Here is a research tip We write the theory into a separate sectio

Here is a research tip: We write the theory into a separate
section in a research proposal so that readers can clearly
identify the theory from other components. Such a separate
passage provides a complete explication of the theory section,
its use, and how it relates to the study.
Writing a Quantitative Theoretical Perspective
Using these ideas, the following presents a model for writing a
quantitative theoretical perspective section into a research plan.
Assume that the task is to identify a theory that explains the
relationship between independent and dependent variables.
Look in the discipline-based literature for a theory. If the unit
of analysis for variables is an individual, look in the psychology
literature; to study groups or organizations, look in the
sociological literature. If the project examines individuals and
groups, consider the social psychology literature. Of course,
theories from other disciplines may be useful, too (e.g., to study
an economic issue, the theory may be found in economics).
Examine also prior studies that address the topic or a closely
related topic. What theories did the authors use? Limit the
number of theories and try to identify one overarching theory
that explains the central hypothesis or major research question.
As mentioned earlier, ask the rainbow question that bridges the
independent and dependent variables: What explains why the
independent variable(s) would influence the dependent
variables?
Script out the theory section. Follow these lead sentences: “The
theory that I will use is _____ (name the theory). It was
developed by _____ (identify the origin, source, or developer of
the theory), and it was used to study _____ (identify the topics
where one finds the theory being applied). This theory indicates
that _____ (identify the propositions or hypotheses in the

theory). As applied to my study, this theory holds that I would
expect my independent variable(s) _____ (state independent
variables) to influence or explain the dependent variable(s)
_____ (state dependent variables) because _____ (provide a
rationale based on the logic of the theory).”
Thus, the topics to include in a quantitative theory discussion
are the theory to be used, its central hypotheses or propositions,
information about past use of the theory and its application, and
statements that reflect how it relates to a proposed study.
Example 3.1, which contains a passage by Crutchfield (1986)
from her dissertation, illustrates the use of this model.
Theory
at a
Glance
A Guide For Health Promotion Practice
(Second Edition)
U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES
National Institutes of Health
Foreword

A
decade ago, the first edition of Theory at a Glance was
published. The guide was
a welcome resource for public health practitioners seeking a
single, concise
summary of health behavior theories that was neither
overwhelming nor superficial.
As a government publication in the public domain, it also
provided cash-strapped
health departments with access to a seminal integration of
scholarly work that was useful to
program staff, interns, and directors alike. Although they were
not the primary target audience,
members of the public health research community also utilized
Theory at a Glance, both as
a quick desk reference and as a primer for their students.
The National Cancer Institute is pleased to sponsor the
publication of this guide, but its
relevance is by no means limited to cancer prevention and
control. The principles described
herein can serve as frameworks for many domains of public
health intervention,
complementing focused evidence reviews such as Centers for
Disease Control and
Prevention’s Guide to Community Preventive Services. This
report also complements a
number of other efforts by NCI and our federal partners to
facilitate more rigorous testing
and application of health behavior theories through training
workshops and the development
of new Web-based resources.
One reason theory is so useful is that it helps us articulate
assumptions and hypotheses

concerning our strategies and targets of intervention. Debates
among policymakers
concerning public health programs are often complicated by
unspoken assumptions or
confusion about which data are relevant. Theory can inform
these debates by clarifying key
constructs and their presumed relationships. Especially when
the evidence base is small,
advocates of one approach or another can be challenged to
address the mechanisms by
which a program is expected to have an impact. By specifying
these alternative pathways to
change, program evaluations can be designed to ensure that
regardless of the outcome,
improvements in knowledge, program design, and
implementation will occur.
I am pleased to introduce this second edition of Theory at a
Glance. I am especially
impressed that the lead authors, Dr. Barbara K. Rimer and Dr.
Karen Glanz, have enhanced
and updated it throughout without diminishing the clarity and
efficiency of the original. We
hope that this new edition will empower another generatio n of
public health practitioners to
apply the same conceptual rigor to program planning and design
that these authors exemplify
in their own research and practice.
Robert T. Croyle, Ph.D.
Director
Division of Cancer Control and Population Sciences
National Cancer Institute

Spring 2005
Acknowledgements
The National Cancer Institute would like to thank Barbara
Rimer Dr.P.H. and
Karen Glanz Ph.D., M.P.H., authors of the original monograph,
whose knowledge of
healthcommunications theory and practice have molded a
generation of health promotion
practitioners. Both have provided hours of review and
consultation, and we are grateful to
them for their contributions.
Thanks to the staffs of the Office of Communications,
particularly Margaret Farrell,
and the Division of Cancer Control and Population Sciences and
Kelly Blake, who guided
this monograph to completion. We appreciate in particular the
work of Karen Harris,
whose attention to detail and commitment to excellence
enhanced the monograph’s
content and quality.
Tables and Figures
Table of Contents
Introduction viii

Audience and Purpose 1
Contents 1
Part 1: Foundations of Theory in Health Promotion and Health
Behavior 3
Why Is Theory Important to Health Promotion and Health
Behavior Practice? 4
What Is Theory? 4
How Can Theory Help Plan Effective Programs? 4
Explanatory Theory and Change Theory 5
Fitting Theory to the Field of Practice 5
Using Theory to Address Health Issues in Diverse Populations 7
Part 2: Theories and Applications 9
The Ecological Perspective: A Multilevel, Interactive Approach
10
Theoretical Explanations of Three Levels of Influence 12
Individual or Intrapersonal Level 12

Health Belief Model 13
Stages of Change Model 15
Theory of Planned Behavior 16
Precaution Adoption Process Model 18
Interpersonal Level 19
Social Cognitive Theory 19
Community Level 22
Community Organization and Other Participatory Models 23
Diffusion of Innovations 27
Communication Theory 29
Media Effects 30
Agenda Setting 30
New Communication Technologies 31
Part 3: Putting Theory and Practice Together 35

Planning Models 36
Social Marketing 36
PRECEDE-PROCEED 39
Where to Begin: Choosing the Right Theories 43
A Few Final Words 44
Sources 48
References 49
Table 1
Table 2
Table 3
Table 4
Table 5
Table 6
Table 7
Table 8

Table 9
Table 10
Table 11
Figure 1
Figure 2
Figure 3
Figure 4
Figure 5
Figure 6
Figure 7
Figure 8
Figure 9
Figure 10
Tables
An Ecological Perspective: Levels of Influence 11

Community Organization 24
Concepts in Diffusion of Innovations 27
Key Attributes Affecting the Speed and Extent of an
Innovation’s Diffusion 28
Agenda Setting, Concepts, Definitions, and Applications 31
Diagnostic Elements of PRECEDE-PROCEED 42
Summary of Theories: Focus and Key Concepts 45
Figures
Using Explanatory Theory and Change Theory to Plan and
Evaluate Programs 6
A Multilevel Approach to Epidemiology 10
Theory of Reasoned Action and Theory of Planned Behavior 18
Stages of the Precaution Adoption Process Model 19

An Integrative Model 21
Sociocultural Environment Logic Framework 26
An Asthma Self-Management Video Game for Children 33
Social Marketing Wheel 38
The PRECEDE-PROCEED Model 40
Using Theory to Plan Multilevel Interventions 46
viii
T
H
E
O
R
Y
A
T
A
G

L A
N
C
E
Introduction
T
his monograph, Theory at a Glance: Application to Health
Promotion and Health
Behavior (Second Edition), describes influential theories of
health-related behaviors,
processes of shaping behavior, and the effects of community
and environmental
factors on behavior. It complements existing resources that
offer tools, techniques,
and model programs for practice, such as Making Health
Communication Programs Work:
A Planner’s Guide, i and the Web portal, Cancer Control
PLANET (Plan, Link, Act, Network
with Evidence-based Tools).ii Theory at a Glance makes health
behavior theory accessible
and provides tools to solve problems and assess the
effectiveness of health promotion
programs. (For the purposes of this monograph, health
promotion is broadly defined as the
process of enabling people to increase control over, and to
improve, their health. Thus, the
focus goes beyond traditional primary and secondary prevention
programs.)

For nearly a decade, public health and health care practitioners
have consulted the original
version of Theory at a Glance for guidance on using theories
about human behavior to inform
program planning, implementation, and evaluation. We have
received many testimonials
about the First Edition’s usefulness, and requests for additional
copies. This updated edition
includes information from recent health behavior research and
suggests theoretical
approaches to developing programs for diverse populations.
Theory at a Glance can be
used as a stand-alone handbook, as part of in-house staff
development programs, or in
conjunction with theory texts and continuing education
workshops.
For easy reference, the monograph includes only a small number
of current and applicable
health behavior theories. The theories reviewed here are widely
used for the purposes of
cancer control, defining risk, and segmenting populations. Much
of the content for this
publication has been adapted from the third edition of Glanz,
Rimer, and Lewis’ Health
Behavior and Health Education: Theory, Research, and Practice,
1 published by Jossey-Bass
in San Francisco. Readers who want to learn more about useful
theories for health behavior
change and health education practice can consult this and other
sources that are
recommended in the References section at the end of the
monograph.
i Making Health Communication Programs Work
(http://www.nci.nih.gov/pinkbook/) describes a practical

approach for planning and implementing health communication
efforts.
ii Cancer Control PLANET
(http://cancercontrolplanet.cancer.gov) provides access to data
and resources
that can help planners, program staff, and researchers to design,
implement, and evaluate evidence-based
cancer control programs.
Audience and Purpose
This monograph is written primarily for public health workers
in state and local health
agencies; it is also valuable for health promotion practitioners
and volunteers who work in
voluntary health agencies, community organizations, health care
settings, schools, and the
private sector.
Interventions based on health behavior theory are not
guaranteed to succeed, but they are
much more likely to produce desired outcomes. Theory at a
Glance is designed to help users
understand how individuals, groups, and organizations behave
and change—knowledge they
can use to design effective programs. For information about
specific, evidence-based
interventions to promote health and prevent disease, readers
may also wish to consult the
Guide to Community Preventive Services, published by the
Centers for Disease Control and
Prevention (CDC) at www.thecommunityguide.org.
Contents

This monograph consists of three parts. For each theory, the
text highlights key concepts
and their applications. These summaries may be used as
“checklists” of important issues to
consider when planning or evaluating programs or to prompt
project teams to think about the
range of factors that influence health behavior.
Part 1. Foundations of Theory in Health Promotion and Health
Behavior describes ways that
theories and models can be useful in health behavior/health
promotion practice and
provides basic definitions.
Part 2. Theories and Applications presents an ecological
perspective on health
behavior/health promotion programs. It describes eight theories
and models that
explain individual, interpersonal, and community behavior and
offers approaches to
solving problems. A brief description of each theory is followed
by definitions of key
concepts and examples or case studies. The section also
explores the use of new
communication technologies.
Part 3. Putting Theory and Practice Together explains how
theory can be used in health
behavior/health promotion program planning, implementation,
and evaluation.
Two comprehensive planning models, PRECEDE-PROCEED
and social marketing,
are reviewed.
1

IN
TR
O
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E
http:www.thecommunityguide.org
http:http://cancercontrolplanet.cancer.gov
http://www.nci.nih.gov/pinkbook
http:Tools).ii

Foundations of Theory
in Health Promotion
and Health BehaviorPart 1
3
PA
R
T 1
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E

4
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E
Why Is Theory Important to
Health Promotion and Health
Behavior Practice?
Effective public health, health promotion,

and chronic disease management programs
help people maintain and improve health,
reduce disease risks, and manage chronic
illness. They can improve the well-being
and self-sufficiency of individuals, families,
organizations, and communities. Usually,
such successes require behavior change at
many levels, (e.g., individual, organizational,
and community).
Not all health programs and initiatives are
equally successful, however. Those most
likely to achieve desired outcomes are
based on a clear understanding of targeted
health behaviors, and the environmental
context in which they occur. Practitioners
use strategic planning models to develop
and manage these programs, and
continually improve them through
meaningful evaluation. Health behavior
theory can play a critical role throughout
the program planning process.
What Is Theory?
A theory presents a systematic way of
understanding events or situations. It is a
set of concepts, definitions, and propositions
that explain or predict these events or
situations by illustrating the relationships
between variables. Theories must be
applicable to a broad variety of situations.
They are, by nature, abstract, and don’t
have a specified content or topic area.
Like empty coffee cups, theories have
shapes and boundaries, but nothing inside.

They become useful when filled with
practical topics, goals, and problems.
• Concepts are the building blocks—the
primary elements—of a theory.
• Constructs are concepts developed or
adopted for use in a particular theory.
The key concepts of a given theory are
its constructs.
• Variables are the operational forms of
constructs. They define the way a
construct is to be measured in a specific
situation. Match variables to constructs
when identifying what needs to be
assessed during evaluation of a theory-
driven program.
• Models may draw on a number of theories
to help understand a particular problem in
a certain setting or context. They are not
always as specified as theory.
Most health behavior and health promotion
theories were adapted from the social and
behavioral sciences, but applying them to
health issues often requires that one be
familiar with epidemiology and the biological
sciences. Health behavior and health
promotion theories draw upon various
disciplines, such as psychology, sociology,
anthropology, consumer behavior, and
marketing. Many are not highly developed
or have not been rigorously tested. Because
of this, they often are called conceptual

frameworks or theoretical frameworks; here
the terms are used interchangeably.
How Can Theory Help Plan
Effective Programs?
Theory gives planners tools for moving
beyond intuition to design and evaluate
health behavior and health promotion
interventions based on understanding of
behavior. It helps them to step back and
consider the larger picture. Like an artist,
a program planner who grounds health
interventions in theory creates innovative
ways to address specific circumstances.
He or she does not depend on a “paint-by-
numbers” approach, re-hashing stale ideas,
but uses a palette of behavior theories,
skillfully applying them to develop unique,
tailored solutions to problems.
Using theory as a foundation for program
planning and development is consistent with
the current emphasis on using evidence-
based interventions in public health,
behavioral medicine, and medicine. Theory
provides a road map for studying problems,
developing appropriate interventions, and
evaluating their successes. It can inform the
planner’s thinking during all of these stages,
offering insights that translate into stronger
programs. Theory can also help to explain
the dynamics of health behaviors, including
processes for changing them, and the
influences of the many forces that affect

health behaviors, including social and
physical environments. Theory can also help
planners identify the most suitable target
audiences, methods for fostering change,
and outcomes for evaluation.
Researchers and practitioners use theory
to investigate answers to the questions of
“why,” “what,” and “how” health problems
should be addressed. By seeking answers
to these questions, they clarify the nature
of targeted health behaviors. That is, theory
guides the search for reasons why people
do or do not engage in certain health
behaviors; it helps pinpoint what planners
need to know before they develop public
health programs; and it suggests how to
devise program strategies that reach target
audiences and have an impact. Theory also
helps to identify which indicators should be
monitored and measured during program
evaluation. For these reasons, program
planning, implementation, and monitoring
processes based in theory are more likely
to succeed than those developed without
the benefit of a theoretical perspective.
Explanatory Theory and
Change Theory
Explanatory theory describes the reasons
why a problem exists. It guides the search
for factors that contribute to a problem (e.g.,
a lack of knowledge, self-efficacy, social
support, or resources), and can be changed.

