Chapter 4
Cognitive-Behavioral Theory
Paula S. Nurius and Rebecca J. Macy
Overarching Question: How can human beings think about their thinking to
create therapeutic change in their thoughts, feelings, and behaviors?
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Relevance to Contemporary Practitioners
Social workers and practitioners from allied disciplines use interventions
based on cognitive-behavioral theory (CBT) to address a wide range
of psychosocial problems, including depression, anxiety, chronic pain,
substance abuse, violent trauma, and difficult family relationships (J. S.
Beck, 2011; Berlin, 2002; Iverson et al., 2011; Nurius, 2008; O’Donohue &
Fisher, 2009; Ronen & Freeman, 2007). Cognitive-behavioral therapy (CBT)
has been applied and found effective with an array of clients from a
range of socioeconomic and sociocultural backgrounds (Hays & Iwamasa,
2006; Koh, Oden, Munoz, Robinson, & Leavitt, 2002; Voss Horrell, 2008),
LGBTQ populations (Martell, Safren, & Prince, 2004), and a range of
developmental ages including youth (Christner, Stewart, & Freeman, 2007;
Lecroy, 2008; Manassis, 2009; Weisz & Kazdin, 2010) and older adults
(Laidlaw, Thompson, Dick-Siskin, & Gallagher-Thompson, 2003; Lau &
Kinoshita, 2006). In addition, CBT can be used in a variety of settings,
from private practice offices to inpatient hospitals to community outreach
services (e.g., A. Nezu & Nezu, 2010).
Over the course of its development, the underlying cognitivebehavioral theory has been subjected to extensive research. These
research results are a highly favorable body of findings that show the
therapeutic effectiveness of CBT and its theoretical foundations (A. T.
Beck, 2005). The results of one recent meta-analytic study recommended
CBT as a ‘‘first-line psychosocial treatment of choice’’ for clients with
anxiety and depressive disorders (Tolin, in press). Another strength of the
theory base is its considerable versatility and adaptability. As social work
professionals are increasingly asked to use evidence-based practices and to
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show that their interventions make a difference in the lives of the people
with whom they work, many practitioners turn to cognitive-behavioral
therapy because of the combination of its utility, adaptability, and strong
record of effectiveness (Macy, 2006).
Cognitive-behavioral therapy has at its foundation a set of welldocumented and detailed intervention techniques (see, e.g., J. S. Beck,
2011; Leahy, 2002) that are widely available and straightforwardly applied.
Such clear-cut application is particularly salient to practitioners. CBT’s
emphasis on articulating implementation methods provides a basic template for how to translate theory into therapeutic practice. Nonetheless,
the effectiveness of any therapeutic method can be diluted by adherence to
technique that is insufficiently attentive to the characteristics, complexities,
and context of any given case. Grounding in the underlying theory, awareness of emerging developments, and balanced attention to limitations as
well as strengths of this model of practice are essential to making decisions
about the appropriateness of CBT for a given client as well as adaptation
to foster good fit.
As with any intervention, the effectiveness of cognitive-behavioral
therapy is dependent on the practitioner’s ability to use the theory and
related techniques in clearly formulated, deliberate, and thoughtful ways.
Practitioners will be most effective in their use of cognitive-behavioral
interventions if they have a nuanced understanding of the theoretical
premises and are skilled in a range of CBT intervention techniques and
tools. This level of mastery requires study, practice, and supervision from
others well versed in this intervention theory. In addition, effective application of cognitive-behavioral interventions is incumbent on the social
worker’s ability to appropriately adapt and modify cognitive-behavioral
theory and therapy techniques to clients’ sociocultural and socioeconomic
backgrounds, as well as clients’ development in the life course (Cormier,
Nurius, & Osborn, in press; Hays & Iwamasa, 2006). To provide readers with a theoretical foundation for using this therapy effectively in
assessment and intervention, we provide an overview of the theory and
its developmental history, basic and advanced theoretical principles, and
recent developments and critiques.
Overview of Cognitive-Behavioral Theory
The cognitive-behavioral theoretical framework of human functioning is
based on the premises that thoughts, emotions, and behaviors are inextricably linked and that each of these aspects of human functioning
continuously effects and influences the others. Cognitive-behavioral theory posits that thoughts about the self, relationships, the world, and
the future shape emotions and behaviors. Feelings and behaviors shape
thoughts and thought processes in a kind of ongoing reciprocal feedback
loop. Moreover, cognitive-behavioral theory posits that cognitive-affectivebehavioral processes are similar and analogous across human beings and
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Cognitive-Behavioral Theory
human experience. However, the content within the cognitive-affectivebehavioral processes is specific, unique, and personal to the individual
(Alford & Beck, 1997; DeRubis, Tang, & Beck, 2010).
This distinction is critically important. There is a lot yet to learn about
processes—how exactly thoughts and feelings interact with each other as
well as with genetics, physiology, and prior lived experience, and how
these systematically relate to and with behavior. Yet to date, it appears
that there is a high degree of comparability in how processes operate as with
other aspects of the human body and functioning. The defining content of
memories, beliefs, understandings, expectations, and values can be highly
variable, reflecting differences across people. These differences flow into
the operating system of cognition–affect–body–behavior processes in a
continuous reciprocal interchange to generate an intricate, contextualized
set of thoughts, feeling and behaviors.
In other words, how human beings construct the reality of their
lives and the meaning human beings give to their lives, their selves,
their relationships, their environments, and their futures is distinct. This
distinctiveness comes from uniquely individual experience, knowledge,
and memory. When this cognitive-affective-behavioral system works well,
human beings are able to take in information from their experiences and
their environment, process and manage that information, and then use the
information to direct emotions and behaviors toward meeting their needs
and goals in ways that are adaptive, efficient, and functional.
However, serious difficulties in human thinking, feeling, behaving,
and functioning can occur when there are problems in thoughts and
thought processes (J. S. Beck, 2011). Central to cognitive-behavioral theory
is the notion of cognitive mediation—that the meaning people bring to and
take from their experiences shapes how they feel and respond. Accordingly,
our cognitive activity is an active and crucial part of both positive and
negative functioning. When our emotions and behaviors are guided by
thoughts and beliefs that are seriously unhelpful in some manner, it is
likely that we will have difficulty meeting our needs, pursuing our goals,
and experiencing life in a satisfied, comfortable manner. When our needs
are unmet and goals are not achieved, we are then likely to experience
distress and anguish. In turn, these negative feelings will reinforce or
create new problems in our thoughts and beliefs, our emotional and social
experience, as well as our views of ourselves and what the future holds.
As a counterpoint to this, cognitive-behavioral theory also posits that
we human beings have the capacities to monitor, examine, and change our
thoughts, beliefs, and thought processes. We have the ability to think about
thinking, and thus we have the capacity to alter and replace problematic,
inaccurate, or in some other way unhelpful thoughts. By directing attention
to and modifying thoughts and beliefs, we can also change and direct
emotions and behaviors to better meet our needs and goals toward more
beneficial outcomes (Leahy, Tirch, & Napolitano, 2011). This premise that
people can think about their thinking, referred to as metacognition, is
foundational to the change processes in cognitive-behavioral therapy.
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However, cognitive-behavioral theory also posits that we do not tend
to regularly reflect on our thoughts and thought processes, leaving us
largely unaware of problems in our own thinking that may be at least
partially contributing to our unease (Mischel, 2007). For brevity’s sake, we
are using such terms as thoughts and beliefs. However, the notion of cognition and cognitive activity is quite broad. As Dobson and Dozois (2010)
note, a wide range of cognitive constructs and processes have been implicated, including but not limited to thoughts, beliefs, attitudes, assumptions,
perceptions, interpretations, attributions, self-statements, scripts, rules for
living, values, expectancies, narratives, cognitive distortions, schemas,
narratives, and private meanings. In sum, cognitive-behavioral theory proposes that practitioners can play an important role in helping clients with
understanding the impact that their thoughts have on their emotions and
behaviors, the ways that self and social factors can shape their cognitive
activity, and ways that clients can learn how to reflect on and make choices
about modifying their thoughts and thought processes to better meet their
needs and goals.
Historical and Conceptual Origins
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There was a time, not too long ago, when the term cognitive-behavioral therapy
was considered an oxymoron . . . . Only a quarter century ago, it was inconceivable to many that there could be anything legitimately called ‘‘mind sciences.’’
Now it is difficult to imagine an adequate approach to psychotherapy that does not
appreciate basic contributions from the cognitive sciences. (Mahoney, 2004a, p. 5)
This quotation captures the rapid development and dramatic impact
of cognitive-behavioral theory and the therapeutic methods it informs. In
many respects, cognitive-behavioral theory reflects an ongoing evolution
in theorizing, clinical application, and empirical evidence. Definitional
boundaries can also be unclear. Some refer to cognitive theory and therapy
and others to cognitive-behavioral theory and therapy. Some therapists
see themselves predominantly as behaviorists who incorporate findings
related to ways that thought, feeling, and action are interrelated. Others
see themselves more rooted in the cognitive realm of understanding key
processes through which cognitions—particularly errors, distortions, and
maladaptive patterns of cognition—give rise to serious problems in living.
Still others see themselves as working at an interface that integrates CBT
premises with premises or findings from other arenas, such as cognitive science, constructivism, human biology, ecology, psychopharmacology, and
substantive factors anchored in respective arenas of practice (e.g., addictions, child and youth development, stress-related problems, problems
associated with medical conditions).
A strict rendering of the historical origins of cognitive-behavioral
theory is made difficult by differing perspectives and a general sense
of merging between cognitive and behavioral lines of theorizing relative
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Cognitive-Behavioral Theory
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to therapeutic techniques (although not without dissent or controversy).
Behavior therapy, for example, can be seen as developing in a context
that stood in contrast to a medical model of psychopathology and to psychoanalysis as the prevailing therapeutic approach, instead emphasizing
pragmatism, symptom relief, use of well-specified methods, and adherence
to empirical evidence of underlying theorized principles and therapeutic
outcomes. As behavior theories are addressed elsewhere in this volume,
we do not review these here. O’Leary and Wilson (1987) identify the following as characteristics typifying behavior therapy (cited in Prochaska &
Norcross, 2003, p. 244):
Most abnormal behavior is acquired and maintained according to the
same principles as normal behavior.
•
Assessment is ongoing and focuses on currently functioning determinants of behavior.
•
People are best described by what they think, feel, and do in specific
life situations.
•
Treatment is based on theory and empirical findings.
