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Britishjoumal ofAddictiony9{19Bi), 261-273

0 1984 Sodety for the Study of Addiction to Alcohol and other Drugs.

Relapse Prevention; Introduction and Overview of the


Model
G. Alan Marlatt and William H. George
Department of Psychology, University of Washington, Seattle, Washington 98193, USA

Sununary
As an introductory overview of the Relapse Prevention (RP) model, this article briefly describes the conceptual and
clinical features of the RP approach to altering excessive or addictive behaviour patterns. In contrast with traditional
approaches that overemphasize initial habit change, RP focuses more on the maintenance phase of the habit chartge
process. From this perspective, relapse is not viewed merely as an indicator of treatment failure. Instead, potential and
actual episodes are key targetsfor both proactive and reactive intervention strategies. RP treatment procedures include
specific interxjention techniques designed to teach the individual to effectively anticipate and cope with potential
relapse situations. Also included are more global lifestyle interventions aimed at improving overall coping skills and
promoting health and well being. Important questions raised by this relatively recent alternative to treuiitional
approaches are discussed.

What is Relapse Prevention? case, the aim of the procedure is to anticipate and
Relapse Prevention (RP) is a self-control progranune prevent the occurrence of a full-blown relapse following a
designed to teach individuals who are trying to change period of improvement or after the initiation of a new
their behaviour how to anticipate and cope with the behaviour change programme (e.g.. to prevent a recent
problem of relapse. In a very general sense, relapse refers ex-smoker from returning to habitual smoking). As such,
to a breakdown or failure in a person's attempt to change the procedures are designed to enhance the maintenance
or modify any target behaviour. Based on the principle of of behaviour change and may be applied regardless of the
social-learning theory [1]. RP is a psychoeducational theoretical orientation or intervention methods applied
programme that combines behavioural skill-training during the initial treatment phase. Once an alcoholic has
procedures with cognitive intervention techniques. stopped drinking, for example. RP methods can be
Because the RP model combines both behavioural and applied toward the effective maintenance of abstinence,
cognitive components, it is similar to other cognitive- regardless of the methods used to initiate abstinence
behavioural approaches that have been developed in (e.g.. attending AA meetings, aversion therapy, voluntary
recent years as an outgrowth and extension of more cessation, or some other means).
traditional behaviour therapy programmes. Descriptions In the second application of the RP model, the
of related cognitive-behavioural research and treatment purpose b a more general one: to facilitate changes in
approaches with a variety of clinical problems are personal habits and lifestyle so as to reduce the risk of
available in a number of recent publications [2. S. 4. 5. physical disease or psychological stress. Here, the aim of
6]. the RP programme is much broader in scope: to teach the
The RP model was initially developed as a individual how to achieve a balanced lifestyle and to
behavioural maintenance programme for use in the prevent the formation of unhealthy habit patterns. A
treatment of addictive behaviours [7]. In the addictions, balanced lifestyle is characterized by a harmonious
the typical goals of treatment are either to refrain totally balance between work and play activities and the
from performing a target behaviour (e.g.. to abstain from development of 'positive addictions' [8] such as physical
drug use), or to impose regulatory limits or controls over exercise and medication. The central theme or motif of
the occurrence of a behaviour (e.g.. to diet as a means of this approach is embodied in an underlying principle of
controlling food intake). Relapse prevention procedures moderation: A balanced lifestyle is one that is centred on
can be applied either in the form of a specific the fulcrum or midpoint of moderation (in contrast with
maintenance strategy to prevent relapse or as a more the opposing extremes of behavioural excess or restraint).
general programme of lifestyle change. In the former Viewed from this more global perspective. RP can be
262 G. Alan Martatt and William H. George

considered as a component of the developing movement not all of the intervention techniques are directed
in 'health psychology' or holistic medicine. [9,10]. primarily toward initial behaviour change only, and not
toward the long-term maintenance of this change. Many
current smoking treatment programmes, to take another
Treatment versus Maintenance: Separate Processes? example, administer the bulk of procedures prior to the
To illustrate the distinction between treatment and target quit date. Frequently treatment techniques are
maintenance as separate processes in the modification of primarily geared toward producing cessation of the target
addictive behaviours, let us first consider the example of behaviour, whether it be smoking, alcohol consumption,
an alcoholic or problem drinker who is motivated to overeating, or the performance of other problem
change his or her behaviour. There is a wide variety of behaviours (e.g. sexual exhibitionism). What is often
procedures and techniques available that may be effective overlooked with this focus on initial cessation during the
in getting an alcoholic to stop drinking; examples include treatment phase is that the maintenance of change, once
comprehensive inpatient programmes, aversion therapy, it has been induced, may be governed by entirely
dietary management, marital or family counselling, different principles than those that are associated with
group therapy, Antabuse medication, occupational initial cessation.
therapy, behaviour modification, religious conversions. One important difference between initial treatment
Alcoholics Anonymous, etc. Some techniques are directed procedures and those designed to enhance maintenance
more toward getting the person to stop drinking in the effects over time is that the former techniques are usually
first place (i.e., orientated toward the initial cessation of the administered to the client by the therapist (e.g., aversion
problem behaviour), while others are directed more therapy, assertive training, contingency contracting,
toward long-term maintenance of this change. Far too etc.), whereas maintenance procedures are often self-
often these two aims are confused because important administered by the client. An exception to this
distinctions between initial treatment and long-range distinction is the use of externally applied 'booster'
maintenance are not made clear. The fact is that we know sessions, in which a technique such as aversion therapy is
very little about the relative effectiveness of treatment readministered to the client at various intervab following
procedures designed to produce the cessation of a treatment in an attempt to bolster and reinforce the
particular behaviour, compared to procedures which are effects of the initial treatment programme. The goal of
designed to maintain behaviour change following the teaching the client self-administered maintenance
initial cessation or 'quit date.' techniques is to train the client to become his or her own
A typical response to the high relapse rate in the field therapist and to carry on the thrust of the intervention
of addiction treatment has been to increase the number programme after the termination of the formal
of initial treatment techniques, to build a more therapeutic relationship. Instead of relying on 'willpower'
comprehensive broad-spectrum or multi-model treatment or internal fortitude during the maintenance phase, a
package designed to facilitate cessation of the target successful graduate of this type of programme would be
behaviour. The underlying assumption here seems to be equipped with behavioural self-management skills. This
that if we add enough components into the initial treat- self-control orientation is characteristic of the RP
ment programme, the effects on treatment outcome will approach to maintenance. The RP model is basically a
somehow last longer. This trend has become increasingly self-control programme in which the clients are taught
clear in recent yeais. With regard to the treatment of how to anticipate and cope effectively with problems as
problem drinking, for example, behavioural intervention they arise during the post treatment or follow-up period.
programmes have moved from a concentrated focus on Since it appears to be the case that the self-control
one or two primary treatment modalities (e.g., aversion procedures employed during the maintenance phase may
therapy) to today's shotgun approach in which every tech- be relatively independent in their effects froni the
nique that might possibly prove effective is thrown into externally administered techniques in the initial
the hopper. treatment phase, the RP approach may be applied
There are two major drawbacks to the multi-modal regardless of the orientation or methods used during
approach to treatment. First, recent evidence suggest that treatment.
the more techniques and procedures we apply in any
treatment case, the more difficult it becomes for the
client to maintain compliance with the programme Relapse: Two Opposing Definitions
requirements [11]. The second problem is that many if At a recent workshop for alcoholism and drug counsellors.
Relapse Prevention 26S

