cyclic pattern
learning and revise cyclic pattern; support; interpretation;
Treatment revise and refine cyclic pattern; dynamic interpretation;
interventions transference analysis; support; coaching on relational
skills and practice; role playing
therapy
161
Joan identifies herself as an upper middle-class WASP female (cultural

identity). She is highly acculturated, and there are no obvious indications of
acculturative stress (acculturation & stress). She believes that her anxiety, sleep
problems, and physical symptoms result from increasing family and job
stressors and from a chemical imbalance in her brain (cultural explanation).
Finally, personality dynamics are predominant and adequately explain
her presenting problem and pattern (culture v. personality).
The challenge of growth for Joan will be to achieve a more adaptive
pattern in which she is able to be reasonably conscientious and productive
while at the same time emotionally present in interpersonal relationships
(treatment pattern). The primary goals of treatment are to foster insight,
enhance interpersonal problem solving skills, and corrective emotional
and interpersonal experiences. These goals will foster a more adaptive
pattern in which Joan can increase awareness of her cyclic pattern and
have new interpersonal experiences (treatment goals). Treatment that is
focused primarily on addressing Joan’s troublesome relationship patterns
will keep the treatment goals in the forefront of therapy (treatment focus).
The basic treatment strategy will be to use the therapeutic relationship
to foster experiential learning and modify her cyclic pattern. Treatment
strategies compatible with treatment goals and focus include support,
interpretation, and corrective emotional experience (treatment strategy).
(treatment interventions). The practitioner will use the relationship to foster

corrective emotional experiences with Joan and increase her awareness of
her cyclic pattern to enhance her ability to connect and communicate with
her family and employees. In terms of likely treatment obstacles and chal-
lenges, it is likely that Joan will minimize certain issues, such as her rela-
tionship with her father as well as with her husband, believing they are
162
for a successful outcome in therapy but is likely to “undermine” change
ence is personality dynamics, no cultural focus to treatment is indicated

will note that certain elements of the tables and the case conceptualization
statements are blank or open. These “open spaces” represent the signa-
your competence in Brief Dynamic case conceptualizations with the aid
of specific prompts.
information on the case as well as the Brief Dynamic Assessment section.
It should provide sufficient information to develop a “Treatment Inter-
vention” statement. If you need a brief prompt, review the “Treatment
Intervention” section of the Table 7.3. Then, write one or more sentences
that translates the key points of this signature element the open space for
“Treatment Intervention” in the case conceptualization statement.
Next, go to the case of Maria and you will find that the case concep-
tualization statement has an open space for “Predisposition.” Then, write
a Predisposition statement in such a way that it provides a compelling
explanation for Antwone’s pattern and presentation. If you need a prompt,
review the signature element of “Predisposition” in Table 7.3. Move on to
the cases of Richard and Joan where you will find blank spaces for you to
fill in other signature elements. The Appendix to this chapter contains our
responses to the open spaces. We don’t expect that your responses will be
exactly the same, but rather that they are thematically similar.
163
provide you with additional experience in constructing Brief Dynamic
CONCLUDING NOTE
The brief dynamic model of case conceptualization was described and

illustrated. The basic premises of the brief dynamic perspective were listed
and the factors involved in a brief dynamic assessment were discussed.
The brief dynamic method of case conceptualization was then applied to
five cases and illustrated with their clinical, cultural, and treatment for-
mulations. Chapter 8 analyzes and illustrates these same five cases with
the solution-focused model of case conceptualization.
REFERENCES

Butler, S. F., & Binder, J. L. (1987). Cyclical psychodynamics and the triangle of
insight. Psychiatry, 50, 218–231.
Bulter, S. F., Strupp, H. H., & Binder, J. L. (1993). Time-Limited dynamic psycho-
therapy. In S. Budman, M. Hoyt, & S. Friedman (Eds.), The first session in brief
therapy (pp. 87–110). New York, NY: Guilford.
Levenson, H. (1995). Time-limited dynamic psychotherapy. New York: Basic Books.
Levenson, H. (2010). Brief dynamic therapy. Washington, DC: American Psychologi-
cal Association.
Levenson, H., & Strupp, H. H. (2007). Cyclical maladaptive patterns: Case formu-
lation in time-limited dynamic psychotherapy. In T. D. Eells (Ed.), Handbook of
psychotherapy case formulation. (pp. 164–197). New York, NY: Guilford.
Strupp, H., & Binder, J. (1984). Psychotherapy in a new key, a guide to time-limited
dynamic psychotherapy. New York, NY: Basic Books.
164
APPENDIX
Case of Antwone
Transference-countertransference enactments will be analyzed and pro-
cessed as they arise. Role playing specific troubling situations will be
used to increase Antwone’s awareness of his maladaptive pattern, and to
foster corrective emotional experiences. Other interventions will include
dynamic interpretations to foster insight, coaching to develop relational
skills, and then practicing these skills.
Case of Maria
Predisposition
Maria’s presentation can be understood in light of her pattern of being
overly sensitive to the conflicting expectations and actions of her parents
that she should stay home, and of her friends that she should be inde-
pendent and go away to college. As a result of these conflicting beliefs
and expectations, she acts as if she doesn’t care, experiences guilt and
depression, and is using alcohol to relax and reduce her discomfort. Her
parents, her boyfriend, and her friends regularly tell her what she should
be doing with her life. Her parents expect her to stay home and care for
them, especially her mother, while her friends keep encouraging her to
become more independent and go to college. She believes that her parents
will not love her if she does not stay home and care for them. Maria feels
inadequate and also is conflicted about beliefs that she is a bad daughter
if she leaves, and that she will let herself down if she capitulates to her
parents expectations.
Case of Richard
Treatment Goal
The primary goals of treatment are to foster insight, enhance interper-
sonal problem solving skills, and facilitate corrective emotional and inter-
personal experiences. Accomplishing these goals will increase awareness
of his cyclic pattern and influence new interpersonal experiences.
165
Case of Joan
Supportive techniques will be used to affirm her and encourage her
to live more in the present and to spend more time with her family.
Transference-countertransference enactments will be analyzed and pro-
cessed as they arise. Dynamic interpretations may be useful in increasing
Joan’s awareness of her relational style and cyclic pattern. Role playing
will be used to process issues with her daughters and her coworkers.
166
8
Solution-Focused Case
Conceptualizations
Solution-Focused therapy is one of the most commonly used therapeu-
tic approaches in the world. For trainees and practitioners, the Solution-
Focused approach has considerable appeal because of its here-and-now
focus, its theoretical simplicity, and its relative ease in learning and prac-
ticing it. For clients, this approach also has considerable appeal: it focuses
on immediate concerns, it emphasizes solutions, and it is perceived to be
very brief, i.e., 3–5 sessions. Such practitioners and clients view it as a wel-
come alternative to treatment approaches that explore early childhood
dynamics and long-term therapies. Viewing Solution-Focused therapy as a
brief and effective treatment approach, some managed care organizations
readily reimburse for it and seem to favor accepting its practitioners to
their provider panels. This chapter begins with a description and the basic
premises of the Solution-Focused perspective. Next, it describes the factors
involved in Solution-Focused assessment and provides some guidelines
for summarizing this type of assessment. Then, it describes the process of
developing and writing a Solution-Focused case conceptualization. This
process is then applied to the five cases introduced in Chapter 1.
SOLUTION-FOCUSED THERAPY PERSPECTIVE

The Solution-Focused perspective is a post-modern perspective. As such,
it views clients to be the experts of their own lives and have sufficient
167
strengths and resources to resolve their problems. It is based on the obser-

vation that most psychological problems are present only intermittently
throughout the day, instead of the entire day, and that, through trial and
error, individuals have found ways, i.e., solutions, to limit their distress or
conflict. Thus, treatment that is effective need only assist clients to clarify
goals and enhance solutions that are already available to them (de Shazer,
1985).
This perspective posits no theory of personality development or how
individuals come to be the way they are. Instead, it presumes that problems
only arise when individuals continue to apply solutions that don’t work
rather than solutions that do work. It views individuals as unique and
that their problems and symptoms are unique as well. Accordingly, this
“strengths-based” perspective does not recognize pathology and refuses to
pathologize individuals by assigning formal diagnoses. Solution-Focused
practitioners function as a participant-observer in which they will utilize
support, encouragement, and serve as cheerleaders in coaching clients to
find and implement solutions. Practitioners and clients work together to
identify, amplify, and increase exceptions to increase client functioning.
This emphasis on clients’ unique strengths and assets sets the Solution-
Focused perspective apart from most other therapeutic perspectives.
The next two sections describe Solution-Focused assessment and
Solution-Focused case conceptualization.
SOLUTION-FOCUSED ASSESSMENT
A Solution-Focused assessment emphasizes the elicitation of specific

information, which is essential in developing a case conceptualization. As
already noted, no formal DSM diagnoses are specified, but the diagnostic
formulation does specify the client’s pattern. Assessment focuses on both
the current situations and predisposing factors, i.e., exceptions, inherent
strengths, and unique resources. It also focuses on understanding client’s
lives and situations from their perspective.
Factors to be considered in Solution-Focused assessment include:
1. Client’s view of his or her situation

Explore the client’s perspective, beliefs, and understanding of the
situation and solutions.
168
SOLUTION-FOCUSED CASE CONCEPTUALIZATIONS
Identify reasons the client entered treatment (court ordered, self-

referred, encouraged to come by a friend, doctor, supervisor, or
significant other).
2. Client’s best hope
What are your best hopes from coming here?
What will let you know that those hopes have been met (or that this
was helpful)?
What are you already doing that might in some way contribute to
those hopes being met? (or, what pieces of this are already hap-
pening?) (George, Iveson, Ratner, & Shennan, 2009).
3. Client’s strengths and readiness for change
Does that client present as a complainant, visitor, or customer?
What biological, psychological, and social strengths does the client
currently hold?
What environmental, social, and financial resources does the client
have access to?
4. Systemic variables influencing the client
Do family members or relatives directly influence the client?
What situational factors influence the client?
What family and/or situational assets and strengths are available
and could be utilized?
5. Client’s view of a preferred future
The miracle question invites a description of a desired outcome of
therapy:
“Suppose that when you are asleep tonight, a miracle happens and
all the problems that brought you here today are solved. When
you wake up the next morning, how will you notice that the mir-
acle happened? … What else are you going to notice?”
6. Pieces of the solution that are already happening
Scaling questions will assist the counselor to discover how close the
client is to their goal.
7. Solutions elaboration: [solutions previously attempted both by the
client and others]
What have you tried in the past to solve this problem?
What have you told yourself about this situation?
What have other people suggested that you do about this problem?
Identify how well their attempted solutions have worked.
169
SOLUTION-FOCUSED CASE
CONCEPTUALIZATION MODEL
The Solution-Focused model of case conceptualization as presented

here is similar to the other four theoretical models described in this
book in that it shares several common elements. Yet, it also differs from
the other four models because of its signature elements. These include:
predisposition, treatment goals, treatment focus, treatment strategy, and
treatment interventions.
Table 8.1 identifies and describes these five signature elements.
SOLUTION-FOCUSED CASE
The process of constructing a Solution-Focused case conceptualization is

each case, there is an assessment paragraph that identifies key informa-
tion germane to this model. A table summarizes the nine elements from
the diagnostic, clinical and cultural formulations (discussed in Chapters
2 and 3), and the eight elements of the treatment formulation (discussed
Table 8. 1 Signature Elements of Solution-Focused Case Conceptualization

Predisposition strengths, resources, exceptions to the problem, and
attempted solutions
Treatment goals elaborate solutions and build on strengths
Treatment focus troublesome situations for which an exception or

solution can be found
Treatment strategies Basic treatment strategy: find exceptions and elaborate
solutions
Common strategies: support [solution elaboration]
Treatment interventions find exceptions/implement solutions
elaboration
miracle questions
presuppositional questions
scaling questions
170