•
Practice methods are detailed and replicable.
•
Treatment is tailored to different problems and people.
•
Intervention goals and methods are mutually developed and agreed
upon with the client.
•
Specific therapeutic techniques are evaluated as to their effects on
specific problems.
•
Outcomes are evaluated on the basis of observed behavior change,
its generalization to real-life settings, and its maintenance over time.
We list these background dimensions of behavior therapy as they
have carried forward to a considerable extent in the development of
cognitive-behavioral theory and therapy. Although effective for a wide
range of specific problems, particularly those associated with anxiety, both
clinical and empirical experience with behavior therapy began to reflect
limitations. Behavior theory underwent dramatic change as a function of
the cognitive therapy movement that began in the 1960s and blossomed
in subsequent decades. Major early contributors to the cognitive therapy
movement include Albert Ellis, Aaron Beck, Michael Mahoney, Joseph
Cautela, Donald Meichenbaum, Albert Bandura, and others who introduced
cognitively oriented therapies such as rational-emotive therapy, cognitive
therapy, self-control and self-regulatory methods, covert sensitization,
self-instructional and stress inoculation techniques, coping skills training,
problem-solving training, and structural and constructivist perspectives
(Foreyt & Goodrick, 2001, and Dobson & Dozois, 2010, provide useful
overviews of early major contributors).
Models that emphasized conditioning of human behavior by environmental forces began to share space and integrate with models that argued
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for cognitive mediational processes. These models assert that particular
thoughts and cognitive styles shape how stimuli (external events as well as
one’s own thoughts and feelings) are experienced and interpreted, which
shapes behavioral responding. The shift from behavioral to cognitivebehavioral theory entailed a shift from environmental determinism (that
one’s functioning is primarily shaped by the external environment) to
reciprocal determinism (that one is an active participant in shaping one’s
development as well as being affected by the nature of that environment,
in a continual transaction between person and environment).
A number of factors have been identified as contributing to the
initial theoretical specification of cognitive-behavioral therapy and its
rapid ascendance as a preeminent therapeutic approach. Dobson and
Dozois (2010) note the following:
•
•
•
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•
•
•
The behavioral perspective was increasingly being seen as insufficient
to account for important dimensions of human behavior, yet cognitive
extensions were generally not embraced as consistent with behavioral
theory.
The strongest alternative at the time, the psychodynamic model,
had not amassed a persuasive body of evidence documenting its
effectiveness.
The mediating processes offered by cognitive-behavioral theory articulated a different understanding of mechanisms and, thus, cognitive
and affective targets and guidelines for intervention.
Basic and applied research on cognitive processes was flourishing,
providing empirical support for new and clinically relevant cognitive
models.
Cognitive-behavioral therapy took hold as an organizing construct
and body of work, manifested by major contributors and forums
such as new journals that served to establish a focus and platform
for exchange about provocative ideas and evolving findings.
The growing body of research findings supporting CBT became
particularly significant in a context of cost containment and workplace
pressures to document use of empirically supported interventions.
The following three propositions are central to cognitive behavioral
theory: (1) cognitive activity affects behavior; (2) cognitive activity can be
monitored and altered; and (3) desired behavior change can be affected
through cognitive change. These propositions are found throughout CBT
in all its manifestations. However, CBT is not static intervention theory.
Theorists and practitioners have continued to develop and refine CBT.
Mahoney (1995, 2004b) indicates the major conceptual developments in
the cognitive psychotherapies over the past three decades:
•
The differentiation of rationalist and constructivist approaches
to cognition. Although not inherently unrelated, this distinction
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Cognitive-Behavioral Theory
•
•
•
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•
distinguishes a relative emphasis on cognitive content. The rationalist
approach emphasizes logic, errors, distortions, and (ir)rationality.
Alternatively, the constructivist approach emphasizes a proactive
(constructive) view of the nature of cognition that includes a
complex system of interchanges among thought, feeling, and action
contextualized within a developmental perspective of the self and
social systems.
The recognition of social, biological, and embodiment issues. Increasingly, factors such as genetics and biological functioning, bodily
experiences, physiology, and powerful social forces important to
shaping, understanding, and intervening were incorporated into theory.
The reappraisal of unconscious processes. There was growing recognition that not all cognition is available to consciousness and that
some processes, including automatic thoughts, typically operate without awareness. Such contemporary notions of the unconscious are
not the same as those deriving from Freudian theory. However, there
is an active effort to illuminate tacit experience and learn its function
in psychological health.
An increasing focus on self and social systems. Early cognitive
approaches tended to be internally focused and relatively inattentive to historical events or to the social and emotional relationship
between client and social worker. More recent approaches emphasize
complexity of the self and social embeddedness.
The reappraisal of emotional and experiential processes. CBT’s early
emphasis was on conscious reason as the key vehicle for correcting problems of perception. There is now more focus on cognitive
change strategies that emphasize emotion and experiential techniques. Recent decades have witnessed a lessening of sibling rivalries
among different psychotherapy theoretical adherents and greater
dialogue and conceptual integration among behavioral, cognitive,
humanistic, and psychodynamic theorists and practitioners. Accordingly, cognitive psychotherapies have likewise contributed to the
psychotherapy integration movement.
Research and theorizing have continued with vigor since CBT’s
early foundations, to the point that CBT now ranks among the most
dominant therapies identified by practitioners, supported by empirical
findings, and listed as recommended methods (Cormier et al., in press;
Dobson & Dozois, 2010; Prochaska & Norcross, 2010). The combination
of theoretical evolution (openness to revisiting and revising theoretical
propositions based on new findings), relatively precise documentation of
intervention strategies, and a sturdy base of positive outcomes evidence has
positioned cognitive-behavioral theory and practice to gain wide support.
We now turn to an outline of cognitive-behavioral therapy principles as
well as recent theoretical development.
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Basic Theoretical Principles
As discussed earlier, cognitive-behavioral therapy is essentially the application of cognitive-behavioral theory to the individual client’s situation
or problem. The specific therapeutic strategies a practitioner may use
with coping skills applications, problem-solving skills development, or
cognitive restructuring across different clients will vary to fit the change
goals. However, there is a common theoretical base that undergirds these
different types of cognitive-behavioral therapy. In this section we briefly
review several basic theoretical principles of cognitive-behavioral therapy that are critical to understanding the organizing premises used to
develop, apply, and adapt cognitive-behavioral interventions. Specifically,
we discuss the theoretical principles of the (a) mediational model—how
thoughts and beliefs determine emotions and behaviors; (b) information
processing—how we human beings manage all the stimuli from our environments and ourselves to meet our needs and goals and how cognition is
fundamental to this process; (c) self-regulation—how human beings are
active agents with the capacity to alter their thoughts, feelings, behaviors, and environments, and how self regulation can be used as the basis
for change in cognitive-behavioral therapy; and (d) the importance of
the environment—how a person’s environment, including socioeconomic
and sociocultural context, plays a critical role in shaping and activating
cognitive content.
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Mediational Model
The premise of the mediational model is that stimuli, such as experiences
we encounter in life, do not directly determine feelings or lead to behavior
but rather go through a filtering process of meaning making, led by the
cognitive system that has to attend to and undertake interpretation of the
experience and its implications for the person. This interpretative process draws from several levels of thinking, including automatic thoughts,
underlying assumptions and rules, and core beliefs. Neenan and Dryden
(2004, p. 7) describe negative automatic thoughts as those that involuntarily pop into a person’s mind when experiencing emotional distress; these
thoughts are often outside immediate awareness and difficult to turn off.
Underlying assumptions (‘‘If I impress others, then I should get ahead in
life’’) and rules (‘‘I should not let people down’’) are typically not explicitly
articulated and yet tend to be reflective of and to reinforce core beliefs
(e.g., ‘‘I am incompetent’’). Core beliefs, which we further address later,
take form as schemas that are stored in memory and drawn by relevant
life events into information processing, shaping meaning making and thus
emotional and physiological states and behavioral responding.
The mediational model does not propose a strictly linear process
whereby thoughts or beliefs lead to emotions and physiological states,
which then dictate behaviors. Rather, there is a dynamic interplay and presumed reciprocal relationships among these elements, such that changing
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Cognitive-Behavioral Theory
any one should affect change in the other elements, or at least the overall
dynamic. Assuming that an individual has developed negative automatic
thoughts, assumptions and rules, and core beliefs that have become deeply
established in patterned, habitual responding (e.g., depression, anxiety,
poor self-esteem), change in the cognitive architecture that is operating in
problematic situations is pivotal. In short, acknowledging dynamic interplay, the mediational model generally posits that emotions and behaviors
in a situation flow from the cognitive activity that gets engaged in relating to the experience (e.g., the content of thoughts and beliefs salient
in the moment and cognitive processes that carry these in anticipating,
interpreting, and reacting, inclusive of thoughts and beliefs about the self,
relationships, the world, and the future).
To illustrate, two students receive disappointing grades on an assignment in one of their first courses in graduate school. The first student’s
cognitive content about the disappointing grade reflects the following
beliefs: ‘‘I’m not good at this school stuff and now it’s showing. If I
continue to try to get through this, then my incompetence will become
more and more apparent. I’m a second-rate student and I’m going to be
humiliated in front of my classmates.’’ The second student’s cognitive
content about the grade reflects these beliefs: ‘‘Wow! I was not expecting
graduate school to be this tough. If I work a lot harder and study more,
then I’m going to do better or at least have a better picture of what help I
need. I am disappointed about this grade, but I have to keep my focus on
my goals, and I know I can do better next time.’’
The cognitive content exhibited by the first graduate student will
result in emotions such as embarrassment and anxiety and behaviors of
ruminatively worrying about future performance and starting to avoid
studying, as that prompts episodes of anxiety, negative self-talk, and a
sense that the material is over his head. Alternatively, the cognitive content
from the second graduate student will likely result in emotions of resolve
and determination and behaviors such as going to the library to study after
class. With both students in this example, it is evident that their cognitive
content shapes and influences their emotions and behaviors, as well as
that the cognitive content mediated the relationship between the life experience of getting a disappointing grade and the subsequent emotions and
behaviors. These examples also illustrate ways that behavior contributes
to a vicious cycle of emotional distress. People typically act as they think
(e.g., if I don’t think I can be successful with something, I’ll likely behave
in a manner consistent with this, which serves to sustain my unhappiness
with my perceived incompetence). In short, the mediational model posits
that problems in one’s behaviors and emotions are indicative of problems
in one’s underlying thoughts and thought processes, most likely negative,
unhelpful beliefs, assumptions, and automatic response patterns.