Examples of explanatory theories include
the Health Belief Model, the Theory of
Planned Behavior, and the Precaution
Adoption Process Model.
Change theory guides the development of
health interventions. It spells out concepts
that can be translated into program
messages and strategies, and offers a basis
for program evaluation. Change theory
helps program planners to be explicit about
their assumptions for why a program will
work. Examples of change theories include
Community Organization and Diffusion of
Innovations. Figure 1. illustrates how
explanatory theory and change theory can
be used to plan and evaluate programs.
Fitting Theory to the Field of Practice
This monograph includes descriptions and
applications of some theories that are
central to health behavior and health
promotion practice today. No single theory
dominates health education and promotion,
nor should it; the problems, behaviors,
populations, cultures, and contexts of public
health practice are broad and varied. Some
theories focus on individuals as the unit of
change. Others examine change within
families, institutions, communities, or
cultures. Adequately addressing an issue
may require more than one theory, and no
one theory is suitable for all cases.
5

PA
R
T 1
F O
U
N
D
A
T
I O
N
S
O
F A
P
P
LY
I N
G
T
H
E
O
R

Y
I N
H
E
A
LT
H
P
R
O
M
O
T
I O
N
P
R
A
C
T
I C
E

6
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E
Fig
Explanatory
Theory
Why?
What can
be changed?

ure 1. Using Explanatory Theory and Change Theory to Plan
and Evaluate Programs
Evaluation
ChangeTheory
Problem
Behavior Which strategies?
Which messages? or
Assumptions about
Situation how a program
should work
Planning
A Good Fit:
Characteristics of a Useful Theory
A useful theory makes assumptions about
a behavior, health problem, target
population, or environment that are:
• Logical;
• Consistent with everyday observations;
• Similar to those used in previous
successful programs; and
• Supported by past research in the same
area or related ideas.
Using Theory to Address Health

Issues in Diverse Populations
The U.S. population is growing more
culturally and ethnically diverse. An
increasing body of research shows health
disparities exist among various ethnic and
socio-economic groups. These findings
highlight the importance of understanding
Because the social context in which
behavior occurs is always evolving, theories
that were important in public health
education a generation ago may be of
limited use today. At the same time, new
social science research allows theorists to
refine and adapt existing theories. A recent
Institute of Medicine report2 observed that
several theorists have converged in their
views, identifying several variables as
central to behavior change. As a result,
some constructs, such as self-efficacy, are
central to multiple theories.
Effective practice depends on using
theories and strategies that are appropriate
to a situation.
One of the greatest challenges for those
concerned with behavior change is learning
to analyze how well a theory or model “fits”
a particular issue. A working knowledge of
specific theories, and familiarity with how
they have been applied in the past,
improves skills in this area. Selecting an
appropriate theory or combination of

theories helps take into account the multiple
factors that influence health behaviors.
The practitioner who uses theory develops a
nuanced understanding of realistic program
outcomes that drives the planning process.
Choosing a theory that will bring a useful
perspective to the problem at hand does not
begin with a theory (e.g., the most familiar
theory, the theory mentioned in a recent
journal article, etc.). Instead, this process
starts with a thorough assessment of the
situation: the units of analysis or change,
the topic, and the type of behavior to be
addressed. Because different theoretical
frameworks are appropriate and practical for
different situations, selecting a theory that
“fits” should be a careful, deliberate process.
Start with the steps in the box at the top of
the next page.
the cultural backgrounds and life
experiences of community members, though
research has not yet established when and
under what circumstances targeted or
tailored health communications are more
effective than generic ones. (Targeting
involves using information about shared
characteristics of a population subgroup to
create a single intervention approach for
that group. In contrast, tailoring is a process
that uses an assessment to derive
information about one specific person, and
then offers change or information strategies
for an outcome of interest based on that
person’s unique characteristics.)3

Most health behavior theories can be
applied to diverse cultural and ethnic
groups, but health practitioners must
understand the characteristics of target
populations (e.g., ethnicity, socioeconomic
status, gender, age, and geographical
location) to use these theories correctly.
There are several reasons why culture and
ethnicity are critical to consider when
applying theory to a health problem. First,
morbidity and mortality rates for different
diseases vary by race and ethnicity; second,
there are differences in the prevalence of
risk behaviors among these groups; and
third, the determinants of health behaviors
vary across racial and ethnic groups.
What People in the Field Say About Theory
“Theory is different from most of the tools
I use in my work. It’s more abstract, but
that can be a plus too. A solid grounding
in a handful of theories goes a long way
toward helping me think through why I
approach a health problem the way I do.”
— County Health Educator
“I used to think theory was just for
students and researchers. But now I have
a better grasp of it; I appreciate how
practical it can be.”
— State Chronic Disease Administrator

“By translating concepts from theory
into real-world terms, I can get my staff
and community volunteers to take a closer
look at why we’re conducting programs
the way we do, and how they can succeed
or fail.”
— City Tobacco Control Coordinator
“A good grasp of theory is essential for
leadership. It gives you a broader way
of viewing your work. And it helps create
a vision for the future. But, of course, it’s
only worthwhile if I can translate it clearly
and simply to my co-workers.”
— Regional Health Promotion Chief
“It’s not as hard as I thought it would be
to keep up with current theories. More
than ever these days, there are tools and
workshops to update us often.”
— Patient Education Coordinator
7
PA
R
T 1
F O
U
N

D
A
T
I O
N
S
O
F A
P
P
LY
I N
G
T
H
E
O
R
Y
I N
H
E
A
LT

H
P
R
O
M
O
T
I O
N
P
R
A
C
T
I C
E
Part 2
Theories and Applications
9
PA

R
T 2
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E
The Ecological Perspective: A interactions with their physical
and socio-
cultural environments. Two key concepts Multilevel, Interactive
Approach
of the ecological perspective help to identify

intervention points for promoting health:Contemporary health
promotion involves
first, behavior both affects, and is affected
Concept Definition
Intrapersonal Level Individual characteristics that influence
behavior, such as
knowledge, attitudes, beliefs, and personality traits
Interpersonal Level Interpersonal processes and primary groups,
including
family, friends, and peers that provide social identity,
support, and role definition
Community Level
Institutional Factors
Rules, regulations, policies, and informal structures, which
may constrain or promote recommended behaviors
Community Factors
Social networks and norms, or standards, which exist as
formal or informal among individuals, groups, and
organizations
Public Policy Local, state, and federal policies and laws that
regulate
or support healthy actions and practices for disease
prevention, early detection, control, and management
by, multiple levels of influence; second,
Table 1. An Ecological Perspective: Levels of Influence
more than simply educating individuals

about healthy practices. It includes efforts
individual behavior both shapes, and isto change organizational
behavior, as well
11
PA
R
T 2
T
H
E
O
R
I E
S
A
N
D
A
P
P
L I C
A
T
I O

N
S
shaped by, the social environment as the physical and social
environment of
communities. It is also about developing and (reciprocal
causation).
advocating for policies that support health,
such as economic incentives. Health
promotion programs that seek to address
health problems across this spectrum
employ a range of strategies, and operate
on multiple levels.
The ecological perspective emphasizes the
interaction between, and interdependence
of, factors within and across all levels of a
health problem. It highlights people’s
To explain the first key concept of the
ecological perspective, multiple levels of
influence, McLeroy and colleagues (1988)4
identified five levels of influence for health-
related behaviors and conditions. Defined
in Table 1., these levels include: (1)
intrapersonal or individual factors; (2)
interpersonal factors; (3) institutional or
organizational factors; (4) community
factors; and (5) public policy factors.
10

T
H
E
O
R
Y
A
T
A
G
L A
N
C
E
Figure 2. A Multilevel Approach to Epidemiology
Social and Economic Policies
Institutions
Neighborhoods and Communities
Living Conditions
Social Relationships
Individual Risk Factors

Pathophysiological
Pathways
Individual/Population
Health
Genetic/Constitutional
Factors
Envir
onm
ent
Li
fe
co
ur
se
In practice, addressing the community level
requires taking into consideration
institutional and public policy factors, as well
as social networks and norms. Figure 2.
illustrates how different levels of influence
combine to affect population health.
Each level of influence can affect health
behavior. For example, suppose a woman
delays getting a recommended
mammogram (screening for breast cancer).
At the individual level, her inaction may be

due to fears of finding out she has cancer.
At the interpersonal level, her doctor may
neglect to tell her that she should get the
test, or she may have friends who say they
do not believe it is important to get a
mammogram. At the organizational level,
it may be hard to schedule an appointment,
because there is only a part-time radiologist
at the clinic. At the policy level, she may
lack insurance coverage, and thus be
unable to afford the fee. Thus, the outcome,
the woman’s failure to get a mammogram,
may result from multiple factors.
The second key concept of an ecological
perspective, reciprocal causation, suggests
that people both influence, and are
influenced by, those around them. For
example, a man with high cholesterol may
find it hard to follow the diet his doctor has
prescribed because his company cafeteria
doesn’t offer healthy food choices. To
comply with his doctor’s instructions, he can
try to change the environment by asking the
cafeteria manager to add healthy items to
the menu, or he can dine elsewhere. If he
and enough of his fellow employees decide
to find someplace else to eat, the cafeteria
may change its menu to maintain lunch
business. Thus, the cafeteria environment
may compel this man to change his dining
habits, but his new habits may ultimately
bring about change in the cafeteria as well.

Source: Smedley BD, Syme SL (eds.), Institute of Medicine.
Promoting Health: Strategies from Social and Behavioral
Research. Washington, D.C.:, National Academies Press, 2000.
12
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E
An ecological perspective shows the
advantages of multilevel interventions that
combine behavioral and environmental

components. For instance, effective
tobacco control programs often use
multiple strategies to discourage smoking.5
Employee smoking cessation clinics have
a stronger impact if the workplace has a
no-smoking policy and the city has a clean
indoor air ordinance. Adolescents are
less likely to begin smoking if their
peers disapprove of the habit and laws
prohibiting tobacco sales to minors
are strictly enforced. Health promotion
programs are more effective when
planners consider multiple levels of
influence on health problems.
Theoretical Explanations of Three
Levels of Influence
The next three sections examine
theories and their applications at the
individual (intrapersonal), interpersonal,
and community levels of the ecological
perspective. At the individual and
interpersonal levels, contemporary theories
of health behavior can be broadly
categorized as “Cognitive-Behavioral.”
Three key concepts cut across
these theories:
1. Behavior is mediated by cognitions; that
is, what people know and think affects
how they act.
2. Knowledge is necessary for, but not
sufficient to produce, most behavior

changes.
3. Perceptions, motivations, skills, and
the social environment are key influences
on behavior.
Community-level models offer frameworks
for implementing multi-dimensional
approaches to promote healthy behaviors.
They supplement educational approaches
with efforts to change the social and
physical environment to support positive
behavior change.
Individual or Intrapersonal Level
The individual level is the most basic one
in health promotion practice, so planners
must be able to explain and influence the
behavior of individuals. Many health
practitioners spend most of their work time
in one-on-one activities such as counseling
or patient education, and individuals are
often the primary target audience for health
education materials. Because individual
behavior is the fundamental unit of group
behavior, individual-level behavior change
theories often comprise broader-level
models of group, organizational, community,
and national behavior. Individuals participate
in groups, manage organizations, elect and
appoint leaders, and legislate policy. Thus,
achieving policy and institutional change
requires influencing individuals.
In addition to exploring behavior, individual-

level theories focus on intrapersonal factors
(those existing or occurring within the
individual self or mind). Intrapersonal
factors include knowledge, attitudes,
beliefs, motivation, self-concept,
developmental history, past experience,
and skills. Individual-level theories are
presented below.
• The Health Belief Model (HBM) addresses
the individual’s perceptions of the threat
posed by a health problem (susceptibility,
severity), the benefits of avoiding the
threat, and factors influencing the
decision to act (barriers, cues to action,
and self-efficacy).
• The Stages of Change (Transtheoretical)
Model describes individuals’ motivation
and readiness to change a behavior.
• The Theory of Planned Behavior (TPB)
examines the relations between an
individual’s beliefs, attitudes, intentions,
behavior, and perceived control over
that behavior.
• The Precaution Adoption Process Model
(PAPM) names seven stages in an
individual’s journey from awareness to
action. It begins with lack of awareness
and advances through subsequent stages
of becoming aware, deciding whether
or not to act, acting, and maintaining
the behavior.

Health Belief Model (HBM)
The Health Belief Model (HBM) was one
of the first theories of health behavior, and
remains one of the most widely recognized
in the field. It was developed in the 1950s
by a group of U.S. Public Health Service
social psychologists who wanted to explain
why so few people were participating in
programs to prevent and detect disease.
For example, the Public Health Service was
sending mobile X-ray units out to
neighborhoods to offer free chest X-rays
(screening for tuberculosis). Despite the fact
that this service was offered without charge
in a variety of convenient locations, the
program was of limited success. The
question was, “Why?”
To find an answer, social psychologists
examined what was encouraging or
discouraging people from participating in
the programs. They theorized that people’s
beliefs about whether or not they were
susceptible to disease, and their
perceptions of the benefits of trying to
avoid it, influenced their readiness to act.
In ensuing years, researchers expanded
upon this theory, eventually concluding that
six main constructs influence people’s
decisions about whether to take action to
prevent, screen for, and control illness. They
argued that people are ready to act if they:
• Believe they are susceptible to the
condition (perceived susceptibility)

• Believe the condition has serious
consequences (perceived severity)
• Believe taking action would reduce their
susceptibility to the condition or its severity
(perceived benefits)
• Believe costs of taking action (perceived
barriers) are outweighed by the benefits
• Are exposed to factors that prompt action
(e.g., a television ad or a reminder from
one’s physician to get a mammogram)
(cue to action)
• Are confident in their ability to successfully
perform an action (self-efficacy)
Since health motivation is its central focus,
the HBM is a good fit for addressing
problem behaviors that evoke health
concerns (e.g., high-risk sexual behavior
and the possibility of contracting HIV).
Together, the six constructs of the HBM
provide a useful framework for designing
both short-term and long-term behavior
change strategies. (See Table 2.) When
applying the HBM to planning health
programs, practitioners should ground their
efforts in an understanding of how
susceptible the target population feels to the
health problem, whether they believe it is
serious, and whether they believe action
can reduce the threat at an acceptable cost.
Attempting to effect changes in these factors

is rarely as simple as it may appear.
13
PA
R
T 2
T
H
E
O
R
I E
S
A
N
D
A
P
P
L I C
A
T
I O
N
S

Table 2. Health Belief Model
Stages of Change (Transtheoretical) Model of change.
Nonetheless, the manner in
Developed by Prochaska and DiClemente,6 which they pass
through these stages may
the Stages of Change Model evolved out vary, depending on the
type of behavior
of studies comparing the experiences of change. For example, a
person who is tryingConcept Definition Potential Change
Strategies
Perceived Beliefs about the chances • Define what
populations(s) are at risk and
susceptibility of getting a condition their levels of risk
• Tailor risk information based on an
individual’s characteristics or behaviors
• Help the individual develop an accurate
perception of his or her own risk
Perceived severity Beliefs about the • Specify the
consequences of a condition
seriousness of a condition and recommended action
and its consequences
Perceived benefits Beliefs about the • Explain how, where,
and when to take

effectiveness of taking action and what the potential positive
action to reduce risk or results will be
seriousness
Perceived barriers Beliefs about the material • Offer
reassurance, incentives, and
and psychological costs assistance; correct misinformation
of taking action
Cues to action Factors that activate • Provide ”how to”
information, promote
”readiness to change” awareness, and employ reminder systems
Self-efficacy Confidence in one’s ability • Provide training and
guidance in
to take action performing action
• Use progressive goal setting
• Give verbal reinforcement
• Demonstrate desired behaviors
smokers who quit on their own with those
of smokers receiving professional treatment.
The model’s basic premise is that behavior
change is a process, not an event. As a
person attempts to change a behavior, he
or she moves through five stages:
precontemplation, contemplation,
preparation, action, and maintenance (see
Table 3.). Definitions of the stages vary
slightly, depending on the behavior at issue.
People at different points along this
continuum have different informational
needs, and benefit from interventions
designed for their stage.