members of the audience were asked to share their Webster's dictionary: 'relapse is the act or instance of back-
subjective associations to the term retapse. Here are some sliding, worsening, or subsiding.' The italics are added here
of their replies: 'treatment failure,' 'return to illness,' to emphasize that a relapse can be viewed as a single act of
'falling back into addiction,' 'failure and guilt,' falling back: a single mistake, an error, a slip. A better
'breakdown,' etc. These associations are refiected in one word to refer to the singular occurrence of the behaviour in
of two definitions of 'relapse' given in Webster's New question (e.g., thefirstdrink or cigarette following a period
Cottegiate Dictionary: 'a recurrence of symptoms of a of abstinence) would be lapse (as in a 'lapse' of attention).
disease after a period of improvement.' This definition The same dictionary defines 'lapse' as 'a slight error or
corresponds with the dichotomous view of treatment slip. . . a temporary fall esp. from a higher to a lower
outcome fostered by the disease model: one is either state.' One thinks here of a skater in competition who trips
'cured' (or the symptoms are in remission) or one has and falls on ice: whether or not the skater gets up again and
relapsed (recidivism). It has been standard practice in the continues to perform depends to a larger extent on whether
addictions field to view any use of drugs following an the fall is seen as a 'lapse' or a 'relapse' - as a single slip
abstinence-orientated treatment programme as indicative (mistake) or as an indication of total failure. By allowing
of relapse. This all-or-none outlook is refiected in most of room for mistakes to occur (as opposed to viewing any slip
the traditional treatment outcome literature, where cases as a symptom of deterioration), one may be able to avoid
are reported as either successes (e.g., maintaining the oscillation effect in which the individual is either
abstinence) or failures (any violation of abstinence). perceived as in control (standing up) or out of control
Relapse is thus seen as an end state: the end of the road; a (falling down).
dead end. In the RP approach, a relapse is viewed as a transitional
There are a number of problems with this rather process, a series of events thatmayormaynotbe followed by a
pessimistic approach to relapse. If the black/white dich- return to pretreatment baseline levels ofthe target behaviour.
otomy of abstinence/relapse is assimilated by the Itis possible to view thealcoholicwhotakesasingledrinkaftera
individual while in treatment, it seems likely that this will period of abstinence as someone who has made a slight
set up an expectation leading to a self-fulfilling prophecy excursion over the border between abstinence and relapse.
in which any violation of abstinence will send the Whether or not this first excursion is followed by a return to
pendulum to the other extreme of relapse. We call this abstinence depends considerably on the personal
swing of the pendulum from one extreme (abstinence) to expectations of the individual involved. The RP approach
the other (relapse) the oscillation ofperceix/ed control. On attempts to provide the individual with the necessary skills and
the one side of thb oscillation is the extreme of absolute cognitive strategies to prevent the single occurrence of a lapse
control or total restraint; the other extreme is that of loss from snowballing into a total relapse. Rather than looking
of control or total indulgence. pessimistically upon a relapse as a dead end, the RP approach
Another problem vdth the traditional definition of views it as a fork in the road, with one path returning to the
relapse is its association with the return of the disease former problem behaviour, and the other continuing in the
state. The cause of the relapse is usually attributed to direction of positive change.
internal biological factors associated with the disease Many new questions arise when one adopts this
condition. Behaviours associated with relapse come to be alternative perspective of relapse. Most of these questions are
equated with the emergence of symptoms signalling the not even raised by those who adhere to the disease model, with
reactivation of the underlying disease, much as the its exclusive emphasis on internal or biological determinants
experience of fever and chilb serves as a signal of relapse ofrelapse. Are there any specific situational events that serve as
in malaria. This emphasis on internal causation^ carries precipitating triggers for relapse? Are the determinants ofthe
the implicit message that there is nothing much one can first lajwe the same as those assumed to govern a total relapse?
do about the outbreak symptoms; how does one prevent a Is it possible for an individual to covertly 'plan' a relapse by
fever from breaking out? This outlook tends to ignore the setting up a situation in which it is virtually impossible to resist
influence of situational and psychological factors as temptation? At which points in the relapse process is it possible
potential determinants in the relapse process. It also to intervene and alter the course of events so as to prevent a
reinforces the notion that the individual who experiences return to the former habit pattern? How does the individual
a relapse is a helpless victim of circumstances beyond his react to and conceptualize the events preceding and following
or her control. a relapse, and how do these reactions affect the person's
There is an alternative approach to the issue of re- subsequent behaviour? Is it possible to prepare persons in
lapse, and it is refiected in the second definition listed in treatment to anticipate the likelihood of a relapse, so that they
264 G. Alan Marlatt and WOUam H. George