Case of Geri
pany’s human resources director for evaluation and treatment following
three weeks of depression and social isolation. Her absence from work
prompted the referral. Her symptoms began soon after her supervisor
told Geri that she was being considered for a promotion. As a child she
reported isolating and avoiding others when she was criticized and teased
by family members and peers.
Solution-Focused Assessment
Besides diagnostic assessment information, the Solution-Focused assess-
ment added the following: Geri has used her violin playing to cope with
negative emotions since she was a teenager. She noted playing her violin
twice since the recent job stressor, and said she experienced some relief,
but not as much as other times. Her best hopes of therapy are “to feel
safe in my new job and feel competent in what I do.” Her attempted
solutions include: avoidance of critical people when possible, watching
movies while at home, playing violin, and telling herself: “I can only do
my best, and what other people think of me is none of my business.” Her
response to the miracle question is that she would feel safe and compe-
tent while at work, and would feel happier and would be smiling more
frequently. She would know that she feels safe when she could stop her-
self from assuming that “everyone is staring at me and thinking about
how incompetent I am.” On a 0–10 scale, where 10 is the miracle, she rates
herself at 4, since she feels safe about 2 days per week. “Putting a smile
on when I feel worried and talking to my friends more” would bring
her to a 6. Table 8.2 describes the results of the diagnostic and solution-
focused assessment summarized for the key elements of a full-scale case
conceptualization.
171

work group
Pattern-maladaptive avoid and disconnect or withdraw when feeling
unsafe
Predisposition genuine interactions with her friend; positive coping
strategies: playing violin when frustrated; grieved
death of family members; positive self-talk when
criticized; notices “pieces of the miracle”
imbalance
Treatment goals smiling more and increasing communication with her
close friend
Treatment focus stressful work situation; medication
Treatment strategy find exceptions to her depressed mood and elaborate
solutions; support medication evaluation/monitoring
Treatment interventions find exceptions/implement solutions, solution
elaboration, miracle questions, presuppositional
questions, scaling questions
termination
practitioners
returns to work
172

them at other times; as a result, she lacks key social skills and has a limited
social network (pattern). Geri’s strengths include her attempted solutions,
her view of her own strengths, and evidence of resilience. She has the
capacity for genuine relationships once she feels safe, and playing the vio-
lin has been effective in coping with past frustration and discouragement.
She has coped adequately with the death of her maternal grandparents,
and has used positive self-talk when faced with criticism by co-workers
(predisposition). Nevertheless, her avoidant pattern is maintained by her
shyness, the fact that she lives alone, her limited social skills, and that she
finds it safer to socially isolate (perpetuants).
with that community (cultural identity). She and her parents are highly
acculturated, and there is no obvious acculturative stress (culture-
acculturation). She believes that her depression is the result of stressors at
in relating to others (treatment pattern). Overall goals include decreasing
depression and increasing her capacity to seek support from her close
friends. Short-term goals that she believes she can enact are activating
herself by smiling more and increasing communication with her close
friends. An additional goal of treatment will include reducing depres-
sive symptoms (treatment goals). Treatment will focus on her stressful
work situation and will emphasize elaborating solutions, building on her
strengths, and medication (treatment focus). The basic treatment strategy
will be to identify additional exceptions and then elaborate solutions.
Throughout the treatment process, she will be supported and encouraged.
Medication may also be utilized to reduce depressive symptoms (treat-
ment strategy). Interventions involve empowering Geri to engage in more
of her attempted solutions such as violin playing and positive self-talk.
173
Feedback will validate Geri’s feelings, complimenting her on her ideas

and plan, and encouraging her to continue doing what works. Treatment
will also encourage Geri to use her own creative ideas, expand her solu-
tions, and use positive self-talk and distraction techniques to better cope
with her depressed mood and perceived criticism. She will be referred
for a medication evaluation and, if indicated, medication monitoring.
Presuppositional questions and scaling questions will also be employed
to foster treatment progress (treatment interventions). Some obstacles and
challenges to treatment can be anticipated. Given her avoidant person-
ality structure, ambivalent resistance is likely. It can be anticipated that
she would have difficulty discussing personal matters with practitio-
ners, and that she would “test” and provoke practitioners into criticiz-
ing her for changing or canceling appointments at the last minute, being
late, and that she might procrastinate, avoid feelings, and otherwise test
the practitioner’s trustability. Once trust in the practitioner is achieved,
she is likely to cling to the practitioner and treatment and thus termina-
tion may be difficult unless her social support system outside therapy is
increased. Furthermore, her pattern of avoidance is likely to make entry
into and continuation with group work difficult. Therefore, individual
sessions can serve as a transition into group, including having some con-
tact with the group practitioner who will presumably be accepting and
non-judgmental. This should increase Geri’s feeling of safety, and make
self-disclosure in a group setting less difficult. Transference enactment
is another consideration. Given the extent of parental and peer criticism
and teasing, it is anticipated that any perceived impatience and verbal
or nonverbal indications of criticism by the practitioner will activate this
transference. Finally, because of her tendency to cling to others to whom
she trusts, increasing her capacity to feel more confident in functioning
with greater independence and increasing time between the last 4–5 ses-
sions can reduce her ambivalence about termination (treatment obstacles).
Treatment progress does not seem dependent on cultural or even cultur-
ally-sensitive interventions at this time. However, gender dynamics could
impact the therapeutic relationship given her strained relationship with
her father and limited involvement with men ever since. Accordingly,
female practitioners for both individual and group therapy appear to be
indicated in the initial phase of treatment (treatment-cultural). Assuming
that Geri increases her self-confidence, relational skills, and social con-
tacts in and outside of therapy, as well as returns to work, her prognosis is
adjudged to be good; if not it is guarded (treatment prognosis).
174
Case of Antwone
ordered him to undergo compulsory counseling. He reported being
placed in foster care as an infant, and was neglected and abused—emo-
tional, verbal, and physical—by his African American foster family, par-
ticularly by his foster mother who used racial slurs to intimidate him. At
age 15, he would no longer endure her abuse and tyranny, and confronted
her which resulted in him being thrown out on the street.
ment added the following: Antwone views himself as very determined
and a hard worker. He stated the following positive attributes about him-
self: he is a reader with wide interests, he has had regular promotions in
rank, at least until recently, he writes poetry, and has learned two foreign
languages. His best hopes of therapy are “to have more positive relation-
ships (by which he means fewer conflicts), to feel less confused, and to
stop attending mandated counseling sessions.” His attempted solutions
include: making attempts of meeting friends by watching football games
with his navy peers, praying for a sense of direction in life, counting to
10 and walking away from conflicts, and journaling his thoughts in a
notebook. His response to the miracle question: He would have several
friends, he would feel like he had a sense of purpose and direction in his
life, and he would be able to walk away from his peers who taunt him.
On a 0–10 scale, where 10 is the miracle, he rates himself at 3, since he has
1 friend and occasionally feels satisfied with what he is doing with his
life. “Talking to some of my friends from high school on the phone and
consistently counting to 10 and walking away after someone annoys me”
would bring him to a 5. Table 8.3 describes the results of the diagnostic
and solution-focused assessment summarized for the key elements of a
full-scale case conceptualization.

Antwone’s verbal and physical lashing out at others and his subsequent
confusion about others’ intentions (presentation) appears to be his response
175

Predisposition uses prayer and journaling to cope with problems;
views himself as a hard worker and determined; has
several friends from high school and has 1 close
friend
Perpetuant limited capacity for emotional regulation, lacks
conflict resolution skills
and superiors
Treatment goals increase direction and anger management; short term
goals: count to 10 and walk away from conflicts and
contact friends from high school
Treatment focus conflicts
Treatment strategy empowerment and support; find times that he was
able to manage anger
Treatment interventions empowerment: use exceptions, miracle question,
presuppositional questions, and scaling questions to
achieve goals
Treatment obstacles transference-countertransference enactments with
male practitioner; aggressive acting out; depending
on and idealizing the practitioner
prejudice and abuse as self-loathing passed down
from their ancestors to him; Bibliotherapy
176
to the taunting and provocation of his peers, or the arbitrary actions of

authority figures, which he tends to perceive as unjust or racially moti-
vated (precipitant). Throughout his life, Antwone has sought to be accepted
and make sense of being neglected, abused, and abandoned, and to pro-
tect himself by aggressively striking back and conditionally relating to
others in the face of perceived threats or injustice (pattern).
(predisposition). His limited capacity for emotional regulation along

with deficits in conflict resolution skills serve to maintain this pattern
(perpetuants).
to experience considerable acculturative stress, which seems to be exac-
erbated by his cultural beliefs, his explanatory model (acculturation). He
The challenge is for Antwone to function more effectively and to
relate to others while being careful in getting to know and trust them
(treatment pattern). Overall goals include increasing his sense of direc-
tion in life and increasing his ability to manage his anger. Short-term
goals that he believes he can enact are contacting some high school class-
mates, and counting to 10 after becoming frustrated with a peer (treat-
ment goals). Therapy will build on his strengths and look for exceptions
to his problems, particularly times in which he was able to manage his
anger (treatment strategy). Interventions involve empowering Antwone to
engage in more of his attempted solutions such as journaling and prayer.
Feedback will validate Antwone’s feelings, complimenting him on his
ideas and plan, and encouraging “doing what works and changing what
177
does not.” The plan is to encourage Antwone to use his own creative
ideas to cope with confusion and frustration with his identified coping
skills. The practitioner will coach Antwone on responding to anger and
conflict by deliberately implementing his various attempted solutions.
Solution-Focused interventions will include exceptions, miracle ques-
tion, presuppositional questions, and scaling questions (treatment inter-
ventions). Specific treatment obstacles and challenges can be anticipated.
him aggressively acting out (treatment obstacles). In addition to address-
ing personality and interpersonal treatment targets, the practitioner
will address the cultural dimension of prejudice, not only prejudice
from White peers and superiors, but also his experience of Black-on-
Black prejudice. It may be useful to therapeutically frame his foster
family’s prejudice and abuse toward him in terms of self-loathing that
cally processed. Because he is an avid reader, bibliotherapy, i.e., books
and articles that analyze and explain this type of prejudice could be a
useful therapeutic adjunct (treatment-cultural). Antwone brings several
strengths and resources to therapy including intelligence, he is a reader
with wide interests, he received regular promotions in rank, at least until
recently, he writes poetry, and has learned two foreign languages. These
resources plus his motivation to change suggest a good to very good
prognosis (treatment prognosis).
Case of Maria
Maria is a 17-year-old, first-generation, Mexican-American female who
was referred for counseling because of mood shifts. She is conflicted
about her decision to go off to college instead of staying home to care
for her terminally ill mother. Her family expects her to stay home. She
is angry at her older sister who left home at 17, after her parents insisted
that her culture “requires” taking care of parents when they get old or
become ill. Her Anglo friends encourage her to go to college and pursue
her dreams.
178
Besides diagnostic assessment information, the Solution-Focused Ther-
apy assessment added the following: She identified that she is very coop-
erative, and most people view her as a “very likeable person.” Maria has
used her artwork to cope with negative emotions since she was in mid-
dle school. Her best hopes of therapy are “to be able to go to college and
have my parents support my decision.” Her attempted solutions include:
talking to her friends about her concerns, praying for a resolution, and
soothing her mood by painting. Her response to the miracle question: she
would be able to go to college and she wouldn’t feel guilty about leaving
her parents. On a 0–10 scale, where 10 is the miracle, she rates herself at
5, since she is able to avoid feeling guilty about drinking and staying out
late. “Telling my parents that I greatly love them but have to go to school
for my future” would bring her to a 7. Table 8.4 describes the results of the
diagnostic and Solution-Focused assessment summarized for the key ele-
ments of a full-scale case conceptualization.

