HEALTH BEHAVIOR AND HEALTH EDUCATION Theory, Research, and Practice 4TH EDITION PDF

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Glanz.ffirs 7/2/08 11:22 AM Page iii HEALTH BEHAVIOR AND HEALTH EDUCATION Theory, Research, and Practice 4TH EDITION KAREN GLANZ BARBARA K. RIMER K. VISWANATH Editors Foreword by C. Tracy Orleans Glanz.ffirs 7/2/08 11:22 AM Page ii Glanz.ffirs 7/2/08 11:22 AM Page i HEALTH BEHAVIOR AND HEALTH EDUCAT...

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HEALTH BEHAVIOR AND

HEALTH EDUCATION Theory, Research, and Practice 4TH EDITION

KAREN GLANZ BARBARA K. RIMER K. VISWANATH Editors Foreword by C. Tracy Orleans

HEALTH BEHAVIOR AND

HEALTH EDUCATION

HEALTH BEHAVIOR AND

HEALTH EDUCATION Theory, Research, and Practice 4TH EDITION

KAREN GLANZ BARBARA K. RIMER K. VISWANATH Editors Foreword by C. Tracy Orleans

Copyright © 2008 by John Wiley & Sons, Inc. All rights reserved. Published by Jossey-Bass A Wiley Imprint 989 Market Street, San Francisco, CA 94103-1741—www.josseybass.com No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, scanning, or otherwise, except as permitted under Section 107 or 108 of the 1976 United States Copyright Act, without either the prior written permission of the publisher, or authorization through payment of the appropriate per-copy fee to the Copyright Clearance Center, Inc., 222 Rosewood Drive, Danvers, MA 01923, 978-750-8400, fax 978-646-8600, or on the Web at www.copyright.com. Requests to the publisher for permission should be addressed to the Permissions Department, John Wiley & Sons, Inc., 111 River Street, Hoboken, NJ 07030, 201-748-6011, fax 201-748-6008, or online at www. wiley.com/go/permissions. Readers should be aware that Internet Web sites offered as citations and/or sources for further information may have changed or disappeared between the time this was written and when it is read. Limit of Liability/Disclaimer of Warranty: While the publisher and author have used their best efforts in preparing this book, they make no representations or warranties with respect to the accuracy or completeness of the contents of this book and specifi cally disclaim any implied warranties of merchantability or fi tness for a particular purpose. No warranty may be created or extended by sales representatives or written sales materials. The advice and strategies contained herein may not be suitable for your situation. You should consult with a professional where appropriate. Neither the publisher nor author shall be liable for any loss of profi t or any other commercial damages, including but not limited to special, incidental, consequential, or other damages. Jossey-Bass books and products are available through most bookstores. To contact Jossey-Bass directly call our Customer Care Department within the U.S. at 800-956-7739, outside the U.S. at 317-572-3986, or fax 317-572-4002. Jossey-Bass also publishes its books in a variety of electronic formats. Some content that appears in print may not be available in electronic books. Library of Congress Cataloging-in-Publication Data Health behavior and health education : theory, research, and practice / Karen Glanz, Barbara K. Rimer, and K. Viswanath, editors. — 4th ed. p. ; cm. Includes bibliographical references and index. ISBN 978-0-7879-9614-7 (cloth) 1. Health behavior. 2. Health education. 3. Health promotion. I. Glanz, Karen. II. Rimer, Barbara K. III. Viswanath, K. (Kasisomayajula) [DNLM: 1. Health Behavior. 2. Health Education. W 85 H43415 2008] RA776.9.H434 2008 613—dc22 2008021038 Printed in the United States of America FOURTH EDITION

HB Printing 10 9 8 7 6 5 4 3 2 1

CONTENTS Foreword C. Tracy Orleans Tables and Figures Preface The Editors The Contributors

PART ONE: HEALTH EDUCATION AND HEALTH BEHAVIOR: THE FOUNDATIONS ONE: THE SCOPE OF HEALTH BEHAVIOR AND HEALTH EDUCATION The Editors Key Points The Changing Context of Health Behavior Health Education and Health Behavior in Context Settings and Audiences for Health Education Progress in Health Promotion and Health Behavior Research Summary TWO: THEORY, RESEARCH, AND PRACTICE IN HEALTH BEHAVIOR AND HEALTH EDUCATION The Editors Key Points Theory, Research, and Practice: Interrelations What Is Theory? Paradigms for Theory and Research in Health Promotion and Education Trends in Use of Health Behavior Theories and Models Selection of Theories for This Book Fitting a Theory or Theories to Research and Practice Limitations of This Book Summary