In first thinking about the idea of the mediational model, it may not
be initially clear why emotions play an important role. However, theory
and findings show complex relationships; thoughts and beliefs trigger and
amplify emotions, emotional content associated with cognition stimulates
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and alters behavior, and powerful emotions can reinforce thoughts and
thought processes, as well as make thoughts seem all the more urgent
(Leahy, 2007). Although cognitions are targeted as key inroads to lasting
change and behaviors are monitored as indicators of cognitive change and
improvement, therapeutic change is predicated on eliciting and managing
relevant emotional patterns. Emotions need to be activated in therapeutic
work to gain access to emotionally charged cognitions. It is this activated
state that allows the social worker to go beyond an abstract, cerebral
exchange to actively work with the feeling–thinking linkages and to begin
to foster different patterns not only of thinking and behaving, but of
feelings (Neenan & Dryden, 2004).
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Information Processing
At any given moment of our lives, we human beings are receiving large
amounts of information. Often this information is complex, and it originates from multiple sources. To manage this constant exposure to massive
amounts of information that come from within us as well as from our environment, we have developed elaborate thinking, feeling, and behavioral
processes that enable us to screen out and ignore information that may
not be useful or important at a given moment or in a particular situation
(A. Beck, 2002). These filtering processes enable us not only to avoid being
overwhelmed but also to focus—selectively attending to, interpreting and
responding to information that is relevant and that makes is possible for
us to progress toward meeting our needs and goals. How exactly is it
possible that human beings can manage all the complex information we
experience day in and day out and across the development of our life
course? Cognitive-behavioral theory maintains that human beings have
complex cognitive and affective structures (schemas) that allow us to manage the multiplicity and complexity of internal and external information
in efficient and consistent ways. Although these structures generally function with impressive sophistication and utility, this information-processing
system has its vulnerabilities. It is, for example, highly conservative and
what some have characterized as ‘‘miserly’’—inclined to search in a selfconfirmatory manner for what is familiar, self-relevant, and anticipated, to
overlook or resist information that is contradictory, to not see information
that is beyond one’s base of experience or imagination, and to extend
minimal processing resources unless compelled to do so.
Here is an example of how information processing works. Think
about the last time you went to a party. You probably had a conversation
with a good friend while you were at the party. During your conversation,
many other things were probably happening at the party, too. Other people
were talking, and there may have been music playing. Let us say that your
friend was telling you some important information about promotions at the
place you both work and that being promoted is a long-standing career goal
of yours. Let us also say that you came to the party hungry and had not
made it to the buffet table before you ran into your friend. In addition to all
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Cognitive-Behavioral Theory
the activity in the environment, you are also feeling ravenous. For you to
attend to your friend’s words (which may give you information to meet a
life goal), it was also necessary to screen out all the information and activity
going on around you at the party and within you internally. This screening
process allowed you to focus on the conversation in such a way that you
probably were not even aware that you were filtering out all this other
information and activity. In fact, you were probably able to manage all this
external and internal information smoothly and fairly easily and were also
able to engage in this important conversation. Though shortly after this
conversation ended, you probably began searching for the buffet table!
The task of attending to a conversation at a party is a fairly simple
example of information processing. In fact, information processing occurs
in an intricate, interconnected, and interdependent system of cognitiveaffective-behavioral structures (A. Beck, 1996). These structures take in
information, assign meaning, and evoke corresponding emotions, which
all lead to behavioral responses in reaction to the information. Keep
in mind that information processing occurs during every activity and
behavior, from driving a car to playing basketball with friends to giving
a presentation at work. Consider, too, ongoing activities and behaviors
that occur over time, such as planning and taking a vacation, developing
and completing a project at work, and parenting a child, just to name a
few examples. Information processing is an operative part of every waking
moment, sometimes functioning in a fairly automatic way (walking down
the street, doing the laundry), sometimes in a more deliberate way that
involves more explicit attention (hearing a child scream as one is walking
down the street, coming across contraband material in your son’s pants
pocket as you do the wash).
Human beings have patterned and stable cognitive-affective information processes for all aspects of our lives and our personalities. On the
one hand, the stability and consistency of these information-processing
structures is adaptive, even essential, and facilitates human functioning
in an efficient manner, conserving energy for needed times (Berlin, 2002;
Macy, 2006). Consider the example of driving a car. Imagine if every
time you drove your car you had to consciously think through every step
and decision—all the mechanics of driving, from getting into the car to
turning the steering wheel, as well as the vast attentional energy required
to purposely examine every bit of visual, auditory, and tactile information one encounters along the way. It would take a long time to get to
your destination, would be exhausting and stressful (given that one has
to sustain a continuous level of high alert and highly active processing
trivial environmental information), and might even increase your risk of
an accident given that attentional focus is so diffuse and taxing, reaction
time to truly significant information is impaired.
However, the stability and consistency of cognitive-affective structures can also cause problems. To the extent that an individual has, for
example, schematic structures underlying core beliefs about the self and
the world containing information or ideas that are dominantly negative,
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that person’s expectancies, interpretations, feelings, and responses are
going to be infused and directed by this dominantly negative content in
a system that will resist challenge or change, as do all well-developed
cognitive-affective structures (Nurius, 2008). These difficulties in thinking,
feeling, and behaving will pose problems for the person in terms of getting
needs met and pursuing life goals. Although the person may be fully
aware that needs and goals are not being successfully met, the person may
not understand why the problems exist because the underlying cognitiveaffective-behavioral processes, which contain unhelpful information, are
so efficient and automatic that the person is not aware of the problematic
information (Mischel, 2007). Erroneous cognitive-affective structures tend
to be self-perpetuating, as the act of processing information through a specific structure serves to reinforce the underlying content and the relative
ease or accessibility of that structure for future processing. On the one
hand, information processing that draws on predominantly healthy and
adaptive cognitive-affective structures is key to human beings’ capacity
to survive and thrive in a complex world. On the other hand, information processing that draws on predominantly unhealthy and maladaptive
cognitive-affective structures can cause serious problems that impair a
person’s capacity to survive and thrive.
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Self-Regulation
Fortunately, as discussed earlier, our ability to think about our thinking
(metacognition) gives us the capacity to become aware of our cognitive
content and processes. With increased awareness of these generally automatic processes, we can then alter and replace problematic, inaccurate,
and unhelpful beliefs and thoughts that underlie our problems in feeling
and functioning. Although cognitive structures must be resistant to change
to provide coherence and stability, they can be altered, modified, and
replaced (J. Beck, 2011). By directing attention to and modifying problematic thoughts and underlying schemas that thwart our efforts to meet our
needs and pursue our goals, we can also change and direct emotions and
behaviors to better meet our needs and goals (Dobson & Dozois, 2010). As
Berlin (2002) emphasizes, we humans are active agents in our own lives
in the way we seek out, select, and manage information and experiences.
Although we are constantly and consistently showered with information,
we are not sponges simply soaking up information. We can also use our
metacognitive capacity to think about our thinking to better direct our
thoughts, feelings, and behaviors in ways that help us meet our needs and
goals. This capacity to observe and reflect on our thinking, as well as our
ability to direct our thoughts, feelings, and behaviors in ways that help
us best meet our needs and goals, is termed self-regulation and is another
basic principle of cognitive-behavioral theory.
Cognitive-behavioral theory views the person as an active agent in
the construction of perceived reality and the social and psychological interchanges both among and within individuals. Beyond reacting to the world,
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Cognitive-Behavioral Theory
we also dynamically search for, choose, and use information to construct
our realities and make meaning in our lives, including our understandings
of our self, our relationships, the world, and our future. Although much
of the way that people are exercising their agency or influence in this
regard resides beyond common awareness, cognitive-behavioral theory
views our cognitive-affective-behavioral patterns as knowable, accessible,
and modifiable. This theoretical premise is the cornerstone of cognitivebehavioral interventions, be they cognitive restructuring, coping skills
training, emotional regulation, or other specific strategies.
Recall the example of the graduate student who received the unsatisfactory grade and thought to herself, ‘‘I am disappointed about this
grade, but I can do better next time,’’ and then headed off to the library;
this is an illustration of self-regulation. Let’s assume that both students
had the abstract knowledge that academic performance can generally be
improved through study, perseverance, and tutoring. One student had
a core belief consistent with herself as being able to accomplish this
connection, whereas the other did not. Clearly, the self-regulatory task
for the student with a negative core belief is considerably more difficult
than for the other student. Self-regulation for the former student would
involve observing and reflecting on cognitive patterns (negative automatic
thoughts, assumptions and rules, and core beliefs about her academic
competence), feeling states (embarrassment, anxiety, disappointment),
and behaviors (avoidance strategies) that are contributing to her problems
and then undertaking activities to interrupt these patterns and work to
invoke and reinforce new patterns. A number of specific strategies could
be used to assist with this effort. However, central to the effort will be the
incremental progress toward challenging the negative core belief and reinforcing a new positive belief structure and information-processing habits
regarding her academic competence, the possibility of achieving success,
and the ‘‘how-tos’’ and ‘‘what-ifs’’ for self-regulating through challenges
and backslides along the way. Self-regulation often involves not only
deliberate, explicit focus on changing beliefs and thought patterns, but
also explicitly working to manage one’s physiology (e.g., bodily reactions
associated with anxiety, embarrassment), coping patterns, and mood.
What is noteworthy about the example of the positive belief student
is how she automatically engaged in positive, helpful thinking patterns
that supported behaviors that are adaptive for success in her academic
goals. Part of what makes self-regulation difficult is this automaticity; both
adaptive and problematic patterns are typically implicit and unscrutinized
(Dunkley, Blankstein, & Segal, 2010). Experientially, it feels like ‘‘what
is,’’ a kind of truth or reality (‘‘I’m just not good at this—never have
been, never will be’’). The theoretical premises underlying self-regulation
essentially frame the client as a personal scientist. Embedded within
an overarching social learning and psychoeducational framework, selfregulation entails an assumed ability, with assistance, for clients to (a) gain
awareness of their heretofore unobserved and automatic patterns, (b) test
the validity of their problematic beliefs and thoughts, and (c) collaborate
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with the counselor to modify these patterns (Neenan & Dryden, 2004).
Although the process of self-regulation requires energy and overcoming
an inherently conservative cognitive-affective-behavioral system, humans
are also inherently motivated to understand, gain meaning, and be agentic
in their own functioning—assets to the process of self-regulatory change.