Maria’s depressive symptoms, confusion, and recent experimentation
with alcohol use (presentation) seem to be her reaction to the pressures
coming from her parents, her friends, and herself to make a decision to
either go away to college next fall or to stay home and devote herself to the
care of her parents, particularly her ill mother (precipitant). Throughout
her life, Maria has attempted to be a good daughter and she has become
increasingly stuck in meeting the needs of others at the expense of her
own needs (pattern). Maria’s strengths include her attempted solutions,
her view of her own strengths, and evidence of resilience. Her social sup-
port and painting have been effective in coping with past challenges. She
identified that she is very cooperative, and most people view her as a “very
likeable person.” Recently she was assertive with her parents regarding a
request to extend her curfew, and was successful (predisposition). Her low
level of assertiveness and unwillingness to disappoint her parents serve
to maintain this pattern (perpetuant).
179

Presentation moodiness; confusion; experimentation with
alcohol use
Pattern-maladaptive avoid and disconnect or withdraw when feeling
unsafe
Predisposition has close supportive friends; positive coping
strategies such as: talking to friends and painting;
has been assertive with her parents regarding a
request to extend her curfew
acculturative stress ambivalence about parental and cultural
expectations
Treatment goals short-term goals: telling her parents about her
needs and discussing her thoughts and feelings
with her friends
Treatment focus solution elaboration and building on strengths
Treatment strategy support; elaborate on times when she was assertive
with her parents
presuppositional questions, and scaling questions
to achieve goals
pleasing the practitioner; practitioner may
unwittingly advocate autonomy
Treatment-cultural process cultural expectations about caregiver role
and need to please; family sessions addressing
parents’ cultural expectations
180
about whether to follow cultural norms and expectations or her own aspi-
rations is quite distressing for her (acculturation & stress). Her explanatory
model is that her problems are due to a “lack of faith,” a belief that is
ended by moving to a “safer” Mexican American neighborhood (cultural
The challenge for Maria is balance to meet both her own needs and
the needs of others (treatment pattern).
(treatment goals). Treatment will focus on situations in which she has dif-
ficulty balancing her needs and others’ needs, particularly the decision
about her career aspirations and caring for her parents (treatment focus).
Therapy will build on her strengths and look for exceptions to her prob-
lems as such when she was recently assertive with her parents regarding
a request to extend her curfew (treatment strategy). Interventions involve
empowering Maria to engage in more of her attempted solutions such
as painting and seeking social support. Feedback will validate Maria’s
feelings, complimenting her on her ideas and plan, and encouraging
“doing what works and changing what does not.” Other interventions
will include exceptions, miracle question, presuppositional questions,
and scaling questions (treatment interventions). In terms of likely treat-
ment obstacles and challenges, it is probable that Maria will attempt to
please the practitioner by readily agreeing to his suggestions and between
181
session assignments, but afterwards become conflicted and then fail to

follow up. It is also likely that she will capitulate to her parents’ expec-
tations. Accordingly, the practitioner might early in treatment make the
predictive interpretation that this might occur, but that it does not indicate
failure, and that it can be therapeutically processed. Finally, the practi-
tioner would do well to anticipate that his own needs and values may
become treatment obstacles. This can occur by unwittingly advocating for
and expecting Maria to embrace independence and autonomy before she
is sufficiently ready (treatment obstacles). Effective treatment outcomes will
also address relevant cultural dynamics. Specifically, this may involve
therapeutically processing her explanatory model that a lack of faith is
the source of her problem. Depending on the saliency and strength of this
belief, education, and cognitive disputation may be indicated. The cul-
tural expectation about caring for her parents in light of her need to please
would also be processed. In addition, family sessions may be indicated
wherein her parents can review and revise their cultural expectations
of her (treatment-cultural). Besides the impact of personality and culture,
the resources that Maria brings to therapy influence her prognosis. She
is bright, successful in school, and has already identified her needs and
career aspirations. At this point, however, given her lower level of accul-
turation and dependent personality dynamics, her prognosis is in the fair
to good range (treatment prognosis).
Case of Richard
where he is “on the lookout for the perfect woman.” He has held four
Solution-Focused Therapy Assessment

Besides diagnostic assessment information, the Solution-Focused Therapy
assessment added the following: He stated that his positive qualities
are “being an intelligent yet sensitive man.” Richard identified that he
182
goes dancing and plays golf to cope with anger and feeling anxious. His
best hopes of therapy are “to feel better and to start improving my life
again.” His attempted solutions include: talking to several friends about
his discouragement and telling himself “I am worthy of being loved by
someone who will love me back.” His response to the miracle question:
he would feel better and would attract the perfect woman into his life.
He would know that he is feeling better if he made himself leave the
house on weekends to spend time at a local dance club, and he would be
regularly spending time with his friends. On a 0–10 scale, where 10 is the
miracle, he rates himself at 4, since he saw a friend last weekend and went
dancing 2 weeks ago. “Leaving the house to go dancing even if I didn’t
feel like going” would bring him to a 5. Table 8.5 describes the results of
the diagnostic and Solution-Focused assessment summarized for the key
elements of a full-scale case conceptualization.

Richard’s angry outbursts, sadness, and anxiety (presentation) seem to
be reactions to his recent divorce (precipitant). From adolescence he has
elevated himself and belittled and abused others with an aggressive style,
making it difficult to sustain safe and satisfying relationships (pattern).
Richard’s strengths include his attempted solutions, his view of his own
strengths, and evidence of resilience. He goes dancing and plays golf to
cope with his anger or depressed mood. He views his positive qualities as
being an intelligent yet sensitive man. He has used positive self-talk when
he noticed that his mood became anxious recently. He has several close
friends that are supportive and are willing to listen to him when he needs
companionship (predisposition). This pattern is maintained by his inability
to empathize, impulsivity, and lack of relational skills (perpetuants).
Richard identifies himself as a middle-class Caucasian male (cultural
identity). He appears to be highly acculturated and there are no obvious
indications of acculturative stress (acculturation & stress). He believes that
his current problems of anger, sadness, and anxiety result from the bad
example he received from his abusive and non-loving parents who fought
constantly when they drank (cultural explanation). Finally, personality
dynamics are predominant and adequately explain his presenting prob-
lem and pattern (culture v. personality).
The challenge for Richard is to remain self-confident while endeav-
oring to be more respectful of others (treatment pattern). Overall goals
183

Predisposition uses positive self-talk; has been able to control his
anger in previous situations; plays golf and goes
dancing to relieve stress and improve mood; several
friends
empathize
Cultural explanation anxiety, anger, sadness caused by abusive, non-
loving parents
Treatment goals go dancing and playing golf with friends
Treatment focus process situations involving interpersonal conflicts
and feeling rejected
Treatment strategy support; elaborate on times he is able to control his
anger and feels happier
presuppositional questions, and scaling questions to
achieve goals
attitude
184
include decreasing anxiety and depression and increasing his capacity

to control his anger. Short-term goals that he believes he can achieve are
going dancing on weekends and playing golf with his friends to improve
his mood (treatment goals). Treatment will examine times when he is
depressed and interpersonal conflicts (treatment focus). Therapy will build
on his strengths and look for exceptions to his anger and anxiety. The
practitioner will explore past events in which he did not respond with
anger when he normally would have (treatment strategy).
(treatment interventions). With regard to likely treatment obstacles and

behaviors by blaming circumstances on others. It can be expected that
he will alternate between idealization or devaluation of the practitioner,
at least in the beginning phase of therapy. His entitled and arrogant atti-
the future (treatment obstacles). Since the primary influence is personality
dynamics, no cultural focus to treatment is indicated (treatment-cultural).
185
Case of Joan
Joan is a 47 year-old, married, Caucasian female referred for evaluation of
Although she minimizes her concerns, she describes a number of concerns
ment added the following: Joan views herself as a hard worker and is
very organized. She has used crossword puzzles, reading, and solitaire
to cope with anxiety since she was a child. Her best hopes of therapy are
“to feel less anxious and to be less critical of myself.” Her attempted solu-
tions include: controlled breathing, distraction techniques (i.e., playing
solitaire), and ignoring critical statements from others. Her response to
the miracle question: she would feel peaceful, but would still be able to
be productive at work while also feeling more connected her to her chil-
dren and employees. She would know that she feels more connected to
her children and employees if she could sit down with them and talk to
them, and she would also self-disclose information about herself. On a
0–10 scale, where 10 is the miracle, she rates herself at 3, since she does
not feel anxious during the weekends. “Being able to calm myself down
at work and not be so focused on how well things are done” would bring
her to a 6. Table 8.6 describes the results of the diagnostic and Solution-
Focused assessment summarized for the key elements of a full-scale case
conceptualization.

life, Joan has striven to achieve, be conscientious, not make mistakes, and
avoids showing softer emotions, and vulnerability. All this conscientious-
186

Presentation anxiety; insomnia; heart palpitations and chest
pain
Precipitant increased stress at work, recently her daughters
have become increasingly critical of her for not
being emotionally available to them
Predisposition crossword puzzles, reading, and solitaire to cope
with anxiety; past solutions: controlled breathing,
distraction techniques, and ignoring critical
statements; does not feel anxious on weekends
imbalance
Treatment goals board games with her children; controlled
breathing, distraction techniques
Treatment focus stressful work and family situations
Treatment strategy find what she is doing when she is not anxious
presuppositional questions, and scaling questions
to achieve goals
Treatment obstacles may minimize certain issues; feeling avoidance;
high expectations for successful outcome in
therapy; alternates: pleasing practitioner and
undermining therapy
187
ness and emotional distancing has negatively affected her relations with
her family and workers (pattern).
(predisposition). This pattern seems to be maintained and reinforced by

perfectionism and over conscientiousness (perpetuant).
Joan identifies herself as upper middle-class WASP female (cultural
identity). She is highly acculturated and there is no obvious indications of
job stressors, and from a chemical imbalance in her brain (cultural expla-
The challenge for Joan is to remain reasonably achievement-oriented
and conscientious, while becoming more emotionally present to family
members and her employees (treatment pattern). Overall goals include
decreasing anxiety and improving her sleep patterns. Short-term goals
that she believes she can enact are controlled breathing techniques that
have worked effectively in the past, distraction techniques, and spend-
ing time playing board games with her children to relax and also con-
nect with them (treatment goals). Treatment will examine stressful work
and family situations where her attempted solutions have not effectively
helped her (treatment focus). Therapy will build on her strengths and look
for exceptions to her anxiety and times that she was able to deal with
critical people (treatment strategy). The practitioner will explore the client’s
exceptions to anxiety particularly what she does on weekends that do not
make her anxious. Feedback will validate Joan’s feelings, complimenting
her on her ideas and plan, and encouraging doing what works and chang-
ing what does not. The plan is to encourage Joan to use her own creative
ideas to cope with perceived criticism and anxiety. The practitioner will
coach Joan on implementing her discussed solutions, and collaboratively
188
evaluate the usefulness of each attempt. Other interventions will include

exceptions, miracle question, presuppositional questions, and scaling
questions (treatment interventions). In terms of likely treatment obstacles
and challenges, it is likely that Joan will minimize certain issues, such as
her relationship with her father as well as her husband, believing they are
for a successful outcome in therapy, but is likely to undermine change
ence is personality dynamics, no cultural focus to treatment is indicated