xiii xvii xxi xxvii xxxi

1

3 3 6 9 12 16 18

23 23 24 26 29 31 33 35 37 38

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Contents

PART TWO: MODELS OF INDIVIDUAL HEALTH BEHAVIOR

41

Barbara K. Rimer

THREE: THE HEALTH BELIEF MODEL Victoria L. Champion and Celette Sugg Skinner Key Points Origins of the Model Description of HBM and Key Constructs Evidence for the Model’s Performance Measurement of HBM Constructs Applications of the HBM to Mammography and AIDS-Related Behaviors Comparison of HBM to Other Theories Challenges in Future HBM Research Summary FOUR: THEORY OF REASONED ACTION, THEORY OF PLANNED BEHAVIOR, AND THE INTEGRATED BEHAVIORAL MODEL Daniel E. Montaño and Danuta Kasprzyk Key Points Origins and Historical Development Theory of Reasoned Action and Theory of Planned Behavior An Integrated Behavioral Model Elicitation Application of IBM to HIV Prevention in Zimbabwe Summary FIVE: THE TRANSTHEORETICAL MODEL AND STAGES OF CHANGE James O. Prochaska, Colleen A. Redding, and Kerry E. Evers Key Points Core Constructs Applications of the Transtheoretical Model Multiple-Behavior Change Programs Limitations of the Model Future Research Summary

45 45 46 46 50 51 53 60 61 62

67 67 68 70 77 82 82 92

97 97 98 108 114 116 116 117

Contents

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SIX: THE PRECAUTION ADOPTION PROCESS MODEL 123 Neil D. Weinstein, Peter M. Sandman, and Susan J. Blalock Key Points 123 How Stage Theories Address Explaining and Changing Behavior 124 The Precaution Adoption Process Model 126 Using the PAPM to Develop and Evaluate Behavior Change Interventions 131 How Stage Theories Can Be Tested 134 An Example Using Matched and Mismatched Treatments 134 Review of Research Using the PAPM 140 Criteria for Applying Stage-Based Interventions 143 Future Directions 145 Summary 145 SEVEN: PERSPECTIVES ON HEALTH BEHAVIOR THEORIES THAT FOCUS ON INDIVIDUALS Noel T. Brewer and Barbara K. Rimer Key Points Why Theory Is Needed How to Decide Which Theory to Use A Closer Look at Individual-Level Theories Commonalities and Differences Across the Theories New Constructs and Theories Summary

PART THREE: MODELS OF INTERPERSONAL HEALTH BEHAVIOR EIGHT: HOW INDIVIDUALS, ENVIRONMENTS, AND HEALTH BEHAVIORS INTERACT: SOCIAL COGNITIVE THEORY Alfred L. McAlister, Cheryl L. Perry, and Guy S. Parcel Key Points Concepts of SCT Applications to Health Promotion Case Studies New Applications Limitations in Research on New SCT Applications Summary

149 149 150 151 152 157 160 162

167

169 169 170 175 178 182 184 185

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Contents

NINE: SOCIAL NETWORKS AND SOCIAL SUPPORT Catherine A. Heaney and Barbara A. Israel Key Points Definitions and Terminology Background of the Concepts Relationship of Social Networks and Social Support to Health Empirical Evidence on the Influence of Social Relationships Translating Theory and Research into Practice Social Network and Social Support Interventions Health Education and Health Behavior Applications Future Directions for Research and Practice Summary

189

TEN: STRESS, COPING, AND HEALTH BEHAVIOR Karen Glanz and Marc D. Schwartz Key Points Historical Concepts of Health, Stress, and Coping The Transactional Model of Stress and Coping: Overview, Key Constructs, and Empirical Support Theoretical Extensions Applications to Specific Health Behavior Research Areas Research Gaps and Future Directions Summary

211

ELEVEN: KEY INTERPERSONAL FUNCTIONS AND HEALTH OUTCOMES: LESSONS FROM THEORY AND RESEARCH ON CLINICIAN-PATIENT COMMUNICATION Richard L. Street Jr. and Ronald M. Epstein Key Points Communication Between Health Care Providers and Patients: Historical Perspective Pathways Between Clinician-Patient Communication and Health Outcomes Key Functions of Clinician-Patient Communication Moderators of Communication-Outcome Relationships Clinician-Patient Communication: Application in Health Education and Health Behavior Directions for Future Research Summary

189 189 192 193 195 197 199 203 206 207

211 212 213 220 226 229 230

237 237 239 239 245 255 261 263

Contents

TWELVE: PERSPECTIVES ON MODELS OF INTERPERSONAL HEALTH BEHAVIOR K. Viswanath Key Points Some Defining Characteristics of Interpersonal Interaction Theories and Models at the Interpersonal Level Summary and Future Directions