How this capacity can be used for therapeutic purposes is discussed in
greater detail later in the chapter.
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The Importance of Environment
Social work professionals frequently work from a biopsychosocial perspective and often use frameworks that emphasize the importance of the
environment, such as person-in-environment perspective, the metatheory
of systems, and the ecological framework. The emphasis on the individual
client’s interactions with various aspects of his or her environment (e.g.,
family, neighborhood, community, government) is critical for social work
professionals because we conceptualize problems in human functioning in
terms of disruptions and problems in our clients’ environment as much
as we conceptualize problems in human functioning as stemming from
within the person. Because of this emphasis, social workers may wonder to
what extent cognitive-behavioral theory is useful for social work practice.
We have noted that cognitive-behavioral theory sees the individual as
deeply and continuously embedded within complex social environments,
with functioning a product of reciprocal relationships between persons and
their environments.
Nonetheless, we have emphasized (as does much of the literature)
the cognitive, affective, and behavioral processes that happen within the
individual. It would be a mistake, however, to assume that cognitivebehavioral theory conceptualizes problems in human functioning as lying
entirely within the individual. In fact, person-in-environment interactions
are essential in how cognitive-behavioral theory understands problems
in human functioning, as well as in how social workers use cognitivebehavioral interventions to address a client’s problems. Neenan and
Dryden (2004) emphasize a focus on correcting the combination of psychological and situational factors that are contributing to an individual’s
distress and working collaboratively with the client to understand how
objectively unpleasant situations are experienced as well as how these
may be exacerbated by how the client appraises or makes meaning of
these situations in ways that impair his or her ability to cope with them.
Let us consider two ways in which a client’s environmental milieu,
which includes the client’s socioeconomic and sociocultural context, come
into play in a cognitive-behavioral theory perspective (Macy, 2006; Nurius,
2008). First, people’s environment will inevitably play a considerable role
in forming and presenting the opportunities, experiences, and information
to which they have access. As a result, the characteristics of their environment will likely shape the thoughts, beliefs, and ideas that form the
basis of people’s information processing and capacity to self-regulate their
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Cognitive-Behavioral Theory
thinking, feeling, and behaving. Patterned ways of responding typically
derive from formative experiences with the social environment.
For example, a person who lives on the flat plains may never have the
experience of downhill skiing because the geographic environment limits
the person’s opportunities to have this experience. Without mountains and
considerable snow, a person may never learn to ski and thus will never
develop cognitive-affective-behavioral processes for the activity of skiing.
However, if this person has economic resources and can travel, then he or
she may go to a snowy, mountainous geographical area on vacation, take
skiing lessons, and subsequently become proficient at this activity. Again,
the person’s environmental realities—in this case, the fact that the person
has economic resources—have provided the opportunity for the development of cognitive-affective-behavioral processes for the activity of skiing.
This is a fairly benign example of how a person’s environmental
context can shape cognitive-affective-behavioral processes. However, given
the social work profession’s emphasis on social change and social justice,
the reader may wish to consider how deleterious aspects of a person’s
environment, for example, poverty, racism, and neighborhood crime, also
impact a person’s cognitive, affective, and behavioral functioning. As Berlin
(2002) emphasizes, the opportunities to which human beings have access
may limit their capacity to create alternative ways of seeing themselves,
relationships, future, and the world.
Second, established cognitive-affective-behavioral patterns are often
activated by the environmental context. A person’s internal experience
(thoughts, feelings, bodily sensations) also activate relevant cognitiveaffective-behavioral systems. Think of your own thinking, feeling, and
behaving processes when you find yourself hungry or sleepy. In the flow
of everyday life, we are constantly experiencing thoughts and beliefs being
activated and made momentarily salient and influential by the experiences,
events, or situations we are encountering.
As an example, think back to our two graduate students who both
received disappointing grades on their assignments. Let’s consider the
student who began to anxiously ruminate, leading to avoidance coping
behaviors. Let’s further imagine that this student found out right before
class that his partner of 1 year decided to break up with him. As a result,
of receiving these two pieces of bad news so close together, which are
examples of external events, our student is feeling particularly discouraged,
sad, and hopeless. But let’s also imagine that on the way to a student bar
with the intent to drown his sorrows a bit, the student runs into a good
friend. This friend joins him for a beer but also provides a listening ear
and a clear-eyed shoulder to cry on. As a result of this friend’s help and
support, our graduate student feels more hopeful and heartened. The next
day, he joins the other graduate student for an all-day study session in
the library. This illustration provides multiple examples—the assignment
grade, the problem relationship, the supportive friend—of how the current
environmental context can activate relevant cognitive content in a way
that shapes a person’s thinking, feeling, and behaving.
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Clearly, the kinds of problems and contexts with which many social
work clients are struggling carry many levels of stress, hurt, inequity, and
impoverishment. No one change or support approach will be a panacea,
and cognitive-behavioral theory lays no claim to being a vehicle to correct environmental oppression and ills. Rather, this theory illuminates
the ways that individuals can gain awareness of both the stresses and
resources of their environments as well as the ways they are engaging
with that environment to exert influence in the best interest of their own
needs, goals, and well-being. To accomplish this, practitioners who use
cognitive-behavioral therapy, guided by an understanding of their client’s
environmental context, including developmental and cultural history, family and friend relationships, economic realities, and environmental factors,
may well pair CBT with interventions targeted at external resources or
problem contributors.
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Advanced Theoretical Principles
Although the theoretical principles we selected as basic apply across the
range of cognitive-behavioral intervention strategies, other theoretical
constructs will be pertinent when more in-depth cognitive challenges and
restructuring are involved. These may pertain, for example, to work with
individuals who are suffering from serious depression or chronic maladaptive behaviors and deeply patterned interpersonal functioning problems. It
is beyond the scope of this chapter to detail applications of CBT methods
or to elaborate in depth. We select core beliefs and cognitive errors as
two features of cognitive-behavioral theory that build on and go beyond
underlying basic principles. Additional resources for recent summaries
of advanced cognitive-behavioral theory and therapeutic techniques, with
emphasis on schemas, the role of emotions, and complex cases include
A. T. Beck (2005), Leahy et al. (2011), Persons (2008); Safran, EubanksCarter, and Muran (2010), and Young, Rych, Weinberger, and Beck (2008).
Core Beliefs
Earlier we introduced the construct of core beliefs as the deeper cognitive
structures (typically assumed to be stored in memory as schemas and
situationally activated) that carry the content—positive or negative—of
what individuals believe to be fundamentally true about themselves and
their world. In applying cognitive-behavioral therapy to human problems
at a foundational level, the distinctions among different types of cognitions
are not always critical. However, at an advanced level of understanding,
knowing the distinctions among cognitions will help to refine and advance
a clinician’s assessment and intervention.
Core beliefs, also called schemas, are the underpinnings of information processing because they are the memory structures that store
descriptive information, beliefs, judgments, and ideas about the self, relationships, the world, and the future (DeRubis et al., 2010; Martin & Young,
2010). Core beliefs take time and repeated use to become well-elaborated
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Cognitive-Behavioral Theory
and overgeneralized. Once well-developed, they tend to be experienced as
tacit truths and are stable, complex, and resistant to change. Core beliefs
are storage repositories, but they are by no means static. These cognitive
schemas are theorized to be the main drivers directing what we attend to,
how we make interpretations, what feeling states are evoked, and what
behaviors we are then predisposed to. In relation to information processing, the resilience of core beliefs is often adaptive and helpful because they
allow us to process and to make sense of new information in efficient and
consistent ways. However, when core beliefs contain unhelpful, inaccurate, or maladaptive information, they can cause considerable problems in
thinking, feeling, and behaving.
Core beliefs generally comprise foundational information about the
self, relationships, the world, and the future and are theorized to have
had their initial formation in childhood and early adolescence. Cognitivebehavioral theory hypothesizes that formative life experiences develop and
reinforce these central cognition structures because they were functional
and useful during these key developmental periods. With repeated application colored by the conservative, self-confirmatory bias of the cognitive
system, these schemas were maintained and strengthened, being used
to interpret and assign meaning to new experiences that further elaborate them. To identify a client’s fundamental core beliefs, which may
hold problematic information for the client’s current life, a comprehensive
developmental assessment can provide information and insight to the contexts from which a client’s core beliefs emerged and what functions they
served at the time.
Because core beliefs so powerfully shape a person’s thoughts, emotions, and behaviors, they are essential and critical targets for deep-level
change from a cognitive-behavioral theory perspective (J. Beck, 1995;
DeRubis et al., 2010). In fact, many who do research on and write about
cognitive-behavioral theory hypothesize that lasting cognitive, affective,
and behavioral change requires an alteration in problematic core beliefs.
There are several challenges to altering core beliefs. One is the process
of helping clients become aware of these underlying cognitive processes
that contain negative, maladaptive information. Because these cognitive
structures have become so embedded in a person’s sense of identity, life
philosophy, understanding of reality, and patterned way of being in the
world, the intervention tasks of identifying, challenging, and disrupting
habitual thought processes and then developing and reinforcing competing, more adaptive core beliefs require considerable skill and sustained
commitment by client and counselor alike. However, core beliefs can be
altered in a way that is helps clients to better address their needs and goals
(Dowd, 2002; Leahy, 2003a).
Cognitive Errors
In our discussion of the mediational model we described how unhelpful
thoughts and beliefs contribute to problems in feeling, behaving, and
functioning. Some of this stems from maladaptive cognitive content, such
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Human Behavior in the Social Environment
as negative core beliefs. Some stems from maladaptive patterns of thinking
or cognitive processes. Cognitive errors are one such set of problematic
patterns of thinking stipulated in cognitive-behavioral theory. Cognitive
errors can occur at various levels of thought, including core beliefs as well
as surface thoughts. Thus, cognitive errors are found both within a person’s
fundamental beliefs about the self, relationships, the world, and the future,
as well as in spontaneous, transitory thoughts. In some respects, the term
cognitive error is a misnomer to the extent that it conveys a notion of some
absolute reality or truth against which an individual’s perceptions are
gauged for accuracy. Consistent with the educational, learning approach
of cognitive-behavioral therapy, the term ‘‘error’’ conveys a pattern of
cognitive responding that can be reflected on as to its helpfulness to the
person and modified to bring patterns of responding more in alignment
with the individual’s comfort and goals.