exercise. Here is how it works. Besides the complete report of the Case of
your competence in Solution-Focused case conceptualizations with the
aid of specific prompts.
information on the case as well as the Solution-Focused Assessment sec-
tion. It should provide sufficient information to develop a “Predisposi-
tion” statement, i.e., an explanation for Antwone’s behavior. If you need a
brief prompt, review the “Predisposition” section of the Table 8.3. Then,
write one or more sentences that translates the key points of this signature
element in the open space for “Predisposition” in the case conceptualiza-
tion statement. Write it in such a way that it provides a compelling expla-
nation for Antwone’s pattern and presentation.
189
alization statement has an open space for “Treatment Goal.” Then, specify
treatment goals that are appropriate for this case. If you need a prompt,
review the signature element of “Treatment Goal” in Table 8.3. Move on to
the cases of Richard and Joan where you will find blank spaces for you to
fill in other signature elements. The Appendix to this chapter contains our
responses to the open spaces. We don’t expect that your responses will be
exactly the same, but rather that they are thematically similar.
provide you with additional experience in constructing Solution-Focused
CONCLUDING NOTE
The Solution-Focused model of case conceptualization was described and

illustrated. The basic premises of the Solution-Focused perspective were
listed and the factors involved in a Solution-Focused assessment were
discussed. The Solution-Focused model of case conceptualization was
then applied to five cases and illustrated with their clinical, cultural, and
treatment formulations. Chapter 9 analyzes and illustrates these same five
cases with the Adlerian model of case conceptualization.
REFERENCES
de Shazer, S. (1985). Keys to solutions in brief therapy. New York, NY: Norton.
George, E., Iveson, C., Ratner, H., & Shennan, G. (2009). BRIEFER: A solution-focused
practice manual. London, England: BRIEF.
190
APPENDIX
Case of Antwone
Predisposition
Antwone’s strengths include his attempted solutions, his view of his own
strengths, and evidence of resilience. Antwone brings several strengths
and resources to therapy including above average intelligence, a high level
of literacy; he is an avid reader, received regular promotions in rank—at
least until recently—has written many poems, and has learned two for-
eign languages. He shows evidence of resilience by enlisting and remain-
ing in the Navy despite his abuse and neglect history and the continuing
taunting by other sailors. He truly wants to engage new relationships
and is motivated to meet new friends and connect with friends from high
school. He currently has one very close friend who is a large source of
support. Prayer and journaling have been effective in helping him cope
with past frustration and discouragement.
Case of Maria
Treatment Goal
Overall goals include decreasing her moodiness and empowering her to
make a decision about going to school. Short-term goals that she believes
she can achieve are talking to her parents about her desire to be in school,
and talking to her friends about her dilemma of having to choose between
her family and her friends.
Case of Richard
Feedback will validate Richard’s feelings, complimenting him on his ideas
and plan, and encouraging “doing what works and changing what does
not.” The plan is to encourage Richard to use his own creative ideas to
cope with anxiety and anger with techniques that he has used in the past
like positive self-talk, walking away from conflict, and stress relieving
activities. Solution-Focused interventions will include exceptions, miracle
question, presuppositional questions, and scaling questions.
191
Case of Joan
Predisposition
Joan’s strengths include her attempted solutions, her view of her own
strengths, and evidence of resilience. She has been able to reduce her anx-
iety by using controlled breathing techniques, reading, and completing
crossword puzzles. She views herself as a hard worker and is very orga-
nized. She identified that she does not feel anxious on the weekends.
192
9
Adlerian Case
Conceptualizations
Adlerian Psychotherapy is well suited for clinical practice today because
its theory and practice is compatible with a wide range of contemporary
approaches (Ansbacher & Ansbacher, 1956; Carlson, Watts, & Maniacci,
2006). These approaches include cognitive-behavioral, interpersonally-
oriented dynamic, systemic, humanistic, and experiential approaches. It
is noteworthy that many of the basic principles of Adlerian Psychotherapy
have influenced and predated these other therapeutic approaches. This
chapter begins with a discussion of the Adlerian perspective. Then, it
addresses Adlerian assessment and identifies the unique factors that are
assessed. Next, it describes signature elements of this case conceptualiza-
tion method. Finally, it illustrates this method by providing Adlerian case
conceptualizations for the five clinical cases introduced in Chapter 1.
ADLERIAN PERSPECTIVE
Basic Adlerian constructs include life-style, belonging, birth order, family

constellation, private logic, social interest, life-style convictions, and
basic mistakes. The Adlerian perspective assumes that the basic human
motivation is to belong and develop social interest, i.e., willingness to
contribute to the well-being of others. Development is influenced by
family constellation, i.e., family dynamics, where individuals find a sense
193
of belonging and self-worth, and birth order, i.e., psychological position

in the family. Individuals create their own interpretation of life events
derived from their unique subjective private logic which becomes their
life-style, i.e., the cognitive map which guides their perceptions and
actions. Their life-style contains personalized convictions about self-
view, world-view, conclusions, and life strategies which reflect their life
narrative. Adler believed that high levels of social interest reflected mental
health and well-being. Recent research demonstrates that well-being is a
function of social interest (Sperry, 2011). Problems can be understood by
an individual not feeling a sense of belonging to a group or community,
or that they found unhealthy ways to belong.
Psychopathology is viewed as the way an individual “arranges”
symptoms that serve as excuses for failing to meet “life tasks,” i.e., one’s
responsibilities, and for safeguarding self-esteem. Psychopathology
reflects discouragement and is manifested in clients’ faulty life-style con-
victions, i.e., convictions that run counter to social interest, and are sum-
marized as basic mistakes. In Cognitive Therapy, life-style convictions are
called schemas.
The Adlerian perspective is optimistic and focuses on assets,
strengths, and health rather than on liabilities, deficits, and pathology.
The therapeutic relationship is characterized by mutual respect and
equality. Client and practitioner are collaborative partners in the thera-
peutic endeavor wherein clients are expected to assume an active role in
the change process.
The next two sections describe Adlerian assessment and the Adlerian
method of case conceptualization.
ADLERIAN ASSESSMENT
An Adlerian assessment emphasizes relevant Adlerian factors that add

additional information to the diagnostic assessment, and facilitate the
development of Adlerian-focused clinical and treatment formulations.
Assessment focuses on both the current situations and predisposing fac-
tors, i.e., life-style analysis. This assessment includes gathering information
about a clients’ family constellation and early developmental experiences,
including early recollections. This information will assist the practitioner
in deriving the individual’s unique life style convictions. Adler also posed
three life tasks that all individuals strive to achieve: love, friendship, and
194
ADLERIAN CASE CONCEPTUALIZATIONS
work. Assessment focuses on the extent that a client has successfully or

unsuccessfully attained these life tasks. Understanding clients’ life-styles
permits practitioners to help clients better understand how their basic
beliefs and perceptions influence their life-style and actions.
The following Adlerian constructs are assessed. Inferences are drawn

from this data and are formulated into a full-scale case conceptualization.
The basic constructs to be assessed are:
Family Constellation: The family constellation includes information

about a client’s relationships with other family members, psychological
birth order, family values, and the way the client found a sense of
belonging in their family.
Helpful questions to elicit the family constellation are:
• What was it like growing up in your household?

• What was it like being the oldest (youngest, middle, or only) child
in your family?
• Describe your relationships with your parents. Which one were you
most like? Of your siblings, who was your mother’s favorite? Father’s
favorite?
• Describe the relationship between your parents. Who was the bread-
winner? Who made the big decisions? How did they solve problems?
Conflicts? Did they show affection openly? Who was the disciplinar-
ian? Who did you go to when you got hurt or were frightened?
• What were the family values? What were you expected to do (or be)
when you grew up?
• How would you describe your relationships with your siblings?
Who got the best grades? Who was the most athletic? Had the most
friends? Got into trouble the most? How are they doing now?
Early Recollections: Early recollections are a projective technique used

to determine a client’s self-view, view of others, world-view, and his or
her overall strategy in dealing with others and life’s challenges. Early
recollections also reflect the client’s level of social interest, their movement
towards life tasks, and their life-style convictions.
Here is a method for eliciting early recollections:
• “Think back before the age of 9—and tell me your first memory.
It should be about a single experience that you specifically recall,
195
rather than one that someone told you happened. Not a repeated
experience but a single one.”
• If the client has difficulty identifying a memory, prompt him or her
by asking about a memorable birthday, the first day of school, a spe-
cific vacation, etc.
• For each memory: ask how old they were at the time; elicit the
sequence of the memory; how it began and ended; who was involved;
what each person was doing or saying; the most vivid moment in the
sequence; what they felt at that moment; what they were thinking at
that moment.
Life-style Convictions: Life-style convictions are conclusions about a

client’s inner world derived from information about family constellation,
birth order, early recollections, and overcompensation. They represent the
individual basic pattern.
Here is a formula statement that summarizes these convictions into
a pattern:
• I am … (self-view)
• Life is … People are … (world view)
• Therefore … (life strategy)
The client’s “basic mistakes” are derived from this formula/pattern.
ADLERIAN CASE CONCEPTUALIZATION
Like other theory-based and structured case conceptualization methods,

the Adlerian case conceptualization method includes clinical, cultural,
and treatment formulations that emphasize the clients’ unique life-style
and life-style convictions. A unique characteristic of the Adlerian method
is the view of the clients’ situational and longitudinal patterns. The con-
ceptualization helps clients understand who they are, and how they
became who they are. It also helps clients to increase awareness of their
faulty logic and patterns. The cultural formulation provides an explana-
tion in term of cultural dynamics in relation to the client’s personality
dynamics. The treatment formulation includes a plan to modify faulty
life-style convictions and basic mistakes, and to increase social interest.
Information from these four components is summarized into a case con-
ceptualization, which is collaboratively discussed with the client.
196
The Adlerian case conceptualization method is similar to the other

four theoretical models described in this book in that it shares several
common elements. Yet, it is also differs from the other models because of
its signature elements. Table 9.1 identifies and describes these five signa-
ture elements.
ADLERIAN CASE CONCEPTUALIZATION:

FIVE CASES
The process of constructing an Adlerian case conceptualization is illus-

trated for five different cases. Following background information on each
case, there is an assessment paragraph that identifies key information ger-
mane to this model. Then, a table summarizes the nine elements from
Table 9. 1 Signature Elements of Adlerian Case Conceptualization

Predisposition family constellation: esp. birth order and family
environment; lifestyle convictions: esp. early
recollections, self- and world view
Treatment goals increase social interest and constructive action
Treatment focus situations triggered or exacerbated mistaken beliefs
and/or discouragement
Treatment strategies Basic treatment strategy: foster social interest and
constructive action
Common strategies: support; cognitive restructuring;
interpretation
Treatment interventions lifestyle assessment
early recollection analysis
encouragement
use of metaphor; stories; humor
acting “as if”
constructive action
paradox
197
Case of Geri
Geri is a 35-year-old, African American female who works as an
administrative assistant. She is single, lives alone, and was referred by
her company’s human resources director for evaluation and treatment
following 3 weeks of depression and social isolation. Her absence from
work prompted the referral. Geri’s symptoms began soon after her
supervisor told her that she was being considered for a promotion. As a
child, she reported isolating and avoiding others when she was criticized
and teased by family members and peers. She is highly acculturated, and
believes that her depression is a result of work stress and a “chemical
imbalance” in her brain.
Adlerian Assessment
Besides diagnostic assessment information, the Adlerian assessment
added the following: Geri had difficulty relating to her peers both in early
life as well as currently. Geri is the oldest child and has a brother who is 8
years younger. She is the psychological “only child.” Geri reports that she
was her father’s favorite until her brother was born. As a child, she had
difficulty relating to her peers while in school and was often criticized.
She mentioned that her parents have been and continue to be unsupport-
ive, demanding, and critical toward her. Three family values worth not-
ing are “children are to be seen and not heard,” “your worth depends on
what you achieve in life,” and “family secrets do not leave the family.” Her
earliest recollection involves feeling displaced and no longer wanted by
her parents the day her mother brought her newborn brother home. Her
father said it was the happiest day of his life, and Geri’s reaction was to
run out of the house and hide in her tree fort feeling angry, alone, sad, and
rejected and thinking that nobody wanted her anymore. Another recollec-
tion was being told that what she painted in art class was awful, to which
she felt sad and hurt. Table 9.2 describes the results of the diagnostic and
Adlerian assessment summarized for the key elements of a full-scale case
conceptualization.
198

