Sma13 4353

Managing Depressive
Symptoms in Substance
Abuse Clients During
Early Recovery
A Treatment
Improvement
Protocol
TIP
48
Managing Depressive
Early Recovery
Treatment Improvement Protocol (TIP) Series
48
U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES
Substance Abuse and Mental Health Services Administration
1 Choke Cherry Road

Rockville, MD 20857
Acknowledgments Recommended Citation
This publication was prepared under contract number Center for Substance Abuse Treatment. Managing
270-04-7049 by the Knowledge Application Program Depressive Symptoms in Substance Abuse Clients
(KAP), a Joint Venture of The CDM Group, Inc., and During Early Recovery. Treatment Improvement
JBS International, Inc., for the Substance Abuse and Protocol (TIP) Series, No. 48. HHS Publication No.
Mental Health Services Administration (SAMHSA), (SMA) 13-4353. Rockville, MD: Substance Abuse and
U.S. Department of Health and Human Services Mental Health Services Administration, 2008.
(HHS). Christina Currier served as the Contracting
Officer’s Representative.
Originating Office
Quality Improvement and Workforce Development
Branch, Division of Services Improvement, Center for
Disclaimer
The views, opinions, and content of this publication Substance Abuse Treatment, Substance Abuse and
are those of the author and do not necessarily reflect Mental Health Services Administration, 1 Choke
the views, opinions, or policies of SAMHSA or HHS. Cherry Road, Rockville, MD 20857.
HHS Publication No. (SMA) 13-4353

Public Domain Notice First Printed 2008
Revised 2009, 2012, 2013, and 2014
All material appearing in this report is in the public
domain and may be reproduced or copied without per-
mission from SAMHSA. Citation of the source is
appreciated. However, this publication may not be
reproduced or distributed for a fee without the specif-
ic, written authorization of the Office of
Communications, SAMHSA, HHS.
Electronic Access and

Copies of Publication
This publication may be ordered from or
downloaded from SAMHSA’s Publications Ordering
Web page at http://store.samhsa.gov. Or, please call
SAMHSA at 1-877-SAMHSA-7 (1-877-726-4727)
(English and Español).
ii
Contents
Consensus Panel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . v
Expert Advisory Board. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vi
What Is a TIP? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vii
Foreword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ix
How This TIP Is Organized . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xi
Part 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Chapter 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Framework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Preparing Yourself To Work With Clients With Depressive Symptoms . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Screening and Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
Treatment Planning. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
Treatment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
Continuing Care and Treatment Termination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
Chapter 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
Vignette 1—Behavioral Interventions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
Vignette 2—Cognitive Interventions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
Vignette 3—Interventions With Core Beliefs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
Vignette 4—Interventions With Feelings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82
Part 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99
Chapter 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
Why SAMHSA Created an Implementation Guide as Part of This TIP . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
Consensus Panel Recommendations for Administrators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
Why Address Depressive Symptoms?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
Thinking About Organizational Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103
The Role of the Administrator in Introducing and Supporting New Clinical Practices . . . . . . . . . . . . . . . 106
Managing Depressive Symptoms iii

Chapter 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109
Assessment and Planning Before Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109
Addressing Policies and Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114
Addressing Relevant Regulations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
Addressing Staff Competence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
Addressing Community Relationships . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127
Addressing Financial Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128
Addressing Continuity and Fidelity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128
Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129
Appendix A—Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131
Appendix B—Center for Epidemiologic Studies Depression Scale (CES-D) . . . . . . . . . . . . . . . . 135
Appendix C—Fidelity Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137
Appendix D—DSM-IV-TR Mood Disorders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143
Appendix E—Advisory Meeting Panel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 147
Appendix F—Field Reviewers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149
Appendix G—Acknowledgments. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151
Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153
iv Contents
Consensus Panel
Note: The information given indicates each participant's affiliation during the time the panel was convened and
may no longer reflect the individual's current affiliation.
Chair, Part 1 and Part 2 Part 2 Consensus Panel Members

Jennifer Frey, Ph.D.
KAP Expert Content Director
Consensus Panels
Rose M. Urban, M.S.W., J.D., LCSW, LCAS
KAP Project Co-Director The CDM Group, Inc.
The CDM Group, Inc. Bethesda, Maryland
Bethesda, Maryland
Nancy VanDeMark, Ph.D.
Director, Research and Program Evaluation
Arapahoe House, Inc.
Part 1 Consensus Panel Members
Bruce Carruth, Ph.D.
Thornton, Colorado
The CDM Group, Inc.
Bethesda, Maryland
Jennifer Frey, Ph.D.

The CDM Group, Inc.
Bethesda, Maryland
Michael Klitzner, Ph.D.

The CDM Group, Inc.
Bethesda, Maryland
Sheldon R. Weinberg, Ph.D.

Senior Research/Applied Psychologist
The CDM Group, Inc.
Bethesda, Maryland
Managing Depressive Symptoms v

Expert Advisory Board
Note: The information given indicates each participant's affiliation during the time the board was convened and
Richard N. Rosenthal, M.D., Chair William Mock, Ph.D., LISW, LICDC, SAP
Professor of Clinical Psychiatry Director
Columbia University College of Physicians and The Center for Interpersonal Development
Surgeons Lakewood, Ohio
Chairman, Department of Psychiatry
St. Luke’s Roosevelt Hospital Center Paul Nagy, LPC, CCAS, CCS
New York, New York Program Director, Duke Addictions Program and
Clinical Associate, Duke University Department of
Patricia A. Burke, M.S.W., LCSW, BCD, C- Psychiatry and Behavioral Sciences
CATODSW Durham, North Carolina
Private Practice
West Baldwin, Maine Bette Ann Weinstein, Ph.D., LCSW
Private Practice
Dennis C. Daley, LCSW, BCD Delray Beach, Florida
Associate Professor of Psychiatry
Western Psychiatric Institute and Clinic
University of Pittsburgh Medical Center
Pittsburgh, Pennsylvania
vi
What Is a TIP?
Treatment Improvement Protocols (TIPs) are developed by the Center for

Substance Abuse Treatment (CSAT), part of the Substance Abuse and
Mental Health Services Administration (SAMHSA) within the U.S.
Department of Health and Human Services (HHS). Each TIP involves the
development of topic-specific best-practice guidelines for the prevention and
treatment of substance use and mental disorders. TIPs draw on the experi-
ence and knowledge of clinical, research, and administrative experts of vari-
ous forms of treatment and prevention. TIPs are distributed to facilities and
individuals across the country. Published TIPs can be accessed via the
Internet at http://store.samhsa.gov.
Although each consensus-based TIP strives to include an evidence base for

the practices it recommends, SAMHSA recognizes that behavioral health is
continually evolving, and research frequently lags behind the innovations
pioneered in the field. A major goal of each TIP is to convey "front-line" infor-
mation quickly but responsibly. If research supports a particular approach,
citations are provided.
Managing Depressive Symptoms vii

Foreword
The Substance Abuse and Mental Health Services Administration (SAMH-
SA) is the agency within the U.S. Department of Health and Human
Services that leads public health efforts to advance the behavioral health of
the nation. SAMHSA’s mission is to reduce the impact of substance abuse
and mental illness on America’s communities.
The Treatment Improvement Protocol (TIP) series fulfills SAMHSA’s mission

to reduce the impact of substance abuse and mental illness on America's
communities by providing evidence-based and best practice guidance to clini-
cians, program administrators, and payers. TIPs are the result of careful
consideration of all relevant clinical and health services research findings,
demonstration experience, and implementation requirements. A panel of
non-Federal clinical researchers, clinicians, program administrators, and
patient advocates debates and discusses their particular area of expertise
until they reach a consensus on best practices. This panel’s work is then
reviewed and critiqued by field reviewers.
The talent, dedication, and hard work that TIPs panelists and reviewers
bring to this highly participatory process have helped bridge the gap
between the promise of research and the needs of practicing clinicians and
administrators to serve, in the most scientifically sound and effective ways,
people in need of behavioral health services. We are grateful to all who have
joined with us to contribute to advances in the behavioral health field.
Pamela S. Hyde, J.D.

Administrator
Daryl W. Kade
Acting Director
Center for Substance Abuse Treatment
Managing Depressive Symptoms ix

How This TIP Is Organized
This TIP is divided into three parts:
• Managing Depressive Symptoms in Substance Abuse Clients During Early Recovery, Part 1.
• Managing Depressive Symptoms: An Implementation Guide for Administrators, Part 2.
• Managing Depressive Symptoms: A Review of the Literature, Part 3.
Parts 1 and 2 are presented in this publication; Part 3 is available only online at http://store.samhsa.gov. Each
part is described below.
Part 1 of the TIP is for substance abuse counselors and consists of two chapters. Chapter 1 presents the “what”
and “why” of working with clients with substance use disorders who have depressive symptoms. It covers:
• Background issues such as the nature and extent of depressive symptoms in clients receiving substance
abuse treatment, an introduction to counseling approaches, issues related to the setting in which you work,
cultural concerns, and your role and responsibilities.
• Preparing yourself to work with clients with depressive symptoms.
• Understanding the client with depressive symptoms and his or her world.
• Screening and assessment and knowing when to refer.
• Client-centered treatment planning.
• The treatment process.
• Continuing care.
Chapter 2 presents the “how to” of working with clients with depressive symptoms. Chapter 2 contains:
• Representative vignettes of counseling sessions with clients with depressive symptoms.

• How-to descriptions of specific counseling techniques.
• Master clinician notes and comments that help you understand the client, his or her issues related to
depressive symptoms, and approaches you can take in your counseling work with clients with depressive
symptoms.
• Decision trees that will assist you at key points in working with clients with depressive symptoms (e.g.,
when to refer and when to use a variety of differing counseling approaches).
It is strongly recommended that you read chapter 1 before reading chapter 2.
Part 2 is an implementation guide for program administrators and consists of two chapters. Chapter 1 lays out
the rationale for the approach taken in chapter 2 and will help you understand the processes of organizational
change and the factors that can facilitate or impede such change. Your understanding of these processes and
factors will help you set reasonable goals and ensure that your journey is a rewarding one for all involved.
Chapter 2 provides detailed information on how to achieve high-quality implementation of the recommenda
tions in Managing Depressive Symptoms in Substance Abuse Clients During Early Recovery, Part 1.
Part 2 addresses:
• Why SAMHSA created an implementation guide as part of this TIP.

• Thinking about organizational change.
• The reasons for addressing depressive symptoms in treatment.
• The challenges of implementing new clinical practices.
• The role of the administrator in introducing and supporting new clinical practices.
• The steps of organizational change.
Managing Depressive Symptoms xi

Part 3 of this TIP is a literature review on the topic of depressive symptoms, available for use by clinical super
visors, interested counselors, and administrators. Part 3 consists of three sections: an analysis of the available
literature, an annotated bibliography of the literature most central to the topic, and a bibliography of other
available literature. It includes literature that addresses both clinical and administrative concerns. To facilitate
ongoing updates (which will be performed every 6 months for up to 5 years from first publication), the litera
ture review will be available only online at KWWSVWRUH.samhsa.gov.
And finally, a note about terminology. Throughout the TIP, the term “substance abuse” has been used to refer
to both substance abuse and substance dependence (as defined by the Diagnostic and Statistical Manual of
Mental Disorders, 4th editing, Text Revision [DSM-IV-TR] [American Psychiatric Association 2000]). This term
was chosen partly because substance abuse treatment professionals commonly use the term “substance abuse”
to describe any excessive use of addictive substances. In this TIP, the term refers to the use of alcohol as well
as other substances of abuse. Readers should attend to the context in which the term occurs in order to deter
mine what possible range of meanings it covers; in most cases, however, the term will refer to all varieties of
substance use disorders described by DSM-IV.
xii How This TIP Is Organized

Part 1
Managing Depressive
Early Recovery
Managing Depressive Symptoms

Chapter 1
Introduction Depressive symptoms are common among clients in

substance abuse treatment. Findings from a
2001–2002 national survey indicate that substance
Overview abuse counselors will encounter significant numbers
This Treatment Improvement Protocol (TIP) is of individuals with co-occurring substance abuse and
designed to assist you—the substance abuse coun depressive symptoms. Among people who have had
selor—in working with clients who are experiencing past year contact with health personnel or social
depressive symptoms. These symptoms occur along a service agencies and who also have had a past year
continuum of intensity from mild to severe. When substance use disorder, 40 percent of those with an
they reach a certain level of intensity and frequency, alcohol use disorder also had an independent mood
they become consistent with a diagnosis of a mood disorder and 60 percent of those with a drug use dis
disorder, such as major depressive disorder, dys order had an independent mood disorder (Grant,
thymic disorder, substance-induced mood disorder, or Stinson, Dawson, Chou, Dufour, Compton, et al.,
bipolar disorder. It is clear from clinical research and 2004). Also, of all the people interviewed, one third
practice that a significant percentage of your clients indicated that sometime during their lives they had
have depressive symptoms. Some, but not all, will had 2 weeks or more during which they had felt down
have these depressive symptoms in the context of a most of the time; sad, blue, or depressed; or didn’t
mood disorder diagnosis. Even if you will not be diag care about or enjoy the usual things (Compton,
nosing and treating depressive illnesses—which is in Conway, Stinson, & Grant, 2006). In general, women
the scope of practice of those mental and behavioral with substance use disorders have higher rates of co-
health professionals licensed in your State to diag occurring psychiatric disorders than men. Some stud
nose and treat mood disorders, and capable of doing ies suggest a higher rate of depressive symptoms in
so—you will be providing substance abuse counseling women, although other studies find no such differ
to clients with these diagnoses and to clients with ences.
depressive symptoms but whose mood states do not These findings indicate that it is likely you will
reach a level that would warrant a mood disorder encounter clients with substance use disorders who
diagnosis (that is, clients whose symptoms do not have depressive symptoms—as many as half of the
meet the diagnostic criteria). clients you see. Initial intake personnel are charged
The contributors to this TIP have all had experience with identifying clients who are experiencing depres
as substance abuse counselors or treatment sive symptoms when they enter treatment. However,
researchers. They have used their understanding of depressive symptoms may appear at any time during
the treatment process to make this TIP as relevant as substance abuse treatment. Look for pertinent notes
possible to you. Although the focus of this TIP is on in the client’s chart and follow up on any indications
clients with substance use disorders who have depres that your client is experiencing symptoms of depres
sive symptoms, some of the material presented sion.
should be useful to you in all your counseling work. When they occur, depressive symptoms can interfere
with clients’ recovery and ability to participate in
treatment. For example, someone with a depressive
Depressive Symptoms
symptom such as poor concentration may have more
The term “depressive symptoms” refers to symptoms difficulty paying attention to group therapy sessions
experienced by people who, although failing to meet
or listening to another member share experiences in a
DSM-IV-TR diagnostic criteria for a mood disorder,
experience sadness, depressed mood, or “the blues,” 12-Step meeting. Thus, counselors must gain the
and one or more additional possible symptoms listed in skills necessary within their licensure and scope of
Figure 1.1, p. 5. practice to promote recovery in individuals with sub
stance use disorders and depressive symptoms that
affect their ability to participate fully in treatment.
Managing Depressive Symptoms 3
The methods and techniques presented in this TIP Substance Abuse Counselors—
are appropriate for clients in all stages of recovery.
However, the focus of this TIP is on early recov
Scope of Practice
ery—that is, the first year of recovery—when depres This TIP is designed for substance abuse counselors
sive symptoms are particularly common. who have direct clinical contact with clients who have
substance use disorders. The legal titles, levels, types
This TIP is not about treating any mood disorder as of licenses, and certifications for substance abuse
defined in the Diagnostic and Statistical Manual of counselors differ across the 50 States and the District
Mental Disorders, 4th edition, Text Revision (DSM of Columbia. This TIP is intended to benefit all
IV-TR; American Psychiatric Association [APA], licensed or certified substance abuse counselors,
2000). Clients with diagnosed mood disorders (e.g., regardless of their titles. The counseling activities
major depression, dysthymia, cyclothymia, bipolar described in this TIP are legally and ethically appro
disorder, substance-induced mood disorder) need spe priate for substance abuse counselors to undertake in
cialized treatment from a trained and licensed mental all 50 States and the District of Columbia. This TIP
health professional. However, it is important for you may also be beneficial for people preparing to become
to be aware of the impact of these depressive symp certified or licensed substance abuse counselors.
toms on clients’ recovery and your need to have the However, uncertified or unlicensed counselors should
clinical skills to interact more effectively with these use these methods only under the supervision of an
clients, who may or may not have a diagnosed mood appropriately trained and certified or licensed sub
disorder. (A review of mood disorder diagnoses is stance abuse professional. Furthermore, maintaining
included in Appendix D of this TIP.). collaborative relationships with mental health treat
ment providers for consultation and referral is recom
mended, either directly or through clinical supervi
Consensus Panel
sion.
Recommendations
Although you have been trained in providing sub This TIP also provides useful ideas for dealing with
stance abuse treatment, that training most likely did depressive symptoms for those of you with advanced
not include management of your clients’ depressive degrees and/or additional clinical experience.
symptoms. This TIP was designed to fill that gap. In
particular, the Consensus Panel recommends:
Framework
• All substance abuse treatment clients should be
screened for depressive symptoms. This chapter provides basic information on:
• You should be aware of the ways depressive symp • The nature of depressive symptoms.
toms can manifest in clients with substance use • The relationship between depressive symptoms
disorders and how those symptoms can affect sub and the toxic or withdrawal effects of substances.
stance abuse recovery. • The relationship between depressive symptoms
• You should be aware of the ways depressive symp and substance use disorders.
toms can affect clients’ participation in treatment. • The effect of substances on recovery from depres
• Substance abuse treatment for clients with sub sive symptoms.
stance use disorders and depressive symptoms • Suicidality among clients in substance abuse
should be client centered and integrated. treatment with depressive symptoms.
• Several intervention methods have been used suc • How depressive symptoms affect treatment partic
cessfully to manage depressive symptoms in sub ipation.
stance abuse treatment: behavioral, • The concept of integrated care for substance abuse
cognitive–behavioral, supportive, expressive, 12 and depressive symptoms.
Step facilitation, and motivational interviewing. • Approaches and psychosocial interventions for
• You should be aware of the manner in which your atti working with depressive symptoms.
tudes toward clients with depressive symptoms can • Special considerations related to the substance
affect your ability to work with these individuals. abuse treatment setting in which you work.
4 Part 1, Chapter 1
• Special considerations related to the cultures of
your clients. Figure 1.1
• Your professional role and responsibilities in rela Depressive Symptoms and Related
tion to clients with depressive symptoms. Feelings and Behaviors
• Preparing yourself to work with clients with • Loss of interest in most activities
depressive symptoms. • Significant unintentional change in weight or
• Screening and assessment. appetite
• Sleep disturbances
• Treatment planning.
• Decreased energy, chronic fatigue or tiredness,
• Treatment. feeling exhausted
• Continuing care and treatment termination. • Feelings of excessive guilt
• Feelings of low self-esteem, low self-confidence, or
worthlessness
The Nature of Depressive • Feelings of despair or hopelessness (pervasive
Symptoms pessimism about the future)
• Avoidance of normal familial and social contacts
The term “depressive symptoms” is generally applied • Frequent agitation, restlessness
to a mood state of sadness, depressed mood, “the • Psychologically or emotionally detached
blues,” or other related feelings and behaviors (see • Feelings of irritability or frustration
• Decrease in activity, effectiveness, or productivity
Figure 1.1) that do not meet the diagnostic criteria
• Difficulty in thinking (poor concentration, poor
for a DSM-IV-TR mood disorder. People who have memory, or indecisiveness)
depressive symptoms may experience considerable • Excessive or inappropriate worries
emotional pain and may have significantly impaired • Being easily moved to tears
functioning in some areas. • Anticipation of the worst
• Thoughts of suicide
Symptoms of depression exist on a continuum. At one
end of the spectrum is the experience of sadness and
other depressive symptoms occurring at appropriate ple, someone who is drinking heavily may have
times and for short periods, during which the individ intense depressive symptoms that seemingly meet
ual successfully uses coping strategies. At the other criteria for depressive illness except that the symp
end is clinical (or “major”) depression, as described in toms dramatically lessen in the weeks after initial
DSM-IV-TR. The line between depressive symptoms abstinence from alcohol. Similarly, someone with
and psychiatric depressive disorders is a question of major depression or dysthymia who is taking antide
degree. Having depressive symptoms differs from pressant medication over several weeks may also
having a major depressive disorder in terms of the show fewer or no currently debilitating depressive
number or severity of symptoms experienced by a symptoms. Conversely, a client who now demon
client, not in terms of the types of symptoms. Only a strates only mild depressive symptoms may be on his
professional credentialed to diagnose mental illness or her way to a significant depressive episode.
can determine for certain whether a client has a seri
As with substance abuse, even though a person may
ous depressive disorder such as major depression, dys
be in remission from a depressive illness, the disorder
thymia, bipolar disorder, or substance-induced mood
remains. Prevention of and early intervention in
disorder (See Figure 1.3 on p. 8 for more information
recurrences must be addressed in treatment, especial
on substance-induced depressive symptoms). If you
ly in early recovery from substance use disorders.
suspect that a client has a depressive illness, you
Many depressive disorders cycle and recur. If a client
should refer the client to a mental health professional
has a history of a mood disorder, the client and coun
for assessment, diagnosis, and treatment. Screening
selor should both be on the lookout for a recurrence of
for depression, as discussed later in this chapter, will
symptoms.
help you to decide when to refer.
In addition, there are significant individual and cul
Clients may have more or less intense depressive
tural differences in how people talk about depressive
symptoms over time. This may be due to the client’s
symptoms. Counselors need to listen carefully to what
biology, stressful events in the client’s life, or the
clients say and probe for clarification. For instance,
client’s stopping or starting substance use. For exam-

many people say they are “stressed.” This could range depression may be ongoing. As an exception, acute
in meaning from having too much work to a signifi grief is a normal state of sadness that can last weeks
cant symptom of depression. or months.
Depressive symptoms must be distinguished from Depressive symptoms may come and go for a period
normal moods or emotions, such as sadness, that up to a few months; these are sometimes called
occur in all of us (see Figure 1.2). Normal sadness is “episodic.” Other depressive symptoms are always or
connected to a specific experience, perhaps a specific almost always present, and these are referred to as
loss, while depressive sadness may be without con “chronic.”
scious reason to the individual. People who are
Life events associated with depressive symptoms
depressed may say “I’m sad and I don’t know why.”
include loss (e.g., of a loved one, of a job), stresses of
Generally, normal sadness or depressed mood lasts
various kinds (e.g., financial, family, work), major life
for no more than a few days, while sadness driven by
Figure 1.2
How To Distinguish Among Normal Moods, Depressive Symptoms, and Depressive Illness
Symptoms of depression exist on a continuum that ranges from transient, relatively brief periods of “the blues” to major, debilitat
ing symptoms that immobilize a person. The actual symptoms that occur across this continuum are similar but vary substantially in
their frequency, their intensity, and the impact they have on the person. A list of depressive symptoms and related feelings and
behaviors is in Figure 1.1 (see page 5).
When individuals are experiencing normal moods, you might expect the following:
• A variety of affects are available and can be experienced by the individual, or conversely stated, powerful affects do not have to
be blocked or avoided.
• The range of affects expressed is appropriate to the context and stimuli.
• Affects can vary over a period of time, such as a day or week.
• The individual can continue to engage in solving life’s dilemmas.
• The individual does not get locked into an extreme emotion.
• The individual is able to cognitively assess and change a mood.
• Mood swings or “the blues” are time limited.
• These moods don’t impact functioning in major life areas.
For individuals experiencing depressive symptoms:
• The symptoms might be more pervasive extending beyond an expected time frame.
• Some affects may feel too powerful to the individual and have to be blocked or distorted.
• While the affect expressed might feel “normal” or appropriate to the person, others might consider the person to be emotion
ally over- or underreacting.
• A person will get stuck in an emotion, such as fearful or sad and not be able to shake it, or he or she may look to an outside
influence, such as a drug, to change the mood.
• There may be significant impairment in a life-functioning area, such as relationships or work performance.
• There may be significant reduction in use of healthy coping styles, resulting in adaptive responses that limit choice or alienate
others.
• There might be a significant negative or pessimistic cognitive bias, resulting in a person seeing life through negative filters.
• A person might not be able to consistently identify his or her mood or might label an affect in a way that seems confusing to
others. For instance, a person may identify himself as scared when he seems sad to others.
In addition to the emotional expressions noted under depressive symptoms, someone with depressive illness:
• May be severely limited in the emotions he or she is able to experience.

• May, at the same time, get “locked in” to an emotion, such as anger, sadness, or anxiety, and respond to almost all stimuli
through that emotion.
• May express emotions in response to stimuli that seem incongruent to others.
• May recognize that the emotional response is extreme or muted but not be able to change the response.
• May have significant impairment in most areas of life functioning.
• May have significantly distorted cognitive functions.
6 Part 1, Chapter 1
changes (e.g., graduation, marriage, divorce, birth of The Relationship Between
a child, starting a new job), past losses and traumatic
events (sometimes forgotten), hormonal changes, and
Depressive Symptoms and the
brain chemistry. Note that some of these life changes Toxic or Withdrawal Effects of
are generally viewed by society as positive. Substances
Nonetheless, they can initiate depressive symptoms Intoxication and/or withdrawal from certain sub
in some people. It is a natural part of the human stances can lead to depressive symptoms. The DSM
experience to feel a sense of loss and regret when IV-TR provides a description of behavioral, physiolog
making a change, whether it is positive or negative. ical, and psychological symptoms related to each class
People with certain medical conditions, such as of drug. If these symptoms are significant enough,
hypothyroidism and B-12 deficiency, may have they may be characterized as a substance-induced
depressive symptoms (e.g., low energy, fatigue, mood disorder (see Appendix D for a description of
weight gain, poor concentration and memory) as part this disorder). These drug-induced symptoms can last
of their clinical presentation. Therefore, a physical as long as an individual continues to take substances
examination is recommended to rule out medical con and may or may not improve with abstinence. This
ditions that might mimic or enhance a depressive ill may be because of toxic effects on the nervous system
ness. Finally, the experience of “hitting bottom,” of chronic exposure to substances.
entering substance abuse treatment, and beginning a Depressive symptoms can linger for 3 to 6 months
sober life can precipitate depressive symptoms or after abstinence and must be treated in counseling.
even a depressive illness. Because appropriate treatment for depressive symp
Depressive symptoms may also correlate to the high toms has been shown to improve substance-related
level of stress that often accompanies substance outcomes (Dodge, Sindelar, & Sinha, 2005), address
abuse, including financial problems; job loss; and ing depressive symptoms must be of concern to you as
alienation from friends, significant others, and family a substance abuse treatment counselor. Depressive
members. Clients using alcohol or drugs often neglect symptoms typically associated with common sub
their health as well as friends, family, work, hobbies, stances of abuse are detailed in Figure 1.3 (p. 8).
and other sources of normal satisfaction. This in itself
can lead to depressive symptoms or depression. The Relationship Between
Stress is one of the most important risk factors, not
only for the development of substance use disorders,
Depressive Symptoms and
but also for the development of depressive symptoms. Substance Use Disorders
Substance use disorders relate to depressive symp
Some people have depressive symptoms during some
toms or a depressive disorder in a variety of ways.
periods of their lives and depressive illnesses during
Having a substance use disorder increases the risk of
other periods (see Managing Depressive Symptoms: A
experiencing depressive symptoms or a depressive
Review of the Literature, Part 3, at KWWSVWRUH.samh
disorder. Similarly, having a depressive disorder
sa.gov). Clients who experience a period of depressive
increases the odds of having a substance use disorder
symptoms appear to be at increased risk of an episode
(Nunes, Rubin, Carpenter, & Hasin, 2006).
of major depression or other depressive illnesses.
Thus, it is important for the substance abuse coun Depressive symptoms can precede, follow, or co-occur
selor to monitor the client’s depressive symptoms on a with substance abuse symptoms. In many cases, it is
regular basis (see the screening and assessment sec important to understand the evolution of these con
tion of this chapter, p. 20). joint symptoms in each client’s history. Depressive
symptoms can result from the direct effects of alcohol
or drugs on the central nervous system or from with
drawal of those drugs as described in Figure 1-3.
Cocaine intoxication and withdrawal can produce

Figure 1.3
Depressive Symptoms Typically Caused by Substances of Abuse
Substance Associated Depressive Symptoms
Intoxication Withdrawal Chronic Use
Alcohol Depressed mood, anxiety, poor Depressed mood and other

appetite, poor concentration, insomnia, depressive symptoms
restlessness, paranoia and psychosis
Opioids Low energy, low appetite, poor Depressed mood, fatigue, low appetite, Depressed mood and other
concentration irritability, anxiety, insomnia, poor con depressive symptoms
centration
Cocaine and Anxiety, low appetite, insomnia, Depressed mood, increased sleep, Depressed mood and other
stimulants paranoia and psychosis increased appetite, anhedonia, loss of depressive symptoms
interest, poor concentration, suicidal
thoughts
Cannabis Anxiety, apathy, increased appetite Anxiety, irritability Low motivation, apathy
Sedative-hyp Fatigue, increased sleep, apathy Anxiety, low mood, restlessness, para Depressed mood, poor memory
notics noia and psychosis
symptoms that look like major depression, except probably occur without the influence of the other. In
that they typically reduce in intensity in a matter of this context, an integrated treatment plan, address
days after abstinence is initiated (Husband, 1996). An ing both disorders, is essential.
individual with a substance use disorder may experi
Sometimes, one disorder precedes the other. For
ence depressive symptoms as a result of the losses or
example, people who are sober from alcohol or drugs
life problems caused by the substance use over time.
for months or years can later develop an episode of
The person may have lost a job, an important rela
depressive symptoms or major depression. Similarly,
tionship, or financial security, and feel depressed, yet
people recovering from a depressive disorder can
not meet criteria for a depressive disorder.
develop alcohol or drug abuse or dependence years
Untreated depressive symptoms can influence the after the end of treatment or during a course of treat
client’s response to substance abuse treatment and ment. The important point to remember, regardless of
the ability to remain substance free over time. For which disorder came first, is that both substance
example, perhaps one of your clients who has recur abuse and depressive symptoms need to be treated
rent depressive symptoms and cocaine dependence concurrently.
refuses to take her antidepressant medications as
A substance use disorder can contribute to a delay in
prescribed. She demonstrates a pattern of relapse to
seeking treatment among those with depressive
drug use when she uses cocaine to boost her mood
symptoms. It can also interfere with a client’s suc
during periods of depression. In his book Darkness
cessful transition from inpatient care to ambulatory
Visible: A Memoir of Madness (1992), author William
treatment.
Styron provides an excellent and detailed description
of how his depression significantly worsened after he Substance use can cover up depressive symptoms,
stopped drinking alcohol. He felt that his alcoholism making it hard to identify depression until a client
initially covered up his depression, which became stops using substances and remains sober for days,
intolerable after he quit drinking, causing him con weeks, or longer. For example, Steve had been
siderable anguish. dependent on alcohol for 8 years and drank large
quantities nearly every day. He also had depressive
It is important to remember that both problems and
symptoms that preceded his alcoholism, but his alco-
their symptoms are primary illnesses and would
8 Part 1, Chapter 1
hol use covered them up. Although Steve sought help Abuse Treatment [CSAT], 2005c; Kessler, Berglund,
for his depressive symptoms over the years, treat Borges, Nock, & Wang, 2005). As a result, all clients
ment was only partly effective because he continued with substance use problems and depressive symp
drinking heavily and minimized his alcohol problem. toms should be screened for suicidality. TIP 42,
After detoxification, when he began working on a pro Substance Abuse Treatment for Persons With Co-
gram of recovery, Steve’s depressive symptoms actu Occurring Disorders (CSAT, 2005c), provides detailed
ally worsened. Since he was used to reducing his information appropriate for both screening and
depressive symptoms with alcohol, his mood symp assessment of suicidality. There is no generally
toms caused strong cravings and thoughts of using accepted and standardized instrument that can accu
alcohol. It was clear that in order to help him stay rately measure suicide potential. Suicide screening
sober, Steve needed evaluation and treatment for his and assessment scales can be used as aids, but
depressive symptoms. if a client shows signs of being at risk of sui
cide, these scales are not a substitute for a thor
ough clinical interview by a qualified mental
Effects of Substances on Recovery health clinician, during which client and coun
From Depressive Symptoms selor can talk openly about suicidality. Any
Substance use, abuse, or dependence can cause client showing warning signs or risk factors for suici
depressive symptoms to worsen and complicate recov dality should be assessed by a mental health profes
ery from a depressive illness. These effects may also sional specifically trained in conducting suicidal risk
interfere with a client’s response to medications or evaluations (APA, 2000) (see also Decision Tree on
other therapeutic interventions. Helplessness and When To Refer a Client, p. 37). Most clients with sui
hopelessness are common experiences for clients with cidal ideation want a path out of their pain without
substance use disorders and those with depressive harming themselves. It is their current perception,
symptoms. Having both tends to compound these however, that such a path isn’t available to them.
reactions. Some of the common myths about suicidality include:
Hopelessness and relapse to alcohol and drug use are 1. Clients will not make a suicide attempt if they
interrelated. Hopelessness creates a psychological promise the counselor to not harm themselves.
environment that supports drug relapse. At the same
time, drug relapse may increase the experience of FACT: A variety of circumstances can influence
hopelessness. The combined effect of relapse and suicidal behavior. A promise by a client not to
hopelessness is to make treatment more difficult. The harm himself may not apply when a client is con
client may be more resistant to following the treat fronted with a variety of environmental, interper
ment plan and may blame lack of improvement on sonal, and psychological stressors. A “commitment
such external factors as medications, the treatment to treatment” plan is generally considered more
program protocols, other clients in the program, or useful than a “no-suicide pact” (Rudd, 2006).
the counselor’s skills. 2. Talking about suicidal thoughts will put the idea
Depression and hopelessness, combined with alcohol in a client’s head and make the problem worse.
and/or drug use, may also increase the potential for FACT: Most clients want to talk about their suici
violence to self or others. The client may be at higher dal thoughts and plans with someone. Talking
risk for thinking about, planning, or acting on suici with a nonjudgmental, accepting person about sui
dal thoughts. cide can offer relief (Gliatto & Rai, 1999).
3. Changing a client’s perception of the events in her

Suicidality Among Clients in life will change her suicidality.
Substance Abuse Treatment With
FACT: Events are only one variable in an individ
Depressive Symptoms ual’s suicidality. Other variables include the indi
Two populations with the highest rates of suicide are vidual’s interpersonal support system; psychologi
people who are depressed and people with a sub cal variables such as depressive symptoms, depres
stance use disorder diagnosis (Center for Substance sive illness, despair and emptiness; cultural values

and influences regarding suicidal behavior; and • Difficulty in concentrating and integrating materi
access to a method for suicide (Rudd, Joiner, & als, such as program rules and program assign
Rajab, 2001). ments.
• Trouble keeping appointments.
4. A client is not at risk of suicide unless he can
• Lack of energy to participate in substance abuse
describe a plan.
treatment program activities such as group thera
FACT: People sometimes impulsively act on suici py, family therapy, 12-Step meetings, and recre
dal thoughts, without a well-defined plan (Rudd et ational activities.
al., 2001). • Lack of perceived ability or motivation to change
• Belief that he or she is beyond help.
Some “do’s” for working with clients who have suici • Difficulty engaging in recovery activities because
dal thoughts or plans include: of social withdrawal.
1. Seek the clinical support and input of supervisors, • Being overwhelmed by feelings (sadness, anger,
consultants, and treatment team members. hopelessness).
2. Obtain the informed consent of the client to consult As a substance abuse counselor, you want your clients
with a supervisor, appropriate mental health pro to achieve abstinence and an improved quality of life.
fessionals, and referral resources about the client’s Addressing depressive symptoms is a part of reaching
care. both those goals. Clients with depressive symptoms
may have difficulty relating to other clients. They may
3. Listen to the client’s experience and feelings with see themselves as different and distance themselves
out judgment. from other clients and may not be interested in partici
4. Encourage clients to talk about their suicidal pating in group activities. Vignettes 2 and 4 in chapter
ideation, whether plans have been considered or 2 of this TIP demonstrate techniques for dealing with
made, and whether a method (a gun or medication, some of these challenges.
for instance) is available. This is important infor Because clients with depressive symptoms are more
mation to have when you consult with a supervisor likely to relapse after treatment is completed (see
or mental health professional. Managing Depressive Symptoms: A Review of the
5. Don’t allow yourself to be sworn to secrecy about Literature, Part 3, at KWWSVWRUHsamhsa.gov), the work
the client’s suicidal thoughts or intent. you do with clients to reduce depressive symptoms
will yield added benefits in terms of supporting absti
6. Engage the client in participating in a plan of care to nence.
intervene with suicidal thoughts and/or behaviors.
7. If possible, involve the client’s family and signifi The Concept of Integrated Care
cant others in supporting the client.
for Substance Abuse and
8. Have a clear understanding of the ethical, legal, Depressive Symptoms
and agency guidelines in working with clients who Integrated treatment for both problems is the stan
are suicidal. (See also the forthcoming TIP, dard of care for clients with substance abuse and
Addressing Suicidal Thoughts and Behaviors in depressive symptoms or any co-occurring mental dis
Substance Abuse Treatment, and [CSAT, in devel order. Integrated interventions are specific treatment
opment a].) strategies or therapeutic techniques in which inter
ventions for two or more co-occurring disorder diag
How Depressive Symptoms Affect noses or symptoms are combined in a single session
or interaction, in a series of interactions, or in multi
Treatment Participation ple sessions over time (CSAT, 2005a). These can be
Depression can affect almost any area of functioning. acute interventions to establish safety, as well as
As a result, the client with depressive symptoms may ongoing efforts to foster recovery.
have problems such as the following:
10 Part 1, Chapter 1
You can make a basic error if you treat clients as a depressive symptoms. The literature reports that the
collection of parts rather than as individuals who are therapies substance abuse counselors are generally
trying to integrate all their experiences and feelings trained in (such as CBT, supportive counseling, and
into a single understanding of themselves. An exam psychoeducation), are effective in relieving depressive
ple of this is when the client’s substance abuse and symptoms (Carroll, 1998). Counselors therefore do
depressive symptoms are treated as though they are not need to learn a whole new skill set, but rather to
separate issues. While in some ways, these problems translate what they already know to the language of
are indeed separate (e.g., each has its own history, depression. Some drug therapies (such as antidepres
symptoms, treatment approaches, and neither “goes sants) are effective in relieving depressive symptoms.
away” just because the other is addressed), they can
As stated above, depressive symptoms exist on a con
not be separated because they exist in the same per
tinuum. The difference between having depressive
son at the same time.
symptoms and having clinical depression can be the
The case example of Steve, provided earlier in this presence of a single symptom or the degree to which a
chapter, illustrated the problems encountered when specific symptom limits a person’s ability to function.
depressive symptoms or substance abuse are treated There is also no current evidence that the causes of
independently. If counselors try to treat only the sub depressive symptoms differ from those of significant
stance abuse, the depressive symptoms get in the way depressive illness. Until further research is available,
and vice versa. it is sensible to assume that those interventions and
counseling approaches that work for depressive ill
It is also important to note that substance abuse and
nesses will likely be of help to persons with depres
depressive symptoms may interact in various ways.
sive symptoms.
For example, the personal exploration central to
recovery from substance use disorder may bring to Interventions Used in This TIP—Chapter 2 provides
the surface memories or feelings that activate or the application of a number of interventions for
exacerbate depressive symptoms. Loss of the “old depression, including:
friend” that substance abuse and associated lifestyles
• Educating clients about depression and depression
represent may cause grief. Similarly, depressive
recovery.
symptoms are known to be cues for craving (see
• Integrating counseling for substance abuse and
Managing Depressive Symptoms: A Review of the
depressive symptoms.
Literature, Part 3, at KWWSVWRUHsamhsa.gov) or may
• Understanding depression.
contribute to feelings that all change, including recov
• Reframing negative thoughts.
ery, is impossible.
• Testing negative beliefs against reality.
For all these reasons, care for the person with sub • Helping clients identify and change maladaptive
stance abuse problems and depressive symptoms behaviors.
must be integrated. This means treating each disor • Developing coping strategies.
der as “primary” (i.e., having its own cause and • Exploring and understanding emotions related to
course) but also treating each within the context of substance abuse and depression.
the other. • Providing support and encouragement to the
client.
Further discussion of the concepts of integrated care
• Motivating the client to change.
can be found in TIP 42 (CSAT, 2005c).
Many of these strategies are described in the work of
Miller and Rollnick on motivational interviewing
Approaches and Psychosocial (2002). All these interventions seek to break the cycle
Interventions for Working With of maladaptive thoughts, beliefs, behaviors, and emo
Depressive Symptoms tional reactions that are characteristic of depression.
Many psychological therapies (e.g., cognitive– Brief descriptions of the major intervention tech
behavioral therapies [CBT], psychoeducation) help niques used in this TIP follow:
the client build adaptive strategies for coping with

• Behavioral interventions—Behavioral interven therapist interventions such as active expression
tions focus on helping clients change problematic of interest and empathy, offering appropriate
behaviors or take on new behaviors that will bene praise and reassurance, a general focus on here-
fit and sustain recovery. Behavioral interventions and-now relationships, modeling adaptive behav
assume that as an individual changes behavior, ior and anticipatory guidance, and respect for
more productive thinking and feelings will follow. defenses (Winston, 2004).
For example, behavioral activation is an interven • Expressive (affectively based) therapies—
tion that, by identifying behaviors that maintain Expressive therapies focus on assisting clients in
or worsen depression and then scheduling reward experiencing and modulating feelings that have
ing activities, assists clients with depressive symp been disavowed or distorted. The goal of expres
toms in overcoming inertia and avoidance despite sive or supportive/expressive therapy is to have
their depressed mood or lack of motivation feelings be a productive rather than limiting com
(Jacobson, Martell, & Dimidjian, 2001). When ponent of recovery and, by accessing feelings, to
clients with depressive symptoms become more change cognitions, behaviors, and self-esteem.
active, they focus less on painful feelings, and • Motivational interviewing—The goal of motivation
because of this respite, tend to feel more motivated al interviewing and related motivational strategies
and energetic. Behavioral activation using activity is to assist clients in mobilizing, seeking, and ben
scheduling is an effective treatment for depression efiting from a variety of change approaches, as
and should be of specific use in clients with well as to sustain the energy required to achieve
depressive symptoms (Cuijpers, van Straten, & lasting change.
Warmerdam, 2007b).
Choosing Among Interventions—There is no cookbook
• Cognitive–behavioral therapy—CBT integrates
that will tell you which interventions to use with a
principles derived from both cognitive and behav
given client at a given point in his or her recovery.
ioral theories. Cognitive theory suggests that cog
Rather, the interventions described above and demon
nitions or thoughts mediate between environmen
strated in chapter 2 constitute a toolkit on which you
tal demands and an individual’s attempts to
can draw.
respond to them effectively. Behavioral theory sug
gests that changing behavior can be a powerful Different substance abuse treatment counselors
influence on both the acceptance of changes in cog emphasize different interventions and approaches
nitions about self or a situation and on the estab depending on their skills, preferences, and counseling
lishment of a newly learned pattern of styles. Effective counselors also adapt their toolkits to
cognitive–behavioral interactions. A large number the specific needs of the client. If you are not comfort
of clinical trials have demonstrated that cognitive able with a given intervention, it is not likely to help
therapy is efficacious for depression (Dobson, your client. Thus, it may be best initially to use a lim
1989). Analyses of other controlled studies show ited number of techniques and expand your toolkit as
that CBT has a significant impact on depressive you gain experience, confidence, and competence.
symptoms (Cuijpers, Smit, & van Straten, 2007a).
In practice, CBT makes use of a wide range of cop As discussed later in this chapter under Client-
ing strategies, not all of which are cognitive in Centered, Integrated Treatment Planning (p. 22),
nature (e.g., having individuals change behaviors your client’s values and patterns of relating to others
directly rather than focusing on change in think will also dictate the strategies you use. Specific ele
ing). CBT is often the basis of relapse prevention ments of your client’s culture may make some inter
counseling in substance abuse treatment. ventions inappropriate.
• Supportive therapy—Supportive psychotherapy, Evidence-Based Thinking—Some counselors may find
the most frequently used psychological treatment it useful to think of their work in terms of “evidence
in the United States, uses direct measures to based thinking” (Hyde, Falls, Morris, & Schoenwald,
reduce or eliminate symptoms and to help the 2003). Evidence-based thinking means picking the
client maintain, restore, or improve self-esteem, best clinical option available for a given client in a
adaptive skills, and psychological functioning. given context based on the best current information.
These positive changes in the client are a result of
The information that is used in evidence-based think treatment team members, and, where appropriate,
ing includes: with program administrators. See whether there is
room for the changes you think are needed, and col
• Research and the experience and recommenda
laborate with supervisors and administrators to find
tions of clinical experts.
the best ways to meet the needs of your clients with
• Your past experience.
depressive symptoms. Refer them to Part 2 of this
• Your personal preferences and style.
TIP, Managing Depressive Symptoms: An
• Advice from your clinical supervisor.
Implementation Guide for Administrators, for further
• The needs, values, preferences, and characteristics
information on changes in your substance abuse
of the client.
treatment program that may be important to meet
• Constraints such as the number of sessions you
client needs.
have available.
Evidence-based thinking mixes science and clinical

experience with a large measure of common sense.
Special Considerations Related to
Counselors who use evidence-based thinking are flex- the Cultures of Your Clients
ible—always looking out for changes in the client’s Individuals from different cultures and ethnic groups
needs, and constantly adjusting their approach to will experience and report symptoms of depression
make use of new information. differently. General observations can be made, but it
is of the utmost importance that you seek to under
stand each individual with whom you work. Some
Special Considerations Related to ethnic groups speak of depressive symptoms in terms
the Substance Abuse Treatment of physical symptoms (headache, fatigue, gastroin
Setting in Which You Work testinal discomfort) and therefore seek the assistance
Most information presented in this TIP is applicable of a medical doctor. This is common among some
to any setting in which clients with substance abuse Asians, Hispanics/Latinos, and some non-Hispanic
problems receive treatment. However, different kinds whites (especially from families where emotions are
of substance abuse treatment settings may place lim denied or minimized).
its on what you can do. The vignettes in chapter 2 Another phenomenon is that depression is collectively
take place in a variety of settings including inpatient, denied by an ethnic group or subculture and therefore
intensive outpatient (day treatment), and outpatient is not discussed or reported. For instance, African-
to demonstrate issues that may arise in each type of American women are often socialized to deny the
setting. existence of their own needs and feelings and do not
Sometimes, responding to the needs of clients with acknowledge depression. They may say things like,
depressive symptoms may require a departure from the “well, that’s just the way life is; life is hard.” These
way your program normally provides services. For statements may reflect feelings of hopelessness and
example, clients with depressive symptoms may require frustration associated with external situations such
more individual attention, and some of these clients as financial stress, family dysfunction, and racism.
will have trouble participating in groups. If your pro However, these statements may also reflect the pres
gram does not currently provide for extra individual ence of undiagnosed depression. Additionally, having
sessions, new arrangements may need to be made. been raised to believe that one has “no needs,” seek
Similarly, some clients may initially feel too low or blue ing the assistance of a treatment program (by choice
to participate in recreational activities, occupational or through mandate) is likely to evoke intense shame,
therapy, or other program components. If participation increasing the difficulty in opening up and getting
is currently mandatory, some changes to accommodate support. Lastly, if children are involved, women are,
people who are depressed might be considered. understandably, afraid to report difficulties for fear
the local child protective services agency will become
As you learn from this TIP and gather ideas for work involved. All these issues can make engaging in treat
ing with clients with depressive symptoms, share ment and trusting the counselor difficult (Jackson &
your thoughts with your clinical supervisor, your Greene, 2000).