Within the general concept of cognitive errors there are several types
of cognitive errors that have been broadly observed in clinical and empirical
work, particularly those associated with emotional states. DeRubis et al.
(2010) review common examples of cognitive error. Magnifying problems
reflects the tendency to make one small event or problem bigger than it
actually is or might fair-mindedly be viewed to be. For example, a person
who is planning an once-in-a-lifetime, dream vacation and who runs into
some problems as she tries to reserve a hotel room may think to herself,
‘‘The hotel I really wanted to stay at on my vacation is overbooked. This
is awful! I might as well not go on the trip at all then, because it will
ruin my whole vacation if I cannot stay at that hotel!’’ It is unlikely that
this is the only suitable hotel in which our vacation planner can stay
(although this would need to be explored). She may begin thinking about
the entire vacation, not just the overbooked hotel, in a negative way,
which in turn may lead to negative feelings, including disappointment,
about her vacation plans. The fact that her thinking is focused on this
one apparently minor factor is likely magnifying the problem in a way
that colors her entire view of what was once her dream vacation. We all
magnify (or minimize) at times. It becomes a problem, though, when there
are repeated patterns—particularly when the individual is unaware of the
polar extremes that are coloring her or his interpretations and feelings,
patterns that lead to ongoing unhappiness and imbalance.
Another cognitive error, jumping to conclusions, reflects the tendency
to come to a conclusion before gathering all the information, particularly
conclusions that reinforce a negative existing belief. For example, a recent
high school graduate who is looking for a job may think to himself, ‘‘It’s
been a day, and I have not heard back from my job interviewer, so I must
not have gotten the job.’’ Likely this thought will lead to other negative
thoughts (e.g., ‘‘Why do I bother looking? No one will want to hire me’’)
and negative feelings, such as frustration and despondency. These negative
thoughts and feelings may in turn lead to unhelpful actions and behaviors
(e.g., deciding to watch TV all day instead of sending follow-up e-mails to
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Cognitive-Behavioral Theory
places where he sent his resume), which may also cause difficulty in his
search for a job.
Discounting positives refers to the propensity to concentrate on
negative experiences or aspects of a situation rather than the positive experiences or aspects. For example, a college instructor received many positive
reviews from students about his teaching, but he can only focus on the few
negative comments, possibly dismissing the positives as naive perspectives
whereas the negatives show ‘‘the real truth’’ about his teaching.
Overgeneralizations reflect the inclination to view one negative experience as the rule (e.g., ‘‘I asked a guy out once, but he said no. So I will
never ask another guy out because they all will say no to me’’); this is
likely accompanied by affective states like embarrassment and a sense of
hopelessness about this changing.
Mind reading takes form through believing we know what other
people are thinking, believing, and feeling, irrespective of whether we
have any information in this regard. A person who is engaging in this
cognitive error may think to herself, ‘‘My supervisor did not speak to me
in the hall when she passed me! That’s not like her. I bet she is thinking
of including me in the next round of layoffs and does not want to speak
me.’’ There could be many reasons why this person’s supervisor did not
stop to say hello. She may have been busy or distracted. However, a
person who is engaged in one cognitive error may also tend to disregard
any information that disconfirms the unhelpful thought and instead focus
only on thoughts and feelings that support his or her unhelpful belief.
Unfortunately, as the mediational model posits, cognitive errors generally
lead to difficult, negative emotions, as well as unhelpful and maladaptive
actions and behaviors.
Dobson and Dozois (2010) list other forms of cognitive error: All-ornothing thinking segments experiences into two, often extreme or reductionistic, categories (e.g., flawless or defective). In fortune-telling, one’s
beliefs and/or feelings about the future are how things will be, discounting
or ignoring other possibilities. Emotional reasoning is perceiving things to
be true on the basis of one’s feelings; if something ‘‘feels true’’ (e.g., is consistent with how one is feeling about oneself or others), this is evidence of
its truth. Clients who make ‘‘should’’ statements blur duty and desire; they
frame events in evaluative ‘‘should’’ terms (should have done; not done)
when ‘‘would like to have done/not done’’ is more accurate. Labeling is
applying a label to describe a behavior, then ascribing other meanings that
the label carries (e.g., ‘‘I’m a ‘bad mother’ for losing my patience with my
child. Bad mothers are negligent, unkind, and undeserving of their children.’’). Inappropriate blaming is a restrictive view of events that funnels
into an overly narrow blaming stance (e.g., using hindsight to judge what
should have been done even if that could not have been known at the
time; discounting others’ contributions to a problem or mitigating factors).
As you are reading about these different types of cognitive errors,
it may occur to you that we human beings frequently engage in many
of these types of problematic thinking and unhelpful beliefs on a regular
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basis. In fact, from a cognitive-behavioral theory perspective, all human
beings are prone to thinking in ways that do not always help us to meet
our needs and to reach our goals and to think in ways that can cause
problems for us. Fortunately, as we emphasized in our discussion of the
basic theoretical principles of cognitive-behavioral theory, human beings
can also think about their thinking and change their thoughts, beliefs, and
ways of thinking. As a result of this capacity, we are not necessarily stuck
with our unhelpful, problematic, and maladaptive thoughts and beliefs. As
human beings use their capacity to reflect on problems in their thinking,
they can also change their thoughts and beliefs to be helpful and adaptive.
In our discussion of the relevance of cognitive-behavioral theory for social
work practice, we discuss how practitioners can use specific cognitivebehavioral therapy techniques to help clients change their thinking to
support adaptive ways of thinking, feeling, and behaving.
Recent Theoretical Developments
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Over the past decade there have been several substantial developments.
Some have characterized these as third-generation or third-order developments, following first-generation traditional behavioral therapy and
second-generation behavioral therapies that integrated cognitive science
(i.e., cognitive-behavioral therapy). These new directions embrace concepts such as acceptance, dialectics, spirituality, relationship, and mindfulness (Arch & Craske, 2009; Hayes, Follette, & Linehan, 2004). This
third generation of therapy has been defined in the following way (Hayes,
2004b, cited in Hayes, 2004a, p. 6):
Grounded in an empirical, principle-focused approach, the third wave of behavioral and cognitive therapy is particularly sensitive to context and functions of
the psychological phenomena, not just their form, and, thus tends to emphasize contextual and experiential change strategies in addition to more direct and
didactic ones. These treatments tend to see the construction of broad, flexible, and
effective repertoires over an elimination approach to narrowly defined problems,
and to emphasize the relevance of the issues they examine for clinicians as well
as clients. The third wave reformulates and resynthesizes previous generations
of behavioral and cognitive therapy and carries them forward into questions,
issues, and domains previously addressed primarily by other traditions, in hopes
of improving both understanding and outcomes.
Orsillo, Roemer, Lerner, and Tull (2004) provide an overview of
developments in and beyond traditional CBT, particularly related to anxiety disorders. They acknowledge the important evidence base supporting
CBT (albeit with limitations) as well as concerns that most individuals
receiving community-based psychotherapy do not receive empirically supported forms of intervention. Modern learning theory has pointed to the
importance of personal meaning both in how problematic symptoms (such
as anxiety) arise as well as methods to interrupt dysfunctional patterns
of cognitive and emotional responding, such as panic. Personal meaning
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Cognitive-Behavioral Theory
points to the variability in how similar events can hold very different connotations and significance for different people. This strain of theorizing points
to ways to build on techniques such as exposure therapy—for example,
through assessing meaning and context in designing treatment—to better
incorporate different emotionally charged meanings and life conditions
that may otherwise impede therapeutic efforts. This growing attention to
variation in personal meaning may provide important inroads for appreciating cultural diversity in underlying beliefs, values, expectations, and
spiritual or existential philosophy as well as variation in how predictable
or controllable any given event may be and the perceived implications of
disturbing events for one’s fundamental identity and worth.
Acceptance-based methods are a new wave of CBT-derived clinical approaches that explicitly address treatment impediments, such as
clients’ fear and avoidance of internal experiences. These emerging methods address a critical clinical dilemma. Avoidance of deeply distressing
thoughts and feelings (such as those associated with trauma) is associated
with later increased distress and symptom severity (Gilboa-Schechtman
& Foa, 2001) and may incline some clients to avoid or refuse traditional
CBT interventions and/or increase their risk of dropping out of treatment.
Acceptance and commitment therapy, one such third-wave outgrowth,
targets experiential avoidance and increasing acceptance. Experiential
acceptance is defined as ‘‘willingness to experience internal events, such
as thoughts, feelings, memories, and physiological reactions, in order to
participate in experiences that are deemed important and meaningful’’
(Orsillo et al., 2004, p. 76). Similar emphasis on experiential acceptance
is also evident in dialectical behavior therapy (Dimeff & Koerner, 2007;
Linehan, 1993), integrative behavioral couple therapy (Christensen et al.,
2004), and mindfulness-based cognitive therapy (Segal, Williams, & Teasdale, 2002) and mindfulness-based stress reduction (Roth & Calle-Mesa,
2006). Acceptance-based approaches work to assist individuals to be able
to tolerate exposure to thoughts and feelings that are highly aversive and
uncomfortable to them, moving to the capacity to observe both external
and internal stimuli with an openness to acceptance rather than attempts
to judge, flee, avoid, or change them (Segal et al., 2002).
Although acceptance-based methods are similar in several ways to
CBT methods, the former emphasizes core values and quality of life,
commitment to actions likely to help actualize these values and goals,
metacognitive awareness that helps one observe distressing internal events
more neutrally, a shift from changing thought content to changing one’s
relationship to one’s own internal responding, and concern that attempts
to directly control internal responses will more likely foster problem
maintenance than resolution (Orsillo et al., 2004). Mindfulness practice
is gaining supportive evidence (Baer, 2006; Bowen, Chawla, & Marlatt,
2011; Shapiro & Carlson, 2009) as an acceptance technique for augmenting
tolerance of one’s negative affect and cognition, fostering changes in
attitude about one’s internal events, ability to self-monitor and manage
thoughts and feelings that are highly aversive, and facilitating relaxation
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(Orsillo et al., 2004). However, evidence is as yet preliminary. How these
techniques function is not yet clearly established, nor has there been
sufficient comparative analysis (e.g., to discern whether acceptance-based
approaches significantly extend the effectiveness of CBT theories and
interventions). Nonetheless, theoretical and clinical work is under way
(e.g., Roemer & Orsillo, 2009) to better specify how this spiritual tradition
fits into current theory and clinical methods.