Precipitant her reaction to an impending job promotion and transfer
out of a close-knit work group
Pattern-maladaptive avoid and disconnect or withdraw when feeling unsafe
Predisposition Family Constellation: psychologically an only child,
demanding and critical parents; family valued
achievement and secrecy; demanding, critical, and
modeled emotional distancing
Life-style Convictions: I am inadequate and defective
(self-view); Life is demanding, harsh, arbitrary, and
unsafe (world view); Therefore, avoid relationships
and withdraw when feeling unsafe (life strategy)
Cultural identity African American conflicted about limited ethnic ties
Cultural explanation depression results from job stress and chemical brain
imbalance
Treatment goals decrease depression and discouragement, increase her
social interest, and increase enhance relational skills
Treatment focus situations triggered/exacerbated by mistaken beliefs or
discouragement
Treatment strategy foster social interest and constructive action; support;
interpretation; acting “as if;” medication
Treatment lifestyle assessment, early recollection analysis,
interventions encouragement, acting “as if”
practitioners
to work
199

seem to be her discouraged reaction to the news of an impending job
transfer and promotion (precipitant), given her history of having critical
and demanding people in her life. She avoids most relationships and has
a history of isolating throughout her childhood (pattern). Geri’s present-
ing problems are understandable when viewed from the perspective of
her life-style. Her style of relating with others mirrors the tentative and
avoidant manner in which she related to family members. She sought a
safe way to connect to family members without being criticized or having
unreasonable demands put on her. She views herself as inadequate and
defective as a person, and views life and others as demanding, harsh, arbi-
trary, and critical. Therefore, Geri found her place by avoiding most rela-
tionships, socially isolating, and overly investing in those that she deems
as trustworthy. This allowed her to avoid being criticized and helped her
“feel safe.” Her strategy of avoiding relationships and withdrawing any-
time she feels unsafe works, but the price she pays to feel “safe” is high:
she is lonely, has limited relational skills and experiences, and desires a
close intimate relationship that seems unlikely (predisposition). Further-
more, this strategy of shyness, living alone, and social isolation serves to
reinforce her maladaptive pattern (perpetuant).
She identifies herself as a middle-class African American but is not
involved with that community (cultural identity). She and her parents are
highly acculturated, and there is no obvious acculturative stress (culture-
acculturation). She believes that her depression is the result of stressors at
in relating to others (treatment pattern). Decreasing discouragement and
depressive symptoms, increasing social interest and social relating, and
enhancing relational skills are the primary goals of treatment (treatment
goals). The focus of treatment will be to analyze troublesome situations
triggered or exacerbated by her mistaken beliefs (treatment focus). The
basic treatment strategy is to foster social interest and constructive action.
Compatible treatment strategies include medication, support, and inter-
pretation (treatment strategy). The practitioner will include support in the
200
form of encouragement to engage and connect with Geri throughout the

entire treatment process. Interpretation will be utilized regarding Geri’s
life-style convictions or basic mistakes by analyzing and modifying her
faulty convictions regarding her avoidance to feel safe. While Geri says
she really wished she could be more comfortable talking with her neigh-
bor, she will be encouraged to act “as if” she was comfortable. A referral
will be made for a medication evaluation and, if indicated, medication
monitoring with be arranged (treatment interventions). Some obstacles and
challenges to treatment can be anticipated. Given her avoidant personality
pattern, ambivalent resistance is likely. It can anticipated that she would
have difficulty discussing personal matters with practitioners, and that
she would “test” and provoke practitioners into criticizing her for chang-
ing or canceling appointments at the last minute, being late, and that she
might procrastinate, avoid feelings, and otherwise test the practitioner’s
trustability. Once trust in the practitioner is achieved, she is likely to cling
to the practitioner and treatment and thus termination may be difficult
unless her social support system outside therapy is increased. Further-
more, her pattern of avoidance is likely to make entry into and continu-
ation with group work difficult. Therefore, individual sessions can serve
as a transition into group, including having some contact with the group
practitioner who will presumably be accepting and non-judgmental. This
should increase Geri’s feeling of safety and make self-disclosure in a
group setting less difficult. Transference enactment is another consider-
ation. Given the extent of parental and peer criticism and teasing, it is
anticipated that any perceived impatience and verbal or nonverbal indi-
cations of criticalness by the practitioner will activate this transference.
Finally, because of her tendency to cling to others with whom she trusts,
increasing her capacity to feel more confident in functioning with greater
independence and increasing time between the last 4–5 sessions can
reduce her ambivalence about termination (treatment obstacles). Treatment
progress does not seem dependent on cultural or even culturally-sensitive
interventions at this time. However, gender dynamics could impact the
therapeutic relationship given her strained relationship with her father
and limited involvement with men ever since. Accordingly, female prac-
titioners for both individual and group therapy appear to be indicated
in the initial phase of treatment (treatment-cultural). Assuming that Geri
increases her self-confidence, relational skills, and social contacts in and
outside therapy, as well as returns to work, her prognosis is adjudged to
be good; if not it is guarded (treatment prognosis).
201
Case of Antwone
ordered him to undergo compulsory counseling. He reported being
placed in foster care as an infant and then neglected and abused—emo-
tional, verbal, and physical—by his African American foster family, par-
ticularly the mother who used racial slurs to intimidate him. At age 15, he
would no longer endure her abuse and tyranny and confronted her which
resulted in him being thrown out on the street.
Adlerian Assessment
added the following: in terms of family constellation, Antwone found his
place in his family through pleasing and meeting every need of his abusive
adoptive mother. He was placed in foster care with an African American
family, where he was alternately neglected and then abused emotionally,
verbally, and physically by his foster mother and was sexually abused
by her adult daughter. Antwone had difficulty relating to his peers both
in early life as well as currently. He recalls experiencing very little love
and affection from anyone during his childhood. Antwone was the
middle of three African American foster boys in the home. As a child, an
unspoken value in the household was “do what mama says or get beat.”
He experienced feeling like a middle child in his adoptive home based
on his age in respect to his older sister and two younger brothers. His
earliest recollection involves feeling hurt and unfairly treated by a peer
in school then getting into a fight on the playground. An additional early
recollection was about him being physically abused and left crying for
hours without anyone coming to his aid. Table 9.3 describes the results of
the diagnostic and Adlerian assessment summarized for the key elements
of a full-scale case conceptualization.

Antwone’s verbal and physical lashing out at others and his subse-
quent confusion about others’ intentions (presentation) appears to be
his response to the taunting and provocation of his peers, or the arbi-
trary actions of authority figures which he tends to perceive as unjust or
202

Predisposition Family Constellation: middle child in his adoptive home;
abused by adoptive mother and her adult daughter;
very little love and affection from anyone
Life-style Convictions: I am defective and unlovable but
strong (self-view); Life is unfair and abusive (world
view); Therefore, retaliate against injustice, be wary of
others, don’t take risks, and avoid close relationships
(life strategy)
resolution skills
Cultural identity lower middle-class African American
and superiors
Treatment goals decrease discouragement; increase his social interest;
increase capacity to form close relationships; reduce
aggressive behaviors; find family
Treatment focus situations triggered/exacerbated by mistaken beliefs or
discouragement
interpretation
interventions encouragement, acting “as if”
practitioner; aggressive acting out; dependency and
203
racially motivated (precipitant). Throughout his life Antwone has sought

to be accepted and make sense of being neglected, abused, and aban-
doned, and to protect himself by aggressively striking back and con-
ditionally relating to others in the face of perceived threat or injustice
(pattern). Antwone’s presenting problem and reactions can be understood
as his aggressive and impulsive means of protecting himself against the
hurt, arbitrary judgments, rejection, and loss that he has experienced
since early life including his mother who abandoned him, and his foster
family who both neglected and abused him. He reported experiencing
little love and affection from anyone as a child. He found his place in his
foster family, at first with fear and submission and later by fighting back
and protecting himself. He views himself as defective and unlovable but
strong, and he views others as abusive and unfair. Therefore, he lashes
out at any perceived injustice, is wary of others, seldom takes risks, and
avoids getting close to others. His early recollections included themes
of: victimization, others being harmful and unfair, and the world being
challenging and dangerous (predisposition). His limited capacity for emo-
tional regulation along with deficits in conflict resolution skills serve to
maintain this pattern (perpetuants).
The challenge for Antwone to function more effectively is to relate to
others while being careful in getting to know and trust them (treatment
pattern).
(treatment goals). The focus of treatment will be to analyze troublesome

situations triggered or exacerbated by his by mistaken beliefs (treatment
focus). The basic treatment strategy is to foster social interest and con-
structive action. Compatible treatment strategies include medication,
support, and interpretation (treatment strategy). Interventions will include
helping him engage in constructive behaviors Encouragement will be
204
utilized to foster a more positive appraisal of situations. Volunteering

will be used as a social interest enhancing intervention to help him expe-
rience feeling useful to others and to increase his ability to connect with
others while still being careful. Interpretation will be utilized to process
his basic mistakes, particularly by retaliation in the face of injustices
and avoiding close relationships. Since Antwone indicated he wished he
could respond to conflict with a calm attitude, he will be encouraged
to act “as if” he was calm during times of conflict (treatment interven-
tions). Specific treatment obstacles and challenges can be anticipated.
only prejudice from White peers and superiors, but also his experience
of Black-on-Black prejudice. It may be useful to therapeutically frame his
foster family’s prejudice and abuse toward him in terms of self-loathing
that was passed down from their ancestors to him; then, it can be ther-
apeutically processed. Because he is an avid reader, bibliotherapy, i.e.,
books and articles that analyze and explain this type of prejudice could
be a useful therapeutic adjunct (treatment-cultural). Antwone brings sev-
eral strengths and resources to therapy including intelligence, he is a
reader with wide interests, he received regular promotions in rank, at
least until recently, he writes poetry, and has learned two foreign lan-
guages. These resources plus his motivation to change suggest a good to
very good prognosis (treatment prognosis).
Case of Maria
Maria is a 17-year-old, first-generation, Mexican American female who
was referred for counseling because of mood shifts. She is conflicted about
her decision to go off to college instead of staying home to care for her
terminally ill mother. Her family expects her to stay home. She is angry
at her older sister, who left home at 17 after her parents insisted that her
culture “requires” taking care of parents when they get old or become ill.
Her Anglo friends encourage her to go to college and pursue her dreams.
205
Adlerian Assessment
Besides the diagnostic assessment information, the Adlerian assessment
added the following: in terms of family constellation, she is the psycho-
logical and ordinal last born child (youngest sibling), and plays the roles
of the “baby” and “good daughter” of the family. Maria was closest with
her father and she was considered his favorite child. A major family value
is culturally based, in which children are responsible for caretaking of
their elderly or needy family members. Maria is expected to be a home-
maker and is discouraged from attending college. One of her earliest rec-
ollections involves her feeling sad and neglected when she was at the zoo
and lost a toy that was very important to her. She acted like she was unaf-
fected about the toy being lost because she did not want to overwhelm her
father by asking him to look for it since she older sister was throwing a
tantrum at the moment.
Table 9.4 describes the results of the diagnostic and Adlerian assessment