Some older Americans will talk of having had a “ner client’s preference for sitting beside a counselor
vous breakdown,” which for some is another word for rather than being separated by a table).
depression. But for others, “nervous breakdown” may • Displaying sensitivity to culturally specific mean
mean other psychiatric disorders, such as anxiety dis ings of touch (e.g., hugging and holding hands).
order or an exacerbation of schizophrenic illness. It is • Exploring culturally based experiences of power
therefore important to explore not only the symptoms and powerlessness (e.g., “How does feeling
experienced in the “breakdown,” but also the environ depressed affect how you see your status in your
ment in which the “breakdown” occurred, how long community?”).
the symptoms lasted, and what happened that result • Adjusting communication styles to accommodate
ed in the remission of symptoms. the client’s culture (e.g., permitting comfortable
silence in conversations with American Indians).
Some cultures, particularly Latino and Caribbean
• Interpreting emotional expressions in light of the
cultures, talk in terms of nerves. An “ataque de
client’s culture (e.g., “How do people know when
nervios” has similarities to a panic attack but is often
you’re feeling depressed; what do you do?”).
triggered by a significant loss or distress. The fear of
• Expanding roles and practices as needed (e.g., par
recurrence that is characteristic of panic disorder
ticipating in cultural ceremonies, facilitating
may not be present. When some people talk about
indigenous support systems and healing systems).
“nerves,” it is likely that they are referring to
thoughts and feelings associated with a mix of anxi Clinical supervisors must distinguish cultural sensi
ety and depression. It should be emphasized that a tivity and cultural competence among staff members.
person’s belief about the cause of depression is key to To have empathic regard for another’s culture is one
helping the client address it. thing, but to have cultural competence to help the
person grow within and/or beyond their cultural
An important precursor to cultural competence is
strengths and limits is another.
self-knowledge: how have your beliefs about function
al and dysfunctional behavior been shaped by your The DSM-IV-TR recognizes several culture-bound
own culture? How have racism, discrimination, and syndromes (APA, 2000) and lists several examples of
cultural stereotyping affected you personally and pro how mental disorders may be manifested differently
fessionally? How do your beliefs about other cultural by individuals of different ethnic groups.
groups affect your relationships with clients who
The work of Sue and Sue, Counseling the Culturally
belong to those groups?
Diverse: Theory and Practice (2007), is a basic text on
Having knowledge of the culture of the clients served cultural competency and includes some discussion on
by your organization demonstrates respect for their the issues of substance abuse and depression.
experiences and ways of life. Particularly valuable in
your interactions with clients whose culture differs
from yours is a familiarity with immigration, accul
Your Professional Role and
turation, and assimilation issues; socioeconomic, reli Responsibilities in Relation to
gious or spiritual, and political influences; sex role Clients With Depressive
expectations and family structure; and communica Symptoms
tion styles.
As a substance abuse counselor, your professional
Culturally competent counselors are skilled in— responsibilities include facilitating and guiding
clients in their recoveries through the clinical evalua
• Framing issues in culturally specific ways (e.g.,
tion of substance use and related issues, treatment
“How does your family respond when you are
planning, counseling (individual, group, and/or fami
sad?”).
ly), education, and relapse prevention. If you hold
• Recognizing complexity in client issues based on
other credentials, you may have broader roles and
cultural context (e.g., “How do your experiences
responsibilities related to mental health issues.
leaving your homeland and coming to the United
States affect your depression?”). If you are a clinical social worker, licensed profession
• Making allowances for variations in relating to al counselor, licensed psychologist, psychiatric nurse,
others and in the use of personal space (e.g., a or physician, you may hold a national credential in
addiction disorders issued by your professional associ supervisor, to determine the exact nature and scope
ation. The specific duties you may undertake with a of services you can provide within the laws of your
client depend on the licenses and/or certifications you State and within your profession’s ethical require
hold. Licenses and certifications define the scope of ments for competency.
practice for your discipline, and they differ by State
Ethical Considerations—As a provider of human serv
and profession.
ices, you take on the responsibility of meeting the
Figure 1.4 provides information on common certifica needs of your clients to the best of your abilities. This
tions and licenses for substance abuse counselors and means providing those services for which you have
other related professionals, including information been trained and which the law permits you to pro
related to substance abuse and depressive symptoms. vide and not withholding these services from persons
This table is intended as a guideline only. It is your in need.
responsibility, in collaboration with your clinical
It is also your ethical responsibility to practice within
Figure 1.4 the limits of your skills and the limits of the law. You
Scope of Practice (and your supervisor) must make an assessment of
your skills, licensures, and certifications as they
relate to the needs of the client who uses substances
Can Diagnose
Can Address
and has depressive symptoms. If, for any reason, you

Depression
Depression
Depressive
Symptoms
Substance
Discipline
Can Treat
Can Treat
are not prepared by training, certification, licensure,

Clinical
Clinical
Abuse
or other reasons to meet the client’s needs, it is your

responsibility, along with your clinical supervisor,
to make this clear to clients and to assist them in
Substance Abuse finding appropriate care. For more information see
Counselor
Yes No No* Yes†
also chapter 2, Decision Tree 2, When To Refer a
Clinical Social Client, p. 37.
Yes Yes Yes Yes
Worker
Licensed
Psychologist
Yes Yes Yes Yes Preparing Yourself To
Psychiatrist Yes Yes Yes Yes
Work With Clients With
Depressive Symptoms
*There are possible exceptions to this general proscription
against substance abuse counselors diagnosing and/or treating Working with clients with depressive symptoms can
mental illness. In Texas, substance abuse counselors may treat be a frustrating and difficult experience for substance
for mental illnesses “associated with” substance use disorders if
abuse counselors. However, helping someone emerge
they have received an additional level of postlicensure training
(Texas Department of State Health Services, 2004). In Nevada, from personal darkness and hopelessness to the light
counselors may provide services not directly related to counsel of living well, renewed enjoyment of life, and hope for
ing for substance abuse or problem gambling but must disclose the future is also one of the most rewarding experi
to their clients both orally and in writing that the type of service
they are providing is not within the scope of counseling for sub ences for the counselor. This section discusses some of
stance abuse (State of Nevada Board of Examiners for Alcohol, the challenges you will face in working with clients
Drug and Gambling Counselors, 2003). In five States with depressive symptoms, and presents several tech
(Mississippi, Missouri, Oklahoma, Oregon, Virginia), legal
research and Web site investigation failed to reveal whether
niques for preparing yourself to deal with these chal
diagnosis and treatment for mental disorders are authorized to lenges. While the personal emotional reactions to
be performed by substance abuse counselors. clients with depressive symptoms can get in the way
of effectively using the therapeutic techniques
†All currently recognized behavioral/mental disorders in the
United States are included in the DSM-IV-TR. The determina described in chapter 2, it should also be noted that
tion that substance abuse counselors can treat for depressive understanding your emotional reaction to a particular
symptoms is based on the fact that “depressive symptoms” do not client can assist you in helping your client. Your feel
constitute a behavioral or mental disorder because they are not
included as disorders per se in the DSM-IV-TR, yet they are ings toward the client may in fact reflect the client’s
commonly associated with substance use disorders. mood and/or feelings about himself or herself. In
15
Managing Depressive Symptoms
addition, acknowledging your own grief or depressive Figure 1.5
tendencies can help you form a more empathic con Common Attitudes and Beliefs
nection with the client. Denying your emotional reac About Depressive Symptoms
tions to the client is likely to interfere with your role
Attitude or Belief What Is Known
as a professional. Whatever your reactions, address
ing them with your supervisor will help you sort out If the client stops using Although this is sometimes
psychoactive drugs, the true, it is frequently the
the reactions that are about you and those that are
depression will take care case that the client’s
about the client. of itself. depressive symptoms may
be a primary problem on
par with his or her sub
Attitudes and Beliefs You May stance abuse. Thus, the
Bring to Your Work depressive symptoms must
be addressed directly.
Although you may have never dealt directly with
depression in your clients, you have certainly encoun This is not my job; I am a Your client’s depressive
tered depressed clients in your work as a substance substance abuse counselor. symptoms may present
roadblocks to recovery. You
abuse counselor. As a result, you may have developed
cannot do your job effec
attitudes and beliefs that could interfere with your tively if you ignore the
ability to effectively use the recommendations in this depressive symptoms.
TIP. Some common attitudes and beliefs are given in
Figure 1.5. The table contrasts these attitudes and I don’t have the skills to Although working with a
work with someone who is client with depressive symp
beliefs with what is known about depression among depressed. toms does require some
people with substance use problems. special skills, these skills can
be learned and used effec
tively by substance abuse
Transference and counselors.
Countertransference I work with the 12 Steps. The 12 Steps and the 12
Transference (by the client) and countertransference What has this got to do Traditions are powerful
(by the counselor) refer to the unconscious (underly with them? tools that ordinary people
can use to make important
ing) use of past experience with similar individuals or
changes in their own lives
in similar situations to shape reactions to a new per and in the lives of others.
son or social situation. Transference and counter- They are effective tools not
transference occur in all types of counseling—includ just for recovery from sub
ing counseling for substance abuse and for mental stance abuse, but also can
benefit the lives of people
health issues—as well as in our everyday reactions to
with a variety of other life
others. The positive aspect of transference and coun problems. (More on this
tertransference is that it helps you generalize from topic is in the section, The
your past to better manage the present. The downside 12 Steps as a Tool, p. 28.)
is that rarely are these generalizations completely
Depression is a result of a Although some symptoms
accurate. You may remind the client of a teacher he lack of spirituality of depression (especially
or she had in school, and his or her initial feelings hopelessness and feelings
about you and reactions to you may be shaped as of isolation) can be
much by these feelings as they are shaped by what addressed by spiritual prac
you do and say. tices, for many individuals,
spirituality alone is not
Just as the client applies what he or she knows (or enough. Specific treatment
believes) about similar people in understanding you, (e.g., talk therapy, group,
and medication) is needed
so you apply your knowledge (or beliefs) about people to relieve depression.
similar to the client in understanding him or her. If
you are unaware that it is taking place, countertrans understandable that some substance abuse coun
ference will almost always interfere with your work selors may have an initial negative reaction to the
with the client. After all, the client is not your parent, client—for example, “This person is a loser.”
son, or daughter, the kid you did not like in school, Counselors working within the 12-Step tradition may
your scoutmaster, or someone you know who spent refer to this as “taking the client’s inventory.” Rather
most of their life being depressed. Each client is a than fall into the trap of blaming or judging, the sub
unique individual whose needs, beliefs, aspirations, stance abuse counselor can instead take a stance of
fears, and desires you must come to understand. curiosity and help clients verbalize their thoughts,
feelings, and awareness. Such a stance can help in
Countertransference, if recognized, can be used pro
differentiating depressive symptoms from resistance
ductively in your work with the client. It can facili
and motivational problems. Additionally, as a coun
tate:
selor, you may fear that you are not equipped to help
• Developing an empathic relationship with the your client with depressive symptoms. Your own feel
client. ings of helplessness or inadequacy may also arise.
• Understanding the thoughts and feelings you have Addressing these concerns in supervision will help
in reaction to the client. you be more open and helpful to your client.
• Understanding what your client is feeling by
As a result of these feelings of helplessness or inade
understanding your own reactions to your client
quacy, you may find yourself wanting to “fix” the
(“Why am I feeling this way? Who am I to the
client’s problems. This, in turn, may lead to overly
client now?”).
directive behavior (e.g., “do this, change that”),
• Disentangling the web of your own feelings from
“cheerleading” (e.g., “things aren’t really so bad”), or
those of the client.
preaching. Wanting to “fix” the client’s problems is
It is difficult to manage countertransferential reac not by itself a problem. After all, you are in this pro
tions by yourself, even with extensive experience as a fession to help clients with recovery. However, it is
counselor. As a result, clinical supervision is an important to find a balance between your desire to
essential component of the counseling process. It is protect the client from further harm because of poor
particularly important when you have a strong reac choices or maladaptive behavior and the client’s need
tion to a client (positive or negative) that could poten to develop autonomy, engage in his or her own recov
tially interfere with treatment. Most people have had ery, and “walk the walk.” Depending on the stage of
powerful experiences in the past both with people recovery and specific needs of the client, what may be
with substance abuse problems and people who are helpful in one stage could be enabling in another. For
depressed. They may not be consciously aware of example, advice and reassurance may be helpful at
those experiences in the presence of a client today, one stage while at another it may interfere with
but those experiences can (and probably do) affect autonomy (Rosenthal, 2008). Miller and Rollnick’s
how they approach the person in their office, how (2002) motivational interviewing concept for wanting
they view the client’s potential for recovery, and how to “fix” the client is referred to as “the righting
they feel about themselves in the client’s presence. reflex,” the urge to “right” the “wrong” experienced or
expressed by the client.
Countertransferential Reactions Although these reactions are common and under

standable, they will prevent you from entering the
As You Work With Clients With
world of the client and establishing a therapeutic
Depressive Symptoms alliance (a joint agreement and rapport between the
Clients with depressive symptoms commonly paint a client and the counselor to work together toward the
negative picture of themselves, either in words client’s recovery). They may also reinforce the client’s
(expressing feelings of worthlessness, hopelessness, belief that he or she is worthless, beyond help, and
inability to cope, lack of competence) or through different from “normal” people.
appearance and demeanor (lack of attention to groom
ing, listlessness, difficulty communicating). It is

Recovery from depression takes time, and sometimes Therefore, it is critical that you seek quality clinical
clients seem to be “stuck” in a set of beliefs (e.g., the supervision on a regular basis that employs the best-
situation is hopeless; they are unable to change) to practices available. More information on the benefits
which they will continually return. This can be a and resources available through clinical supervision
frustrating experience for you and you may find that will be available in the forthcoming TIP, Supervision
it brings up feelings similar to those that arise when and the Professional Development of the Substance
you are working with a client who keeps relapsing. Abuse Counselor (CSAT, in development c).
Just being with someone who is depressed can be

draining and at times can feel depressing. The feel Treating the Whole Person
ings of hopelessness, despair, anger, or sadness expe Central to the concept of integrated treatment is
rienced by people with depressive symptoms can viewing the client as a whole person. Everyone places
sometimes feel quite toxic, even to an experienced people and things in categories. This is a natural ten
counselor. In addition, the life challenges faced by the dency for humans and serves the useful purpose of
depressed client can be very real and difficult as illus bringing some order to the world. In thinking about
trated particularly in vignette 1 in Part 1, chapter 2. your clients, you probably use categories such as their
Emotional reactions may be particularly strong when drug of abuse, their gender, their age, and so on.
working with clients who are suicidal, and additional Thus, one might say, “Matt is a 25-year-old man who
support and supervision are indicated when working abuses cocaine” or “Janice is a 45-year-old female who
with clients who are at risk of harming or killing is alcohol dependent.”
themselves. This is particularly true if the counselor In reality, of course, Matt, Janice, and all your clients
has had major life experiences with his own suicidal are complex individuals, each with a unique genetic
intent or suicidal efforts of significant others. Special makeup, a personal history, relationships with oth
approaches to counselor self-support, such as good ers, likes and dislikes, emotions, thoughts, attitudes,
clinical supervision, ability to leave work at work, beliefs, hopes and desires, predispositions to think
and a healthy lifestyle away from work, are impor and behave in certain ways, and so on.
tant for the counselor to maintain.
The norm of identifying oneself as an “alcoholic” or
You may have had experience with your own depres “addict” in 12-Step programs helps reduce isolation
sion (or experience with depression of significant oth and shame and create a sense of belonging. Learning
ers) that may bias and/or improve your capabilities in to “identify with the feelings,” rather than comparing
working with people with depressive symptoms. oneself to others also helps normalize experiences and
Much as with a person recovering from a substance offer hope. This is a very important component of the
use disorder working in the addictions field, it is self-help community—one that should be supported
important for you to keep your own experiences sepa by substance abuse counselors. However, in treat
rate from your professional role with clients. Many ment programs, professionals have the opportunity to
counselors who are constantly exposed to the stresses address individual differences and complexities and
of their clients in early recovery find that they benefit complement the group mentality of self-help to pro
from supportive psychotherapy. Psychotherapy vide the best possible chance for recovery.
improves one’s own life as well as one’s ability to help
others. Treating the whole person means recognizing that
particular symptoms, whether of substance abuse,
In summary, therapeutic work with people with depression, or some other issue, are part of a system
depressive symptoms is similar to therapeutic work of biology, thoughts, beliefs, emotions, spiritual, and
with people who have substance use disorders—not behavioral predispositions that make up the totality
only are specific skills needed, but also self-awareness of the client (see the example below). The symptom
and an ability to differentiate your life experience cannot be addressed in isolation. Rather, its relation
and needs from those of the client. It is important not ship to and interactions with all the other attributes
only to be aware of and empathic to the client’s of the client must be understood.
affects (i.e., sadness, anger, and anxiety), but also to
be aware of how the client’s affects influence you.
• Jumping to conclusions—People with depressive
Interrelationships and Interactions
symptoms tend to jump to conclusions easily, par
Lisa has always struggled with her weight (biology). ticularly negative conclusions. For example, in
She believes that people do not like her because she is
vignette 2 in the next chapter, John’s friends don’t
unattractive (negative belief). So she reduces her social
contact (behavior), which in turn leads her to feel talk to him when he enters the room; he concludes
increasingly lonely (emotion). She deals with the lone that they don’t think he’s worth talking to. This is
liness by binge eating (behavior), which makes her feel a negative self-attribution based in a dysfunctional
hopeless about herself (emotion) and supports the belief.
belief that she is not attractive. So she further reduces • Emotional reasoning—Emotional reasoning is
her social contacts (behavior), which increases her
experience of isolation.
related to jumping to conclusions. People with
depressive symptoms may assume that their emo
tions give them an accurate view of the world and
The Perspective of the Client With do not test further. In the above example, John
Depressive Symptoms may not start up a conversation himself. He sim
ply assumes his “gut reaction” is accurate.
While people with substance use disorders generally
• Discounting the positive—People with depressive
tend to have a perspective that incorporates some of
symptoms tend to discount their positives; the
the thinking styles discussed in this section, the dis
glass is half-empty. Because of selective percep
cussion focuses on the perspectives of people with
tion, they tend to not focus on what they do have,
depressive symptoms. Persons with depressive symp
only what they don’t have. As a result, they may
toms tend to have a negative view of themselves,
feel deprived or disappointed. Even when people
their surroundings, and their relationships, and lack
who are depressed achieve something, they tend to
hope that things will get better. These pessimistic
discount it with the negative self-attribution that
and self-defeating thoughts about the self, one’s expe
“anyone could do that.”
riences, and one’s future form the “cognitive triad” of
• Disbelieving others—It is very common for people
Beck’s (1979) cognitive theory of depression. People
with depressive symptoms to believe that others
with depressed mood tend to automatically interpret
are being nice only because they want something,
experience through a negative filter, making unrealis
that they are being manipulative. People with
tic negative attributions about self and others. The
depression often believe that individuals have one
negative thoughts are automatic and are typically
set of thoughts they express outwardly and a set of
accepted without any awareness or scrutiny. For
thoughts they keep private. They believe this in
example, when people behave in ways that they expe
part because this is what they do (for instance,
rience as depressed, such as staying in bed, or not
project happy feelings outward while feeling mis
taking care of family responsibilities, their dysfunc
erable inside). They worry that the private
tional cognitive process reinforces negative attribu
thoughts of people are very negative toward
tions about the self such as, “I’m irresponsible” or “I’ll
them—an example of negative attribution.
never amount to anything.”
• Black and white thinking—Depressive symptoms
The theory of depression from a cognitive–behavioral makes it harder to think about life in complex
standpoint is that dysfunctional core beliefs and ways. Thinking tends to become black and white
assumptions support distorted or maladaptive think and “either/or.” Either one is a success or a failure;
ing, which then lead to altered affect and maladap either this relationship is good or it is a complete
tive behavior. So, changing the dysfunctional think failure.
ing should lead to improved mood and modification of
When combined with the sadness, inability to derive
beliefs and assumptions, to long-term improvement of
pleasure from life, and feelings of isolation that are
mood with reduction in vulnerability to relapse.
characteristic of depression, these thinking patterns
The following examples of typical depressive thinking can lead to a dark and hopeless view of the world. To
styles (adapted from Gilbert, 2000) provide insight work effectively with clients with depressive symp
into the experience of depression: toms, you will need to enter that world with as much
understanding, empathy, and compassion as possible.

Only then can you guide clients in ways that will dependence is an illness, but feel that their depres
assist them in emerging from depressive symptoms sive symptoms are a personal weakness.
and open the way to recovery from substance abuse.
Belief that substance abuse and mental health prob
lems can be addressed—Although increasing numbers
Important Ways in Which Clients of Americans have come to view mental disorders as
Differ treatable, many still are skeptical of both “talk thera
pies” and medications. Your client with a substance
Although each person is made up of a system of biolo
use disorder may initially believe there is nothing you
gy, thoughts, beliefs, emotions, and behavioral predis
can do for his or her depressed feelings. As noted ear
positions, specifics are what make us unique individ
lier, in some cases, you may hold this belief yourself.
uals. As has been discussed, depressed people tend to
However, this TIP is predicated on the assumption
share certain characteristics in these spheres.
that you can assist your clients with depressive symp
However, there are some important differences of
toms during the course of their substance abuse
which you should be aware. The role of culture was
treatment. Part of that help is communicating hope
discussed earlier. Following is a discussion of some
that things can get better.
other differences.
Spirituality and religion—As a substance abuse coun
Attitudes toward substance abuse and mental health
selor, you may understand the important role that
problems—People differ in their attitudes toward sub
spirituality plays in recovery. Spirituality and reli
stance abuse and mental health problems and in
gion can be important resources for addressing
seeking help for these problems. As noted in
depression for some people. Noted among the positive
Managing Depressive Symptoms: A Review of the
effects is the support provided by religious communi
Literature, Part 3, many people still view depression
ties, the use of religious and spiritual concepts to help
and other mental health issues as something to be
people understand and cope with life stresses, the
ashamed of, a sign of weakness, and/or something to
strength some people draw from their religious or
hide from others. Many people believe that problems
spiritual convictions, and the emphasis in many reli
should stay within the family and should not be dis
gions on moderation and healthy living.
cussed with outsiders, such as counselors. This can be
particularly true of ethnic groups that face discrimi On the other hand, some spiritual and religious
nation and racism. beliefs and practices may contribute to increased feel
ings of guilt (especially pertaining to family conflict
Some people believe that counselors who have differ
and child rearing), may discourage addressing inter
ent ethnic backgrounds or have not had the same
personal conflict directly, or may lead the depressed
experiences cannot help them. These attitudes are
person to believe that he or she deserves to be
similar to the attitudes that some people have con
depressed because of some transgression. In yet other
cerning their substance abuse. In spite of the reality
cases, depression may be viewed as being caused by a
that substance use and mental disorders are beyond
character defect or seen as self-pity. People may even
the reach of simple willpower, vast numbers of people
be discouraged from taking antidepressant medica
in our greater culture still think that you should “pull
tions. Clearly, with a good therapeutic alliance, you
yourself up by your bootstraps.” This widely held atti
can explore your client’s specific religious and spiritu
tude is a common source of shame and stigma for our
al beliefs so as to better understand the role of these
clients as they struggle with acknowledging sub
beliefs in either facilitating or inhibiting recovery
stance abuse or depression. For some people, the 12
from depressive symptoms.
Steps can help them come to terms with their depres
sion (see the section “The 12 Steps as a Tool”). For Clients with active substance use disorders frequent
others, education about depression (as demonstrated ly behave in ways that harm others. However,
in vignette 2 in chapter 2) may be needed to bring depressed clients tend to overinterpret the harm they
them to a point where depression can be acknowl have done to others. Because guilty feelings can drive
edged and addressed. A variation of this issue is relapse, in early recovery it is often best to guide the
when clients accept the idea that substance abuse or client away from contemplating the harm he or she
has done to others, until sobriety is well established. for positive changes as well as evidence that symp
Later in recovery, when the client has better coping toms are getting worse. As noted earlier, screening
strategies, ethical guilt can begin to be approached in and assessment should be integrated so that sub
a calm and exploratory manner with the counselor. stance abuse and depressive symptoms are each
The client can then explore prior harmful behaviors, explored within the context of the other.
begin to address them with religious or spiritual
Although making a diagnosis of mood disorder is out
involvement, and make amends through step-work or
side the scope of practice for counselors, they should
other means. However, guilt is also a symptom of
nonetheless learn the symptom sets (described in
depression and often clients suffer from inappropriate
Appendix D of this TIP) so as to make an appropriate
guilt, that is, the client assumes guilt inappropriately
referral for assessment to someone who can diagnose
for imagined transgressions. Helping clients differen
and treat these disorders. Because of the interaction
tiate ethical guilt from inappropriate guilt can help
between depression and substance use disorders, it is
alleviate suffering.
especially important that a capable mental or behav
Learning styles—Like recovery from substance abuse, ioral health professional qualified in the State to
recovery from depressive symptoms requires learning diagnose and treat depresssion who also has training
new ways of viewing and dealing with self, others, in substance use disorders make the diagnosis and
and the world. For example, as part of their early direct treatment. Screening and assessment for sub
work with you, it is important for the client with stance abuse clients with depressive symptoms
depressive symptoms to learn the facts about depres always needs to include screening for suicidality.
sion. Some of the interventions discussed earlier rely
on your client’s learning new ways of thinking and
behaving. People differ in the ways they learn most Screening
effectively. Some people learn best by reading, some Screening is a planned and purposeful process that
by listening, some by watching others, and some by typically is brief and occurs soon after the client pres
doing. Some people prefer to get information as a ents for services. Screening determines the likelihood
series of bullet points, whereas others are most com that a client has co-occurring substance use and men
fortable when points are made in a story or example. tal disorders or that his or her presenting signs,
As a general rule, adult learning occurs most rapidly symptoms, or behaviors may be influenced by co-
and effectively when some combination of these meth occurring issues such as depressive symptoms (CSAT,
ods is used. Effective counseling requires that you 2006). The purpose is to establish the need for an in-
discover the ways your client learns best. depth assessment.
Some people understand their own learning styles Your job as a counselor is to watch the client for
and will ask you to provide information in a specific symptoms of depression, discuss them with your clini
form (e.g., they will ask for a pamphlet or ask you to cal supervisor when they appear, and, in concert with
give examples). However, many people cannot tell you your supervisor, make a plan for how these symptoms
how they learn best. Hence, you must try out differ will be addressed in treatment. The symptom list in
ent methods and be aware of whether or not the Figure 1.1 (p. 5) provides a solid reference guide.
client is “with you.” As time progresses, you will dis Screening and assessment are discussed in chapter 4
cover the methods that work best. Even when you of TIP 42 (CSAT, 2005b). Although screening instru
have discovered the client’s preferred mode of learn ments tend to be sensitive to the symptoms they
ing, it is best to use more than one method to rein track, one must rely on an expert clinical evaluation
force the information you want the client to learn. for clinical assessment and diagnosis.
Several screening tools can help determine the likeli

hood of the presence of depressive symptoms. Their
Screening and Assessment
selection depends on many factors and is part of the
Screening and assessment begin at the earliest point development of the screening and assessment process.
of contact with the client and continue throughout One example is the Center for Epidemiologic Studies
treatment. Information about a client’s substance Depression Scale (CES-D), a 20-item form that can be
abuse and depressive symptoms should be monitored completed by the client in a few minutes. It asks the

client to rate how frequently he or she had each chiatrist, licensed psychologist, licensed clinical
symptom during the past week. The possible range of social worker, or other qualified healthcare profes
scores is 0 to 60. A copy of this instrument is in sional who is licensed by the State to diagnose mental
Appendix B of this TIP. disorders.
Another commonly used screening tool for depressive Certain assessment instruments can be obtained and
symptoms is the Beck Depression Inventory (BDI-II), a administered only by a licensed psychologist. Your
21-item self-report of depressive symptoms. This widely clinical supervisor or other staff associated with your
used instrument is copyrighted by The Psychological program may be licensed mental health professionals
Corporation and requires payment for its use. who are qualified to assess and diagnose for depres
Information on BDI-II can be obtained from the pub sion. Therefore, “referral” does not necessarily mean
lisher’s Web site (KWWSZZZSHDUVRQDVVHVVPHQWVFRP). to someone outside your agency. If a referral is to be
made, appropriate program protocols should be
It is important to note that these instruments do not
observed. For example, you may need to refer through
assess suicidality, even though suicidality is a depres
your clinical supervisor or your program administra
sion symptom. Therefore, as stated above, suicidal
tor. It is also important to explain the purposes and
thoughts, intentions, and behaviors must be screened
processes of the referral to the client and to elicit
for and assessed independently in the clinical interview.
cooperation in the referral and assessment process.
In addition to client self-report, it is important to Finally, it is important to gain written consent from
observe the behavior of the client: that is, to watch for clients to discuss their cases with other professionals,
changes in mood, affect, and behavior that the client particularly in other programs.
may minimize or find hard to articulate. Keep track of
The American Society of Addiction Medicine’s
the intensity and duration of symptoms. As noted earli
(ASAM’s) patient placement criteria (PPC-2R; ASAM,
er, depressive symptoms may be the prelude to a
2001) address the decisionmaking process for how a
depressive disorder. Signs of deterioration should be
client with a substance use disorder diagnosis with
reported immediately to your clinical supervisor, who
co-occurring depression (or other disorders) can be
will need this information to decide whether a formal
treated in existing substance abuse treatment pro
assessment for depression is needed.
grams. The ASAM criteria offer a model for assessing
across several life areas, suggesting the severity of
Assessment symptoms (in this case, depressive symptoms) and
the appropriateness of fit with a program’s services.
Assessment “gathers information and engages in a
process with the client that enables the provider to Note: The clients in the vignettes of chapter 2 have
establish (or rule out) the presence or absence of a co- all been identified as experiencing depressive symp
occurring disorder.” It “determines the client’s readi toms, not a DSM-IV-TR mood disorder, in their
ness for change, identifies client strengths or problem intake assessment or through a process of screening
areas that may affect the processes of treatment and by their counselors and subsequent assessment by a
recovery, and engages the client in the development qualified mental health professional.
of an appropriate treatment relationship” (CSAT,
2006, p. 1). One outcome of the assessment may be
the attribution of a DSM-IV-TR diagnosis, such as
alcohol dependence or a depressive disorder. Another
Treatment Planning
outcome is the initial treatment plan for the client. As a substance abuse counselor, you may be legally
entitled to work with clients who have depressive
Assessment for depressive symptoms may take place symptoms as defined earlier in this chapter.
at intake in your program or may be the result of However, most States require additional training or
screening by the counselor. Assessments for depres credentials to provide treatment to clients with diag
sive illness must be conducted by a mental health nosable depressive illness (see Figure 1.4, p. 15).
professional who has the required specialized train Figure 1.6 provides guidance for determining who
ing, skills, and licensure and/or certification. DSM should work with a given client.
IV-TR diagnosis is accomplished by referral to a psy
Figure 1.6
Decision Tree
How To Determine Who Should Work With a Specific Client
Counselor
Screening NO Continue with Self-Assessment
Evidence of depressive substance abuse NO Refer to a different

Do counselor and
symptoms or signs? treatment. supervisor believe the professional.
counselor is capable of
YES working with this client?
YES
Assessment
Presence of DSM-IV-TR NO
depressive disorder (major Agency
depression, bipolar
disorder, dysthymia)?
Resource
NO
Assessment Refer to a more
YES Does agency have the appro- appropriate agency.
priate facilities, policies, etc.,
to serve this client’s needs?
Treatment
Assignment
YES
Qualified and appropriately
licensed mental health
or co-occurring
disorders provider
Treatment
Assignment
Counselor
Client-Centered, Integrated agreeable treatment plan. Helping a client explore

potential risks and benefits, along with understand
Treatment Planning ing the process for change and the effort that will be
A treatment plan for a person with substance use dis required, can help the client make informed choices.
order and depressive symptoms should be client-cen
tered and integrated. An excellent resource for inte Your success as a partner in the collaborative process
grated treatment planning is ASAM’s PPC-2R of treatment planning will depend, in part, on your
(ASAM, 2001). ability to enter the client’s world and to assist the
client in articulating concrete treatment goals and
Client-Centered—There is no one right approach to objectives. Your creativity and flexibility are as
care for the client with a substance use disorder who important in this process as your clinical skills and
also has depressive symptoms. A client-centered experiences.
treatment plan is based on a careful assessment
inclusive of immediate needs, motivation for change, Integration—Integrated treatment planning is funda
and readiness for change (see “Stages of Readiness mental to providing services to persons with co-occur
for Change,” p. 26). Cultural differences must be ring substance use and mental health problems (see
accommodated, respected, and incorporated into all the definition below). For this TIP, integrated treat
aspects of treatment, but each individual must be ment planning means that:
viewed as a unique combination of culture, history, • You, the substance abuse counselor, take primary
current situation, and stage of life. responsibility for helping the client work with both
Client-centered treatment planning is a process con substance abuse issues and depressive symptoms
ducted in collaboration with the client. As the coun (see Figure 1.6).
selor, your job is to help the client explore various • Your treatment plan addresses the client’s sub
alternatives and educate the client about each option. stance abuse, depressive symptoms, and issues
Together you and the client can arrive at a mutually that may arise through the interaction of the two
(e.g., depressive symptoms as a cue for craving).

• The treatment plan includes specific client goals consider the use of appropriate psychoactive medica
and objectives for substance abuse and for depres tion. Medication treatment will involve a psychiatrist,
sive symptoms. another physician, or another clinician licensed to
• The treatment plan provides for monitoring prescribe in your State who should also make a care
progress in both areas. ful diagnostic assessment. In the diagnostic assess
ment, it is important for such clinicians to establish
Observe how the counselors in the vignettes in chap
whether depressive disorder is present, because the
ter 2 integrate their treatment of substance abuse
evidence suggests that a diagnosis of one of these
and depressive symptoms, recognizing that the symp
depressive syndromes is important for antidepressant
toms of one problem significantly alter the presenta
medications to be effective (Nunes and Levin, 2004;
tion of symptoms of the other problem. This is partic
Nunes, Sullivan, & Levin, 2004). Without such a
ularly true when the drug used by the client produces
diagnosis, it is not clear whether depressive symp
a depressive effect on the client’s thinking and
toms respond to antidepressant medication. Evidence
behavior.
from a meta-analysis of clinical trials of antidepres
sant medications for clients with alcohol or drug
Treatment Planning as an Ongoing dependence (Nunes and Levin, 2004) showed that
Process depression improved with a placebo for many clients,
but all patients (including those on the placebo)
As the client progresses in treatment, new challenges
received a manual-guided psychosocial intervention,
will emerge, new issues may arise, and some initial
such as relapse prevention or drug counseling.
plans will need to be abandoned. Clinical work
requires the counselor to use not only continuous
feedback in the form of objective clinical indicators of
progress, but also subjective information from the Treatment
client to guide the client’s recovery at each stage. This section presents the principles, skills, tech
As suggested earlier, a client with a substance use niques, and resources you can use in implementing
disorder who shows no signs of depressive symptoms these strategies with your clients.
at intake may begin to experience depressive symp
toms as recovery proceeds. Similarly, a client whose Principles
depressive symptoms are currently mild may spiral
Principles that you should apply in your work with
downward into a clinically diagnosable depression
clients with substance use disorders and depressive
during your work together. Finally, a client who ini
symptoms have been presented throughout this
tially shows depressive symptoms may rapidly feel
chapter. Figure 1.7 (p. 25) summarizes them for easy
better as he or she adjusts to the routine of the
reference.
program.
The need to be on the lookout for such changes and

the need for further assessment when symptoms
Skills and Techniques
appear or worsen were discussed earlier in this chap A number of skills and techniques can be used while
ter. Such reassessment will sometimes require major applying any of the treatment approaches and inter
alterations in the treatment plan. As with the initial ventions discussed earlier. You probably use many of
treatment plan, revisions should be made in collabo these already, but the brief descriptions below are a
ration with the client. reminder of their importance.
The Therapeutic or Working Alliance—This refers to

The Role of Medications a mutual bond between the substance abuse coun
selor and the client. It includes elements of trust, rap
A review of medical treatment for substance use and
port, and faith in the counselor’s ability to help and
depressive disorders is beyond the scope of this man
the client’s ability to change, and agreement on treat
ual. However, the treatment plan for a client with
ment tasks and goals. An early and strong therapeu
substance dependence and depression should always
tic alliance is critical to successful treatment. Specific
ing a change, the counselor can seek to identify dis
Figure 1.7
crepancies between the client’s current behavior and
Principles of Care
the client’s values. When working with a client who is

• Depressive symptoms must be expected among preparing to make a change, the counselor can identi
clients in substance abuse treatment, and this
expectation should be incorporated into all aspects
fy not only potential barriers to change, but also the
of screening, assessment, and treatment planning. resources available to the client to overcome those
• Both substance abuse and depressive symptoms barriers. Motivational techniques are client-centered
should be considered primary. and strengths-based and use acceptance, support, and
• Care for clients with substance use disorders and understanding to help a client move from one stage of
depressive symptoms should not be limited to a
change to another. These techniques help clients
single “correct” model or approach.
• Empathy, respect, and belief in the individual’s resolve their reluctance and resistance as they learn
capacity for recovery are fundamental provider alternative ways to satisfy their total well-being. (See
attitudes. Figure 2.2 in TIP 35 [CSAT, 1999] for more on strate
• Treatment should be individualized to accommo gies for enhancing motivation.)
date the specific needs, personal goals, and cultur
al perspectives of unique individuals in different Cognitive–Behavioral Techniques—Cognitive–behav
stages of change. ioral techniques are directive and educational in
• Clients may at different times have more or less nature and aim to help clients learn to think and act
intense depressive symptoms or substance use dis
order symptoms but need continuity of care.
more adaptively and thus experience improvements
in mood, motivation, and behavior. Clients with
Adapted from CSAT, 2005; Rosenthal, 1999 depressive symptoms are caught in a vicious cycle of
negative expectations and attributions about them
selves and others, and then make choices based on
techniques that facilitate the development of a thera these assumptions that reinforce these dysfunctional
peutic or working alliance are: beliefs. Clients can be taught to monitor and record
• Maintaining a respectful, welcoming, accepting, instances of their negative thoughts and mental
warm, empathic, hope-inspiring, confident, non images so as to realize the connection between their
judgmental, trustworthy, and open stance. thoughts, feelings, and behavior. Inaccurate thoughts
• Setting appropriately frequent and consistent associated with depressive symptoms can be identi
appointments. fied and modified using the counselor’s more objective
• Listening reflectively (see Active Listening, below). understanding of the client’s history, current experi
• Providing accurate feedback and interpretation. ence, and future opportunities.
• Expressing interest, empathy, and understanding. Clients also learn to make their problems seem less
• Actively addressing a misstep or conflict. catastrophic by breaking them down into smaller,
• Setting appropriate limits and boundaries. more manageable components. This reduces dyspho
• Being sensitive to the client’s ethnic identity, cul ria and anxiety and builds self-efficacy. Assignments
tural values, and beliefs. that have tasks of increasing difficulty help clients
• Being a good role model. get moving and provide rewarding experiences that
Motivational Techniques—Motivational techniques will directly refute their negative attributions. Over
emphasize the client’s responsibility to talk about time, clients learn to recognize, assess, and change
ambivalence toward making a change, to voice per the underlying assumptions and maladaptive beliefs
sonal goals and values, and to make choices among that have rendered them vulnerable to depressive
options for change. The counselor’s stance is to under symptoms.
stand and respond to the client’s statements in a non Individualized Care—In programs treating large
judgmental way. For example, when working with a numbers of people with similar problems, there is a
client who is not thinking about making a change, the tendency to diminish the focus on individualized care.
counselor can help identify ways in which the client’s Everyone, in effect, gets the same treatment.
current behaviors have created problems. When Programs offering individualized care have flexible
working with a client who is ambivalent about mak program policies that allow counselors to focus on

specific client needs and then target treatment to client’s shoes. Rather, sympathy is an expression of
meet those specific needs. The concept of individual compassion, concern, or sorrow for the client’s experi
ized care is particularly important for individuals ence. A good distinction between sympathy and
with co-occurring disorders and other special needs. empathy is that sympathy is feeling for the client,
Individualized care allows treatment to be client cen while empathy is feeling with the client. It is common
tered, involving the client in treatment planning and for inexperienced counselors to confuse sympathy and
sharing responsibility for treatment outcome. empathy, and often people with substance use disor
ders who are depressed look for sympathy in lieu of
Active Listening—Also called reflective listening,
empathy. Sympathy can, at times, be helpful.
active listening involves listening attentively to client
However, when you are carried away by your sympa
statements and reflecting them back in different
thy for clients, you may feel the need to rescue, which
words so that the client can confirm or clarify their
can interfere with their self-healing. Figure 1.8 pro
meaning. Active listening allows the client with sub
vides some useful contrasts between empathy and
stance abuse problems who is depressed to hear what
sympathy.
he or she is saying, thus encouraging self-exploration
of problems and feelings. Active listening deepens the Resolving Conflicts—Maintaining a therapeutic
counselor’s understanding of the client’s statements alliance requires skill in resolving the conflicts that
and can be used to elicit a client’s concerns about arise between client and counselor. (You will see an
problems without asking questions that can activate example of such a conflict in vignette 4 in chapter 2.)
resistance. Resolving conflict requires:
Empathy—Empathy is central to helping the client • Addressing the problem practically in the context
feel understood, accepted, and safe to explore painful of the current situation.
emotions and experiences. People with substance use • Clarifying misunderstandings.
disorders and depressive symptoms often have trou • Accepting responsibility for missteps, when appro
ble feeling understood or believing that someone else priate, especially with clients who have a history
can understand their experiences. Empathy is com of trauma or racism (including discussing with
municated through verbal and nonverbal signals that your supervisor the appropriate way to admit mis-
say “I understand.” In some sense, it is wrong to say Figure 1.8
that empathy is a skill or technique. Rather, it is best Empathy and Sympathy
understood as a way of being or staying in tune with
your client. Certainly, when counselors have had Empathy Sympathy
some of the same experiences as their clients (such as
Involves a heightened Involves a heightened
recovering from substance abuse or depression), the awareness of the experi awareness of the suffering
capacity for empathy is heightened. Just as in 12 ences of the other (not or need of the other as
Step programs where individuals are taught to identi necessarily suffering) as something to be alleviated.
fy with feelings rather than compare the particulars something to be under The focus is the other per
of a situation, counselors can empathize with clients’ stood and reflected back. son’s well-being.
feelings because they know what it is like to experi Behavior concerns know Behavior concerns relating,
ence pain and loss. ing, conceptualizing, acting for, alleviating (or
understanding. mediating responses).
In some instances, having a similar background to a
client can interfere with empathy because you think Empathy is effortful and Sympathy is relatively auto
you know what the client is going through and there depends both on experien matic and effortless.
fore fail to listen effectively. Being empathic is more tial and imaginal capabili
ties.
than simply relating to a client. Empathy includes
having patience and being supportive and under The self reaches out to the The self is moved by the
standing. As always, appropriate supervision and other. other.
self-reflection are key to being an effective counselor. The self is the vehicle for The other is the vehicle for
understanding and never understanding, and some
People sometimes confuse empathy with sympathy. loses its identity. loss of identity may occur.
Sympathy does not involve placing yourself in the
takes to clients without expressing excessive (enabling) or fostering dependent behavior (Rosenthal
guilt). & Westreich, 1999). Good confrontation has two faces:
• Expressing sincere regret at having unwittingly The external, more obvious confrontation is between
impugned, misled, or patronized the client. counselor and client. The more subtle, less obvious is
• Supporting the client’s ability to express disagree how the client takes in the external confrontation and
ments in the context of an ongoing therapeutic is able to internalize it.
relationship.
• Being flexible in one’s position or on the current
tasks when the client is becoming angry or distant
Stages of Readiness for Change
(Winston, 2004). Clients will enter substance abuse treatment with
different levels of motivation to change. Your task is
Strengths Based—Strengths-based approaches focus to discover and design with clients a systematic and
on identifying, encouraging, and using the client’s strategic plan to address their unique set of symp
strengths as the foundation for the plan to create pos toms of substance abuse and depression. The same
itive change. Many clients with substance use disor client may have one level of motivation to change
ders and depressive symptoms find it difficult to substance use and another level of motivation to
believe they can begin or maintain behavioral change. address depressive symptoms. Prochaska and
Belief that one is able to change leads to the ability to DiClemente (1984) developed a widely used classifica
sustain motivation for making a change. Strengths tion of stages of motivation:
can be elicited by asking how the client has success
fully coped with depressive symptoms in the past. • No perception of a problem and/or no interest in
Once strengths have been identified, affirmation can change (Precontemplation).
be used to enhance the client’s belief in his or her • Might be a problem, might consider change
capacity to bring about change. (Contemplation).
• Definitely a problem, getting ready to change
Three areas of strength for most clients include the (Preparation).
capacity for endurance (e.g., survival skills), personal • Actively working on changing, even if slowly
growth (e.g., willingness to consider making a (Action).
change) in unpleasant circumstances, and a concern • Has achieved stability and is trying to maintain it
for the welfare of others, for instance, family. (Maintenance).
Counselors should never underestimate how skilled
some people are at not seeing their own strengths. Questionnaires for assessing stage of motivation are
You may be surprised with the resistance you available (see TIP 35 [CSAT, 1999]). Simple inter
encounter when trying to focus on client strengths. views can also be used to determine the client’s view
of a given problem, such as substance use or depres
Therapeutic Confrontation—At times, confrontation sive symptoms.
can be an appropriate technique to demonstrate to
the client the reality of his or her minimizing, eva For clients in the precontemplation or contemplation
siveness, blaming, rationalizing, or denying behavior. phases, the application of one or more of the motiva
However, you should use this technique only in the tional techniques described previously and illustrated
context of a strong awareness that the purpose is to in chapter 2 should be considered. For example, in
help the client, not to express your frustration or vignette 4 in Part 1, chapter 2, the counselor uses
anger. Without a strong therapeutic alliance, the motivational strategies to help Shirley move from
client may feel attacked. However, with a strong contemplation to preparation.
alliance, the client will know that you are trying to be
helpful. Whenever possible, it is important to ask for
feedback regarding the confrontation so that you and
Self-Efficacy
the client can better understand the client’s reaction. Self-esteem includes a person’s beliefs and experi
The key is to use confrontation without being puni ences of his or her inherent value in addition to the
tive and to use empathic, supportive techniques with individual’s actual competence or self-efficacy. It is
out being overly responsible for the client’s behavior important to explore clients’ perceptions of their moti-

vation to change and of their belief in their ability to • Finally, the nonjudgmental acceptance of others in
change. A person’s belief about his or her ability to do the program provides an environment in which
something is related to the ability to actually do it. A depressed people can examine themselves in a
client’s belief that he or she cannot change (e.g., can more nonjudgmental and accepting manner.
not feel better, cannot alter circumstances that are
Below are some examples of how the steps can be
leading to depressed feelings) needs to be dealt with
applied to depressive symptoms.
proactively. As illustrated in vignette 1 in chapter 2,
useful techniques for building feelings of self-efficacy Step 1—We admitted we were powerless over alcohol
include: [depressive symptoms]—that our lives had become
unmanageable.
• Partializing a large task into smaller, manageable
tasks. Many of the life circumstances that contribute to
• Setting a modest, if less important, goal that is depressive symptoms are not under the control of the
achievable rather than repeatedly trying and fail client. Loss of a loved one, victimization, trauma, and
ing at something that is very important but not other negative life events happen in people’s lives.
currently achievable. Depressed people often blame themselves for these
• Mentally rehearsing a task and visualizing events. Understanding that one is or was powerless
success. to prevent a loss, trauma, or other life event, can alle
viate some of the guilt and shame that drive depres
Because depressive symptoms often include feelings
sive feelings. For clients for whom depression has no
of helplessness, self-efficacy issues may be particular
clear external cause, an understanding that genetic
ly salient for clients who are experiencing these
vulnerability, brain chemistry and/or hormones may
symptoms. Supportive techniques such as offering
be involved can help them understand that nothing
reassurance, encouragement, and appropriate praise
they have done has caused them to feel depressed.
for recovery-related accomplishments bolster self-
esteem and help motivate further adaptive change in Step 2—We came to believe that a Power greater than
clients (Rosenthal, 2008). ourselves could restore us to sanity.
This step applies as much to depressive symptoms as

The 12 Steps as a Tool to substance abuse. It is a source of hope and
Many substance abuse counselors use the 12 Steps of strength. For the depressed person, the concept of
Alcoholics Anonymous (AA) and similar organizations giving in to a greater power can provide a welcome
as part of their work with people who abuse sub relief from the sense of burden and worry that often
stances. Many of the curative factors inherent in 12 accompanies depressive symptoms.
Step programs also can be helpful to people with This step can also be used with persons who do not
depressive symptoms. believe in or are hostile to the belief in a deity. Such
Some of these factors include: people may accept that a higher power exists in all of
us that can be unleashed by letting go of everyday
• The support, comfort, acceptance, and hope people concerns. This higher power inside is sometimes
find when they enter AA can directly confront referred to as the “life force” or “vital force.” In some
some depressive symptoms of alienation, hopeless belief systems, the vital force derives from an inextri
ness, and despair. cable connection to the earth or to nature. In other
• The 12 Steps themselves can be applied to many belief systems, the higher power inside is viewed as
aspects of healing depressive symptoms. For the healing force by which the body corrects its own
instance, doing a self-inventory of limitations, as deficiencies.
well as strengths and assets, taking action to
address wrongs of the past, and the act of reaching Step 4—We made a searching and fearless moral
out to others can both be curative steps. inventory of ourselves.
• The slogans and “folk wisdom” of AA and similar Initially, the depressed person may find this step
12-Step programs confront “stinking thinking” frightening. After all, the person with depressive
that keeps people with depressive symptoms symptoms often finds little to like about himself or
trapped in a cycle of fear and hopelessness.
herself. However, as illustrated in vignette 2 of chap • Any given medication has about a 50 percent
ter 2, the counselor can guide the client through a chance of working well, and a 50 percent chance of
reality-based inventory that challenges the belief that failing.
the client is bad or worthless. Having a nonjudgmen • No method or test will predict the best medication
tal collaborator in that exploration not only chal for a patient.
lenges the client’s negative self-evaluation, but also • It often takes at least 4 to 6 weeks of treatment
localizes certain beliefs and behaviors as falling with and the achievement of an adequate dose before
in the client’s purview. The client can begin to see an antidepressant medication begins to work.
that their choices and behaviors are a function of • Depression symptoms should be monitored regu
their depression. larly and systematically during antidepressant
treatment.
These three steps are presented as examples. Other
• If one medication fails to result in a significant
steps can be equally adapted to provide understand
improvement in depression symptoms after an
ing, hope, and motivation for clients with depressive
adequate trial (generally 6 weeks of treatment at
symptoms. On another level, the ability to adapt the
an adequate dose), then a different medication
12 Steps to other life contexts (such as depression)
should be tried by the prescribing clinician.
shows that the client has been able to internalize and
• Counselors should be alert to possible adverse
integrate the steps in a powerful way.
interactions between an antidepressant medica
tion and the substances a patient is abusing
Treatment of Depressive (such as the potential for increased sedation or
intoxication).
Symptoms With Antidepressant
Medications
If a patient has depressive symptoms or a depressive Continuing Care and
disorder that has not improved after entering sub
stance abuse treatment, you should consider referral Treatment Termination
to a physician for evaluation for antidepressant med
In most cases, your work with a client on his or her
ication. This assertion is supported by a meta-analy
depressive symptoms will be time-limited. There are
sis of 14 placebo-controlled clinical trials of antide
some special considerations related to treatment ter
pressant medications in alcohol or drug dependent
mination with a (formerly) depressed client as well as
patients with depressive disorders (Nunes and Levin,
some special considerations for continuing care.
2004). Antidepressant medications were most likely
to be effective in studies when patients were absti Perhaps to a greater extent than with your clients who
nent when diagnosed with depression. Hence, much are not depressed, you will have engaged in a client-
the same as with medications for treatment of sub counselor relationship involving emotional sharing,
stance use disorders, treatment with antidepressants support, and encouragement. As demonstrated in
is not a panacea or a stand-alone treatment. If vignette 3 in chapter 2, the client may have shared
applied with appropriately diagnosed patients, anti experiences with you that he or she has never shared
depressant medications should improve mood, help with anyone else. For these reasons, the client (and
reduce substance use, and facilitate the overall psy you) may experience sadness at the prospect of saying
chosocial treatment plan. Your collaboration with the goodbye. It is especially important that you help the
medicating clinician is essential to support your (formerly) depressed client view this sadness as a nor
client’s recovery. mal grief process rather than as a return of depressive
symptoms. Indeed, distinguishing appropriate sadness
Bear in mind the following principles in regard to the
from depression is one of the lessons you hope your
treatment of your clients with medications for depres
client has learned in your time together.
sion:
Other considerations related to treatment termina
• Antidepressant medications rarely have abuse
tion are discussed below.
potential.