may engage in preventive alternative behaviours? To borrow a anxiety, depression, boredom, etc., prior to or at the
term from the medical model, can we develop prevention same time the first lapse occurs. For example, a smoker in
procedures that would 'inoculate' the individual against the sample gave the following description of a relapse
the inevitability of relapse? In order to answer these and episode: 'It had been raining and I had the basement
other questions, it is necessary to engage in a detailed filled with a good three inches of water. To make things
micro-analysis of the relapse process itself. This fine- worse, as I went to tum on the light to see the extent of
grained approach focuses upon the various determinants the damage, I got shocked from the light switch. Later
of relapse, both in terms of the immediate precipitating that same day I was feeling real low and knew I had to
circumstances and the longer chain of events that may or have a cigarette after my neighbour, who is a contractor,
may not precede the relapse episode. In addition, the role assessed the damage at over $400. I went to the store and
of such cognitive factors as expectation and attribution bought a pack.'
are examined in detail, particularly in terms of the (b) Interpersonal conflict (16 per cent of the
individual's reactions to the relapse. A micro-analysis of relapses): situations involving an ongoing or relatively
the relapse process is justified by the old maxim that we recent confiict associated with any interpersonal
can learn much from our mistakes. Rather than being relationship, such as marriage, friendship, family
seen as an indication of failure, a relapse can more members, or employer-employee relations. Arguments
optimistically be viewed as a challenge, an opportunity and inter-personal confrontations occur frequentiy in this
for new learning to occur. category. A gambler who had been abstaining from
betting on the horses described his relapse in the following
Overview of the Relapse Model terms: 'I came home late from a horrible day on the road
In the following overview, only the highlights of the and I hadn't stepped in the house five minutes before my
model are presented, since further details are presented wife started accusing me of gambling on the horses.
elsewhere; background research and theory leading to the Racetrack, hell! I told her if she didn't believe me, I'd give
development of this model can be found in Cummings, her a real reason to file for divorce. That night I spent
Gordon, & Marlatt [12], Marlatt [13, 14, 15], and $450 at the Longacres track.'
Marlatt and Gordon [7, 16]. The following overview (c) Social pressure (20 per cent of the sample):
draws extensively from those previously published accounts situations in which the individual is responding to the
of the model. influence of another person or group of people who exert
To begin, we are assuming that the individual ex- pressure on the individual to engage in the taboo
periences a sense of perceived control while maintaining behaviour. Social pressure may either be direct (direct
abstinence (or complying with other rules governing the interpersonal contact with verbal persuasion) or indirect
target behaviour). The behaviour is 'under control' so (e.g. being in the presence of others who are engaging in
long as it does not occur during this period — the longer the same target behaviour, even though no direct
the period of successful abstinence, the greater the pressure is involved). Here is an example of direct social
individual's perception of self-control. This perceived pressure given by a formerly abstinent problem drinker in
control will continue until the person encounters a high- our sample: 'I went to my boss's house for a surprise
risk situation. A high-risk situation is defined broadly as birthday dinner for him. I got there late and as I came
any situation which poses a threat to the individual's sense into the living room everyone had a drink in hand. I froze
of control and increases the risk of potential relapse. In a when my boss's wife asked me what I was drinking.
recent analysis of 311 initial relapse episodes obtained Without thinking, I said 'J&B on the rocks.'
from clients with a variety of problem behaviours In our analyses of relapsed episodes to date (12, 7),
(problem drinking, smoking, heroin addiction, we have found that there are more similarities than
compulsive gambling, and overeating), we identified differences in relapse categories across the various
three primary high-risk situations that were associated addictive behaviours we studied. These same three high-
with almost three-quarters of all the relapses reported risk situations are frequently found to be associated with
[12]. A brief description of the three categories associated relapse, regardless of the particular problem involved
with the highest relapse rates follows. (problem drinking, smoking, gambling, heroin use, or
(a) Negative emotional states (55 per cent of all overeating). This pattem of findings lends support to our
Felapses in the sample): situations in which the individual hypothesis that there is a common mechanism underlying
is experiencing a negative (or unpleasant) emotional the relapse process across different addictive behaviours.
state, mood, or feeling such as frustration, anger. If the individual is able to execute an effective
Retapse Prevention 265

coping response in the high-risk situation (e.g., is assertive have a smoke, I would feel more relaxed,' are common
in counteracting social pressures), the probability of beliefs of this type. Positive outcome expectancies are a
relapse decreases significantly. The individual who copes primary determinant of alcohol dependency and other
successfully with the situation is likely to experience a forms of substance abuse [18]. Expectancies figure
sense of mastery or perception of control. Successful prominently as determinants of relapse in our model.
mastery of one problematic situation is often associated The combination of being unable to cope effectively
with an expectation of being able to cope successfully in a high-risk situation coupled with positive outcome
with the next challenging event. The expectancy of being expectancies for the effects of the old habitual coping
able to cope with successive high-risk situations as they behaviour greatly increases the probability that an initial
develop is closely associated with Bandura's notion oiself- lapse will occur. On the one hand, the individual is faced
efficacy [17], defmed as the individual's expectation with a high-risk situation with no coping response
concerning the capacity to cope with an impending available; self-efficacy decreases as the person feels less
situation or task. A feeling of confidence in one's abilities able to exert control. On the other hand, there is the lure
to cope effectively with a high-risk situation is associated of the old coping response, the drink, the drug, or other
with an increased perception of self-efficacy, a kind of 'I substance. At this point, unless a last minute coping
know I can handle it' feeling. As the duration of the response or a sudden change of circumstance occurs, the
abstinence (or period of controlled use) increases, and the individual may cross over the border from abstinence (or
individual is able to cope effectively with more and more controlled use) to relapse. Whether or not this first
high-risk situations, perception of control increases in a excursion over the line, the first lapse, is followed by a
cumulative fashion. The probability of relapse decreases total relapse depends to a large extent on the individual's
accordingly. perceptions of the 'cause' of the lapse and the reactions
What happens if an individual is not able to cope associated with its occurrence.
successfully with a high-risk situation? It may be the case The requirement of abstinence is an absolute
that the pterson has never acquired the coping skills dictum. Once someone has crossed over the line, there is
involved, or that the appropriate response has been no going hack. From this all-or-none perspective, a single
inhibited by fear and anxiety. Or, perhaps the individual drink or cigarette is sufficient to violate the rule of
fails to recognize and respond to the risk involved before it abstinence: once committed, the deed cannot be undone.
is too late. Whatever the reason, if a coping response is Unfortunately, most people who attempt to stop an old
not performed, the person is likely to experience a habit such as smoking or drinking perceive quitting in this
decrease in self-efficacy, frequently coupled with a sense 'once and for all' manner. To account for the reaction to
of helplessness and a tendency to passively give in to the the transgression of an absolute rule, we have postulated a
situation. 'It's no use, I can't handle this,' is a common mechanism called the Abstinence Violation Effect or
reaction. As self-efficacy decreases in the percipitating AVE [13, 7]. The AVE is postulated to occur under the
high-risk situation, one's expectations for coping following conditions. Prior to the first lapse, the
successfully with subsequent problem situations also individual is personally committed to an extended or
begins to drop. If the situation also involves the indefinite period of abstinence. The intensity of the AVE
temptation to engage in the prohibited behaviour as a will vary as a function of several factors, including the
means of attempting to cope with the stress involved, the degree of prior commitment or effort expended to
stage is set for a probable relapse. The probability of maintain abstinence, the duration of the abstinence
relapse is enhanced if the individual holds positive period (the longer the period, the greater the effect), and
expectancies about the effects of the activity or substance the subjective value or importance of the prohibited
involved. Often the person will anticipate the immediate behaviour to the individual. We hypothesize that the
positive effects of the activity, based on past experience, AVE is characterised by two key cognitive-affective
while at the same time ignoring or not attending to the elements: cognitive dissonance (conflict and guilt), and a
delayed negative consequences involved. The lure of personal attribution effect (blaming the self as the cause
immediate gratiHcation becomes the dominant figure in of the relapse).
the perceptual field, as the reality of the full
consequences of the act recedes into the background. For
many persons, smoking a cigarette or taking a drink has The Relapse Model: Ck>vert Antecedents of a Relapsed
long been associated with coping with stress. 'A drink Situation
would sure help me get through this,' or, 'If only I could In the foregoing discussion of the immediate deter-
266 G. Alan Marlatt and William H. George