Competing demands of her parents, her friends, and herself about her
future (precipitant) have resulted in Maria being conflicted and experienc-
ing symptoms including low energy, drinking alcohol, and feeling stuck
(presentation). This is largely because she pleases others, particularly her
parents, while neglecting her own needs and desires (pattern). Maria’s
presenting problem and pattern is understandable given her life style. To
the extent to which she continues to be pleasing and non-assertive, she
reinforces the expectation that others’ needs must be met instead of her
own needs and desires, and that her life is a failure and she will have
wasted her potential. The current situation mirrors her lifelong pattern
in which she has played the role of “good daughter,” unlike her siblings,
who have rebelled against family and cultural expectations. Maria found
her place in her family through goodness and a desire to please her par-
ents, and so she is nice, agreeable, and pleasing. She is psychologically the
youngest child and she found a place in her family through goodness and
pleasing her parents without question. She views herself as nice but inad-
equate, and she views others as demanding and dependent upon her. Her
early recollections included themes of a negative self-view, others being
dependent on her, pleasing others, and approval seeking (predisposition).
206

Presentation moodiness; confusion; experimentation with alcohol
use
Predisposition Family Constellation: plays roles of “baby” and “good
daughter”; father’s favorite; family values caring for
elderly/needy family members
Life-style Convictions: I am nice but inadequate
(self-view); Life is demanding and unfair (world
view); Therefore, please others and put their needs
first at the expense of my own happiness (life
strategy)
Pattern-maladaptive meet others’ needs but not hers
Treatment goals decrease discouragement, increase her social interest,
and achieve a betterbalance between her own needs
and desires and those of others
interpretation
Treatment interventions lifestyle assessment, early recollection analysis,
encouragement, acting “as if”
advocate autonomy
207
This life-style has served her well until recently, but the price she pays is
a failure to develop her talents and achieve her dreams. Her low level of
assertiveness and unwillingness to disappoint her parents serves to main-
tain this pattern (perpetuant).
ended by moving to a “safer” Mexican American neighborhood (cultural
her own needs in addition to the needs others (treatment pattern). Decreas-
ing her moodiness and discouragement, increasing social interest, and
developing autonomy that is culturally sensitive are the primary goals of
treatment (treatment goals). The focus of treatment will be to analyze trou-
blesome situations triggered or exacerbated by her by mistaken beliefs
(treatment focus). The basic treatment strategy is to foster social interest and
constructive action. Compatible treatment strategies include support and
interpretation (treatment strategy).
208
(treatment interventions). In terms of likely treatment obstacles and chal-

lenges, it is likely that Maria will attempt to please the practitioner by
readily agreeing to the practitioner’s suggestions and between session
assignments, but afterwards become conflicted and then fail to follow up.
It is also likely that the client will capitulate to her parents’ expectations.
may be indicated wherein her parents can review and revise their cul-
tural expectations of her (treatment-cultural). Besides the impact of person-
ality and culture, the resources that Maria brings to therapy influence her
prognosis. She is bright, successful in school, and has already identified
her needs and career aspirations. At this point, however, given her lower
level of acculturation and dependent personality dynamics, her prognosis
is in the fair to good range (treatment prognosis).
Case of Richard
209
Adlerian Assessment
added the following: In terms of family constellation, he is the only child
of alcoholic parents whom he describes as “fighting all the time.” His par-
ents often involved him in their conflict and often used him to get revenge
or to victimize each other. He reported that his parents were rarely emo-
tionally available to him, and recalled feeling depressed through much
of his childhood. He identified having very few friends but was still very
sociable as a child, largely because he tried to be like his grandmother
who was kind and loving toward him. Even though she moved away,
he indicated that he managed to keep in touch with her a few times a
year. She died a year ago, and he says he misses her a lot. Relationally, he
reports a number of failed romantic relationships starting in high school.
One of his early recollections was about receiving an A in second grade
on a spelling quiz and being scolded by his teacher for bragging about
having the highest grade in the class. He says he felt angry and wanted to
throw something at her.

Richard’s angry outbursts and sadness (presentation) seem to be reactions
to his recent divorce (precipitant). Throughout his life, he has continued to
elevate himself while belittling and using others (pattern).
(predisposition). This pattern is maintained by his inability to empathize,

being impulsive, and a lack of relational skills (perpetuants).
He appears to be highly acculturated, and there are no obvious indications
210

Predisposition Family Constellation: only child; emotionally
uninvolved alcoholic parents; sociable; felt lonely
and depressed throughout childhood
Life-style Convictions: I am entitled, strong, but
defective (self-view); Life is dangerous, but others
should meet my needs (world view); Therefore,
elevate myself, use others for my own gain, and
strike back at those who don’t give me what I need
(life strategy)
empathize
Cultural explanation anxiety, anger, sadness caused by abusive, non-
loving parents
Treatment goals decrease discouragement, increase his social interest,
and decreasing his entitled style
interpretation
Treatment interventions lifestyle assessment; early recollection analysis;
encouragement; acting “as if”
Treatment obstacles minimization of problematic behaviors, idealization
or devaluation of practitioner, arrogant attitude
211

self-confident while endeavoring to be more respectful of others (treat-
ment pattern). Decreasing discouragement, increasing social interest, and
decreasing his entitled style are the primary goals of treatment. Treat-
ment goals include increasing his anger and impulse control, and reduc-
ing sadness and anxiety (treatment goals). The focus of treatment will be
to analyze troublesome situations triggered or exacerbated by his by
mistaken beliefs (treatment focus). The basic treatment strategy is to foster
social interest and constructive action. Compatible treatment strategies
include support and interpretation (treatment strategy). He will be encour-
aged to experience feeling whole and effective and to relate to others more
benignly. Interpretation will be utilized to process his basic mistakes by
analyzing and modifying faulty convictions particularly his entitled and
defective self-view and his pattern of elevating himself while belittling
and using others. Social interest enhancing interventions will be utilized
to help Richard experience feeling useful to others and to increase his
ability to empathize with other. While Richard says he would like to feel
less depressed and go out on weekends, he will be encouraged to act “as
if” he was feeling well and to go out on weekends (treatment interventions).
With regard to likely treatment obstacles and challenges, it is likely that
Richard will minimize his own problematic behaviors by blaming cir-
cumstances or others. It can be expected that he will alternate between
idealization or devaluation of the practitioner, at least in the beginning
phase of therapy. His entitled and arrogant attitude could activate prac-
titioner countertransference. Furthermore, since it is not uncommon for
clients with a narcissistic style to discontinue in treatment when their
symptoms, immediate conflicts or stressors are sufficiently reduced, the
practitioner who believes the client can profit from continued therapy
needs to point out—at the beginning of therapy and thereafter—that
until the client’s underlying maladaptive pattern is sufficiently changed,
similar issues and concerns will inevitably arise in the future (treatment
obstacles). Since the primary influence is personality dynamics, no cultural
focus to treatment is indicated (treatment-cultural). Finally, because of the
212
client’s conditional manner of relating, multiple job firings, and impulsiv-

ity, at this point, his prognosis is considered fair (treatment prognosis).
Case of Joan
Joan is a 47-year-old, married, Caucasian female referred for evaluation of
Although she minimizes her concerns, she describes a number of worries
Adlerian Assessment
added the following: In terms of family constellation, she is the psycho-
logical first-born child (oldest of two children), and plays the roles of
“over-responsible” and “good daughter” of the family. She stated that her
parents encouraged her perfectionism in her school work and extracur-
ricular activities. She identified that she has always been very self-critical.
She mentioned that her hard work ethic helps her to cope with her anxi-
ety, although she is aware of how much it impacts her health (heart pal-
pitations and chest pain). Two family values worth noting are “being a
workaholic” and “achievement.” One of her early recollections was about
studying several days for a math test and getting an “A” for which she
felt on top of the world as it meant that she had achieved perfection in
that moment. She recalled another memory in which she made three mis-
takes at a piano recital and was grounded by her parents for not practicing
enough.

increased stress at work and family issues (precipitant). With this style,
213

Predisposition Family Constellation: first born; plays the roles of
“over-responsible” and “good daughter” of the family;
family values hard work and achievement
Life-style Convictions: I must perfect to be worthwhile
(self-view); Life is too demanding and harsh and
people are imperfect (world view); Therefore, be
conscientious, avoid feelings and mistakes, and keep
others at a distance emotionally (life strategy)
imbalance
Treatment goals increase social interest and constructive action
Treatment strategy foster social interest with encouragement, insight, and
constructive action; support; interpretation; cognitive
restructuring; psychoeducation
interventions encouragement, acting “as if”; role playing and
constructive action
therapy
214
Joan is over conscientious and emotionally distant with family members

and most interpersonal relationships (pattern). Joan’s presenting problems
are understandable in light of her family constellation and life-style con-
victions. Her current situation mirrors her lifelong pattern in which she
has played the role of “good daughter,” and tried her hardest to be perfect
and to please her parents. Accordingly, she found her place in her family
through striving for perfection and pleasing her parents without ques-
tion. She is the psychological first-born child. She views herself as worth-
while when she strives for perfection. She views the world as demanding
and others as critical, dependent upon her, and imperfect. Therefore, her
strategy for dealing with life is to work hard and be conscientious, avoid
feelings and making mistakes, and keep others at a distance emotionally.
Under extended periods of stress, like now, she develops somatic symp-
toms after continued stress and expectations are placed on her. These
serve the purpose of protecting from feelings of failure, and allow her a
break from the high demands she puts on herself. Her early recollections
include themes of perfectionism and pleasing others (predisposition). This
pattern is maintained and reinforced by constant activity, conscientious-
ness, avoidance, and related obsessive-compulsive features (perpetuants).
Joan identifies herself as upper middle-class WASP female (cultural
identity). She is highly acculturated, and there are no obvious indications
of acculturative stress (acculturation & stress). She believes that her anxiety,
The challenge for Joan to function more effectively is to be reasonably
achievement-oriented and conscientious and more emotionally present to
family members and her employees (treatment pattern).
215
(treatment goals). A related goal is to develop better coping skills in place of

withdrawal from relationships. The focus of treatment will be to analyze
troublesome situations triggered or exacerbated by her by mistaken beliefs
(treatment focus). The basic treatment strategy is to foster social interest and
constructive action. Compatible treatment strategies include support and
interpretation (treatment strategy). She will be encouraged to practice hav-
ing the courage to be imperfect. Interpretation, cognitive restructuring,
and metaphor will be utilized to process her basic mistakes by analyzing
and modifying faulty convictions particularly perfectionistic striving and
avoidance. Role playing will be used to increase her capacity to relate to
others and to have the experience of relating to others emotionally instead
of her customary task-oriented manner. While Joan says she wished she
could be less demanding of herself and her performance, she will be
encouraged to act “as if” she was accepting of herself and her perfor-
mance. Psychoeducation will focus on the impact of stimulants on heart
palpitations and insomnia and emphasize the vicious cycle of hard work
and perfectionistic striving –> stimulant use –> somatic symptoms (treat-
ment interventions). In terms of likely treatment obstacles and challenges,
it is likely that Joan will minimize certain issues, such as her relationship
with her father as well as her husband, believing they are unrelated to
her currents stressors. Her avoidant style can present challenges which
the practitioner should be prepared to address. Also consistent with her
obsessive-compulsive style, she will have high expectations for a success-
ful outcome in therapy but is likely to undermine change efforts while she
appears to be cooperating with the therapeutic process and pleasing the
practitioner (treatment obstacles). Since the primary influence is personality
dynamics, no cultural focus to treatments indicated (treatment-cultural).
Finally, to the extent to which therapy is able to work through these chal-
lenges, her prognosis is good (prognosis).