Whether individuals use self-management
methods or take part in professional
programs, they go through the same stages
Table 3. Stages of Change Model
to give up smoking may experience the
stages differently than someone who is
seeking to improve their dietary habits by
eating more fruits and vegetables.
The Stages of Change Model has been
applied to a variety of individual behaviors,
as well as to organizational change. The
Model is circular, not linear. In other words,
people do not systematically progress from
one stage to the next, ultimately
“graduating” from the behavior change
process. Instead, they may enter the
change process at any stage, relapse to
an earlier stage, and begin the process
once more. They may cycle through this
process repeatedly, and the process can
truncate at any point.
15
PA
R
T 2
T
H
E

O
R
I E
S
A
N
D
A
P
P
L I C
A
T
I O
N
S
14
T
H
E
O
R
Y

A
T
A
G
L A
N
C
E
Stage Definition Potential Change Strategies
Precontemplation Has no intention of taking
action within the next
six months
Increase awareness of need for change;
personalize information about risks
and benefits
Contemplation Intends to take action in
the next six months
Motivate; encourage making specific plans
Preparation Intends to take action
within the next thirty
days and has taken some
behavioral steps in
this direction
Assist with developing and implementing
concrete action plans; help set

gradual goals
Action Has changed behavior for
less than six months
Assist with feedback, problem solving,
social support, and reinforcement
Maintenance Has changed behavior for
more than six months
Assist with coping, reminders, finding
alternatives, avoiding slips/relapses
(as applicable)
High blood pressure screening campaigns often identify people
who are at high risk for heart
disease and stroke, but who say they have not experienced any
symptoms. Because they don’t
feel sick, they may not follow instructions to take prescribed
medicine or lose weight. The
HBM can be useful for developing strategies to deal with
noncompliance in such situations.
According to the HBM, asymptomatic people may not follow a
prescribed treatment regimen
unless they accept that, though they have no symptoms, they do
in fact have hypertension
(perceived susceptibility). They must understand that
hypertension can lead to heart attacks
and strokes (perceived severity). Taking prescribed medication
or following a recommended
weight loss program will reduce the risks (perceived benefits)
without negative side effects
or excessive difficulty (perceived barriers). Print materials,
reminder letters, or pill calendars

might encourage people to consistently follow their doctors’
recommendations (cues to
action). For those who have, in the past, had a hard time losing
weight or maintaining
weight loss, a behavioral contract might help establish
achievable, short-term goals to build
confidence (self-efficacy).
Suppose a large company hires a health educator to plan a
smoking cessation program
for its employees who smoke (200 people). The health educator
decides to offer group
smoking cessation clinics to employees at various times and
locations. Several months
pass, however, and only 50 of the smokers sign up for the
clinics. At this point, the
health educator faces a dilemma: how can the 150 smokers who
are not participating
in the clinics be reached?
The Stages of Change Model offers perspective on ways to
approach this problem. First,
the model can be employed to help understand and explain why
they are not attending
the clinics. Second, it can be used to develop a comprehensive
smoking program to help
more current and former smokers change their smoking
behavior, and maintain that
change. By asking a few simple questions, the health educator
can assess what stages
of contemplation potential program participants are in. For

example:
• Are you interested in trying to quit smoking? (Pre-
contemplation)
• Are you thinking about quitting smoking soon?
(Contemplation)
• Are you ready to plan how you will quit smoking?
(Preparation)
• Are you in the process of trying to quit smoking? (Action)
• Are you trying to stay smoke-free? (Maintenance)
The employees’ responses will help to pinpoint where the
participants are on the
continuum of change, and to tailor messages, strategies, and
programs appropriate to
their needs. For example, individuals who enjoy smoking are
not interested in trying to
quit, and therefore will not attend a smoking cessation clinic;
for them, a more
appropriate intervention might include educational interventions
designed to move
them out of the “precontemplation” stage and into
“contemplation” (e.g., using carbon
monoxide testing to demonstrate the effect of smoking on
health). On the other hand,
individuals who are ready to plan how to quit smoking (the
“preparation” stage) can be
encouraged to do so, and moved to the next stage, “action.”
a particular behavior. Azjen and Driver7 situations, however.
People’s perceptions
added this construct to account for about controllability may

have an important
situations in which people’s behavior, or influence on behavior.
behavioral intention, is influenced by factors
beyond their control. They argued that
people might try harder to perform a
behavior if they feel they have a high
degree of control over it. (See Table 4.)
It has application beyond these limited
Table 4. Theory of Planned Behavior
Concept Definition Measurement Approach
Behavioral intention Perceived likelihood of performing
behavior
Are you likely or unlikely to
(perform the behavior)?
Attitude Personal evaluation of the behavior Do you see (the
behavior) as
good, neutral, or bad?
Subjective norm Beliefs about whether key people
approve or disapprove of the
behavior; motivation to behave in a
way that gains their approval
Do you agree or disagree that
most people approve
of/disapprove of (the behavior)?
Perceived behavioral
control
Belief that one has, and can exercise,

control over performing the behavior
Do you believe (performing the
behavior) is up to you, or not
up to you?
17
PA
R
T 2
T
H
E
O
R
I E
S
A
N
D
A
P
P
L I C
A
T

I O
N
S
16
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E
Theory of Planned Behavior (TPB)
The Theory of Planned Behavior (TPB) and
the associated Theory of Reasoned Action
(TRA) explore the relationship between
behavior and beliefs, attitudes, and
intentions. Both the TPB and the TRA

assume behavioral intention is the most
important determinant of behavior.
According to these models, behavioral
intention is influenced by a person’s attitude
toward performing a behavior, and by beliefs
about whether individuals who are important
to the person approve or disapprove of the
behavior (subjective norm). The TPB and
TRA assume all other factors (e.g., culture,
the environment) operate through the
models’ constructs, and do not
independently explain the likelihood that
a person will behave a certain way.
The TPB differs from the TRA in that it
includes one additional construct, perceived
behavioral control; this construct has to
do with people’s beliefs that they can control
Surveillance data show that young, acculturated Hispanic
women are more likely to get
Pap tests than those who are older and less acculturated.8 A
health department decides to
implement a cervical cancer screening program targeting older
Hispanic women. In
planning the campaign, practitioners want to conduct a survey
to learn what beliefs,
attitudes, and intentions in this population are associated with
seeking a Pap test. They
design the survey to gauge: when the women received their last
Pap test (behavior); how
likely they are to seek a Pap test (intention); attitudes about
getting a Pap test (attitude);
whether or not “most people who are important to me” would
want them to get a Pap

test (subjective norm); and whether or not getting a Pap test is
something that is “under
my control” (perceived behavioral control). The departme nt will
compare survey results
with data about who has or has not received a Pap test to
identify beliefs, attitudes, and
intentions that predict seeking one.
Figure 3. Theory of Reasoned Action and Theory of Planned
Behavior Figure 4. Stages of the Precaution Adoption Process
Model
E
C
N
A
T
A
G
L
Y

A
R
O
E
H
Note: Upper blue section shows the Theory
T
of Reasoned Action; the entire figure
Behavioral
beliefs
Evaluation of
behavioral outcomes
Attitude toward
behavior
Normative
beliefs
Motivation
to comply

Subjective
norm
Control beliefs
Perceived power
Perceived
behavioral control
Behavioral
intention
Behavior
19
PA
R
T 2
Stage 1:
Unaware
of Issue
Stage 2:
Unengaged
by Issue
Stage 3:
Deciding
About
Acting

Stage 5:
Decided
to Act
Stage 6:
Acting
Stage 4:
Decided
Not to Act
Stage 7:
Maintenance
18
shows the Theory of Planned Behavior.
Figure 3. shows the TPB’s explanation for
how behavioral intention determines
behavior, and how attitude toward behavior,
subjective norm, and perceived behavioral
control influence behavioral intention.
According to the model, attitudes toward
behavior are shaped by beliefs about what
is entailed in performing the behavior and
outcomes of the behavior. Beliefs about
social standards and motivation to comply
with those norms affect subjective norms.
The presence or lack of things that will
make it easier or harder to perform the
behavior affect perceived behavioral control.
Thus, a causal chain of beliefs, attitudes,
and intentions drives behavior.

Precaution Adoption Process Model
The Precaution Adoption Process Model
(PAPM) specifies seven distinct stages in
the journey from lack of awareness to
adoption and/or maintenance of a behavior.
It is a relatively new model that has been
applied to an increasing number of health
behaviors, including: osteoporosis
prevention, colorectal cancer screening,
mammography, hepatitis B vaccination,
and home testing for radon gas.
In the first stage of the PAPM, an individual
may be completely unaware of a hazard
(e.g., radon exposure, the link between
unprotected sex and HIV). The person may
subsequently become aware of the issue
but remain unengaged by it (Stage 2). Next,
the person faces a decision about acting
(Stage 3); may decide not to act (Stage 4),
or may decide to act (Stage 5). The stages
of action (Stage 6) and maintenance (Stage
7) follow. (See Figure 4.) According to the
PAPM, people pass through each stage of
precaution adoption without skipping any of
them. It is possible for people to move
backwards from some later stages to earlier
ones, but once they have completed the first
two stages of the model they do not return
to them. For example, a person does not
move from unawareness to awareness and
then back to unawareness.
The PAPM bears similarities to the Stages

of Change model, but differs in important
ways. Stages of Change offers insights for
addressing hard-to-change behaviors such
as smoking or overeating; it is less helpful
when dealing with hazards that have
recently been recognized or precautions
that are newly available. The PAPM
recognizes that people who are unaware of
an issue, or are unengaged by it, face
different barriers from those who have
decided not to act. The PAPM prompts
practitioners to develop intervention
strategies that take into account the stages
that precede active decision-making.
Interpersonal Level
At the interpersonal level, theories of health
behavior assume individuals exist within,
and are influenced by, a social environment.
The opinions, thoughts, behavior, advice,
and support of the people surrounding an
individual influence his or her feelings and
behavior, and the individual has a reciprocal
effect on those people. The social
environment includes family members,
coworkers, friends, health professionals,
and others. Because it affects behavior,
the social environment also impacts health.
Many theories focus at the interpersonal
level, but this monograph highlights Social
Cognitive Theory (SCT). SCT is one of the
most frequently used and robust health
behavior theories. It explores the reciprocal
interactions of people and their
environments, and the psychosocial

determinants of health behavior.
Social Cognitive Theory (SCT)
Social Cognitive Theory (SCT) describes a
dynamic, ongoing process in which personal
factors, environmental factors, and human
behavior exert influence upon each other.
T
H
E
O
R
I E
S
A
N
D
A
P
P
L I C
A
T
I O
N
S

According to SCT, three main factors affect
the likelihood that a person will change a
health behavior: (1) self-efficacy, (2) goals,
and (3) outcome expectancies. If individuals
have a sense of personal agency or self-
efficacy, they can change behaviors even
when faced with obstacles. If they do not
feel that they can exercise control over their
health behavior, they are not motivated to
act, or to persist through challenges.9 As a
person adopts new behaviors, this causes
changes in both the environment and in the
person. Behavior is not simply a product of
the environment and the person, and
environment is not simply a product of the
person and behavior.
Table 5. Social Cognitive Theory
SCT evolved from research on Social
Learning Theory (SLT), which asserts
that people learn not only from their own
experiences, but by observing the actions
of others and the benefits of those actions.
Bandura updated SLT, adding the construct
of self-efficacy and renaming it SCT.
(Though SCT is the dominant version in
current practice, it is still sometimes called
SLT.) SCT integrates concepts and

processes from cognitive, behaviorist,
and emotional models of behavior change,
so it includes many constructs. (See Table
5.) It has been used successfully as the
underlying theory for behavior change
in areas ranging from dietary change10
to pain control.11
Reciprocal determinism describes
interactions between behavior, personal
factors, and environment, where each
influences the others. Behavioral capability
states that, to perform a behavior, a person
must know what to do and how to do it.
Expectations are the results an individual
anticipates from taking action. Bandura
considers self-efficacy the most important
personal factor in behavior change, and it
is a nearly ubiquitous construct in health
behavior theories. Strategies for increasing
self-efficacy include: setting incremental
goals (e.g., exercising for 10 minutes each
day); behavioral contracting (a formal
contract, with specified goals and rewards);
and monitoring and reinforcement (feedback
from self-monitoring or record keeping).
rather than through their own experience.
Reinforcements are responses to behavior
that affect whether or not one will repeat it.
Positive reinforcements (rewards) increase
a person’s likelihood of repeating the
behavior. Negative reinforcements may
make repeated behavior more likely by
motivating the person to eliminate a

negative stimulus (e.g., when drivers put the
key in the car’s ignition, the beeping alarm
reminds them to fasten their seatbelt).
Reinforcements can be internal or external.
Internal rewards are things people do to
reward themselves. External rewards (e.g.,
token incentives) encourage continued
participation in multiple-session programs,
but generally are not effective for sustaining
long-term change because they do not
bolster a person’s own desire or commitment
21
PA
R
T 2
20
T
H
E
O
R
Y
A
T
A
G

L A
N
C
E
T H
E
O
R
I E
S
A
N
D
A
P
P
L I C
A
T
I O
N
S
Concept Definition Potential Change Strategies

Reciprocal
determinism
The dynamic interaction of the
person, behavior, and the
environment in which the
behavior is performed
Consider multiple ways to promote
behavior change, including making
adjustments to the environment or
influencing personal attitudes
Behavioral
capability
Knowledge and skill to perform
a given behavior
Promote mastery learning through
skills training
Expectations Anticipated outcomes of
a behavior
Model positive outcomes of
healthful behavior
Self-efficacy Confidence in one’s ability to
take action and overcome
barriers
Approach behavior change in small
steps to ensure success; be specific
about the desired change

Observational
learning (modeling)
Behavioral acquisition that
occurs by watching the actions
and outcomes of others’
behavior
Offer credible role models who
perform the targeted behavior
Reinforcements Responses to a person’s
behavior that increase or
decrease the likelihood
of reoccurrence
Promote self-initiated rewards
and incentives
Observational learning, or modeling, refers to change. Figure 5.
illustrates how self-
to the process whereby people learn efficacy, environmental,
and individual
through the experiences of credible others, factors impact
behavior.
Figure 5. An Intergrative Model
Behavioral beliefs
and their
evaluative aspects
Normative beliefs
and motivation

to comply
Efficacy beliefs
Attitude
Norm
Self-efficacy
Skills
Intention Behavior
Environmental
constraints
Other individual
difference variables
Personality traits
Attitudes toward
targets
External variable
Demographic
variables
http:control.11

A university in a rural area develops a church-based
intervention to help congregation
members change their habits to meet cancer risk reduction
guidelines (behavior). Many
members of the church have low incomes, are overweight,
rarely exercise, eat foods that
are high in sugar and fat, and are uninsured (personal factors).
Because of their rural
location, they often must drive long distances to attend church,
visit health clinics, or
buy groceries (environment).
The program offers classes that teach healthy cooking and
exercise skills (behavioral
capability). Participants learn how eating a healthy diet and
exercising will benefit them
(expectations). Health advisors create contracts with
participants, setting incremental
goals (self-efficacy). Respected congregation members serve as
role models (observational
learning). Participants receive T-shirts, recipe books, and other
incentives, and are taught
to reward themselves by making time to relax (reinforcement).
As church members learn
about healthy lifestyles, they bring healthier foods to church,
reinforcing their healthy
habits (reciprocal determinism).
The conceptual frameworks in this section
offer strategies for intervening at the
community level:
• Community Organization and Other
Participatory Models emphasize
community-driven approaches to
assessing and solving health and

social problems.
• Diffusion of Innovations Theory addresses
how new ideas, products, and social
practices spread within an organization,
community, or society, or from one society
to another.
• Communication Theory describes how
different types of communication affect
health behavior.
Community Organization and Other
Participatory Models
Community organizing is a process through
which community groups are helped to
identify common problems, mobilize
resources, and develop and implement
strategies to reach collective goals. Strict
definitions of community organizing assume
that the community itself identifies the
problems to address (not an outside change
agent). Public health professionals often
adapt the methods of community organizing
to launch programs that reflect the priorities
of community members, but may not be
initiated by them. Community organizing
projects that start with the community’s
priorities, rather than an externally imposed
agenda, are more likely to succeed.
Community organizing is consistent with an
ecological perspective in that it recognizes
multiple levels of a health problem. It can be
integrated with SCT-based strategies that
take into account the dynamic between

personal factors, environmental factors,
and human behavior. Theories of social
networks and social support (exploring the
influence of social relationships on health
decision making and behavior) can be
used to adapt community organizing
strategies to health education goals.
Social systems theory (exploring how
organizations in a community interact with
each other and the outside world) is also
useful for this purpose.
Community organizing is not a single
mode of practice; it can involve different
approaches to effecting change. Jack
Rothman14 produced the best-known
classification of these change models,
describing community organizing according
to three general types: locality development,
social planning, and social action. These
models sometimes overlap and can
be combined.
• Locality development (or community
development) is process oriented. With the
aim of developing group identity and
cohesion, it focuses on building consensus
and capacity.
• Social planning is task oriented. It stresses
problem solving and usually relies heavily
on expert practitioners.
• Social action is both process and task
oriented. Its goals are to increase the

community’s capacity to solve problems
and to achieve concrete changes that
redress social injustices.
The different approaches broadly classified
as community organizing share in common
several concepts that are key to achieving
and measuring change. (See Table 6.)
Empowerment describes a social action
process through which individuals,
organizations, or communities gain
confidence and skills to improve their quality
of life.15 Community capacity refers to
23
PA
R
T 2
T
H
E
O
R
I E
S
A
N
D
A

P
P
L I C
A
T
I O
N
S
22
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E

Community Level
Initiatives serving communities and
populations, not just individuals, are at
the heart of public health approaches to
preventing and controlling disease.
Community-level models explore how
social systems function and change and
how to mobilize community members and
organizations. They offer strategies that
work in a variety of settings, such as health
care institutions, schools, worksites,
community groups, and government
agencies. Embodying an ecological
perspective, community-level models
address individual, group, institutional,
and community issues.
Communities are often understood in
geographical terms, but they can be defined
by other criteria too. For instance, there are
communities of shared interests (e.g., the
artists’ community) or collective identity
(e.g., the African American community).
When planning community-level
interventions, it is critical to learn about
the community’s unique characteristics.
This is particularly true when addressing
health issues in ethnically or culturally
diverse communities.
Comprehensive health promotion programs
often use advocacy techniques to help

support individual behavior change with
organizational and regulatory change. In
recent years, innovative tools and methods
for evaluation and measurement have been
developed to capture the successes of
community-level health promotion efforts.12 13
Tobacco control/smoking prevention is one
area where programs have been extensively
evaluated. Local tobacco control initiatives
typically pursue four concurrent goals: (1)
raising the priority of smoking as a health
concern, (2) helping community members to
change smoking behavior, (3) strengthening
legal and economic deterrents to smoking,
and (4) reinforcing social norms that
discourage smoking. This multi-level
approach has been proven very effective.
http:efforts.12
24
T
H
E
O
R
Y