minants and reactions to relapse, the high-risk situation is relapse where the client 'chose' an alternative that led him
viewed as the precipitating or triggering situation closer to the brink of relapse. He, finally ended up in a
associated with the initial lapse or first 'slip' following a downtown Reno casino where he succumbed to a slot
period of abstinence or controlled use. In many of the machine, an event that triggered a week-end long binge
relapse episodes we have studied in our research of costly gambling. It was as if he had placed himself in a
programme, the first lapse is precipitated in a high-risk situation that was so risky that it would take a moral
situation that the individual unexpectedly encounters. In Superman to resist the temptation to resume gambling.
most of these cases, the person is not expecting the high- Why do some clients want to plan their own relapse?
risk situation to occur, and/or is generally ill prepared to From a cost-benefit perspective, a relapse can be seen as a
cope effectively with the circumstances as they arise. very rational choice or decbion for many individuals. The
Quite often, the individual will suddenly find him/herself benefit is swift in coming: the payoff of immediate
in a rapidly escalating situation that cannot be dealt with gratification (and the chance of hitting the jack-pot). For
effectively. For example, one of our clients who had a many, the reward of instant gratification far outweighs
serio\is drinking problem experienced her first lapse after the cost of potential negative effects that may or may not
several weeks of abstinence when she treated a newly- occur sometime in the distant future (especially if one is a
found friend to lunch. A last-minute change of plans led gambler at heart). Why not take the chance — this time
them to eat at a restaurant that served alcoholic it might be different, and perhaps it could be done with
beverages. Just moments after their arrival, a cocktail impunity. Cognitive distortions such as denial and
waitress approached their table and asked for drink rationalization make it much easier to set-up one's own
orders. Our clients' friend ordered a cocktail first, and relapse episode: one may deny both the intent to relapse
then the waitress turned to the client saying, 'And you?' and the importance of long-range negative consequences.
She too ordered a drink, the first of a series of events that There are also a number of excuses one can use to
cuhninated in a full-blown relapse. As the client said rationalize the act of indulgence.
later, 'I didn't plan it and I wasn't prepared for it.' One of the most tempting rationalizations is that the
Suddenly confronted with a high-risk situation (a social- desire to indulge is justified. This justification is
pressure situation, in which the client was influenced exemplified in the title of a book describing the drinking
both by her friend's ordering a drink and by the waitress' lifestyles of derelict alcoholics: You Owe Yourself a Drink
asking her for an order), she was unable to cope [19]. Our research findings and clinical experience in
effectively. working with a variety of addictive behaviour problems
In other relapse episodes, however, the high-risk suggests that the degree of balance in a person's daily
situation appears to he the last link in a chain of events lifestyle has a significant impact on the desire for
preceding the first lapse. In another case study, for indulgence or immediate gratification. Here, we are
example, the client was a compulsive gambler who came defining 'balance' sis the degree of equilibriimi that exists
to us for help in controlling his habit that had caused him in one's daily life hetween those activities perceived as
numerous marital and financial problems. Before coming external demands (or 'shoulds'), and those perceived as
to us, he had managed to abstain from all gambling for a activities the person engages in for pleasure or self-
period of about 6 months, followed hy a relapse and an fulfillment (the 'wants'). Paying household bills,
inability to regain abstinence. We asked the client, a performing r')utine chores or menial tasks at work would
resident of Seattle, to describe this last relapse episode. count highly as 'shoulds' for many individuals. At the
'There's nothing much to talk about,' he began. 'I was in other end of the scale are the 'wants' — the activities the
Reno and I started gambling again.' Reno, Nevada is a person likes to perform and gains some immediate
high-risk city for any gambler who b trying to maintain gratification from engaging in (e.g., going fishing, taking
abstinence, since it is one of the largest gambling centres time off for lunch with a friend, engaging in a creative
in Nevada. We then asked him to describe the events work task, etc.). Other activities represent a mixture of
preceding his arrival in Reno (especially since Reno is 'wants' and 'shoulds.' We find that a lifestyle that is
over 1,000 miles away from Seattle). A close analysis of weighted down with a preponderance of perceived
this chain of events led us to the conclusion that this client 'shoulds' is often associated with an increased perception
had covertly set up or 'plarmed' the relapse. Although our of self-deprivation and a corresponding desire for indul-
client strongly denied his responsibility in this covert gence and gratification. It is as if the person who spends
planning process, it was clear to us that there were a his or her entire day engag^ in activities which are high
numher of choice-points (forks in the road) preceding the in external demand (often perceived as 'hassling' events)
Relapse Prevention 267