216
your competence in Adlerian case conceptualizations with the aid of spe-
cific prompts.
To simulate the process of constructing a full case conceptualiza-
tion, we suggest that you begin with the case of Antwone. Read the
background information on the case as well as the Adlerian Assessment
section. It should provide sufficient information to develop a “Treatment
Goal” statement. If you need a brief prompt, review the “Treatment Goal”
section of the Table 9.3. Then, write one or more sentences that translates
the key points of this signature element the open space for “Treatment
Goal” in the case conceptualization statement.
alization statement has an open space for “Treatment Intervention.” Then,
specify treatment interventions that are appropriate for this case. If you
need a prompt review the signature element of “Treatment Intervention”
in Table 9.3. Move on to cases of Richard and Joan where you will find
that your responses will be exactly the same, but rather that they will be
provide you with additional experience in constructing Adlerian Case
Conceptualizations.
CONCLUDING NOTE
The Adlerian model of case conceptualization was described and illus-

trated. The basic premises of the Adlerian perspective were listed and the
factors involved in an Adlerian assessment were discussed. The Adlerian
model of case conceptualization was then applied to five cases and illus-
trated with their clinical, cultural, and treatment formulations.
217
REFERENCES
Ansbacher, H. L., & Ansbacher, R. R. (Eds.). (1956). The individual psychology of

Alfred Adler. New York, NY: Harper & Row.
Carlson, J., Watts, R. E., & Maniacci, M. (2006). Adlerian therapy: Theory and practice.
Washington, DC: American Psychological Association.
Sperry, J. (2011). The relationship of self transcendence, social interest, and spirituality to
well-being in HIV-AIDS adults. Retrieved from Dissertations and Theses data-
base. (UMI No. 3320105)
APPENDIX
Case of Antwone
Treatment Goal
Decreasing discouragement, increasing social interest, and increasing his
ability to form close relationships are the primary goals of treatment.
Case of Maria
The practitioner will provide support particularly by encouraging her
to consider ways in which she could care for her parents and follow her
dreams. Collaboratively investigating her life-style could increase Maria’s
self-awareness and help her examine the usefulness of her behaviors.
Interpretation will be utilized regarding her basic mistakes by analyz-
ing and modifying her faulty convictions regarding putting others needs
first, at the expense of her own happiness. While Maria says she really
wished she could be more comfortable in making decisions by herself, she
will be encouraged to act “as if” she was comfortable making decisions.
Case of Richard
Predisposition
His reaction and pattern are understandable given his upbringing and
life-style. He is the only child of alcoholic parents whom he observed
218
fighting constantly and who would sometimes pull him into their con-
flict. Richard found his place in his family by being aggressive, entitled,
but also sociable. He views himself as entitled and strong but somehow
defective. The world is viewed as dangerous and unpredictable, and he
views others as serving to his needs, but also as withholding and manip-
ulative. Therefore, he elevates himself while belittling and using others
and strikes back at those who don’t give him what he expects. His early
recollections included themes of an entitled self-view, others as serving to
his needs but also being harmful and unavailable, and situations having
negative outcomes.
Case of Joan
Treatment Goal
Decreasing discouragement, increasing social interest, and assisting her
in finding the ability to be imperfect are the primary goals of treatment.
219
APPENDIX: FORMS
1. Clinical Formulation Worksheet
2. Elements of a Case Conceptualization: Descriptions
3. Elements of a Case Conceptualization: Worksheet
4. Case Conceptualization Evaluation Form
220
APPENDIX
CLINICAL FORMULATION WORKSHEET*
___________________________
___________________________
___________________________
___________________________
Predisposition
Precipitant Pattern Presentation
___________________________
___________________________ ___________________________
___________________________ ___________________________
Perpetuants
___________________________
___________________________
___________________________
___________________________
* Sperry, L., & Sperry, J. (2012). Case Conceptualization: Mastering this Competency with Ease
and Confidence. New York, NY: Routledge
221
APPENDIX
ELEMENTS OF A CASE
CONCEPTUALIZATION: DESCRIPTION*

precipitants
Precipitant triggers that activates the pattern resulting in presenting
problem
Pattern- inflexible, ineffective manner of perceiving, thinking,
maladaptive acting
presentation
Acculturation and level of adaptation to the dominant culture; stress rooted
acculturative stress in acculturation including psychosocial difficulties
Cultural beliefs regarding cause of distress, condition, or
explanation impairment
Culture v. operative mix of cultural and personality dynamics
personality
Treatment pattern flexible, effective manner of perceiving, thinking, acting
Treatment goals stated short and long term outcomes of treatment
Treatment focus central therapeutic emphasis providing directionality to
treatment that is keyed to the adaptive pattern
Treatment strategy action plan and vehicle for achieving a more adaptive
pattern
Treatment specific change techniques and tactics related to the
interventions treatment strategy for achieving treatment goals and
pattern change
Treatment obstacles predictable challenges in the treatment process anticipated
from the maladaptive pattern
Treatment- incorporation of cultural intervention, culturally sensitive
cultural therapy or interventions when indicated
Treatment prediction of the likely course, duration, and outcome of a
prognosis mental health condition with or without treatment
222
APPENDIX
ELEMENTS OF A CASE
CONCEPTUALIZATION: WORKSHEET*
Presentation
Precipitant
Pattern-maladaptive
Predisposition
Perpetuants
Cultural identity
Acculturation and
Cultural explanation
Culture v. personality
Treatment pattern
223
APPENDIX
Treatment goals
Treatment focus
Treatment strategy
Treatment interventions
Treatment obstacles
Treatment-cultural
Treatment prognosis
224
APPENDIX
CASE CONCEPTUALIZATION EVALUATION FORM*
Instructions: Rate the case conceptualization statement using a scale

where 1 = very poor and 10 = excellent
1. Diagnostic Formulation: Presentation and Precipitant are directly

linked to the (maladaptive) Pattern
1 2 3 4 5 6 7 8 9 10
2. Clinical Formulation: Predisposition is clearly stated and convincingly

explains the Pattern and Presentation; CF accurately reflects BPS, CB,
Dynamic, S-F, or Adlerian (circle one)
1 2 3 4 5 6 7 8 9 10
3. Cultural Formulation: incorporates identity; acculturation level & stress;

explanatory model; culture vs. psychological factors; anticipates influ-
ence of cultural factors on treatment process
1 2 3 4 5 6 7 8 9 10
4. Treatment Formulation: Tx Goals reflect Presentation and Predisposi-

tion; TF accurately reflects BPS, CB, Dynamic, S-F, or Adlerian (circle
one); Tx Focus consistent with method; Tx Strategy and specific Tx
Interventions are appropriate and linked to Tx Goals; Tx Obstacles
reflect client’s personality & cultural dynamics. If indicated, appropri-
ate Tx-Cultural interventions are specified;
1 2 3 4 5 6 7 8 9 10
5. Explanatory Power: overall explanation of pattern, presenting problem,

cultural factors are compelling, as is the rationale for the proposed
treatment plan /implementation strategy
1 2 3 4 5 6 7 8 9 10
6. Predictive Power: realistic and sufficient treatment plan & implementa-

tion plan for achieving Tx Goals/pattern change; adequately antici-
pates challenges; realistic Tx Prognosis
1 2 3 4 5 6 7 8 9 10
225
APPENDIX
7. Completeness: sufficient number of case conceptualization elements

are incorporated and provide a complete case conceptualization
1 2 3 4 5 6 7 8 9 10
8. Coherence: coherently and logically articulates all the included case

conceptualization elements
1 2 3 4 5 6 7 8 9 10
226
INDEX
Page numbers in italic refer to Figures or case study, 90–92, 93–95, 96–99,
Tables. 100–103, 105–106
elements, 87, 108–109
Acceptance, 67–68 case study, 89, 93, 97, 101, 104
Acculturation history, 84–85
cultural formulation, 55–56, 57 method, 87
defined, 55 predisposition, 87
Acculturative stress skill building exercise, 106–107,
cultural formulation, 55–56, 57 108–109
defined, 55 treatment focus, 87
Adaptive patterns, 34, 71–72 treatment goal, 87
Adlerian case conceptualization, 193–217 treatment intervention, 87
Adlerian assessment, 32 treatment strategy, 87
case study, 198, 202, 206, 210, 213 Biopsychosocial method, 84–85
case conceptualization statement clinical formulation, 50–51
case study, 200–201, 202–205, 206– case study, 50, 51
209, 210–215 Brief Dynamic case conceptualization,
elements, 197 139–164
case study, 199, 203, 207, 211, 214 Brief Dynamic assessment, 141–142
method, 196–197 case study, 142–144, 148, 152, 156,
predisposition, 197 160
skill building exercises, 216–217, case conceptualization statement
218–219 case study, 150–151, 152–156, 158–
treatment focus, 197 159, 160–163
treatment goal, 197 elements, 143
treatment intervention, 197 case study, 145, 148–149, 153, 157,
treatment strategy, 197 161
Adlerian perspective, 193–294 method, 142
Assessment, see also Specific type predisposition, 143
importance, 29 skill building exercises, 163–164,
Automatic thoughts, 111 165–166
treatment focus, 143
Backward reasoning, 47 treatment goal, 143
Biopsychosocial case conceptualization, treatment intervention, 143
83–107, 108–109 treatment strategy, 143
atheoretical, 83 Brief Dynamic Psychotherapy, 139–141
biological basis, 83 advantages, 82
biopsychosocial assessment, 32, 85–87 countertransference, 140
case study, 90, 92, 96, 100, 103–105 in-session enactments, 140
case conceptualization statement maladaptive pattern, 140
227
INDEX
Brief Dynamic Therapy, clinical reasoning processes, 44–48

formulation, case study, 50, 51 selection, 6–11
standardized methods, 19
Case conceptualization, see also Specific structured methods, 19
type as too complex and time consuming,
anticipating challenges, 5 16
benefits, 4 training, 19–21
brief, 17 deliberate practice, 20
case formulation, 26 dispelling myths, 20
terminology distinguished, 26 feedback, 20–21
case summary integrative method, 21
compared, 6 ongoing study of exemplars, 21
contrasted, 14 requisite knowledge, 20
as clinical strategy, 4–5 treatment formulation, 5
clinical usefulness, 14–15 types, 16–17
components, 11, 11 versions compared, 6–11, 10
definition, 4 Case conceptualization statement
as difficult to learn, 16 Adlerian case conceptualization, case
elements, 5–11, 14, 15 study, 200–201, 202–205, 206–209,
descriptions, 222 210–215
evaluation form, 225–226 biopsychosocial case
worksheet, 223–224 conceptualization, case study,
evaluating, 12–13 90–92, 93–95, 96–99, 100–103,
criteria, 12 105–106
explaining, 5 Brief Dynamic case conceptualization,
formulations, 5 case study, 150–151, 152–156,
full-scale, 17 158–159, 160–163
functions, 3, 4–5 Cognitive-behavioral case
high level, 12–13 conceptualization, case study,
hypothesis tested, 4–5 117–119, 121–123, 126–128, 130–
increasing competence in, 19–21 131, 132–135
integrative method, 19 Solution-Focused case
learning exercise, full-scale vs. brief conceptualization, case study,
case conceptualization, 17–18 173–174, 175–178, 179–182, 183–
low level, 13 185, 186–189
moderate level, 13 Case formulation
myths about, 14–19 case conceptualization, 26
non-standardized methods, 19 terminology, 26
as not all the same, 18–19 Case study
obtaining, 4–5 background information, 21–26
organizing, 4–5 Case summary, case conceptualization
overview, 3–27 compared, 6
patterns, 4–5 contrasted, 14
personality development, 38 Clinical assessment, 31–33
provisional, 16 diagnostic assessment, distinguished,
psychopathology, 39 30–33
psychotherapy, 39 pattern identification, 33
228
INDEX
purpose, 32 Cognitive restructuring, 64–65