Reactivation Because depressive symptoms can recur, it is neces
sary at some point to educate the client about this
For some clients, the termination experience will mir
possibility. Just as people with substance use disor
ror or reactivate experiences that were fundamental
der lapse while in recovery, so people with depressive
to their depressive symptoms (abandonment or feel
symptoms re-experience feelings of despair. Clients
ing alone or without support). These feelings can be
should be educated about this possibility, the likeli
addressed directly using the skills the client has
hood that they may need to seek services again, and
learned in counseling. They can also serve as practice
the fact that recurrence is not an indicator that they
in dealing with future situations that may cause
have “done something wrong.”
depressive feelings to surface.
Preparation Your Reaction to Treatment

Termination
This means preparation both for the treatment termi
nation experience and for “life after counseling.” Part As already noted, you may experience sadness at the
of the preparation for life after counseling is avoiding prospect of termination with your client. This sadness
early termination when the client begins to feel bet is a normal result of the therapeutic alliance you
ter. It is important for the client to understand that have forged. Another result of this alliance may be an
ups and downs are normal and that these are likely investment in the client’s future adjustment. After
to occur throughout life. Learning the differences all, you have worked very hard to gain the client’s
between a short remission and a more stable adjust trust and to use that trust productively in treatment.
ment will be key to assisting the client in deciding Although counselors want their work to be successful,
when termination is appropriate. Sometimes, a “par the client’s future is the client’s responsibility. For
tial termination” can be accomplished by increasing you, the task is now to let go.
the interval between sessions or by a trial period
without therapy. If it is not possible to continue coun Continuing Care Plans
seling, even though depressive symptoms continue,
The symptoms of depression, like those of many other
make every effort to assist the client in arranging
illnesses, come and go. The absence of symptoms
other services that will help with the depressive
doesn’t mean the tendency toward depressive symp
symptoms.
toms is necessarily gone. In addition, the potential for
Near the end of treatment, you should consider antic relapse with depressive symptoms is quite high, and
ipatory guidance with the client for a host of situa significant improvement and remission of symptoms
tions. Anticipatory guidance is a core supportive psy do not mean that ongoing care and monitoring should
chotherapy technique, but it is consistent with CBT be discarded. Clients should be educated about the
in that it rehearses what the client should do in high- nature of depressive illnesses, relapse symptoms, and
risk situations or in situations where the client used procedure to follow if symptoms do reappear. It is
to have your help to work things out. The counselor important for clients leaving treatment to know that
reviews the accomplishments achieved and uses they can telephone you or the agency if symptoms
anticipatory guidance to outline issues to explore in reappear, either to reactivate treatment or for refer
the future. Clients will have a range of feelings about ral. Finally, it is important for clients to understand
the end of treatment and about the counselor after that reoccurrence of depressive symptoms does not
treatment, so it is also useful to help the client antici mean failure on their part, nor does it mean that the
pate how he or she will deal with them (Rosenthal, onset of another depressive episode has to be as diffi
2008). cult and painful as previous episodes. Like most other
illnesses, if caught early, depressive symptoms can be
treated more efficaciously and effectively than if
symptoms linger for an extended period.
Managing Depressive Symptoms in Substance Abuse
Clients During Early Recovery
Part 1, Chapter 2
Introduction
Counseling in substance abuse treatment is an interactive and collaborative process between counselor and
client that supports change and enhances psychological and emotional growth. The relationship between coun
selor and client is the most critical component in determining a positive treatment outcome. Accordingly, coun
seling is not only a forum in which the counselor provides support, advice, and/or education to the client, nor is
it simply a series of techniques or strategies undertaken by the counselor. Rather, it is a collaborative process
using the client’s strengths, experience, and motivation and the counselor’s skills, experience, and insights to
achieve a higher quality of life for the client.
Change is a natural process. In a collaborative model of counseling, the goal of the counselor is to learn how to
tap into and support the client’s natural desire to grow and change. The key element in the majority of positive
outcomes in substance abuse treatment, regardless of the counseling approach or techniques used, is the rela
tionship between the counselor and client (Hubble, Duncan, & Miller, 1999). When that relationship is based on
mutuality, respect, and faith in the client’s expertise in his or her own life experience, the relationship itself
provides a safe therapeutic context in which people feel free to make healthier choices about their lives. Within
this safe and supportive atmosphere, clients are able to explore their own experiences and find their own solu
tions to problems.
A number of factors work to facilitate change, and some of the most important are the qualities the counselor
brings to the therapeutic relationship. Carl Rogers (1992) asserted that in a client-centered, collaborative
approach to counseling, the counselor must possess three critical qualities to create the conditions that facili
tate change: accurate empathy (expressions of understanding by the counselor of the client’s experience), non-
possessive warmth (or unconditional positive regard), and genuineness (authenticity and transparency).
Manifestation of these three critical conditions fosters therapeutic change and recovery from substance use dis
orders. In particular, accurate empathy is associated with treatment success. A critical assumption of Rogers is
that when counselors engage in accurate empathy, clients feel accepted and understood, and this increases
their sense of self-worth. This is a crucial aspect of working with people with depressive symptoms because low
self-worth or self-esteem is one of the most common symptoms of depression. In addition, constructive behav
ioral change follows from positive changes in self-worth (Rogers, 1992).
The primary counseling tool that facilitates the expression of accurate empathy is reflective listening, also
known as active listening. Reflective listening involves listening beyond the content of what the client is saying
for the meaning and feeling in the client’s story, making a hypothesis about that meaning or feeling, then
reflecting that meaning or feeling back to the client using the client’s words, rephrasing, or paraphrasing using
your own words. The goals of reflective listening are to build rapport by helping the client feel understood and
to selectively reflect back to the client his or her own reasons for change instead of trying to convince the client
that change is necessary. The four clinical vignettes that follow demonstrate reflective listening and accurate
empathy. Notice that the counselor focuses on helping the client change the thoughts, beliefs, feelings, or
behaviors associated with his or her depression.
While change is natural, it is not always easy. Whenever people are considering a change, it is normal for them
to feel ambivalence. It is a natural part of the human experience to feel a sense of loss and regret when giving
up one set of behaviors or a way of thinking in exchange for a new approach. The counselor’s job is to recognize

that ambivalence is a normal part of the change process and that resistance to change is an expression of that
ambivalence, not an intrinsic part of a client’s personality or identity.
In fact, resistance serves a protective function in all of us. It works to keep us safe and maintain our equilibri
um. When resistance is apparent in the counseling process, it can be explored with respectful curiosity. It is
your job as a counselor to help clients resolve ambivalence.
Motivational interviewing (MI; Miller & Rollnick, 2002), which is based in part on Rogers’ humanistic theory of
change (as described above), is a directive, yet respectful and client-centered, approach to helping people resolve
ambivalence about change. It has been shown to be effective in helping people change their alcohol and drug
use patterns, as well as in supporting people as they resolve their ambivalence about taking medications or
engaging in other healthy behaviors that decrease depressive symptoms. (See TIP 35, Enhancing Motivation for
Change in Substance Abuse Treatment [CSAT 1999].) Below are some tools adapted from MI that will help you
address a client’s ambivalence about change.
How to Address Client Ambivalence About Change

1. While you are interviewing a client, keep in mind the idea that ambivalence
about change is normal and that resistance to change is simply an expres
sion of ambivalence, not an intrinsic part of who the person is.
2. The following are some examples of questions that can be useful in helping
clients explore ambivalence about engaging in behaviors that decrease
depressive symptoms:
a. What are the good and not-so-good things about drinking when you are
depressed?
b. What are the advantages and disadvantages of taking medication or
exercising to combat your depression?
c. Who in your life would appreciate your decision to take care of yourself
by exercising and not drinking in order to reduce the depression?
d. On a scale of 1–10, how important is it to you to make some changes to
reduce the depression in your life?
3. Invite clients to explore their ambivalence more deeply by empathically
reflecting their comments back to them.
4. Remember that the closer a client gets to change, the more their ambiva
lence can increase. It is important that clients make a life change because
they see the need, not because a counselor forces it on them, so be particular
ly careful about not pushing your agenda on the client. It is through the
exploration and expression of their own experience that clients resolve their
ambivalence and take more ownership for the change.
In working with substance abuse treatment clients with depressive symptoms, effective counseling supports
people’s efforts to change the thoughts, beliefs, feelings, and behaviors associated with both depression and sub
stance abuse. For example, if a client can recognize that his or her difficulty concentrating (which he or she
believes makes him or her defective) is not a personal failure but a symptom of depression, the client can take a
step back from self-judgment. This will, in turn, improve the client’s concentration and sense of worth. Your job
as a counselor, in this instance, is to help the client explore the possibility that the problem (difficulty concen
trating) has nothing to do with a sense of identity or value as a human being, but rather is a common experi
ence associated with depression. Later in this chapter, you will learn more about counseling tools that focus on
helping people recognize and challenge negative thinking patterns and core beliefs.
How to Help Clients With Substance Use Disorder and Depressive
Symptoms
The counselor has several tasks with clients in treatment for a substance use
disorder who have depressive symptoms, a diagnosed depressive disorder in
remission, or an already-diagnosed depressive disorder for which they are cur
rently in treatment (e.g., in therapy, taking medications, or receiving both).
These tasks depend on the training and expertise of the counselor and the mis
sion of the treatment program, and can include one or more of the following:
1. Screening of current depressive symptoms to determine if a more extensive
clinical evaluation is needed. This screening can be accomplished through a
clinical interview or completion of a mood inventory such as the Center for
Epidemiologic Studies Depression Scale (CES-D; see Appendix B).
2. Monitoring depressive symptoms to observe whether they change significant

ly over time or require specific treatment. Monitoring can be accomplished
through client reports as well as regular completion of the CES-D or another
depression screening instrument, which can document changes in severity of
depression over time.
3. Facilitating an evaluation and/or specialized treatment with a psychiatrist,
psychologist, or mental health clinician for a more in-depth assessment of
mood symptoms. Some clients will initially reject the idea that evaluation or
treatment is needed. Education or explanation about the recommendation
can help the client feel comfortable about participating in the evaluation.
Additionally, education can address the client’s fears about taking antide
pressant medication.
4. Monitoring the client’s recovery from depression and collaborating with any
other mental health professionals involved in the client’s care for a depres
sive disorder. This can require spending time in each counseling session
reviewing the client's current mood, compliance with medications and/or
therapy for depression, and resolving any major issues related to depression
(e.g., devising a safety plan if the client feels suicidal). While integrated
treatment addressing both disorders in the same treatment program is the
ideal, in many instances, a client receives help from both a substance abuse
treatment program and a mental health program or private practitioner.
5. Providing education on depressive symptoms, depressive illness (types, caus
es, and effects), treatment for depression, and mutual support groups. For
example, it is important for a client diagnosed with a depressive disorder
who receives medication to know that treatment should be continued for at
least 6 months or longer after improvement in the acute symptoms of depres
sion. Education can be accomplished through discussions in the sessions,
and/or by providing or suggesting articles, books, workbooks, pamphlets, or
Web pages where information is available.
6. Discussing the impact of depressive symptoms or a depressive disorder
co-occurring with a substance use disorder on the client’s family, including
children.
7. Helping the client identify possible relationships between substance use
and depressive symptoms, depressive disorder, or recovery from clinical
depression.

8. Providing specific interventions related to depressive symptoms or the disor
der based on the principles of an evidence-based treatment such as cogni
tive–behavioral therapy (CBT) or interpersonal psychotherapy (IPT). These
interventions aim to help the client manage depressive symptoms, improve
recovery efforts, and reduce future risk of recurrence. Some CBT and IPT
interventions are relevant to treating both depressive symptoms and sub
stance use disorders, for instance, structuring time or building pleasant
activities not involving alcohol or drug use into a client’s day, becoming
active in a support system, or addressing interpersonal conflicts. Other inter
ventions are specific to the depression, such as changing faulty thinking that
contributes to sadness or suicidal feelings, learning sleep hygiene strategies,
or addressing specific life problems that the client believes contribute to
depression.
The role of the counselor in the collaborative counseling process is depicted in Figure 2.1. Counseling involves:
• Listening to and hearing the client (Figure 2.1, Step 1) as he or she first presents the problem, expresses new
concerns as they arise, and responds to counselor interventions.
• Understanding and empathizing (Step 2) with the concerns, experience, and meaning embedded in the
client’s story.
• Knowing which techniques or strategies will be helpful to the client and possessing the knowledge and skill
necessary to successfully use the correct techniques or strategies at any given moment in the counseling
process (Step 3).
• Performing the intervention (Step 4).
• The client’s responding (Step 5) in some way to the intervention, which the counselor listens to and hears,
and so forth around the circle again and again (Step 1).
Figure 2.1
The Counseling Circle
1. Listen to
and hear
the client
5. Client
response
2. Understand and
empathize with
the client
4. Intervene
3. Know appropriate
interventions and how
to perform them
This process unfolds in each moment of counseling, in each session, and in the totality of sessions held with
each client. Eliminating any one of the five steps will result in a less effective, or perhaps ineffective, counseling
experience.
The Culturally Competent Counselor

Throughout this TIP, you will find references to the culturally competent counselor. Cultural competency is:
“A set of values, behaviors, attitudes, and practices within a system, organization, program, or among individu
als that enables people to work effectively across cultures. It refers to the ability to honor and respect the
beliefs, language, interpersonal styles, and behaviors of individuals and families receiving services, as well as
staff who are providing such services. Cultural competence is a dynamic, ongoing, developmental process that
requires a long-term commitment and is achieved over time” (U.S. Department of Health and Human Services,
2003, p. 12).
A critical element in this definition is the connection between attitude and behavior.
Figure 2.2
Attitudes and Behaviors of Culturally Competent Counselors
Attitude Behavior
Respect • Acknowledging and validating the client’s opinions and worldview
• Approaching the client as a partner in treatment
• Communicating with clients in their primary language, either directly or through an interpreter
• Respecting the client’s self-determination
Acceptance • Maintaining a nonjudgmental attitude toward the client

• Considering what is important to the client
Sensitivity • Understanding the client’s experiences of racism, stereotyping, racial profiling, and discrimination
• Understanding the life circumstances, daily realities, and financial constraints of the client
Commitment to • Intervening on behalf of clients when a problem stems from racism or bias
Equity • Actively involving oneself with minority individuals outside the counseling setting to foster a perspec
tive that is more than academic or work-related
Openness • Recognizing the value of indigenous helping practices and intrinsic help-giving networks in minority
communities
• Building ongoing collaborative alliances with indigenous caregivers
• Seeking consultation with traditional healers and religious and spiritual leaders and practitioners in
treatment of culturally different clients, when appropriate
Humility • Acknowledging the limits of one’s competencies and expertise and being willing to refer clients to a
more appropriate counselor when necessary
• Seeking consultation and pursuing further training or education, or a combination of these
• Constantly seeking to understand oneself as being influenced by ethnicity and culture and actively
seeking a nonracist identity
• Being sensitive to the power differentials between the client and the counselor
Flexibility • Using a variety of verbal and nonverbal responses, approaches, or styles to suit the cultural context of
the client
• Using cultural, socioeconomic, and political contextual factors in conducting evaluations and provid
ing interventions

In the four vignettes of counseling sessions in this chapter, note how issues of cultural competence, and particu
larly the connections between cultural attitudes and behavior of the counselor, can become important elements
of the counseling process.
Methods and Approaches

In this chapter, you are invited to consider different methods and approaches to working with clients with sub
stance use disorders who are experiencing depressive symptoms. The four approaches described in this chapter
focus on:
1. Changing behaviors.
2. Changing patterns of thinking (cognitions).
3. Recognizing and deconstructing core beliefs that hinder growth and change.
4. Awareness and expression of feelings (affect).
Any of these approaches can be the entry point and primary focus in the counseling process. The goal of each is
to help people change and grow. How the decision is made to choose one approach over another is discussed
later in the chapter. It is important to note that effective counselors have a diverse repertoire of methods from
which to choose, and that the choice of approach and the techniques associated with that approach are based on
the perceived needs, strengths, and resources of the client, not the agenda or needs of the counselor. This is a
primary assumption of the client-centered, collaborative approach to counseling.
The four vignettes in this chapter demonstrate the counseling process and specific strategies used when the
primary focus of the session is on the client’s behavior, thoughts, feelings, or core beliefs. The vignettes will
enable you to better understand how clients with substance use disorders present themselves when they have
depressive symptoms, and how you can help them reduce or alleviate those depressive symptoms while improv
ing the likelihood of their successful recovery from substance abuse. Techniques described include behaviorally
based approaches, techniques from CBT and IPT, and affect-based therapies. Additionally, core concepts,
strategies, and techniques from MI, client-centered therapy, and active listening skills are demonstrated
throughout, as are such basic concepts as empathy, support, and giving feedback. The vignettes of counselor
and client dialog include several components, some of which are marked by icons for easier identification:
• Decision trees assist in making choices about various courses of action.
• Master clinician notes are comments from an experienced counselor or supervisor about the
strategies used, possible alternative techniques, timing of interventions, and areas for improve
ment.
• “How-to” boxes contain information on how to implement a specific intervention.
This format was chosen to assist counselors at all levels of mastery, including beginning counselors, those who
have some experience but need more diversity and depth, and those with years of experience and training who
are true master clinicians.
Before beginning counseling with clients with a substance abuse diagnosis and depressive symptoms, and peri
odically throughout treatment, a determination must be made as to whether the current treatment setting is
the one in which the client should continue. Considerations include whether the client has clinical depression
(e.g., has been judged by a capable mental or behavioral health professional qualified in the state to diagnose
mood disorders as meeting the criteria in the Diagnostic and Statistical Manual, 4th Edition, Text Revision
[DSM-IV-TR; APA, 2000]) and whether the current treatment program and counselor are equipped to treat both
disorders (see Figure 2.3, When to Refer a Client).
Figure 2.3
Decision Tree
When to Refer a Client
Prior to treatment
5. Is counselor able to Consult with clinical

1. Is current Consult with clinical work with this client (e.g., NO
NO supervisor and
treatment setting supervisor and able to contain his or her feel consider referral to
appropriate? consider referral to ings about this client, able to another counselor.
another counselor. find something to connect
YES
with/value in this client)?
Determine appropriate YES

staff member to 6. Is client sui
conduct treatment. cidal or in other life-
threatening crisis?
YES
2. Is current counselor
(or in the case of an intake, Consult with super
Consult with clinical visor and take
available counselor) NO supervisor and
appropriately licensed/ appropriate action.
consider referral to NO
certified/in training with another counselor.
supervision to provide the
Continue with
recommended treatment?
treatment.
YES
Continue with
treatment. 7. Is treatment result NO Reassess the client and
ing in client create a new treat
improvement? ment plan.
3. Is counselor knowl YES

NO Consult with clinical
edgeable in supervisor and
recommended Ongoing monitoring
consider referral to
treatment approach? and reassessment.
another counselor.
YES
Assign to counselor.
During treatment
4. Is there a good Consult with clinical

match between counselor NO
supervisor and
style and knowledge and consider referral to
client need? another counselor.
YES
Assign to counselor.

High-quality clinical supervision is necessary to bridge administrative mission and vision with the best prac
tices offered to clients through competent counselors. Whether yours is a small program or large agency, effec
tive and efficient supervision is critical to client care. The clinical supervisor seeks to enhance the personal
well-being and professional knowledge and skill of the counselor through regular one-on-one supervision, group
supervision, and relevant training programs.
Treatment Planning, Collaborative Goal Setting, and Counselor

Expectations for Counseling Session
Three closely related processes should determine the content of a counseling session. First is the master treat
ment plan, developed by the treatment team with the client’s input. This is the overall plan for the types and
extent of services to be offered to the client during treatment. Ideally, this plan is flexible, and considers the
range of services available from the treatment organization and the client’s specific needs. It is adapted over
time to meet the client’s changing needs. Individual, group, and family counseling services should reflect the
needs identified in the master treatment plan.
Second, the client should be engaged in an ongoing collaborative effort with the counselor to identify and
address specific needs. This engagement of the client in goal setting reinforces clients’ responsibility for their
own change and invites them to be an integral part of treatment planning. This collaboration can be as simple
as carefully rephrasing the client’s hopes and dreams for recovery as treatment goals. It can also be the coun
selor simply asking the client what he or she would like to focus on in today’s session. The collaborative effort
can also be a more formalized structure implemented in programs to ensure that clients have a say in their
treatment.
Finally, most experienced counselors enter a counseling session with an idea of what they might want to accom
plish in their time with the client. For instance, in early sessions, counselors might expect to develop or
enhance the therapeutic relationship with the client. They can have expectations of gathering information from
the client, refining treatment goals, or identifying specific strategies to achieve identified goals. As treatment
progresses, counselors can enter a specific session with expectations to follow up on homework from a previous
session, to inquire about change efforts the client has made between sessions, or to continue work on a long
standing change effort.
These treatment planning efforts lead to goal-directed recovery and serve to differentiate professional counsel
ing from simply “talking about” problems. Simply talking about problems rarely solves them. Results come from
identifying specific, achievable goals and employing methods that can be instrumental in obtaining positive out
comes. In the following vignettes, note how the counselor begins each session with expectations for what he or
she would like to accomplish in the session and then works with the client to identify goals the client would like
to accomplish. Both efforts are essential in an effective treatment encounter.
You will now meet four clients: Cherry, John, Sally, and Shirley. Each presents with depressive symptoms in
addition to a substance use disorder diagnosis. Note that while their life situations are unique and the counsel
ing approaches used with each are different, some commonalities do exist. With each case, the counselor is
empathic, listens carefully to the client’s story and dilemma, seeks to help the client help him or herself resolve
the dilemmas he or she faces, and is able to relate in a nonjudgmental manner. As in the vignettes, your job as
a counselor, regardless of your approach, is to help clients better understand their life dilemmas, identify and
clarify their goals, examine and better tolerate their ambivalence about change, and achieve a positive outcome.
A Note on the Master Clinician

In this chapter you will be guided through cases (vignettes) by a “master clinician.” This master clinician repre
sents the combined experience and wisdom of the contributors to this TIP. The master clinician provides
insights into the cases and suggests possible approaches. Some of the techniques described by the master clini-
cian may not be appropriate for you to use, depending on your training, certifications, and licenses. It is your
responsibility to determine what services are legally and ethically appropriate for you to provide (see Figure
1.4, Scope of Practice, p. 15).
Vignette 1—Behavioral Interventions

Introduction
Behavioral interventions are a basic treatment approach used in substance abuse treatment. As treatment com
mences and if the client is ready, you initially focus on changing the behaviors that are driving the substance
abuse; for instance, stopping drinking and drug use and avoiding people, places, and things where there is a
risk of alcohol or drug use. You also want clients to quickly adopt behaviors that will help them maintain absti
nence, such as attending 12-Step meetings and finding sober friends. The assumption is that changing behav
iors will build an environment for subsequent changes in thinking, feeling, and beliefs. Another important part
of behavioral change in substance abuse treatment is helping clients sustain the growth they are making and
helping them use this growth to sustain even greater change. (See Figure 2.4 for how to determine whether a
client is suitable for behaviorally oriented treatment.)
Figure 2.4
Decision Tree
How to Determine Whether a Person Is Suitable for Behaviorally Oriented Treatment
4. Will incorporating Choose another

specific new behaviors NO approach that is
1. Are there clearly Choose another approach
identified problem behaviors NO increase the client’s more consistent with
that is more consistent
that can become the focus of with how the client capacity to change? increasing the client’s
change? views the issue. capacity
to change.
YES
YES
5. Is the client Choose another

2. When the therapist Change conceptualization NO
interested in and willing approach that is
reflects the issue framed until the client agrees
to focus on changing more consistent with
in language about behavior NO with it and choose the
problematic behaviors? what the client is
or actions, does the approach that is
consistent with how willing to work on.
client confirm the
YES
conceptualization? the client understands
the issue.
YES Consider using a
behavioral approach.
Choose another approach
3. Are the client’s
behaviors detrimental to the NO
with the work required
client’s progress on
to help the client
therapeutic goals?
achieve his or her
therapeutic goals.
YES
Behaviorally focused change is also appropriate in addressing depressive symptoms. We know that strengthen
ing relationships, increasing the capacity to ask for help, mild or moderate physical exercise, learning sleep
hygiene techniques, getting adequate rest, managing feelings that are common among clients with depression

(e.g., sadness, anxiety, anger, boredom, fatigue, shame, and guilt), and managing stress can all contribute to
reducing depressive symptoms. Some of the counseling processes that support behavioral change include:
• Targeting specific behaviors to change, especially behaviors that the client identifies as limiting.
• Helping a client set achievable goals for behavioral change.
• Helping the client find the support he or she needs to plan for, initiate, and maintain behavioral changes.
• Helping the client take big changes and break them down into smaller changes that can be more easily
accomplished and maintained. It is important to also explain the reasons for smaller, more targeted objec
tives, since many clients can feel that progress is not being made with smaller goals.
• Helping the client find internal and environmental resources that will help him or her develop and maintain
the motivation necessary to sustain behavioral changes.
Observe how the counselor in the vignette about Cherry builds the therapeutic relationship, targets behavioral
changes needed to support her abstinence from drug and alcohol use, builds resources to confront her depres
sive symptoms, works to help Cherry make changes, and then supports the changes she is making.
Case Study
Cherry, 34, has been drinking for at least 10 years, at first mostly socially with her husband and friends but
with occasional periods of heavy drinking. When she divorced 3 years ago, she started drinking more frequent-
ly—almost every night—after her three children went to bed. Also, about 2 ½ years ago, she noticed that she
was getting more anxious and stressed out from trying to get the kids to day care and school, taking care of
them, not having enough money, hassling with her ex-husband over child support, and getting to work on time.
She received a prescription for benzodiazepine from her family doctor and rapidly became dependent on the
drug. Her doctor recognized her dependency and referred her to a psychiatrist trained in substance abuse. He
recommended substance abuse treatment. After being monitored in a detoxification program, she began the 8
week intensive outpatient treatment program where she is now receiving treatment.
Substance Abuse History and Current Status

Cherry grew up in a verbally abusive home with a mother who battled alcohol abuse most of her life. Cherry
drank two or three times during high school, not really liking the taste of alcohol. She smoked pot and enjoyed
that more. Cherry went through a period of smoking pot regularly after ending her relationship with her high
school sweetheart. Once she got into another relationship, she cut down her use, decided she was becoming
dependent on marijuana, and quit entirely. Cherry has been drinking regularly for at least 10 years. After her
divorce, her drinking increased to almost daily and her use of benzodiazepines began 2 ½ years ago. Cherry
started “prescription shopping” as her need for the benzodiazepine increased. Consequences of her alcohol and
benzodiazepine abuse are increased shame, blockage of grief from her divorce, loss of motivation, loss of self-
esteem and self-confidence, ineffective parenting, increased isolation, and sleep disturbance.
Depression History and Current Status

On admission, Cherry revealed that she has lately felt depressed: feeling sad about the loss of her husband
through divorce, guilty about not taking good enough care of her children, overwhelmed, lethargic, and unmoti
vated. Sometimes she sleeps too much. Other times, she wakes up feeling tired because she has trouble falling
asleep or wakes up in the middle of the night. Her other physical complaints include headaches, a chronic
cough, and an irregular menstrual cycle. She often feels “stressed out,” but has trouble taking action to reduce
the stress. While in the detoxification program, her depression seemed to worsen. She is overwhelmed with
issues of money, child care, and relationships.
SESSION 1
Clinician Expectations
The counselor begins Session 1 with the following expectations in mind:
1. Build the therapeutic relationship by developing an understanding of Cherry’s issues from her perspective.
This includes the client’s motivation for treatment and her perception of and experience with her situation.
2. Ask Cherry about her goals for the session. Sometimes the client doesn’t present with specific goals, but ask
ing can invite the client to begin thinking about what she may want to change. Identify the issues the client
would like to address.
3. Assist Cherry in seeing the connection between her depression and her substance abuse.
4. Identify specific behavioral changes needed to support abstinence from drug and alcohol use and reduce
[Cherry and the counselor exchange initial greetings and have a brief exchange in which Cherry expresses that
she is feeling very tired.]
COUNSELOR: Cherry, we are meeting today so I can get a better understanding of your mood and some of the
symptoms you reported to the intake worker. I’ll ask you some questions, and then later have you complete a
brief questionnaire about your moods, which should take just a few minutes. Let’s start by your telling me more
about feeling tired and your problem falling asleep, staying asleep, and waking up tired in the morning.
CHERRY: Well, I’m getting to bed at a pretty regular hour, but I toss and turn for a long time before I fall
asleep. Then, I'll wake up during the night.
[The counselor explores Cherry’s sleeping patterns and habits.]
COUNSELOR: You have to get up at 5:00 a.m., so that would be 6 hours of sleep. Now, is that how much sleep
you get?
CHERRY: [Sighs.] I guess that’s how much I get because, I mean, I don’t get the kids down to bed till 9:30 p.m.
or so. And then I get a little bit of quiet time to myself, but I have to be at work at 7:00 a.m., so I’ve got to get
the kids up and dressed and fed and out of the house. My mother takes them before they go on to school and
day care, so I’ve got to get up at 5:00 a.m. to get them ready, and in truth that’s not enough sleep for me. I
guess I’m always working on not enough sleep. But this is something different. I mean, I do not want to get up
in the morning. I can’t get up in the morning. I can’t do it.
COUNSELOR: So it’s more than just not getting enough sleep. It’s like it’s hard for you to just get up in the
morning. There’s something about that that makes it hard.
CHERRY: Yeah.
COUNSELOR: Tell me about it. What is it like when you try to get up in the morning?
CHERRY: It just feels like, I wake up and all I want to do is escape. I want to go back to sleep. I learned in
group that sleep problems and fatigue are common in early recovery, but it seems more than that. The sleep is
a safe place. And um, being awake is dangerous and horrible, and I wish I didn’t have the kids and stuff. I don’t
mean I don’t want my kids, I just mean that it’s . . . I love my kids; they’re my whole life really, but if I didn’t
have them, I could just stay in bed and sleep. I have to get up because I have my kids, but I don’t . . . Well,
what’s been happening lately is I get up and get them out of there, and then I just go back to bed. I can’t go to
work.

COUNSELOR: Cherry, many of the drugs you have been taking have a depressive effect. That includes alcohol
too. Have you ever considered that your drug use may play a role in your depressive symptoms?
CHERRY: No, I never even thought the two could be connected.
Master Clinician Note: Cherry is presenting classic depressive symptoms of

lethargy, poor sleep, feeling overwhelmed, and hopelessness to change the situa
tion. The impetus on the part of the counselor might be to immediately jump in
and start giving advice and helpful suggestions. A better approach, adopted by
the counselor in this case, is just to hear Cherry’s concerns for a few minutes,
make an effort to understand how she perceives her world, and develop some
empathy for her dilemma. Once the relationship is strengthened and the coun
selor has a better understanding of why Cherry does what she does, then behav
ioral interventions can be initiated with Cherry as an active participant. Note
that the counselor, so far, has focused primarily on steps 1 and 2 of the counsel
ing process described in Figure 2.4, page 39).
COUNSELOR: This depressive effect is part of that unmanageability we speak of that comes with alcohol and
drug dependence. So you go back to bed once you get the kids up and out of the house.
CHERRY: Yeah because it’s . . . I can’t keep going. I can get up just to get them out of the house, but the
thought of having to go to work and get through a whole day, I can’t . . . and so I’ve been missing more work.
I’m using up all of my sick days. I’m calling in late. If I work really hard on getting myself out of bed, I can do it
by 10:00 a.m., then work in the afternoon. But that’s really hard.
COUNSELOR: So, tell me more about that. It sounds like there’s been this kind of long-term problem with the
sleep and being able to get up in the morning.
CHERRY: Yeah, I mean, I already told that intake worker about all that stuff, but just really quick so you’ll
understand, I’ve been . . . I was married for 12 years and then about 3 years ago we got divorced. And that was
. . . I was really upset. He was running around on me. [Cherry briefly cries.]
CHERRY: When he left, I was torn up. It wasn’t like we had all that great a marriage, on the one hand, but, on
the other hand, he was . . . I had a difficult childhood, so when I found him, he was my way out of there—my
way out of my parents’ house. So when he left, that just like busted something.
COUNSELOR: Like the bottom fell out. It’s sad losing a dream and someone who was your rescuer. There’s a
lot of pain when your spouse cheats on you. It seems like maybe you drifted away or gave up on relationships
with people and sought relationships more with objects like alcohol and drugs. That seemed safer, especially
when even your childhood relationships let you down. This can trap our pain leading to dependence and
increased depression. More unmanageability.
Master Clinician Note: Cherry introduces another problem, her divorce and
the feelings associated with it. The counselor adds it to the mental list she is cre
ating for problems that will need to be addressed. She is also attempting to
understand how all the problems Cherry has introduced are interrelated: the
divorce, being a single parent, getting out of bed in the mornings, feeling over
whelmed, and getting to work. The counselor continues with steps 1 and 2 of the
counseling process (Figure 2.4, page 39) and is also eliciting information to help
begin formulating an intervention (steps 3 and 4).
A good intervention to use when people present with big and multiple problems is to help them learn problem-
solving skills. Teaching clients to partialize their difficulties is an important step in problem-solving.
Partializing helps people take big problems and break them down into smaller problems that can be addressed.
In addition, partializing can help people differentiate problems that can be solved from problems that can’t be
solved: problems that have higher priority for being addressed, those that need to be addressed because they
create or aggravate other difficulties, and those that require external resources to address versus ones that pri
marily require internal, personal resources.
How to Help People Achieve Behavioral Change: A Problem-Solving

Technique
It is useful for a counselor to have a basic process for helping people achieve
behavioral change. As the counselor and client work this process over and over,
the client begins to incorporate the process into his or her behavioral change
repertoire. One problem-solving process that works well for helping people
achieve behavioral change is as follows:
1. Identify a behavior that can be addressed:
• Keep it simple and achievable.
• Break big problems down into smaller, achievable components.
2. Identify the goal (outcome) the client would like to achieve:
• Make the goal measurable so the client can know when he or she has
achieved it.
• Explore ways the client has achieved similar goals in the past.
3. Identify barriers (internal and environmental) that might keep the client
from achieving the goal. Frame the barriers in terms of something the client
can control.
4. Identify how those barriers can be overcome in specific behavioral
terms. Make addressing the barrier something to do, rather than something
not to do.
5. Identify supports needed to achieve success and specific steps to
achieve success.
6. Elicit a commitment and take action to overcome roadblocks and achieve

the goal.
[Cherry continues to share information with the counselor on her marriage, her growing up, and her current
dilemma of feeling overwhelmed. She also discusses feeling sad about losing her husband. The session contin
ues.]
CHERRY: Yeah. And I guess I started drinking more. I don’t know what to do. And this not getting out of bed
stuff really scares me. Because if I lose that job, I mean, it’s the best paying nurse’s aide job around.
COUNSELOR: It’s nice to see you making the connections between your drinking and how lost and depressed
you felt. If you talk about this with people in your groups and in AA, you’ll most likely see that feeling lost is
something you share with other people who are dealing with dependence on alcohol and drugs.
Master Clinician Note: The counselor is starting to push Cherry out more and
more into the recovery community to help develop relationships in the human
world instead of the world of alcohol and drugs.

COUNSELOR: You mentioned that you do get out of bed to go to work some days, and you get out of bed to get
the kids ready for school, and that you can get out of bed when it’s time for them to come home. Is getting out
of bed something you would like to work on this morning?
CHERRY: Yeah, that would be okay.
COUNSELOR: How do you get yourself out of bed at those times?
Master Clinician Note: First, the counselor gets Cherry’s agreement to work
on a behavior change, thus underscoring the relationship is collaborative. The
counselor is now beginning the behavioral intervention, helping Cherry mobilize
in the mornings. The counselor’s first task is to have Cherry explore what has
worked for her in the past.
CHERRY: [Pauses.] Because I have to . . . the same way how I get to work sometimes. Because I have to do it.
COUNSELOR: You’re kind of beating yourself over the head and saying, “I’ve got to do this.”
Master Clinician Note: The counselor is interested in the internal dialog that
goes on in Cherry’s head that limits her in taking action on the problem.
CHERRY: I prepare for it all the day long when I’m awake but can’t go to work. If I’m not sleeping and I’m
awake, I pressure myself all day long that I have to get up, and my stomach gets tied in knots.
COUNSELOR: That sounds awful.
CHERRY: And I push, and I push, and some days, it’s like I have to get up for the kids, but I don’t have to get
up for work the same way.
COUNSELOR: But it sounds like that’s a really high priority for you, getting to work.
CHERRY: It is. I need the job.
[The counselor then works with Cherry to help her see how to break getting to work into smaller steps that she
can accomplish. The counselor does this by looking at each behavior in which Cherry engages between the time
she wakes up and the time she arrives at work. Cherry reveals that she can get up if she has something to look
forward to, like not going to work.]
COUNSELOR: So, as long as you’re looking forward to something that feels like it’s going to take the pressure
off, then you can kind of white-knuckle it through what you have to do.
CHERRY: Yeah, as long as I know I don’t have to go to work, then I can get through the rest of what I need to
do for the day.
COUNSELOR: Is there something about the job that makes it especially difficult for you?
CHERRY: You know, once I get to work, I actually sort of like it. I like taking care of the people, and my only
adult friends in the world are on that job. So when I get to the job, I’m really okay—I don’t know, it seems, like
totally irrational that I’ve got this connection to this job. The people are nice to me, while I’ve been like this;
they’ve been covering for me.
COUNSELOR: So it’s not that something happens at work that makes you not want to go there. It’s something
about getting from the house to work. Have you noticed if it might be tied to morning hangovers? Where do you
start running into trouble there?
CHERRY: It’s that feeling, it’s that anxious feeling. It hits me when I wake up. Yes, it was tied to hangovers—
it was worse back when I was drinking—but it’s still there now that I’m not drinking or using the pills. Then,
after the kids leave, I feel the same thing. And my only escape is to go back to bed.
COUNSELOR: Okay. So, one issue in terms of getting you to work would be how we can help you not end up
back in bed. How can we help you do something else, instead? [Pauses.] Maybe we could come up with some
thing that you could do right after the kids leave the house that wouldn’t be consistent with going to bed, that
wouldn’t make that so easy for you. You’ve got about 40 minutes to get ready for work. How long does it take
you to get ready for work—take a shower, do your hair?
Master Clinician Note: The counselor is searching for ways for Cherry to get
motivated in the mornings. She’s careful to use the information given by Cherry,
not just take what would work for her and apply that to Cherry. While seeking
to understand Cherry, the counselor also gets her to refocus on behaviors she
routinely does. An important principle of behavior therapy is to emphasize
behavior you “do” want rather than focus only on what you “don’t” want.
CHERRY: It seems like about 30 minutes. I think I have it down to a fine science. I mean, maybe there’s 10
minutes in there or something, of time. [Pauses.] You know, I remember I used to go out on the back porch in
the morning with a cup of coffee—just spend a few minutes with nature. I can remember in the spring when it
was buds and all green. The flowers would come up and I’d go on the back porch with my coffee and just sit
there for a few minutes, and it was so quiet and I could listen to the birds, you know, without the kids and
stuff. That used to be a time of the day I really enjoyed. It was a nice way to sort of get going. [Pauses.] Yeah, I
haven’t done that in such a long time. I wonder why I don’t do that.
COUNSELOR: Well, how would you feel about trying it out? It sounds like a nice way to start your day. Sounds
a lot better than what you were talking about before—all that pressure. It just sounds like a nice break for you.
CHERRY: Yeah, it is. So you’re saying instead of going back to bed, I should go to the back yard.
COUNSELOR: Yeah, instead of making a deal with yourself that you can go back to bed right after the kids go
off to school, you could make a deal with yourself that you can go have your coffee in the garden, after the kids
leave.
CHERRY: I could try that.
COUNSELOR: All right, well, let’s see how that works. See if that helps you get your day off to a better start,
since it sounds like if you can get it started, you can do it. May I make another suggestion? I’d also like to just
suggest it might be a nice time to do your AA readings, just a thought. [Counselor smiles at Cherry.]
Master Clinician Note: The counselor is working to sum up the behavioral

change (getting up and having a cup of coffee on the porch in the morning) and
get a commitment from Cherry to actually undertake the change. Getting the
client to engage in pleasant activities is a simple, yet effective, behavioral strate
gy to help improve mood.
[While Cherry does not meet full criteria for major depression or dysthymia, she does present with enough
depressive symptoms and impairment to justify having counseling sessions to help her with these symptoms.]
CHERRY: Okay.