PART FOUR: COMMUNITY AND GROUP MODELS OF HEALTH BEHAVIOR CHANGE

ix 271 271 272 273 279

283

Karen Glanz

THIRTEEN: IMPROVING HEALTH THROUGH COMMUNITY ORGANIZATION AND COMMUNITY BUILDING Meredith Minkler, Nina Wallerstein, and Nance Wilson Key Points Historical Perspective The Concept of Community Models of Community Organization Concepts in Community Organization and Community-Building Practice Community Capacity and Social Capital Issue Selection, Participation, and Relevance Measurement and Evaluation Issues Application of Community Organization and Community Building Community Organizing and Community Building with Youth: Challenges and Considerations The Challenge of Community Organization Approaches Summary FOURTEEN: DIFFUSION OF INNOVATIONS Brian Oldenburg and Karen Glanz Key Points Development of the Field and Related Research Traditions Key Concepts Important Factors in the Diffusion Process The Role of Settings and Organizations in Diffusion of Health Behavior Innovations The Practice of Dissemination and Diffusion of Health Behavior Interventions

287 287 288 290 291 293 295 296 298 300 307 308 309

313 313 314 317 319 321 322

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Contents

Applications Limitations of the Model and Challenges for the Future Summary

FIFTEEN: MOBILIZING ORGANIZATIONS FOR HEALTH PROMOTION: THEORIES OF ORGANIZATIONAL CHANGE Frances Dunn Butterfoss, Michelle C. Kegler, and Vincent T. Francisco Key Points Introduction to Theories of Organizational Change Change Within Organizations Organizational Development Theory Change Across Organizations Applications of Organizational Theory to Health Promotion Future Research to Inform Organizational Change Theories Summary SIXTEEN: COMMUNICATION THEORY AND HEALTH BEHAVIOR CHANGE: THE MEDIA STUDIES FRAMEWORK John R. Finnegan Jr. and K. Viswanath Key Points Organization of Communication Studies Message Production and Media Effects Major Models and Hypotheses at the Individual Level Theories at the Macro Level Planned Use of Media Future Directions Summary SEVENTEEN: PERSPECTIVES ON GROUP, ORGANIZATION, AND COMMUNITY INTERVENTIONS Michelle C. Kegler and Karen Glanz Key Points New Concepts and Strategies for Macro-Level Change Multiple Levels of Influence and Action Models for Change Approaches to Defining Needs, Problems, and Aims The Influence of Technology on Macro-Level Theory and Practice Similarities Between Models Research Issues Summary

323 328 330

335 335 336 338 341 345 350 355 357

363 363 364 365 367 371 379 382 384

389 389 390 391 392 395 396 397 399 400

Contents

PART FIVE: USING THEORY IN RESEARCH AND PRACTICE EIGHTEEN: USING THE PRECEDE-PROCEED MODEL TO APPLY HEALTH BEHAVIOR THEORIES Andrea Carson Gielen, Eileen M. McDonald, Tiffany L. Gary, and Lee R. Bone Key Points Overview of the PRECEDE-PROCEED Model Issues to Consider in Using PRECEDE-PROCEED Case Study: The SAFE Home Project Case Study: Project Sugar 1 Summary

xi 405

407

408 408 417 418 424 429

NINETEEN: SOCIAL MARKETING J. Douglas Storey, Gary B. Saffitz, and Jose G. Rimón Key Points Definition of Social Marketing Basic Principles of Social Marketing The Role of Social Marketing Within a Strategic Communication Framework The Role of Theory and Research in Social Marketing International and Domestic (U.S.) Social Marketing Experiences Summary

435

TWENTY: ECOLOGICAL MODELS OF HEALTH BEHAVIOR James F. Sallis, Neville Owen, and Edwin B. Fisher Key Points Background, History, and Principles of Ecological Models Application of Ecological Models to Health Behavior Critical Examination of Ecological Models of Health Behavior Summary

465

TWENTY-ONE: EVALUATION OF THEORY-BASED INTERVENTIONS Russell E. Glasgow and Laura A. Linnan Key Points Benefits and Challenges of Evaluating Theory-Based Interventions Types of Evaluation Phases of Research

435 436 439 444 448 452 461

465 466 470 479 482

487 487 487 489 490

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Contents

Types of Validity Intervention Contexts and Intermediate Outcomes Evaluation Models The RE-AIM Framework Evaluation Methods and Analytical Strategies for Theory-Based Interventions Cost Issues Examples of Evaluating Theory-Based Interventions Challenges to Conducting and Evaluating Theory-Based Health Behavior Research in Applied Settings Summary

TWENTY-TWO: PERSPECTIVES ON USING THEORY: PAST, PRESENT, AND FUTURE Karen Glanz and Barbara K. Rimer Key Points Cross-Cutting Propositions About Using Theory The PRECEDE-PROCEED Planning Model Social Marketing Ecological Models Evaluation of Theory-Based Health Behavior Interventions Moving Forward Name Index Subject Index

492 493 495 496 498 499 499 503 505

509 509 510 512 513 514 515 516 519 533

FOREWORD C. Tracy Orleans, Ph.D.