Relevance to Social Work Practice
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Consistent with the mediational model, a core emphasis in cognitivebehavioral interventions is on changing cognitions to produce and sustain
change in emotional distress and maladaptive behavior patterns. Frequently, these therapies are applied in a fairly specific problem-focused
manner within relatively limited time frames (although more in-depth
schema-based change involves more extensive therapeutic effort). In addition, these therapies aim for well-delineated goals as outcomes, typically
including behavioral evidence. For example, a person is behaviorally functioning in a manner more in line with change goals such as less depressed,
more adaptive coping, more effective problem solving. As a result of
these emphases, cognitive-behavioral therapies are particularly relevant
for today’s practice in many areas of human service and across a variety
of problems. In addition to being required to use evidence-based practices, many human service providers are also struggling with diminished
resources and frequently being asked to serve more people in efficient ways.
In this section we illustrate specific ways in which cognitive-behavioral
theories and therapies can be used in social work practice.
Uses in Assessment
Because problematic thoughts sustain a client’s intrapersonal and interpersonal problems, practitioners are applying CBT work to identify relevant
unhelpful and maladaptive cognitions, both surface thoughts and core
beliefs (DeRubis et al., 2010). However, as discussed earlier, cognitive
content and processes are often not realized or easily recognized by the
client. This is particularly the case for thoughts that are part of clients’
core beliefs. That is, clients may be more aware of their negative automatic thoughts, but they are less likely aware of the core beliefs that
underlie these automatic thoughts and thought processes. For example,
few clients will say to a practitioner something like, ‘‘I have a view of
myself, my relationships, and the world that is fundamentally negative,
and it is causing me serious problems.’’ Rather, in a first meeting with
a practitioner, clients are more likely to describe a presenting problem in
terms of their difficult and negative feelings or in terms of the interpersonal
problems they are experiencing (Macy, 2006). As a result, practitioners
using cognitive-behavioral therapy need to use strategies to identify the
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Cognitive-Behavioral Theory
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cognitive activity that is most related to the client’s presenting problem.
We present several of these strategies.
Strategies for Identifying Cognitive Content
Cognitive-behavioral therapy is predicated on the educational premise
that the more clients understand the basic logic behind the model, the
better positioned they will be to incorporate these strategies into their own
repertoire. This will give clients the ability to step outside patterns that
are troubling to them to assess the ‘‘how come’’ questions, consider their
options, and gain skills that they can apply to this and future problems in
functioning. Thus, many cognitive-behavioral assessment strategies can be
used both in meetings between practitioner and client as well as outside
formal sessions. Most assessment strategies can also be used in a variety
of settings: in a practitioner’s office, during a home visit, or in a situation
or setting that is part of the client’s presenting problem (e.g., in a work
setting if the client is having difficulty there). These strategies may need to
be appropriately adapted to different settings and clients.
One cognitive assessment strategy entails asking a client to think
aloud during a task, situation, or role-play (Dunkley et al., 2010). In this
strategy, the client is encouraged to report and describe any thought,
idea, or belief in order to identify cognitive content that is related to
the presenting problem or difficulty. To facilitate activation of relevant
cognitive structures, the client is coached to enact this exercise in a task,
situation, or context that is related to the presenting problem or is causing
the client distress. For example, if a client presents with problems in his or
her role as a parent, a practitioner can have the client role-play an activity
that is related to this problem (e.g., helping the child with homework).
During the role-play, the client will report thoughts, beliefs, and ideas
that generally happen when engaged in this activity. The practitioner
may need to prompt the client to report and describe these ideas and
thoughts, and the practitioner may want to record the think-aloud ideas
in writing to obtain all the information elicited by the client. This kind of
technique generally begins with negative automatic thoughts, progressing
to underlying assumptions and rules, and, if needed, identifying negative
core beliefs (see Leahy, 2003a; Neenan & Dryden, 2004, for elaboration).
Another broadly applied cognitive assessment strategy is selfmonitoring (Cormier et al., in press; DeRubis et al., 2010). One type of
self-monitoring is the thought record log, in which the client is asked to
record ideas, thoughts, and beliefs that occur during a specific activity, in
a certain situation, or over a certain period of time (J. Beck, 2011). Or the
practitioner can have the client record thoughts in relation to a specific
activity or time. For example, a client who has a presenting problem of
distressing anxiety during public speaking and who also must frequently
speak publicly might be asked to record his thoughts while preparing to
speak and then immediately after speaking. Information from this client’s
thought record log will provide helpful information to the practitioner
who is conceptualizing the client’s case.
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Another example of self-monitoring is thought listing (Dunkley et al.,
2010). In this exercise, the client is asked to list any thoughts he or she
may have had during an experience related to the presenting problem
or during a distressing situation, either through enactment methods in a
formal helping session or in the context of relevant experiences outside
of formal sessions. For example, a practitioner may ask a client who is
having difficulty at work to take a few minutes to record all her thoughts
about work the next time she is feeling particularly anxious or distressed
there, bringing these notes in for examination with the social worker.
Information about relevant cognitive content gathered outside of
client-worker meetings can be particularly informative, because cognition
patterns of responding are typically activated by particular situations,
experiences, contexts, activities, and mood states. Visualization, guided
imagery, role-play, and other invoking strategies can often be significantly
supplemented by monitoring in relevant situations as these emerge. This
reflects another dimension of cognitive-behavioral theory highly relevant
to social work: careful attention to patterned interchanges between environmental factors and cognitive-affective-behavioral configurations related
to the client’s presenting problem. As discussed earlier, cognitions do not
occur without a context or stimulus; both are formative in a client’s history
and operative in clients’ present-day habits and conditions. Cognitivebehavioral theory is influenced by social psychological findings regarding
the ongoing self-social interface (Nurius, 1991, 2008); thus the practitioner
will pay attention to clients’ life development, including their current stage
of life development as well as their life developmental history (Dobson &
Dozois, 2010). However, the focus of change efforts is more likely to be
anchored in the present, examining and working to reconstruct ways that
current cognitive activity embedded in current environmental conditions
are serving to sustain problematic patterns.
Working Hypothesis
Cognitive-behavioral theory is generally undertaken within an experimental frame of reasoning. That is, as the practitioner is identifying the
cognitive content relating to the client’s present problem, the practitioner
will also begin to develop and eventually refine a theory of the client’s
presenting problem. This theory serves as a tentative working hypothesis
of the problem and is the basis for the treatment plan and interventions
with the client. In a working hypothesis, the practitioner will specify
the relevant events, situations, or activities that activate the problematic
core beliefs, which give rise to the unhelpful automatic thoughts and
assumptions, which are followed by consonant emotional responding and
maladaptive behaviors (Persons & Davidson, 2010). In short, this working
hypothesis strives to operationalize on a case-by-case basis the mediational
model components and how these appear to be functioning in producing
outcomes distressing to the client. Thus, identifying the underlying core
beliefs that may be causing the presenting problem, as well as what internal or external stimuli appear salient and activate the unhelpful beliefs,
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Cognitive-Behavioral Theory
is critical and forms the basis of the working hypothesis (DeRubis et al.,
2010; Persons, 2008). The working hypothesis is typically developed in
an educational, collaborative manner with the client—assessing how
the counselor’s picture fits with the client’s reported experiences and
patterns—and is then used to target intervention efforts.
Uses in Intervention
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Guided by this working theory, the practitioner, together with the client,
use cognitive-behavioral theory to articulate interventions designed to
modify a client’s unhelpful and problematic cognitions and to develop and
reinforce adaptive and beneficial cognitive-affective-behavioral patterns. As
discussed throughout this chapter, all human beings have this capacity to
reflect on and alter their thinking. However, not all of us realize that we can
develop these skills or know how to effectively apply these cognitive change
skills. In this section, we review selected specific cognitive-behavioral
intervention strategies that practitioners can use to help clients with their
presenting problem.
Cognitive-Behavioral Intervention Principles
Cognitive-behavioral therapeutic interventions rely on two important principles. The first principle emphasizes the importance for clients, as well
as practitioners, to understand the fundamentals of the mediational model
and how thoughts are seen to interact with and influence feelings and
behaviors (Dobson & Dozois, 2010). This reflects a transparent, educational orientation intended to assist clients to apply self-monitoring to
gain awareness of their unique patterns, to reflectively assess dimensions
of (mal)adaptiveness, to articulate and undertake change goals, and to
marshal supports to reinforce and sustain desired changes in content and
process. Toward these ends, a cognitive-behavioral practitioner will frequently use psychoeducational tools and strategies to teach clients about
the fundamentals of the mediational model.
The second fundamental principle of cognitive-behavioral interventions is the importance of collaboration between practitioner and client
(J. S. Beck, 2011; Cormier et al., in press; Dobson & Dozois, 2010).
Cognitive-behavioral interventions maintain that both the practitioner and
the client bring expertise to the working, therapeutic relationship. Practitioners understand cognitive-behavioral theory and know how to create
change in the lives of their clients. However, just as important to the success
of cognitive therapy, clients bring their expertise about their thought content, ways of thinking, and meaning making. Without clients’ information
about their internal thought processes, the practitioner cannot successfully
apply the cognitive-behavioral theory to the presenting problem. Because
of this, the success of cognitive-behavioral therapy replies on both the positive nature of the working relationship and the client’s level of participation
during the change process (Leahy, 2008). Thus, it is critical that clients are
active in the cognitive-behavioral interventions and the change process.
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Homework outside of meetings between the client and practitioner
is frequently part of cognitive-behavioral interventions as one means
to gather contextual information relevant to activating the problematic
patterns and to practice the cognitive-behavioral change skills that clients
are learning in formal sessions (J. S. Beck, 2011; Cormier et al., in press;
DeRubis et al., 2010). One way the practitioner can help foster success with
these application activities is to break the homework activities down into
small, achievable parts (Kazantzis, Deane, Ronan, & L’Abate, 2005). The
practitioner may also want to practice homework activities with clients or
to coach clients through the activities during meetings to make certain the
clients fully understand and are able to carry out the assignments. Last,
it is important for practitioners to help clients think through barriers to
carrying out the homework activities, as well as ways to work around these
barriers. Although it is critical for clients to be active participants in the
cognitive-behavioral change process both inside and outside of therapeutic
meetings, it is also critical for the practitioner to fully prepare clients to be
successful in their efforts.
