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3 - in Search of How People Change Prochaska
3 - in Search of How People Change Prochaska
How people intentionally change addictive behaviors with Over the past 12 years, our research program has
and without treatment is not well understood by behavioral been dedicated to solving the puzzle of how people in-
scientists. This article summarizes research on self-ini- tentionally change their behavior with and without psy-
tiated and professionally facilitated change of addictive chotherapy. We have been searching for the structure of
behaviors using the key transtheoretical constructs of change that underlies both self-mediated and treatment-
stages and processes of change. Modification of addictive facilitated modification of addictive and other problem
behaviors involves progression through five stages—pre- behaviors. We have concentrated on the phenomenon of
contemplation, contemplation, preparation, action, and intentional change as opposed to societal, developmental,
maintenance—and individuals typically recycle through or imposed change. Our basic question can be framed as
these stages several times before termination of the ad- follows: Because successful change of complex addictions
diction. Multiple studies provide strong support for these can be demonstrated in both psychotherapy and self-
stages as well as for a finite and common set of change change, are there basic, common principles that can reveal
processes used to progress through the stages. Research the structure of change occurring with and without psy-
to date supports a transtheoretical model of change that chotherapy?
systematically integrates the stages with processes of This article provides a comprehensive summary of
change from diverse theories of psychotherapy. the research on the basic constructs of a model that helps
us understand self-initiated and professionally assisted
changes of addictive behaviors. The key transtheoretical
Hundreds of psychotherapy outcome studies have dem- concepts of the stages and processes of change are ex-
onstrated that people successfully change with the help amined, and their applications to a variety of addictive
of professional treatment (Lambert, Shapiro, & Bergin, behaviors and populations are reviewed. This transtheo-
1986; Smith, Glass, & Miller, 1980). These outcome stud- retical model offers an integrative perspective on the
ies have taught us relatively little, however, about how structure of intentional change.
people change with psychotherapy (Rice & Greenberg,
1984). Numerous studies also have demonstrated that Stages of Change
many people can modify problem behaviors without the One objective of treatment outcome research in the ad-
benefit of formal psychotherapy (Marlatt, Baer, Donovan, dictions is to establish the efficacy of interventions. How-
& Divlahan, 1988; Schachter, 1982; Shapiro et al., 1984; ever, study after study demonstrates that not all clients
Veroff, Douvan, & Kulka, 1981a, 1981b). These studies suffering from an addictive disorder improve: Some drop
have taught us relatively little, however, about how people out of treatment, and others relapse following brief im-
change on their own. provement (Kanfer, 1986; Marlatt & Gordon, 1985). In-
Similar results are found in the literature on addic- adequate motivation, resistance to therapy, defensiveness,
tive behaviors. Certain treatment methods consistently and inability to relate are client variables frequently in-
demonstrate successful outcomes for alcoholism and other voked to account for the imperfect outcomes of the change
addictive behaviors (Miller & Hester, 1980, 1986). Self- enterprise. Inadequate techniques, theory, and relationship
change has been documented to occur with alcohol abuse, skills on the part of the therapist are intervention variables
smoking, obesity, and opiate use (Cohen et al., 1989; Or- frequently blamed for lack of therapeutic success.
ford, 1985; Roizen, Cahaland, & Shanks, 1978; Schachter, In our earliest research we found it necessary to ask
1982; Tuchfeld, 1981). Self-change of addictive behaviors
is often misnamed "spontaneous remission," but such
change involves external influence and individual com-
Bernadette Gray-Little served as action editor for this article.
mitment (Orford, 1985; Tuchfeld, 1981). These studies This research was supported in part by Grants CA27821 and
demonstrate that intentional modification of addictive CA50087 from the National Cancer Institute.
behaviors occurs both with and without expert assistance. Correspondence concerning this article should be addressed to
Moreover, these changes involve a process that is not well James Q Prochaska, Cancer Prevention Research Consortium, University
understood. of Rhode Island, Kingston, RI 02881.
cesses used early in treatment were the single best pre- profound insights of psychoanalysis, the powerful tech-
dictors of outcome (Prochaska, Norcross, et al., 1992). niques of behaviorism, the experiential methods of cog-
For self-changers with smoking, the change processes were nitive therapies, and the liberating philosophy of existen-
better predictors of progress across the stages of change tialism. Although some psychotherapists insist that such
than were a set of 17 predictor variables, including de- theoretical integration is philosophically impossible, or-
mographics, problem history and severity, health history, dinary people in the natural environment can be re-
withdrawal symptoms, and reasons for smoking (Pro- markably effective in finding practical means of synthe-
chaska, DiClemente, Velicer, Ginpil, & Norcross, 1985; sizing powerful change processes.