attempts to balance this disequilibrium by engaging in an do if a fire breaks out in public buildings or schools. For
excessive 'want' as a means of justifying self-indulgence at those who are lucky enough to afford ocean liner cruise,
the end of the day (e.g., drinking to excess in the there are Kfeboat drills to teach the passengers what to do
evening). in the remote possibility that the ship runs into trouble at
sea. Certainly no one believes that by requiring people to
participate in firedrills or other similar exercises, the
Assessment and Intervention Strategies probability of future fires or other accidents increases;
In this section, we present highlights of the RP assessment quite the contrary, in fact as the aim is to minimize the
and intervention strategies. We Hrst discuss strategies that extent of personal loss and damage should an accident
are designed to teach the client how to anticipate and occur. The same logic applies in the case of relapse
cope with the possibility of relapse — to recognize and prevention. Why not have a 'relapse drill' as a prevention
cope with high-risk situations that may precipitate a strategy to be included as part of an ongoing treatment
lapse, and to modify cognitions and other reactions so as programme? Learning precise prevention skills and related
to prevent a single lapse from developing into a full-blown cognitive ideologies would seem to offer more help to the
relapse. Because these procedures are explicitly focused client than relying on vague constructs such as 'willpower'
on the immediate precipitants of the relapse process, we or attempting to adhere to the advice embedded in
refer to them collectively as specific tntervention various prophetic slogans such as, 'You are only one drink
strategies. Second, we go beyond the micro-analysis of the away from a drunk.' Other slogans seem much more
initial lapse and present strategies designed to modify the suited to the RP approach, such as: FOREWARNED IS
client's lifestyle and to identify and cope with covert FOREARMED, and AN OUNCE OF PREVENTION IS
determinants of relapse. We refer to these procedures as WORTH A POUND OF CURE.
globat self-control strategies. Which of the various intervention techniques should
Both specific and global RP strategies can be placed be applied with a particular client? It is possible to
in three main categories: skill training, cognitive combine techniques into a standard 'package,' with each
reframing, and lifestyle intervention. Skill-training subject receiving identical components, if the purpose is
strategies include both behavioural and cognitive to evaluate the effectiveness of a package programme.
responses to cope with high-risk situations. Cognitive Most readers, however, will be applying the RP model
reframing procedures are designed to provide the client with clients in an applied clinical setting. In contrast with
with alternative cognitions concerning the nature of the the demands of treatment outcome research, those
habit-change process (i.e., to view it as a learning working in the clinical area typically prefer to develop an
process), to introduce coping imagery to deal with urges indix/idtuilized programme of techniques, tailor-made for
and early warning signals, and to reframe reactions to the a particular client. The individualized approach is the
initial lapse (restructuring of the AVE). Finally, lifestyle one we recommend for implementation with most client
intervention strategies (e.g., relaxation and exercise) are problems. Selection of particular techniques should be
designed to strengthen the client's overall coping capacity made on the basis of a carefully conducted assessment
and to reduce the frequency and intensity of urges and programme. Therapists are encouraged to select
craving that are often the product of an unbalanced intervention techniques on the basis of their initial
lifestyle. evaluation and assessment of the client's problem and
Most traditional treatment programmes for general lifestyle pattem. The overall goal of the specific
addictive behaviours tend to ignore the relapse issue intervention procedures is to teach the client to anticipate
altogether. There seems to be a general assumption in and cope with the possibility of relapse: to recognize and
such programmes that to even discuss the topic of relapse cope with high-risk situations that may precipitate a slip,
b equivalent to giving clients permission to relapse. The and to modify cognitions and other reactions so as to
rationale that we present to our clients (or to prevent a single lapse from developing into a full-blown
administrators who show some reluctance to focus on relapse. The first step to take in the prevention of relapse
relapse issues in their treatment programme) is a simple is to teach the client to recognize the high-risk sitttations
one. We point out that we already have numerous that may precipitate or trigger a relapse. Here, the earlier
procedures in our society that require us to prepare for one becomes aware that one is involved in a chain of
the possibility (no matter how remote) that various events which increases the probability of a slip or lapse,
problematic and dangerous situations may arise. For the sooner one can intervene by performing an
example, we have firedrills to help us prepare for what to appropriate coping skill and/or recognize and respond to
268 G. Alan Marlatt and WiUiam H. George