Health behavior change is our greatest hope for reducing the burden of preventable disease and death around the world. Tobacco use, sedentary lifestyle, unhealthy diet, and alcohol use together account for almost one million deaths each year in the United States alone. Smoking prevalence in the United States has dropped by half since the first Surgeon General’s Report on Smoking and Health was published in 1964, but tobacco use still causes over 400,000 premature deaths each year. The World Health Organization has warned that the worldwide spread of the tobacco epidemic could claim one billion lives by the end of this century. The rising prevalence of childhood obesity could place the United States at risk of raising the first generation of children to live sicker and die younger than their parents, and the spreading epidemic of obesity among children and adults threatens staggering global health and economic tolls. The four leading behavioral risks factors and a great many others (for example, nonadherence to prescribed medical screening and prevention and disease management practices, risky sexual practices, drug use, family and gun violence, worksite and motor vehicle injuries) take disproportionate tolls in low-income and disadvantaged racial and ethnic populations, as well as in low-resource communities across the world. Addressing these behavioral risks and disparities, and the behaviors related to global health threats, such as flu pandemics, water shortages, increasingly harmful sun exposure, and the need to protect the health of the planet itself, will be critical to world health in the twenty-first century. In the past two decades since the publication of the first edition of Health Education and Health Behavior: Theory, Research, and Practice in 1990, there has been extraordinary growth in our knowledge about interventions needed to change health behaviors at both individual and population levels. This progress can be measured in the proliferation of science-based recommendations issued by authoritative evidence review panels, including the U.S. Clinical Preventive Services Task Force, the Centers for Disease Prevention and Control Task Force on Community Preventive Services, and the international Cochrane Collaboration. Today, there are evidence-based clinical practice guidelines for most major behavioral health risks, including tobacco use, unhealthy diet, sedentary lifestyle, risky drinking, and diabetes management. And there are parallel research-based guidelines for the health care system changes and policies needed to assure their delivery and use. New community practice guidelines offer additional evidence-based recommendations for a wide array of population-level school-, worksite-, and community-based programs and public policies to improve vaccination rates and physical activity levels for children and adults, improve diabetes self-management, reduce harmful sun exposure, reduce secondhand

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Foreword

smoke exposure, prevent youth tobacco use and help adult smokers quit, reduce workplace and motor vehicle injuries, and curb drunk driving and family and gun violence. Another success of the past two decades of theory-based research can be seen in the evolution of theories and models themselves—a move away from a major focus only on individual behavior change and toward broader multi-level behavior and social change models. By the late 1980s, the limited reach and staying power of even our most effective individual health behavior interventions, based on theories emphasizing intrapersonal and interpersonal determinants of health behaviors, made it clear that an exclusive reliance on individually oriented interventions would be inadequate to achieve our pressing population health and health care goals. These failures led to a fundamental “paradigm shift” in our understanding of what the targets of effective interventions needed to be, not just individuals but the broader contexts in which they live and work. This shift fueled the rise of ecological models of health promotion that have guided the development of powerful interventions in public health and health care arenas. Related shifts in the models and strategies of public health and clinical health promotion opened the way for even broader population models that link health plans and community public health organizations, communities, clinicians, and public health practitioners. Examples are the Chronic Care Model promulgated by the Institute of Medicine and the similar framework promoted by the World Health Organization. And these frameworks energized efforts to refine and apply models and theories to translate effective clinical and public health interventions into practice and policy, including the diffusion of innovations model, community and organizational change theories, and social marketing and communications theories. Tremendous parallel gains in what we have learned about the paradigms, processes, methods, and limitations of public health promotion and health care quality improvement over the past two decades illustrate the fundamental premise of this and previous editions of Health Behavior and Health Education—that a dynamic exchange between theory, research, and practice is critical to effective health education and promotion. Just as previous editions of Health Behavior and Health Education have provided essential stewardship for many of the advances described here, this fourth edition will help us navigate the new frontiers and challenges that lie ahead. As this volume makes clear, using theory to craft and evaluate health behavior change interventions results in more powerful interventions and more robust theories. Like the previous editions, it presents in one place authoritative and highly readable summaries and critiques of the major theories and models of health education at multiple levels (individual, interpersonal, organizational, community, public policy) and in a wide variety of se...