A
T
A
G
L A
N
C
E
Potential Change StrategiesTerm Definition
Community members assume
which people gain mastery over
Empowerment A social action process through
greater power, or expand their
their lives and their communities power from within, to create
desired changes
Community members participate Community Characteristics of
a community that
actively in community life, gaining
around, and address problems
capacity affect its ability to identify, mobilize
leadership skills, social networks,
and access to power
Community members develop
members as equal partners; reflects

Participation Engagement of community
leadership skills, knowledge, and
the principle, “Never do for others resources through their
what they can do for themselves” involvement
Community members create
where the people are”
Relevance Community organizing that ”starts
their own agenda based on felt
needs, shared power, and
awareness of resources
Community members participate
realizable targets for change that
Issue selection Identifying immediate, specific, and
in identifying issues; targets are
unify and build community strength chosen as part of a larger
strategy
Community members discuss the Critical Awareness of social,
political, and
root causes of problems and plan
social problems
consciousness economic forces that contribute to
actions to address them
Table 6. Community Organization
characteristics of a community that allow The social action

model differs from other
it to identify social problems and address forms of community
intervention in that it
them (e.g., trusting relationships between is grassroots based,
conflict oriented, and
neighbors, civic engagement). Participation geared to
mobilizing disadvantaged people
in the organizing process helps community to act on their own
behalf.16 Goals vary, but
members to gain leadership and problem- typically include
policy and other significant
solving skills. Relevance involves activating changes that
participants have identified as
participants to address issues that are important. Largely based
on the organizing
important to them. Issue selection entails work of Saul Alinsky
and the Industrial Areas
pulling apart a web of interrelated problems Foundation,17 this
approach employs direct-
into distinct, immediate, solvable pieces. action strategies as the
primary means of
Critical consciousness emphasizes helping fostering change. It
focuses on building
community members to identify the root power and encouraging
community
causes of social problems. members to develop their capacities
as active citizens.18
In a social action approach to community Media Advocacy is an
essential tactic in
organizing, self-interest is seen as the community organizing. It
involves using the
motivation for action: community members mass media
strategically to advance public
become involved when they see that it will policies.20 Because

the media bring attention
benefit them to take action, and targeted to specific issues, they
set the agenda for the
institutions are willing to make changes public and policy
makers. The media often
when they believe it is in their self-interest present health
information in medical terms,
to do so. Community organizing seeks to focusing on
technological breakthroughs and
expand participants’ sense of self-interest personal health
habits. Media advocacy
to an ever-wider sphere, from the assumes the root of most
health problems is
individual or family level to their block, not that people lack
information, but that they
neighborhood, city, state, and so on.19 lack the power to change
social and economic
Participants grow through this process, conditions. It seeks to
balance news coverage
learning to take an active role in shaping by framing issues to
emphasize social,
the future of their communities. economic, and political—rather
than personal
and behavioral—influences on health.21
Responding to high rates of cancer among African Americans, a
health department
wishes to increase consumption of fresh fruits and vegetables in
a low-income, urban
neighborhood. The department surveys community members to
find out why they do
not eat more fruits and vegetables. They learn there are few
supermarkets within easy
walking distance, and residents shop at local stores that do not
offer fresh, affordable

produce. Many do not own cars; they must take the bus, spend
money on taxis, or
carry shopping bags for blocks to shop at the supermarket.
The health department contacts a community-based organization
that has been working
to improve neighborhood conditions, and shares the findings
with them (participation).
The organization’s leaders invite department staff to attend a
community meeting,
where residents discuss why there are fewer supermarkets in
low-income neighborhoods
(critical consciousness). Residents say they would buy
healthier, less expensive foods at
the supermarket if they could get a ride home (relevance). The
community organization
decides to organize a campaign to convince the local
supermarket to start a shuttle
service (issue selection).
The health department trains residents to assess the potential
cost and ridership of the
shuttle service (community capacity). Residents plan an event
and invite the media.
They line up in front of the supermarket with shopping carts and
signs, and explain
both the problem and the potential solution to reporters (media
advocacy). Stories
appear in the local newspapers. The supermarket’s management
meets with community
residents and tells them the market loses thousands of dollars
each year due to stolen
shopping carts. Residents explain that the store will have fewer
shopping cart losses if
they start a shuttle (self-interest). The supermarket agrees to
give free rides to inner-city

shoppers. Through their success, residents gain skills and
confidence, and are inspired
to think about other ways to strengthen their community
(empowerment).
25
PA
R
T 2
T
H
E
O
R
I E
S
A
N
D
A
P
P
L I C
A
T
I O

N
S
http:citizens.18
http:behalf.16
In participatory action research, the people
who are being studied take an active role
in some or all phases of the research.
Participatory research builds an alliance
between professional researchers and
lay participants, and enables a dialogue
between them.22 When planning and
implementing health programs, the
program’s beneficiaries help to direct the
type of inquiry, collect and analyze data,
imagine possible solutions, and evaluate
the costs and benefits of each choice. They
engage in a learning process, both checking
and complementing expert knowledge. One
example of participatory action research is
the NCI’s COMMIT program, which explored
whether implementing an intervention
through community organizations would
result in a higher “quit rate” among heavy
smokers than in the comparison
communities.23 24

The CDC Task Force on the Guide to
Community and Preventive Services created
an organizing logic framework to illustrate
how community-level factors influence health
status. (See Figure 6.) They noted that
disparities in access to health care; behaviors
in response to illness; exposure to
environmental and occupational hazards;
health promotion and disease prevention
behaviors; and experience of stress, societal
support, and social cohesion all contribute
to disparities in health status. Therefore,
community-level interventions that address
population health until effective programs
are broadly diffused and disseminated.
Multiple critiques, including one by the
National Cancer Policy Board, suggest that
failing to implement proven methods of
cancer prevention and early detection
results in tens of thousands of premature
deaths each year.26 Diffusion expands the
number of people who are exposed to and
reached by successful interventions,
strengthening their public health impact.
Diffusion of Innovations Theory addresses
neighborhood conditions, employment how ideas, products, and
social practices
opportunities, behavioral norms, opportunities that are
perceived as “new” spread
27
PA
R

T 2
T
H
E
O
R
I E
S
A
N
D
A
P
P
L I C
A
T
I O
N
S
26
Figure 6. Sociocultural Environment Logic Framework
Guide to Community Preventive Services: Sociocultural

Environment Logic Framework
DETERMINANTS IMMEDIATE OUTCOMES HEALTH
OUTCOME
EQUITY and
SOCIAL JUSTICE
1* Neighborhood Living
Conditions
for education and training, and access to
health promotion, prevention, and care are
key to addressing health disparities.25 The
model shows elements and associations
at play in translating theory into research
and action.
throughout a society or from one society to
another. According to the late E.M. Rogers,
diffusion of innovations is “the process by
which an innovation is communicated
through certain channels over time among
the members of a social system.”27 Diffusion
Theory has been used to study the adoption
of a wide range of health behaviors and
programs, including condom use, smoking
cessation, and use of new tests and
technologies by health practitioners.
Table 7. defines concepts that are central
to this theory.
T
H
E

O
R
Y
A
T
A
G
L A
N
C
E
SOCIETAL
RESOURCES
Standard of living
Culture and history
Social institutions
Built environments
Political structures
Economic systems
Technology
4
Community Development and
Employment Opportunities
2

3 Civic Engagement and
Participation in
Decision-Making
Diffusion of Innovations
In public health and health promotion,
practitioners who want to make efficient use
of resources must attend to the reach,
adoption, implementation, and maintenance
of programs. It is not enough to develop
HEALTHIER
COMMUNITIES
innovative programs; to reduce the burden of
cancer, these programs must be disseminated Diffusion of
innovations that prevent disease
widely. Cancer control measures will not and promote health
requires a multilevel
realize their full potential for improving change process that
usually takes place in
Prevaling Community Norms,
Customs, and Processes
Opportunities for Education
and Developing Capacity
PHYSICAL
ENVIROMNMENT
Natural Resources
Table 7. Concepts in Diffusion of Innovations5

A pathway that will not be examined
HEALTHY
POPULATION
Concept
SOCIETAL RESOURCES
concerns the presence
of essential resources
Health Promotion, Prevention,
and Care Opportunities
Innovation6
while EQUITY and
SOCIAL JUSTICE
concerns the distribution Communication channels
*Links 1-6 indicate strategic
within the population
of those resources
points for intervention
Social system
Time
Source: Institute of Medicine. Speaking of Health: Assessing
Health Communications Strategies for Diverse
Populations. Washington, D.C.: National Academies Press,

2002.
Definition
An idea, object, or practice that is thought to be new by an
individual, organization, or community
The means of transmitting the new idea from one person to
another
A group of individuals who together adopt the innovation
How long it takes to adopt the innovation
http:disparities.25
diverse settings, through different strategies.
At the individual level, adopting a health
behavior innovation usually involves lifestyle
change. At the organizational level, it may
entail starting programs, changing regulations,
or altering personnel roles. At a community
level, diffusion can include using the media,
advancing policies, or starting initiatives.
According to Rogers, a number of factors
determine how quickly, and to what extent,
an innovation will be adopted and diffused.
By considering the benefits of an innovation
(see Table 8.), practitioners can position it
effectively, thereby maximizing its appeal.
Specifically:

• The relative advantage of an innovation
shows its superiority over whatever
it replaces.
• Compatibility is an appropriate fit with the
intended audience.
• Complexity has to do with how easy it is
to implement the innovation.
• Trialability pertains to whether it can be
tried on an experimental basis.
• Observability reflects whether the
innovation will produce tangible results.
Effective diffusion requires practitioners to use
both informal and formal communications
channels and a spectrum of strategies for
different settings. Disseminating an innovation
in a variety of ways increases the likelihood
that it will be adopted and institutionalized.
Communication usually should include both
mass media and interpersonal interactions.
Through the two-step flow of communication,
information from the media moves in two
stages. First, opinion leaders, who pay
close attention to the media, receive the
information. Second, they convey their own
interpretations, as well as the media content,
to others. This process highlights the
value of social networks for influencing
adoption decisions.
Rogers described the process of adoption as

a classic “bell curve,” with five categories of
adopters: innovators, early adopters, early
majority adopters, late majority adopters, and
laggards. When an innovation is introduced,
the majority of people will either be early
majority adopters or late majority adopters;
fewer will be early adopters or laggards; and
very few will be innovators (the first people to
use the innovation). By identifying the
A university designs a program to help elementary school
children cultivate healthy
lifestyle habits and avoid chronic disease. The program has
many components: it
addresses the foods that children eat by modifying the fat and
sugar content of school
lunches, it teaches important health information through a
classroom-based health
education curriculum, and it encourages physical activity
through a physical education
component. It is highly successful; follow-up studies show that
children who went
through the program in elementary school continue to have
healthier habits in their
adolescence than those who did not go through the program.
The fact that the program is successful is not enough to ensure
it will change elementary
school practices. To achieve a broader impact, the program must
diffuse to other sites.
Program planners may seek to demonstrate the relative
advantage of the program by
emphasizing its positive outcomes. They may try to show its
compatibility by
demonstrating that state policy-makers (e.g., the state Board of
Education) have

approved its materials. The program’s complexity can be
limited by creating user-friendly
materials for teachers and cafeteria workers. By making the
materials available on a
Web site, they can enhance its trialability. Professional
demonstrations of the program
components can create an element of observability.
29
PA
R
T 2
28
T
H
E
O
R
Y
A
T
A
G
L A
N
C

E
T H
E
O
R
I E
S
A
N
D
A
P
P
L I C
A
T
I O
N
S
characteristics of people in each adopter
category, practitioners can more effectively
plan and implement strategies that are
customized to their needs.
Communication Theory

Communication theory explores “who says
what, in which channels, to whom, and with
what effects.” It investigates how messages
are created, transmitted, received, and
assimilated. When applied to public health
Public health communications should
represent an ecological perspective and
foster multilevel strategies, such as tailored
messages at the individual level, targeted
messages at the group level, social marking
at the community level, media advocacy at
the policy level, and mass media campaigns
at the population level.29 Public health
communications can increase knowledge
and awareness of a health issue; influence
perceptions, beliefs, and attitudes that
Table 8. Key Attributes Affecting the Speed and Extent of an
Innovation’s Diffusion
Attribute
Relative advantage
Compatibility
Complexity
Trialability
Observability
Key Question
Is the innovation better than what it will replace?

Does the innovation fit with the intended audience?
Is the innovation easy to use?
Can the innovation be tried before making a decision to adopt?
Are the results of the innovation observable and easily
measurable?
problems, the central question theories of factor into social
norms; prompt action;
communication seek to answer is, “How do demonstrate or
illustrate healthy skills;
communication processes contribute to, or
discourage, behavior change?” Focused on
improving the health of communities rather
than examining the underlying processes of
communication, public health communications
is the scientific development, strategic
dissemination, and evaluation of relevant,
accurate, accessible, and understandable
health information, communicated to and
from intended audiences to advance the
public’s health.28
increase support for services; debunk
misconceptions; and strengthen
organizational relations.30 On the other
hand, without supports in the social and
physical environment, health communications

alone may not be enough to sustain
individual-level behavior changes, may
not be effective for relaying complex
health messages, and cannot compensate
for lack of access to health care or
healthy environments.31
http:environments.31
http:relations.30
http:health.28
http:level.29
30
T
H
E
O
R
Y
A
T
A
G
L A
N

C
E
Since other communication strategies are
discussed elsewhere in this monograph, this
section examines the role of mass media in
public health interventions. The media are
interconnected, large-scale organizations
that gather, process, and disseminate news,
information, entertainment, and advertising
worldwide. Whether they are small
operations, such as a neighborhood
newspaper, or large corporations employing
tens of thousands of people, the media
influence almost every aspect of human life:
economic, political, social, and behavioral.
Media Effects
The outcomes of media dissemination of
ideas, images, themes, and stories are
termed media effects. Media effects research
investigates not only how the media influence
the knowledge, opinions, attitudes, and
behaviors of audience members, but also how
audience members affect the media. Because
audience members are active seekers and
users of health information, the content
transmitted through the media reflects their
needs, interests, and preferences. Two
questions are central to understanding the
effects of media on audience members: 1)
What factors affect the likelihood that a
person will be exposed to a given message?
2) How do media effects vary with the
amount of exposure to that message?32

Funding is a primary factor that determines
whether or not audience members will be
exposed to a message through the mass
media, since money is needed to buy media
time and space. Many public health programs
do not have large budgets, so they often must
rely on strategies for free distribution. Options
may include public service announcements,
embedding health messages in entertainment
programs (e.g., soap operas), or promoting
news coverage of public health topics in print
and electronic media. Community institutions
can adopt and disseminate messages, and
social networks can also generate excitement
about some messages, depending on
their content.33
How often do people need to hear a message
before it influences their beliefs or behaviors?
This depends on several factors.
Characteristics of target audiences (e.g.,
their readiness for change, the ways they
process information), the complexity of the
health issue, the presence of competing
messages, and the nature of the health
message influence the relationship between
exposure to a health message and an
outcome effect. Repeated exposure to a
message, especially when it is delivered
through multiple channels, may intensify
its impact on audience members.34
Planners often assume that a certain
percentage of the target audience will be

exposed to a message and that another
fraction of those who receive the message
will be engaged by it. Yet there are several
possible paths through which a health
communications message can influence
someone’s beliefs and/or behaviors. These
include immediate learning (people learn
directly from the message), delayed learning
(the impact of the message is not processed
until some time after it has been conveyed),
generalized learning (in addition to the
message itself, people are persuaded about
concepts related to the message), social
diffusion (messages stimulate discussion
among social groups, thereby affecting
beliefs), and institutional diffusion (messages
instigate a response from public institutions
that reinforces the message’s impact on the
target audience.)35
Agenda Setting
The mass media can illuminate and focus
attention on issues, helping to generate
public awareness and momentum for change.
A major focus of communications research
has been on how the mass media influence
public opinion, especially about politics and
policymaking. Agenda setting involves setting
the media agenda (what is covered), the
public agenda (what people think about), and
the policy agenda (regulatory or legislative
actions on issues).36 (See Table 9.) Research
on agenda setting has shown that the amount
of media coverage an issue receives
correlates strongly with the public’s opinion

of how important that issue is.
An axiom underlying this area of study is that
mass media may not tell us what to think, but
they are surprisingly effective in telling us
what to think about. A critical construct of
agenda setting, however, reinterprets this
idea. Framing is a process in which someone
tells the audience what aspect of the story is
important. In other words, they tell the
audience not only what to think about, but
how to think about it. The way facts are
packaged to tell a story creates the frame.
By framing stories to emphasize social and
environmental factors that affect health,
public health advocates can use the media
to pressure decision makers to develop
and support healthy policies.
New Communication Technologies
New communication technologies have
opened an extraordinary range of avenues
for influencing health behavior. “E-health”
(one element of new communication
technologies) is the use of emerging
information and communication technology,
especially the Internet, to improve or enable
31
PA
R
T 2