These principles combine to support empowerment outcomes. At
the end of a successful collaborative working relationship between the
client and practitioner, and with the resolution of the presenting problem,
the client will have developed a new set of cognitive-behavioral change
skills that will enable him or her to adaptively and effectively manage new
problems. Once clients learn how to apply cognitive and behavioral change
skills to one set of life problems, they are better positioned to generalize
these skills to other problems in their life and to future problems.
Strategies for Cognitive Change
Dobson and Dozois (2010) distinguish three primary types of cognitivebehavioral therapies: coping skills therapies, problem-solving therapies,
and cognitive restructuring therapies. Briefly, coping skills therapies aim
to help clients more effectively manage biopsychosocial stressors and
problems through the development and enhancement of coping skills.
Problem-solving therapies aim to help clients find and create new strategies, skills, and resources to address their presenting problems. Cognitive
restructuring therapies aim to create cognitive change to ameliorate clients’
presenting problem (Cormier et al., in press). Although these three
cognitive-behavioral therapies entail specific strategies that distinguish
them from one another, each involves some degree of cognitive restructuring. As a result, we focus our discussion of intervention strategies on
cognitive restructuring.
A key intervention strategy in cognitive restructuring involves asking
clients to test the validity of their thoughts and beliefs, including both
automatic thoughts and core beliefs. In considering the validity of a thought
or belief, the client is asked to carefully assess whether the thought or
belief is accurate, a fact, the truth, and meaningful. Frequently, problematic
thoughts and beliefs rest on incomplete or distorted perceptions of relevant
contributors and situational dynamics, may not be meaningful, or are not
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Cognitive-Behavioral Theory
wholly accurate. Helping clients see how their unhelpful beliefs reflect
biases or inaccuracies (such as confirming negative expectancies and
discounting contradictory evidence) or are not meaningful is the beginning
to cognitive change and is an important step in cognitive restructuring.
One example of a specific intervention strategy is the downward arrow
technique (Neenan & Dryden, 2004). In this technique the practitioner
uses a series of questions following the client’s answers. For example,
consider a client who has come to a practitioner because of difficulty with
public speaking. The practitioner asks the client, ‘‘What is the worst thing
possible that could happen to you while you are giving a talk in front of
people?’’ The client tells the practitioner, ‘‘I get so anxious up there in
front of everyone because I am so afraid that I’ll misspeak and make a
complete fool out of myself.’’ The practitioner responds to the client with
another question, such as, ‘‘Well, let’s say your worst fears came true.
What would that mean to you?’’ This question may help the client begin to
see that the consequences of misspeaking may not be quite as bad as she
thinks, with subsequent questions helping to illuminate underlying beliefs
about negative outcomes and their implications.
Dobson and Dozois (2010) recommend that practitioners help clients
distance themselves from unhelpful and problematic thoughts so they
can identify, tolerate, and begin the process of challenging these seeming
truths. This process of distancing can help the client examine the thoughts
or beliefs in a more objective light. For example, in cognitive restructuring
clients can be encouraged to take on the role of scientist or private detective
with their thoughts and ways of thinking. In this role, the client will be
looking for evidence to support or disconfirm the thought or belief. If in
this process the client finds that there is little support for the thought or
belief, the client may also begin to see the fallibility of the belief and the
possibility of constructing alternatives.
Cognitive restructuring interventions also help create helpful, positive, and adaptive cognitions to replace the unhelpful cognitions (Cormier
et al., in press). Cognitive change is more likely to be successful and clients
are less likely to slip back into unhelpful ways of thinking when armed
with constructive, well-elaborated, and sustainable alternative response
patterns. Again, let us consider the client who has difficulty with public speaking and has made progress in challenging her catastrophizing
core beliefs and automatic thoughts. Toward developing positive, helpful
thoughts about her public speaking, the practitioner may ask the client
about a time in her past when she experienced success in a public presentation or, that failing, identify the kinds of thoughts she imagines a
comfortable speaker would have in that context. Once the success is identified (e.g., ‘‘I was very anxious and nervous, but I kept thinking that
if I kept taking a deep breath and focused on how well I really knew
this material, I could get through it okay’’), the practitioner may build
on this to coach and encourage the client to engage in positive self-talk
during role-plays, exercises, and her next speaking engagement, guiding
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development of positive thoughts and core self-messages meaningful to
the client.
Likewise, the practitioner might couple this positive self-talk intervention with a behavioral intervention that emphasizes teaching the client
relaxation breathing skills, which is an example of a coping skills strategy. In combination, the mitigation of the client’s negative beliefs (‘‘I
make a complete fool of myself every time I speak in public’’), with the
development of positive thoughts (‘‘I have given other talks and made it
through them just fine. I can make it through this one’’), and the use of
self-monitored self-talk, the client and practitioner have worked together
to create a comprehensive cognitive restructuring intervention to address
the client’s presenting problem.
Changing Core Beliefs
Although the cognitive change intervention strategies just described apply
to automatic core beliefs as well as surface thoughts, practitioners may
find it more challenging to restructure clients’ core beliefs relative to their
automatic thoughts. Dowd (2002) posits that core beliefs are more stable
and less alterable because they are long-standing and were once functional
and adaptive (and they may continue to be adaptive and functional in other
aspects of the client’s life). As a result, clients may be unwilling to consider
and alter these beliefs. Berlin (2002) gives this apparent unwillingness a
slightly different slant. She states that this unwillingness may be ‘‘an
effort to preserve the integrity of continuous identity and a coherent life
story’’ (p. 15). Thus, practitioners should carefully assess and consider
problematic core beliefs in their efforts to change them, because unhelpful
and problematic core beliefs may continue to give the client a sense of self
and identity.
Still, CBT literature often emphasizes the importance of changing
problematic core beliefs if these appear to be causing problems in multiple
areas of a client’s life or if other forms of skill development (such as
coping or problem solving) will be insufficient. The practitioner may work
with a client to change automatic thoughts at one time point, only to find
a few months later that the client continues to struggle with the same
presenting problem. A reoccurrence of a presenting problem suggests that
an underlying core belief requires modification and restructuring. In a
related vein, when clients and practitioners are successful in changing core
beliefs to be more adaptive and helpful, clients will be provided with a
kind of inoculation against future problems and difficulties because they
have at their disposal a set of helpful, adaptive core beliefs that will aid
them in facing future problems and challenges (Cormier et al., in press).
Consistent with the cognitive restructuring interventions presented earlier,
A. Beck (1996) maintains that there are three ways to change core beliefs:
neutralize them, modify them, or create more adaptive core beliefs that
inhibit and mitigate the maladaptive core beliefs. Thus, the same cognitive
restructuring interventions that work effectively with automatic thoughts
will also work on core beliefs. However, practitioners must realize and
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account for the fact that the foundational nature of core beliefs requires
careful thought and active work on the part of both the client and the
practitioner.
Adapting Intervention Strategies
Although the fundamental elements of cognitive-behavioral interventions
can be successfully used to address a range of biopsychosocial problems
across different groups of people, it is critical that these interventions
be appropriately adapted to clients’ sociocultural, socioeconomic context and gender identity, cognitive development, and physical capacities
and abilities. As discussed earlier in this chapter, cognitive-behavioral
theory maintains that cognitive-affective-behavioral processes are similar
across human beings. However, the content within the cognitive-affectivebehavioral processes is specific, unique, and personal to the individual.
An individual’s cognitive content is, in part, derived from the individual’s
cultural heritage and background, socioeconomic status, and the political
realities of his or her existence, as well as his or her life history and life
experiences. As a result, by adapting cognitive-behavioral interventions
to the individual client’s background, life history, and experiences, the
practitioner is helping to ensure the meaningfulness and ultimately the
effectiveness of the interventions for that individual client.
Fortunately, research provides some guidance on how to adapt
cognitive-behavioral intervention strategies to be appropriate for various people (Voss Horrell, 2008). For example, in their assessment of a
client’s presenting problem, it is important for practitioners to consider
cognitions related to the presenting problem; in their formulation of a
working hypothesis, they should consider how social and cultural factors
may make a problem worse. As Berlin (2002, p. 149) states, ‘‘In the
midst of all the other difficulties (i.e., social problems), the overwhelmed
individual is less able to think his or her way through problems.’’ Thus
practitioners should assess and recognize the client’s capacity to think
through his or her problem in the face of the social problem with which
the client may be struggling. Practitioners should also consider how social
and environmental factors may limit a client’s ability to participate in
the interventions and the change processes (Organista, 1995), as well as
ways to assist clients to surmount barriers to their participation. Although
for the most part, cognitive-behavioral change interventions emphasize
intrapersonal change, some therapists also emphasize the importance
of environment change. Practitioners who are able to help clients with
changes to their environment, context, and situations as well as cognitivebehavioral changes may be the most effective change agents relative to
practitioners who focus solely on cognitive-behavioral change. Changes to
an individual’s environment, context, or situation will likely provide new
experiences and new ways of seeing the self, the world, and the future.
Moreover, significant reductions in environmental and social stressors will
also likely help clients think their way through and out of a problem.
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Practitioners should carefully adapt their language when teaching
clients cognitive-behavioral theory and the mediational model. For
example, practitioners should use terms that do not discount the
client’s life experiences or reinforce marginalization, such as using the
terms rational and irrational when describing a client’s thoughts and
thought processing. (Consider the terms we have used throughout the
chapter to describe maladaptive cognitions, such as problematic and
unhelpful.) Practitioners should also avoid jargon in their work with
clients. As much as possible, practitioners should adapt the language
used in cognitive-behavioral change interventions to the client’s primary
language, age, educational level, and hearing, seeing, and reading
abilities. Practitioners should also strive to adapt cognitive-behavioral
intervention strategies to the client’s values and to address issues of
discrimination and marginalization in the intervention work together,
when appropriate (Carter, Sbrocco, Gore, Marin, & Lewis, 2003; Koh et al.,
2002). Practitioners may need to consult and collaborate with others
informed about a client group to better understand the situational and
social problems with which their clients are struggling, as well as the
internal meaning making in which their clients are engaged.
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Evidence-Based Foundations
One reason for the advancement and expansion of CBT has been the rapidly
growing body of empirical findings indicative of effective outcomes (Tolin,
in press). The base of original research testing CBT outcomes is far too
extensive to report here. However, a number of sources have summarized
research outcomes across a range of clinical problems (Cormier et al., in
press; Dobson, 2010; Nurius & Green, in press; O’Donohue & Fisher, 2009;
Prochaska & Norcross, 2010; Simos, 2009): affective disorders (depression, anger, anxiety, panic, trauma, and phobia), addictions (substance
abuse, gambling, smoking), obsessive-compulsive disorders, relationship
problems (couples treatment, parenting, social ineffectiveness, assertion),
self-esteem issues, problem-solving skill needs, stress management and
coping skills, and medical conditions (pain, epilepsy, cancer, asthma).
