Have to do the case formulation powerpoint.
Using DSM-5 in
Gary G. Gintner, Ph.D., LPC
Louisiana State University
• Case formulation is a core clinical skill
that links assessment information and
• It is a hypothesis about the mechanisms
that cause and maintain the problem
• It answers the question, “Why is this
person, having this type of problem, now?”
Case Formulation Process
• DSM-5 Criteria Sets
guidelines are often
tied to a diagnosis
• DSM-5 measures to
Fundamental Changes in DSM-5
• The conundrum with
• Spectrum Disorders
• Severity ratings
• Lifespan perspective
is infused throughout
• More attention to
• Proximity reflects
DSM-5’s Single Axis System
• There is one diagnostic axis on which all
of the following can be coded:
– All mental disorders (formerly on Axis I and
– Other Conditions that May be the Focus of
Treatment (V-codes; formerly Axis I)
– Medical disorders (formerly Axis III)
DSM-5 Tools and Enhancements
• Clinical rating scales
• WHODAS 2.0
• Cultural Formulation
Clinical Rating Scales
• Rationale for adding:
– Measurement-informed care
– Dimensional assessment of severity
– Assessment of broad range of symptoms
– Adjunct to clinical evaluation
– Cross-Cutting Symptom Measures
– Disorder-Specific Severity Measures
– Disability Measures (WHODAS 2.0)
– Personality Inventories
– Early Development and Home Background Form
Link to Online Assessment
• Assessment measures can be freely used
by clinicians for use with clients
• They can be downloaded at:
www.dsm5.org DSM-5 Online Measures.docx
Cross-Cutting Symptom Measures
• Assesses symptoms across the major
domains of psychopathology
• Two types:
– Level 1
– Level 2
– Adult self-report
– Parent/guardian-rated version (for children 6-17)
– Youth self-report (11-17)
Level 1 Cross-Cutting
• Description: Adult version measures 13 domains
of symptoms DSM-5 level1 assessment.pdf
• Rate each item:
– How much or how often “you have you been
bothered by…in the past two weeks.”
– 5-point rating scale from 4 (severe, nearly everyday)
to 0 (none or not at all)
• Scoring: Rating of 2 or higher (Mild, several days)
should be followed up by further clinical
assessment. On items for suicidal ideation,
psychosis and substance use, a rating of 1 (Slight)
or higher should be used.
Level 2 Assessment Measure
• Description: A brief rating scale for a
particular symptom (e.g., anxiety,
depression, substance use)
• Indications: When a Level 1 item is rated
above the cut-off
• Can be readministered periodically to plot
• Scoring instructions are available at the site
• DSM-5 Online Measures.docx
Disorder-Specific Rating Scales
• Description: Disorder-specific rating scales
that correspond to the diagnostic criteria
• Indications: Used to confirm a diagnostic
impression, assess severity, and monitor
• Versions: Adult, Youth and Clinician rated
• DSM-5 Online Measures.docx
• Description: A 36-item measure that assesses
disability in adults 18 years and older
• Rating: “How much difficulty have you had
doing the following activities in the past 30
days.” Rated 1 (None) to 5 (Extreme or
• Scoring: Calculate average score for each
domain and overall
• Versions: Adult and proxy-administered
• DSM-5 whodas2selfadministered.pdf
Domains on the WHODAS 2.0
1. Understanding and communicating
2. Getting around
4. Getting along with people
5. Life activities
6. Participation in society
Cultural Formulation Interview
• Description: A 16-item semistructured
interview to assess the impact of culture on
key aspects of the clinical presentation and
• Indications: Use as part of the initial
assessment with any client but is especially
indicated when there are significant
differences in “cultural, religious or
socioeconomic backgrounds of the clinician
and the individual”(p. 751).
• Cultural definition of the problem
• Causes of the problem, stressors and
• Coping efforts and past help-seeking
• Current help-seeking and the clinician-
client relationship DSM-5 Cultural Formulation Interview.pdf
Clinical Applications of
• During initial assessment:
– Administer Level 1 Cross-Cutting Symptom
– Complete intake including social history, mental
status, and diagnostic assessment
– Administer Level 2 measures as needed
– WHODAS 2.0 can be administered as indicated
– Use aspects of the CFI interview throughout
• Follow-up sessions
– Administer disorder-specific measures
– Re-administer periodically to assess progress
DSM-5 and Case Formulation
model in case
• The Five P’s of Case
• Doing a case
Biopsychosocial Model in
The Five P’s of Case Formulation
(Macneil et al., 2012)
• Presenting problem
– What is the client’s problem list?
– What are DSM diagnoses?
• Predisposing factors
– Over the person’s lifetime, what factors contributed to the development
of the problem?
– Think biopsychosocial
– Why now?
– What are triggers or events that exacerbated the problem?
• Perpetuating factors
– What factors are likely to maintain the problem?
