Prevention Center of Excellence

Literature Review

Causes, Consequences, & Prevention: Theory/Research

Literature Review: Causes, Consequences, & Prevention: Theory/Research available in PDF. (Download Acrobat Reader)

Compiled by Stephen Gilson & Elizabeth DePoy
March 1, 2006

Common principles from the research literature:

1. Prevention should be informed by theory and empirically generated data.
2. The theoretical frame of reference determines the research approach, the findings, and their use.
3. Data-based knowledge should form the basis for determining the direct and mediating causes and consequences of substance abuse that prevention efforts should seek to change.
4. Both direct and mediating causal variables should be addressed in prevention (See Appendix A for a taxonomy of 12 factors).
5. Prevention has a range of targets and scopes - person (P), situation (S) and environment (E)
   1. Person-level approaches that have produced positive prevention outcomes - behavior change, attitude change, value change, skills training, and public commitments.
   2. Situation-level approaches that have produced positive prevention outcomes - change in interpersonal and group behavior informed by social influences theories, policy, retribution, positive provider attitude and expertise.
   3. Environment-level approaches that have produced positive prevention outcomes - social norms approaches (E.g. changing the "community" norms for drug use) promoting community prevention readiness and resources, providing alternatives, facilitating community leadership in prevention, policy, retribution, positive provider attitude and expertise. (also see Appendix A for targets of prevention)
6. Multi-level approaches are more productive in achieving positive outcomes than singular approaches. For example, social influence and multiple component programs, which also typically contained social influence strategies, had more positive outcomes than singular information-based or educational approaches.

Summary Table

In Table 1 below, the literature is organized into five related categories of information. Under casual theories, we have further denoted whether the theory addresses personal (P), Situational (S), and/or environmental (E) issues.

Selected References

Bandura A. Self-efficacy in changing societies. New York: Cambridge University Press; 1995.

Baranowski T, Perry CL, Parcel GS. How individuals, environments, and health behavior interact. Social Cognitive Theory. In: Glanz K, Rimer BK, Lewis FM, editors. San Francisco, CA: Jossey-Bass; 2002. pp 165-184.

Davis D, O'Brien MA, Freemantle N, Wolf FM, Mazmanian P, Taylor-Vaisey A. Impact of formal continuing medical education: do conferences, workshops, rounds, and other traditional continuing education activities change physician behavior or health care outcomes? Journal of the American Medical Association 1999; 282(9), 867-874.

DePoy, E. & Gitlin, L. (2005) Introduction to research. St. Louis. Mosby. DePoy, E. & Gilson S.F. (2003) Evaluation practice. Belmont, CA; Thomson. Eden KB, Orleans CT, Mulrow CD, Pender NJ, Teutsch SM. (2002) Does counseling by clinicians improve physical activity? A summary of the evidence for the U.S. Preventive Services Task Force. Annals of Internal Medicine, 137(3), 208-215.

Elder JP, Ayala GX, Harris S. (1999) Theories and intervention approaches to health-behavior change in primary care. American Journal of Preventive Medicine, 17(4), 275-284.

Fabian ES. (2000) Social cognitive theory of careers and individuals with serious mental health disorders: implications for psychiatric rehabilitation programs. Psychiatric Rehabilitation Journal, 23(3), 262-269.

Faden RR. Ethical issues in lifestyle change and adherence. In: Shumaker SA, Schron EB, Ockene JK, McBee WL, editors.(1998) The Handbook of Health Behavior Change. 2nd ed. New York, NY: Springer Publishing Company, pp 555-562.

Flipse AR.(1997) Health behavior research. What physicians must know. In: Gochman, editor. Handbook of Health Behavior Research IV. Relevance for Professionals and Issues for the Future. New York, NY: Plenum Press, pp 43-51.

Glanz K, Rimer BK, Lewis FM. (2002) Health Behavior and Health Education, Theory, Research and Practice. San Francisco. CA: Jossey Bass.

Haack, M.R., & Hoover, A. H. (2002). eds. Strategic Plan for Interdisciplinary Faculty Development: Arming the Nation’s Workforce for a New Approach to Substance Use Disorders, Supplement to Vol. 23, No. 3, September 2002 Substance Abuse (Journal of the Association for Medical Education and Research in Substance Abuse), p. 345.