As previously noted, various forms of CBT have been applied with
diverse client populations, across a wide age range, for both sexes, for
gender-related issues, and with cultural and racial minorities. Cormier et
al. (in press) and Hays and Iwamasa (2006) review some of these findings,
indicating a generally positive record among published studies. However,
these reviews and others also highlight the importance of explicit attention
to cultural factors, at times indicating adaptations of CBT techniques (see
Hays, 2008, for recommendations for cultural adaptation of cognitivebehavioral methods). Advances both in clinical research with diverse
populations and in theorizing that better articulates cognitive-cultural and
transactional models (e.g., DiMaggio, 2002; Whaley & Davis, 2007) are
critical sources of input to guide cognitive-behavioral theory and method
refinement for effectiveness.
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The growing pressures to use interventions established as empirically
supported have combined with calls to distill key targets of change for
particular problems and pressures to maximize cost and time efficiency
to encourage research examining brief CBT. Although there are as yet
no formal norms for what constitutes brief CBT, the generally recognized
standard is treatment consisting of fewer than 10 sessions (in contrast to
the more typical 10- to 20-session range for standard CBT treatment; Key &
Craske, 2002). Brief CBT is generally targeted to a specified presenting
problem and may be offered in a typical time sequence or in massed
delivery, such as condensed over a 7- to 10-day period. Brief CBT may
either reduce the amount of materials generally offered in standard CBT
or may rely to a greater extent on the client taking a highly active role
beyond time with the therapist, using materials such as workbooks, books,
audiotapes, or computer programs.
Similar to standard CBT, brief CBT has been effective for depression,
anxiety, and phobia-related disorders (Beck & Bieling, 2004). Although the
general body of research is favorable with respect to both CBT and brief
CBT, as with many other therapies there remain gaps in our evidence base.
For example, findings are incomplete as to which individual differences
(e.g., attitudes toward treatment, chronicity and/or severity of problem,
problem type) affect treatment outcome under what treatment conditions
(Hazlett-Stevens & Craske, 2002). Thus far, evidence supporting effectiveness centers primarily on problems that are relatively circumscribed, with
well-specified targets for change. However, to date there are few unconfounded comparisons between standard and brief CBT. Thus, further
investigation is needed to ascertain the individuals and conditions under
which brief CBT appears to be a well-suited choice over standard CBT.
Critiques of This Approach
Given the fuzzy definitional boundaries between behavior therapy, cognitive therapy, and cognitive-behavioral therapy, critiques are similarly
indistinct. It is not always clear to what exactly critics are referring. Moreover, critiques of CBT, as with all clinical theories, vary somewhat as a
function of the theoretical lens of the analyst. Some are uneasy with the
highly systematic and perceived ‘‘mechanistic’’ characteristics inherited
from behavior therapy, whereas others see that it is the behavioral techniques more than the focus on what are seen as ill-defined cognitions that
carry the load of therapeutic change. Some find the focus on cognitions to
be overly rationalistic and/or judgmental (e.g., regarding the irrationality of
some cognitive patterns). Others argue that cognitive/behavioral therapy is
too simplistic, basically reflects positive thinking, delivers little more than
symptom relief, and is inattentive to client history or to dimensions of the
therapeutic relationship. Not surprisingly, others rebuke such claims (see
Neenan & Dryden, 2004; Prochaska & Norcross, 2010, for discussions).
Some are concerned by what they see as insufficient attention to
contextual factors in terms of socializing forces such as gender, sexual
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identity mores, and culture, as well as the more direct effects of external
contingencies (e.g., poverty, oppression) that do not have to ‘‘go through
the head’’ to be felt and do damage to people (Kantrowitz & Ballou, 1992).
Hays (1995) notes, for example, that some of the underlying tenets of
CBT may not be well-suited for all clients, for example, emphasis on selfcontrol, greater focus on an individual’s thoughts relative to environmental
factors that may be contributors to the root problems, challenging beliefs
or thoughts that are seen as underlying client problems yet also reflect
cultural or other personal values. On the other hand, strengths of cognitivebehavioral theory relative to use with culturally diverse people include its
focus on individual uniqueness, empowerment and collaborative practice,
conscious processes and specific events and behaviors, and recognition
of variability in individual meaning and histories that are shaping current
experience (Muroff, 2007). Recognition of need is incrementally being met
with therapeutic adaptations and direct tests. Goodheart (2006) illustrates
the attention to diversity factors and context and the blending of concepts
from cognitive-behavioral therapy and other approaches.
Other critiques illuminate gaps and weaknesses in testing the theoretical base of CBT. The theorized cognitive process underpinnings have
not yet been thoroughly empirically modeled or tested as to their causative
functions in producing change. Cognitive units such as schemas, associative networks, belief and expectancy systems, and priming functions
are difficult to directly tap and test. In reviewing empirical shortcomings,
Orsillo et al. (2004) and Hayes (2004a) review research highlighting the
following: (a) insufficient demonstration of how irrational cognitions are
acquired, who acquires them, and how they can be measured independent
of the associated emotions, such as fear or anger; (b) lack of direct evidence to support the theoretical premise that cognition not only predicts
but causes behavior; (c) findings of bidirectionality between cognitions
and emotions, which raises questions as to temporal, causal processes;
(d) the fact that clinical improvement has been observed with CBT before
the key theorized features have been fully implemented; (e) component
analysis that has been equivocal as to the additive benefits of cognitive
interventions; and (f) changes in cognitive mediators, which are the presumed agents of change, that do not always explain outcomes of CBT.
Increasing pressure to develop innovative theory and to secure outcomes
evidence across groups or subpopulations is, in some cases, leading to new
models that diverge from standard CBT theory and methods.
There are also issues related to the match of CBT with client, problem,
and therapist characteristics. This is particularly salient with short-form or
abbreviated versions of CBT. Brief CBT is based on assumptions that a
target for change is well-defined and circumscribed and that the client is
motivated, ready to undertake focused cognitive and behavioral changes,
and capable of active engagement in activities in and between intervention
sessions (Beck & Bieling, 2004). However, in many cases, neither the
problem nor the client is consistent with these assumptions, which raises
serious questions about the appropriateness of brief CBT in these instances
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Cognitive-Behavioral Theory
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(Hazlett-Stevens & Craske, 2002). In a related vein, there needs to be good
match with therapist characteristics. For example, therapists need a high
level of skill in effecting change in a limited time, positive expectancies,
an ability to work in a highly targeted manner, and openness to outcomes
being framed more in terms of teaching skills than in full symptom
resolution (Key & Craske, 2002).
These issues are by no means unique to CBT. In many respects,
they reflect the ongoing nature of advances in social science theory, clinical application, and changing consciousness and value perspectives that
characterize society at large as well as clinical and research communities.
Examples include assertions of the need for greater contextualism, the
impact of postmodern and postcolonial theories, the need for inclusion of
cultural diversity factors, and calls for multilevel theorizing that links individual with structural forces toward problem development and effective
interventions—which bring challenging forces to bear on all practicerelated theories. Part of what has characterized CBT theory is its elasticity.
That is, the essential cognitive paradigm has been applied and adapted to
a remarkably broad array of clinical problems.
As both Hayes et al. (2004) and Scrimali and Grimaldi (2004)
illustrate, there is an ongoing flow to clinical and scientific clinical movements that illuminates limitations in conjunction with new possibilities.
Cognitive-behavioral theory reflects the ebb and flow of research findings;
theoretical challenges and innovations; and pragmatic, ‘‘on the ground’’
clinical implementation feedback. As more is being learned about the
complex systems that contribute to our functioning as humans—both internally and in self-social exchanges—we anticipate that cognitive-behavioral
theory and its theoretical successors will evolve as well.
Key Terms
Active agents
Automatic thought
Cognitive errors
Cognitive
restructuring
Core beliefs
Information
processing
Metacognition
Self-regulation
Thought record log
Working hypothesis
Review Questions for Critical Thinking
1. Explain how cognitive behavioral theory conceptualizes the relationships among thoughts, feeling, and behaviors.
2. Compare and contrast the difference between automatic thoughts and
core beliefs. How are they both similar and different? What is their
relationship to one another?
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3. In your own words, explain information processing. Explain how
human beings’ information processing systems can be both helpful
and unhelpful for human beings.
4. In your own words and ideas, explain the mediational model
from cognitive behavioral theory. Explain the importance of the
mediational model for the creation of therapeutic change in cognitivebehavioral therapy.
5. In your own words and ideas, explain the idea of metacognition.
Explain the importance of metacognition for the creation of therapeutic change in cognitive-behavioral therapy.
6. Explain how a person’s context and environment are relevant and
important in conducting cognitive-behavioral therapy.
Copyright © 2012. John Wiley & Sons, Incorporated. All rights reserved.
Online Resources
Beck Institute for Cognitive Behavioral Therapy (www.beck
institute.org). The Beck Institute is a training and resource center
for health and mental health professionals, educators, and students
that offers training programs and resources in cognitive-behavioral
therapy.
The American Institute for Cognitive Therapy (www.cognitive
therapynyc.com), headed by Dr. Robert Leahy, provides evaluations and treatment for psychological problems, state-of-the-art
cognitive-behavioral therapy, and training for other professionals.
The Schema Therapy Institute (www.schematherapy.com/id201.htm),
headed by Dr. Jeffrey Young, focuses on schema theory and schemabased approaches to cognitive therapy. Similar to other institutes,
this one provides training, assessment tools, consultation, and other
practice-oriented resources.
The American Psychological Association (http://search.apa.org/
search?query=cognitive-behavioral therapy) provides a wide range
of resources related to cognitive behavioral therapy, include
publications, web page recommendations, media sources, and
direction to applications for varied audiences.
Seeking Safety (www.seekingsafety.org). Seeking Safety is a manualized, evidence-based cognitive-behavioral therapy that helps clients
with co-occurring trauma (e.g., Posttraumatic Stress Disorder and
substance abuse).
TF-CBT Web (http://tfcbt.musc.edu). This is a free web-based learning
course for trauma-focused cognitive-behavioral therapy, which is an
evidence-based therapy for children and youth who have experienced
a traumatic event (e.g., auto accident, child sexual abuse, natural
disaster).
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