types, 32–33 Corrective emotional experience, 67–68
Clinical formulation, 11, 11, 48–53 Countertransference, Brief Dynamic
biopsychosocial approach, 50–51 perspective, 140
case study, 50, 51 Cultural dynamics, 9
cognitive-behavioral approach Cultural explanation, cultural
case conceptualization, 113 formulation, 56, 57
case study, 50, 51 Cultural formulation, 11, 11, 53–58
elements, 48, 48–50, 50 acculturation, 55–56, 57
explanatory power, 50–53 acculturative stress, 55–56, 57
case study, 51–53 case study, 57–58
limited dynamics approach, case cognitive-behavioral case
study, 50, 51 conceptualization, 114
perpetuant, 49–50 cultural explanation, 56, 57
predisposition, 48–49 cultural identity, 54–55, 57
worksheet, 221 definition, 54
Cognitions, 111 elements, 54–56, 57
Cognitive-behavioral case importance, 43
conceptualization, 110–136, personality, 56, 57
137–138 training, 53–54
case conceptualization statement Cultural identity, cultural formulation,
case study, 117–119, 121–123, 126– 54–55, 57
128, 130–131, 132–135 Cultural intervention, 75
clinical formulation, 113 Culturally sensitive treatment, 75–77
cognitive-behavioral assessment, 32, selection guidelines, 76–77
112–113 types, 75–76
case study, 116, 120–121, 124, 128–
130, 132 Deductive reasoning process, 45
cultural formulation, 114 Depression, 6–11
elements, 114 Diagnosis, 6,see also Diagnostic
case study, 116–117, 120–121, 124– assessment; Diagnostic
125, 129, 132–133 formulation
method, 115–135 treatment, relationship, 30
predisposition, 114 Diagnostic assessment, 31, see also
psychological wellness, 111–112 Specific type
skill building exercises, 135–136, characterized, 31
137–138 clinical assessment, distinguished,
treatment focus, 114 30–33
treatment formulation, 114 focus, 31
treatment goal, 114 limitations, 31–32
treatment intervention, 114 purpose, 31
treatment strategy, 114 value, 31
Cognitive-behavioral perspective, Diagnostic formulation, 11, 11, 29, 33–38
110–112 construction, case study, 36–38, 38
clinical formulation, case study, elements, 34, 36
50, 51 pattern, 34, 36
Cognitive map, training, 60 precipitant, 34, 36
229
INDEX
Diagnostic formulation (continued) Orders of change, pattern change, 71–72,

presentation, 34, 36 72
purpose, 33
Dynamic assessment, 32 Pattern, see also Specific type
Dynamic interpretation, 64 defined, 34
diagnostic formulation, 34, 36
Early recollections, 195–196 identification, clinical assessment, 33
Etiological factors, see Predisposition integrative case conceptualization
Evidence-based practice, 16 model, 38–40
Explanation longitudinal, 34
defined, 43–44 precipitant, relationship, 36
Explanatory power, 5, 10, 44 presentation, relationship, 36
clinical formulation, 50–53 situation-specific, 34
case study, 51–53 case study, 35–36
Exposure, 65–66 Pattern change
orders of change, 71–72, 72
Family dynamics, 193–194, 195 processes, 39, 39
Focusing, training, 60 steps, 71
Forward reasoning, 46–47 Perpetuant, clinical formulation, 49–50
Personality, 7, 9, 39–40, 40
Genetic interpretation, 64 cultural formulation, 56, 57
Personality development, case
Habituation, 65 conceptualization, 38
Precipitant
Inductive reasoning process, 45–46 diagnostic formulation, 34, 36
In-session enactments, Brief Dynamic pattern, relationship, 36
perspective, 140 presentation, relationship, 36
Integrative case conceptualization Predictive power, 5, 7, 10
model, pattern, 38–40 Predisposing factors, see Predisposition
Integrative pattern-focused assessment, Predisposition
33 Adlerian case conceptualization, 197
Integrative treatment formulation biopsychosocial case
statement, 75 conceptualization, 87
Intermediate beliefs, 111 Brief Dynamic case conceptualization,
Interpersonal skills, 8 143
Interpretation, 64 clinical formulation, 48–49
cognitive-behavioral case
Life-style, 193, 194, 196 conceptualization, 114
Life tasks, 194–195 Solution-Focused case
conceptualization, 170
Maintaining factors, see Perpetuant Predisposition perpetuant, defined,
Maladaptive pattern, 34 50
aspects, 140 Presentation
Brief Dynamic perspective, 140 diagnostic formulation, 34, 36
operative, 74 pattern, relationship, 36
Medication, 66–67 precipitant, relationship, 36
230
INDEX
Prognosis, 7, 9, 69, 70 case study, 172, 176, 180, 184, 187

Psychoeducation, 66 method, 170
Psychological wellness, predisposition, 170
cognitive-behavioral case skill building exercises, 189–190,
conceptualization, 111–112 191–192
Psychopathology, case Solution-Focused assessment, 33,
conceptualization, 39 168–169
Psychotherapy, case conceptualization, case study, 171, 175, 179, 182, 186
39 treatment focus, 170
Psychotropic medication, 66–67 treatment goal, 170
treatment intervention, 170
Reasoning processes treatment strategy, 170
case conceptualization, 44–48 Solution-Focused therapy perspective,
training, 47–48 167–168
types, 44–47 Support, 66
Relational styles, 39–40, 40
Replacement, 65 Termination, 9
Terminology, 26
Schema, 111 case formulation, 26
Situational dynamics, 7, 9 Theory-based assessment, see Clinical
Situational pattern, 73 assessment
Skill building exercises Therapeutic objectives, see Treatment
Adlerian case conceptualization, goal
216–217, 218–219 Therapists, confidence, 4
biopsychosocial case Time-Limited Dynamic Psychotherapy,
conceptualization, 106–107, see Brief Dynamic case
108–109 conceptualization
Brief Dynamic case conceptualization, Training
163–164, 165–166 case conceptualization, 19–21
cognitive-behavioral case deliberate practice, 20
conceptualization, 135–136, dispelling myths, 20
137–138 feedback, 20–21
Solution-Focused case integrative method, 21
conceptualization, 189–190, ongoing study of exemplars, 21
191–192 requisite knowledge, 20
Social interest, 193, 194 cognitive map, 60
Social isolation, 7, 8–9 cultural formulation, 53–54
Social network, 8 focusing, 60
Social skills training, 66 reasoning processes, 47–48
Solution-Focused case conceptualization, Transference, 9
167–190 Treatment, diagnosis, relationship, 30
advantages, 167 Treatment challenges, 9
case conceptualization statement Treatment-cultural
case study, 173–174, 175–178, 179– defined, 70
182, 183–185, 186–189 treatment formulation, 69
elements, 170 treatment prognosis, 69, 70
231
INDEX
Treatment focus Solution-Focused case

Adlerian case conceptualization, 197 conceptualization, 170
biopsychosocial case treatment formulation, 6170
conceptualization, 87 Treatment intervention
Brief Dynamic case conceptualization, Adlerian case conceptualization, 197
143 biopsychosocial case
cognitive-behavioral case conceptualization, 87
conceptualization, 114 Brief Dynamic case conceptualization,
defined, 61 143
Solution-Focused case cognitive-behavioral case
conceptualization, 170 conceptualization, 114
treatment formulation, 61–63, 63, 70 defined, 68, 70
Treatment formulation, 11, 11, 61–71 selection, 68
anticipating obstacles and challenges, Solution-Focused case
74 conceptualization, 170
case study, 77, 77 treatment formulation, 68, 70
cognitive-behavioral case treatment obstacles and challenges,
conceptualization, 114 68–69, 70
development guidelines, 73–75 Treatment plan, 6, 7, 9
elements, 61–69, 70 Treatment prognosis, treatment-cultural,
relationship, 70–71, 71 69, 70
integrative treatment formulation Treatment strategy, see also Specific types
statement, 75 Adlerian case conceptualization, 197
interventions sequenced, 74 biopsychosocial case
interventions tailored, 74 conceptualization, 87
treatment-cultural, 69 Brief Dynamic case conceptualization,
treatment focus, 61–63, 63, 70 143
treatment goal, 61, 70 cognitive-behavioral case
treatment intervention, 68, 70 conceptualization, 114
treatment strategy, 63–68, 70 defined, 63
Treatment goal Solution-Focused case
Adlerian case conceptualization, 197 conceptualization, 170
biopsychosocial case treatment formulation, 63–68, 70
conceptualization, 87 Treatment targets,see Treatment goal
Brief Dynamic case conceptualization,
143 Vulnerability, 84
cognitive-behavioral case
conceptualization, 114 Working through, 64
232

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Praise for Case Conceptualization

“In Case Conceptualization: Mastering This Competency with Ease and

“Case Conceptualization translates theory into practice in a way that ther-

“Although case conceptualization is a foundational competency for

“Case Conceptualization removes the anxiety felt by most students and

“This new volume is a unique resource for comparing and contrasting

“The best available text on case conceptualization. Using a unique

Writing clinically useful case conceptualizations is no longer optional

Competency represents a paradigm shift in the training and practice

Volumes in this Series

Highly Effective Therapy: Developing Essential Clinical Competencies in

Core Competencies in Counseling and Psychotherapy: Becoming a Highly

Core Competencies in the Solution-Focused and Strategic Therapies: Becoming a

Case Conceptualization: Mastering this Competency with Ease and Confidence

Core Competencies in Cognitive-Behavioral Therapy: Becoming a Highly

LEN SPERRY AND

Simultaneously published in the UK

Routledge is an imprint of the Taylor & Francis Group, an informa business

© 2012 Taylor & Francis

Trademark notice: Product or corporate names may be trademarks or registered

Library of Congress Cataloging in Publication Data

ISBN: 978-0-415-63629-2 (hbk)

Typeset in Palatino, Gill Sans, and Frutige

1 Case Conceptualizations: An Overview 3

2 Assessment and Diagnostic Formulations 29

3 Explanations and Clinical and Cultural Formulations 43

4 Treatment Planning and Treatment Formulations 60

Part II: Introduction 81

5 Biopsychosocial Case Conceptualizations 83

6 Cognitive-Behavioral Case Conceptualizations 110

7 Brief Dynamic Case Conceptualizations 139

8 Solution-Focused Case Conceptualizations 167

9 Adlerian Case Conceptualizations 193

Interest among clinicians in psychotherapy case conceptualization has

etiological. The Diagnostic and Statistical Manual of Mental Disorders (DSM-

Before 1990 mental health professionals and trainees seldom, if ever,

diagnostic and clinical or theory-based assessment before describing the

A WORD ABOUT LANGUAGE

The designations case conceptualizations, case formulations, clinical for-

Part I, we breakout four components of case conceptualization: diagnos-

Len Sperry, MD, PhD, is Professor of Mental Health Counseling at Flor-

Jonathan Sperry, PhD is a licensed clinical social worker and a licensed

Chapters 1 to 4 of this book serve as background material for the chapters

What are case conceptualizations and why is there so much interest in

Case conceptualizations provide practitioners with a coherent treatment

Defi nition of Case Conceptualization: Case conceptualization is a

This definition highlights interrelated functions when it is understood

1. Obtaining and organizing. The case conceptualization process begins

Elements in Case Conceptualizations

Commentary. This version is essentially a factual description of the case

Commentary. This version provides more explanation and implications

Some obstacles and challenges to treatment can be anticipated. Given

Commentary. This version emphasizes explanation and implications

Table 1.1 Comparison of Three Case Conceptualizations

Case Conceptualization Elements Version 1 Version 2 Version 3

Table 1.1 is a visual comparison of the elements involved in each of the

As instructors and clinical supervisors, we favor complete or full-

Components of a Case Conceptualization

Table 1.2 Four Components of a Case Conceptualization

Evaluating Case Conceptualizations