Hansen, W. ( 2005) Prevention Programs: What Are the Critical Factors That Spell Success? National Conference on Drug Abuse Prevention Research: Presentations, Papers, and Recommendations, accessed on 8/2/2005 http://www.nida.nih.gov/MeetSum/CODA/Critical.html 

Hansen, W.B., and McNeal, R.B. (1996) The law of maximum expected potential effect: Constraints placed on program effectiveness by mediator relationships. Health Education Research, 11(4), 501-507.

Hogan, J.A., Gabrielsen, K.R., Luna, N, Grothaus. (2003) Substance abuse prevention; the intersection of science and practice. Boston, MA:Allyn & Bacon.

Janz NK, Champion VL, Strecher VJ. The Health Belief Model. In: Glanz K, Rimer BK, Lewis FM, editors. Health Behavior and Health Education. Theory, Research and Practice. 3rd ed. San Francisco, CA: Jossey-Bass; 2002. pp 45-66. Last JM,

Littell JH, Girvin H. (2002) Stages of change: A critique. Behavior Modification, 26(2) 223-273.

Matherlee, K (2005) Substance abuse prevention: A patchwork of local policies. Kellogg Foundation, accessed on July 2, 2005, www.wkkf.org

Miilunpalo S., Nupponen R., Laitakari J., Marttila J., Paronen, O. (2000) Stages of change in two modes of health-enhancing physical activity: methodological aspects and promotional implications. Health Education Research Theory & Practice, 15(4), 435- 448.

National Conference on Drug Abuse Prevention Research: Presentations, Papers, and Recommendations

National Survey on Drug Use and Health (2003) Department Of Health And Human Services, Substance Abuse and Mental Health Services Administration, Office of Applied Studies, accessed on 5/3/2005. http://www.oas.samhsa.gov/nhsda/2k3nsduh/2k3Results.htm

NIDA (2005) Preventing Drug Abuse among Children and Adolescents, Accessed on March 20, http://www.drugabuse.gov/Prevention/prevopen.html

Nieuwenhuijsen ER. Health behavior change among office workers: a test of intervention theory. Ann Arbor, MI: UMI Dissertation Services ProQuest; 2003.

Nigg CR, Allegrante JP, Ory M. (2002) Theory-comparison and multiple-behavior research: common themes advancing health behavior research. Health Education Research Theory & Practice, 17(5), 670-679.

Orleans CT. (2000) Promoting the maintenance of health behavior change: recommendations for the next generation of research and practice. Health Psychology, 19(1), 76-83.

Ory MG, Jordan PJ, Bazzarre T. (2000) The Behavior Change Consortium: setting the stage for a new century of health behavior-change research. Health Education Research Theory & Practice, 17(5), 500-511.

Parker K, Parikh SV. (2001) Applying Prochaska's model of change to needs assessment, program planning and outcome measurement. Journal of Evaluation in Clinical Practice, 7(4), 365-371.

Peele, S. (2005) Utilizing culture and behaviour in epidemiological models of alcohol consumption and consequences for Western nation http://alcalc.oxfordjournals.org/cgi/content/abstract/32/1/51, accessed on July 7, 2005

Prochaska JO, Johnson, S, Lee, P. The transtheoretical model of behavior change. In: Shumaker SA, Schron EB, Ockene JK, McBee WL, editors. The Handbook of Health Behavior Change. 2nd ed. New York, NY: Springer Publishing Company; 1998. pp 59-84.

Prochaska JO, Redding CA, Evers KE. (2000) The Transtheoretical Model and Stages of Change. In: Glanz K, Rimer, BK, Lewis FM, editors. Health Behavior and Health Education. Theory, Research, and Practice. 3rd. ed. San Francisco, CA: Jossey-Bass, pp 99-120.

Redding, LL, Rosenbloom, C.A (1994). Stages of change and decisional balance for twelve problem behaviors. Health Psychology, 13(1), 39-46.

Rosenstock IM. (1990) The health belief model: explaining health behavior through expectancies. In: Glanz K, Lewis FM, Rimer BK, editors. Health Behavior and Health Education: Theory Research, and Practice. 1st ed. San Francisco, CA: Jossey-Bass, pp 39-61.