COUNSELOR: So you’ll try that until we meet next time. Before you leave, I want you to take a few minutes to
complete this mood questionnaire. I’ll then have you complete one each week. We can use this as one way to
track changes in your mood symptoms over time.
[After having Cherry fill out the Center for Epidemiologic Studies Depression Scale (CES-D), the counselor asks
if Cherry has any questions or concerns about the Scale, explains how the information from the Scale will be
used in her treatment, and then wraps up the session. The counselor will continue to retest Cherry periodically
with CES-D to measure changes in her depressive symptoms, take corrective action if changes aren’t occurring,
and show Cherry evidence of her improvement. Other programs might use other measures besides CES-D, but it
is important to use some instrument to measure the changes that are taking place in recovery.]
It is also very important to ensure that scales and instruments used to screen or evaluate progress are cultural
ly appropriate. The CES-D (Bardwell & Dimsdale, 2001; Cole Kawachi, Maller, & Berkman, 2000) and Beck
Depression Inventory-II (Smith & Erford, 2001) have been evaluated for utility with specific racial and ethnic
groups. Other depression screening instruments that are specific to certain cultures may be available. If a
client is not fluent in English, it is important to have them screened in their primary language.
You should not simply note the total score on the CES-D or other instrument that measures depressive symp
toms, but rather look at specific items in the scale and the reported changes that occur over time on the item.
For instance, helpful discussions could follow reports that clients are sleeping better; feeling less sad, angry, or
lonely; or are more contented. You can process specific changes and their meaning with the client, who is more
likely to understand these changes than to understand the meaning of a numerical score. See the discussion of
issues in screening and assessment in Chapter 4 of TIP 42, Substance Abuse Treatment for Persons With Co-
Occurring Disorders (CSAT, 2005b).
Session summary: Following the session, the counselor takes a few minutes to reflect on her expectations at
the beginning of the session and the goals she and Cherry established during the session. She notes how the
expectations and goals were addressed and considers what she might want to address in the next session with
Cherry. Some of her expectations, such as building and maintaining a therapeutic relationship, will be ongoing
throughout the treatment effort with Cherry. Some of the goals she and Cherry decided on, such as monitoring
the impact of her depressive symptoms, will also be ongoing. The counselor will continue to monitor Cherry’s
master treatment plan to ensure that their work continues to be focused on treatment goals established by the
treatment team and Cherry.
Finally, the counselor is careful to record the goals, methods, and accomplishments of the session in Cherry’s
treatment record. The chart, or master record of all treatment efforts for Cherry, allows appropriate staff to
review the variety of treatment efforts undertaken, their goals, and Cherry’s response.
SESSION 2
1. Check Cherry’s progress with identified goals and homework and affirm her efforts to address identified
goals.
2. Work with Cherry to identify goals important to her for this session.
3. Continue to build the therapeutic relationship.
4. Continue to focus on behavioral changes to reduce depressive symptoms.
[The counselor has Cherry complete the CES-D before the session begins and quickly scores it.]
COUNSELOR: Hi, Cherry, how are you?
CHERRY: Um . . . doing somewhat better.
COUNSELOR: Yeah? Before we talk about what's been going on the past week, let’s review your questionnaire.
Last week, you scored 25, which is in the moderate range. This week, you scored 21, which shows some
improvement. This is a good start. What’s been going on the past week?
Master Clinician Note: Early in the session, it is useful to check on the

progress the client has made in achieving the goals set in the last session. The
counselor then has Cherry describe what she did and how it worked.
CHERRY: I went to work on time.
COUNSELOR: Excellent! Tell me how you did that.
CHERRY: I did what we talked about. I made my coffee while the kids were still there, so after they left I
grabbed a cup of coffee and I went out on the porch, and I just. . . it’s a nice time of year, the fall, and all the
colors and stuff, and so I just sat there, you know, for a little while. In fact, I read from my daily meditation
book I got at that AA meeting you have me going to. It was nice. Now that was sort of hard because I didn’t
want to leave—I wanted to stay there, but I started out with the idea that it was something I would do for 10
minutes. So after 10 minutes I guess I didn’t feel as anxious and as nervous, you know. But I don’t know if it’s
going to keep working.
COUNSELOR: It’s great that you are using the recovery tools to help yourself and your sobriety. It also seems
to be that during that time you weren’t feeling depressed. What’s your concern that it won’t keep working?
CHERRY: Well, as it gets colder, it’s not going to be as nice to sit out there, for one thing, and then, right now,
it’s the novelty of the thing, you know—it’s new. I haven’t done this for a long time, but I don’t know if it will
keep working long term, ’cause that state I get in is pretty strong.
COUNSELOR: Cherry, it is nice that you’re thinking about these things and how to keep these new feelings.
You know that phrase you heard in your groups and meetings, “Fake it ‘til you make it.” It’s a reminder to keep
doing these new behaviors until they and the new feeling that come with them become routine. Again, I’m glad
you’re thinking ahead.
Master Clinician Note: A specific strategy for helping people who are
depressed is for them to commit to undertaking behavioral routines that support
feeling better, more hopeful, more engaged with life. The counselor begins work
ing with Cherry to get her to incorporate routines that will help her stay up in
the mornings and get the kids off to school.
COUNSELOR: The idea is to get up and do something and put one foot in front of the other and keep doing
something. It helps you build the momentum to get out of the house. Routines help. Like you get to work and
you know what to do, and you just go do it.
CHERRY: Yeah, there’s no choice there.

COUNSELOR: Right. And so at home, you could make this a part of your routine, and so you naturally get up,
you take care of the kids, you go have your coffee and enjoy the back yard, and then you get ready for work and
you go to work. And it may be that that small addition of time for yourself, that time to just do something that
feels good to you helps you maintain that momentum to get on with your day, to do what you need to do.
[Discussion ensues about other things Cherry might do to help her get to work.]
CHERRY: But what’s really bothering me is that I’m not taking care of the kids well, and so it’s nice thinking
about this stuff—walking and all that—that’s nice, that’s the stuff that I like, but what about my poor kids?
They’re being totally neglected here. They’re getting cold cereal for breakfast and a bologna sandwich for sup
per, and probably the only decent food they get is at school. I can’t [sighs] . . . I can’t even do simple things. It’s
like, it’s lucky that I get laundry done when they don’t have any more clothes. But I can’t. I used to cook for
them, and I can’t do that. And I need to do stuff for the kids. When they’re taken care of, then I can take care of
myself. I mean, a good parent takes care of her children; they don’t let them get hurt. And I want to take care
of them. That would bring me more pleasure than anything—to be able to be a good mother to them.
Master Clinician Note: It is important for the counselor to be aware of symp

toms of child abuse or neglect and report relevant information to the appropriate
authorities. At the same time, it is important to get the facts before acting and
not simply act on the client’s worries. It is imperative, if child abuse is suspect
ed, that the counselor seek advice and support from his or her supervisor or
other senior agency personnel and that it be reported to the appropriate govern
mental reporting agency.
COUNSELOR: Two things: First, remember your illness has resulted in your becoming less and less able to
care for yourself and those you love. Second, I can tell that you are stepping more and more into your recovery
because of your increasing desire to care for and nurture your children. It’s clear you love your children a lot.
Tell me about what you’d like to be doing differently for the kids.
Master Clinician Note: The counselor is exploring for a behavioral interven

tion based on Cherry’s wishes to be a better parent. The counselor is also prob
ing for information on possible child neglect.
CHERRY: I would like to keep the house the way I used to, so they would have a clean house. And I’d like to be
able to do the laundry on a regular schedule instead of waiting until there’s nothing left that anyone can wear,
and then there’s these huge piles that take forever to get done. And I’m mostly concerned about their food
because I don’t have the energy to be shopping, and I don’t make them meals, so I just get stuff that they can
put together themselves, and they’re basically fending for themselves with the food. I get them cold cereal and
sandwich stuff and that’s what they eat. They don’t ever get a nutritional meal, not that I have a #*%! of a lot
of money to be buying fruits and vegetables and stuff anyhow, but…
Master Clinician Note: Low motivation to fulfill usual daily obligations and
low energy are common when a person is depressed. Cherry has presented sever
al concerns about parenting (keeping a clean house, doing laundry, and prepar
ing meals) that may reflect her low motivation and low energy. The counselor
selects one for them to work on. Sometimes, getting a client active in completing
a behavior will precede an improved mood.
COUNSELOR: You would like to get back some of things you lost to your addiction and depression—nice. You’d
like to make them a hot meal.
CHERRY: Yes.
COUNSELOR: Tell me what happens now when you think about that—wanting to cook for them.
CHERRY: [Pauses.] I can’t. I can’t do it. [Pauses.] Well, what do you think I should do?
COUNSELOR: Well, I’m wondering when you think about what it would take for you to cook for them, what is it
that you’re thinking about? What are the steps that you’re thinking about?
Master Clinician Note: The counselor doesn’t give Cherry the answer to her
question but, rather, encourages Cherry to explore her own steps.
CHERRY: I’m so...well...what steps? I mean, I can’t even...I don’t have the food there to do anything with.
COUNSELOR: So the first thing is that you would need to get something from the grocery store, right?
CHERRY: Yup.
COUNSELOR: And then what?
[The counselor starts writing a list: grocery shopping.]
CHERRY: Well, then the kids have to be . . . the kids want their food right away when they get home, and that’s
right away when I get home. So it just doesn’t all fit in there. If I think about it, God, I don’t want to cook. I
want to sit down. I want to . . .
COUNSELOR: You start to feel overwhelmed, and you start to feel like you don’t have enough energy to do that.
Master Clinician Note: The counselor is actively listening. The skill of listening
is more difficult than it appears. Some counselors learn it easily, and others learn
it one step at a time. All counselors improve their listening ability by responding
to what their clients are saying with a statement that reflects what they think
the client means and observing the way their clients respond to it. The more anx
ious a counselor is (e.g., concern about the client or concern about his or her abili
ty to help the client), the more likely the counselor is to stop listening and start
using less effective techniques like persuasion or confrontation.
CHERRY: Yeah, and then besides that, then you cook it, well you gotta set the table, and then you gotta do the
dishes, I mean there’s a whole . . . right?
COUNSELOR: Yup.
CHERRY: So then, you’re 2 or 2½ hours into the night doing all that. Then the kids need stuff for their home
work.
COUNSELOR: Mm-hmm. So again, I see the pressure building up there, and you’re feeling really overwhelmed.
I’m wondering if we can’t look at this list [of steps involved in making a meal] and make it into something more
manageable.
Master Clinician Note: Here the counselor is using the technique of partializ
ing, in which a complex task is broken into smaller, more manageable steps that
the client is more likely to be able to achieve.

[The counselor breaks down the list, making a simple shopping list of fresh items that can be used as snacks and
easily prepared by the kids.]
Master Clinician Note: The counselor begins to make suggestions for what
food Cherry should buy. This works with Cherry, this time. Often, however, this
takes the responsibility for change away from the client and places it on the
counselor. In addition, a client with a lot of negativity will begin to focus on why
whatever the counselor suggests won’t work rather than focus on the positive of
what would work.
CHERRY: Well. [Pauses.] I guess we could get apples.
COUNSELOR: So it makes sense to you maybe to get stuff that is easy for them, that’s easy to prepare anyway.
CHERRY: Things they can make without me, so I don’t have to do it. You say, make them a snack, get some
fruit and let all of us snack on some fruit?
COUNSELOR: Uh-huh. And, then when you think about what you’d like to prepare for them, what kind of food
. . . when you think about what a supper would be, what do you think of?
CHERRY: I just… [Exasperatedly sighs.] It’s just so much more manageable to eat potato chips out of a bag or
something. I just . . . cooking—it’s beyond me.
COUNSELOR: There it is happening again, as you start to think about it, you start to feel overwhelmed.
CHERRY: Mm-hmm. I feel overwhelmed all the time.
Master Clinician Note: The counselor chooses to stay with problem-solving

and behavioral change rather than shift into work on the feeling of being over
whelmed.
COUNSELOR: Yeah, and so what we are trying to do is to make things simpler, so you can do some simple
things to get yourself rolling.
CHERRY: So you are saying it would be okay to do simple things, like a simple meal. I don’t need to think of
something fancy, just keep it simple; make a simple meal. Like they say in my AA meetings, KISS—Keep It
Simple, Sweetheart.
COUNSELOR: Yes. So, we need to make a plan that includes simple meals, right? You could do the same meals
every week, so your shopping list doesn’t change until you are feeling better and you want to start doing some
more stuff.
[The counselor facilitates Cherry in designing menus.]
Master Clinician Note: The therapeutic alliance builds as the counselor sup
ports Cherry and goes into detail about menus, foods, and the like.
[Cherry and the counselor arrive at an agreement about frequency and timing of cooking meals.]
Master Clinician Note: An important component of behavior change is making

a commitment to act on a plan. Observe how the counselor gets Cherry to make
a commitment to act on cooking meals and then sum up what they’ve focused on
this session.
COUNSELOR: Great. Now, tell me again what you are going to do.
CHERRY: I’m going to buy the food tomorrow afternoon after work. I’m going to fix a meal three nights this
week, and next. I’m going to have some fruit in the house for the kids to eat when they get home. Yes, I can do
that.
COUNSELOR: Okay, well that’s great. So I’ll see you on Monday.
Session summary: Following the session, the counselor again reviews her expectations for the session and
finds that her expectations were met, particularly in terms of developing behavioral strategies with Cherry to
lessen her depressive symptoms. She also was careful during the session to elicit Cherry’s goals for what she
would like to accomplish and what she thought was practical and achievable. Finally, the counselor charts her
observations of work toward goals in Cherry’s client record.
SESSION 3
1. Check Cherry’s progress with identified goals and homework (e.g., cooking for her children) and affirm her
efforts toward goal achievement.
2. Elicit Cherry’s goals and expectations for the session.
3. Respond to Cherry’s goals for the session with behavioral strategies (if appropriate).
4. Administer and score CES-D to monitor changes in depressive symptoms.
[The counselor has Cherry complete another CES-D depression scale, then briefly reviews and discusses it. The
CES-D score this week is very similar to last week. This is a brief session in which Cherry raises the issue of
headaches and the counselor helps her with relaxation techniques. Cherry also reports success with preparing
food for her family.]
COUNSELOR: Hi, Cherry, welcome back.
CHERRY: Hi.
COUNSELOR: How’s it going?
CHERRY: Well, I have a really bad headache.
COUNSELOR: Yeah? How long have you had the headache?

Master Clinician Note: Normally, a counselor might want to start a session by
following up on the homework. But in this situation, Cherry has raised some
thing that is important to her, and it would be inappropriate for the counselor to
rigidly assert her own agenda. That said, it will still be important for the coun
selor to do the followup later in the session.
CHERRY: I get them a lot.
[The counselor and Cherry have an extended discussion about Cherry’s headaches; when she has them, where
they start in her head, how she deals with them. Cherry volunteers that she has consulted a doctor about them
and that he has recommended that she needs to relax and feel less stress.]
COUNSELOR: Okay. [Pauses.] Well, I think there are some things we can do to help you with relaxing. We can
work on that in a few minutes. But first, we haven’t talked yet about your homework from last Thursday. You
were going to continue to spend some time drinking your coffee and looking at your back yard, and you were
going to try out that new shopping list we made.
CHERRY: The shopping list actually worked. I made dinner twice on the weekend.
COUNSELOR: You did! Great! What did you cook?
[Pleasant memories of Cherry’s behavioral successes are shared with the counselor. Then, the counselor works
with Cherry on some relaxation techniques, which are described in the How-To sections below. Cherry can use
these relaxation techniques to help her fall asleep at night or during the day whenever she needs a break or is
feeling overwhelmed.]
How to Conduct a Deep Breathing Relaxation Technique
Ask the client to tell you about anything he or she has done before to relax. Use
the client’s knowledge and prior experience with what works and doesn’t work to
tailor the exercise to his or her particular needs. Ask the client if he or she is
familiar with relaxation exercises and if he or she would be willing to try the
exercise with you in the session. If the client says yes, then take a few minutes
before you begin to explain the exercise and to let the client know that he or she
can stop at anytime if he or she feels uncomfortable for any reason. Please note
that any form of relaxation exercise, guided meditation, or guided
imagery can not only help clients relax, but may trigger unwanted or
unintended reactions such as increased anxiety or, with clients who have
a history of trauma, a dissociative reaction. It is very important that you
have tried the exercise before you introduce it to your clients and have
an understanding of how to manage unintended or unpleasant experi
ences that can arise. What follows is a script for a deep breathing relaxation
exercise for a client who has stress-related symptoms, like Cherry’s headaches.
Please modify this script as noted. Read this out loud to your client during a ses
sion, using a soft, calm, slow voice. You can also give a written copy of the exer
cise to the client to practice at home or record it so your client can listen between
sessions.
1. This will take about 10 minutes. Sit in a comfortable position with both feet
on the floor or lie down. If your feet are on the floor, take a moment or two to
notice that the bottoms of your feet are making contact with the floor, which
is part of a structure that is sitting on the earth and that you are making
contact with the earth. If you lie down, take a moment or two to feel your
entire body being supported by the bed or couch or floor and make note of
the fact that the structure you are in is sitting on the earth and you are
being supported by the earth. [This helps the client feel grounded if any
uncomfortable feelings arise.]
2. Close your eyes if you wish to; it is not necessary to close them. This will
work just as well with your eyes open. If you keep your eyes open, soften
your gaze. Allow all the tiny muscles in your face to relax.
3. Notice your breathing. Is it shallow? Is it quick? Focus your attention on tak

ing slow, deep breaths. Notice as you inhale that your stomach rises and as
you exhale your stomach falls and you become more relaxed. Focus on the
sensation of your stomach rising and falling. Inhale slowly and deeply and
let your stomach rise with the breath. Exhale slowly and let your stomach
fall and notice how you become more deeply relaxed. If you lose your focus or
your mind wanders, gently return your attention to your breathing. Notice
that you breathe in and breathe out. Just do this quietly for a little while,
softly noticing that your stomach rises as you inhale and falls as you exhale.
Relax into each exhale. Feel yourself getting more and more relaxed.
Breathing in. (Count to five silently.) Breathing out. (Count to five silently.)
You may hear things from outside or happening around you. Make note of
them, then gently return your focus of attention back to your breath. Focus
your attention on the physical sensation of relaxation in your body.
Breathing in. (Count to five silently.) Breathing out. (Count to five silently.)
4. Notice whether there is any tension in your legs. As you exhale, notice that
the tension melts away. Breathing in. (Count to five silently.) Breathing out.
(Count to five silently.) Melting away the tension in your legs. Breathing in.
(Count to five silently.) Breathing out. (Count to five silently.)
5. Repeat Step 4 for the following body parts: hips, back, arms, chest and shoul
ders, neck, jaw, cheeks, and forehead.
6. Now take a slightly deeper breath. Begin to get ready to open your eyes and
become aware of what is going on around you. You don’t have to do it right
now; simply get ready to do it.
7. Notice how calm and relaxed you feel. Notice if there is an area of your body
that feels particularly relaxed or if there is simply a general sense of relax
ation. I invite you to bring this felt sense of relaxation with you as you
become more aware of what is going on around you. Okay, begin to become
more aware, still feeling calm and relaxed. Okay, your eyes are open and you
are aware of what is going on around you and you are calm and relaxed.
After conducting this exercise with the client, make sure you spend several min
utes debriefing the client. Pay particular attention to what was helpful in
enhancing the client’s sense of relaxation and if there were moments when the
client felt uncomfortable or the anxiety or tension increased. Let the client know

that this is very common and that it simply means that the exercise needs to be
adjusted. Work collaboratively with the client to make those modifications.
Clients often feel that they haven’t done the exercise correctly if they feel uncom
fortable or have a hard time concentrating. Let your client know that there is no
right or wrong way to do the exercise and that with practice they will find what
works for them.
For additional information on relaxation techniques, consult Stress Relief and

Relaxation Techniques, by J. Lazarus (2000) or The Stress Management
Handbook, by L. A. Leyden-Rubenstein (1999).
Another technique that may be helpful for stress management and relaxation is
guided imagery. While progressive relaxation and imagery have many similari
ties, they differ in that relaxation focuses more on releasing tension in the body
while guided imagery focuses more on visualizing pleasant scenes that invite
relaxation and calmness. Guided imagery can be useful in achieving other ends,
such as building positive affirming thoughts, increasing awareness of underlying
thoughts or feelings, and enhancing motivation, but in Cherry’s case, the pri
mary goal is to reduce the feeling of being stressed and overwhelmed.
How To Conduct Guided Imagery Relaxation Technique
Ask the client to tell you about anything he or she has done before to relax. Use
the client’s knowledge and prior experience with what works and doesn’t work to
tailor the exercise to his or her particular needs. Ask the client if he or she is
familiar with guided imagery and if he or she would be willing to try the exercise
with you in the session. If the client says yes, then take a few minutes before
you begin to explain the exercise and let the client know that he or she can
stop at anytime if they feel uncomfortable for any reason. It is not uncom
mon for clients to become tearful during this type of exercise, and this is not nec
essarily a problem. Please note, however, that any form of relaxation exer
cise, guided meditation, or guided imagery can not only help clients
relax but may trigger unwanted or unintended reactions such as
increased anxiety or other powerful emotions. For clients with a history
of psychological trauma, clients who have a psychological trauma diag
nosis, or clients who have been diagnosed with a dissociative disorder or
other psychiatric illness, special cautions should be taken. Any unusual
reactions should be discussed with the client and reported to your clini
cal supervisor. It is very important to have tried the exercise before you
introduce it. What follows is a script for a guided imagery relaxation exercise
for a client who has stress-related symptoms, like Cherry’s headaches. Please
modify this script as necessary. Read this out loud to your client during a ses
sion, using a soft, calm, slow voice. You can also give a written copy of the exer
cise to the client to practice at home or record it so your client can listen between
sessions. You might want to discuss in detail how the client might use such
relaxation techniques independently.
1. This will take about 10 minutes. Sit in a comfortable position with both feet
on the floor or lie down. If your feet are on the floor, take a moment or two to
notice that the bottoms of your feet are making contact with the floor, which
is part of a structure that is sitting on the earth and that you are making
contact with the earth. If you lie down, take a moment or two to feel your
entire body being supported by the bed or couch or floor and make note of
the fact that the structure you are in is sitting on the earth and you are
being supported by the earth. (This helps the client feel grounded if any
uncomfortable feelings arise.)
2. Close your eyes if you wish to; it’s not necessary to close them. This will
work just as well with your eyes open. If you keep your eyes open soften your
gaze. Allow all the tiny muscles in your face to relax.
3. Imagine a place you like to be . . . a place where you feel peaceful, calm,
relaxed, or quiet. It doesn’t have to be a real place; it could be a place that
you create for yourself right now. Some people imagine sitting on a beach,
listening to the ocean, smelling the salt air, hearing the seagulls. Others
imagine being in a mossy green forest with tall trees and birds singing and
the smell of wildflowers. Still others imagine sitting on top of a mountain
looking out over a valley that goes on forever and noticing the blue of the
mountains in the distance and the solitude and peacefulness of the mountain
top and the feel of a cool breeze and the smell of the fresh mountain air.
Trust whatever image arises in your awareness.
4. Now, imagine yourself in this place. Look around. Notice whatever sights,
sounds, smells, or sensations arise in your awareness. Choose a comfortable
spot on the earth to sit or lie down. Perhaps it is a soft bed of moss or a hol
low in a white sand beach that molds to your shape. Allow your body to
relax. Notice how the earth feels beneath you. Allow your body to relax as
the earth supports your body. No need to hold yourself up. Look around you
at the colors and shapes in your vision. Notice how you feel as you look at
each one. Inhale and notice the smells. Listen to the sounds around you. Let
yourself relax into the peaceful solitude of this quiet place. (Give the client
some time to enjoy this space.)
5. Feel how peaceful and calm you are. Notice something about where you are
that you will bring back with you to help you become calm. It may be the feel
of the sun on your face, or the smell of the salt air, or the colors of your sur
roundings, or the way it sounds where you are, or a small object, such as a
shell or round stone or a flower petal. Notice whatever that is and bring it
back with you. Take a deep breath and release the breath on the exhale.
6. Slowly open your eyes and stretch. Remember what you brought back with
you from your quiet place. Bring this image to mind and you can return to
your peaceful, calm, quiet space whenever you want to relax.
After conducting this exercise with the client, make sure you spend several min
utes debriefing the client. Pay particular attention to what was helpful in
enhancing the client’s sense of relaxation and if there were moments when the
client felt uncomfortable or the anxiety or tension increased. Let the client know
that this is very common and that it simply means that the exercise needs to be
adjusted. Work collaboratively with the client to make those modifications. Also,
clients often feel that they haven’t done the exercise correctly if they feel uncom
fortable or have a hard time concentrating. Let your clients know that there is

no right or wrong way to do the exercise and with practice they will find what
works for them. Pay particular attention to whatever your clients bring back
with them from their quiet place. Spend time exploring this sensation, image, or
feeling. This image can be a touchstone or anchor that clients can remember
whenever they need to relax.
Summary
The work between Cherry and her counselor has been largely behaviorally focused. The treatment goals have
been to help a woman with depressive symptoms be able to mobilize to take care of some basic needs: caring for
her children, obtaining medical care, staying in treatment, and beginning to engage with other adults. The
counselor has been able to introduce a specific behavioral strategy (relaxation) and positively affirmed her
efforts to take some time for herself for self-support. The behaviorally oriented treatment with Cherry is not the
end in itself, just the first step in a process of change that will include abstinence from alcohol and benzodi
azepines; reduction of depression symptoms; and an increase in self-confidence, competence, and self-esteem.
Vignette 2—Cognitive Interventions

Introduction
Managing negative or faulty thinking is a method commonly used in substance abuse treatment when a client’s
pattern of negative thinking activates patterns of self-defeating behaviors. The underlying theory of cognitive
therapies is that a person changes his or her feelings and behavior by changing how they think about them
selves and their experiences. The rationale for this approach is that changing negative or faulty thoughts about
triggering events and substituting more positive and healthy responses reduce the risk of unhealthy behaviors
and increase the opportunity for more productive behavior choices.
Cognitive therapy techniques are based on the premise that how you interpret your experiences in life deter
mines the way you feel and behave. The patterns of thought typical of people who are experiencing depressive
symptoms include negative thoughts about self (e.g., worthlessness), negative thoughts about the world (e.g.,
negative interpretation of experiences), and negative thoughts about the future (e.g., expectation of failure).
This negative thinking is often inaccurate and contributes to increased feelings of depression and less function
al behaviors. Replacing inaccurate, negative self-talk with accurate and more positive assessments of the situa
tion results in decreased distress in response to the situation and leads to improved mood and behavioral choic
es. In addition, many clients with substance use disorders have not learned to cope well with powerful feelings,
such as shame, guilt, loneliness, or anger. It may prove helpful to focus on feelings in treatment as well as
thinking about behavior and events.
A cognitive treatment approach focuses on current problems and experiences and is designed to help clients
identify and correct distorted thought patterns that can lead to feelings and behaviors that are troublesome. It
is particularly helpful for clients who experience helplessness and hopelessness. (See Figure 2.5 for how to
determine whether a cognitive treatment approach is appropriate for a client.)
Case History
John is a junior in college. He is a voluntary admission at a residential college-based treatment program. John
reports that he was doing all right until his girlfriend broke up with him at the beginning of the semester. At
about the same time he started having difficulty in physics and statistics, two classes he had been “dreading.”
Figure 2.5
Decision Tree
How to Determine Whether a Cognitive Treatment Approach Is Appropriate
1. Is the issue to be 3. When you

addressed an uncomfortable conceptualize the issue in NO Determine another
Try another approach approach that is
recent or future event that the NO language about the impact
that is more consistent appropriate.
client can describe in terms of of thoughts on feelings and
with the issue the client
the meaning of the event and behavior, does the client
wants to work on.
the thoughts and feelings that confirm this conceptualization?
are evoked by it?
YES
YES
4. Is the client able to
2. Is the client’s behavior trust the judgment of the NO Try a feelings-based
detrimental to his or her progress Choose another approach
therapist and group members in approach.
toward therapeutic goals and NO that is more consistent
the creation of reasonable
motivated by how the client inter with the work required
responses about the event?
prets this event and the feelings to assist the client in
and thoughts about it? achieving his or her YES
therapeutic goals.
YES Consider using a
cognitive approach.
He reports that as his stress increased, he started spending more time by himself instead of socializing with his
friends. John said that before the breakup he drank alcohol and smoked pot with his friends on the weekends,
but it did not affect his ability to attend classes or perform in his part-time job. After the breakup, his drinking
and pot use increased to the extent that he uses both alcohol and marijuana daily. When he failed his midterms
in the physics and statistics courses, out of fear that he might flunk out of school, he went to the college coun
seling office. The counselor did a comprehensive assessment of John’s alcohol use and depression and recom
mended that he enter a residential treatment program operated by the college. The program allows John to
continue classes while participating in an intensive substance abuse treatment program. In her note to the
treatment program, the counselor noted that she thought it would be difficult for John to address both problems
on an outpatient basis because of his inability to abstain from alcohol and drug use.
Depressive History and Current Status

John has been in residential treatment for substance dependence for 7 days and has been frustrating other peo
ple in his group with his negativity, poor social skills, and lack of connection with other group members. The
group counselor noticed that John was irritable, complained of being depressed, and felt hopeless. John report
ed in group that he was having thoughts that he was not measuring up to others; was not able to make it in
school, with others, or with sobriety; and was different from others. The group leader recommended that in
addition to group, John be placed in individual therapy. There is no prior diagnosis of clinical depression or any
history of treatment for depression or prior depressive symptoms in John’s records.

John has been drinking since his junior year in high school where he once received a 3-day suspension from
school for being intoxicated at a school function. He was primarily a weekend user, but at times he would
smoke pot on lunch break with friends. Since entering college 3 years ago, he drinks to the point of having
blackouts on occasion—more frequently as of late. Since the breakup with his girlfriend, John’s drinking and
pot use is daily, and he often drinks to the point of passing out. John reports “trying to get it under control” but
of late he has not been able to stop when he knows he should. John quit his part-time job because it was creat
ing a conflict with his drinking. John’s grades have been suffering as his pot and alcohol use have increased.

SESSION 1
1. Build a therapeutic relationship by developing an understanding of John’s problems from his perspective.
This includes his motivation for treatment and his perception of and experience with his situation.
2. Ask John about his goals for the session.
3. Identify specific changes he would like to achieve to support abstinence from marijuana and alcohol use and
reduce depressive symptoms.
4. Identify internal strengths and resources John might use to achieve his goals.
5. Explore specific thoughts and beliefs that might help or hinder John in achieving his goals.
[After some initial time in rapport building, the vignette picks up with the counselor exploring John’s depressive
symptoms and their relation to his drug and alcohol use.]
Master Clinician Note: People who experience depressive symptoms do not

always present as sad. Some present as more anxious, others irritable, still oth
ers with somatic complaints. Most show a mixture of the above. Untreated
depressive symptoms can contribute to a relapse.
COUNSELOR: Your group counselor mentioned that, on the list you made in group about how you think about
yourself, you noted that you are not measuring up to others and not able to make it in school, people don’t want
to be friends with you, and that you can’t do anything right. I think those kinds of issues would feed into both
your drinking and smoking pot and your feeling depressed.
JOHN: Yeah, I think about those things all the time now. I’m pretty down. The only thing that makes me feel
better is drinking and smoking pot. And my parents are going to kill me!
COUNSELOR: So, it sounds like two issues there. First, feeling really down and using alcohol and pot to deal
with it, and second that your parents are going to be really angry at you.
JOHN: I’m here. I guess it beats flunking out of school. I can see that maybe I was drinking and smoking pot
more than I should, but I don’t know that I need to be in this kind of program. I have enough problems without
having to deal with this.
COUNSELOR: So this is aggravating for you—having to be in a program for your alcohol and pot use.
JOHN: I would like to think I could quit on my own.
COUNSELOR: So the first two things that come to mind are that you don’t know how to manage things with
your parents and when you think about spending time here dealing with all of these things, you start to worry
about catching up with your work at school.
JOHN: I don’t think I can do any of it.
COUNSELOR: John, let’s take things one step at a time. You’ve mentioned feeling down and how that is a load
for you. You also say your parents are going to be angry at you, and that you are really frustrated with being in
the program. Where would you like to start?
Master Clinician Note: In formulating a change approach, the counselor
assesses that John’s ways of thinking are a significant barrier to his ability to
change and therefore decides to approach John from a cognitive, “change think
ing” perspective. As a precursor to beginning to intervene, the counselor does
several things:
1. She learns more about John’s depressive symptoms, examining what being
“down” means to John, how severe the symptoms are (in terms of limiting
John’s life and fostering his drug and alcohol use) and how long he has felt
this way.
2. She explores John’s hopeless and helpless thinking, common features of

depression, which, if unaddressed, can become significant barriers to change.
3. The counselor recognizes that John needs to appreciate how much he

increased his alcohol and drug use as a primary coping mechanism to handle
the loss of his relationship with his girlfriend. John also needs to review the
relationship and what role his alcohol and drug use played in ending it.
4. The counselor purposefully takes a collaborative, empathic, and supportive

stance with John, as opposed to a more authoritarian, directive stance. This
tends to diffuse some of John’s anger about his predicament and the people
who are trying to help him. An example of how the counselor achieves this is
in giving John choices rather than suggestions.
5. She does some education with John about the process of changing behavior
by changing his thinking. The counselor has prepared an informational sheet
entitled “Changing Who We Are by Changing How We Think” and offers
John a copy to read.
6. Eventually the counselor would like John to clarify the relative values of
alcohol and drugs, school success, and relationship satisfaction in his life
and make some hard choices as to what will satisfy his core needs in the
long run.
JOHN: My parents.
COUNSELOR: Tell me more about your concerns about talking to your parents about this.
JOHN: They always wanted me to go to school and become a doctor. This ruins everything. They are going to be
furious with me and not speak to me anymore.
COUNSELOR: That sounds like you think that situation is hopeless and that your parents won’t be able to
understand what you want from school. Have they ever expressed concern about your use?
JOHN: They’ll be really upset. Back in high school when I got suspended, they said they didn’t want me to end
up a drunk like my grandfather. They took away my car keys for months.
COUNSELOR: I’d like to talk with you about your expectations about how this situation will go with your par
ents. Is that okay with you? And your grandfather was an alcoholic?

JOHN: Yeah, it’d be okay to talk about that. My mother’s father was the one who drank.
Master Clinician Note: Notice how the counselor is working with the depres
sion and the substance abuse issues at the same time, gathering information as
she goes along. This is one of the things that are special about counseling clients
with depressive symptoms: that you must deal with both issues simultaneously.
COUNSELOR: Tell me how they have responded to other situations like this.
JOHN: Well, there were a couple of times in high school when I got in trouble. They didn’t handle it well. They
were mad and disappointed in me.
COUNSELOR: If you think that this situation is as bad, how do you think they’ll react this time?
JOHN: They always wanted me to go to college, to be a doctor. They’ll be upset, disappointed, angry.
COUNSELOR: And yet when you got drunk and in trouble in high school, it sounds like they got over it.
JOHN: Yeah, I guess they got over it. Time passed. They moved on.
COUNSELOR: Did you get over it?
JOHN: Yeah.
COUNSELOR: So they may be disappointed and angry at first, but it sounds like they will eventually move on.
Telling them what happened may be unpleasant. They’ll be angry and disappointed, but your earlier experience
suggests that they will move on.
JOHN: Yeah, it will be unpleasant, but I guess it might not be as bad as I thought.
COUNSELOR: So what do you think about telling them?
JOHN: [Pauses and reflects on this.] Well, I’m thinking I probably should call them.
Master Clinician Note: It might be tempting to try to persuade John to call his
parents and “face the music,” but the counselor chooses not to do this because it
would increase John’s resistance in the session. The counselor knows that if
John doesn’t call his parents, the opportunity to talk about it again will come up
in a later session.
The counselor is also sensitive to the cultural meanings of family and an individ
ual’s family roles. If John is from a racial or ethnic minority, it would be impor
tant for the counselor to explore specific cultural implications in John’s bringing
shame on his family by not measuring up to their expectations for college, of the
relationship of his family role(s) to his substance abuse and depressive symp
toms, and the implication of specific treatment methods (individual, group, or
family counseling, for instance) to his specific culture.
[John and the counselor continue to work on how he will approach his parents, what he will say, and how he
might respond to his parents’ reactions.]
COUNSELOR: Sounds like you are ready to move on to the second problem. What’s your understanding of why
you were referred to this program?
JOHN: Haven’t thought about that. I imagine I have to participate in whatever programs are part of this so
that it looks meaningful to someone at school. I have to appear to be in recovery or interested in it or on the
road. Meaning that I’m not going to drink or use pot anymore.
COUNSELOR: So somehow the people who wanted you to be here have to be reasonably sure you’re not going
to end up in the same situation that got you here.
JOHN: Yeah.
COUNSELOR: So tell me some more about the situation that led you to be here.
JOHN: You want me to tell you what I was doing before? After I started school I started drinking some, smok
ing, trying some other stuff now and then. But it didn’t interfere with school. But somehow something different
happened this year—something changed. I lost my girlfriend at the beginning of the year. Then I had to take a
couple of really hard classes that I’d been putting off, and I wasn’t doing well in those. I was having trouble
concentrating, and I wasn’t sleeping very well. I was lonely and missing my girlfriend. I didn’t want to spend
time with my friends, and they didn’t want much to do with me either. So I guess I started drinking and smok
ing more than I had been. It got harder and harder, and I kept thinking that “this is futile, I should just quit.
I’ll never make it.” I was cutting classes. It just seemed like stuff was getting worse and worse. And I live in the
dorm, and the RA [resident assistant] caught me a few times when I was drunk; then he caught me one time
smoking pot in the bathroom. So I’m here.
COUNSELOR: So you were having trouble concentrating, sleeping, missing your girlfriend, you stopped spend
ing time with your friends, started using more, drinking more, and feeling like everything was hopeless.
JOHN: Yeah, like a self-fulfilling prophecy.
COUNSELOR: So it would be helpful for us to find ways for you to feel more hopeful, be able to concentrate on
your work, spend more time with your friends, and stop using. Is that right?
JOHN: Yes. I don’t understand why she left; that really hurt me.
COUNSELOR: That’s also a question for you—what happened there? I’m curious. Did losing your girlfriend
have anything to do with your use?
JOHN: I don’t know. She drank too, and we would drink together, but she wouldn’t smoke or do drugs with me.
Her brother got in a car accident when he was high on drugs. She just told me she wanted to see other people.
But no one is going to want to go out with me anyway.
COUNSELOR: And that’s the hopelessness I heard you talking about here and in group: the sense that you
won’t be able to do it, there’s nothing that will work for you.
JOHN: That’s it. I have to and I can’t.
COUNSELOR: So there’s both—nothing is going to work for you, and you’re not able to make it work.
JOHN: Right.
Master Clinician Note: When John came into the session, he did not trust the
counselor to be helpful. When she focused on listening to John and understand
ing what was important from John’s perspective, he started to feel less anxious
and began to trust her. He is still skeptical about whether this will be helpful to
him, but he is willing to see where this goes. John’s anxiety and ambivalence
about the therapeutic relationship is a natural part of the process. This is a good
time for the counselor to educate him about depression and its symptoms, simi-

lar to the way substance abuse counselors educate clients about substance use
disorders and treatment.
The counselor is also interested in John’s “attribution style,” which seems to per
petuate his feelings of helplessness. “Attribution style” refers to how people qual
ify or ascribe meaning of events in terms of their mindset. Depressed people tend
to attribute the fact that bad things happen to them to some personal flaw or
deficiency. They tend to look for negative experiences in their world and expect
negative things to happen in the future. This outlook justifies basic depressive
feelings of hopelessness, helplessness, and being trapped. The counselor would
like John to begin to challenge the thinking, beliefs, and perceptions that are fil
tered through this negativity.
COUNSELOR: I wonder if I can tell you a little bit about the relationship between thoughts and feelings of
hopelessness, trouble concentrating, sleeping, and difficulties with relationships and your alcohol and drug use.
JOHN: Okay.
COUNSELOR: I’ve noticed that you seem to think that all of this trouble is because you “can’t do anything
right.”
JOHN: Yes, it’s my fault. I screwed things up. I don’t know what I did, but it’s my fault with my girlfriend. I’ve
screwed up my classes.
COUNSELOR: So that sounds pretty familiar to you. Another thing I heard you say is that “no one is going to
want to go out” with you.
JOHN: Yeah.
COUNSELOR: And the third thing is that it doesn’t seem to matter what the situation is; this is always going
to be a problem. Does that sound familiar?
JOHN: It does happen; it keeps happening. Are you saying some of this negative thinking is tied to my drug
use?
COUNSELOR: Maybe. These ways of thinking can cause unpleasant feelings like helplessness, sadness, and
anger, and lead to having trouble sleeping, drinking, smoking pot, and trouble in relationships, and make
drinking and smoking pot more attractive. If we look at what you are thinking and see if there are some
changes you can make in your perception, then we can change how you feel and your choices about what you do
about it. Does this make sense to you?
JOHN: I guess so.
COUNSELOR: Are you willing to try it out?
JOHN: Yeah, okay.
Master Clinician Note: The counselor seeks to obtain commitment from John
to proceed with this approach. She doesn’t just assume that he is ready or will
ing to proceed. People with depression will often not have the energy to take on
tasks that require them to change. It is useful to first elicit their agreement to
take on the task, then proceed with small steps that have a high potential for
success and don’t feel overwhelming.
How to Assess for Negative Self-Talk and Offer Alternative Responses
The goal of this technique is to increase clients’ objectivity about their thoughts;
to demonstrate the connection between negative self-talk, unpleasant emotions,
and unproductive behavior; and to differentiate between unrealistic and realistic
meanings of events. When using this technique, the focus is on a specific
thought, even though others will arise. One variation on this is to have the client
identify situations such as homework and use that in the following session. The
steps are:
1. Identify the situations that make the client feel uncomfortable.
2. For each uncomfortable situation, make a list of the uncomfortable feelings

the client experienced after the situation.
3. Ask the client to identify the first thought that comes to mind when he
thinks of the uncomfortable situation and has the negative feelings. Proceed
to identify other thoughts (cognitions) that often arise with this situation
and feelings. It is not uncommon that a theme can be elicited from the
thoughts.
4. Identify how the thought(s) or theme limits the client’s options in life.
5. Help the client identify different ways of thinking about the situation and
feelings that can lead to better options.
6. Once the list of reasonable responses is completed, summarize it, go back

through the list of feelings generated for that situation in Step 2, and discuss
the decrease in intensity of each feeling for the new list of reasonable
responses compared with the feelings related to the old, negative thoughts.
7. Plan for continuing practice of this new skill.
COUNSELOR: What I’d like to do now is have you try out some real-world examples of how you think about
things and how you feel about those things. I’d like you to start paying attention to these thoughts when you’re
not here so when you come back we can talk about them.
JOHN: Okay. I can pay attention to how I’m thinking when different things happen.
COUNSELOR: Yes, write down one or two things that came up throughout the day that affected you.
JOHN: Yeah, I can do that.
COUNSELOR: Terrific! I’ll see you on Friday, and we can talk about how to identify negative self-talk and
change it.
JOHN: Okay.
Session summary: The counselor takes a few minutes at the end of the session to evaluate her work with
John and to make a note in John’s chart about goals addressed. She is pleased with the efforts they have made
to establish a working relationship and with John’s willingness to pursue examining the relationship between
his thoughts and his behavior.

SESSION 2
1. Check John’s homework, particularly recording his thoughts about everyday experiences and the connection
between his thoughts and his feelings.
2. Affirm John’s effort specific to his progress and/or homework, thereby building his self-efficacy.
3. Ask John about his goals for the session and collaborate to make the goals a part of the counseling session.
4. Continue to help John find the connections between his thoughts and his behavior.
[John does the homework. He finds that in some areas he actually does feel that he does okay. He finds that he
enjoys this assignment because it’s a way to vent. However, he writes down his thoughts but does not relate them
to how he feels. He continues to be angry about being in treatment. At the beginning of the session, John
describes various situations that have occurred during the week and his related thoughts.]
COUNSELOR: So, in the first situation, you went into the room and everyone was watching a show you weren’t
interested in and they were talking to each other but not to you. So your thought was that nobody wanted to
talk to you.
Master Clinician Note: The counselor identifies the unpleasant situation and
the meaning of this event for John.
JOHN: Those brain-dead people weren’t interested in talking to me. And I’m not interested in talking to them
either.
COUNSELOR: You sound kind of angry about that.
Master Clinician Note: The counselor identifies the unpleasant feelings con
nected to the event.
JOHN: I was #*%!.
COUNSELOR: Tell me more about being angry.
JOHN: I felt alone.
Master Clinician Note: The counselor identifies the negative self-talk that
happened between the event and the feelings.
COUNSELOR: [Makes a list.] So it started out with “these people don’t want to talk to me” and you felt angry
and lonely and, it sounds like, kind of sad. And the thought that followed that was “And I don’t want to talk to
them either.”
JOHN: Yeah.
COUNSELOR: What other negative thoughts did you have about the situation?
JOHN: They didn’t talk to me because they don’t like me.
COUNSELOR: So you are thinking that they’re not talking to you because they don’t like you. What else?
JOHN: That it is my fault because maybe I don’t like them either. [Pauses.] And maybe they don’t think I’m
worth talking to.
COUNSELOR: You think maybe you’re sending out signals that you don’t want to talk to them.
JOHN: Maybe. I guess I’m not very nice to them.
COUNSELOR: So you interact with people in a way that holds them at a distance, keeps them apart from you.
JOHN: Yes, maybe.
COUNSELOR: [Reads from the list.] Okay, so the negative thoughts that you’ve identified about this situation
are “they don’t want to talk to me,” “they think I am not worth their time.” And then there is the thought that
“they don’t like me” and “I am not very nice to them.” Is there anything else?
JOHN: That’s all I can think of.
Master Clinician Note: The counselor is helping the client think of alternative
responses.
COUNSELOR: Okay, this was a really good example. Before you entered the program, what behavior would
have followed those thoughts and feelings? What would you have done?
JOHN: I’d go to my room and smoke a joint. [Laughs.]
COUNSELOR: [Smiles.] I’ll bet you there have been a few times in here that you wish you could have gone to
your room and smoked a joint.
JOHN: Yeah, especially after group.
COUNSELOR: I’m glad you brought this up because now we can talk about other ways to respond to the situa
tion. Let’s start with your first thought, “they don’t want to talk to me.” What are some other possible responses
to the situation?
JOHN: They’re watching TV?
COUNSELOR: [Makes another list.] Good! Maybe they’re doing something else. They’re watching TV. What
other reasonable responses are there?
JOHN: Maybe if I talked to them first they would talk to me?
COUNSELOR: Yes, maybe if you made the first move, they would talk to you; that would give them permission
to talk to you.
JOHN: [Pauses to think about this.] So you’re saying they aren’t talking to me because they think I don’t want
them to.
COUNSELOR: Is that a possibility? Often people with substance abuse problems send out “stay away from me”
messages. You must be seeing others in here doing that.
JOHN: I guess so.