the discriminative stimuli that are associated with presented with a series of written or audiotaped
'entering' a high-risk situation, and to use these cues both descriptions of potential relapse situations. Each
as warning signals and as 'reminders' to engage in description ends with a prompt for the client to respond.
alternative or remedial action. Later, the client's responses to the scenes are scored oh a
To introduce a metaphor that we use with our number of dimensions including response duration and
clients, imagine that the client involved in a self-control latency, degree of compliance, and specification of
programme is a driver setting out on a highway journey. alternative behaviours. In a similar technique, the client
The trip itinerary (i.e., moving from excessive drug use to is presented with a lbt of potential relapse situations. For
abstinence) includes both 'easy' and 'hard' stretches of each situation, the client uses a seven-point rating scale to
road (from the plains to mountain passes). From this estimate his or her subjective expectation of successful
metaphorical perspective, the high-risk situations are coping. Ratings across a wide range of situations enable
equivalent to those dangerous parts of the trip where the the individual to identify both problematic situations and
driver must use extra caution and driving skills to keep skill deficits in need of remedial training. Results from
the car on the road and prevent an accident. The these types of assessment can later dictate the focus of
discriminative stimuli which signal a high-risk situation skill-training procedures.
can be thought of as highway signs providing the driver Carefully executed assessment procedures will enable
with information about upcoming dangers and risks on the individual to identify many high-risk situations. The
the road (e.g., 'Icy patches ahead: SLOW to 25'). The client must then learn an alternative approach for
responsible alert driver is someone who b trained to keep responding to these situations. A first step in this new
an eye out for these signs and to take appropriate action approach is to recognize that high-risk situations are best
to prevent a mishap. So it is with the person who is perceived as discriminative stimuli signalling the need for
attempting to refrain from engaging in a particular target behaviour change in the same way that road signs signal
behaviour (smoking, drinking, overindulging, etc.): one the need for alternative action. When viewed in this way,
must be on the lookout for cues that denote the proximity these situations can be seen as choice points rather than as
of potentially troublesome situations. These cues can inevitable and uncontrollable challenges that must be
serve as early warning signals that remind the individual endured. In this light, the choice to simply avoid or take a
to 'Stop, Look, and Listen,' prior to engaging in an detour around risky situations becomes more available to
appropriate coping response. The sooner these signs are the individual. However, in many cases, routine avoid-
noticed, the easier it b to anticipate what lies around the ance of particular high-risk situations is unrealistic.
next bend and take appropriate steps to deal effectively Therefore, coping skills that enable the individual to cope
with the situation. with these situations must be acquired. The specific
An essential aspect of teaching clients to better coping skilb to be taught will depend on whether the
handle high-risk situations is first enabling them to existing deficiencies are due to actual skill deficit or
identify and anticipate these situations. Earlier we response inhibition. In the former case, the person never
discussed prototypic kinds of high-risk situations. learned or mastered the skills needed to better cope with
However, ultimately the identification of high-risk the high-risk situation. What is needed in this instance is
situations is an individualized question requiring remedial skill training. In the case of response inhibition,
idiographic assessment procedures. Self-monitoring the individual has already acquired the skills needed to
procedures offer an effective method for assessing high- get through the situation, but is unable to execute them
risk situations, whenever it is possible to have clients keep due to inhibiting anxiety and/or beliefs. In this instance
a record of their addictive behaviour for a baseline period skill training focuses on interventions designed to
prior to treatment. As little as two weeks of self- disinhibit the appropriate behaviour by either reducing
monitoring data can often highlight the situational anxiety (e.g., systematic desensitization) or altering
influences and skill deficits that underline an addictive beliefs (e.g.. Rational Elmotive Therapy).
behaviour pattern. Remedial skill training necessitated by identification
Determining the adequacy of pre-existing coping of coping skill deficits is the cornerstone of the RP
abilities is a critical assessment target. In a treatment treatment programme. When the individual lacks coping
outcome investigation aimed at teaching alcoholics to skills, a variety of remedial skills can be taught. The
handle situational temptations, Chaney, O'Leary, and content of the skill training programme is variable and
Marlatt [20] devised the Situational Competency Test to will depend on the needs of the individual. Possible
measure coping ability. In this technique, the client is content areas include assertiveness, stress management.
Relapse Prevention 269

relaxation training, anger management, communication difficulty and effortful struggle rather than by easy
skills, and general social and/or dating skills. In addition mastery. To emphasize self-efficacy enhancement, the
to these specific content areas, the RP approach routinely client can be instructed to imagine that the rehearsed
includes training in more general problem-solving skills experience b accompanied by mounting feelings of
[21]. The advantage of this latter feature is that it competence and confidence. As a consequence, the
provides the client with a set of highly flexible skilb that person experiences heightened expectations of successful
are generalizable across situations and problem areas. coping in future real life situations, thereby reducing the
Equipping the client with general problem-solving skilb probability of relapse. Obviously, the relapse rehearsal
obviates the need for over-reliance on rote memorization procedure can be readily carried out as an inter-session
and execution of the relatively mechanized behavioural homework assignment.
prescriptions that often typify content-focused skill- The possibility that the client may fail to effectively
training programmes. In skill-training, the actual employ these coping strategies and experience a slip must
teaching procedures are based on the work of McFall [22] be anticipated. The client's post-slip reaction b a pivotal
and other investigators. The range of methods include intervention point in the RP model because it determines
behaviour rehearsal, instruction, coaching, evaluative the degree of escalation from a single bolated slip to a
feedback, modelling, and roleplaying. In addition, full-blown relapse. The first step in anticipating and
Meichenbaum's [6] work on cognitive self-instruction has dealing with thb reaction b to devbe an explicit
proven especially valuable for teaching clients therapeutic contract to limit the extent of use if a slip
constructive self-statements. For troubleshooting and occurs. The actual specifications of the contract should
consolidating the newly acquired skills, regular be worked out with the client on an individual basb.
homework assignments are an essential ingredient in skill However, the fundamental method of intervention after a
training. slip b the use of cognitive restructuring to counteract the
To reiterate, implementation of a specific skill- cognitive and affective components of the AVE. The
training programme will be dictated by the client's main objective here b to have the client carry a wallet-
unique profile of high-risk situations. If the individual sized reminder card with instructions to read and follow
typically drinks or overdrinks after arguments with a in the event of a slip. The text of thb card should include
spouse or significant other, then communication or anger the name and phone number of a therapbt or treatment
managem(;nt skilb are indicated. If rbky encounters centre to be called, as well as the cognitive reframing
revolve around contact with the opposite sex, then dating antidote to the AVE.
and social skilb may be recommended. To illustrate with The final thrust in the RP self-management
a specific example, suppose that the client's drinking programme b the global intervention procedure of
routinely follows interpersonal interactions where he or lifestyle change. It b not enough to teach clients
she passively submits to unreasonable demands from mechanbtic skilb for handling high-risk situations and
others. The clear indication here b for assertiveness regelating consumption. A comprehensive self-
training. To accomplbh thb, a therapbt would begin by management programme must abo improve the client's
advbing the client of hb or her personal rights in the overall lifestyle so as to increase the capacity to cope with
situation and proceed with instruction on the principles of more pervasive stress factors that serve as antecedents to
assertion,^ modelling of an assertive response, roleplaying the occurrence of high-risk situations. To accomplbh thb
the interaction with the client, providing coaching and training, a-number of treatment strategies have been
corrective feedback, and encouragement to rehearse and devbed to short-circuit the covert antecedents to relapse
implement the new behaviours. and promote mental and physical wellness.
In some instances, it will not be practical to rehearse As we discussed earlier, a persbtent and continuing
the new coping skilb in real life situations. Thb problem dbequilibrium between shoulds and wants can pave the
can be surmounted through utilization of relapse way for relapse by producing a chronic sense of
rehearsal. In thb procedure, the client b instructed to deprivation. To reiterate, when the individual perceives
imagine that they are in actual high-risk situations and hb or her lifestyle as predominated by duties and
that they are performing more adaptive behaviours and obligations and as lacking commensurate indulgence in
thinking more adaptive thoughts. The emphasb here b gratifying activities, then a sense of deprivation begins to
on coping rather than mastery imagery. That b, the accrue. As these feelings mount, the person will
individual b encouraged to visualize him/herself experience a growing desire to treat oneself to an
successfully handling the situation through some immediately gratifying indulgence. It goes without saying
270 G. Alan Marlatt and WiUiam H. George