Shumaker SA. (1998) Lifestyle change and adherence issues within specific populations. In: Shumaker SA, Schron EB, Ockene JK, McBee WL, editors. The Handbook of Health Behavior Change. 2nd ed. New York, NY: Springer Publishing Company, pp 331-408.

Shumaker SA, Schron EB, Ockene JK, McBee WL, editors. (1998) The Handbook of Health Behavior Change. 2nd ed. New York, NY: Springer Publishing Company.

Smedley BD, Syme SL, editors. (2000) Promoting health: intervention strategies from social and behavioral research. Washington DC: National Academy Press.

Spasoff RA, Harris SS, Thuriaux MC. (2001) A Dictionary of Epidemiology. New York, NY: Oxford University Press.

Stretcher V, Wang C, Derry H, Wildenhaus K, Johnson C. (2002) Tailored interventions for multiple risk behaviors. Health Education Research Theory & Practice, 17(5), 619-626.

Tarlov A. (1991) Disability in America Towards a National Agenda for Prevention. Washington DC: National Academy Press; 1991.

Tennessee's Youth in Juvenile Justice Facilities: Mental Health, Substance Abuse and Developmental Disability Issues, http://www.state.tn.us/mental/cj/jjmhreport061104.pdf , accessed on July 2, 2005

The Consequences of Illegal Drug Use, Office of national drug control policy, accessed on July 7, 2005 http://www.ncjrs.org/ondcppubs/publications/policy/ndcs00/
chap2_10.html

Wenzel L, Glanz K, Lerman C. (2002) Stress, coping, and health behavior. In: Glanz K, Rimer BK, Lewis FM, editors. Health Behavior and Health Education. Theory, Research and Practice. 3rd ed. San Francisco: Jossey-Bass, pp 210-239.

Williams, S.M., Chapman, J, Lando, (2005) The Role of Public Health in Mental Health Promotion. National Center for Chronic Disease Prevention and Health Promotion, CDC. (2005)

Whitlock EP, Orleans CT, Pender N, Allan J. (2002) Evaluating primary care behavioral counseling interventions. An evidence-based approach. American Journal of Preventive Medicine, 22(4), 267-284

Zimmerman GL, Olsen CG, Bosworth MF. (2000) A 'stages of change' approach to helping patients change behavior. American Family Physician, 61(5), 1409-1416.

Appendix A

Twelve Targets of Prevention Programs

1. Normative Beliefs - Perceptions about the prevalence of drug use among close friends and same-age peers at school and the acceptability of substance use among friends. Perceptions are often exaggerated; teens think drug use is more prevalent and more acceptable than it really is.
2. Lifestyle/Behavior Incongruence - The degree to which the student views substance use as incongruent with personally held current lifestyle and future aspirations. Teens who perceive their desired lifestyle as not fitting with drug use are hypothesized to be protected.
3. Commitment - Personal commitments regarding substance use. Topics include public statements of intentionality (for example, "I have signed my name somewhere to show that I have promised not to use drugs"). Items also assessed a student's private intentions (for example, "I have made a personal commitment to never smoke cigarettes").
4. Beliefs About Consequences - Beliefs about social, psychological, and health consequences, including being part of a group, being less shy, doing embarrassing things in a group, having fun, having bad breath, having health problems, dealing with personal problems, and the probability of getting into trouble.
5. Resistance Skills - Perceived ability to identify and resist pressure to use alcohol, tobacco, and marijuana. This refers to an individual's ability to say "no."
6. Goal-Setting Skills - Application of goal-setting skills and behaviors, including frequently establishing goals, developing strategies for achieving goals, and persistence.
7. Decision Skills - The degree to which teens understand and apply a rational strategy for making decisions.
8. Alternatives - Awareness of and participation in enjoyable activities that do not involve substance use.
9. Self-Esteem - The degree to which teens feel personal worth and perceive themselves to have characteristics that contribute to a positive self-evaluation.
10. Stress Management Skills - Perceived skills for coping with stress, including skills for relaxing as well as for confronting challenging situations.
11. Social Skills - Ability to establish friendships, be assertive with friends, and get along with others.
12. Assistance Skills - The degree to which students believe they are able to give assistance to others who have personal problems. Included in this concept is the ability to find help for oneself when experiencing personal difficulties.

Hansen (1996a) and Hansen and McNeal (1997)

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