COUNSELOR: [Refers to the list.] So far, in response to the negative thought “they don’t want to talk to me” we
have the following reasonable responses: “they’re watching TV,” “if I talked to them first they might talk to
me,” and “they might not be talking to me because they think I don’t want them to.” Can you think of any other
possible alternatives for this negative thought?
JOHN: No, I think that’s it.
COUNSELOR: Okay, let me ask you this: when you had the thought “they don’t want to talk to me” you felt
worthless, angry, lonely, and sad. Thinking about the first reasonable response—“they are watching TV”—how
do you feel?
JOHN: I think my feelings would still be hurt.
COUNSELOR: So your feelings would still be hurt. Do you feel worthless?
JOHN: No, kind of lonely.
COUNSELOR: Okay, so hurt and lonely, that sounds less distressing than angry, worthless, lonely, and sad,
doesn’t it?
JOHN: Yes.
COUNSELOR: Let’s look at the next reasonable response, “if I talked to them first they might talk to me.” How
do you feel about that?
JOHN: I don’t know if it’s true, if they really would talk to me, but I feel like it’s possible.
COUNSELOR: How does it compare to feeling worthless, angry, lonely, and sad when you think “they don’t
want to talk to me”?
JOHN: It’s better; it’s like maybe if I did something different—but I don’t know that it would really work.
COUNSELOR: Well, if you want to test it out, you can. If you’d like to talk about it more next time, then we
can do that. Do you think you understand how this works?
JOHN: Let me see. When I think something about myself that’s really negative, I should think about whether
that makes sense. Maybe I can do that sometimes but not all the time. Sometimes I feel so bad I don’t think I
can do that, but when I’m feeling a little better I can.
COUNSELOR: If you want to we can talk about other things you can try when you feel so bad you have trouble
doing this. I’ll see you on Monday, but in the meantime how do you feel about working on coming up with alter
native thoughts when situations come up?
JOHN: Not all the time. But, a couple of times? I can do that.
[The counselor wraps up the session.]
Summary
The work between John and his counselor in these two sessions has focused on managing negative thoughts
and the relationship of the negative thoughts to his alcohol and drug use and his depressive symptoms. The
counselor is aware that she was negligent in getting John’s agreement on the goals for the work in session 2
before initiating the work.
The treatment goals have been to reduce the client’s experience of negative thoughts about himself, his environ
ment, and his future, thereby decreasing his experience of hopelessness and helplessness. Changing his
thoughts and feelings about negative events increases his options for healthier responses to future events. This
process needs to be repeated numerous times to help John learn to use these skills independently. This
thought-oriented treatment with John is not the ultimate goal in his treatment; it is the initial step in a process
of change that will include abstinence from alcohol and marijuana, reduction of symptoms of depression,
improved ability to communicate with others, and an increase in self-confidence, competence, and self-esteem.
Vignette 3—Interventions With Core Beliefs

Introduction
Core beliefs are the filters a person uses to make sense of different experiences. People with depressive symp
toms often have core beliefs that lead to negative perceptions of their environment and negative thoughts about
themselves, their potency, and their future. These core beliefs may cause people to interpret experiences in neg
ative and all-or-nothing ways and to view consequences as irreversible. Changing these core beliefs allows peo
ple to realistically assess their situations, decrease their distress and sadness, and improve their ability to
respond to a situation with healthier behaviors.
Clients with depressive symptoms often have multiple core beliefs that affect these symptoms and their recov
ery from substance use. In this vignette, the client has many core beliefs, one of which is that if she stops driv
ing her truck, her means for taking care of herself will be very limited. The counselor’s challenge is to under
stand this and other core beliefs the client has and address them in a systematic and sensitive manner. (See
Figure 2.6 for how to determine whether a belief approach is appropriate for a client; see also the How-To for
how to assess for beliefs.)
Figure 2.6
Decision Tree
How to Determine Whether a Belief Approach Is Appropriate
1. Are the client’s 3. Is the client Determine what is inter

interpretations of negative Try another approach able to step back from his fering with the client’s
events distorted so that the NO or her assessment of the NO ability to consider these
meaning he or she assigns to with the issue the client event to consider possible alternatives, and deter
the event is extreme, negative, wants to work on. benefits of the event or mine whether another
categorical, absolute, different consequences? approach would be
and judgmental? more appropriate.
YES
YES
Consider using a belief
2. Is the client willing
approach.
to try thinking about
NO
other ways to interpret Try another approach.
the situation?
YES

How To Assess for Beliefs
1. Listen carefully to grasp the underlying meaning of what the client

is saying.
2. Elicit beliefs with such questions as “what makes you believe that?” or “how
did you come by that belief?”
3. When the client offers a description of an experience that sounds like an

entrenched belief, paraphrase the statement, and ask the client to confirm if
that statement is true. If the client replies in the negative, ask him or her to
describe what is true for him or her.
4. Explore the belief. (How long have you had the belief? How would your life
be different if you did not believe this? How has holding this belief helped
you in your life?)
5. Who else believes this? Is this a family belief? Does the client see this as a
belief that all people (or all people in a certain group) hold?
To find out about challenging beliefs, see How to Challenge Beliefs on page 70.
It is important to remember that a significant component of entrenched beliefs comes from cultural experience.
Specific racial and ethnic groups hold beliefs that are rooted in their cultural experience and are completely
valid in that context, although they may appear “dysfunctional” if one doesn’t understand the cultural context.
A culturally competent counselor will recognize that questioning or challenging a belief has to be done in the
context of understanding cultural underpinnings and must be undertaken in a respectful, sensitive, accepting,
and open manner.
Case Study
Sally, 53, is an independent truck driver (“wildcatter”) from Marceline, Missouri, who owns her own rig. She’s
been driving a truck for 30 years. She started off riding with her husband, but after he died in an accident, she
continued on her own. She’s addicted to Benzedrine, also called “West Coast turnarounds” or “bennies,” which
she’s been using during long hauls. She’s been using the turnarounds for about 25 years and is finding that she
needs to take a lot more as she gets older. She knows she has been taking more than is good for her.
She’s starting to question whether she should continue as a truck driver—her back hurts and she’s been having
stomach pains. She has some money set aside, but retirement at this age would severely strain her financially.
She is lonely. She has had sex partners and friends but nobody with whom she is truly intimate. Sally experi
enced intense stomach pain when she was passing through Biloxi, Mississippi. She went to the emergency
room, and the staff there found out about the turnarounds and told her that she was going to kill herself taking
that many bennies. They recommended that she enter a substance abuse treatment program, so she parked her
rig in a lot and entered an inpatient treatment program. On intake at the treatment program, Sally acknowl
edged that she knew she was drug dependent and the doctor’s recommendation that she seek help was what
she needed to let herself enter rehab.
Sally told the intake worker that she is tired and “blue.” The intake worker noted this and other depressive
symptoms. Sally reported that she had lost weight, took a long time getting to sleep, and woke up in the middle
of the night and could not go back to sleep. She said on many days, she felt life was just a struggle, and that
she had periods of feeling hopeless and helpless, and often was irritable. Because of the depressive symptoms
noted, her history of stimulant drug abuse, and her history of psychological trauma related to the death of her
husband, the intake worker referred Sally to the consultant psychiatrist for assessment and possible medica
tion. The psychiatrist’s report suggested that Sally did not meet the diagnostic criteria for dsythymia or a major
depressive disorder. He did note that she had experienced a substance-induced mood disorder about a year ago
and should be observed for another onset of this illness. He also noted that she had significant unresolved grief
and deep-seated beliefs about hopelessness, and could potentially benefit from counseling focused on her
depressive symptoms. Sally has been participating in a twice-weekly depression group that focuses on psychoe
ducation and building coping skills. She has attended 3 sessions since entering the program.

Sally drank a little in high school, but because her mother was a heavy drinker and she associated drinking
with her mother, she stopped after she got drunk and made a fool of herself one night. She has drunk very little
since that day. She started taking Benzedrine, also called “bennies,” after her husband Larry died in an acci
dent and she had to support herself as a trucker. Sally has built up quite a tolerance and has been taking
amounts that are now causing physical problems. Sally has known that she was dependent on the pills ever
since she tried to quit a year ago. She went into a deep depression, during which she holed up in a hotel room
for 3 days thinking about killing herself. She started using the Benzedrine again and was able to carry on with
her life. As of late, Sally has been using over-the-counter sleep medication to help her sleep.
SESSION 1
1. Build a therapeutic relationship by developing an understanding of the client’s problems from the client’s
perspective.
2. Ask the client about her goals for the session and elicit her commitment to addressing the goals she
identifies.
3. Explore specific beliefs to change to address the client’s goals, support abstinence from Benzedrine use, and
reduce depressive symptoms.
4. Explore beliefs that Sally might have that will help or hinder her recovery from substance abuse and depres
sive symptoms.
[At the beginning of the session, the counselor and Sally exchange greetings, followed by preliminary inter
changes aimed at establishing rapport and beginning engagement.]
COUNSELOR: So, what brings you to see me?
SALLY: I don’t know what I’m going to do when I get out of here. I don’t know what you can do for me. You
don’t know anything about trucking. You don’t know about my life. You’re a nice guy, but I can’t see how you
can help me.

COUNSELOR: I can understand that you have concerns about what will happen when you leave here. The rea
son I was asked to see you is that the staff were concerned about your depressed mood and wanted me to see if
we can work together to improve how you feel.
Master Clinician Note: The counselor avoids responding to whether he can

help Sally. Getting in a discussion of the counselor’s skills and experience would
probably be counterproductive. Rather, the counselor will let Sally reassess on
her own whether he can be of help to her after a few visits. Sally is likely experi
encing some ambivalence and the counselor is in the beginning stages of build
ing a therapeutic alliance.
SALLY: Yeah, I don’t know what I’ll do when I leave here. I could go back to pouring coffee like I was doing
when Larry [her deceased husband] found me. I could go back to where I started and die there like my mother
did. That’s not what I want to do.
How to Challenge Beliefs: The Search for Alternative Solutions
Our beliefs about the nature of our problems, who is responsible for them, what
needs to be done about them, whether it is even worth the effort to try to change
them, are all critically important to the counseling process. Here are five steps to
help a client challenge beliefs that limit options for change:
1. Listen to the client’s organization of the problem and identify the beliefs
(cognitions) that are expressed about the problem.
2. Offer the client your understanding of the belief (“It sounds like you believe
that . . .”); see if the client agrees or disagrees with that assessment.
3A. If the client disagrees with your assessment of the belief, then ask for a
more accurate statement of what he or she believes.
3B. If the client agrees with your assessment of the belief, explore with the client
how holding that belief affects the client’s ability to address the problem.
3C. If the client agrees with your assessment, inquire if he or she would add or
change anything about the way you phrased the belief (to be as specific as
possible about the belief).
4. Help the client begin to move the belief from a truth (which cannot be
changed) to a thought (which can be altered in light of additional informa
tion).
5. Help the client alter this belief to include better options for changing the
problem.
See also Anger Management: A Cognitive Behavioral Therapy Manual, by Reilly

& Shopshire, and Substance Abuse Relapse Prevention for Older Adults: A Group
Treatment Approach (CSAT, 2005).
COUNSELOR: Well, then, let’s go back to thinking about your future. Is there something else you can do in
the trucking industry?
Master Clinician Note: This is the counselor’s first attempt to define the prob
lem arising from Sally’s belief that if she can’t drive a rig, she will have to return
to waitressing (this is Step 1 in How to Challenge Beliefs, p. 70).
SALLY: I only know how to drive. I don’t want to work as a dispatcher. I don’t know what I’d do, I don’t want to
be depressed and pour coffee like my mother and sister.
COUNSELOR: Tell me about your mother and sister and what you mean when you say they were depressed.
Did they take pills?
SALLY: They poured coffee at Hecklemeyer’s. They worked hard all their lives and didn’t make much money.
Then my mother died. Mom didn’t do drugs; that wasn’t something their generation did. But I think she was
alcoholic.
COUNSELOR: How do you know they were depressed?
SALLY: People are just born depressed, they’re born blue.
Master Clinician Note: In the process of defining the problem, Sally has iden
tified multiple beliefs: not driving the rig means having to be a waitress, which
is intolerable; continuing to drive a truck is a way to avoid feeling helpless, hope
less, and depressed; and depression is just something people are born with and
nothing can be done about it. All of these beliefs are examples of “all-or-nothing”
thinking and contribute to Sally’s feeling depressed and hopeless about the
future. The counselor might be tempted to begin challenging these beliefs at this
point, but the problem is not yet fully defined. The counselor’s patience and
curiosity about how Sally sees this problem allows both of them to develop a
clearer sense of the problem and can lead to Sally’s generating some solutions.
The counselor is continuing to listen and trying to understand Sally, which fur
thers the development of a therapeutic relationship.
COUNSELOR: You believe that depression, being blue, is something you are born with and there is nothing
that can be done about it. It sounds like the important people in your life growing up were depressed, and that
came to look like a normal state.
[The counselor explores Sally’s family history, the depressive symptoms of her mother and sister, how their
depression manifested itself in day-to-day life and, particularly, how that affected Sally’s understanding of
depression and what it means to be depressed. The counselor takes a family drug history and finds out alco
holism and drug dependence are common in Sally’s family.]
SALLY: My mother said she wasn’t supposed to be happy. My sister, too. You know, I don’t think they were
ever not depressed. Even when my mother seemed happy she would say she had a terrible good time or an
awful nice weekend. At least twice that I know of, she tried to kill herself by taking too many pills [pause while
Sally reflects]. If I stop driving, I’d miss it, the road, the sounds, the smell, the diesel. It makes me sad to think
about it, leaves me empty.

Master Clinician Note: Sally has changed the subject from her beliefs about
depression to what would happen to her if she quit truck driving. The counselor,
rather than being directive, just follows Sally and her line of thinking to see
where it might lead.
COUNSELOR: So, driving the rig doesn’t just mean making a living and not feeling blue. Driving the rig means
a lot more to you, and giving that up is like losing a part of yourself.
SALLY: The semi is my life. The only thing I loved more was Larry.
COUNSELOR: How were you affected by Larry’s death?
Master Clinician Note: Once again, Sally moves to another topic, and the
counselor follows.
SALLY: [Sighs.] Twenty-five years this December, Jim. We were outside Denver in a snow storm. Stupid #*%!
wanted to make up time, jackknifed the rig. Rig wasn’t hurt bad, I wasn’t hurt, but that stupid jerk was thrown
from the cab and broke his neck. I was 25, a widow with a half-paid-for rig. [Sighs.] I got him buried, got the rig
fixed up. I thought I’d finish the run and then sell the rig and move back to Missouri. I drove 1,000 miles and
hit Salinas, and I thought the #*%! with it. I delivered the load, and I picked up artichokes for some supermar
ket chain and headed east. I was the youngest woman wildcatter in the country, and everyone knew it.
Everyone knew when I was coming, and everyone wanted to talk to me on the CB [radio]. I did okay. I had
some money. I didn’t use the turnarounds with Larry. We just drove 4 or 5 hours at a time, trading off, and I
didn’t need the stuff. So how did I feel about Larry being gone? If he hadn’t tried to make up the time, we’d still
be driving together. I wouldn’t have gotten on turnarounds, and I wouldn’t be here, no way to pay my debts, no
way to support myself anymore.
Master Clinician Note: This story is evidence of things Sally has been success
ful at in the past. The counselor could refer to this (e.g., “Tell me about how you
managed to drive that rig after Larry’s death”) when the time comes (this is Step
2 in How to Challenge Beliefs, p. 70). She is proud of having been “the youngest
female wildcatter” but sees this and her success as a trucker as a thing of the
past. The counselor is currently working on Step 1 of How to Challenge Beliefs,
defining the problem.
COUNSELOR: If Larry hadn’t died, you would still be driving together and you wouldn’t be in this place,
believing that there are no other options for you. And you wouldn’t be taking bennies to drive a little further.
SALLY: Yes, sometimes. I still look over sometimes when I’m driving because I think he’s sitting there. The
stupid jerk. Oh, there have been other guys. Then I’d see Larry’s ghost sitting in the other seat, and I’d be good.
[Pauses.] I don’t see how you can help me.
Master Clinician Note: Sally might not really understand how the counseling
process can help. (Refer back to the counseling process described in the introduc
tion to Chapter 2.) Particularly in intensive treatment settings, where clients
participate in a variety of treatment modalities and with a variety of counselors,
understanding how the process works can be of great help to the client.
Sally’s statement, “I don’t see how you can help me,” might be mistaken as resistance, as “you can’t help me,”
but a better explanation in this instance might be that Sally is having a hard time imagining how things will
work out. It is not clear yet how her husband’s death fits into the picture.
COUNSELOR: That keeps coming up—what you could do instead of driving the rig. You seem to believe that I
can’t help you with that and that you can’t do it on your own. That may be true, but I get the sense that you
have some real strengths that you aren’t aware of that could help you out of this. On the other hand, this con
versation seems to be bringing up Larry’s death and I’m wondering how that is related to your future.
SALLY: I’m not ready to talk about my future. I’ve never told anyone about Larry, that I sometimes see his
ghost. Can we maybe talk about that more? I don’t talk to people much, sometimes on the CB.
Master Clinician Note: Larry’s death was a major psychological trauma in

Sally’s life. It is important for the counselor to recognize that how we experience
and express our traumas is based significantly in our cultural orientation. In
some cultures, emotional expression of tragedy is stoically withheld. In others,
there is significant public emoting, demonstrating the significance of the loss.
For other cultures, expression of trauma is a “family affair” and not for discus
sion with strangers. It is important for the counselor to recognize the cultural
contexts of how trauma is expressed, to explore the meaning of the trauma in
the context of the cultural orientation, and to help clients express their loss in a
manner that is culturally acceptable to the client.
COUNSELOR: Sure. Why don’t we meet again on Thursday and whatever you want to talk about we can talk
about.
SALLY: Really?
COUNSELOR: Sometimes talking about those things can help you feel better about them.
SALLY: Really? We can talk about this stuff? Nobody has ever wanted to do that before.
Master Clinician Note: Sally’s counselor recognizes several indicators that

Sally might be at risk for suicide. She abuses drugs, she uses stimulant drugs,
she has episodes of depressive symptoms, she feels alone and disconnected
from family and significant others, and, earlier in the interview, she noted that
her mother had been suicidal. In light of these indicators he feels it important
and necessary to approach the subject with Sally and to screen her for suicide
potential.

COUNSELOR: Sally, before we stop, there is one more thing I would just like to touch on with you. People
sometimes have thoughts of harming themselves, of killing themselves. And I’m wondering if you are having
those thoughts now or if you have had them in the past.
SALLY: There have been times over the last 25 years, especially when I’m alone, that I’ve thought about . . .
you know . . . just ending it, just killing myself and being out of this #*%! rat race.
[Sally pauses. The counselor lets her reflect and organize what she wants to say without interrupting.]
SALLY: I don’t feel that way right now, but it bothers me sometimes. When I’m driving and I start having
those thoughts, I actually feel better, like I don’t have to keep fighting this #*%!. Then, after a little while, the
thoughts go away. Now, is that crazy or what?
COUNSELOR: No, it doesn’t sound crazy to me, but it does sound like sometimes the pressure has been so
great that you look for ways out of the pressure.
[The counselor proceeds to explore suicidal ideation with Sally. He conducts a careful screening (see TIP 42,
Substance Abuse Treatment for Persons With Co-Occurring Disorders [CSAT 2005] for information on screen
ing for suicidality) of Sally’s current suicidal thoughts and decides to his satisfaction that Sally is not currently
suicidal and that her suicidal ideation tends to occur when she is “coming down” from Benzedrine (a stimulant).
The counselor also discusses with his supervisor the advisability of getting a consult from a mental health pro
fessional regarding Sally’s suicidal ideation, and together they decide not to pursue a referral at this time. Sally
does not meet the agency’s guidelines for referral or additional assessment at this point, so the counselor and his
supervisor plan to discuss Sally again in a week or at the first sign of any negative changes. The counselor does
decide that in a subsequent meeting with Sally, he will provide more information on suicide and help her build
skills to seek resources when those thoughts occur. For more information on assessing suicidality and safety
screening (for harm to self or others), see TIP 42, Substance Abuse Treatment for Persons With Co-Occurring
Disorders (CSAT, 2005) and the forthcoming TIP, Addressing Suicidal Thoughts and Behaviors in Substance
Abuse Treatment (CSAT, in development a).]
COUNSELOR: Sally, if you do begin having thoughts of harming yourself, thoughts that you might be better off
dead, I would like to have an agreement with you that you will contact me, this program, or a mental health
professional right away. Having thoughts of suicide doesn’t mean you are going to do it. But it does mean that
something needs to be addressed. Those are really disturbing thoughts, and I don’t want to see you continue to
struggle with things like that entirely on your own.
SALLY: Well, I’m not thinking about it now.
COUNSELOR: Okay. Will you be sure to let me know immediately if you have any thoughts and feelings like
that?
SALLY: Okay, I can do that.
COUNSELOR: One more question. When Nancy said you should go into treatment, you just parked your rig
and entered treatment. Was that the addicted, depressed you or the woman who was the youngest woman wild
catter in the country?
SALLY: I get your point! See you later.
Master Clinician Note: It’s important for substance abuse treatment programs
to screen clients for suicidality as part of the intake process. All substance abuse
treatment counselors should know how to conduct a basic screening and triage.
You should know what immediate resources are available both onsite and offsite
to help someone who is identified as suicidal.
Session summary: Before the session, the counselor reviewed a CES-D Scale administered at intake. Because
this was their first session, he decided to forego readministering the scale today but will use it again in the next
session. In this session, the counselor was quickly able to establish a working rapport with Sally and engage
her in exploring the relationship between the beliefs that arose from her history and her current stimulant use
and depressive symptoms. The counselor also carefully screened Sally for suicidal ideation and consulted with
his supervisor about possible interventions that might be indicated for suicidality. He documented the screen
ing in Sally’s chart, including the discussion with his supervisor and the actions taken as a result.
SESSION 2
1. Check the client’s thoughts and reactions to the previous session.
2. Invite Sally to raise issues she would like to discuss today.
3. Determine the focus for this session, based on Sally’s goals, and identify specific beliefs to address that relate
to these goals.
4. Encourage Sally to continue to explore her emotions and beliefs about her husband’s death.
5. Administer the CES-D Scale to measure changes in Sally’s depressive symptoms.
[The counselor checks with Sally to find out if she has had any recent thoughts or feelings of self-harm or sui
cide. She says that she has not, and they continue on with the session.]
SALLY: I’ve been thinking about old Larry. [Sighs.] I call him a stupid jerk, but he wasn’t except for that one
night outside Denver. He was smart, tall, good-looking. He was very good to me and changed my life. If it was
n’t for him, I’d still be pouring coffee at Hecklemeyer’s in Marceline. I don’t understand it, all these bad guys
live out their lives, and here’s Larry, poor guy, good-looking, good guy. One mistake: he tried to make up time.
Truckers always try to make up time . . . and he’s gone.
[Silence.]
COUNSELOR: Go ahead.
SALLY: You know, I was the youngest female wildcatter in the country. They called me Mud Flap Sally. Do you
know what that means? Probably not. You know the girl on the mud flaps? Larry called me Mud Flap Sal. We
were such a good looking couple. I did a good job running the business after Larry died. [Sighs.] God, Jim, I’d
give my right arm to be back there, December of 1980. I told him, “Larry, let me drive, we can’t make up time.
We can’t do it.”
[Silence.]
Master Clinician Note: Sally’s silence is self-reflective, and the counselor’s

acceptance of her need for this allows her to explore her thoughts and feelings
about her husband’s death.

SALLY: I’ve never told anyone that part. And, when the cops came, I just said he lost control of the truck and
they nodded. They didn’t ask questions, anyone could have lost control in that situation. The truth is I knew he
was going too fast, he was rushing. I knew I should have been driving and not him.
COUNSELOR: How does it feel to talk about that?
SALLY: [Quiet for a moment.] I don’t know yet.
Master Clinician Note: The counselor elicits Sally’s belief that she is responsi
ble for her husband’s death.
COUNSELOR: Have you had the thought that you should have done something?
SALLY: I think that every time I see his ghost sitting in the seat. [Silence.] I talk about seeing Larry, I call it
his ghost but I don’t believe in ghosts. I keep thinking that one day I’m going to get in the truck and he’s going
to be there and things will be okay and it will be like it was. I won’t have to drive 16 hours and I’ll have that
handsome man and I’ll be Mud Flap Sally again. [Starts to cry.] That’s what I hope will happen again. [Pauses.]
That ain’t realistic, is it? It’s a little crazy.
COUNSELOR: Often people talk about things they might not talk about with other people. Many report seeing
someone who is deceased or in some other way, experience their presence.
SALLY: Really?
COUNSELOR: The fact that you know that Larry isn’t going to suddenly appear for real means you aren’t
crazy. Instead, it sounds like you are still grieving. It tells me how important Larry is to you. Tell me about
your love for him.
Master Clinician Note: The counselor normalizes Sally’s response to her grief
(i.e., “you aren’t crazy”) and affirms the importance of her connection to her
deceased husband. The cost of giving up driving her rig is becoming more clear
to the counselor—Sally believes that the rig keeps her connected to Larry. This
completes the definition of the problem (completion of Step 1 of How to
Challenge Beliefs, p. 70). Sally can’t move forward until she feels confident
enough to do it. The counselor will help Sally identify her strengths in a way
that she can feel confident about taking action (Step 2 of How to Challenge
Beliefs).
SALLY: Can I get through this? I’m so tired. I’m 53 and I’m not Mud Flap Sally anymore. [Starts to cry.] I’m an
old lady.
COUNSELOR: Actually you are getting through it. You had your stomach looked at; you’re in treatment. You’re
not comfortable, but you’re making use of the opportunities in front of you. That is the road to recovery. I wish I
could tell you it wasn’t a hard road, but the unmanageability of substance abuse plus the grief of losing a good
man like Larry is a hard road.
SALLY: I’ve been driving hard roads for 25 years.
COUNSELOR: Sally, you’ve listened to the AA speakers who’ve come into treatment, so I know you must have
heard about other hard roads. These people come here to let you know you don’t have to ever drive them alone
anymore—that’s part of what sobriety means.
SALLY: Yeah, one woman last week had a real ugly life worse than mine, but she gave me her number and
said she’d take me to a meeting if ever I wanted.
COUNSELOR: Mud Flap, as your counselor you have my permission to call her and go to an AA meeting with
her next week again, if you want.
SALLY: Maybe.
[Silence.]
Master Clinician Note: Now the counselor has identified some of Sally’s
strengths as evident in the present. The next step is to see whether she is confi
dent enough to try planning for taking action (Step 3 of How to Challenge
Beliefs, p. 70) or whether she is still too ambivalent.
SALLY: I have a question. I’m a Teamster. I always thought that someone like me could be real useful to the
Teamsters. What do you think?
COUNSELOR: The Teamsters help a lot of people, and your experience would definitely be an asset in that
type of work.
SALLY: Is there a local chapter here?
COUNSELOR: I don’t know, would you like to look into it before our next session?
SALLY: Yes.
COUNSELOR: Sally, you may remember when you entered the program, the intake worker gave you a brief
test to measure depressive symptoms. Would you mind taking a minute to complete it again and when you
return, we can compare your scores from two weeks ago with your score today.
[Sally agrees to complete the CES-D Scale and does so as the session ends.]
Session summary: The counselor began the session by allowing Sally to define her own agenda and to talk more
about Larry, his death, and their relationship. He guided Sally’s focus toward her core beliefs that arose as a
result of Larry’s death and how those beliefs limit Sally’s options today. The counselor also supported an environ
ment in which Sally could explore this powerful loss in her life. Because early in the session Sally expressed an
interest in discussing her relationship with Larry, the counselor decided to delay administering the CES-D Scale
until the end of the session and will discuss the results in their next meeting.
SESSION 3
1. Discuss the results of CES-D Scale administered at the end of last session.
2. Ask Sally about her goals for the session (e.g., making plans for a future career).
3. Explore some hunches the counselor has about the impacts of Sally’s “all-or-nothing” thinking.
COUNSELOR: Sally, before we begin, let me just tell you that there is a significant reduction in the depressive
symptoms reported on the CES-D. I think that’s something you can really be proud of.

SALLY: I’m certainly feeling better. More hopeful. And Jim, I have a route mapped out to the local Teamster’s
union. On Thursday can I be excused from the program to go talk with them? Betty, the lady from the AA
meeting, said she’d take me there and to a meeting.
Master Clinician Note: Sally has a plan (Step 3 of How to Challenge Beliefs, p.
70). Now the counselor confirms with her that this is what she wants to do.
COUNSELOR: It sounds like you have a plan for talking to the Teamsters. Excellent! So this is what you really
want to do?
SALLY: Yes.
COUNSELOR: Great! Yes, you have my permission to go with Betty to the union office and an AA meeting, and
if you want, you and Betty go out to supper and talk. I’ll be interested in hearing how it goes. [Pauses.] There
have been a few other things that have come up during the last few sessions that I’d like to talk more about.
Maybe we can figure out how to deal with them. One is that I think you have a deep-seated belief that if you
are not able to drive anymore, you are going to somehow not be able to hold it together or have a life worth liv
ing. I think you also believe that if you can’t drive anymore that you’re going to somehow lose Larry.
Master Clinician Note: Now that Sally is no longer ambivalent about dis
cussing her future, the counselor is addressing the core beliefs as stated in earli
er sessions. The quality of the beliefs is “all-or-nothing.” Sally believes that if she
can’t drive, she will have no choice but to become a waitress again, which is
intolerable to her and causes her to feel helpless and depressed. If she gives up
driving, she will lose her connection to Larry, which she is unwilling to do. If
these beliefs go unaddressed, Sally’s hopelessness will not be resolved. The coun
selor is now addressing her belief about losing Larry.
SALLY: That’s a #*%! of a funny thing to say. Lose Larry. Lose Larry. [Sniffs.] I already lost him once; I don’t
want to lose him again.
COUNSELOR: I understand. That’s why I’m bringing it up. I think some of the concern about not driving is
that if you’re not driving, he won’t be sitting in the seat next to you anymore.
SALLY: He’s not sitting here in this place.
COUNSELOR: I hear that. That may be one reason you’ve been so down lately. What I’ve been hearing is that
you’ve had some ideas, even though you can’t quite see beyond driving and you don’t want to lose Larry. You
have some ideas of something you could do as an alternative to driving. Can you tell me about that?
Master Clinician Note: Sally now has momentum for addressing these beliefs.
Sally’s willingness to explore alternatives to driving a truck or waiting on tables
is directly linked to Sally’s belief that she won’t lose Larry. The counselor is
addressing these beliefs at the same time because they are intertwined. The
counselor chooses to address the less threatening belief first. He is now eliciting
Sally’s strengths (Step 2 of How to Challenge Beliefs, p. 70) for the belief about
having to become a waitress.
SALLY: Yeah, I can. There are things about Larry I haven’t told you. He cared about people; he cared about
fairness and being treated right. That’s why we joined the Teamsters. He talked about the labor movement and
how people banded together and got their rights, and about labor organizers. I thought I’d be good at that. If I
can’t drive, I can help other people who do drive. I would make Larry proud.
COUNSELOR: How would you feel about yourself if you did that?
SALLY: I’d be proud, too. People know who I am; they know who Mud Flap Sally is.
COUNSELOR: That’s right. I think that’s a wonderful idea.
SALLY: I know enough from Larry to be good at organizing. To tell people they should join the union. I guess
that would make him happy. Maybe he would even be there when I did that.
COUNSELOR: Maybe it would even make you happy. You know the only way I think you’d lose Larry is if you
started doing pills again. I guess “lose” is not the right word; maybe “dishonor” what you and Larry had
together.
SALLY: Yeah.
COUNSELOR: Maybe you’d have some of the feelings you had with Larry, the Mud Flap Sally gal that every
one knew and who was happy, even the way you felt with Larry.
SALLY: You wouldn’t have to take turnarounds to do that job.
COUNSELOR: No, you wouldn’t. So maybe that’s one option you could look at.
SALLY: I’d know it was right if Larry were there with me while I was trying to do it.
COUNSELOR: What do you think Larry would think about you being in treatment?
SALLY: At first I thought he’d be ashamed of me, but over the past couple of weeks I think he’d be proud. He’d
like the people I’m meeting here, and he’d like Betty.
COUNSELOR: So, he wouldn’t mind your going to AA?
SALLY: He’d be okay with it. He was independent, but getting help when needed was okay with him; I think
that’s why he was so pro-union. Heck, those AA meetings are a bit like a union meeting: lots of talk and lots of
coffee, but without the beers afterwards.
COUNSELOR: Where do you think Larry is?
SALLY: We always talk about The Great Truck Stop in the Sky. Best coffee. Prettiest waitresses. I hope he’s
there.
Master Clinician Note: A potential option has been identified that Sally can
pursue. The counselor is now using the technique of providing contradictory
information to address Step 2 (How to Challenge Beliefs, p. 70) for alternatives
to the belief about losing Larry.
COUNSELOR: You know where I think he may be? I think he’s there [points to her heart] and there [points to
her head]. I think he’s in there, and you can call him up when you need to have him because he’s right in here.
SALLY: You’re not some kind of preacher are you?
COUNSELOR: No. But if Larry is in there [points to her heart] and there [points to her head] and you’re being
a Teamster, maybe you’ll be able to call him up at those times too.
SALLY: You’re saying something that I want to make sure I understand. When Larry was in the cab, it was
because I wanted him to be there, I put him there?

COUNSELOR: Yes, you want Larry, you love Larry. You have a relationship with Larry, not past tense; you
have a relationship with him now. It’s not crazy; that’s the way people live. When we leave this room and do
our separate things, when we think of each other or remember each other, we bring each other alive within our
selves, and that’s what you’re doing with Larry.
Master Clinician Note: The counselor has identified an alternative solution for
Sally’s belief that she will lose Larry if she stops driving the rig.
SALLY: You wanna know something funny? Damn jerk is still 30. His hair is still dark.
COUNSELOR: That’s good! [Laughs.] Who would want him around at 55? [Jokingly.]
SALLY: I would want him around. And you want to know something? Way back when I was the one who got
into the cab of his truck and I told him I wasn’t getting out. He knew better than to argue. [Smiles softly.
Pauses.] You’re a really nice person, Jim. This is a nice talk. Can we talk some more about this?
COUNSELOR: You know, there’s another thing I wanted to explain to you about your experience with Larry.
Some people who have had a traumatic experience relive it and get caught in their thoughts and feelings about
it. Whether it happened recently or long ago, trauma is still trauma. I just want you to be aware that that’s
happening to you.
SALLY: That was 25 years ago.
COUNSELOR: I know. It struck me that when you told me about it, it seems like it wasn’t that long ago. It’s
not that we should forget a loved one, but we can get caught up in thoughts and feelings about their death and
in doing so, not be able to really honor what they gave us.
SALLY: When I get sad, I see him lying on that pavement twisted. When I’m driving, I don’t see him like that.
But when I’m down, I see him like that.
COUNSELOR: I thought maybe you said somehow you believe you were responsible. Perhaps this is a belief
that is keeping you stuck?
SALLY: I was responsible. I should have told that jerk to get in the back and let me drive.
Master Clinician Note: The counselor has defined another belief. Sally and
counselor have identified a number of beliefs that all anchor back to a core belief
that Sally is destined to be depressed.
COUNSELOR: That was a decision you made, and without getting into why you made that decision, he was
doing the driving and was capable of making those decisions, too.
SALLY: He wouldn’t have done what I said anyway.
Master Clinician Note: The counselor is using the technique of contradictory

information to dispute the belief that Sally is responsible for Larry’s death (Step
2 of How to Challenge Beliefs, p. 70). He is encouraging Sally to consider letting
go of the belief.
COUNSELOR: So how come you’re carrying this weight?
SALLY: I don’t know.
COUNSELOR: That’s a hard thing to let go of. Let’s talk about that next time. What I’m concerned about now
is this sense you have that . . . you’ve told me a little about your family and what it was like growing up, and as
you were talking I felt this heavy grayness.
Master Clinician Note: The counselor determines that the belief about her
responsibility for Larry’s death is going to be a difficult belief for her to let go of.
He postpones working on it until the next session and chooses to increase her
sense of self-efficacy in the time he has left in this session.
SALLY: It wasn’t pretty. It wasn’t pretty.
COUNSELOR: And it sounds horrible, in a sense of just a muddled kind of having nothing to look forward to.
SALLY: You got that right.
COUNSELOR: And you kind of describe that you think your mom and sister had feelings like that too.
SALLY: They were depressed, no doubt about it. My mom was depressed, my sister, and me until Larry came
along.
COUNSELOR: But you were able to emerge from that depression and come to life, and come into being. You
said something really important. You said you got into the cab of the truck with Larry and you wouldn’t get
out. So who made their life different?
Master Clinician Note: The counselor has identified and is disputing Sally’s
belief that she is helpless to bring about change in her life by eliciting informa
tion from Sally about her past successes. The counselor is increasing Sally’s con
fidence in her ability to make her plan work.
SALLY: I did. Something else. He wanted to throw me out. So I told him, “Larry, did you know that the first
time we had sex, I was underage? Do you want me to talk to the cops about that?” So he married me when we
got to Nevada.
COUNSELOR: So when I’m hearing that you can’t do this, or survive without that, it may not quite be the real
ity of the way it is.
SALLY: [Sniffs.] Yeah.
COUNSELOR: Sally, I think you are a strong woman, and we can look at some of the things I’ve brought up
today over the next few sessions and come up with a plan. I want you to give some thought to what I’ve told
you. I don’t want you to walk around feeling that you can’t do anything to fix anything. . . . What’s going to
happen?
SALLY: I can fix things. I fixed ol’ Larry, too. I haven’t thought about that in years. The sheriff was having cof
fee at the truck stop.
COUNSELOR: Well, let’s explore this more next time, Sally. Are you going to follow through with your plan to
go to the union hall on Thursday?
SALLY: Yes.
COUNSELOR: So I’m looking forward to hearing about that in our next session. Good luck at the Teamsters
office and have fun with Betty at the AA meeting.

Master Clinician Note: The counselor is:
1. Continuously assessing how distressing it is for Sally to challenge each

belief.
2. Prioritizing which belief needs to be challenged next.
3. Increasing Sally’s sense of self-efficacy.
4. Helping Sally understand the value of viewing her beliefs objectively to

determine their validity.
5. Helping Sally begin to understand the connection between challenging her

invalid beliefs and developing new opportunities.
Summary
The work between Sally and her counselor has focused on establishing rapport, determining Sally’s specific
goals, identifying core beliefs, and challenging core beliefs. The treatment goals have been to reduce Sally’s
experience of helplessness and hopelessness and increase her options for healthier, recovery-oriented choices.
This belief-oriented treatment with Sally is one part of the process of change that will include abstaining from
Benzedrine, reducing her symptoms of depression, working through her grief, and increasing her self-
confidence, competence, and self-esteem. A core element in the success Sally has experienced in counseling has
been the rapport she developed with her counselor. His willingness to allow her, in a nonjudgmental and
accepting way, to express her thoughts and beliefs, his optimism toward her potential for change, and his
empathy toward the burdens she has carried served to facilitate an environment in which she could feel safe
and affirmed to explore her painful history and examine options for the future.
Vignette 4—Interventions With Feelings

Introduction
Feeling or affective-based therapies focus on feelings as a primary method of helping people change. These
approaches are particularly appropriate when there are powerful primary feelings such as anger, fear, sadness,
or shame that limit the individual’s opportunity to solve problems, make meaningful emotional connections to
others, and have healthy self-esteem. When people no longer have to repress pain and sorrow, they typically
become more spontaneous. Affective therapies assume that individuals tend to avoid feelings that are painful,
overwhelming, or perceived as unmanageable. In avoiding certain feelings, people then have to limit opportuni
ties in their lives. Limiting these opportunities means that life is more constricted and less fulfilling. Some
contemporary therapeutic orientations that use feelings as a basis for change are the emotive therapies, emo
tionally focused therapy (EFT), forgiveness therapy, and specific elements of trauma therapy and grief work.
The affective therapies are particularly appropriate for problems that have a significant emotional component.
These therapies consider depressive symptoms such as hopelessness, despair, emptiness, guilt, and anger to be
significant stumbling blocks in recovery. In addition, a number of therapies focus on a specific emotion, such as
shame, guilt, or anger, but incorporate a variety of other change processes such as behaviorally focused or cog
nitively based strategies. (See Figure 2.7 for how to determine whether affective therapies are appropriate for a
client.)
Since drugs and alcohol have a numbing effect on feelings, the experience of feelings in early recovery often
presents particular problems. Many clients tend to be inexperienced in managing even low-intensity feelings.
For some, particularly those who began using alcohol and drugs early in life, learning how to identify feelings is
an important therapeutic task. For others, feelings can often be a trigger to return to use. This treatment
approach is most often undertaken after clients have gained skills in using new behaviors and cognitions that
support recovery.
For some clients, such as Shirley, problems with feelings present a hindrance to developing and practicing new
cognitive and behavioral skills. In this vignette, Shirley’s shame and grief are major limitations in her ability to
maintain sobriety, relate effectively to others, and feel comfortable with herself. Observe how the counselor, in
a sensitive and respectful way, helps Shirley become aware of how these emotions limit her ability to function
and how the counselor and Shirley address these feelings.
Figure 2.7
Decision Tree
How to Assess Whether Feeling (Affective) Therapies
Are Appropriate for a Specific Case
1. Does the client 3. Is the client willing

experience certain feelings NO to engage in self- NO
Consider another Consider another
(e.g., anger, fear, sadness, exploration regarding approach.
approach.
shame) as painful, overwhelm the feelings?
ing, or unmanageable?
YES
YES
Consider using an
2. Does the client’s affective approach.
experience of these feelings
limit his or her ability to
function in terms of problem- NO
Consider another
solving, meaningful emotional
approach.
connection with others,
and/or self-esteem?
YES
Case Study
Shirley, 65, is from New Jersey. She has been divorced three times and was widowed by her fourth husband,
Norton. She has three sets of children, six total, and three grandchildren. She retired last year from a 30-year
career as a social worker for child protective services. A few days before intake, her friends did an intervention
with her, and she came to the outpatient program to get them off her back. Her friends tell her that her family
members have told them they have noticed personality changes when she drinks, and that, when drinking, she
becomes irritable, opinionated, and judgmental of others.

Shirley grew up in an abusive home with an alcoholic father. Because of this, Shirley did not start drinking
until her junior year of college, and then only on weekends. This pattern of social drinking continued until her
second marriage, to Frank. While married to Frank she developed a pattern of daily drinks after work. Shirley
would stop after two, believing that she couldn’t have a problem if she could stop at two. She would break this
rule and “drink too much” two or three times a year. She divorced Frank, because while drunk he would become
angry and abusive. This brought back all Shirley’s feelings from growing up with an angry, abusive, alcoholic

father. After the divorce, Shirley continued to drink daily after work, occasionally drinking “way too much” on
weekends. After retirement, Shirley’s drinking increased to four, five, or more shots every night with uncon
trolled drinking bouts about once a week. Continuing her long-standing drinking pattern in retirement, Shirley
usually drinks at home, but when out with friends will limit herself to two drinks. Sometimes after drinking
Shirley will call friends and talk in abusive ways about the world and then take her phone off the hook. Shirley
is increasingly having blackouts. On several occasions, when her children were not able to reach her, they
would go to her apartment and find her passed out on the couch or floor. On one occasion, she fell into a coffee
table and was bleeding from a cut above her eye.

At intake, Shirley was given a standard evaluation including a screening for depression using the CES-D. Some
depressive symptoms were noted, including sleeplessness. She denied being irritable but says she is angry
about how people treat each other, what “the system” does and doesn’t do, and how it fails. She is particularly
angry at her “meddling friends” who confronted her about her drinking. She denies feeling sad or depressed.
Her appetite is poor. She doesn’t enjoy life, and she has been feeling this way since she retired. Although these
depressive symptoms were noted, no full depression assessment was done at intake. She was assigned to regu
lar group meetings four times a week for the first month in addition to educational sessions twice a week.
Additionally, after the first week of the program, because of her interpersonal difficulties with other clients, she
was assigned to individual therapy once a week. Shirley dismisses what the group members and the group
therapist say to her. She is angry all of the time while in treatment, with an underlying feeling of sadness. She
is generally cynical and credits this to her experiences as a social worker.
SESSION 1
1. Build a therapeutic relationship by developing an understanding of Shirley’s problems from her perspective.
2. Collaboratively begin to identify treatment goals for the sessions.
3. Identify Shirley’s perceptions of her most pressing problems.
4. Identify strengths Shirley might use in addressing her identified problems.
[The session begins with Shirley and her counselor talking about what brought her into treatment, her drinking
patterns, and her experience with being in the treatment program, particularly her difficulty in identifying with
other clients in group. Early in the interview, two points emerge: (1) Although she does not directly label it as
such, Shirley feels a lot of shame that her friends and family were aware of her drinking and the resultant prob
lems, and (2) she feels isolated from others in the treatment program and thinks she is not as “sick” as other
clients.]
SHIRLEY: My friends intervened. My family members have told my friends they think I have a drinking prob
lem. So I thought I’d check it out to see if there was anything to it.
COUNSELOR: That’s kind of a heroic thing to undertake. Some people are unwilling to look at their drinking
and what’s going on in their lives. You’ve taken to heart what those other people are telling you, and that’s
hard to do.
Master Clinician Note: The counselor is using affirmation to increase rapport
with Shirley and elicit her best perception of herself. This perception of herself
will assist Shirley in feeling confident in her ability to bring about any changes
she identifies as necessary.
SHIRLEY: Well, yes, I pride myself on being able to look at things and deal with them as they come up. That’s
how I live my life. My life is my own life. The fact that this has happened to me with my friends and my family,
this is troubling. I’m a professional woman. I’ve worked my whole life helping other people. Frankly I’m embar
rassed. I can’t believe that my friends came to me to tell me this.
Master Clinician Note: People with excess shame are very sensitive to being
seen in a negative light. They are particularly sensitive to being “blindsided” by
information about themselves. Shirley has high expectations for herself (to cover
her underlying feelings of shame) and then feels significant shame when it
appears that others don’t think she is measuring up and when they see parts of
Shirley that she would like to keep hidden from herself and others.
COUNSELOR: Yes, I can understand that this whole experience is very difficult for you.
Master Clinician Note: The counselor is expressing acceptance of Shirley and

affirming the difficulty of examining parts of her life of which she is not proud.
This begins creating an environment in which Shirley can examine how shame
is a limiting emotion in her life.
SHIRLEY: Yes, this is a hard thing. These idiot kids in my group, they don’t know what it’s like to get up in
the morning and feel numb. I worked for 30 plus years, I raised six kids, been married four times. They have no
idea. I’m coming in here, and it’s really hard for me. I’m glad to have a counselor close to my own age.
Master Clinician Note: Projection (taking disowned parts of oneself and plac
ing those attributes onto others) is a primary psychological defense of people
with a great deal of shame. Observe how Shirley takes a part of herself (inade
quacy) and assigns that attribute to others in her treatment group. In later ses
sions, as rapport develops between the counselor and Shirley, it might be appro
priate to confront the projection. Right now it would probably just make Shirley
more defensive, so the counselor lets the projection pass.
Shirley’s comment about the counselor being the same age suggests some sense
of connection or comfort, which bodes well for the relationship. Many clients,
particularly those from some rural or minority groups in our culture, will need to
find “kinship” with the counselor before the relationship can develop (as in the
Hispanic/Latino personalismo). For some, kinship may be knowing someone in
common; for others, it might be having connections to one another’s home town.
Counselors may perceive this kind of “kinship finding” intrusive. It is actually a
way of strengthening the relationship.