T
H
E
O
R
I E
S
A
N
D
A
P
P
L I C
A
T
I O
N
S
Concept
Media agenda setting
Public agenda setting
Policy agenda setting

Problem definition
Framing
Definition
Institutional factors and
processes influencing how
the media define, select, and
emphasize issues
The link between issues
covered in the media and the
public’s priorities
covered in the media and
the legislative priorities of
policy makers
Factors and process leading to
the identification of an issue
as a “problem” by social
institutions
Selecting and emphasizing
certain aspects of a story and
excluding others
Potential Change Strategies
Understand media professionals’
needs and routines for gathering
and reporting news

Use media advocacy or
partnerships to raise public
awareness of key health issues
Advocate for media coverage to
educate and pressure policy
makers about changes to the
physical and social environment
needed to promote health
Community leaders, advocacy
groups, and organizations define
an issue for the media and
offer solutions
Advocacy groups “package” an
important health issue for the
media and the public
Table 9. Agenda Setting, Concepts, Definitions, and
Applications
http:issues).36
http:members.34
http:content.33
health and health care. The term refers to an
emerging field in the intersection of medical
informatics, public health, and business.37
It bridges clinical and non-clinical sectors,
and includes both individual and population

health-oriented tools.38 E-health
communication strategies include, but are
not limited to: health information on the
Internet, online support groups, online
collaborative communities, information
tailored by computer technologies,
educational computer games, computer-
controlled in-home telephone counseling,
and patient-provider e-mail contact.39
Major benefits of e-health strategies are
increased reach (the ability to communicate
to broad, geographically dispersed
audiences), asynchronous communication
(interaction not bounded by having to
communicate at the same time) the ability
to integrate multiple communication modes
and formats (e.g., audio, video, text,
graphics), the ability to track, preserve, and
analyze communication (computer records
of interaction, analysis of interaction trends),
user control of the communication system
(the ability to customize programs to user
specifications), and interactivity (e.g.,
increased capacity for feedback).40
Educational and behavioral interventions
Community organizing approaches have
been used to coordinate Internet-based
campaigns through www.Meetup.com
(a technology platform that helps people
self-organize local gatherings).
Innovative e-health projects are expanding
the range of tools that planners can use to

develop cancer control and other
interventions. For instance, NCI’s Cancer
Control Planet http://cancercontrolplanet.
cancer.gov/ links public health professionals to
comprehensive cancer control resources. NCI
also has published data from its Health
Information National Trends Survey (HINTS)
on the Web at http://cancercontrol.cancer.gov/
hints/. The HINTS program helps survey
researchers, program planners, and social
scientists understand how adults 18 years
and older are using different communication
channels, including the Internet. For example,
according to recent HINTS data, when asked
where they would go first if they had a strong
need to get information about cancer, 34
percent of respondents said they would go
to the Internet.
The HINTS data illustrate consumers’
increasing reliance on the Internet as an
easily accessible source of health information.
The Internet has been characterized as a
“hybrid technology” because it has the
potential to reach millions of people with
information that can be tailored to individual
needs and preferences.41 E-health
interventions frequently offer information,
education, and support directly to consumers.
For example, the Association of Online
Cancer Resources (ACOR), a collection of
online communities designed to provide timely
and accurate information in a supportive
environment, is one case in point. ACOR
delivers 1.8 million cancer messages each
week (http://www.acor.org/).

Not all e-health interventions are Web-based.
Computer applications have also allowed new
uses of traditional health communications
media, such as print and telephone. Tailored
print communications (TPCs) and telephone-
delivered interventions (TDIs) are two
examples that have the potential for reaching
linguistically and culturally diverse audiences.
TPCs are printed materials created especially
for an individual, based on relevant
information about that person. Over 40 studies
of TPCs have been conducted on a wide
range of health topics, including diet, exercise,
smoking cessation, mammography, and
prostate cancer; most have found positive
outcomes evidence. TDIs include a range
of human-delivered counseling and reminder
interventions delivered using the telephone
and computer-generated voice response
systems. Studies indicate that TDIs are
effective across different populations and
health topics, but do not have a broad-based
reach. They have not been widely used by
diverse populations.42
Interactive games offer another vehicle for
intervention. Lieberman et al. designed a
series of Nintendo video games to improve
children’s and adolescents’ prevention and
self care behaviors for asthma, diabetes,
smoking prevention, and other health topics
(see Figure 7.).43 The games were based
on well-established theories of learning and
behavior change, such as Social Cognitive

Theory. They reduced players’ urgent care
and emergency medical visits by as much
as 77 percent.44 Though research has
demonstrated the effectiveness of some
new communications technologies, further
inquiry is needed into the mechanisms’
underlying success.45
Opportunities are increasing for people to
gain free access to the Internet via libraries
and kiosks.46 Unequal access remains
problematic, however. Significant gaps in
Internet usage between Caucasians, African
Americans, and Hispanics persist,47 and
people with lower levels of educational
attainment are also less likely to have
Internet access. Because the Internet is
a text-based medium, literacy issues that
make it difficult for people to read print
materials are also barriers to accessing
Web-based information. There is danger
that new computer technologies could
worsen existing inequities in health status
for diverse populations. It is therefore
important to involve community members in
planning e-health interventions and to offer
them ongoing training and support for using
these emerging communications tools.48
33
PA
R
T 2
T

H
E
O
R
I E
S
A
N
D
A
P
P
L I C
A
T
I O
N
S
32
T
H
E
O

R
Y
A
T
A
G
L A
N
C
E
employing new communication technologies
are forging new ground and therefore benefit
from the perspective provided by theories
of health behavior. Like communications in
other media, e-health interventions can
address issues at the individual, group, or
community/societal level; different theories
may be appropriate, depending on the
project’s goals. For example, computer-
tailored print materials encouraging individuals
to eat more fruits and vegetables could be
designed using the Stages of Change Model.
Online support groups may apply theories of
social support and social networks.
Figure 7.
An Asthma Self-Management
Video Game for Children

(Bronkie the Bronchiasaurus)
Box art reproduction used by permission of Health Hero
Network. Copyright © 1994 by Health Hero Network. All rights
reserved.
http:tools.48
http:kiosks.46
http:success.45
http:percent.44
http:populations.42
http:http://www.acor.org
http:preferences.41
http:http://cancercontrol.cancer.gov
http:cancer.gov
http://cancercontrolplanet
http:www.Meetup.com
http:feedback).40
http:contact.39
http:tools.38
http:business.37
Putting Theory And
Practice Together Part 3
35
PA
R
T 3
T

H
E
O
R
Y
A
T
A
G
L A
N
C
E
36
T
H
E
O
R

Y
A
T
A
G
L A
N
C
E
Planning Models
When practitioners begin the process of
planning an intervention to promote health
or change health behavior, theory helps
them interpret the situation and guides their
decisions about what design, procedures,
and measurement indicators to select.
Depending on the unit of practice (e.g.,
individuals, groups, organizations,
community) and the nature of the health
problem, different theoretical approaches
may be appropriate. Practitioners can find
that using more than one theory to address
a problem produces a stronger impact.
This is particularly true when planning
comprehensive health promotion
programs that address multiple levels
(e.g., individual, organizational, community)
of a health problem.

Planning models, such as PRECEDE-
PROCEED and social marketing, help
practitioners develop programs step by step,
integrating multiple theories to explain and
address health problems. Practitioners
begin by using theory to develop a set of
assumptions about factors contributing to a
health problem. They then use research to
test, adjust, and add to these assumptions.
Armed with a theoretical framework and
situation-specific research findings,
practitioners design a targeted intervention
strategy. This includes designing an
evaluation to gauge whether or not the
approach is effective, and choosing realistic,
actionable goals that define in advance
what programmatic success will look like.
Research (into the needs of the population,
resources available, and the situation in
which the health problem occurs) is a
central feature of comprehensive planning
models. Theory helps planners think about
what questions to ask throughout program
planning, implementation, and evaluation
phases. During program planning, they
explore the needs and resources of the
population and learn how to design effective
materials and strategies. During
implementation, they seek to build and
continually improve the program. After it
ends, they assess what short-term and long-
term effects the program has had on the
health problem and its contributing factors.

Both social marketing and the PRECEDE-
PROCEED model instruct the practitioner
to begin the planning process by assessing
the target audience’s needs at multiple
levels of a health problem. In social
marketing, this preliminary investigation
involves conducting consumer research and
market analysis. In PRECEDE-PROCEED,
it includes carrying out epidemiological
assessment; behavioral, educational,
environmental, and organizational
diagnosis; and administrative and policy
assessment. Both planning models combine
behavior change theories for greater impact
and use them as a basis for evaluation.
These planning models are described in
greater detail in the sections that follow.
Social Marketing
Social marketing uses marketing techniques
to influence the voluntary behavior of target
audience members for health benefit. It
is distinct from health education in that it
goes beyond informing or persuading
people to reinforcing behavior with
incentives and other benefits. It also differs
from commercial marketing because the
people who gain from it are members of the
target audience. Another difference is that
the marketing organization defines success
in terms of positive effects on society.
Social marketing is not a theory, but an
approach to promoting health behavior.
Alan Andreason defines it as “the

application of commercial marketing
technologies to the analysis, planning,
execution, and evaluation of programs
designed to influence the voluntary behavior
of target audiences in order to improve their
personal welfare and that of society.”49
This process creates a voluntary exchange
between a marketing organization and
members of a target audience based on
mutual fulfillment of self-interest. In other
words, the marketing organization exists
to fulfill its mission (as defined by the
organization’s leadership), and the target
audience members act in their own interests.
Social marketing programs are generally
“consumer-driven,” not expert-driven. They
are targeted to serve a defined group of
people. To avoid delineating the target
market in an overly broad manner, social
marketing practitioners segment a larger,
heterogeneous target market into smaller
subgroups. Market segmentation is the
process of dividing a target audience into
these more homogenous subgroups with
distinct, unifying characteristics and needs.
For example, factors such as regional
location, ethnicity, gender, exercise habits,
readiness for change, or media habits could
be used to segment the larger audience
of “smokers.” Social marketing seeks to
identify patterns that distinguish one target
group from another to effectively target
marketing strategies.

The social marketing process involves
identifying an effective “marketing mix”
(“The four Ps”) of product, price, place,
and promotion. The optimal marketing mix
produces a timely exchange that heightens
benefits, reduces barriers, and offers a
better choice than the competition. The
social marketer explores what benefits
are of most interest to target market
members and develops strategies and
methods accordingly. The four Ps of the
marketing mix are:
• Product (the right kind of behavioral
change) includes not only the behavior
that is being promoted, but also the
benefits that go along with it.
• Price (an exchange of benefits and costs)
refers to barriers or costs involved in
adopting the behavior (e.g., money,
time, effort).
• Place (making new behaviors easy to do)
is about making the “product” accessible
and convenient. It means delivering
benefits in the right place at the right time.
• Promotion (delivering the message to the
audience) is how the practitioner notifies
the target market of the product, as well
as its benefits, reasonable cost,
and convenience.
Ideally, social marketing interventions begin

with formative research (also called
audience or consumer research) to
understand the target market’s perceptions,
needs, and wants concerning the health
behavior. Formative research includes
learning about consumers’ current behavior,
what enables it, and what reinforces it.
Practitioners also conduct a second type of
research, competitive analysis (also called
environmental analysis), to learn about the
environment in which members of the target
market are making behavior decisions.
This analysis examines competing
behaviors that are being promoted to the
target market. (For example, messages
encouraging people to eat convenient,
inexpensive fast foods compete with
messages about eating 5 fruits and
vegetables a day.) It also investigates how
consumers’ decisions are shaped by
factors such as their social and physical
surroundings or their economic situation.
37
PA
R
T 3
P
U
T
T
I N

G
T
H
E
O
R
Y
A
N
D
P
R
A
C
T
I C
E
T
O
G
E
T
H
E

R
Evaluation is a critical and ongoing
component of social marketing programs.
Formative research helps practitioners to
develop and refine concepts, messages,
products, services, pricing, and distribution
channels before they are fully implemented.
Marketers often use qualitative methods,
such as focus groups or key informant
interviews, to pre-test marketing concepts,
messages, and materials in a cost-effective
manner. They may also pilot-test materials
with individuals who share characteristics
of the target market in order to verify their
effectiveness, identify diverse channels
for delivering the message, and measure
outcomes. Process evaluation methods are
used to track program outputs and processes
during implementation. Social marketers also
conduct summative research, often in the
form of outcomes monitoring. This analysis
compares the program’s program objectives
with its immediate and long-term outcomes
to determine what worked, what didn’t, and
whether the program was cost-effective.

Social marketing programs are most
successful when they are implemented
using a research-driven process; then
consumer research can help to adjust
program messages and outputs. The social
marketing process includes four stages:
planning and strategy development;
development of pretesting concepts,
messages, and materials; implementation;
assessment of in-market effectiveness;
and feedback to the first stage. (See
Figure 8.) Within each stage, there is a
constant feedback loop between research
and planning.
As an approach that promotes behavior
change through voluntary exchange and
positive reinforcement, social marketing
borrows substantively from behavior change
theory. Behavioral theory offers insights
into the current behavior of target market
members and what might influence or
change that behavior. For example, a social
marketer who references Social Cognitive
Theory might examine how self-efficacy
and expectations about the outcome of a
behavior factor into certain health practices
within a target market.
The California 5 A Day Campaign, which
was the model for the national 5 A Day
program,50 employs social marketing to
increase Californians’ consumption of
fruit and vegetables through strategies
such as supermarket point-of-purchase
interventions, industry promotional support,

media outreach, and community programs.51
Several features of this program have been
well-received.52 First, it has a focused goal:
preparing them, psychological cost of
“worrying” about getting the recommended
number of servings)
• Place: Grocery stores and other points
of purchase (the 5 A Day message and
healthy foods compete against unhealthy
products for space and attention)
• Promotion: Branding the 5 A Day
campaign to increase awareness (e.g.,
using a slogan and compelling images
that are easy to recall)
Distribution channels include mass media
advertising, public service announcements,
newsletters, the Internet, magazines, press
conferences, outreach activities, special
events, and community-based groups, such
as churches. Regular monitoring and
evaluation help to assess the reach and
impact of messages; efficient use of time,
labor, and capital resources; and program
costs/benefits.
39
PA
R
T 3

P
U
T
T
I N
G
T
H
E
O
R
Y
A
N
D
P
R
A
C
T
I C
E
T
O

G
E
T
H
E
R
38
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E
Figure 8. Social Marketing Wheel

to increase fruit and vegetable consumption
by raising awareness of the health benefits.
PRECEDE-PROCEED
Second, its approach is built on an
PRECEDE-PROCEED is a planning model,
not a theory. It does not predict or explain 1
established theoretical framework—thePlanning and
Stages of Change model. Third, messages Strategy factors
linked to the outcomes of interest,
Development were designed and disseminated using
but offers a framework for identifying
intervention strategies to address these
factors. Developed by Green, Kreuter,
consumer-driven communications
strategies. Fourth, formative research (mall
Developing
and Pretesting
intercept interviews, focus groups, and
4
Concepts, and associates,53 PRECEDE-PROCEED
Messages, baseline survey data) helped the planners
provides a road map for designing health
education and health promotion programs.
and Materials to understand their audiences and improve

Assesing messages. Lastly, the program uses the
four Ps of social marketing:2 It guides planners through a
process that starts with desired outcomes and works
Effectiveness and Making
Refinements
3 Implementing the Program
• Product: Consuming more fruits and
vegetables each day to minimize the risk
of cancer and improve health status
• Price: The costs of eating a healthier diet
(e.g., financial cost of buying fruits and
vegetables, time cost of shopping for and
backwards to identify a mix of strategies
for achieving objectives. (See
http://lgreen.net/index.html.)
Because the model views health behavior
as influenced by both individual and
environmental forces, it has two distinct
parts: an “educational diagnosis”
http://lgreen.net/index.html
http:well-received.52
http:programs.51
(PRECEDE) and an “ecological diagnosis”