that for most clients, drug use has come to be viewed as a occasional urges and craving may still surface from time
source of immediate gratification and a method for to time. For this reason, various urge control procedures
restoring balance to an 'unfairly' lopsided equation. This are recommended. Sometimes urges and cravings are
desire for indulgence translates into urges, cravings, and directly triggered by external cues like the sight of one's
distortions that permit one to 'unintentionally' meander favourite beer mug or wine goblet in the kitchen cabinet,
closer to the brink of relapse. or meeting an old friend who is a heavy smoker. The
The first step in preempting this progression, is to frequency of these externally triggered urges can be
raise the person's consciousness as to the dynamics of this substantially reduced by employing simple stimulus
analysis and to sharpen their awareness of the control techniques aimed at minimizing exposure to these
want/should imbalance. An effective way to start this cues. In some instances, avoidance strategies offer the
process is by having the client employ self-monitorihg most effective way of reducing the frequency of externally
techniques to inventory the wants and shoulds that triggered urges. Certain events or situations like the
prevail in their life. By keeping a daily record of duties biweekly poker games or the wine section of the local
and obligations on one hand and indulgences on the grocery may just have to be avoided temporarily while the
other, the client can soon become acutely aware of the individual develops more coping skills. Generally,
discrepancy between their shoulds and wants. Next, the avoidance strategies can often come in handy for dealing
client should be encouraged to seek a restoration of with unexpected high-risk situations that emerge. A
balance by making time each day to e n j ^ e in worthwhile selection of viable avoidance strategies can enhance the
indulgences. The emphasis here is on including more individual's sense of choice when confronted with
positive addictions. Glasser [8] described negative dangerous situations.
addictions (e.g., excessive drinking) as activities which In teaching clients to cope with urge and craving
initially feel good but produce long-term harm. experiences, it is important to emphasize that the
Conversely, positive addictions (e.g., running) produce discomfort associated with these internal events is
short-term discomfort while yielding long-range benefits. natural. Often, people undergoing cravings have a
After short-range disincentives have been surmounted, a tendency to feel as though the discomfort will continue to
positively addicting activity acquires a great deal of mount precipitously until their resistance collapses under
attraction value for the individual and comes- to be the overwhelming weight of a ballooning urge. In
perceived as a want. At this point, the person feels working with this concern, we stress that urges and
deprived if prevented from engaging in the activity. The cravings are in fact determined, that is they are triggered
advantage of this shift from negative to positive addiction by environmental or endogenous cues, they rise in
lies in the latter's capacity to contribute toward the intensity, reach a peak, and then subside. In this respect,
person's long-term health and well-being while also urges can be likened to waves in the sea: they rise, crest,
providing an adaptive coping response for life stressors and fall. Using this perspective, we encourage the client
and relapse-risk situations. As long-range health beneHts to wait out the urge, to look forward to the downside, and
accrue, the person begins to feel better about him/herself to endure that slice in time when the urge discomfort is
and his or her life. peaking. In drawing an analogy to surfing, we commonly
Activities having potential for positive addiction refer to this cognitive strategy as urge surfmg. The client
include meditation, relaxation inductions, and regular presumably learns to 'ride out' urges in the same manner
exercise. Meditation and other relaxation techniques [23] that the surfer learns to maintain his or her balance
offer an easily leamable and readily available method for without 'wiping out' as the wave swells and crests.
achieving a constructive 'high' experience. Jogging and Recall that urges and cravings may not always
regular exercbe regimes require more physical exertion operate at a conscious level, but may become masked by
and perhaps more attention to scheduling (particularly if cognitive distortions and defence mechanisms. As such
done with others), but also provide sources of constructive they can still exert a potent influence by allowing for
personal indulgence. Recent research in our laboratory 'apparently irrelevant decisions' (AIDS) that inch the
has shown that a regular programme of aerobic exercise person closer to relapse. To counter this, we train the
(running) is associated with a significant reduction in client to 'see through' these self-deceptions by recognizing
drinking behaviour among heavy drinkers [24]. their true meanings. Explicit self-talk can help in making
Despite the efficacy of these techniques for AIDs seem more relevant. By acknowledging to oneself
counteracting feelings of deprivation that would that certain 'mini-decisions' (e.g., keeping a bottle at
otherwise predispose the individual toward relapse, home in case friends drop over) actually represent urges
Retapse Prevention 271