COUNSELOR: People generally fight and run from these feelings. Especially for someone who has had to be
strong, for so many, for so long. It’s hard, but part of what you’re going through is why you came here. Taking a
look at your life. It sounds like you’re not happy with the role alcohol is playing in your life.
SHIRLEY: It’s my life. [Pauses.] Well, since I’ve been retired and alone in the house, I may be drinking more
than I should. A couple of weeks ago I was drinking and got up to answer the phone and tripped over the coffee
table. I probably wouldn’t have done that if I wasn’t drinking. I’m feeling trapped between wanting and needing
to lead my life as an independent person and needing to look at the drinking.
COUNSELOR: I’m glad to hear you start to accept your drinking problem. But I’m concerned about your feeling
trapped. Do you feel trapped every day?
SHIRLEY: Trapped, yes, but it’s not just here. It’s not just you. Where I really feel trapped is in that group
with all those idiots. I actually start feeling panicky in there; I can’t wait to get out. Like I’m going to be
attacked at any moment.
Master Clinician Note: A primary method of establishing rapport with a client

is to suggest that the counselor understands some of the experience, the feelings,
and the situation. However, people with a great deal of shame often feel quite
vulnerable with this identification. In effect, they feel other people will see their
shame, their deficiencies, their inadequacies, and therefore they become defen
sive when the counselor seeks to suggest he understands. The client may try to
find differences between herself and the counselor and suggest that the coun
selor can’t understand, that the counselor is too young, too inexperienced, of a
different race or sex, or some other reason.
COUNSELOR: I think we can help you reduce feeling trapped in group. Group is something where you’re a
member and yet you can work on your own program. Perhaps there are some ways I can help you tolerate
group and feel less frightened.
SHIRLEY: Frightened? I’m not scared of those people!
Master Clinician Note: The counselor labels Shirley as frightened, which

Shirley immediately refutes. It is important to Shirley to be seen as strong and
she believes feeling frightened is an indication she is weak, something to be
ashamed of.
COUNSELOR: Maybe tolerate the group and even get something from it would be a better way of putting it.
SHIRLEY: Yes, tolerate. I need to find a way to tolerate those losers in group. I don’t think the group thing is
right for me. Most people around here don’t have any life experience, how can they help me?
Master Clinician Note: The counselor infers from Shirley’s description of oth
ers in group as “losers” and her problem with identifying with other group mem
bers that shame may be a primary emotional struggle for Shirley. He also sus
pects that some of Shirley’s anger might be a cover for the shame. He knows
that to confront Shirley with this hunch at this time would probably be too
threatening, so he stores the information and will get back to it later. If his
hunch about shame as a primary emotional struggle is true, then the counselor
also knows that changing her environment (e.g., taking her out of group) will
only serve to avoid addressing the shame, not resolve it. Also, educating her
about alcoholism as an illness, particularly some of the physical aspects of sub
stance abuse that can affect anyone at any age, would be useful in reducing
shame.
COUNSELOR: I’m less worried about group than I am about your feelings of being trapped and how those will
affect you. I certainly hope that they don’t cause you to end up leaving treatment. Shirley, I’d like to throw
something out and have you tell me what you think. You raised six children, survived four marriages, and for
more than 30 years you fought to protect the children of your city. You’re a fighter, a warrior; but with retire
ment there are no more battles. What does a warrior do when the fighting is over?
SHIRLEY: Sit in her apartment and get drunk.
COUNSELOR: And in treatment, how does it feel to be someone who needs help rather than a helper?
SHIRLEY: I’ll go crazy! I don’t know how to let people help me. I don’t want to be one of them.
COUNSELOR: Shirley, one of things we know is the alcoholism often starts when people have to make transi
tions. They reach a critical junction where the life they had before doesn’t exist and they need to create a new
life. Drinking offers a solution; an empty solution, but a solution nevertheless. Those are tough feelings to face.
Master Clinician Note: The counselor’s compassion and concern for Shirley are
clearly expressed and make it possible for her to do some self-exploration regard
ing her drinking. The counselor is gently broaching her difficulty exploring her
feelings by expressing concern that if she doesn’t find a way to do this now, she
may end up in greater difficulty later. The counselor also implicitly acknowl
edges that he understands her struggle with shame without naming the feeling
or making it a negative.
[The counselor proceeds to explore Shirley’s understanding of how people develop drinking problems, and gently
corrects misinformation, reminding her of the lecture she heard about alcoholism as an illness.]
SHIRLEY: I am worried that something worse could happen as I get older. I would like to look at some of these
feelings I’m having here in relation to my drinking and figure out if I need to do something. The worst thing
about this whole experience is having my friends and family tell me about this. I’m the one they look up to. I’m
the friend, the parent, the grandparent. So this group coming to me, I can’t describe how horrible that feels to
me. I can’t divorce my family but I can divorce my friends and that’s what I feel like doing.
COUNSELOR: From hero to scapegoat?
SHIRLEY: Yes! But, then, I do remember hearing how drug and alcohol problems have nothing to do with intel
ligence, strength, or income.
COUNSELOR: That’s true, but this is a difficult thing to happen to you, and I hope you can find a way to stick
with it until we all get a better understanding of what’s happening and what might help. It sounds like you are
open to new information. It sounds like its time for you to be a hero again: a hero but a human hero.

SHIRLEY: What do you mean?
COUNSELOR: As you face your illness of alcoholism, as you put together a new sober life, I’m sure you will
become a hero to your family and friends. However, this hero will be one who walks with them, instead of being
up on a pedestal.
SHIRLEY: I’ve been so scared, so lost. I can’t tell my family and friends that; I’ve always been the strong one.
COUNSELOR: That’s entirely up to you. But while they maybe gave you a push, you’re here on your own, and
that’s something you have a right to feel good about. It’s a big step and not an easy one. Many people say it’s
the hardest thing they’ve ever done—to let others know that they are vulnerable.
[Counselor wraps up the session.]
Session summary: Because of her shame, developing a trusting relationship with Shirley is particularly diffi
cult. The counselor had to consider carefully how he wanted to position himself in relation to Shirley in order
not to activate more resistance and defensiveness. It has also been important for the counselor to accept
Shirley’s anger and blaming in a nonjudgmental way. He has been able to elicit Shirley’s perceptions of her
problems without critique or judgment. As the counselor enters case notes in Shirley’s record, he makes a con
scious decision to continue to be nonconfrontational and supportive in the next session.
SESSION 2
1. Continue to build the therapeutic relationship with Shirley.
2. Encourage Shirley to collaborate on goals for the session.
3. Continue to explore the impact of Shirley’s shame on her life functioning.
4. Continue to support and build safety to explore disavowed feelings.
5. Continue to explore with Shirley the relationship between her alcohol use, her depressive symptoms, and her
emotions.
[Shirley comes to the second session continuing to feel aggravated by the group and feeling ashamed because of
the intervention by her friends. She wants to drink more than ever and finds it hard not to drink.]
SHIRLEY: Darn it, Ken, when I talked to you last week, you said you’d help me tolerate those people in group.
This is too much; those people are not helpful. I’ve been having such a hard time this week. I can’t stand it.
COUNSELOR: I’m surprised group has such a grip on you. I know you’ve been going through a lot, but it’s
other people’s problems, not yours. What is it that upsets you about group?
Master Clinician Note: The counselor reframes the identified problem as

“other people’s problems, not yours” and asks for elaboration about the problem.
This is an example from motivational interviewing, eliciting change talk by ask
ing for elaboration. Reframing is also a technique from motivational interview
ing and other cognitive therapies.
SHIRLEY: I’m doing fine, and they’re talking about how they’re craving and all these things. It’s so annoying.
It’s harder and harder to be there, and nobody can help me in there. They’ve started telling me that I have this
problem. I’m sick of defending myself and everyone thinks they know me better than they do.
COUNSELOR: What do you feel is the real problem?
SHIRLEY: [Sighs.] I’ve been wanting to drink a lot. I’ve been getting really sad, and I’m not sleeping well. I
keep thinking that I’d feel better if I had a drink. It’s harder to stay here and not leave and have a drink. And
then sitting in group and having all these people tell me what they think about me. I don’t want to do it.
COUNSELOR: Did you think being here would be like this?
Master Clinician Note: The counselor makes a mental note for a later session
to introduce concepts of relapse prevention with Shirley and to encourage her to
participate in a relapse prevention education program. Shirley’s current constel
lation of repressing her feelings, depressive symptoms, and her substance abuse
indicate a high risk for relapse.
SHIRLEY: No. I thought I could walk away from it, come here, then walk away and go back to my life. I’d show
everyone that I don’t have a problem. But I don’t think I can. I don’t know how I’m going to do what I have to
do to make it, to feel like much means anything anymore. This isn’t who I am.
Master Clinician Note: Shirley is reiterating her belief that she is a self-
sufficient person. The counselor does not follow up on this. Instead, he pursues
his own agenda, in which he tries to elicit examples of when Shirley may have
successfully turned to others for support. The counselor wants to do this to build
support for her reaching out to others.
COUNSELOR: When you’ve been in this kind of a jam or had these feelings before, has anyone been of help?
SHIRLEY: I told you before—I don’t talk to people about this stuff. I’m telling you now and hoping you’re going
to help. I’m the person people talk to, come to for advice. I don’t talk about this stuff.
COUNSELOR: Yet you don’t look down on people who come to you for help.
SHIRLEY: It’s okay for them to have those problems, but I’m the person who always does fine. I’ve never felt so
out of control and unable to manage my life, my thoughts, my feelings.
[Shirley starts crying, and a few moments pass.]
Master Clinician Note: Shirley’s feelings of sadness and helplessness are being
aggravated by the counselor’s failure to acknowledge Shirley’s request for help.
Allowing Shirley to experience her feelings and to cry, however, permits her to
confront them and to become open to alternatives. When clients cry, counselor
anxiety levels tend to increase. Efforts to stop the crying or to interrupt their
crying to comfort them are made to reduce counselor anxiety. By recognizing and
respecting Shirley’s need to cry, the counselor creates a safe space where she can
feel what she is feeling.

COUNSELOR: Shirley, do you see this program as being able to help you as it helps others, or is there some
thing about it that you can’t see yourself being a part of?
SHIRLEY: [Sniffles.] I can’t see myself doing this in group. I don’t think those people in group can help me. You
sound like you’ve got some experience.
COUNSELOR: Well, I’m concerned about your saying that you just don’t get to have a problem in your life. It’s
okay for everyone else to have problems and get support or need help, but somehow you just don’t get that like
everyone else does. It’s not your birthright.
SHIRLEY: I’m asking you for help. I don’t ask for it from my friends or family and especially that group.
COUNSELOR: Have you ever felt like this before?
[Silence.]
Master Clinician Note: The counselor, feeling confused, wonders why she isn’t
responding. He thinks he may have been out of step with her. Both are feeling
frustrated. He has been missing the opportunity to join with Shirley in her
request for assistance. This is called a misattunement. She responds with silence
after he misses another opportunity. The counselor internally reflects on what
may be causing the silence (a signal of increased resistance) and realizes that he
has not accepted the client’s invitation to help her in dealing with this problem.
The counselor has also acknowledged his part in the misattunement. His ability
to be open not only allows him to reconnect with Shirley, but also models adapt
ability and flexibility.
Historically, resistance was thought to be a negative, defensive effort on the part

of the client that, if allowed to prevail, would limit growth and recovery.
Accordingly, direct confrontation (and, unfortunately, sometimes blaming and
shaming) was used in an effort to cause clients to stop resisting recovery contri
butions made by counselors. However, we now understand that all people resist
change that threatens their current way of being and doing. When they come to
understand that change is inevitable, and/or desirable, and that there are alter
natives to current ways of being and doing that they can do and that are accept
able (even pleasurable) to them, resistance diminishes. When resistance is con
fronted head-on, the natural tendency for all of us is to dig in our heels and
resist even further, like a tug of war. Rolling with the resistance allows the kind
of nonjudgmental exploration that will permit clients to collaborate more fully in
counseling, when they are ready to do so (see How to Roll With Resistance,
below).
How to Roll With Resistance
Six techniques from motivational interviewing are described here for handling
resistance. The first three are techniques based on the use of reflection and the
last three are strategies for rolling with resistance.
1. The main way to handle resistance is to simply reflect it, not at a greater
intensity, but enough to let the person know that she is being heard. An
example of this would be to say, “This week has been really hard for you,
and the stress of group on top of that feels like too much.”
2. You can amplify or emphasize the part of the statement that you are most
tempted to argue with. An example of amplified reflection would be “There is
nothing you can do to make group a helpful experience for you.”
3. A third technique is to reflect both sides of the ambivalence (from earlier in

the session or from another session), which allows the client to see his or her
ambivalence. An example of this is “So, on the one hand, you feel that you
can handle group by pretending the other members are part of a play, and,
on the other hand, it feels as if this doesn’t work when you are really
stressed out.”
4. Reframing is taking the statement and recasting it. An example is “Group is

actually other people’s problems, not yours.” This can be used to take some
thing that the client thinks is a strength and make it a concern, or some
thing the client is embarrassed about and make it a strength. Agreement
with a twist is a reflection and a reframe: “Right now group feels unbearable
to you, but I wonder whether you have considered that it is actually other
people’s problems, not yours.”
5. Emphasizing personal choice is reinforcing with the client that ultimately

the choice is hers or his, and that no one can make the choice for him or her:
“You may decide that group will never be helpful to you, and that is your
choice.”
6. Shifting focus is changing the subject to allow the anxiety about the issue to
dissipate. “Tell me what you feel would be helpful to you.”
COUNSELOR: You’ve been talking a lot about how you would rather figure out this drinking thing on your own
and that the group isn’t a place where you feel like you can get help. I’m wondering if I’ve missed the boat a bit
by focusing on that too much, because I have also heard you say that you want me to help and you think maybe
I have some experience that might be helpful. That’s good. I am wondering if at our next session we could talk
more about this tension between doing it on your own and asking for help. Also, I am wondering if you might be
willing to think about some of the ways you think my experience might help you. Does that sound good?
Master Clinician Note: The counselor has missed an opportunity with Shirley,
but takes the time to reflect on his own frustration and is able to be authentic
and transparent while offering a simple reflection to acknowledge the client and
rejoin with her.
[While he is speaking, the counselor is dipping down to make eye contact with Shirley, who has her head down
in shame. The counselor is sitting close, acknowledging that she’s down, and saying that we’re going to deal with
this next time.]
SHIRLEY: Yes.
[Shirley is looking up at the counselor; she has accepted his offer to do that.]

Master Clinician Note: Shirley’s head was down until the counselor accepted
her invitation to help her reach her goal. The counselor hopes Shirley will feel
heard when he demonstrates that he understands what she is saying and frames
her goals as the tasks for the next session. The counselor also conveys his under
standing and commitment with his body language, leaning forward attentively
and making eye contact with Shirley as her head came up. Shirley’s eye contact
was a signal to the counselor that she felt understood and respected by him. Her
experience of feeling understood and of having the counselor commit to helping
her with her goals increases her confidence in the counselor. The counselor is
confident that the combination of his experience, skills, and training with
Shirley’s knowledge of what works for her will result in an understanding of how
to help Shirley navigate her recovery from her depression.
Session summary: The counselor initially missed an opportunity in this session to build the relationship with
Shirley by pushing his agenda to focus on Shirley’s resistance to group rather than hearing her request for
help. He was able to correct this misattunement by acknowledging his misdirected efforts and redirecting the
session to her goals. This acknowledgement on his part might ultimately serve to strengthen the relationship.
SESSION 3
1. Follow up with Shirley’s feelings about their last meeting.
2. Explore Shirley’s perception of losses in her life history.
3. Help Shirley create safety to explore disavowed feelings about losses in her life.
4. Help Shirley continue to make the connections between her feelings, her drinking, and her depressive
symptoms.
[Shirley has two primary problems related to feelings. First is her abundant shame, which she covers with anger,
distancing from others, drinking, and a sense of being better than others, for instance, other clients in group.
Second, as a result of the last session, the counselor is touched by the depth of Shirley’s sadness, her references to
distancing herself from her feelings, and her difficulty in asking for help. The counselor suspects this is a prod
uct of multiple losses over years. After some initial comments about what has happened over the last few days,
the counselor offers a reference to the last session.]
COUNSELOR: Shirley, I was touched last week by the depth of your sadness and how hard it is for you to man
age right now. And how you help others with their problems but don’t let your own humanness emerge.
SHIRLEY: Well, everybody needs to break down every now and then I suppose. But, I’m not somebody who
does that. When I left here last week, I felt really out of control. Remember my saying I was wanting to drink
every time I leave here? Well, I really had to work not to drink after our meeting last week.
Master Clinician Note: Shirley, like many clients who tend to repress feelings,
sees her emotions as her enemy. They are something to be contained and con
trolled and are dangerous if they come out. The counselor is going to want
Shirley to begin to experience her feelings, rather than stifle them. In addition,
it would be helpful to suggest more constructive ways to tolerate distressful feel
ings than drinking.
COUNSELOR: I’m glad you didn’t. It seems like drinking has been pretty much the only way you have had to
keep a lid on all of these feelings, and I’m wondering if staying isolated, keeping up the image of always having
it all together, and being tough don’t also come into play here.
[There is a long pause.]
SHIRLEY: Sometimes I think I could just lose it . . . if all of this stuff came pouring out.
[There is another long pause. The counselor doesn’t want to interrupt or distract Shirley from reflecting on the
power of feelings that have been sedated and avoided for so long.]
Master Clinician Note: Two metaphors seem particularly effective when

describing unresolved grief. The first is the description of a “log jam” that devel
ops when people can’t experience all these losses for whatever reasons. The big
ger the log jam gets, the harder it is to open up the river because if things start
flowing, who knows where it might go. So it’s important to just take away a few
logs at a time; you don’t have to dynamite the whole thing. A second picture that
people can often relate to is of a closet where we stuff all sorts of things that we
don’t want the neighbors to see. The fuller the closet becomes, the greater the
resistance to opening the door because you just don’t know what is going to fall
out. So the impetus is just to keep on keeping the door shut even though the
pressure grows and grows, and it takes more and more energy to keep that door
shut. Sometimes when we actually get around to peeking in the door, we find
that the contents are not as overwhelming as we’ve imagined, and we can begin
to take things out of the closet one piece at a time.
COUNSELOR: What does it feel like right now?
SHIRLEY: Like I want a drink. A big drink. Like I need to get the #*%! out of here.
COUNSELOR: [Smiling] It’s like you want Jim Beam to ride up on his White Label horse and take you away.
SHIRLEY: You got it!
[Another pause.]
COUNSELOR: Shirley, it doesn’t seem to feel safe enough for you to be able to stay in the presence of your feel
ings.
SHIRLEY: It isn’t safe.

Master Clinician Note: The counselor recognizes that powerful feelings such
as loss, shame, and feeling overwhelmed and/or lonely can only be faced when
Shirley feels safe enough to manage them as they emerge. He wants her to cre
ate a safe enough environment for herself in the counseling session so she won’t
have to resort to her usual defenses of isolating, projecting, and drinking. One
important step in this process is to give her the power to create her own safety,
rather than having her rely on the counselor to make it safe enough for her.
COUNSELOR: Okay, then.
[No response from Shirley.]
COUNSELOR: Okay, well, it seems like from what I’ve observed since you’ve been in the program is that anger
has been a pretty safe emotion for you. You’re good at expressing it.
SHIRLEY: My anger is justified. I have plenty to be angry about, wouldn’t you say? For instance, the idiots in
group, the fact that my friends “turned me in,” that I’m 65 years old and stuck here.
COUNSELOR: I’d say you have plenty to be sad about too.
SHIRLEY: Like . . .
How To Process Grief
1. Recognize when a client has significant unresolved grief. People with

repressed grief are often irritable, controlling, and opinionated; have appar
ent feelings on the surface that are denied or displaced by the individual;
show a lot of perfectionism and are judgmental toward others; have difficulty
accepting feedback (positive or negative) from others; are obsessive in
thought and compulsive in their behavior; and lack spontaneity in life.
2. Educate about grief. In much the same way that counselors help people with
substance use disorders understand their illness through psychoeducation,
counselors can be immensely helpful to people with unresolved grief by help
ing them understand that their behavior and unhappiness come from feel
ings that can be changed.
3. Explore the client’s experience with grief. People with unresolved grief often
see their emotions as their enemy. It may be that their grief has, in the past,
poured out inappropriately or in overwhelming volume. They may feel that
to experience feelings that have been repressed will cause them to lose con
trol or “fall apart.” They may also feel deeply ashamed of exposing powerful
feelings. It is useful to have this information to understand a client’s resist
ance to exploring grief.
4. Create safety for expressing feelings. Feelings that have been unsafe in the
past have to find a safe place for expression. This not only means a safe envi
ronment, such as the counselor’s office, but also safety in knowing the emo
tion can be controlled as it emerges. It is important to learn where the client
has felt safe to expose disavowed feelings in the past and how that environ-
ment can be recreated today. In addition, the client needs to know that he or
she can stop the emotion if it becomes overwhelming. It is helpful for the
counselor to give the client specific permission to stop anytime he or she
feels the emotions are becoming too overwhelming.
5. Facilitate grieving. Experiencing the emotions that have been repressed is

usually accompanied by telling the story that contains the emotions. This
process is grieving. Counselors need to pay close attention to how the client
is responding to experiencing emotions. Some clients, especially those with
traumatic histories (physical, psychological, and relational trauma) will re-
experience the trauma as they have the feelings about it. The counselor
needs to ask the client how he or she is experiencing the work. In addition,
the counselor should encourage the client to tell the counselor if it feels as
though they are moving too quickly toward something too painful to experi
ence.
6. Get closure on events that precipitated the grief. This involves saying good
bye—letting go of or finishing unfinished business and forgiving self and/or
others. Grieving is a process that may take substantial time to finish. It is
often done in small doses over time. In short-term treatment settings, the
counselor may only be able to help the client initiate the process.
COUNSELOR: I can only speculate, but let me make some educated guesses. Losses tend to come in several
ways: There are tangible losses, that is, losses we can touch or count, and you’ve certainly had a bunch of those
in recent years, the most recent being giving up drinking. But also 2 years ago you lost your work, which was
important to you. Your husband died, you’ve had several divorces, and so far, I’m only touching on the big ones.
Second, there are intangible losses, like the emotional losses you had when you left work, like losing the sense
that you were really doing something important for children and the loss of trust in your friends when they con
fronted you about your drinking. And a third kind of loss, and maybe the most difficult to deal with, are losses
of what could have been if such and such hadn’t happened. I don’t know if there have been a lot of “could have
been” losses in your life, but I’d like for you to think about that, too.
SHIRLEY: Well, I don’t do sad.
COUNSELOR: To paraphrase an old saying, “When the going gets sad, the sad get going.”
Master Clinician Note: The counselor wants Shirley to consider that a lot of
her anger is a cover for her sadness and other feelings, such as shame. Later, as
time permits, the counselor might want Shirley to look at how her anger rein
forces her distancing from others and keeps her isolated. But, for now, the focus
of the session is still on creating safety with feelings other than anger.
SHIRLEY: Well, anger is safer.
COUNSELOR: And what is it about anger that makes it safer?
SHIRLEY: Well, for openers, it’s not going to get out of control, although there have been times in this program
in the last 3 weeks that I’ve wondered about that too.

COUNSELOR: Well, besides anger, I think there are places that may be safe enough for you to express some of
your sadness. I kind of feel honored that you felt it was safe enough last week in the office to express some of
that sadness and being overwhelmed and loneliness.
[Long pause. Shirley seems to be becoming detached from contact with the counselor.]
COUNSELOR: Shirley, I’m wondering where you have been safe enough with yourself in the past to feel sad
ness.
[Another long pause.]
SHIRLEY: You know, it was never safe as a kid to have any feelings. The only feeling anybody was allowed to
have in our family was anger. Anything else could get you clobbered. I think one reason I worked in child wel
fare services for so long is that I didn’t want kids to have to experience what I did. But the only place that
comes to mind where I could really have my sadness was with Frank, my second husband. He drank heavily
and that was the cause of our divorce, but when he was sober, or at least not dead drunk, he was there for me
and I knew he wasn’t going to look down on me or tell me to quit blubbering or any of that #*%!.
[Another long pause. Shirley looks sad. The counselor doesn’t comment or intervene in a way that would distract
Shirley. Shirley begins to wipe tears from her eyes. The counselor doesn’t comment or intervene.]
Master Clinician Note: It’s important for the counselor to maintain contact
with Shirley, for instance, by just sitting quietly with her, but not interrupting
this moment that is important for her. People need to grieve in their own ways.
Some people “pour it out,” others need to experience their losses in small steps.
Still others need to put their losses into words and tell stories of their experi
ence. Others need to conduct rituals, such as saying goodbye. Some experience
their grief by watching movies or reading books that tend to describe their expe
rience. Most people do a combination of all of these. It is important for the coun
selor not to impose his or her ways of grieving on the client. Different cultures,
too, have differing ways of expressing grief and the counselor should be sensitive
to the nuances of cultural influences.
[Finally, Shirley looks at the counselor.]
SHIRLEY: Well, you made me do this. Are you happy now?
COUNSELOR: I just want you to have the choice to be able to feel safe enough in some places to allow yourself
to experience some of the feelings you hold inside. Because for every one of those losses or hurts, there was
some kind of joy or happiness or pride or something special that was attached that you also open up to remem
ber and hold close to you. That is to say, when we have to hold back on our losses and hurts, we also have to
hold back on our joys and treasures that are connected to those losses.
[Pause.]
COUNSELOR: Before we stop, I remember what you told me when we started today: that when you left last
week you felt out of control and wanted to drink. And I think that had a lot to do with the feelings that came
up last week. And I just want to know where you are with that right now.
Master Clinician Note: Shirley has used alcohol as a cover for powerful feel
ings. Before the session ends, the counselor wants to be sure that Shirley will
not leave the office, as in their last session, needing to drink “to get back in con
trol.” He explores this with Shirley and helps her find options for feeling in con
trol without alcohol use.
SHIRLEY: Well, actually, I feel . . . well, I feel okay right now. I don’t feel out of control. Actually, I feel a little
relief. But, I’m not so sure I will feel okay at home alone if I start to feel sad.
COUNSELOR: What I want you to appreciate is that you really can allow some of your sadness to emerge and
that at any time, you can just as quickly cut it off if you need to. And if you feel it’s getting too overwhelming,
you can call someone you do trust, or perhaps, distract yourself by listening to music, or going for a walk. I
think your work in this area is only beginning, that we just touched a little piece of it today. But, you know
what? It’s not a race. It’s work you need to do on your own timetable and as you feel ready. Now, I know it
would be easy for you to just touch on the surface of some of this stuff and then head in another direction, like
getting busy or getting angry, so I’m going to keep reminding you of how important this is to you. And we’ll
keep practicing, on your time schedule.
Summary
Shirley is just beginning the process of understanding the relationship of her emotions and the impact they
have had on her alcohol use and her depressive symptoms. The process of grieving is likely to continue over
some time, and it is important to build a treatment plan that supports her continued need to grieve. Similarly,
it will continue to be important to help Shirley understand how her underlying shame has been a primary emo
tional dynamic in her life for years and how it is critically important for her to understand the role of shame in
her alcohol use and emotional distancing. Twelve-Step programs, as well as counseling, can play an important
role in addressing these issues in her recovery.

Part 2
Managing Depressive
Symptoms:
An Implementation Guide
PART 2
for Administrators
Chapter 1
Introduction The methods and techniques presented in this TIP

are appropriate for clients in all stages of recovery.
This Treatment Improvement Protocol (TIP) is However, the focus of this TIP is on early recovery—
designed to assist not only substance abuse coun that is, the first few months of treatment, when
selors in working with clients who are experiencing depressive symptoms are particularly common.
depressive symptoms (see Figure. 1.1), but also
clinical supervisors and administrators who support This TIP is not about treating any mood disorder that
the work of the counselors. Depressive symptoms are is defined in the Diagnostic and Statistical Manual of
common among clients in substance abuse treatment Mental Disorders, 4th edition, Text Revision (DSM
(Grant, Stinson, Dawson, Chou, Dufour, Compton, et IV-TR; APA, 2000). Clients with diagnosed mood dis
al., 2007). When depressive symptoms occur, they can orders (e.g., major depression, dysthymia, cyclothy
complicate substance abuse treatment and interfere mia, bipolar disorder) need specialized treatment
with recovery. from a trained and licensed mental health profession
al. However, when treating the substance abuse
issues of clients who have mood disorders, the sub
Figure 1.1 stance abuse counselors’ role is to (1) address how the
Depressive Symptoms and Related Feelings depressive symptoms of the mood disorder interact
and Behaviors with the substance abuse recovery treatment, and
The term “depressive symptoms” refers to symptoms (2) develop a collaborative treatment relationship
PART 2
experienced by people who, although failing to meet with the trained and licensed mental health profes
DSM-IV-TR diagnostic criteria for a mood disorder, sional who is directing the treatment for the mood
experience sadness, depressed mood, “the blues,” or disorders.
other related feelings and behaviors:
• Loss of interest in most activities
• Significant unintentional change in weight or
appetite Why SAMHSA Created an
• Sleep disturbances
• Decreased energy, chronic fatigue or tiredness, Implementation Guide as
feeling exhausted
• Feelings of excessive guilt Part of This TIP
• Feelings of low self-esteem, low self-confidence, or
worthlessness
• Feelings of despair or hopelessness (pervasive pes Clients During Early Recovery, Part 1, provides the
simism about the future) tools your counselors need to address depressive
• Avoidance of normal familial and social contacts symptoms with clients. However, an extensive litera
• Frequent agitation, restlessness ture review suggests that without specific attention to
• Psychologically or emotionally detached
implementation issues, these tools are likely to go
• Feelings of irritability or frustration
• Decrease in activity, effectiveness, or productivity unused or to be used ineffectively (Fixsen, Naoom,
• Difficulty in thinking (poor concentration, poor Blase, Friedman, & Wallace, 2005). This Guide will
memory, or indecisiveness) help you ensure that the ideas in Part 1 are put into
• Excessive or inappropriate worries practice in your program or agency. Implementation
• Being easily moved to tears will require the active support of executive adminis
• Anticipation of the worst
tration and the expertise of clinical supervisors.
• Thoughts of suicide

Consensus Panel The client with depressive symptoms may have diffi
culty in any or all of the following areas:
Recommendations for • Ability to learn program rules or to follow
Administrators instructions.
• Ability to keep appointments.
Substance abuse counselors should be prepared to
• Energy to participate in or maintain interest in
help clients manage their depressive symptoms
program activities.
because these symptoms can complicate treatment
• Motivation for change.
and recovery from substance use disorders.
• Ability to make appropriate decisions about treat
Administrators play an important role in ensuring
ment needs and goals.
that their programs incorporate this aspect of treat
• Belief that he or she can be helped.
ment. In particular, the Consensus Panel recom
• Responsiveness to reinforcements.
mends the following:
• Ability to handle feelings.
• All substance abuse treatment programs should • Ability to handle relations with other clients.
integrate screening and management of depressive • Ability to attend to (and not disrupt) group
symptoms into existing substance abuse treat activities.
ment. • Ability to stay substance-free after treatment is
• Programs need to develop the capacity to differen completed.
tiate clients with depressive symptoms from those
In summary, depressive symptoms may pose signifi
with depressive illness and have resources in place
cant impediments to recovery. Addressing these
to address the needs of both groups.
symptoms is a necessary part of treating the whole
• Programs have a responsibility to develop a refer
person and may be a concern for meeting the client’s
ral network that is capable of evaluating clients
recovery goals.
with depressive symptoms and receiving clients
PART 2
whose depressive symptoms cannot be managed in Depressive symptoms may easily be mistaken for
the substance abuse treatment setting. resistance to treatment. It is essential that staff be
• Adequate policies and procedures should be in able to discriminate between depression and treat
place to serve clients with suicidal thoughts or ment resistance. Depressed clients may well wish to
behaviors. be in recovery but lack the motivation and energy to
• In clinical supervision, an emphasis should be take on the challenging tasks posed by participation
placed on improving counselors’ ability to recog in recovery programs.
nize and manage clients’ depressive symptoms.
The Benefits to Your Program of

Why Address Depressive Addressing Depressive Symptoms
Symptoms? Research clearly demonstrates that depressive symp
toms can be reduced through treatment. Addressing
these symptoms may improve substance abuse treat
The Effects of Depressive ment outcomes and long-term abstinence outcomes
Symptoms on Recovery (Brown, Evans, Miller, Burgess, & Mueller, 1997;
Clients with depressive symptoms may experience Ramsey, Brown, Stuart, Burgess, & Miller, 2002).
challenges to successful treatment above and beyond Treating the symptoms of depression:
those experienced by clients who are not depressed • Enhances the treatment experience for both the
(Conner, Sorensen, & Leonard, 2005; Curran, Flynn, person with depressive symptoms and those
Kirchner, & Booth, 2000; Dodge, Sindelar, & Sinha, around him or her.
2005; Greenfield, Weiss, Muenz, Vagge, Kelly, Bello, • Increases retention rates.
et al., 1998; Strowig, 2000). • Leads to greater reductions in substance use.

• Reduces the probability of relapse. and/or frustrating, but will be beneficial to client
• Increases engagement rates in aftercare services. well-being in the long run.
In addition to these benefits for the client, addressing Every organization is a social system with its own
depressive symptoms as part of your agency or pro unique culture. There are actually two cultures to
gram may lead to: each organization—the formal and the informal—that
• Increased clinical competence of staff. involve separate communication channels. The ideal
• Increase in appropriate referrals for psychological is to have these cultures as congruent as possible.
and psychiatric evaluations for depression and They affect decisions, relationships, and common (or
depressive symptoms. conflicting) values and beliefs. Any change in services
• Increased staff retention, higher levels of staff sat or approaches to clients will call for a significant
isfaction, reduced risk of burnout, decreased staff change in the organization’s culture.
stress, and reduced turnover.
Change in the corporate culture calls for leadership.
• Improved risk management (e.g., less suicidal
Management at all levels and in all departments—
ideation and suicidal behavior) and reduced
not just clinical services—must be involved. Ancillary
liability.
and support personnel also will be affected and need
• Access to new revenue streams.
to be part of the process.
Addressing co-occurring substance use and mental
The similarities between recovery in an individual
disorders is a key priority for the Federal govern
and change in an organization are rather striking. In
ment, State governments, insurance companies, cre
fact, the organizational change process is highly anal
dentialing boards, and accrediting organizations. By
ogous to the clinical processes of assessment, client-
starting now to address depressive symptoms in your
centered treatment planning, treatment delivery, and
agency or programs, you will be better positioned in
continuing care.
the future to compete in the substance abuse treat
PART 2
ment marketplace. As with recovery, careful assessment is central to

organizational change. About half of Part 2, chapter 2
Ideally, your agency can become part of the larger
of this TIP concerns assessment issues. As you will
community of research-practitioners who seek the
see in that discussion, the current status of the
best ways to help clients more quickly experience a
organization relative to targeted change goals needs
higher quality of recovery. By joining with other
to be assessed. Current practices, staff and adminis
agencies in your network, you can coordinate treat
trator competencies, policies and procedures, facili
ment practices and perhaps collaboratively obtain
ties, and so on will need to be evaluated (see the sec
research grants. Some of the best practices are unre
tion “Maximizing the Fit,” p. 106). These are similar
searched because agencies do not appreciate the
to client assessments that determine the nature and
value of their unique treatment approach.
scope of a client’s issues and challenges as well as
their strengths and assets.
Thinking About A program’s readiness for change needs to be exam

ined. Sometimes, the best decision is to delay
Organizational Change attempting any change and work only on organiza
If you have decided to implement some or all of the tional climate and readiness. Introducing change
recommendations in Managing Depressive Symptoms before the groundwork has been laid can foreclose or
in Substance Abuse Clients During Early Recovery, impede later change opportunities when the climate
Part 1, you, your staff, your clients, and the other improves. An excellent resource for organizational
agencies and organizations with which you interact assessment for change is the Program Change Model
may require the development of new treatment proto (Simpson, 2002) and its accompanying survey, the
cols and policies, as well as new clinical knowledge, Organizational Readiness for Change (Texas
attitudes, and skills. These changes can be rewarding Christian University, Institute of Behavioral

Research, 2002). This model addresses strategies and expanding staff capabilities in mental health issues.
tools for assessing institutional and personal readi Similarly, your board’s concern with expansion might
ness and outlines the stages of the transfer process be tied to the need for increased capacity if the organ
that administrators may find helpful. ization is to address the depressive symptoms of its
clients.
The four stages are:
1. Exposure through training The development of the change plan should involve as
2. Adoption through leadership decision making many clients, stakeholders, and community resources
3. Implementation through exploratory use as possible. There are a number of reasons this is the
4. Practice through routine use. case. First and obviously, clients, staff, and other
stakeholders function best when they feel involved in
In addition, your assessment should consider your
shaping their worlds. They feel that they have a
organization’s past experiences with change initia
measure of control and understand what is going to
tives (i.e., whether they were positive or negative).
happen and what is expected of them. Equally impor
Just as a bad experience in a previous treatment
tant, stakeholders (especially staff) have a key role in
program may color a client’s perception of a new pro
determining how to make the recommendations in
gram, old experiences with organizational change
may affect attitudes toward new efforts. Thus, a
Clients During Early Recovery, Part 1 work best in
thorough review of organizational history of change
your agency or program.
is critical to planning new organizational change. The
response to change of staff members is equally Finally, no stakeholder is more important than the
important to predicting successful outcome of clinical supervisor who is commissioned to implement
implementation. the clinical mission and vision of the administrators.
The clinical supervisor is challenged to help coun
As in treatment, assessment is not a one-time activi
selors maintain a high level of best-practices, to over
ty. Rather, it is an ongoing process that includes reg
PART 2
see the application of these practices, and to conduct

ular feedback and adjustment of your plans for orga
process and program evaluation for quality control.
nizational change and your approaches to facilitating
Below is a discussion of how clinical supervisors serve
change. A plan for organizational change is similar to
as the critical link between direct service staff and
a client-centered treatment plan. First, your plan
administration, and the role of clinical supervisors in
must be tailored to the specific needs of your organi
implementing organizational change.
zation. Your assessment information helps you deter
mine where your organization needs to go, how to get Principles for implementing the change plan are
there, and the pace at which change can occur. directly analogous to principles of treatment and
Simply following the plan used by another organiza recovery in that both are achieved in steps, making it
tion makes no more sense than having the identical a process rather than an outcome. The following prin
treatment plan for all of your clients. The choice to ciples of managing change are directly adapted from
implement a component on depressive symptoms pre principles of care presented in chapter 1 of Managing
sumably is part of a larger mission and vision to pro Depressive Symptoms in Substance Abuse Clients
vide treatment for a wider range of affective symp During Early Recovery, Part 1:
toms (such as anger, anxiety, shame, guilt) that
1. There is no single model or approach to implement
undermine progress toward personal and social well
ing a program of organizational change. A precon
being.
ception about how change should occur or inflexi
In as many ways as possible, the change plan should bility during the change process is all but certain
be linked to your best understanding of what key to be counterproductive, if not fatal, to meeting a
stakeholders (e.g., boards, staff, funders, clients, com client’s treatment goals or a program’s change
munities, 12-Step groups) want and value. If, for goals. Constant vigilance and course corrections
example, your staff desires professional growth oppor will be needed. Corrections should be made in con
tunities, change aimed at addressing the needs of sultation with the same stakeholders who devel
clients with depressive symptoms can be linked to oped the original change plan.

2. A belief in your organization’s ability to accomplish being a rational person who does not need to be per
the change plan is fundamental. As with coun suaded to adopt a good idea when you see one. This is
selors, an administrator’s belief that change can all the more true in your role as a helping profession
happen (and the ability to communicate that belief) al. You want the best for your clients and actively
is a central component of the change process. seek new ideas that will help you help them.
However, recognizing a good idea and implementing
3. The change program should be individualized to
it in practice are two very different things. In fact,
accommodate the specific needs, goals, culture, and
many good ideas for practice improvement are never
readiness to change of your organization. It is crit
widely implemented (e.g., Woolf, DiGuiseppi, Atkins,
ical to adapt and “personalize” the plan to fit
& Kamerow, 1996).
specific organizational needs and culture.
Some of the usual challenges you may hear are:
At least in the first few years after the implementa
• “This is not what worked for me.”
tion of an organizational change plan, maintenance of
• “This is not how I was taught to do it.”
these changes cannot be assumed. Continuing care of
• “Depression is part of withdrawal; it will go away
your organization’s new accomplishments is critical to
on its own after a while.”
their long-term survival. Like treatment and recov
• “We need to stick to basics.”
ery, this is often neglected and can lead to relapse.
• “I’m doing it just fine, thank you very much.”
Continuing care is needed for several reasons. First, • “You keep adding things to do. What are you going
newly learned practices and procedures are fragile to take away?”
and will tend to drift. Organizational change almost • “You’re the expert: tell me what to do.”
always brings about some degree of personnel change. • “This won’t work for this client.”
Planning for the selection and integration of new • “I couldn’t make supervision because I had to see a
employees, the factors that need to be considered, and client.”
the method by which integration will be accomplished
PART 2
As a general rule, failure to implement new clinical

all need to be part of the developmental process.
practices has little to do with resistance to change on
Equally important, new and unforeseen barriers may
the part of counselors or administrators. Failure to
arise that need to be addressed. As time passes, more
implement can be a result of issues such as inade
and more of these challenges will have been encoun
quate modeling from administration, lack of follow-
tered and overcome. In the early stages, however,
through, inadequate training, and many others. Even
there will be some unanticipated challenges. Regular
the best counselors and administrators are highly
supervision and training boosters are the best insur
constrained by the contexts in which they work.
ance that behavior change will last over time.
Accordingly, implementation success requires admin
Eventually, the changes you implement will become a
istrators to:
regular feature of your agency’s operation. This
• Be proactive in making the new practice fit the
process is called institutionalization; it will have
context.
occurred when no one seems to really remember what
• Create an organizational climate that encourages
things were like before the change took place. Rather,
and supports implementation.
the new practices you introduced have become the
everyday practices of your agency. Even when institu These two tasks are related, and accomplishing one
tionalization occurs, however, a commitment to con requires accomplishing the other. For example, fitting
tinuous quality improvement will help ensure your new practices to your context requires a thorough
program’s ability to respond to ongoing changes in review of your agency’s current operations. Such self-
the needs of your client population and community. examination, in turn, helps create an organizational
climate of openness to new ideas and experimenta
tion. Before implementation begins, it is important to
The Challenge of Implementing create positive expectations among staff. Investing
New Clinical Practices the time to educate and express support for the spe
It is sometimes assumed that good ideas are self- cific implementations can go a long way in staff
implementing. After all, you may pride yourself on acceptance of change, especially in the early stages.

So often, executive staff face more immediate resist • A willingness to tolerate some ambiguity as the fit
ance or ambivalence because the initial groundwork between new practices and context evolves.
was not done. Moreover, administrators have likely • An ability to recognize false starts and to abandon
considered the change ideas for some time and expect approaches that are not working.
staff to be at a similar level of enthusiasm and com • Appreciation and reward for ideas and implemen
mitment to the proposal. tation.
Change is easier to make when those involved: As noted earlier, the later stages of implementation
• Understand why the change is needed and the will be facilitated by:
benefits they will realize. • A commitment to continuous quality improvement.
• See how the new ways will integrate into and • The development of structures that support and
honor what has been done previously. reinforce the change (e.g., standardized training
• Are given motivation strategies for providing ideas for new staff, regular boosters, and supervision for
and offers of assistance in implementation. all staff).
• Expressions of organizational pride in accomplish
ment.
Maximizing the Fit • Institutionalization (in which new practices
For a clinical innovation to take hold, it must fit with: become everyday practices).
(1) key characteristics of your target population and
community (e.g., values, expectations); (2) the skills, Clinical supervision is the keystone of implementa
licensures, certifications, and team structures of your tion of new clinical procedures and processes.
staff; (3) your program or agency’s facilities and Supervision should be more instructive and less crisis
resources; (4) your policies and practices; (5) local, driven—more proactive and less reactive—by using
State, and Federal regulations; (6) available intera such strategies and resources as:
gency networks (e.g., needed outside resources, mem • Innovative supervision methods, including live, in-
PART 2
oranda of understanding); and (7) your reimburse session supervision, role playing, taping, and
ment procedures. Certain kinds of mismatches will be group and peer supervision.
fatal to implementing change. For example, no one • Regularly scheduled, ongoing clinical supervision
would expect successful implementation of an innova • Checklists and fidelity scales.
tion when staff lack the skills to perform it. However, • Quality skills training.
a lack of appropriate space or needed audiovisual • Counselor mentoring.
equipment can stall an innovation in its tracks. As
with many endeavors, the details are critical.
It is likely that adjustments will be needed both in

The Role of the
your agency’s or program’s context and in the ways Administrator in
that the recommendations presented in Part 1 are
implemented. Part 2, chapter 2 of this TIP provides
Introducing and
procedures, checklists, and other tools for assessing Supporting New Clinical
the fit between the recommendations provided in Part
1 and your program or agency’s current context, pro
Practices
cedures, and so on. Useful though these materials Chapter 2 of this Guide presents the tasks you will
are, your ultimate success in “maximizing the fit” will need to accomplish in order to implement the changes
depend on your creativity, problem solving skills, and elaborated in Managing Depressive Symptoms in
patience in applying them. Substance Abuse Clients During Early Recovery, Part
1. Important as these tasks are, they cannot them
In the early stages of implementing the recommenda
selves ensure the successful implementation of the
tions in Part 1, organizations will profit from a cli
Part 1 recommendations. Rather, successful imple
mate that promotes:
mentation will ultimately depend on the leadership
• A willingness to take risks and try unconventional
you provide.
approaches.

Leadership is critical for implementing an organiza knowledgeable and conversant on the impact of
tional change. First and foremost, leadership means addressing co-occurring disorders and offer a vision of
commitment. If you and your administrative col what this means to the program.
leagues are not fully committed to improving services
Third, leadership means inspiring your organization.
for clients with depressive symptoms, meaningful and
Inspirational leaders communicate confidence in the
lasting change is unlikely to take hold. In many ways,
organization’s ability to change, enthusiasm for
attempting change without the commitment of orga
change, optimism about the change process, and an
nizational leaders can be worse than no attempt to
unwillingness to accept failure. This needs to be com
change at all. The perception that leaders are only
municated to all stakeholders including current and
giving lip-service to a new idea will eventually
potential clients, funders, board members, staff, com
become clear to staff. This perception will undermine
munity leaders, community 12-Step participants and
the current attempts at innovation and may lead to a
programs, and sister agencies. Inspiration not only is
staff that is reluctant to try new ideas.
a process of oral and written communication, but also
Second, leadership means having a vision of how the involves modeling the attitudes and values you want
organization will change. This vision should include staff and other stakeholders to adopt, including those
explicit goals and a clear statement of how conflicts discussed earlier (e.g., risk taking, tolerance of ambi
with other organizational goals will be resolved. guity, and willingness to start over when approaches
However, a vision is more than a list of goals. It is a are not working). Inspiration also involves getting
picture of how the organization will look when change your hands dirty. Nothing inspires staff members
has been accomplished—a picture you must paint more than seeing their leaders struggle alongside
with words in vivid detail for your staff. Developing them in the day-to-day tasks of making new ideas
this vision and the means to communicate it through work.
out the organization requires considerable effort.
Finally, leadership means an ongoing and honest
PART 2
Leadership should include highly skilled and compe appraisal of progress. As noted in Managing
tent clinicians trained in mental health and sub Depressive Symptoms: A Review of the Literature,
stance use disorder treatment who can direct and Part 3 (KWWSVWRUH.samhsa.gov) and discussed further
supervise services for clients with co-occurring below, implementing the recommendations from Part
depressive symptoms and substance use disorders. 1 will require ongoing assessments of progress,
These clinicians should know and appreciate the spe including regular formative evaluation of process and
cific roles that can be played by licensed or certified outcomes. Periodic reports on how the organization is
addiction counselors, licensed social workers, psychol doing can and should be developed from the assess
ogists, physicians, and other mental health and sub ments and evaluations. These reports should be
stance abuse professionals. They should also have an shared with staff as should plans for corrective action
appreciation for the role depressive symptoms can when needed. The most effective leaders frame both
play in interfering with substance abuse treatment. good and bad news in a positive light. One way to do
When such resources are not available on staff, a cli this is to emphasize the learning value of challenges
nician should be available on a consultant basis. and setbacks and to remind staff that it is the organi
zation as a whole, rather than any individual, that is
Since working with clients with depressive symptoms
responsible for making change happen. This means
means that programs must be prepared to address
that “we succeeded” or “we still have room to
the needs of clients with co-occurring disorders, staff
improve” is always the preferred way to communicate
have a right to expect that program leadership will be
successes and failures.