(PROCEED). The PRECEDE acronym
stands for Predisposing, Reinforcing,
Enabling Constructs in Educational/
Environmental Diagnosis and Evaluation.
Developed in the 1970s, this component
of the model posits that an educational
diagnosis is needed to design a health
promotion intervention, just as a medical
diagnosis is needed to design a treatment
plan. PROCEDE stands for Policy,
Regulatory, and Organizational Constructs
in Educational and Environmental
Development. This element was added
to the framework later, in 1991, to take
into account the impact of environmental
factors on health. Together, these two
components of the model help practitioners
plan programs that exemplify an
ecological perspective.
PRECEDE-PROCEED has nine steps. The
first five steps are diagnostic, addressing
both educational and environmental issues.
These include: (1) social assessment, (2)
epidemiological assessment, (3) behavioral
and environmental assessment, (4)
educational and ecological assessment, and
(5) administrative and policy assessment.
The last four comprise implementation and
evaluation of health promotion intervention.
These include: (6) implementation, (7)
process evaluation, (8) impact evaluation,
and (9) outcome evaluation. (See Figure 9.)
During the diagnostic steps of the model,

practitioners employ various methods to
learn about the community’s perceived and
actual needs, as well as the regulatory
context in which the intervention will
operate. To conduct social assessment, the
practitioner may use multiple data collection
activities (e.g., key informant interviews,
focus groups, participant observation,
surveys) to understand the community’s
perceived needs. Epidemiological
assessment may include secondary data
analysis or original data collection to
prioritize the community’s health needs and
establish program goals and objectives.
Behavioral and Environmental Assessment
identifies factors, both internal and external
to the individual, that affect the health
problem. Reviewing the literature and
applying theory are two ways to map out
these factors.
• Enabling factors, which enable persons to
act on their predispositions; these factors
include available resources, supportive
policies, assistance, and services.
• Reinforcing factors, which come into play
after a behavior has been initiated; they
encourage repetition or persistence of
behaviors by providing continuing rewards
or incentives. Social support, praise,
reassurance, and symptom relief might all
be considered reinforcing factors.
In the final diagnostic step of PRECEDE-
PROCEED, Administrative and Policy

Assessment, intervention strategies reflect
information gathered in previous steps;
the availability of needed resources; and
organizational policies and regulations
that could affect program implementation.
(See Table 10.)
41
PA
R
T 3
P
U
T
T
I N
G
T
H
E
O
R
Y
A
N
D

P
R
A
C
T
I C
E
T
O
G
E
T
H
E
R
40
T
H
E
O
R
Y
A

T
A
G
L A
N
C
E
Figure 9. The PRECEDE-PROCEED Model
PRECEDE
STEP 5
Administration
and Policy
Diagnosis
STEP 4 STEP 3 STEP 2 STEP 1
Educational and Behavioral and Epidemiological Social
Ecological Environmental Assessment Assessment
Assessment Assessment
In Educational and Ecological Assessment,
the practitioner identifies antecedent and
reinforcing factors that must be in place to
initiate and sustain change. Behavior—such
as reducing intake of dietary fat, engaging
in routine physical activity, and obtaining
annual mammograms—is shaped by

The four remaining steps of PRECEDE-
PROCEED comprise program
implementation and evaluation. Before
Implementation (Step 6) begins,
practitioners should prepare plans for
evaluating the process (Step 7), impact
Predisposing
Health factors
Promotion
Health Reinforcing Behavior and
education factors lifestyle
Policy
regulation Enabling Environment organization factors
Health Quality
of life
predisposing, reinforcing, and enabling
factors. Practitioners can use individual,
interpersonal, or community-level change
theories to classify determinants of behavior
(Step 8), and outcome (Step 9) of the
intervention. Process Evaluation gauges the
extent to which a program is being carried
out according to plan. Impact Evaluation
looks at changes in factors (i.e.,
into one of these three categories and rank
their importance. Because each type of
predisposing, enabling, and reinforcing

factor requires different intervention
factors) that influence the likelihood that
strategies, classifying them helps
behavioral and environmental change will
practitioners consider how to address
occur. Lastly, outcome evaluation looks at
Implementation Process Impact Outcome
Evaluation Evaluation Evaluation
PROCEED
Source: Green LW, Kreuter MW, 1999.
As Table 11 shows, the individual,
• Predisposing factors, which motivate or
interpersonal, and community-level theories
provide a reason for behavior; they include
discussed in this monograph are most
knowledge, attitudes, cultural beliefs, and
useful when applied to PRECEDE-
readiness to change.
PROCEED’s diagnostic steps. Community
community needs. The three types of
influencing factors include:

whether the intervention has affected health
and quality-of-life indicators.
Planning Step Function Examples of Relevant Theory
1. Social Assessment Assesses people’s view s of
their own needs and quality
of life
Community organization
Community building
2. Epidemiological
Assessment
Documents which health
problems are most important
for which groups in a
community
Community-level theories
(If the community helps to
choose the health problem that
will be addressed)
3. Behavioral/
Environmental

Assessment
Identifies factors that
contribute to the health
problem of interest
Interpersonal theories
- Social Cognitive Theory
Theories of organizational change
Diffusion of innovations
4. Educational/
Ecological
Assessment
Identifies preceding and
reinforcing factors that must
be in place to initiate and
sustain change
All three levels of change theories:
- Individual
- Interpersonal
- Community
5. Administrative/
Policy
Assessment
Identifies policies, resources,

and circumstances in the
program’s context that may
help or hinder implementation
Community-level theories:
- Community organization
- Organizational change
organization relates to Step 1, which may
entail working with communities to identify
their own needs, strengths, resources, and
capacities. Descriptive epidemiology is most
pertinent to Step 2, but community-level
theories may be relevant if the community
helps to choose the health problem that will
be addressed, or to set priorities among
health problems. Theory is most directly
useful when applied to steps 3, 4, and 5,
since these steps call upon the practitioner
to make strategic decisions. By using theory,
the practitioner can make sound choices
that are based upon more than just intuition
and personal judgment.
Theory should guide practitioners’ exam
ination of predisposing, enabling, and
reinforcing factors. For example, the Health
Belief Model suggests that certain beliefs
might influence women’s decisions about
whether or not to get a mammogram, such
as perceived chances of developing cancer
(perceived susceptibility), or how serious
they believe cancer would be (perceived
severity). Both beliefs constitute
predisposing factors. Other HBM constructs
may identify possible perceived benefits of

and barriers to screening. Receiving
reassurance that they do not have cancer
(perceived benefit) might be a reinforcing
factor. Lack of insurance coverage for
screening mammography (perceived
barrier) could be a negative enabling factor.
By exploring the degree to which each of
these factors affects women’s behaviors,
program planners can decide how to focus
program messages for a communications
campaign or strategies for an administrative
intervention (such as providing low- or no-
cost screening or changing insurance
coverage). The best way to verify and rank
explanations offered by theory is to gather
information directly from women in the
target population. Another, less ideal
To make appropriate use of theory in a
given situation, practitioners must consider
both the social or health problem at hand
and the context in which the intervention
will take place. Once they have identified
a problem, they can use a planning system
such as social marketing or PRECEDE-
PROCEED to identify social science
theories that contribute to their
understanding. These theories can guide
them to potential points of intervention.
Consulting the research literature helps
practitioners to learn about the past
successes or failures of intervention
strategies that they consider, and reflect
on whether those strategies are likely to

work for the current situation. Pre-testing
43
PA
R
T 3
42
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E
Table 10. Diagnostic Elements of PRECEDE-PROCEED
approach is to learn by reading research and actively discussi ng
proposed

literature on women who share strategies with the target
audience can
characteristics with the target population. also help to determine
whether or not they
will be well received.
P
U
T
T
I N
G
T
H
E
O
R
Y
A
N
D
P
R
A
C
T

I C
E
T
O
G
E
T
H
E
R
Where to Begin: Choosing the
Right Theories
Interventions that evolve from a
comprehensive planning process, build
on prior research, and use health behavior
theories are more likely to be effective.
By investigating what factors influence
the target population’s behavior, including
their social and physical environments,
practitioners gain the raw materials they
need to meet the needs of that population.
Theory helps practitioners to interpret the
findings of their research, making the leap
from facts on a page to understanding the
dynamic interactions between behavior
and environmental context. Systematic
approaches to tailoring, targeting,
implementing, and evaluating programs

provide practitioners with a framework for
translating this insight into actions that
improve health outcomes.
Table 11. summarizes the focus and key
concepts of each of the eight theories
described in this guide. Refer to this table
to identify theories that help explain and
address a health problem. For example,
several theories could be used to inform the
design of a program to reduce tobacco use
among adolescents. By scanning the
“Focus” column, one can quickly gauge
which theories might apply to a particular
situation. For example, The Stages of
Change model might be very useful, since it
centers on individuals’ readiness to change.
On the other hand, the Health Belief Model
seems less promising, since young people
may be less concerned about long-term
health problems. (In fact, they may not feel
vulnerable to disease at all!) Social
Cognitive Theory could be helpful because it
emphasizes the interplay between personal,
environmental, and behavior factors.
Likewise, Community Organization could
offer perspective on activating young people
around tobacco control issues. Applying step-by-step process of
examining health

each of these theories might look like this: and behavior at
multiple levels.
44
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E
• Stages of Change: Learn more about
readiness to change among adolescents
who smoke in order to plan appropriate
and effective cessation messages
and strategies.
• Social Cognitive Theory: Examine how
social environment, including peer
attitudes, influences adolescents’ tobacco

use. What are the expectations of teens
who experiment with tobacco, or who use
it regularly? How do observational learning
and reinforcement contribute to the
reasons why they smoke? Might these
constructs help identify someone who
can successfully help them to quit?
• Community Organization: Consider how
to involve teen smokers in developing and
carrying out the program. One idea might
be to organize a coalition of concerned
parents, teachers, and teens to help
explore why teens smoke, and identify
potential solutions.
The examples above offer a basic
illustration of how multiple theories might
be combined to address a single problem.
The resulting program would be a multi-
faceted, multilevel effort.
A Few Final Words
Once one is familiar with some
contemporary theories of health behavior,
the challenge is to use them appropriately
within a comprehensive planning process.
Planning systems, such as social marketing
and PRECEDE-PROCEED, facilitate the
process of developing successful programs
because they lead practitioners through a
At the most basic level, an ecological
perspective points to two approaches to
addressing health problems: change

people’s behavior or change the
environment. The most powerful health
promotion and behavior change
interventions integrate these approaches
and treat them both as essential. Figure 10.
illustrates that strategies intended
to change people’s behavior can often be
derived from individual-level theories; those
aimed at changing the environment draw on
community-level theories. Theories at the
interpersonal level (such as Social Cognitive
Theory) lie in-between, exploring the
reciprocal exchanges between individuals
and their environments.
Practitioners who are aware of reciprocal
causation (i.e., that individual behavior
both influences, and is influenced by, the
environment) are more likely to design
multidimensional, effective health promotion
programs. A change strategy based on
individual-level theory may indirectly lead
to changes in the environment (e.g., when
individuals’ improved eating habits drive
the cafeteria to offer healthier choices).
By the same token, a strategy based on
community-level theory may yield improved
individual health behaviors (e.g., when
an individual’s involvement in a community
organizing project to improve access to
fruits and vegetables in the community
inspires her to cook healthier foods for
her family).
Theoretical frameworks offer flexible
guidance for applying the abstract

concepts of theory to a vast array of real
circumstances. By becoming familiar with
Stages of Change
Model
Theory of Planned
Behavior
Diffusion of
Innovations
Individuals’ motivation and
readiness to change a
problem behavior
Individuals’ attitudes toward
a behavior, perceptions of
norms, and beliefs about the
ease or difficulty of changing
How new ideas, products,
and practices spread within a
society or from one society
to another
Precontemplation
Contemplation
Decision
Action
Maintenance
Behavioral intention
Attitude
Subjective norm
Perceived behavioral control

Relative advantage
Compatibility
Complexity
Trialability
Observability
Table 11. Summary of Theories: Focus and Key Concepts
Individual
Level
Interpersonal
Level
Community
Level
Theory Focus
Health Belief Model Individuals’ perceptions of
the threat posed by a health
problem, the benefits of
avoiding the threat, and
factors influencing the
decision to act
45
PA
R
T 3
P
U

T
T
I N
G
T
H
E
O
R
Y
A
N
D
P
R
A
C
T
I C
E
T
O
G
E

T
H
E
R
Precaution
Adoption Process
Model
Social Cognitive
Theory
Community
Organization
Communication
Theory
Individuals’ journey from
lack of awareness to action
and maintenance
Personal factors,
environmental factors, and
human behavior exert
influence on each other
Community-driven
approaches to assessing and
solving health and social
problems
How different types of

communication affect health
behavior
Key Concepts
Perceived susceptibility
Perceived severity
Perceived benefits
Perceived barriers
Cues to action
Self-efficacy
Unaware of issue
Unengaged by issue
Deciding about acting
Deciding not to act
Deciding to act
Acting
Maintenance
Reciprocal determinism
Behavioral capability
Expectations
Self-efficacy
Observational learning
Reinforcements
Empowerment
Community capacity
Participation
Relevance
Issue selection
Critical consciousness
Example: Agenda Setting

Problem identification,
definition
Framing
Figure 10. Using Theory to Plan Multilevel Interventions
Change Strategies
Change
People’s Behavior
Change
the Environment
•
•
•
•
Examples
of Strategies
Educational sessions
Interactive kiosks
Print brochures

Social marketing
campaigns
Ecological
Level
Individual
Useful Theories
Stages of Change
Precaution Adoption Process
Health Belief Model
Theory of Planned Behavior
•
•
Mentoring programs
Lay health advising
Interpersonal Social Cognitive Theory
•
•
Media advocacy
campaigns
Advocating changes to
company policy
Community Communication Theory
Community Organizing

47
PA
R
T 3
46
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E
P U
T
T
I N

R
behavior change theories and planning
systems, practitioners gain access to tools
that allow them to generate creative
solutions to unique situations. They are able
to go beyond acting on instinct or repeating
earlier interventions to adopt a systematic,
scientific approach to their work. Theory
helps practitioners to ask the right questions
and effective planning helps them zero in on
factors that contribute to a problem. Other
key elements of effective programs include
matching programs to the audience, making
information accessible and practical,
involving participants in active learning,
and including elements that build skills
and reinforce behavior change.
Becoming comfortable with behavior change
theory as an instrument of practice may take
some work, but the results are well worth
it. Behavior change theory is not simply a
tool for academics and researchers; it
can be applied to the problems health
promotion practitioners face every day.
The abstractions of theory help practitioners
to understand the dynamics underlying real
situations and to think about solutions
in a new way. Armed with this resource,
you may find yourself saying, as did
Winston Churchill in 1898, “I pass with relief
from the tossing sea of Cause and Theory
to the firm ground of Result and Fact.”

48
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E
Sources
Bandura A. Social Foundations of Thought and Action: A Social
Cognitive Theory. Englewood
Cliffs, N.J.: Prentice-Hall, 1986.