Wilcox, Prochaska, Velicer, & DiClemente, 1985). The same is true in addiction treatment and re-
The stages and processes of change combined with search. There are multiple interventions but little inte-
a decisional balance measure were able to predict with gration across theories (Miller & Hester, 1980). One
93% accuracy which patients would drop out prematurely promising approach to integration is to begin to match
from psychotherapy. At the beginning of therapy, pre- particular interventions to key client characteristics. The
mature terminators were much more likely to be in the Institute of Medicine's (1989) report on prevention and
precontemplation stage. They rated the cons of therapy treatment of alcohol problems identifies the stages of
as higher than the pros, and they relied more on willpower change as a key matching variable. A National Cancer
and stimulus control than did clients who continued in Institute report of self-help interventions for smokers also
therapy or terminated appropriately (Medieros & Pro- used the stages as a framework for integrating a variety
chaska, 1992). of interventions (Glynn, Boyd, & Gruman, 1990). The
transtheoretical model offers a promising approach to in-
Integrating the Processes and Stages tegration by combining the stages and processes of change.
of Change
A Cross-Sectional Perspective
The prevailing Zeitgeist in psychotherapy is the integration
of leading systems of psychotherapy (Norcross & Gold- One of the most important findings to emerge from our
fried, 1992; Norcross, Alford, & DeMichele, 1992). Psy- self-change research is an integration between the pro-
chotherapy could be enhanced by the integration of the cesses and stages of change (DiClemente et al., 1991;
Consciousness raising
Dramatic relief
Environmental reevaluation
Self-reevaluation
Self-liberation
Reinforcement
management
Helping relationships
Counterconditioning
Stimulus control
Norcross, Prochaska, & DiClemente, 1991; Prochaska & places my family or friends at increasing risk for disease,
DiClemente, 1983,1984). Table 2 demonstrates this in- poverty, or imprisonment?"
tegration from cross-sectional research involving thou- Movementfromprecontemplation to contemplation
sands of self-changers representing each of the stages of and movement through the contemplation stage entailed
change for smoking cessation and weight loss. Using the increased use of cognitive, affective, and evaluative pro-
data as a point of departure, we have interpreted how cesses of change. Some of these changes continued during
particular processes can be applied or avoided at each the preparation stage. In addition, individuals in prepa-
stage of change. During the precontemplation stage, in- ration began to take small steps toward action. They used
dividuals used eight of the change processes significantly counterconditioning and stimulus control to begin re-
less than people in any of the other stages. Precontem- ducing their use of addictive substances or to control the
plators processed less information about their problems, situations in which they relied on such substances
devoted less time and energy to reevaluating themselves, (DiClemente et al., 1991).
and experienced fewer emotional reactions to the negative During the action stage, people endorsed higher lev-
aspects of their problems. Furthermore, they were less els of self-liberation or willpower. They increasingly be-
open with significant others about their problems, and lieved that they had the autonomy to change their lives
they did little to shift their attention or their environment in key ways. Successful action also entailed effective use
in the direction of overcoming problems. In therapy, these of behavioral processes, such as counterconditioning and
would be the most resistant or the least active clients. stimulus control, in order to modify the conditional stim-
Individuals in the contemplation stage were most uli that frequently prompt relapse. Insofar as action was
open to consciousness-raising techniques, such as obser- a particularly stressful stage, individuals relied increas-
vations, confrontations, and interpretations, and they were ingly on support and understanding from helping rela-
much more likely to use bibliotherapy and other educa- tionships.
tional techniques (Prochaska & DiClemente, 1984). Just as preparation for action was essential for suc-
Contemplators were also open to dramatic relief expe- cess, so too was preparation for maintenance. Successful
riences, which raise emotions and lead to a lowering of maintenance builds on each of the processes that came
negative affect if the person changes. As individuals be- before. Specific preparation for maintenance entailed an
came more conscious of themselves and the nature of assessment of the conditions under which a person was
their problems, they were more likely to reevaluate their likely to relapse and development of alternative responses
values, problems, and themselves both affectively and for coping with such conditions without resorting to self-
cognitively. The more central their problems were to their defeating defenses and pathological responses. Perhaps
self-identity, the more their reevaluation involved altering most important was the sense that one was becoming the
their sense of self. Contemplators also reevaluated the kind of person one wanted to be. Continuing to apply
effects their addictive behaviors had on their environ- counterconditioning and stimulus control was most ef-
ments, especially the people with whom they were closest. fective when it was based on the conviction that main-
They struggled with questions such as "How do I think taining change supports a sense of self that was highly
and feel about living in a deteriorating environment that valued by oneself and at least one significant other.
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cated for the action stage—reinforcement management, We have generated a number of tentative conclusions
stimulus control, counterconditioning—without the req- from our research that require empirical confirmation.
uisite awareness, decision making, and readiness provided Successful change of the addictions involves a progression
in the contemplation and preparation stages. They try to through a series of stages. Most self-changers and psy-
modify behavior without awareness, a common criticism chotherapy patients will recycle several times through the
of radical behaviorism: Overt action without insight is stages before achieving long-term maintenance. Accord-
likely to lead to temporary change. ingly, intervention programs and personnel expecting
Correction to Williams
The article "Exploitation and Inference: Mapping the Damage From Therapist-Patient Sexual
Involvement," by Martin H. Williams (American Psychologist, 1992, Vol. 47, No. 3, pp. 412-421),
contained an error on page 419. The sentence "In this case, the odds that a patient will become
sexually involved with his or her psychoanalyst are 1 in 1,129 or a likelihood of 0.9%" should read
"In this case, the odds that a patient will become sexually involved with his or her psychoanalyst are
1 in 1,129 or a likelihood of 0.09%."