Chapter 2
Introduction
There is no simple formula for implementing the clinical recommendations presented in Managing Depressive
Symptoms in Substance Abuse Clients During Early Recovery, Part 1. Like any tool, the resources presented in
this chapter will be effective only when used by people who have a clear vision of what they wish to accomplish
and who actively determine and understand the processes by which they will get there.
The resources presented in this chapter have been organized into those related to organizational assessment
and those related to planning and implementing organizational change. The change process in your agency or
program will require creative and thoughtful adaptation and application of these resources to your specific
needs and circumstances. They should be viewed as points of departure only. You should revise or otherwise
modify the materials as needed for your organization.
The Change Book (Addiction Technology Transfer Center Network [ATTC], 2004), provides the basis for the
organizational change process presented in this chapter. Additionally, you may wish to consult Implementation
Research: A Synthesis of the Literature (Fixsen, Naoom, Blase, Friedman, & Wallace, 2005). This is a highly
readable and very useful summary of the scientific basis for various implementation practices. Some of the
main ideas in chapter 1 derive from this synthesis.
You may also wish to consult with colleagues who have managed organizational change in organizations similar
to yours. At this point in the development of implementation strategies for human services, many excellent
ideas are still to be found outside the published literature. Your colleagues may have insights or ideas that are
PART 2
equal to or more applicable than those presented in this Guide.
Finally, a point made in chapter 1 is worth repeating: Managing organizational change is very similar to work
ing with a client in a clinical setting. Your understanding of the recovery process and of the counselor’s attrib
utes and techniques that facilitate recovery is an invaluable resource as you apply the tools presented in this
chapter.
Assessment and Planning Before Implementation

How Do You Decide Whether To Implement a Policy for Managing
Depressive Symptoms?
To determine whether it makes sense for your agency to implement the recommendations made in Managing
Depressive Symptoms in Substance Abuse Clients During Early Recovery, Part 1, refer to Figure 2.1.
How Do You Identify the Issue or Need?

The following How-To components provide ways to operationalize the steps presented in Figure 2.1.

Figure 2.1
Decision Tree
How To Decide Whether To Implement a Policy for Managing Depressive Symptoms
Step A. Have you NO Step F. Has the

NO
identified an issue Refer to How-To 2.1. specific outcome Refer to How-To 2.4.
or problem? targeted for change
been identified?
YES
YES
Step B. Have you NO
identified the evidence NO Step G. Have you Refer to How-To 2.5.
that supports the exis Refer to How-To 2.1. assessed the agency?
tence of this issue
YES
or problem?
YES Step H. Have you NO Reconsider the
assessed the specific specific needs of the
Step C. Have you audience? audience.
identified the current
YES
practices for staff and NO
administration that Refer to How-To 2.2.
Step I. Do you
might be contributing have the information
to or maintaining NO Refer to Part 1,
necessary to show that

this problem? your agency will benefit Chapter 1 of this TIP.
from implementing an
YES
approach to managing
Step D. Has a symptoms of depression?
team been NO
identified to lead the Refer to How-To 2.3. YES
preparation and
PART 2
implementation plans? Step J. Does

implementing this NO Refer to the NATTC
YES approach have the Change Book,
support of senior Step 6.
Step E. Do you leadership?

have appropriate NO
oversight and input Refer to How-To 2.3.
to support
implementation?
YES
How-To 2.1: How to Identify the Issue or Need (Figure 2.1, Steps A
and B)
Research suggests that the following issues or problems may be relevant to

your agency’s treatment outcomes. Think about the three levels where
change can occur (i.e., program/organizational, practitioner/counselor, and
client/patient) when considering the following steps. Also, begin thinking
about the part of the agency where you may want to implement changes
first (for more information, see also the section How Do You Decide Where
To Start?, p. 113).
1. Depressive symptoms are common in clients presenting for substance

abuse treatment. Determine whether clients with depressive symptoms
are being identified and effectively treated in your agency (see How-To
2.2).

2. People who present with depressive symptoms may take longer to bene
fit from treatment. Determine whether this is an issue for your agency.
Does your program offer the option of longer treatment stays to clients
with depressive symptoms? If not, how is this need addressed? What
practices may need to be changed?
3. Untreated depressive symptoms result in poorer substance abuse treat

ment outcomes. Determine whether a goal for your agency is to improve
retention rates of clients with depressive symptoms. Determine whether
a goal for your agency is to more effectively reduce the number of depres
sive symptoms experienced by the clients.
One aspect of the identification process is to assess the organizational capa

bility of the agency to implement or augment a program for services to
clients with depressive symptoms.
How Do You Assess the Capability of the Agency To Provide Services to

Clients with Depressive Symptoms?
People with symptoms of depression may see themselves as worthless, the world as hostile, and their future as
hopeless. Is this addressed in your treatment program? For example, are people not making the transition from
detoxification to treatment because they are depressed and their depression is not being addressed while they
are there? Are people not staying in treatment because they are not confident that their treatment plan will
help them manage their symptoms of depression along with their substance use disorders? Assess the current
PART 2
capability of your agency or program to work with people with symptoms of depression (see How-To 2.2 below).
How-To 2.2: How To Assess Current Capability To Manage

Depressive Symptoms (Figure 2.1, Step C)
For each program setting consider the following questions:
1. Are the treatment teams (e.g., psychiatrist, nurse, licensed master’s level
clinicians, certified substance abuse counselors, clinicians, and coun
selors in training) multidisciplinary?
2. Are symptoms of depression identified and adequately addressed in

treatment plans?
3. Are appropriate interventions planned to treat symptoms of depression?
4. Are the interventions already in use effective with the program’s

clientele?
5. Does the supervisory staff have the knowledge, skills, and attitudes nec
essary to supervise or coach the line staff applying the interventions?
6. Does the program have referral or consultation relationships with

trained and licensed mental health professionals or mental health
programs?
Note: For more information on assessing current capability, see Sample

Policies 1–6 and Checklists 1–4.

How Do You Organize a Team To Address the Problem?
Once you have identified an issue or problem, you need to create a work group to address the problem (see
How-To 2.3).
How-To 2.3: How To Organize a Team To Address the Problem

(Figure 2.1, Steps D and E)
1. Identify one person to lead the effort. This person must have the backing
of senior administration and the respect of direct treatment staff.
2. Obtain the commitment of the chief executive officer of the agency to

articulate the vision for implementation throughout the agency, with all
stakeholders, and to the public.
3. Convene an implementation work group consisting of key leaders from

different stakeholder groups: consumer leaders, family leaders, team
leaders, clinical leaders, and program and administrative leaders. Some
stakeholders will serve as ongoing members of the work group while
information from others may be solicited through focus groups. If your
program has a residential or inpatient component, be sure to include an
individual from the night staff (i.e. aide, tech, night nurse). This staff
will actually have more conversations with patients than most clinical
staff and are in a position to support this program through their obser
vations and understanding.
PART 2
4. Identify the program oversight committee to which the work group will
report. For example, if your agency has a quality improvement commit
tee, the work group may report its findings, recommendations, strategic
plans, and modifications to that committee. This is one way to initiate
and sustain implementation.
How Do You Identify a Specific Outcome To Target for Change?

Once you’ve identified a work group to address the problem, you need to identify a specific outcome to be target
ed for change (see How-To 2.4).
How-To 2.4: How To Identify a Specific Outcome To Target for

Change (Figure 2.1, Step F)
1. Begin with the issue or problem identified in Step A of Figure 2.1, and
determine a specific variable that can be measured that is directly relat
ed to improving the management of depressive symptoms. For example,
“decrease client experience of depressive symptoms.”
2. Identify a way to measure “client experience of depressive symptoms.”

For example, the Center for Epidemiologic Studies Depression Scale (see
Part 1) could be administered to agency clients to determine the preva
lence of depressive symptoms.
3. Measure a baseline prior to implementing the intervention. For example,

determine how many clients experience depressive symptoms while in

treatment at your agency. How many clients are still experiencing
depressive symptoms when they leave treatment? Do the clients who
experience depressive symptoms tend to leave treatment earlier than the
clients who do not report depressive symptoms? Do they tend to have
more difficulty maintaining abstinence?
4. Identify which outcome you are most interested in measuring to deter

mine whether implementing the intervention is working.
How Do You Decide Where To Start?

Once you’ve identified a specific outcome to target for change, you will want the work group to assess the
agency and the staff (both frontline and supervisory) to be targeted by the implementation. You will have an
easier time implementing your plan if you start with a small program where staff members already work well
with one another and believe in the new techniques. Staff members on closely knit teams work with one anoth
er’s strengths and will have an easier time assigning responsibilities when it comes time to implement the prac
tice. Alternatively, you may choose a small, core group of staff members who are ready to try the new tech
niques and are prepared to be part of the implementation process (i.e., target early adopters across programs).
These will be the first staff members trained and coached in using these techniques.
Other advantages to starting small include:

1. It is easier to track the success of the implementation.
2. It is easier to identify and make any modifications to the techniques that may be necessary to accommodate
the agency’s clientele.
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3. The core group members will talk about the success they are having with the techniques and get other staff
interested in learning and using the techniques.
For more information on assessing your agency’s readiness for implementation, see How-To 2.5.
How Do You Assess the Agency’s Organizational Readiness for

Implementation?
How-To 2.5: How To Assess the Agency’s Organizational Readiness

for Implementation (Figure 2.1, Step G)
1. The committee assesses the agency’s organizational readiness by first

determining whether implementing practices to improve the manage
ment of depressive symptoms in the agency’s clientele are consistent
with the agency’s mission statement. (See also the section Modifying
Existing Policies, p 114).
2. The committee determines the obstacles to implementation:
a. Rate of staff turnover in the agency including average longevity of

clinical and support staff.
b. Inadequate funding for training, technical assistance, and outcome

measurement.
c. Policies and procedures that would have to be changed (see Sample

Policies 1–6, pp. 115–119).

d. Agency facilities and resources.
e. Federal, State, and local regulations that affect the decision to imple
ment this intervention (see the section Addressing Relevant
Regulations).
3. The committee determines the opportunities created by implementing

this intervention:
a. Increased funding.
b. Increased collaboration with other agencies.
c. Improved community relations and marketing opportunities.
4. The committee determines the organization’s stage of change (see also

the ATTC Change Book, pp. 33–34).
5. The committee determines where the resources will come from to provide
support for the change initiative (ATTC Change Book, p. 29).
6. The committee determines what adoption of this change will mean at all
levels of the organization and what the benefits are for administrators,
supervisors, and counselors (ATTC Change Book, p. 29).
7. The committee determines what is already happening that might lay the
foundation for the desired change (ATTC Change Book, p. 29).
PART 2
Addressing Policies and Procedures

Planning and implementing a new program component almost always impacts existing policy and procedure.
These items need to be reviewed and adapted to be sure they are in conformance with the new program.
Implementing organizational change requires a multilayered approach to establishing communication and com
mitment across departments and program areas. As described in earlier sections, the commitment of the orga
nizational leader is of utmost importance. Nonetheless, this leadership commitment alone is not adequate to
ensure that changes are adopted and sustained over time. Mechanisms to institutionalize these changes must
be established. Policies and procedures constitute one of the most common approaches to institutionalizing
organizational practices. Although varying in format and structure as a result of regulatory and organizational
diversity, policies and procedures serve as the foundation of organizational practice.
This section provides six samples of the critical policies and procedures related to addressing depressive symp
toms within substance abuse treatment agencies. In each topic area, a policy statement and set of procedures
related to the topic are presented. These sample policies can be used as presented, combined into one or more
comprehensive policies, or integrated into the organization’s existing policies.
Modifying Existing Policies

In addition to adopting policies on managing depressive symptoms, provider agencies might consider modifying
other policies and program descriptions to provide continuity of care for individuals experiencing depressive
symptoms.
For example, each substance abuse treatment program will develop its own approach to screening and monitor
ing the depressive symptoms of its clients based on (a) the characteristics of its clientele, (b) its resources, espe-

cially its staff training and background, (c) legal and reimbursement considerations, and (d) a host of possible
idiosyncratic factors (e.g., specific arrangements worked out with referral resources or consultants, participa
tion in clinical trials, or other external influences). Your professional input into developing the necessary poli
cies and procedures is essential, and at a minimum there should be a protocol that stipulates:
• What standard questions a client is asked.

• When these questions are asked (by interview and/or self-report mechanisms) and when repeated (especially
what observations or events might trigger rescreening).
• Who can ask these questions and what training is provided or needed regarding the questions and the over
all process, procedures, and policies.
• Exactly how scoring or assessment of the clients’ responses will be done, including exact guidelines for the
follow up triggered by different levels of severity or acuity indicated by various responses.
• Where these policies and procedures fit within the agency’s policies and procedures and what chain of com
mand and communication exist, especially for emergency situations that might arise.
The Mission Statement

Descriptions of the mission or treatment philosophy should be modified to include a description of the impor
tance of addressing co-occurring problems (including depressive symptoms) during the course of treatment, the
importance of client-centered care, and the need to educate the client about the relationship between substance
abuse and depressive symptoms.
Program Descriptions
In addition, program descriptions should have welcoming statements for clients who have co-occurring sub
stance abuse and depressive symptoms and identify client-focused treatment planning that is responsive to
PART 2
individuals who have substance abuse and depressive symptoms. An example of such an approach might be
that alternative and/or complementary individualized activities are available in addition to group activities for
individuals who may benefit from them. Each program should include a vehicle for communicating with all
clients about the relationship between substance abuse and depressive symptoms.
Sample Policy 1
Topic: Clinical staff training and competency.
Policy Statement: All clinical staff will demonstrate basic competency in screening clients with substance use
disorders for depressive symptoms.
Procedures:
1. All clinical and support staff will participate in a 3–5 hour training session covering depressive symptoms, their
impact on substance abuse treatment retention and outcomes, and criteria and procedures for referring individuals
to services aimed at managing depressive symptoms.
2. The clinical supervisor of new employees will provide site-specific information on the procedures for screening and
referring individuals who are experiencing depressive symptoms.
3. Clinical competency checklists completed at hire and annually thereafter will ensure that all clinical staff members
have a basic knowledge of the benefits of managing depressive symptoms, an understanding of strategies for
assessing the significance of depressive symptoms, and an awareness of appropriate referral procedures.

Sample Policy 2
Topic: Recruitment, training, and supervision of clinical staff treating depressive symptoms in clients.
Policy Statement: Counselors interested in providing services for managing depressive symptoms and who possess
the relevant basic counseling skills, knowledge, and attitudes (see Checklist 2, p. 122) will be recruited, trained, and
supervised to deliver these interventions.
Procedures:
1. At least one clinical position in each program or modality of care will be designated to provide services to manage
2. Individuals exhibiting the attitudes, knowledge, skills, and job performance required to provide interventions to
manage depressive symptoms will be identified by their clinical supervisor and designated to provide these
services.
3. The counselors identified to provide interventions to manage depressive symptoms will receive 2 weeks of initial
training and 1 week of additional training each year in the following areas:
• Screening and assessment of depressive symptoms.
• Managing depression in the context of cultural diversity.
• Client-centered care.
• Motivational interviewing.
• Building self-efficacy.
• Cognitive–behavioral approaches.
• Therapeutic alliance.
• Personal boundaries and professional ethics.
• Termination and discharge planning.
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4. Counselors managing depressive symptoms will receive clinical supervision twice monthly that includes direct
observation or review of tapes of individual sessions with clients with depressive symptoms.
5. Counselors managing depressive symptoms will meet quarterly to provide peer support, supervision, and share
resources related to the management of clients with depressive symptoms.

Sample Policy 3
Topic: Screening and referral of clients with substance use disorders and depressive symptoms.
Policy Statement: All clients will be screened for depressive symptoms and referred as needed.
Procedures:
1. During the intake process, all clients will be screened for the following nine depressive symptoms:
• Loss of interest in most activities.
• Significant unintentional change in weight or appetite.
• Sleep disturbances.
• Decreased energy, chronic fatigue or tiredness, feeling exhausted.
• Feelings of excessive guilt.
• Feelings of low self-esteem, low self-confidence, or worthlessness.
• Feelings of despair or hopelessness (pervasive pessimism about the future).
• Avoidance of normal familial and social contacts.
• Frequent agitation, restlessness.
• Psychologically or emotionally detached.
• Feelings of irritability or frustration.
• Decrease in activity, effectiveness, or productivity.
• Difficulty in thinking (poor concentration, poor memory, or indecisiveness).
• Excessive or inappropriate worries.
• Being easily moved to tears.
• Anticipation of the worst.
• Thoughts of suicide.
2. Staff will be trained in using specific depression screening tools such as the CES-D scale.
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3. Individuals demonstrating depressive symptoms will be referred for assessment by a State-qualified mental health
professional (QMHP) or substance abuse specialist.
4. Clients who are determined by a QMHP to have a DSM-IV-TR mental health diagnosis will be referred for mental
health treatment to be delivered by a QMHP. Collaborative relationships with mental health treatment providers
will be developed.
5. If no current mental health diagnosis is identified by the QMHP but depressive symptoms exist, the client will be
referred to a counselor competent in managing depressive symptoms (see Sample Policy 2).
6. The counselor managing depressive symptoms will screen for changes in the symptoms of depression at each ses
sion and, if the client is exhibiting more than two symptoms or current suicidal ideations, the counselor will imme
diately contact his or her clinical supervisor to determine whether the individual should be reassessed by a QMHP.
7. All screening results, consultation sessions with the clinical supervisor, and referrals (and ongoing communications)
to a QMHP will be documented in the client’s record.
8. The counselor providing services for depressive symptoms will provide the client with an emergency contact list
that includes agency personnel and emergency mental health providers. The client can refer to this list if his or her
symptoms worsen outside business hours or when substance abuse counselors are not available.

Sample Policy 4
Topic: Treatment planning, service recording, discharge planning, and continuity of care.
Policy Statement: Management of depressive symptoms will be integrated with substance abuse services, be
properly documented, and include appropriate discharge and transfer planning related to depressive symptoms.
Procedures:
1. Screening for depressive symptoms and strategies for managing depressive symptoms will be included in the
client’s treatment plan.
2. Treatment plans for depressive symptoms, along with other substance use problems, will be jointly developed by
the multidisciplinary team and the client within and/or across programs.
3. To minimize client confusion, the client will be provided with information about the roles and responsibilities of
those delivering care.
4. If the counselor providing services for depressive symptoms is not the client’s primary substance abuse counselor,
the counselor providing services for depressive symptoms will attend all treatment planning sessions for the client
along with the other members of the multidisciplinary team.
5. Treatment plans will include referral to other community resources and peer support activities that may increase
the client’s self-efficacy and reduce depressive symptoms.
6. Multidisciplinary treatment update sessions that include all professionals involved with the client’s care will be held
every 7 days for short-term residential treatment and every 30 days for long-term residential treatment and outpa
tient settings. (The frequency of treatment plan updates should be consistent with State and organizational stan
dards and will vary by modality of care and regulatory agency.)
7. Services delivered by the counselor treating depressive symptoms will be recorded in the client’s record at each
contact and will be available to other members of the treatment team.
8. Major changes in the client’s condition will be communicated between the substance abuse counselor and the mul
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tidisciplinary team providing services for depressive symptoms.

9. The checklist of depressive symptoms (see Sample Policy 3) will be completed at the last session before termination
to assist in developing the discharge plan and to be used by the quality assurance department for outcome moni
toring.
10. Discharge and transfer planning will include recommendations for the client about self-care and professional care
for depression.
Sample Policy 5
Topic: Counselor performance appraisal..
Policy Statement: Counselors capable of providing services for depressive symptoms will have job descriptions that
include a high level of specific performance expectations related to provision of services for these clients.
Procedures:
1. Job descriptions for counselors providing services for depressive symptoms will include modified caseload and pro
ductivity expectations for the modality of care in which the counselor works.
2. Performance appraisal of counselors providing services for depressive symptoms will include demonstration of core
competencies related to managing depressive symptoms.
3. Annual training requirements will be outlined in the job descriptions of counselors identified to provide services
for depressive symptoms.
4. Client satisfaction surveys and outcome reports will be discussed in annual performance evaluations with coun
selors managing depression symptoms.

Sample Policy 6
Topic: Evaluation of service effectiveness and quality assurance.
Policy Statement: Services for managing depressive symptoms will be reported annually through the agency’s quali
ty assurance system along with indicators of effectiveness based on client outcomes.
Procedures:
1. The agency’s quality assurance program will include monitoring the implementation of policies related to screen
ing and assessment of depressive symptoms, QMHP referral procedures, documentation and treatment planning,
and supervision of counselors providing services for depressive symptoms.
2. Data from admission and discharge screening of clients with depressive symptoms (see Sample Policy 3) will be
aggregated by the quality assurance coordinator for annual reporting to the agency.
3. The following overall agency performance outcomes will be reviewed annually by the management team:
a. The proportion of clients dropping out of treatment before the third session (it will be important to have infor
mation on the dropout rate before implementation of services for depressive symptoms to assess the impact of
these services on treatment engagement and retention).
b. The proportion of clients evidencing two or more depressive symptoms at admission and discharge.
c. The proportion of clients referred to a QMHP.
d. The number of clients receiving services for depressive symptoms.
e. The proportion of all clients experiencing a relapse during treatment and for the subgroup of those with
Addressing Relevant Regulations
PART 2
Another aspect of assessing the agency is to determine whether implementing the intervention will conflict
with existing governmental or accreditation regulations and standards. For example, you will want to review
the licensing regulations for the substance abuse treatment counselors and the Federal, State, and local regula
tions that apply to the agency’s operation.
The assessment of the agency includes ensuring that the agency, program, and staff are licensed to provide the
interventions in Managing Depressive Symptoms in Substance Abuse Clients During Early Recovery, Part 1.
Before implementing any intervention, ensure that all appropriate policies and procedures are in place and that
these interventions fall within the scope of acceptable practice for the applicable Federal, State, and local regu
lations for your agency, program, and staff. It is also important to note that more and more often, licensed and
certified substance abuse counselors have advanced degrees in professions (such as social work, counseling, and
psychology) that do allow them to diagnose and treat mental disorders concomitant with the client’s substance
abuse treatment. Rules and regulations governing the practices of substance abuse counselors are evolving and
subject to change by State legislatures (see Part 1 Chapter 1 of this TIP).
Addressing Staff Competence

Where Is the Clinical Expertise in Your Agency?
Change in clinical practice is best facilitated by assessing the skills of well-trained and experienced clinicians
and targeting them for training and/or enlisting them in helping less skilled counselors facilitate change.
Two clinical management structures are described here—multidisciplinary teams and traditional clinical
supervisors.

Multidisciplinary teams are one effective way to ensure that the expertise for providing treatment for co-occur
ring substance use and mental disorders is available in your agency. If you have multidisciplinary teams in
your program, the teams assume the responsibility of tailoring interventions to an individual client’s needs in a
way that addresses co-occurring disorders seamlessly. The multidisciplinary teams provide ongoing support,
education, and treatment planning assistance for all staff. Teamwork creates an enriched environment for
implementing techniques for managing co-occurring disorders. An advanced level of capability for managing
depressive symptoms in clients with substance use disorders occurs when the more experienced and skilled
members of the team have the knowledge, skills, and attitudes required to apply an intervention and to super
vise and coach application of an intervention for other counselors.
Many substance abuse treatment agencies do not have multidisciplinary teams and instead rely on the expert
ise of clinical supervisors to evaluate and support the work of line staff. Clinical supervisors must have the
knowledge, skills, and abilities required to apply an intervention and be able to demonstrate the intervention
before they can coach others to perform it. The supervisors must also have the time to supervise and coach the
staff. If this describes the supervisors in the setting where you work, you have an intermediate capability to
manage depressive symptoms. If the supervisors have not yet reached this level, then you have a beginning
capability for working with co-occurring disorders and must develop a plan to build the resources necessary to
increase capacity.
The Frontline Staff and Clinical Supervisors

Once you’ve assessed the agency, you may want to assess the staff who will actually implement the change (see
How-To 2.6).
PART 2
How-To 2.6: How To Assess the Frontline Staff and Clinical

Supervisors To Be Targeted (Figure 2.1, Step H)
The committee determines the specific program and staff members who will
be the first to implement change.
1. Are there incentives to change (ATTC Change Book, p. 29)?
2. What are the barriers to change (ATTC Change Book, p. 29)?
3. At what stage of change is the program staff (ATTC Change Book,

p. 29)?
4. How will staff practice be affected (ATTC Change Book, p. 29)?
5. What additional support will staff need (ATTC Change Book, p. 29)?
6. Does staff have the prerequisite knowledge, attitudes, and skills?
7. What training and continuing resources are necessary to provide the

core intervention components?
See also Sample Policies 1–6 (pp. 115–119) and Checklists 1–4 (pp. 121–124)
for additional information to be used in assessing staff readiness.

Staff Qualifications and Competencies
As a part of implementation, a number of process-oriented tasks should be completed, including an assessment
of initial staff competence, education and training, development of skills and resources, and supervision. These
considerations are relevant not only to the counselors’ ability to deliver the services but also to clinical supervi
sors, other clinical staff, and support staff responsible for recording and billing services. These more peripheral
ly involved staff are often critical to the success of the program and can help shape the public image of the pro
gram and sustainability of the service.
Compared with those providing support services, however, the required level of knowledge and skill is signifi
cantly different for those directly involved in clinical care. For this reason, the attitudes, knowledge, and skills
required to manage depressive symptoms are separated into four categories: administrative and support staff,
all clinical staff, counselors designated to manage depressive symptoms, and their clinical supervisors. The four
checklists that follow (pp. 121–124) serve two purposes. First, they can be used to assess staff and organization
al readiness to implement or sustain the specialized services for managing depressive symptoms. Second, they
can be used to identify gaps in training and supervision to be addressed with individuals or groups. See also
TAP 21-A, Competencies for Substance Abuse Treatment Clinical Supervisors (CSAT, 2007).
Checklist 1: Characteristics and Competencies of Administrative and Support Staff
Attitudes
____ Integration of substance abuse and management of depressive symptoms is important for promotion of the agency mis
sion.
____ Depressive symptoms constitute valid and important experiences of clients with substance use disorders that
PART 2
deserve and require specialized attention.
Knowledge
____ Understands the relationship between depressive symptoms and substance abuse treatment effectiveness.
____ Understands how provision of services for depressive symptoms fits in the mission and goals of the
organization.
____ Is familiar with the policies and procedures related to recording and billing services for depressive symptoms.
____ Understands the distinction between DSM-IV-TR diagnoses and the depressive symptoms treatable by substance
abuse counselors.
____ Knows the agency’s policies and procedures on treating depressive symptoms as they relate to the specific
position (e.g., administrative staff in clinical records are familiar with documentation requirements for these serv
ices, and the finance staff are knowledgeable about how services are defined for billing purposes).
____ Understands the role of self-help groups in recovery and how those groups can support the goals of the
program in working with substance abuse clients with depressive symptoms.
Skills
____ Communicates to the public the role of specialized services for managing depressive symptoms in clients with
substance use disorders. Individuals answering telephones or preparing written materials describing agency serv
ices can describe the services accurately to outside agencies and to clients. They understand and can communi
cate the distinction between the mental health diagnosis of depression and depressive symptoms treated by sub
stance abuse counselors.
____ Is able to conduct essential aspects of job duties related to service delivery. Individuals billing for services under
stand the distinction between mental health diagnoses and depressive symptoms to ensure clear communication
with funding agencies.

Checklist 2: Characteristics and Competencies of All Clinical Staff
Attitudes
____ Integration of services for substance abuse and depressive symptoms is important for promotion of the agency
mission.
____ Integration of services for clients with substance use disorders and depressive symptoms is important.
____ Clients have a central role in creating and shaping their treatment goals.
____ Substance abuse and depressive symptoms can be both interrelated and independent; resolving one set of con
cerns may not lead to resolution of the other set of concerns without specialized treatment.
____ There is no one “right” approach to managing depressive symptoms in clients with substance use disorders.
____ Individual sessions can be particularly valuable for clients with depressive symptoms and can provide an effective
adjunct to group treatment.
Knowledge
____ Understands how provision of services for depressive symptoms fits in the mission and goals of the organization.
____ Understands the distinction between DSM-IV-TR diagnoses and the depressive symptoms managed by substance
abuse counselors.
____ Knows the agency’s policies and procedures on managing depressive symptoms.
____ Understands the interrelationship between depressive symptoms and substance abuse.
Skills
____ Communicates to the public the role of managing depressive symptoms of clients with substance use disorders.
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____ Identifies the depressive symptoms listed in the screening policy and procedure (see Sample Policy 3).
____ Properly administers a depression symptom screening measure.
____ Conducts basic client education session on the relationship between depressive symptoms and substance abuse.
____ Collaborates with other team members on treatment and discharge planning.
____ Conducts a suicide risk screening.
Checklist 3: Characteristics and Competencies of Counselors Identified To Manage Depressive Symptoms
Attitudes
____ Integration of services for substance abuse and depressive symptoms is important for promotion of the agency
mission.
____ Integration of services for clients with substance use disorders and depressive symptoms is important.
____ Clients have a central role in creating and shaping their treatment goals.
____ Substance abuse and depressive symptoms can be both interrelated and independent; resolving one set of con
cerns may not lead to resolution of the other set of concerns without specialized treatment.
____ There is no one “right” approach to managing depressive symptoms in clients with substance use disorders.
____ Individual sessions can be particularly valuable for clients with depressive symptoms and can provide an effective
adjunct to group treatment.
____ Resistance to change from clients is surmountable within the influence of the counseling relationship.
____ The client is an integrated whole rather than one or more diagnoses or sets of symptoms.
____ A desire exists to deliver services to clients with substance use disorders experiencing depressive symptoms.

Checklist 3: Characteristics and Competencies of Counselors Identified To Manage Depressive Symptoms
(continued)
Knowledge
____ Understands how provision of services for depressive symptoms fits into the mission and goals of the
organization.
____ Understands the distinction between DSM-IV-TR depression diagnoses and the depressive symptoms treated by
substance abuse counselors.
____ Demonstrates a nuanced understanding of the relationship between substance abuse and depressive symptoms.
____ Understands the distinctions among screening, assessment, and diagnosis of mental health problems.
____ Knows the common approaches to the management of depressive symptoms in substance abuse treatment set
tings including motivational interviewing, cognitive–behavioral, and supportive-expressive approaches.
____ Understands how substance abuse and depression present in ethnic and other cultural groups encountered in the
agency.
____ Knows community resources (particularly mental health and peer support).
____ Understands how 12-Step and other mutual-help support programs can support resolution of depressive
symptoms.
____ Is aware of the role of transference and countertransference in the counseling relationship.
____ Understands the role of religion and spirituality in promoting recovery for some clients.
Skills
____ Communicates to the public the role of managing depressive symptoms of clients with substance use disorders.
____ Conducts basic client education session on the relationship between depressive symptoms and substance abuse.
PART 2

____ Communicates to the public the role of services for depressive symptoms of clients with substance use disorders.
____ Conducts a client education session on the relationship between substance abuse and depressive symptoms.
____ Exhibits evidence-based thinking (tailoring approach to service based on clinical experience, client characteristics,
knowledge of field, consultation with supervisor, constraints, and resources available).
____ Effectively uses clinical supervision.
____ Demonstrates empathic listening skills and reflection.
____ Demonstrates competency in at least two of the common approaches to managing depressive symptoms (motiva
tional interviewing, cognitive–behavioral, supportive-expressive approaches).
____ Displays confidence in ability to provide services for depressive symptoms.
____ Acts as a role model for a balanced, healthy lifestyle.
____ Exhibits advanced skills in dealing with resistance to change through nonconfrontational approaches.
____ Identifies and responds to variations in learning styles among clients.
____ Demonstrates the ability to quickly establish a therapeutic alliance with the client: treating the client with
respect, communicating a nonjudgmental attitude, listening reflectively, setting appropriate limits, being sensi
tive to culture and value contexts, and acting as a role model.
____ Is comfortable with and able to resolve conflict.
____ Is able to prepare clients for termination from the program.

Checklist 4: Characteristics and Competencies of Clinical Supervisors
Attitudes
____ Substance abuse counselors have the basic characteristics needed to provide services to manage depressive
symptoms.
____ Clinical supervision extends beyond talking about treatment to observing and coaching counselors directly.
Knowledge
____ Possesses all of the knowledge areas listed on Checklist 3.
____ Is knowledgeable of the role of clinical supervision.
____ Recognizes the limits and opportunities related to the role of substance abuse counselors with specialized train
ing in the management of depressive symptoms and supports training about depression for counselors as
needed.
____ Can determine when a client with depressive symptoms needs additional skills and services beyond the qualifica
tions of substance abuse counselors.
____ Is trained to use screening instruments for depressive symptoms.
____ Is aware of the role of transference and countertransference in the counseling and supervisory relationship.
____ Recognizes resistance to change among clinical staff and is knowledgeable of strategies to address resistance.
____ Is aware of change processes, process steps and strategies for supporting them.
Counseling Skills
____ Possesses all of the skills listed on Checklist 3.
Supervisory Skills
____ Articulates his or her approach and philosophy to clinical supervision as it relates to clinical supervision approach
PART 2
es described in the literature.

____ Identifies and responds to variations in learning styles among counselors.
____ Is comfortable with and able to resolve conflict among team members.
____ Models advanced counseling skills including development of therapeutic alliance, termination, and dealing with
client resistance.
____ Uses direct observation or taping to conduct supervisory sessions.
____ Is able to teach and model skills in motivational interviewing, cognitive–behavioral, and supportive–expressive
approaches for managing depressive symptoms.
____ Is able to determine when referral to a QMHP for a mental health assessment is required.
____ Facilitates referrals to QMHP both within and outside the treating agency.
____ Provides incentives through encouragement and support for counselors to enhance skills in treating clients with
____ Conducts competency assessment of counselors’ skills in treating depressive symptoms.
Addressing Gaps in Staff Capacity To Deliver Services

Not all clinical staff are ready, willing, or able to address co-occurring symptoms. The clinical supervisor is
charged with helping staff and administration differentiate the level of new knowledge, attitudes, and skills
needed to help counselors and support staff address co-occurring substance use disorders and depressive symp
toms. The characteristics and competencies checklists presented above outline the qualifications needed at vari
ous levels or in agencies wishing to provide services for managing depressive symptoms in clients with sub
stance use disorders. However, gaps may exist; staff may be lacking in various areas and require additional
training and support. In this instance, the implementation work group described in earlier sections may be
commissioned to identify these gaps and to develop plans to provide specific training and support to individual
staff members on an as-needed basis.

In addition to developing individualized plans to develop attitudes, skills, and knowledge, a number of organi
zational approaches can be used both to reinforce the change and to overcome resistance to change. The Change
Book (ATTC, 2004) offers valuable suggestions on addressing resistance to change. These include such strate
gies as openly discussing staff feelings related to the change, celebrating victories, promoting feedback about
the change as a vehicle to improve the process, being realistic about goals, identifying and using the change
leaders in promoting the change, and providing training related to the change.
Approaches to Staff Training

It is recommended that training aimed at developing the basic attitudes, knowledge, and skills for managing
depressive symptoms be provided to all agency staff as part of implementation. It is important for clinical staff
to see the link between the change and organizational leadership. Thus, administrators need to attend these
sessions to personally provide the vision of the organization. In addition to training current staff, it is impor
tant to consider the ways in which the organization can communicate the vision to new staff. This may be most
efficiently accomplished by using existing vehicles, such as new staff orientation and training sessions and
worksite orientation procedures.
Training of all clinical staff members on attitudes, knowledge, and skills specific to their positions can be con
ducted by administrative or clinical supervisors. Again, it is important to communicate the commitment of lead
ership to integrating services for depressive symptoms. In addition, it is recommended that training sessions
provide practice in the skill areas outlined in Checklist 3. To reinforce the importance of the need to provide
services to individuals with depressive symptoms, clinical and administrative supervisors are advised to incor
porate didactic education, identification of incompatible attitudes, and coaching on the skills needed to imple
ment the policies within existing supervision sessions and team meetings. In short, the agency’s vision and
commitment to addressing depressive symptoms must infiltrate all clinical interactions between supervisors
PART 2
and counselors.
Formal training of the clinical supervisors and counselors providing services for managing depressive symp
toms is also required. It is recommended that the trainer (either internal or external to the organization, and,
ideally, a combination of both) identified to conduct the training have advanced education in counseling, social
work, or psychology; significant work experience in the substance abuse field; and an understanding of the
importance of and commitment to the process of preparing substance abuse counselors to deliver services to
clients with depressive symptoms. In addition, the individual must be versed in conducting and teaching others
to conduct clinical sessions using motivational interviewing, cognitive–behavioral, and supportive-expressive
approaches to symptom management and to meet all of the qualifications and competencies for clinical supervi
sors. See Figure 2.2 for a list of recommended credentials for trainers. See also How-To 2.7 for how to select a
trainer and How-To 2.8 for how to continue the learning after the initial training is completed.
Figure 2.2
Recommended Credentials for Individuals Providing Training in
Management of Depressive Symptoms
• Advanced education in counseling, social work, or psychology

• Minimum of 5 years’ experience delivering substance abuse treatment
• Understanding of commitment to preparing substance abuse counselors to manage depressive symptoms
• Being a skilled teacher and clinical supervisor
• Possessing skills and experience in using motivational interviewing, cognitive–behavioral, and sup
portive-expressive approaches to managing depressive symptoms
• Meeting all certification or licensure qualifications and competencies for clinical supervisors

How-To 2.7: How To Select a Trainer
Qualifications to look for in a trainer include:
1. Experience working with the clientele being served.
2. Ability to demonstrate the techniques as needed in role play with staff or

in vivo (if possible).
3. Ability to address the types of challenging cases frontline staff encounter

and how to work with challenging clients.
4. Understanding of the obstacles and challenges with which the frontline

staff and the clinical supervisors are dealing.
5. Respectful attitude toward the clinical staff.
6. Models the principles and strategies of the intervention with the

participants.
7. Ability to maintain and modify the technique for the treatment setting,
willingness to review transcripts or tapes of actual sessions, and willing
ness to consult on the phone.
8. Willingness to accept specific training objectives to target specific staff

skill sets in a case review format.
PART 2
How-To 2.8: How To Continue the Learning After the Initial

Training Is Completed
1. Assess the staff’s knowledge, abilities, and skills with the core compo
nents of the techniques (see Fidelity Checklists 1–5 in Appendix C).
2. Emphasize mastery of the underlying principles of the interventions.

Always give feedback on how well staff members are doing with inter
ventions and provide advice on simple ways to improve practice.
3. Emphasize mastery of the common techniques across approaches (e.g.,

reflective listening, affirmations, increasing self-efficacy).
4. When staff members have the basics, let them choose the approach they
want to focus on next (e.g., behavioral, cognitive, beliefs, affective).

Addressing Community Relationships
How Do You Develop Referral Relationships?
Access to a range of mental health and other health and social resources is essential to quality care, particular
ly for clients with depressive symptoms. Agencies to which staff might refer can be screened using the following
variables:
• Sensitivity to substance abuse treatment issues.

• Ability and willingness to work with agencies such as ours.
• No or low funding impediments to working collaboratively.
• Good professional reputation in the community.
• Sufficient funding to address the needs of clients we are referring.
• Willing to cross-train with our staff.
• Willing to accept referral of clients at increased risk of suicide.
How Do You Develop Relationships With the 12-Step Community?

It is useful to have the program’s policy and procedures manual reflect an understanding of the essential role
that 12-Step programs play in the treatment of clients with substance abuse complicated by depressive symp
toms. Mental health personnel need to be sensitive and competent in integrating the principles and practices of
self-help programs into the clinical process. This requires knowledge of the underlying philosophy of the 12
Step model, and an understanding of how the programs function and are structured. In like manner, counselors
practicing from a 12-Step facilitation model need to appreciate how principles and practices are linked to sound
counseling. For example, the use of slogans as a form of cognitive restructuring and disputation is helpful to
PART 2
most clients. The use of structured practices like daily meetings, sponsor contact, and reading self-help group
literature can help create alternate forms of reward, relief, and life-management. The policy should recognize
barriers to individuals with depressive symptoms accessing and using 12-Step programs.
How Do You Find and Use Mental Health Resources in the Community?
Most substance abuse programs can benefit from positive ad hoc consulting relationships with physicians, psy
chologists, social workers, and other community medical, rehabilitation, social service, and mental health
providers who have specialized knowledge and resources in addressing the needs of clients with depressive
symptoms. These resources can provide an adjunct resource for such issues as difficult assessments and differ
ential diagnosis, placement in appropriate treatment programs, medical management of co-occurring chronic
medical conditions (such as HIV or tuberculosis), clients with special physical rehabilitation needs, specialized
psychopharmacological services for clients with specific medication needs, discharge planning, and family serv
ices. Finding and using these resources may be different from finding and using referral resources.
Understanding the services that can be provided, fees for service, whether the service can be provided in the
treatment program or whether the client must travel to a remote site, and the processes for reporting results of
evaluations are some of the issues that need to be considered in using community resources. Generally, unlike
referral resources, community resources will not have a formalized contract or agreement with the treatment
program. Therefore, issues of confidentiality and information reporting will need to be explored.

Addressing Financial Considerations
Billing
Integration of services for depressive symptoms is intended to enhance substance abuse treatment outcomes
and because these services are delivered by substance abuse counselors, such services are likely to be reim
bursable under the client’s substance abuse diagnosis. In this case, individual sessions aimed at managing
depressive symptoms may be billed as individual counseling or psychotherapy associated with the substance
abuse or dependence diagnosis. Organizations are advised to clarify this with State and private funding agen
cies and to identify the specific procedures required to facilitate billing. Financial considerations also reinforce
the need for support staff responsible for billing to understand how these services are delivered and their rela
tionship to the primary diagnosis of substance abuse or dependence.
For organizations reimbursed based on case or capitated rates, reimbursement is not likely to change. Services
for depressive symptoms are likely to be viewed by managed care organizations or funding agencies as value-
added or optional services and thus included in established rates of reimbursement. Although incorporating
services for depressive symptoms is not likely to increase reimbursement rates, it may improve performance on
contractually mandated outcomes such as treatment engagement, retention, and effectiveness.
Sources of Funding
Most of the costs of implementing services for managing depressive symptoms occur early in the process of
implementation, so local foundations are potential sources of funding. A one-time cost of training and knowl
edge dissemination to staff offers a discrete, relatively low-cost, and attractive opportunity for local foundations
PART 2
to contribute to improving substance abuse treatment outcomes. Other potential sources of funding include tra
ditional State and Federal grants and contracts, direct charges for services from third-party payors, and client
fees for service. Additionally, if the services provided are innovative, agencies should consider partnering with
social and psychological researchers at a local university to obtain research funds to support clinical efforts.
Such research efforts can have many beneficial secondary effects for agency status in the community, such as
developing alternative sources of funding, partnering with new groups interested in substance abuse in the
community, as well as providing funds for the identified project.
Addressing Continuity and Fidelity

For services for management of depressive symptoms to be fully adopted, the importance of these services will
need to be consistently communicated. Policies, mission statements, program descriptions, clinical and adminis
trative training, team meetings, and clinical supervision sessions are all useful avenues for communicating the
organization’s commitment to delivering service for depressive symptoms (see Figure 2.3).
Implementing the Intervention With Fidelity

When implementing any intervention, it is important to identify the active elements that distinguish the new
intervention from other activities. Distinguishing the new intervention from standard practice allows adminis
trators to more easily determine whether the new intervention can be attributed to the changes in expected
outcomes. One strategy used by researchers and program implementers is the fidelity checklist. Fidelity check
lists clearly describe the active elements of an intervention and define them in behavioral terms so that the
degree of implementation can be assessed. Examples of fidelity checklists for measuring interventions for
clients with depressive symptoms are presented in Appendix C.

Figure 2.3
Avenues for Communicating Organizational Commitment to Delivering Services
To Manage Depressive Symptoms
• Mission and vision statements

• Strategic plans
• Annual goals
• Program descriptions
• Treatment philosophy statements
• Policies and procedures
• Training sessions
• Team meetings
• Clinical supervision
• Management meetings
• Quality assurance plans
• Employee newsletters
• Electronic communication vehicles including e-mail and Intranet
Some of the dimensions of these fidelity checklists include:
• General behaviors that underlie all the interventions.

• Behavioral interventions.
• Cognitive interventions.
PART 2
• Beliefs interventions.
• Affective interventions.
Some of the issues of implementing fidelity checklists that have to be addressed include:
• Who measures which parts of the checklist?

• How are the results conveyed to the staff?
• How does a program define an acceptable score?
• How does one reward positive results of the efforts measured by the checklist?
• What actions need to be taken if there is poor fidelity to program elements and goals?
• How do elements of the checklist get updated over time and with program changes?
Summary
This TIP is intended to provide guidance in implementing services for managing depressive symptoms in clients
with substance use disorders and to identify issues that should be considered in implementing these services.
Implementing any major change in organizational practices is a deliberate strategic process, requiring a com
mitted leader and a talented and hardworking team. The outcome of this hard work and commitment has the
potential to positively affect the lives of clients with substance use disorders, their families, agency staff, and
other stakeholders.