Glanz K, Rimer BK, Lewis FM. Health Behavior and Health
Education: Theory, Research, and
Practice (3rd Edition). San Francisco, Calif.: Jossey-Bass, 2002.
Prochaska JO, DiClemente CC, Norcross JC. In Search of How
People Change: Applications to
the Addictive Behaviors. American Psychologist 47:1102–1114,
1992.
Rosenstock IM, Strecher VJ, Becker MH. Social Learning
Theory and the Health Belief Model.
Health Education Quarterly 15(2):175–183, 1988.
van Ryn M, Heaney CA. Developing Effective Helping
Relationships in Health Education Practice.
Health Education and Behavior 24:683–702, 1997.
Kotler P, Andreasen A. Strategic Marketing for Nonprofit
Organizations (5th Edition).
Prentice-Hall, 1996.
Office of Cancer Communications, National Cancer Institute.
Making Health Communication
Programs Work: A Planner’s Guide (revised December 2001).
NIH Pub. No. 02-5145, 2002.
Glanz, Karen and Rimer, Barbara K. Theory at a Glance: A
Guide for Health Promotion Practice.
National Cancer Institute, National Institutes of Health, U.S.
Department of Health and Human
Services. NIH Pub. No. 97-3896. Washington, DC: NIH,
Revised September 1997.
References

1 Glanz K, Rimer BK, Lewis FM. Health Behavior and Health
2 Institute of Medicine. Speaking of Health: Assessing Health
Communications Strategies
for Diverse Populations. Washington, D.C.: National Academies
Press, 2002.
3 Kreuter MW, Skinner CS. Tailoring: what’s in a name? Health
Education Research 15(1):1, 2000.
4 McLeroy KR, Bibeau D, Steckler A, Glanz K. An ecological
perspective on health promotion
programs. Health Education Quarterly 15:351–377, 1988.
5 Office on Smoking and Health, National Center for Chronic
Disease Prevention and Health
Promotion, Centers for Disease Control and Prevention, U.S.
Services. Best Practices for Comprehensive Tobacco Control
Programs. Atlanta Ga.: August 1999.
6 Prochaska JO, DiClemente CC. Stages and processes of self-
change of smoking:
Toward an integrative model of change. Journal of Consulting
and Clinical Psychology 51(3):
390–395, 1983.
7 Azjen I, Driver BL. Prediction of leisure participation from
behavioral, normative, and control
beliefs: an application of the theory of planned behavior.
Leisure Science 13:185–204, 1991.
8 Mandelblatt JS, Gold K, O’Malley AS, et al. Breast and cervix
cancer screening among multiethnic

women: Role of age, health, and source of care. Preventive
Medicine 28:418–425, 1999.
9 Institute of Medicine, op. cit.
10 Baranowski T, et al. Increasing fruit and vegetable
consumption among 4th and 5th grade
students: results from focus groups using reciprocal
determinism. Journal of Nutrition Education
25:114–327, 1993.
11 Lorig K, Sobel D, Stewart A, et al. Evidence suggesting that
a chronic disease self-management
program can improve health status while reducing
hospitalization. Medical Care 37(1):5–14, 1999.
12 Fetterman DM, Kaftarian SJ, Wandersman A. Empowerment
Evaluation: Knowledge and Tools
for Self-assessment and Accountability. Thousand Oaks, Calif.:
Sage Publications, 1996.
13 Fawcett SB, Francisco VT, Schultz JA, et al. The Community
Tool Box: A Web-Based Resource
for Building Healthier Communities. Public Health Rep. 115(2-
3):274–8, Mar-Jun, 2000.
49
T
H
E
O
R
Y

A
T
A
G
L A
N
C
E
50
T
H
E
O
R
Y
A
T
A
G

L A
N
C
E
14 Rothman J. Approaches to Community Intervention. In
Rothman J, Erlich JL, Tropman JE (eds.),
Strategies of Community Intervention. Itasca, Ill.: Peacock
Publishers, 2001.
15 Wallerstein N. Powerlessness, empowerment, and health:
implications for health promotion
programs. American Journal of Health Promotion 6:197–205,
1992.
16 Fisher R. Social Action Community Organization:
Proliferation, Persistence, Roots, and
Prospects. In Minkler M (ed.), Community Organizing and
Community Building for Health. Rutgers,
N.J.: Rutgers University Press, 1997.
17 Alinsky SD. Rules for Radicals. New York, N.Y.: Vintage
Books, 1989.
18 Parachini L, Covington S. Community Organizing Toolbox:
A Funder’s Guide to Community
Organizing Neighborhood Funders Group. Washington, D.C.:
April 2001.
URL: http://www.aecf.org/tarc/publications/pubs_toolbox.php
19 Alinsky, op. cit.
20 Dorfman L, Wallack L, Themba M. Media Advocacy and

Public Health: Power for Prevention.
Newbury Park, Calif.: Sage Publications, 1993.
21 Wallack L., Dorfman L. Issue 1. Berkeley Media Studies
Group, Berkeley, CA. January, 1997.
22 Nichter M. Project community diagnosis: Participatory
research as a first step toward community
involvement in primary health care in Hahn RA (ed.),
Anthropology in public health: Bridging the
differences in culture and society. New York, N.Y.: Oxford
University Press, 1999.
23 Thompson B, Nettekoven L, Ferster D, Stanley LC,
Thompson J, Corbett KK. Chapter 5:
Mobilizing the COMMIT Communities for Smoking Control.
Smoking and Tobacco Control
Monograph 6: Community-Based Interventions for Smokers:
The COMMIT Field Experience.
Tobacco Control Research Branch, Division of Cancer Control
and Population Sciences, National
Cancer Institute, National Institutes of Health. 1993.
24 Community-based interventions for smokers: The COMMIT
Field Experience, Smoking and
Tobacco Control Monograph No. 6. Burns D, Garfinkel L,
Samet J, editors. USDHHS NIH NCI. NIH
Publication No. 95-4028, 1995.
26 National Cancer Policy Board, Institute of Medicine.
Fulfilling the Potential of Cancer Prevention
and Early Detection. Washington, D.C.: The National
Academies Press, 2003.

27 Rogers EM. Diffusion of Innovations (4th Edition). New
York, N.Y.: Free Press, 1995.
28 Bernhardt JM. Communication at the Core of Public Health.
American Journal of Public Health
94(12): 2051–2052, December 2004.
29 Ibid.
30 Office of Cancer Communications, National Cancer Institute.
NIH Pub. No. 02-5145, 2002.
31 Freimuth V, Quinn SC. The Contributions of Health
Communication to Eliminating Health
Disparities. American Journal of Public Health 94(12):2053–
2054, December 2004.
33 Freimuth V, Quinn SC, op. cit.
34 Ibid.
35 Ibid.
36 Dorfman L, Wallack L, Themba M, op cit.
37 Eysenbach G. What is e-health? Journal of Medical Internet
Research 3(2):e20, 2001.
URL: http://www.jmir.org/20012/e20
38 Eng TR. The eHealth Landscape: A Terrain Map of Emerging
Information and Communication
Technologies in Health and Health Care. The Robert Woods

Johnson Foundation, 2001.
URL: http://www.informatics-review.com/thoughts/rwjf.html
39 Neuhauser L, Kreps G. Rethinking Communication in the E-
health Era. Journal of Health
Psychology 8(1): 7–22, 2003.
40 Science Panel on Interactive Communication and Health.
Wired for Health and Well-Being:
The Emergence of Interactive Health Communications. U.S.
Services, U.S. Government Printing Office. Washington, D.C.:
April 1999.
URL: http://www.health.gov/scipich/pubs/finalreport.htm
41 Cassell MM, Jackson C, Cheuvront B. Health communication
on the Internet: an effective
channel for health behavior change? J Health Commun 3(1):71-
9, Jan-Mar 1998.
43 Lieberman, D.A. Interactive video games for health
promotion: Effects on knowledge, self-
efficacy, social support, and health. R.L. Street, W.R. Gold, &
T. Manning (Eds.), Health promotion
and interactive technology: Theoretical applications and future
directions. Mahwah, NJ: Lawrence
Erlbaum Associates, pp. 103–120, 1997.

44 Lieberman DA. Management of chronic pediatric diseases
with interactive health games:
Theory and research findings. Journal of Ambulatory Care
Management 24(1):26–38, 2001.
51
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E
http://www.health.gov/scipich/pubs/finalreport.htm
http://www.informatics-review.com/thoughts/rwjf.html
http://www.jmir.org/20012/e20
http://www.aecf.org/tarc/publications/pubs_toolbox.php

52
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E
45 Kreps GL. Evaluating new health information technologies:
expanding the frontiers of health care
delivery and health promotion. Stud Health Technol Inform
80:205–12, 2002.
46 U.S. Department of Commerce. A Nation On-line: How
Americans are Expanding their Use of the
Internet. Economics and Statistics Administration, National
Telecommunications and Information
Administration. February 2002. URL:

http://www.ntia.doc.gov/ntiahome/dn/anationonline2.pdf
47 Leslie Harris & Associates. Bringing a Nation On-line: The
Importance of Federal Leadership.
The Leadership Conference on Civil Rights Education Fund and
the Benton Foundation. July 2002.
URL:
http://www.benton.org/publibrary/nationonline/bringing_a_natio
n.pdf
48 Institute of Medicine, op cit.
49 Andreasen A. Marketing Social Change: Changing Behavior
to Promote Health, Social
Development, and the Environment. San Francisco, Calif.:
Jossey-Bass, 1995.
50 National Cancer Institute. 5 A Day for Better Health
Program, Chapter 1. National Institutes of
Health. NIH Pub. No. 01-5019. Washington, DC: September
2001.
51 California Department of Health Services. Cancer Prevention
and Nutrition Section. Eat 5 A Day
for Better Health. 2005. URL:
http://www.dhs.ca.gov/ps/cdic/cpns/ca5aday/
52 Alcalay R, Bell R. Promoting Nutrition and Physical Activity
Through Social Marketing. Department
of Communication and the Center for Advanced Studies in
Nutrition and Social Marketing.
University of California, Davis, June, 2000.
http://socialmarketing-nutrition.ucdavis.edu/publications.htm
53 Green LW, Kreuter MW. Health Promotion Planning: An
Educational and Ecological Approach

(3rd edition). McGraw-Hill, 1999.
http://www.dhs.ca.gov/ps/cdic/cpns/ca5aday
n.pdf
http://www.ntia.doc.gov/ntiahome/dn/anationonline2.pdfS tructu
re BookmarksTheory.Glance. A Guide For Health Promotion
Practice (Second Edition) Foreword. Acknowledgements. Tables
and Figures. Table of Contents. Introduction. Foundations of
Theory in Health Promotion and Health BehaviorPart 1 Theories
and Applications Putting Theory And Practice Together Part 3
Sources. References.
Theory
at a
Glance
A Guide For Health Promotion Practice
(Second Edition)
U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES
National Institutes of Health

Foreword
A
decade ago, the first edition of Theory at a Glance was
published. The guide was
a welcome resource for public health practitioners seeking a
single, concise
summary of health behavior theories that was neither
overwhelming nor superficial.
As a government publication in the public domain, it also
provided cash-strapped
health departments with access to a seminal integration of
scholarly work that was useful to
program staff, interns, and directors alike. Although they were
not the primary target audience,
members of the public health research community also utilized
Theory at a Glance, both as
a quick desk reference and as a primer for their students.
The National Cancer Institute is pleased to sponsor the
publication of this guide, but its
relevance is by no means limited to cancer prevention and
control. The principles described
herein can serve as frameworks for many domains of public
health intervention,
complementing focused evidence reviews such as Centers for
Disease Control and
Prevention’s Guide to Community Preventive Services. This
report also complements a
number of other efforts by NCI and our federal partners to
facilitate more rigorous testing
and application of health behavior theories through training
workshops and the development
of new Web-based resources.

One reason theory is so useful is that it helps us articulate
assumptions and hypotheses
concerning our strategies and targets of intervention. Debates
among policymakers
concerning public health programs are often complicated by
unspoken assumptions or
confusion about which data are relevant. Theory can inform
these debates by clarifying key
constructs and their presumed relationships. Especially when
the evidence base is small,
advocates of one approach or another can be challenged to
address the mechanisms by
which a program is expected to have an impact. By specifying
these alternative pathways to
change, program evaluations can be designed to ensure that
regardless of the outcome,
improvements in knowledge, program design, and
implementation will occur.
I am pleased to introduce this second edition of Theory at a
Glance. I am especially
impressed that the lead authors, Dr. Barbara K. Rimer and Dr.
Karen Glanz, have enhanced
and updated it throughout without diminishing the clarity and
efficiency of the original. We
hope that this new edition will empower another generation of
public health practitioners to
apply the same conceptual rigor to program planning and design
that these authors exemplify
in their own research and practice.
Robert T. Croyle, Ph.D.
Director

Division of Cancer Control and Population Sciences
National Cancer Institute
Spring 2005
Acknowledgements
The National Cancer Institute would like to thank Barbara
Rimer Dr.P.H. and
Karen Glanz Ph.D., M.P.H., authors of the original monograph,
whose knowledge of
healthcommunications theory and practice have molded a
generation of health promotion
practitioners. Both have provided hours of review and
consultation, and we are grateful to
them for their contributions.
Thanks to the staffs of the Office of Communications,
particularly Margaret Farrell,
and the Division of Cancer Control and Population Sciences and
Kelly Blake, who guided
this monograph to completion. We appreciate in particular the
work of Karen Harris,
whose attention to detail and commitment to excellence
enhanced the monograph’s
content and quality.
Tables and Figures
Table of Contents

Introduction viii
Audience and Purpose 1
Contents 1
Part 1: Foundations of Theory in Health Promotion and Health
Behavior 3
Why Is Theory Important to Health Promotion and Health
Behavior Practice? 4
What Is Theory? 4
How Can Theory Help Plan Effective Programs? 4
Explanatory Theory and Change Theory 5
Fitting Theory to the Field of Practice 5
Using Theory to Address Health Issues in Diverse Populations 7
Part 2: Theories and Applications 9
The Ecological Perspective: A Multilevel, Interactive Approach
10

Theoretical Explanations of Three Levels of Influence 12
Individual or Intrapersonal Level 12
Precaution Adoption Process Model 18
Interpersonal Level 19
Community Level 22
Community Organization and Other Participatory Models 23
Diffusion of Innovations 27
Communication Theory 29
Media Effects 30
Agenda Setting 30
New Communication Technologies 31

Part 3: Putting Theory and Practice Together 35
Planning Models 36
Social Marketing 36
PRECEDE-PROCEED 39
Where to Begin: Choosing the Right Theories 43
A Few Final Words 44
Sources 48
References 49
Table 1
Table 2
Table 3
Table 4
Table 5
Table 6
Table 7

Table 8
Table 9
Table 10
Table 11
Figure 1
Figure 2
Figure 3
Figure 4
Figure 5
Figure 6
Figure 7
Figure 8
Figure 9
Figure 10
Tables
An Ecological Perspective: Levels of Influence 11

Community Organization 24
Concepts in Diffusion of Innovations 27
Key Attributes Affecting the Speed and Extent of an
Innovation’s Diffusion 28
Agenda Setting, Concepts, Definitions, and Applications 31
Diagnostic Elements of PRECEDE-PROCEED 42
Summary of Theories: Focus and Key Concepts 45
Figures
Using Explanatory Theory and Change Theory to Plan and
Evaluate Programs 6
A Multilevel Approach to Epidemiology 10
Theory of Reasoned Action and Theory of Planned Behavior 18

Stages of the Precaution Adoption Process Model 19
An Integrative Model 21
Sociocultural Environment Logic Framework 26
An Asthma Self-Management Video Game for Children 33
Social Marketing Wheel 38
The PRECEDE-PROCEED Model 40
Using Theory to Plan Multilevel Interventions 46
viii
T
H
E
O
R
Y
A
T

A
G
L A
N
C
E
Introduction
T
his monograph, Theory at a Glance: Application to Health
Promotion and Health
Behavior (Second Edition), describes influential theories of
health-related behaviors,
processes of shaping behavior, and the effects of community
and environmental
factors on behavior. It complements existing resources that
offer tools, techniques,
and model programs for practice, such as Making Health
Communication Programs Work:
A Planner’s Guide, i and the Web portal, Cancer Control
PLANET (Plan, Link, Act, Network
with Evidence-based Tools).ii Theory at a Glance makes health
behavior theory accessible
and provides tools to solve problems and assess the
effectiveness of health promotion
programs. (For the purposes of this monograph, health
promotion is broadly defined as the
process of enabling people to increase control over, and to
improve, their health. Thus, the

focus goes beyond traditional primary and secondary prevention
programs.)
For nearly a decade, public health and health care practitioners
have consulted the original
version of Theory at a Glance for guidance on using theories
about human behavior to inform
program planning, implementation, and evaluation. We have
received many testimonials
about the First Edition’s usefulness, and requests for additional
copies. This updated edition
includes information from recent health behavior research and
suggests theoretical
approaches to developing programs for diverse populations.
Theory at a Glance can be
used as a stand-alone handbook, as part of in-house staff
development programs, or in
conjunction with theory texts and continuing education
workshops.
For easy reference, the monograph includes only a small number
of current and applicable
health behavior theories. The theories reviewed here are widely
used for the purposes of
cancer control, defining risk, and segmenting populati ons. Much
of the content for this
publication has been adapted from the third edition of Glanz,
Rimer, and Lewis’ Health
Behavior and Health Education: Theory, Research, and Practice,
1 published by Jossey-Bass
in San Francisco. Readers who want to learn more about useful
theories for health behavior
change and health education practice can consult this and other
sources that are
recommended in the References section at the end of the
monograph.

i Making Health Communication Programs Work
(http://www.nci.nih.gov/pinkbook/) describes a practical
approach for planning and implementing health communication
efforts.
ii Cancer Control PLANET
(http://cancercontrolplanet.cancer.gov) provides access to data
and resources
that can help planners, program staff, and researchers to design,
implement, and evaluate evidence-based
cancer control programs.
Audience and Purpose
This monograph is written primarily for public health workers
in state and local health
agencies; it is also valuable for health promotion practitioners
and volunteers who work in
voluntary health agencies, community organizations, health care
settings, schools, and the
private sector.
Interventions based on health behavior theory are not
guaranteed to succeed, but they are
much more likely to produce desired outcomes. Theory at a
Glance is designed to help users
understand how individuals, groups, and organizations behave
and change—knowledge they
can use to design effective programs. For information about
specific, evidence-based
interventions to promote health and prevent disease, readers
may also wish to consult the
Guide to Community Preventive Services, published by the
Centers for Disease Control and
Prevention (CDC) at www.thecommunityguide.org.