and cravings, the client becomes able to use these experiences smoking. Self-efficacy ratings can thus be used as aids to
as earty xvammgsigruits. An important objective in these urge treatment planning: therapists can focus their energies on
control techniques is to enable the individual to externalize working with low-efficacy situations reported by clients at
urges and cravings and to view them with detachment. the tim<t^pf intake. A similar approach to assessing self-
Another way to achieve this detachment is to encourage the efficacjf with alcoholics in treatment has been reported by
client to deliberately label the urge as soon as it registers into Annis and her colleagues at the Addiction Research
consciousness. Urges should be viewed as natural occurrences Foundation in Toronto [35].
that happen in response to environmental and lifestyle forces ^kill-traiping approaches have also received csome
rather than as signs of treatment failure and indicators of attention in .Qie treatment outcome literature. To take a
future relapse. specific example from our own skill-training research
with alcoholic clients [20], the client's responses to the
Empirical Support and Future Directions in Research Situational Competency Test are first taken into account
The RP model outlined in this paper is still in the formative in planning the specific skill-training programme. For
stages of development. The empirical underpinnings of this one particular client, the problem may involve an
approach have been reviewed in a recent book on this topic inability to resbt social pressure to indulge; for another,
[16].Intennsoftreatmentefficacy,onlyafewoutcomestudies the problem may involve a deficit in coping with feelings
have appeared in the literature that have compared the RP of loneliness or depression. In the skill-training
model with other approaches to the treatment of addiction or programme described in the Chaney et al. study,
the prevention of relapse, although research is currently alcoholics in treatment met together in small group
underway on this issue. The few outcome studies that have format for a series of treatment sessions. Each group was
appeared, along^thresearchontheroleofexpectancies(self- led by two therapbts, who began by describing a
efficacy and outcome expectancies) and coping skills in the particular high-risk situation. The group membei- then
habit-change process, have provided general support for the discussed the situation and generated various ways of
model. Some ofthe highlights of this research are presented in responding to it. The therapists then modeled an
this section, along with some questions for future research. appropriate coping response and practiced it in front of
Researchers who wish more detailed information on research the g^oup. Using this procedure, each client received
support are referred to the Marlatt and Gordon [16] text. individualized feedback from grou^ members and
Most research has been conducted in the areas of alcohol specific coaching and instructions from the therapists.
dependency and smoking, although work is underway The client was then required to repea't the coping
applying the RP model to other addictive behaviours. In response until it matched the therapists' criteria for
the alcohol field, the pioneering work of Litman and her adequacy. This particular skill-training programme was
colleagues at the Addiction Research Unit at the Maudsley evaluated in a year-long follow-up study in comparison
Hospital has provided valuable insight into the role of with two control groups: a group that spent an equivalent
coping with high-risk situations as a factor that amount of time discussing their emotional reactions with
discriminates between alcoholics who relapse after regard to the same high-risk situations (as in
treatment from those who 'survive' or show a good psychodynamic group therapy), and a no-treatment
treatment outcome. Litman and her co-workers have control condition (regular hospital programme only). The
provided extensive documentation of relapse situations and skill-training condition proved to be more successful than
associated coping responses related to treatment outcome either control group, showing a significant improvement
[25, 26, 27, 28]. Similar research on the role of coping as a at the one-year follow-up period for such variables as
factor reducing relapse risk among ex-smokers has been amount of posttreatment drinking, duration of time spent
described by Shiffman and his colleagues at the University drinking before regaining abstinence, and frequency of
of South Florida [29, 30, 31, 32]. Related studies in the periods of intoxication. Similar positive results for skill-
smoking area have shown that self-efficacy ratings made on training with alcoholics have been reported in recent
or near the date for smoking cessation are valid predictors studies by Jones and Lanyon [36] and Oei and Jackson
of subsequent treatment outcome [33, 34]. In the [37].
Condiotte and Lichenstein study, it was not only found Despite this emerging empirical support, many of
that overall efficacy ratings served as an accurate predictor the basic tenets of the model and the effectiveness of the
of relapse rates in general, but also that ratings of efficacy RP approach with various addictive behaviours have yet
in specific situations were frequently predictive of the to be firmly establbhed. Refinement of the basic
actual relapse episode in which the client resumed assumptions and clinical applications of the model will
272 G. Alan Marlatt and William H. George

undoubtedly occur on the basis of future research. efficacy? In the meantime, it b tempting to consider the
Many questions remain unanswered at this point. To possibility of matching a particular treatment approach
name but a few: with the client's own expectancy system or locus of control
— What b the role of motivation in habit change orientation. For those clients who strongly believe that
and how can it be enhanced? If relapse prevention is their addiction problem b primarily a physical addiction,
designed for the maintenance stage or 'back end' of the involving a 'compubion' beyond volitional control, a
habit-change process, there b a strong need for a traditional dbease model approach may be more
corresponding 'front end' emphasis on motivation and effective. In contrast, clients who reject the notion that
self-efficacy enhancement. they are incapable of exercbing control over their
— What is the time course of relapse across various behaviour and who would prefer instead to learn the skills
addictive behaviours? Do certain high-risk situations and attitudes required to modify their lifestyle habits may
occur earlier than others for most people, and, if so, what be more suitable and appropriate for the RP approach.
is the expected course of such risk situations over time? — A final question concems the range of application
Elxamination of relapse rates (based on survivor analysis of the RP model. The primary focus b on the application
of time periods preceding initial lapses and/or subsequent of RP principles to the modification of addictive
relapses) may reveal a distribution of periods of behaviours in the usual sense of the term: excessive use of
differential risk (e.g., within successive weekly periods alcohol, tobacco, food, or other 'substance abuse'
after a commitment to abstinence). If so, it may turn out problems. The model does, however, seem to have
that various RP intervention strategies are effective at applications in areas other than addictive behaviour or
different time periods. substance abuse. One such area b sexual aggression. In
— What is the optimum format for the delivery of the treatment of the sexual aggressor (e.g., rapbts), the
RP strategies? To what extent is the assistance of trained overall goal b the same as it often b in the treatment of
professional or paraprofessional therapists or counselors addiction: to abstain from engaging in the taboo
necessary or helpful? Can the RP model be effectively behaviour. A recent chapter by Pithers, Marques, Gibat,
applied in the form of self-help manuak, correspondence and Marlatt [39] explores the application of the RP
courses, or other formats? What about individual model in the treatment of sexual aggression. A second
counseling as opposed to a group treatment format? area of potential application b the 'transfer-of-training'
— Perhaps the most intriguing question that arises problem: how can the effects of new training programmes
from a comparison of the self-control and disease models be effectively transferred to and maintained in the target
of addiction is this: Is one approach more effective than setting? In a recent review paper, Marx [40] dbcusses the
the other for some clients, and vice versa? Do the self- application of the RP model to managerial training
control and disease models reflect the principle of programmes. Marx states: 'although organizations invest
'different strokes for different folks?' It does seem to be heavily in training programmes to enhance managerial
the case that the population differs with regard to effectiveness, little attention b paid to the transfer of such
people's basic orientation toward personal causation and training from the workshop to the workplace. Thb paper
locus of control. Evidence b mounting that people can be describes a cognitive-behavioural model that offers a
placed along a continuum of 'perceived personal systematic approach to the maintenance of behaviour.
causation,' with those at one extreme believing that they Relapse prevention strategies are dbcussed, and
are capable of exercbing choice and free will to determine implications for management training and research are
the direction and course of their lives, in contrast with considered' [40, (Marx, p. 433]. Other potential
those on the other end who believe that their lives are applications of the RP model await future investigation.
under the determinbtic control of external forces, such as
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