– Are there issues that the problem will worsen, if not addressed
• Protective/positive factors
– What are client strengths that can be drawn upon?
– Are there any social supports or community resources ?
The Five P’s in DSM-5
• Diagnostic criteria
– Disorder-specific criteria set (Presenting Problem)
– Subtypes and specifiers (Presenting Problem)
• Explanatory text information
– Diagnostic features (Presenting Problem)
– Associated features (Presenting Problem)
– Prevalence (Presenting Problem)
– Development and course (Predisposing, Perpetuating and
– Risk and prognostic factors (Predisposing, Perpetuating
– Culture-related diagnostic issues (5 P’s)
– Gender-related diagnostic issues (5 P’s)
– Suicide risk (Presenting Problem)
– Functional consequences (Perpetuating Factors)
– Differential diagnosis (Presenting Problem)
– Comorbidity (Presenting Problem and Perpetuating Factors)
Case of Helen
Helen was fired from her job one month ago
because she started making numerous
mistakes and had trouble concentrating.
About three months ago she started feeling
“down“ after a break-up with a man she had
been dating for a few months. She has
trouble falling asleep and has noticed a
significant decline in her appetite. She feels
like a failure and believes that no one will
want to hire her again.
She has thoughts of committing suicide but
admits, “I could never do it.” The only thing
that seems to help is when she participates in a
bible-reading group every Tuesday night. She
explains, “During that time I’m more like my
old self and at least that night I can sleep.” She
also reports that her mood improves when she
visits her friends. However, she reports such
low energy throughout the day that she is
unable to schedule a job interview.
She had a similar episode about two years ago
after she was laid off from her former job. She
reports that it took four months before she began
feeling “normal” again and positive about herself.
Her history indicates that her mother had severe
depression and was hospitalized on several
occasions when Helen was young. She describes
her as “negative” and often absent in her youth.
However, Helen always did well in school and had
an active social life. Her work history has been
very consistent up to her lay off.
• DSM-5 measures:
– Level 1(positive for depression, sleep problems and
avoiding certain events)
– PHQ-9, Score = 20 (Severe)
– WHODAS 2.0
• General Disability Score = 85 (2.36; Mild)
• Subscale: Life activities = 14 (3.5; Moderate)
• Subscale: Participation in Society = 28 ( 3.5;
• Differential diagnosis: What are the possibilities?
• Diagnostic Impression:
296.33 Major Depressive Disorder, recurrent, severe
V62.29 Other Problems related to employment
• Why is she so depressed?
– Predisposing factors?
– Precipitating factors?
– Perpetuating factors?
– Positive or protective factors?
• How does the diagnosis and case
formulation inform your treatment plan?
Guide to Case Formulation
1. State the problem or diagnostic
2. State the precipitant
3. Describe critical predisposing factors
4. Include a statement about perpetuating
or maintaining factors
5. Highlight protective and positive
Write a Case Formulation
Helen presents with……(1) which appears
to be precipitated by…..(2). Factors that
seem to have predisposed her to depression
include….(3). The current problem is
maintained by….(4). However, her
protective and positive factors include….(5).
From Formulation to Treatment
• How does the formulation inform the
– Best practices for this disorder?
– Which types of interventions will address the
predisposing, precipitating and perpetuating
– How do you ensure that diversity factors are
– How do you tailor treatments so that they are
• Begin using DSM-5
• DSM-5 can help you
identify the five P’s
• Case formulation is a
skill and has been tied
to better outcome
American Psychiatric Association. (2014). Online assessment measures. Retrieved from
American Psychiatric Association. (2013a). Diagnostic and statistical manual of mental
disorders (5th ed.). Washington DC: American Psychiatric Association.
American Psychiatric Association. (2010). Practice guidelines for the treatment of major
depressive disorder, third edition [Supplement]. American Journal of Psychiatry. 167(10).
Craighead, W. E., Miklowitz, D. J, & Craighead, L. W. (2013). Psychopathology: History, diagnosis,
and empirical Foundations. Hoboken, NJ: Wiley.
Frank, R. I., & Davidson, J. (2014). The transdiagnostic road map to case formulation and
treatment planning. Oakland, CA: New Harbinger Publications.
Gintner, G. G. (In press). DSM-5 conceptual changes: Innovations, limitations and clinical
implications. The Professional Counselor.
Gintner, G. G. (2008). Treatment planning guidelines for children and adolescents. In R.R. Erk
(Eds.), Counseling treatments for children and adolescents with DSM-IV-TR mental disorders
(pp.344-380). Upper Saddle River, NJ: Prentice Hall Publishing.
Macneil, C. A., Hasty, K., K, Conus, P., & Berk, M. (2012). Is diagnosis enough to guide treatment
interventions in mental health? Using case formulation in clinical practice. BMC Medicine,
10, 111. doi:10.1186/1741-7015-10-111