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134 Appendix A
Appendix B—Center for Epidemiologic
Studies Depression Scale (CES-D)
Instructions: Below is a list of some of the ways you may have felt or behaved. Please indicate how often you
have felt this way during the past week by checking the appropriate space.
Rarely or Occasionally Most or

none of Some or a or a moder all of
the time little of the ate amount the time
(less than time of the time (5–7
During the past week 1 day) (1–2 days) (3–4 days) days)
1. I was bothered by things that usually don't bother
me.
2. I did not feel like eating; my appetite was poor.
3. I felt that I could not shake off the blues even
with help from my family or friends.
4. I felt that I was just as good as other people.
5. I had trouble keeping my mind on what I was
doing.
6. I felt depressed.
7. I felt that everything I did was an effort.
8. I felt hopeful about the future.
9. I thought my life had been a failure.
10. I felt fearful.
11. My sleep was restless.
12. I was happy.
13. I talked less than usual.
14. I felt lonely.
15. People were unfriendly.
16. I enjoyed life.
17. I had crying spells.
18. I felt sad.
19. I felt that people disliked me.
20. I could not get "going."
Total Score:

Center for Epidemiologic Studies
Depression Scale (CES-D)
Scoresheet
Rarely or Occasionally Most or
none of Some or a or a moder all of
the time little of the ate amount the time
(less than time of the time (5–7
During the past week 1 day) (1–2 days) (3–4 days) days)
1. I was bothered by things that usually don't bother
0 1 2 3
me.
2. I did not feel like eating; my appetite was poor. 0 1 2 3
3. I felt that I could not shake off the blues even
0 1 2 3
with help from my family or friends.
4. I felt that I was just as good as other people. 3 2 1 0
5. I had trouble keeping my mind on what I was
0 1 2 3
doing.
6. I felt depressed. 0 1 2 3
7. I felt that everything I did was an effort. 0 1 2 3
8. I felt hopeful about the future. 3 2 1 0
9. I thought my life had been a failure. 0 1 2 3
10. I felt fearful. 0 1 2 3
11. My sleep was restless. 0 1 2 3
12. I was happy. 3 2 1 0
13. I talked less than usual. 0 1 2 3
14. I felt lonely. 0 1 2 3
15. People were unfriendly. 0 1 2 3
16. I enjoyed life. 3 2 1 0
17. I had crying spells. 0 1 2 3
18. I felt sad. 0 1 2 3
19. I felt that people disliked me. 0 1 2 3
20. I could not get "going." 0 1 2 3
Total Score:
136 Appendix B
Appendix C—Fidelity Checklists
Fidelity Checklist 1: General Underlying Principles

Adherent Behaviors

____Respect is apparent when the counselor (1) shows respect for a variety of plans about how change can
occur and (2) can accept differences between the ideal plan and the plan the client is willing to endorse.
Counselors high in respect can negotiate with the client and avoid an authoritarian stance.
____Understanding
is apparent when counselors have a stance that is curious and patient and emphasizes
drawing out clients’ ideas rather than educating clients or giving opinions without being asked.
____ Accepting counselors accept that a client may choose not to change. They are invested in specific behav
ior changes, but they convey an understanding that the critical variables for change are within the client
and cannot be imposed by others.
____Strengths-based
counselors focus on identifying, enhancing, and using the client’s strengths as the foun
dation for the client’s plan to create positive change. The counselor understands that the client must
believe he or she is able to make a change to maintain motivation to make the change.
____Commitment
to follow up on the planned activities between sessions is elicited by the counselor by sum
marizing the client’s stance on the issue, framing the next steps, asking the client whether the plan is
acceptable, and making any necessary changes to the plan.
Nonadherent Behaviors
____Low
respect is evident when the counselor’s stance is rigid and authoritarian and little effort is made to
include the client’s ideas about how change might be accomplished. It includes attempts to persuade
clients about the need for change and occasions when clinicians confront clients with their point of view.
____Low
understanding is evident when the counselor neglects the task of eliciting the client’s verbalizations
about need for change. The counselor might convey cynicism about the client’s desire for change or focus
on giving information or educating the client.
____Low
accepting counselors convey a sense of urgency about the need for change. They have difficulty
accepting that clients might choose to avoid or delay change or decide to proceed with change in an
unconventional manner.
____Low
strengths-based counselors neglect to elicit and incorporate client strengths in the plan for change.
Counselors base the plan for change on client weaknesses instead of strengths.
____Low
commitment to follow up on the planned activities is evident when the counselor assigns homework
without eliciting and summarizing the client’s stance on the issue and making any necessary changes to
the plan.

Fidelity Checklist 2: Behavioral Techniques
Adherent Behaviors
____Identifies
specific behaviors that the client identifies as wanting to change. Helps the client identify
what to do instead of what not to do. Understands the value of collaborating with the client to find alter
native behaviors that are reinforcing to the client.
____Helps
the client set achievable goals for behavioral change. Helps the client to take big changes and
break them down into smaller changes that can be more easily accomplished and maintained.
Understands that the client will continue a behavior until there is good reason to believe that another
behavior will be equally satisfying or reduce anxiety.
____Helps
the client find the support needed to plan for, initiate, and maintain behavioral changes. Helps
the client find internal and environmental resources that will help him or her develop and maintain the
motivation necessary to sustain behavioral changes.
____Collaborates
with the client on specific behavioral interventions (e.g., mild or moderate physical exer
cise, getting adequate rest, managing stress).
____Neglects
to identify specific behaviors for change. Focuses on what the client is feeling or thinking
instead of identifying specific behaviors. Or, chooses to focus on changing a behavior the client does not
identify as important to change. Does not understand the role of reinforcement in the role of behavior
change.
____Neglects
to break big changes down into manageable goals. The counselor expects the client to take on
more than the client feels able to take on. Or, the counselor expects the client to replace a reinforcing
behavior with a behavior that is less reinforcing or is aversive.
____ Neglects to help the client find the support he or she needs to initiate and maintain behavioral changes.
Does not understand the role of aversive experiences in causing clients to avoid making change.
____ Neglects to identify specific behavioral interventions. Instead offers other types of interventions (e.g.,
cognitive, affective).
138 Appendix C
Fidelity Checklist 3: Cognitive Interventions
Adherent Behaviors
____Identifies
automatic thoughts that are evoked by unpleasant events. Specifically, negative thoughts
about self (e.g., worthlessness), the world (e.g., negative interpretation of experiences), and the future
(e.g., expectation of failure).
____ Collaborates with the client to determine whether the client’s negative thinking is inaccurate.
____Elicits
from the client the link between negative thoughts and increased feelings of depression and less
functional behaviors. Increases client’s objectivity about his or her thoughts and helps the client differ
entiate between unrealistic and realistic meanings of events.
____Uses
cognitive techniques such as searching for alternative explanations or assessing for negative self-
talk, and offers reasonable responses to decrease the client’s distress.
____ Discusses homework, including understanding obstacles to completing homework.
____Focuses
on feelings or behaviors instead of identifying automatic thoughts, or identifies automatic
thoughts that are not connected to the unpleasant event or feeling.
____Tells
the client that his or her negative thinking is inaccurate instead of collaborating with the client to
come to this conclusion.
____Tells
the client about the link between negative thoughts and increased feelings of depression/less func
tional behaviors, instead of eliciting an understanding of the link from the client. Does not increase the
client’s objectivity about his or her thoughts, and does not help the client differentiate between unrealis
tic and realistic meanings of events.
____ Uses techniques other than cognitive techniques (e.g., affective techniques).
____ Assigns homework but does not review it.

Fidelity Checklist 4: Beliefs Interventions
Adherent Behaviors
____ Listens carefully to identify the underlying meaning of what the client is saying.
____ Elicits the meaning the client attaches to negative events.
____ Identifies core beliefs (e.g., extreme, negative, categorical, absolute, and judgmental meanings are
attached to negative events) that lead to the conclusion that the client can’t take care of the problem.
____ Facilitates the client’s objective assessment of his or her core beliefs.
____ Elicits from the client alternative beliefs or solutions.
____ Elicits from the client the link between the client’s behavior and feelings and the client’s underlying
beliefs about self.
____Elicits
from the client possible experiments with new solutions to the problem and ways to test out
beliefs.
____ Discusses homework, including understanding obstacles to completing homework.
____ Does not identify the underlying meaning of what the client is saying.
____ Tells the client how to interpret negative events.
____ Does not identify the core beliefs leading to the client’s conclusion that the client won’t be able to take
care of the problem.
____ Tells the client that his or her core beliefs are irrational.
____ Tells the client what the client should believe.
____ Tells the client that the client’s behavior and feelings are linked to underlying beliefs about self instead
of eliciting this from the client.
____ Tells the client what experiments or new solutions to the problem to test out.
____ Assigns homework but does not review it.
140 Appendix C
Fidelity Checklist 5: Affective Interventions
Adherent Behaviors
____Identifies
the feelings that the client finds too painful, overwhelming, or unmanageable to express.
____Conceptualizes
the client’s behaviors (e.g., avoidance, controlling, substance use, difficulty asking for
help) as arising from the need to avoid these feelings.
____Assists
the client in creating a safe enough environment in the counseling session to explore these feel
ings without having to resort to the use of defenses (e.g., isolating, projecting, drinking).
____Addresses
defenses when the client feels comfortable enough to examine them without needing to
become more defensive.
____Works
at the client’s pace toward the goal of helping the client become comfortable with expressing the
feelings that are being avoided.
____Demonstrates
the ability to help the client pull back from intense feelings and helps the client experi
ence and resolve grief.
____Does
not identify the feelings that the client finds too painful, overwhelming, or unmanageable to
express.
____Conceptualizes
the client’s behaviors (e.g., avoidance, controlling, substance use, difficulty asking for
help) as arising from reasons other than the need to avoid these feelings.
____Rather
than facilitate the client’s creation of a safe place to explore these feelings, takes responsibility
for creating this environment without regard for the client’s concerns.
____Addresses
defenses at times when the client is not comfortable enough to examine them.
____Works
toward a different goal than the goal of helping the client become comfortable with experiencing
the feelings that are being avoided.
____Does
not appear to know how to help the client pull back from intense feelings or experience and resolve
grief.

Appendix D—DSM-IV-TR Mood Disorders
In substance abuse treatment settings, you are likely to encounter clients with a variety of diagnoses of depres
sive illnesses. Most of these diagnoses fall in the category of Mood Disorders, as specified in the Diagnostic and
Statistical Manual of Mental Disorders, 4th Edition, Text Revision (DSM-IV-TR; APA, 2000). You can, however,
also work with people who have a diagnosis of Adjustment Disorder with Depressed Mood. Additionally, people
with a variety of other psychiatric illnesses are susceptible to depression, and some of those illnesses are
described in this appendix.
The descriptions of depressive disorders and their primary symptoms are taken from DSM-IV-TR. Please refer
to the source document for a more complete description of these disorders.
1. Major Depressive Episode and Major Depressive Disorder
Major Depressive Disorder requires two or more major depressive episodes.
Diagnostic criteria:
Depressed mood and/or loss of interest or pleasure in life activities for at least 2 weeks and at least five of the
following symptoms that cause clinically significant impairment in social, work, or other important areas of
functioning almost every day
1. Depressed mood most of the day.
2. Diminished interest or pleasure in all or most activities.
3. Significant unintentional weight loss or gain.
4. Insomnia or sleeping too much.
5. Agitation or psychomotor retardation noticed by others.
6. Fatigue or loss of energy.
7. Feelings of worthlessness or excessive guilt.
8. Diminished ability to think or concentrate, or indecisiveness.
9. Recurrent thoughts of death (APA, 2000, p. 356).
2. Dsythymic Disorder
Diagnostic criteria:
Depressed mood most of the day for more days than not, for at least 2 years, and the presence of two or more of
the following symptoms that cause clinically significant impairment in social, work, or other important areas of
functioning:
1. Poor appetite or overeating.
2. Insomnia or sleeping too much.
3. Low energy or fatigue.

4. Low self-esteem.
5. Poor concentration or difficulty making decisions.
6. Feelings of hopelessness (APA, 2000, p. 380).
3. Bipolar Episode and Bipolar Disorder
Bipolar disorder is characterized by more than one bipolar episode.
There are three types of bipolar disorder:
1. Bipolar 1 Disorder, in which the primary symptom presentation is manic, or rapid (daily) cycling episodes of
mania and depression.
2. Bipolar 2 Disorder, in which the primary symptom presentation is recurrent depression accompanied by
hypomanic episodes (a milder state of mania in which the symptoms are not severe enough to cause marked
impairment in social or occupational functioning or need for hospitalization, but are sufficient to be observ
able by others).
3. Cyclothymic Disorder, a chronic state of cycling between hypomanic and depressive episodes that do not
reach the diagnostic standard for bipolar disorder (APA, 2000, pp. 388–392).
Manic episodes are characterized by:
“A. A distinct period of abnormally and persistently elevated, expansive, or irritable mood, lasting at least 1
week (or any duration if hospitalization is necessary)
B. During the period of mood disturbance, three (or more) of the following symptoms have persisted (4 if the
mood is only irritable) and have been present to a significant degree:
(1) increased self-esteem or grandiosity
(2) decreased need for sleep (e.g., feels rested after only 3 hours of sleep)
(3) more talkative than usual or pressure to keep talking
(4) flight of ideas or subjective experience that thoughts are racing
(5) distractibility (i.e., attention too easily drawn to unimportant or irrelevant external stimuli)
(6) increase in goal-directed activity (either socially, at work or school, or sexually) or psychomotor
agitation
(7) excessive involvement in pleasurable activities that have a high potential for painful consequences (e.g.,
engaging in unrestrained buying sprees, sexual indiscretions, or foolish business investments)” (APA,
2000, p. 362).
Depressive episodes are characterized by symptoms described above for Major Depressive Episode.
4. Substance-Induced Mood Disorder
Substance-Induced Mood Disorder is a common depressive illness of clients in substance abuse treatment. It is
defined in DSM-IV-TR as “a prominent and persistent disturbance of mood . . . that is judged to be due to the
direct physiological effects of a substance (i.e., a drug of abuse, a medication, or somatic treatment for depres
sion, or toxin exposure)” (APA, 2000, p. 405). The mood can manifest as manic (expansive, grandiose, irritable),
depressed, or a mixture of mania and depression.
144 Appendix D
Generally, substance-induced mood disorders will only present either during intoxication from the substance or
on withdrawal from the substance and therefore do not have as lengthy a course as other depressive illnesses.
5. Mood Disorder Due to a General Medical Condition
It is not as common to find depression due to a general medical condition in substance-abuse treatment set
tings, but it is important to note that depression can be a result of a medical condition, such as hypothyroidism
or Parkinson’s disease. The criteria for diagnosis are similar to Major Depressive Episode or a manic episode;
however, the full criteria for these diagnoses need not be met. It is important in diagnosis to establish that the
depressive symptoms are a direct physiological result of the medical condition, not just a psychological response
to a medical problem.
6. Adjustment Disorder With Depressed Mood
Adjustment disorder is a psychological reaction to overwhelming emotional or psychological stress, resulting in

depression or other symptoms. Some situations in which an adjustment disorder can occur include divorce,
imprisonment of self or a significant other, business or employment failures, or a significant family disturbance.
The stressor may be a one-time event or a recurring situation. Because of the turmoil that often occurs around
a crisis in substance use patterns, clients in substance abuse treatment may be particularly susceptible to
Adjustment Disorders. Some of the common depressive symptoms of an adjustment disorder include tearful
ness, depressed mood, and feelings of hopelessness. The symptoms of an adjustment disorder normally do not
reach the proportions of a Major Depressive Disorder, nor do they last as long as a Dysthymic Disorder. An
acute adjustment disorder normally lasts only a few months, while a chronic adjustment disorder may be ongo
ing after the termination of the stressor.
7. Other Psychiatric Conditions in Which Depression Can Be a Primary Symptom
Sometimes depression is symptomatic of another mental disorder. This is particularly true when the nature of
the mental disorder causes excessive distress to the individual. While, in this context, the depression is a symp
tom, it is still important to recognize its impact on the person and his or her ability to respond to substance
abuse treatment.
Some of the psychiatric disorders in which depression can play a major role include:
A. Posttraumatic Stress Disorder (PTSD)
Symptoms include episodes of reexperiencing the traumatic event or reexperiencing the emotions attached
to the event; nightmares, exaggerated startle responses; and social, interpersonal, and psychological with
drawal. Chronic symptoms may include anxiety and depression. PTSD is categorized as an anxiety disorder.
B. Anxiety Disorders, including Panic Disorder, Agoraphobia (fear of public places), Social Phobias, and
Generalized Anxiety Disorder
Symptoms of anxiety disorders are most often on the anxiety spectrum, but the chronic stress faced by indi
viduals with anxiety disorders can produce depressive symptoms including irritability, hopelessness,
despair, emptiness, and chronic fatigue.

C. Schizoaffective Disorder and Schizophrenia
Individuals with schizoaffective disorder have, in addition to many of the symptoms of schizophrenia, a
chronic depression with most of the features of Major Depressive Disorder. Because of the difficulty individ
uals with schizophrenia have in coping with the daily demands of living, depression is often a symptom.
With both schizoaffective disorder and schizophrenia, the depression adds an additional dimension to treat
ment, specifically in helping the person mobilize in the face of their depression to cope with their illness.
D. Personality Disorders
People with personality disorders are particularly susceptible to depression. These individuals are at high
risk for substance use disorders. As a result, it is not uncommon to find clients in substance abuse treat
ment with all three diagnoses. Because personality disorders are categorized in DSM-IV-TR as Axis 2 disor
ders (see DSM-IV-TR for a description of multiaxial assessment), it is common to find their depression diag
nosed separately (from the personality disorder) as an adjustment disorder, dysthymia, or major depressive
disorder.
146 Appendix D
Appendix E—Advisory Meeting Panel
H. Westley Clark, M.D., J.D., M.P.H., Richard A. Rawson, Ph.D.

CAS, FASAM Pacific Southwest Addiction Technology
Director Transfer Center
Center for Substance Abuse Treatment Los Angeles, California
Substance Abuse and Mental Health
Services Administration Jack B. Stein, Ph.D.
Rockville, Maryland Acting Deputy Director
Division of Epidemiology, Services, and
Mady Chalk, Ph.D. Prevention Research
Director National Institute on Drug Abuse
Division of Services Improvement National Institutes of Health
Center for Substance Abuse Treatment Bethesda, Maryland
Services Administration Richard T. Suchinsky, M.D.
Rockville, Maryland Associate Chief for Addictive Disorders
Mental Health and Behavioral Sciences Service
Christina Currier U.S. Department of Veteran Affairs
Public Health Analyst Washington, D.C.
Practice Improvement Branch
Division of Services Improvement Karl D. White, Ed.D.
Center for Substance Abuse Treatment Public Health Analyst
Substance Abuse and Mental Health Practice Improvement Branch
Services Administration Division of Services Improvement
Rockville, Maryland Center for Substance Abuse Treatment
Michael T. Flaherty, Ph.D. Services Administration
Northeast Addiction Technology Transfer Center Rockville, Maryland
Institute for Research, Education and
Training in Addictions Mark Willenbring, M.D.
Pittsburgh, Pennsylvania Director
Division of Treatment and Recovery Research
Kevin Hennessy, Ph.D. National Institute on Alcohol Abuse and Alcoholism
Science to Service Coordinator National Institutes of Health
Substance Abuse and Mental Health Bethesda, Maryland
Services Administration/OPPB
Rockville, Maryland
Constance M. Pechura, Ph.D.

Senior Program Officer
Robert Wood Johnson Foundation
Princeton, New Jersey

Appendix F—Field Reviewers
Karen Allen, Ph.D., R.N. Scarlett Harris, LCSW

Professor & Chairperson, Dept. of Nursing Private Practice Social Worker
Andrews University Adjunct Faculty, University of Arkansas at
Berrien Springs, Michigan Little Rock
Little Rock, Arkansas
Gloria Baciewicz, M.D.
Senior Medical Director, Ambulatory Services Denise A. Horton, Ph.D., LPC, CEAP
Strong Behavioral Health, University of Alcohol/Drug Control Officer/Employee Assistance
Rochester Medical Center Professional Army Substance Abuse Program
Rochester, New York Fort Dix, New Jersey
Kathryn Bedard, M.A., LCADC, CMS John K. Kriger, M.S.W., LCADC

New Jersey Division of Mental Health Services President
Trenton, New Jersey Kriger Consulting, Inc.
Burlington, New Jersey
Claudia A. Blackburn, M.S., Psy.D.
Consultant/Licensed Psychologist Michael Dale Loos, Ph.D., LPC/S, LADAC
Lancaster, Pennsylvania President
Michael Dale Loos
Mimmie Byrne, LICSW, CAC Fayetteville, Arkansas
Associate Professor
West Virginia University Edna Meziere, M.S., R.N.
Dept. of Behavioral Medicine & Psychiatry Healthcare Administrator
Morgantown, West Virginia (Retired)
Tulsa, Oklahoma
Catherine S. Chichester, APRN, BC
Executive Director Geri Miller, Ph.D.
Co-Occurring Collaborative of Southern Maine Professor
Portland, Maine Appalachian State University
Fleetwood, North Carolina
Barbara Davis, LCSW
Psychotherapist Craig Nakken, LCSW
South Orange, New Jersey Clinical Social Worker
St. Paul, Minnesota
James F. Emmert, FACATA
Principal David S. Olsen, M.A.
JFE Associates Outpatient Alcohol & Drug Counselor
Deerfield Beach, Florida Central Kansas Foundation
Salina, Kansas
Joyce Fowler, Ph.D.
Licensed Psychologist
Fowler Institute
Little Rock, Arkansas

Jack M. Schibik, Ph.D., LCADC, LPC,
LMHC
Kairos Counseling, Coaching, &
Consulting
Naples, Florida
Cynthia Zubritsky, Ph.D.

Senior Research Faculty
University of Pennsylvania Department of Psychiatry
Philadelphia, Pennsylvania
150 Appendix F
Appendix G—Acknowledgments
Numerous people contributed to the development of this Treatment Improvement Protocol (TIP), including the
TIP Consensus Panel (see page v), the TIP Expert Advisory Board (see page vi), the TIP Meeting Advisory
Panel (see Appendix E), and TIP Field Reviewers (see Appendix F).
This publication was produced by The CDM Group, Inc. (CDM), and JBS International, Inc. (JBS), under the
Knowledge Application Program (KAP) contract number 270-04-7049 with the Substance Abuse and Mental
Health Services Administration (SAMHSA), U.S. Department of Health and Human Services (HHS).
Rose M. Urban, M.S.W., J.D., LCSW, LCAS, served as the KAP Project Co-Director. Elizabeth Marsh Cupino
formerly served as CDM KAP Managing Co-Director. Sheldon Weinberg, Ph.D., served as KAP Senior
Researcher/Applied Psychologist. Other KAP personnel included Susan Kimner, KAP Deputy Project Director/
Editorial Director and TIP Editor; Janet Humphrey, M.A., KAP Writer/Editor; Michelle Myers, former Quality
Assurance Editor; Amy Conklin, former Quality Assurance Editor; Virgie Paul, Librarian; Jonathan Max
Gilbert, M.A., Writer; and Radell Heintze, former KAP Project Coordinator.

Index
AA. See Alcoholics Anonymous CBT. See Cognitive-behavioral therapy

Accreditation regulations, 119 Center for Epidemiologic Studies Depression Scale
Accurate empathy, 31 description of, 21–22
Active listening, 26, 31, 49 scoresheet, 135–136
Adherent behaviors, 137–141 therapeutic use, 46, 51, 75, 77, 84
Adjustment disorders, 145 CES-D. See Center for Epidemiologic Studies
Administrators. See Program administrators Depression Scale
Advisory meeting panel, 147 The Change Book, 109
Affect-based therapies Child abuse, 48
case study, 82–97 Chronic symptoms, 6
decision tree for suitability of treatment, 83 Client-centered treatment planning, 23
description of, 12 Clinical competence, 119–125
fidelity checklist, 141 Clinical depression, 5
Agoraphobia, 145 Clinical practices implementation, 105–107
Alcohol abuse. See Substance abuse Clinical social workers
Alcoholics Anonymous, 28 scope of practice, 14–15
Ambivalence, 31–32, 91 Clinical supervisors, 120, 125
American Psychiatric Association, 4 Cognitive-behavioral therapy
American Society of Addiction Medicine, 22, 23 case study, 56–67
Anticipatory guidance, 30 decision tree for suitability of treatment, 57
Anxiety disorders, 145 description of, 12, 25, 34
APA. See American Psychiatric Association fidelity checklist, 139
ASAM. See American Society of Addiction Medicine Cognitive theory of depression, 19
Assessment, 22 Community relationships, 127
Attribution style, 62 Conflict resolution, 26–27
Consensus Panel, 4, 102
BDI-II. See Beck Depression Inventory Continuing care plans, 30
Beck Depression Inventory, 22 Core beliefs
Behavioral interventions case study, 68–82
case study, 40–56 decision tree for suitability of treatment, 67
decision tree for suitability of treatment, 39 fidelity checklist, 140
description of, 12 Corporate culture, 103
fidelity checklist, 138 Counseling circle, 34
Beliefs. See Core beliefs Countertransference, 16–18
Bennies, 68–69 Cultural issues, 13–14, 46, 60, 68, 73, 96
Benzedrine, 68–69 Cultural competency, 35–36
Benzodiazepine, 40
Bibliography, 131–134 Darkness Visible: A Memoir of Madness, 8
Bipolar disorder, 144 Decision trees
“blues, the,” 6 affect-based therapies, 83
behavioral interventions, 39
Case studies cognitive-behavioral therapy, 57
affect-based therapies, 82–97 deciding whether to implement depressive symptoms
behavioral interventions, 40–56 management policy, 110
cognitive interventions, 56–67 Deep breathing relaxation technique, 52–54
core beliefs, 68–82 Depressive illness, 6
Index 153
Depressive symptoms. See also Treatment Governmental regulations, 119
affect-based therapies, 82–97 Grief, 76, 93–95
antidepressant medications treatment, 29 Guided imagery relaxation technique, 54–56
assessment, 22 Guilt, 20–21
attitudes and beliefs concerning depression, 16
behavioral interventions, 40–56 Hitting bottom, 7
cognitive–behavioral therapy, 56–67 Hopelessness, 9
continuing care, 29–30
core beliefs, 67–82 IBT. See Interpersonal psychotherapy
cultural issues, 13–14 Implementation Research: A Synthesis of the Literature,
defined, 3 109
depressive thinking styles, 19–20 Implementation work groups, 112–113
determining who should work with specific clients, Individualized care, 25–26
23 Integrated care, 10–11
effect of substances on recovery, 9 Integrated treatment planning, 23–24
effect on recovery, 102 Interpersonal psychotherapy, 34
integrated care for, 10–11 Interrelationships, 19
interventions for, 11–13 Interventions
nature of, 5–7 choosing, 12
professional role of counselors, 14–15 description of, 11–12
related feelings and behaviors, 5, 101 evidence-based thinking, 12–13
relationship with intoxication or withdrawal from intoxication, depressive symptoms associated
substances, 7, 8 with, 7, 8
relationship with substance use disorders, 7–9
screening, 21–22 Keep It Simple, Sweetheart, 50
suicidality among clients in treatment, 9–10 Kinship finding, 85
Diagnostic and Statistical Manual of Mental Disorders, KISS. See Keep It Simple, Sweetheart
4th edition, Text Revision, 4, 22, 143–146
Divorce, 40–56 Leadership issues, 107
DSM-IV-TR, 4, 22, 143–146 Learning styles, 21
Dsythymic disorder, 143–144 Licensed psychologists
Dysthymia, 5 scope of practice, 14–15
Life change events, 6–7
EFT. See Emotionally focused therapy Listening, active, 26, 31, 49
Emotional reasoning, 19
Emotionally focused therapy, 82 Major depression, 5
Empathy, 26, 31 Major depressive disorder, 143
Episodic symptoms, 6 Marijuana smoking, 57
Ethical issues, 15 Master clinician, 38–39
Ethnic groups, 13–14 Medical conditions, 7, 145
Evidence-based thinking, 12–13 Medications
Experience reactivation, 30 antidepressants for depressive symptoms treatment,
Expressive therapy, 12 29
role in substance use and depressive disorder treat-
Feelings. See Affect-based therapies ment, 24
Fidelity checklists, 137–141 Mental disorders, 145
Field reviewers, 149 Mental health resources, 127
Financial issues, 128 MI. See Motivational interviewing
Forgiveness therapy, 82 Misattunement, 90
Mission statements, 115
Generalized anxiety disorder, 145 Mood disorders, 143–146
Genuineness, 31 Moods, 6
154 Index
Motivational interviewing staff training, 125–126
description of, 12, 32 Program Change Model, 103–104
handling resistance, 90–91 Program descriptions, 115–119
techniques for, 25, 88 Program funding, 128
Multidisciplinary teams, 120 Program oversight committees
assessing organizational readiness for change imple-
Negative self-talk, 63 mentation, 113–114
Nerve attack, 14 identifying specific outcome to target for change,
Nervous breakdowns, 14 111–112
Nonadherent behaviors, 137–141 implementing change with small core group, 113
Nonpossessive warmth, 31 organizing, 112
Projection, 85
Organizational change, 103–105 Psychiatrists
Organizational Readiness for Change, 103 scope of practice, 14–15
The Psychological Corporation, 22
Panic disorder, 145 Psychosocial interventions
Partializing, 43, 49 choosing, 12
Patient placement criteria, 22, 23 description of, 11–12
Personality disorders, 146 evidence-based thinking, 12–13
Posttraumatic stress disorder, 145 PTSD. See Posttraumatic stress disorder
PPC-2R. See Patient placement criteria
Problem-solving techniques, 43, 50 Referrals, 22, 37, 127
Professional competence, 119–125 Reflective listening, 26, 31
Professional role, 14–15 Reframing, 88, 91
Program administrators Relapse, 9
addressing community relationships, 127 Relaxation techniques, 52–56
assessing capability of agency to provide services, Religion, 20–21
111 Resistance, 90–91
assessing organizational readiness for change imple- Resources, 127
mentation, 113–114 Righting reflex, 17
assessing staff competence, 119–125
assuring service continuity, 128–129 Sadness, 6
Consensus Panel recommendations, 102 Schizoaffective disorder, 146
deciding whether to implement depressive symptoms Schizophrenia, 146
management policy, 109 Screening
financial considerations, 128 for suicidality, 9, 74
identifying issues and needs, 110–111 tools for, 21–22
identifying specific outcome to target for change, Self-efficacy, 27–28
111–112 Service billing, 128
implementing change with small core group, 113 Shame, 85–88
implementing new clinical practices, 105–106 Single parenting, 40–56
intervention implementation fidelity, 128–129, Sleep disturbances, 40, 69
137–141 Social phobias, 145
modifying program policies, 114–119 Social workers
organizational change, 103–105 scope of practice, 14–15
organizing a team to implement change, 111 Spirituality, 20–21
reviewing regulations, 119 Staff
role in introducing and supporting new clinical prac- addressing gaps in capacity to deliver services,
tices, 106–107 124–125
Index 155
assessing competence of, 119–125 myths concerning, 9–10
qualifications, 121 risk factors, 73
training programs, 125–126 screening for, 9, 74
Strengths-based treatment approaches, 27 working with clients, 10
Stress Supportive therapy, 12
case study, 40–56 Sympathy, 26
depressive disorders and, 7
Styron, William, 8 “The blues,” 6
Substance abuse Therapeutic alliance, 17, 24–25
affect-based therapies, 82–97 Therapeutic confrontation, 27
assessment, 22 TIP. See Treatment Improvement Protocol
attitudes toward, 20 Training programs, 125–126
behavioral interventions, 40–56 Transference, 16–17
cognitive–behavioral therapy, 56–67 Trauma, 73
continuing care, 29–30 Trauma therapy, 82
core beliefs, 67–82 Treatment. See also Program administrators
integrated care for, 10–11 antidepressant medications for depressive symptoms
screening, 21–22 treatment, 29
suicidality among clients in treatment, 9–10 assessing capability of agency to provide services,
treatment, 24–29 111
treatment planning, 22–24 benefits of addressing depressive symptoms,
treatment setting, 13 102–103
treatment termination, 29–30 clinical practices implementation, 105–107
Substance abuse counselors identifying issues and needs, 110–111
approaches for working with clients, 36 impact of depressive symptoms on participation, 10
client differences, 20–21 organizational change, 103–105
collaborative goal setting, 38 planning, 22–24, 38
countertransference, 16–18 principles of, 24, 25
cultural competency, 35–36 self-efficacy, 27–28
ethical issues, 15 settings for, 13
expectations for counseling sessions, 38, 41, 46, 51, skills, 24–27
58, 64, 69, 75, 77, 84, 88, 92 stages of readiness for change, 27
helping clients, 33–35 techniques, 24–27
implementing new clinical practices, 105–106 termination of, 29–30
preparing to work with depressed clients, 15–16 the 12-Steps as a tool, 28–29
professional role, 14–15, 34 Treatment Improvement Protocol, vii–viii
reaction to treatment termination, 30 Consensus Panel recommendations, 4
referring clients, 37 framework, 4–5
scope of practice, 4, 15 purpose of, 3, 101
training programs, 125–126 users of, 101
transference, 16–17 12-Step Programs
treating the whole person, 18–19 developing relationships with program community,
treatment planning, 22–24, 38 127
Substance-induced mood disorders, 144–145 as treatment tool, 28–29
Substance use
depressive symptoms associated with, 7, 8 West Coast Turnarounds, 68
effect on recovery from depressive illness, 9 Withdrawal
Substance use disorders depressive symptoms associated with, 7, 8
depressive symptoms associated with, 7–9 Work groups, 112–113
depressive thinking styles, 19–20 Working alliance, 24–25
Suicidality
156 Index
SAMHSA TIPs and Publications Based on TIPs
What Is a TIP?
Treatment Improvement Protocols (TIPs) are the products of a systematic and innovative process that brings together clinicians,
researchers, program managers, policymakers, and other Federal and non-Federal experts to reach consensus on state-of-the-art
treatment practices. TIPs are developed under the Substance Abuse and Mental Health Services Administration’s (SAMHSA’s)
KnowledgeApplication Program (KAP) to improve the treatment capabilities of the Nation’s alcohol and drug abuse treatment service system.
What Is a Quick Guide?

A Quick Guide clearly and concisely presents the primary information from a TIP in a pocket-sized booklet. Each Quick Guide is
divided into sections to help readers quickly locate relevant material. Some contain glossaries of terms or lists of resources. Page
numbers from the original TIP are referenced so providers can refer back to the source document for more information.
What Are KAP Keys?

Also based on TIPs, KAP Keys are handy, durable tools. Keys may include assessment or screening in-struments, checklists, and
summaries of treatment phases. Printed on coated paper, each KAP Keys set is fastened together with a key ring and can be kept
within a treatment provider’s reach and consulted fre-quently. The Keys allow you, the busy clinician or program administrator, to
locate information easily and to use this information to enhance treatment services.
Ordering Information
Publications may be ordered or downloaded for free at http://store.samhsa.gov. To order over the phone, please call
1-877-SAMHSA-7 (1-877-726-4727) (English and Español).
TIP 1 State Methadone Treatment Guidelines—Replaced by TIP 13 Role and Current Status of Patient Placement
TIP 43 Criteria in the Treatment of Substance Use
Disorders
TIP 2 Pregnant, Substance-Using Women—Replaced by Quick Guide for Clinicians
TIP 51
Quick Guide for Administrators
TIP 3 Screening and Assessment of Alcohol- and Other KAP Keys for Clinicians
Drug-Abusing Adolescents—Replaced by TIP 31
TIP 14 Developing State Outcomes Monitoring Systems for
TIP 4 Guidelines for the Treatment of Alcohol- and Other Alcohol and Other Drug Abuse Treatment
Drug-Abusing Adolescents—Replaced by TIP 32
TIP 15 Treatment for HIV-Infected Alcohol and Other Drug
TIP 5 Improving Treatment for Drug-Exposed Infants Abusers—Replaced by TIP 37
TIP 6 Screening for Infectious Diseases Among Substance TIP 16 Alcohol and Other Drug Screening of Hospitalized
Abusers—Archived Trauma Patients
Quick Guide for Clinicians
TIP 7 Screening and Assessment for Alcohol and Other
Drug Abuse Among Adults in the Criminal Justice KAP Keys for Clinicians
System—Replaced by TIP 44
TIP 17 Planning for Alcohol and Other Drug Abuse
TIP 8 Intensive Outpatient Treatment for Alcohol and Treatment for Adults in the Criminal Justice
Other Drug Abuse—Replaced by TIPs 46 and 47 System—Replaced by TIP 44
TIP 18 The Tuberculosis Epidemic: Legal and Ethical Issues
TIP 9 Assessment and Treatment of Patients With for Alcohol and Other Drug Abuse Treatment
Coexisting Mental Illness and Alcohol and Other Providers—Archived
Drug Abuse—Replaced by TIP 42
TIP 19 Detoxification From Alcohol and Other Drugs—
TIP 10 Assessment and Treatment of Cocaine- Abusing Replaced by TIP 45
Methadone-Maintained Patients—Replaced by TIP 43
TIP 20 Matching Treatment to Patient Needs in Opioid
TIP 11 Simple Screening Instruments for Outreach for Substitution Therapy—Replaced by TIP 43
Alcohol and Other Drug Abuse and Infectious
Diseases—Replaced by TIP 53 TIP 21 Combining Alcohol and Other Drug Abuse
Treatment With Diversion for Juveniles in the
TIP 12 Combining Substance Abuse Treatment With Justice System
Intermediate Sanctions for Adults in the Criminal Quick Guide for Clinicians and Administrators
Justice System—Replaced by TIP 44
157
TIP 22 LAAM in the Treatment of Opiate Addiction— TIP 31 Screening and Assessing Adolescents for Substance
Replaced by TIP 43 Use Disorders
See companion products for TIP 32.
TIP 23 Treatment Drug Courts: Integrating Substance Abuse
Treatment With Legal Case Processing TIP 32 Treatment of Adolescents With Substance Use
Quick Guide for Administrators Disorders
TIP 24 A Guide to Substance Abuse Services for Primary
Care Clinicians KAP Keys for Clinicians
Concise Desk Reference Guide TIP 33 Treatment for Stimulant Use Disorders
Quick Guide for Clinicians Quick Guide for Clinicians
KAP Keys for Clinicians KAP Keys for Clinicians
TIP 25 Substance Abuse Treatment and Domestic Violence TIP 34 Brief Interventions and Brief Therapies for Substance
Linking Substance Abuse Treatment and Domestic Abuse
Violence Services: A Guide for Treatment Providers Quick Guide for Clinicians
Linking Substance Abuse Treatment and Domestic KAP Keys for Clinicians
Violence Services: A Guide for Administrators
Quick Guide for Clinicians TIP 35 Enhancing Motivation for Change in Substance Abuse
KAP Keys for Clinicians Treatment
TIP 26 Substance Abuse Among Older Adults KAP Keys for Clinicians
Substance Abuse Among Older Adults: A Guide for
Treatment Providers TIP 36 Substance Abuse Treatment for Persons With Child
Substance Abuse Among Older Adults: A Guide for Abuse and Neglect Issues
Social Service Providers Quick Guide for Clinicians
Substance Abuse Among Older Adults: Physician’s KAP Keys for Clinicians
Guide Helping Yourself Heal: A Recovering Woman’s Guide to
Quick Guide for Clinicians Coping With Childhood Abuse Issues
KAP Keys for Clinicians Also available in Spanish
Helping Yourself Heal: A Recovering Man’s Guide to
TIP 27 Comprehensive Case Management for Substance Coping With the Effects of Childhood Abuse
Abuse Treatment
Also available in Spanish
Case Management for Substance Abuse Treatment: A
Guide for Treatment Providers TIP 37 Substance Abuse Treatment for Persons With
Case Management for Substance Abuse Treatment: A HIV/AIDS
Guide for Administrators Quick Guide for Clinicians
Quick Guide for Clinicians KAP Keys for Clinicians
Quick Guide for Administrators Drugs, Alcohol, and HIV/AIDS: A Consumer Guide
TIP 28 Naltrexone and Alcoholism Treatment—Replaced by Also available in Spanish
TIP 49 Drugs, Alcohol, and HIV/AIDS: A Consumer Guide for
African Americans
TIP 29 Substance Use Disorder Treatment for People With
Physical and Cognitive Disabilities TIP 38 Integrating Substance Abuse Treatment and
Quick Guide for Clinicians Vocational Services
Quick Guide for Administrators Quick Guide for Clinicians
KAP Keys for Clinicians Quick Guide for Administrators
KAP Keys for Clinicians
TIP 30 Continuity of Offender Treatment for Substance Use
Disorders From Institution to Community TIP 39 Substance Abuse Treatment and Family Therapy
Quick Guide for Clinicians Quick Guide for Clinicians
KAP Keys for Clinicians Quick Guide for Administrators
Family Therapy Can Help: For People in Recovery
From Mental Illness or Addiction
158
TIP 40 Clinical Guidelines for the Use of Buprenorphine in TIP 50 Addressing Suicidal Thoughts and Behaviors in
the Treatment of Opioid Addiction Substance Abuse Treatment
Quick Guide for Physicians Quick Guide for Clinicians
KAP Keys for Physicians Quick Guide for Administrators
TIP 41 Substance Abuse Treatment: Group Therapy TIP 51 Substance Abuse Treatment: Addressing the Specific
Quick Guide for Clinicians Needs of Women
TIP 42 Substance Abuse Treatment for Persons With Co- Quick Guide for Administrators
Occurring Disorders
Quick Guide for Clinicians TIP 52 Clinical Supervision and Professional Development
Quick Guide for Administrators of the Substance Abuse Counselor
KAP Keys for Clinicians Quick Guide for Clinical Supervisors

Quick Guide for Administrators
TIP 43 Medication-Assisted Treatment for Opioid Addiction
in Opioid Treatment Programs TIP 53 Addressing Viral Hepatitis in People With Substance
Quick Guide for Clinicians Use Disorders
KAP Keys for Clinicians Quick Guide for Clinicians and Administrators
TIP 44 Substance Abuse Treatment for Adults in the
Criminal Justice System TIP 54 Managing Chronic Pain in Adults With or in
Quick Guide for Clinicians Recovery From Substance Use Disorders
KAP Keys for Clinicians Quick Guide for Clinicians

TIP 45 Detoxification and Substance Abuse Treatment You Can Manage Your Chronic Pain To Live a Good
Quick Guide for Clinicians Life: A Guide for People in Recovery From Mental
Quick Guide for Administrators Illness or Addiction
KAP Keys for Clinicians TIP 55 Behavioral Health Services for People Who Are
Homeless
TIP 46 Substance Abuse: Administrative Issues in
Outpatient Treatment TIP 56 Addressing the Specific Behavioral Health Needs of
Quick Guide for Administrators Men
TIP 57 Trauma-Informed Care in Behavioral Health

TIP 47 Substance Abuse: Clinical Issues in Outpatient Services
Treatment TIP 58 Addressing Fetal Alcohol Spectrum Disorders
Quick Guide for Clinicians (FASD)
TIP 59 Improving Cultural Competence
TIP 48 Managing Depressive Symptoms in Substance Abuse
Clients During Early Recovery
TIP 49 Incorporating Alcohol Pharmacotherapies Into

Medical Practice
Quick Guide for Counselors
Quick Guide for Physicians
159
Managing Depressive Symptoms in
Substance Abuse Clients During
Early Recovery
This TIP is divided into three parts that are bound and produced separately.
Managing Depressive Symptoms in Substance Abuse Clients During Early Recovery, Part 1, is for
substance abuse counselors. It provides the “what” and “why” and “how” of working with clients
with depressive symptoms and substance use disorders. It includes information on depressive
symptoms and covers topics such as counseling approaches, clinical settings, cultural concerns, the
counselor’s role and responsibilities, understanding clients with depressive symptoms, screening
and assessment, client-centered treatment planning, the treatment process, and continuing care.
Chapter 2 of Part 1 represents the heart of the “how-to” for counselors. It consists of dialog from
sessions conducted by counselors with four clients with substance use disorders and depressive
symptoms of different types, and demonstrates techniques for working with behaviors, thoughts,
feelings, and beliefs. How-to descriptions of specific counseling techniques, explanatory comments
from an advanced counselor about the counseling sessions, and decision trees to help counselors
make decisions at key points (such as when to refer a client) are interspersed with the dialog.
Managing Depressive Symptoms: An Implementation Guide for Administrators, Part 2, clarifies

why program administrators should be concerned about incorporating the capacity for managing
depressive symptoms into their substance abuse programs. It provides a systematic approach to
designing and implementing an infrastructure that will support performing the clinical practices
that are identified in Part 1.
Managing Depressive Symptoms: A Review of the Literature, Part 3, is for clinical supervisors,
interested counselors, and administrators. It consists of three sections: an analysis of the available
literature on depressive symptoms in clients with substance use disorders, an annotated bibliog-
raphy of the literature most central to the topic, and a bibliography of other available literature.
Part 3 is available only online at http://www.store.samhsa.gov.
U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES

Center for Substance Abuse Treatment
HHS Publication No. (SMA) 13-4353

First Printed 2008
Revised 2009, 2012, 2013, and 2014

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Managing Depressive

Abuse Clients During

Treatment Improvement Protocol (TIP) Series

1 Choke Cherry Road

HHS Publication No. (SMA) 13-4353

Electronic Access and

Expert Advisory Board. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vi

What Is a TIP? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vii

How This TIP Is Organized . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xi

Preparing Yourself To Work With Clients With Depressive Symptoms . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Screening and Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

Continuing Care and Treatment Termination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

Vignette 1—Behavioral Interventions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39

Vignette 2—Cognitive Interventions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56

Vignette 3—Interventions With Core Beliefs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67

Vignette 4—Interventions With Feelings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82

Why SAMHSA Created an Implementation Guide as Part of This TIP . . . . . . . . . . . . . . . . . . . . . . . . . . . 101

Consensus Panel Recommendations for Administrators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102

Why Address Depressive Symptoms?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102

Thinking About Organizational Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103

Managing Depressive Symptoms iii

Assessment and Planning Before Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109

Addressing Policies and Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114

Addressing Relevant Regulations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119

Addressing Staff Competence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119

Addressing Community Relationships . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127

Addressing Financial Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128

Addressing Continuity and Fidelity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128

Appendix A—Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131

Appendix B—Center for Epidemiologic Studies Depression Scale (CES-D) . . . . . . . . . . . . . . . . 135

Appendix C—Fidelity Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137

Appendix D—DSM-IV-TR Mood Disorders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143

Appendix E—Advisory Meeting Panel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 147

Appendix F—Field Reviewers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149

Appendix G—Acknowledgments. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151

Chair, Part 1 and Part 2 Part 2 Consensus Panel Members

Jennifer Frey, Ph.D.

Michael Klitzner, Ph.D.

Sheldon R. Weinberg, Ph.D.

Managing Depressive Symptoms v

Treatment Improvement Protocols (TIPs) are developed by the Center for

Although each consensus-based TIP strives to include an evidence base for

Managing Depressive Symptoms vii

The Treatment Improvement Protocol (TIP) series fulfills SAMHSA’s mission

Pamela S. Hyde, J.D.

Managing Depressive Symptoms ix

This TIP is divided into three parts:

• Representative vignettes of counseling sessions with clients with depressive symptoms.

It is strongly recommended that you read chapter 1 before reading chapter 2.

• Why SAMHSA created an implementation guide as part of this TIP.

Managing Depressive Symptoms xi

xii How This TIP Is Organized

Abuse Clients During

Managing Depressive Symptoms

Introduction Depressive symptoms are common among clients in

tion to clients with depressive symptoms. Feelings and Behaviors

Managing Depressive Symptoms 5

For individuals experiencing depressive symptoms:

• May be severely limited in the emotions he or she is able to experience.

Countertransferential Reactions Although these reactions are common and under

Several screening tools can help determine the likeli

2. Monitoring depressive symptoms to observe whether they change significant

3. Is counselor knowl YES