Contents
This monograph consists of three parts. For each theory, the
text highlights key concepts
and their applications. These summaries may be used as
“checklists” of important issues to
consider when planning or evaluating programs or to prompt
project teams to think about the
range of factors that influence health behavior.
Part 1. Foundations of Theory in Health Promotion and Health
Behavior describes ways that
theories and models can be useful in health behavior/health
promotion practice and
provides basic definitions.
Part 2. Theories and Applications presents an ecological
perspective on health
behavior/health promotion programs. It describes eight theories
and models that
explain individual, interpersonal, and community behavior and
offers approaches to
solving problems. A brief description of each theory is followed
by definitions of key
concepts and examples or case studies. The section also
explores the use of new
communication technologies.
Part 3. Putting Theory and Practice Together explains how
theory can be used in health
behavior/health promotion program planning, implementation,
and evaluation.
Two comprehensive planning models, PRECEDE-PROCEED
and social marketing,
are reviewed.

1
IN
TR
O
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E
http:www.thecommunityguide.org
http:http://cancercontrolplanet.cancer.gov
http://www.nci.nih.gov/pinkbook
http:Tools).ii

4
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E
Why Is Theory Important to
Health Promotion and Health

Behavior Practice?
Effective public health, health promotion,
and chronic disease management programs
help people maintain and improve health,
reduce disease risks, and manage chronic
illness. They can improve the well-being
and self-sufficiency of individuals, families,
organizations, and communities. Usually,
such successes require behavior change at
many levels, (e.g., individual, organizational,
and community).
Not all health programs and initiatives are
equally successful, however. Those most
likely to achieve desired outcomes are
based on a clear understanding of targeted
health behaviors, and the environmental
context in which they occur. Practitioners
use strategic planning models to develop
and manage these programs, and
continually improve them through
meaningful evaluation. Health behavior
theory can play a critical role throughout
the program planning process.
What Is Theory?
A theory presents a systematic way of
understanding events or situations. It is a
set of concepts, definitions, and propositions
that explain or predict these events or
situations by illustrating the relationships
between variables. Theories must be
applicable to a broad variety of situations.
They are, by nature, abstract, and don’t

have a specified content or topic area.
Like empty coffee cups, theories have
shapes and boundaries, but nothing inside.
They become useful when filled with
practical topics, goals, and problems.
• Concepts are the building blocks—the
primary elements—of a theory.
• Constructs are concepts developed or
adopted for use in a particular theory.
The key concepts of a given theory are
its constructs.
• Variables are the operational forms of
constructs. They define the way a
construct is to be measured in a specific
situation. Match variables to constructs
when identifying what needs to be
assessed during evaluation of a theory-
driven program.
• Models may draw on a number of theories
to help understand a particular problem in
a certain setting or context. They are not
always as specified as theory.
Most health behavior and health promotion
theories were adapted from the social and
behavioral sciences, but applying them to
health issues often requires that one be
familiar with epidemiology and the biological
sciences. Health behavior and health
promotion theories draw upon various
disciplines, such as psychology, sociology,
anthropology, consumer behavior, and

marketing. Many are not highly developed
or have not been rigorously tested. Because
of this, they often are called conceptual
frameworks or theoretical frameworks; here
the terms are used interchangeably.
How Can Theory Help Plan
Effective Programs?
Theory gives planners tools for moving
beyond intuition to design and evaluate
health behavior and health promotion
interventions based on understanding of
behavior. It helps them to step back and
consider the larger picture. Like an artist,
a program planner who grounds health
interventions in theory creates innovative
ways to address specific circumstances.
He or she does not depend on a “paint-by-
numbers” approach, re-hashing stale ideas,
but uses a palette of behavior theories,
skillfully applying them to develop unique,
tailored solutions to problems.
Using theory as a foundation for program
planning and development is consistent with
the current emphasis on using evidence-
based interventions in public health,
behavioral medicine, and medicine. Theory
provides a road map for studying problems,
developing appropriate interventions, and
evaluating their successes. It can inform the
planner’s thinking during all of these stages,
offering insights that translate into stronger
programs. Theory can also help to explain

the dynamics of health behaviors, including
processes for changing them, and the
influences of the many forces that affect
health behaviors, including social and
physical environments. Theory can also help
planners identify the most suitable target
audiences, methods for fostering change,
and outcomes for evaluation.
Researchers and practitioners use theory
to investigate answers to the questions of
“why,” “what,” and “how” health problems
should be addressed. By seeking answers
to these questions, they clarify the nature
of targeted health behaviors. That is, theory
guides the search for reasons why people
do or do not engage in certain health
behaviors; it helps pinpoint what planners
need to know before they develop public
health programs; and it suggests how to
devise program strategies that reach target
audiences and have an impact. Theory also
helps to identify which indicators should be
monitored and measured during program
evaluation. For these reasons, program
planning, implementation, and monitoring
processes based in theory are more likely
to succeed than those developed without
the benefit of a theoretical perspective.
Explanatory Theory and
Change Theory
Explanatory theory describes the reasons
why a problem exists. It guides the search

for factors that contribute to a problem (e.g.,
a lack of knowledge, self-efficacy, social
support, or resources), and can be changed.
Examples of explanatory theories include
the Health Belief Model, the Theory of
Planned Behavior, and the Precaution
Adoption Process Model.
Change theory guides the development of
health interventions. It spells out concepts
that can be translated into program
messages and strategies, and offers a basis
for program evaluation. Change theory
helps program planners to be explicit about
their assumptions for why a program will
work. Examples of change theories include
Community Organization and Diffusion of
Innovations. Figure 1. illustrates how
explanatory theory and change theory can
be used to plan and evaluate programs.
Fitting Theory to the Field of Practice
This monograph includes descriptions and
applications of some theories that are
central to health behavior and health
promotion practice today. No single theory
dominates health education and promotion,
nor should it; the problems, behaviors,
populations, cultures, and contexts of public
health practice are broad and varied. Some
theories focus on individuals as the unit of
change. Others examine change within
families, institutions, communities, or
cultures. Adequately addressing an issue
may require more than one theory, and no

one theory is suitable for all cases.
5
PA
R
T 1
F O
U
N
D
A
T
I O
N
S
O
F A
P
P
LY
I N
G
T
H
E

O
R
Y
I N
H
E
A
LT
H
P
R
O
M
O
T
I O
N
P
R
A
C
T
I C
E

6
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E
Fig
Explanatory
Theory
Why?

What can
be changed?
ure 1. Using Explanatory Theory and Change Theory to Plan
and Evaluate Programs
Evaluation
ChangeTheory
Problem
Behavior Which strategies?
Which messages? or
Assumptions about
Situation how a program
should work
Planning
A Good Fit:
Characteristics of a Useful Theory
A useful theory makes assumptions about
a behavior, health problem, target
population, or environment that are:
• Logical;
• Consistent with everyday observations;
• Similar to those used in previous
successful programs; and
• Supported by past research in the same

area or related ideas.
Using Theory to Address Health
Issues in Diverse Populations
The U.S. population is growing more
culturally and ethnically diverse. An
increasing body of research shows health
disparities exist among various ethnic and
socio-economic groups. These findings
highlight the importance of understanding
Because the social context in which
behavior occurs is always evolving, theories
that were important in public health
education a generation ago may be of
limited use today. At the same time, new
social science research allows theorists to
refine and adapt existing theories. A recent
Institute of Medicine report2 observed that
several theorists have converged in their
views, identifying several variables as
central to behavior change. As a result,
some constructs, such as self-efficacy, are
central to multiple theories.
Effective practice depends on using
theories and strategies that are appropriate
to a situation.
One of the greatest challenges for those
concerned with behavior change is learning
to analyze how well a theory or model “fits”
a particular issue. A working knowledge of
specific theories, and familiarity with how

they have been applied in the past,
improves skills in this area. Selecting an
appropriate theory or combination of
theories helps take into account the multiple
factors that influence health behaviors.
The practitioner who uses theory develops a
nuanced understanding of realistic program
outcomes that drives the planning process.
Choosing a theory that will bring a useful
perspective to the problem at hand does not
begin with a theory (e.g., the most familiar
theory, the theory mentioned in a recent
journal article, etc.). Instead, this process
starts with a thorough assessment of the
situation: the units of analysis or change,
the topic, and the type of behavior to be
addressed. Because different theoretical
frameworks are appropriate and practical for
different situations, selecting a theory that
“fits” should be a careful, deliberate process.
Start with the steps in the box at the top of
the next page.
the cultural backgrounds and life
experiences of community members, though
research has not yet established when and
under what circumstances targeted or
tailored health communications are more
effective than generic ones. (Targeting
involves using information about shared
characteristics of a population subgroup to
create a single intervention approach for
that group. In contrast, tailoring is a process
that uses an assessment to derive
information about one specific person, and

then offers change or information strategies
for an outcome of interest based on that
person’s unique characteristics.)3
Most health behavior theories can be
applied to diverse cultural and ethnic
groups, but health practitioners must
understand the characteristics of target
populations (e.g., ethnicity, socioeconomic
status, gender, age, and geographical
location) to use these theories correctly.
There are several reasons why culture and
ethnicity are critical to consider when
applying theory to a health problem. First,
morbidity and mortality rates for different
diseases vary by race and ethnicity; second,
there are differences in the prevalence of
risk behaviors among these groups; and
third, the determinants of health behaviors
vary across racial and ethnic groups.
What People in the Field Say About Theory
“Theory is different from most of the tools
I use in my work. It’s more abstract, but
that can be a plus too. A solid grounding
in a handful of theories goes a long way
toward helping me think through why I
approach a health problem the way I do.”
— County Health Educator
“I used to think theory was just for
students and researchers. But now I have
a better grasp of it; I appreciate how

practical it can be.”
— State Chronic Disease Administrator
“By translating concepts from theory
into real-world terms, I can get my staff
and community volunteers to take a closer
look at why we’re conducting programs
the way we do, and how they can succeed
or fail.”
— City Tobacco Control Coordinator
“A good grasp of theory is essential for
leadership. It gives you a broader way
of viewing your work. And it helps create
a vision for the future. But, of course, it’s
only worthwhile if I can translate it clearly
and simply to my co-workers.”
— Regional Health Promotion Chief
“It’s not as hard as I thought it would be
to keep up with current theories. More
than ever these days, there are tools and
workshops to update us often.”
— Patient Education Coordinator
7
PA
R
T 1
F O

U
N
D
A
T
I O
N
S
O
F A
P
P
LY
I N
G
T
H
E
O
R
Y
I N
H
E

A
LT
H
P
R
O
M
O
T
I O
N
P
R
A
C
T
I C
E
Part 2
Theories and Applications

9
PA
R
T 2
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E
The Ecological Perspective: A interactions with their physical
and socio-

cultural environments. Two key concepts Multilevel, Interactive
Approach
of the ecological perspective help to identify
intervention points for promoting health:Contemporary health
promotion involves
first, behavior both affects, and is affected
Concept Definition
Intrapersonal Level Individual characteristics that influence
behavior, such as
knowledge, attitudes, beliefs, and personality traits
Interpersonal Level Interpersonal processes and primary groups,
including
family, friends, and peers that provide social identity,
support, and role definition
Community Level
Institutional Factors
Rules, regulations, policies, and informal structures, which
may constrain or promote recommended behaviors
Community Factors
Social networks and norms, or standards, which exist as
formal or informal among individuals, groups, and
organizations
Public Policy Local, state, and federal policies and laws that
regulate
or support healthy actions and practices for disease
prevention, early detection, control, and management
by, multiple levels of influence; second,

Table 1. An Ecological Perspective: Levels of Influence
more than simply educating individuals
about healthy practices. It includes efforts
individual behavior both shapes, and isto change organizational
behavior, as well
11
PA
R
T 2
T
H
E
O
R
I E
S
A
N
D
A
P
P
L I C
A

T
I O
N
S
shaped by, the social environment as the physical and social
environment of
communities. It is also about developing and (reciprocal
causation).
advocating for policies that support health,
such as economic incentives. Health
promotion programs that seek to address
health problems across this spectrum
employ a range of strategies, and operate
on multiple levels.
The ecological perspective emphasizes the
interaction between, and interdependence
of, factors within and across all levels of a
health problem. It highlights people’s
To explain the first key concept of the
ecological perspective, multiple levels of
influence, McLeroy and colleagues (1988)4
identified five levels of influence for health-
related behaviors and conditions. Defined
in Table 1., these levels include: (1)
intrapersonal or individual factors; (2)
interpersonal factors; (3) institutional or
organizational factors; (4) community
factors; and (5) public policy factors.

10
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E
Figure 2. A Multilevel Approach to Epidemiology
Social and Economic Policies
Institutions
Neighborhoods and Communities
Living Conditions
Social Relationships

Individual Risk Factors
Pathophysiological
Pathways
Individual/Population
Health
Genetic/Constitutional
Factors
Envir
onm
ent
Li
fe
co
ur
se
In practice, addressing the community level
requires taking into consideration
institutional and public policy factors, as well
as social networks and norms. Figure 2.
illustrates how different levels of influence
combine to affect population health.
Each level of influence can affect health
behavior. For example, suppose a woman

delays getting a recommended
mammogram (screening for breast cancer).
At the individual level, her inaction may be
due to fears of finding out she has cancer.
At the interpersonal level, her doctor may
neglect to tell her that she should get the
test, or she may have friends who say they
do not believe it is important to get a
mammogram. At the organizational level,
it may be hard to schedule an appointment,
because there is only a part-time radiologist
at the clinic. At the policy level, she may
lack insurance coverage, and thus be
unable to afford the fee. Thus, the outcome,
the woman’s failure to get a mammogram,
may result from multiple factors.
The second key concept of an ecological
perspective, reciprocal causation, suggests
that people both influence, and are
influenced by, those around them. For
example, a man with high cholesterol may
find it hard to follow the diet his doctor has
prescribed because his company cafeteria
doesn’t offer healthy food choices. To
comply with his doctor’s instructions, he can
try to change the environment by asking the
cafeteria manager to add healthy items to
the menu, or he can dine elsewhere. If he
and enough of his fellow employees decide
to find someplace else to eat, the cafeteria
may change its menu to maintain lunch
business. Thus, the cafeteria environment
may compel this man to change his dining

habits, but his new habits may ultimately
bring about change in the cafeteria as well.
Source: Smedley BD, Syme SL (eds.), Institute of Medicine.
Promoting Health: Strategies from Social and Behavioral
Research. Washington, D.C.:, National Academies Press, 2000.
12
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E

An ecological perspective shows the
advantages of multilevel interventions that
combine behavioral and environmental
components. For instance, effective
tobacco control programs often use
multiple strategies to discourage smoking.5
Employee smoking cessation clinics have
a stronger impact if the workplace has a
no-smoking policy and the city has a clean
indoor air ordinance. Adolescents are
less likely to begin smoking if their
peers disapprove of the habit and laws
prohibiting tobacco sales to minors
are strictly enforced. Health promotion
programs are more effective when
planners consider multiple levels of
influence on health problems.
Theoretical Explanations of Three
Levels of Influence
The next three sections examine
theories and their applications at the
individual (intrapersonal), interpersonal,
and community levels of the ecological
perspective. At the individual and
interpersonal levels, contemporary theories
of health behavior can be broadly
categorized as “Cognitive-Behavioral.”
Three key concepts cut across
these theories:
1. Behavior is mediated by cognitions; that
is, what people know and think affects
how they act.

2. Knowledge is necessary for, but not
sufficient to produce, most behavior
changes.
3. Perceptions, motivations, skills, and
the social environment are key influences
on behavior.
Community-level models offer frameworks
for implementing multi-dimensional
approaches to promote healthy behaviors.
They supplement educational approaches
with efforts to change the social and
physical environment to support positive
behavior change.
Individual or Intrapersonal Level
The individual level is the most basic one
in health promotion practice, so planners
must be able to explain and influence the
behavior of individuals. Many health
practitioners spend most of their work time
in one-on-one activities such as counseling
or patient education, and individuals are
often the primary target audience for health
education materials. Because individual
behavior is the fundamental unit of group
behavior, individual-level behavior change
theories often comprise broader-level
models of group, organizational, community,
and national behavior. Individuals participate
in groups, manage organizations, elect and
appoint leaders, and legislate policy. Thus,
achieving policy and institutional change

requires influencing individuals.
In addition to exploring behavior, individual-
level theories focus on intrapersonal factors
(those existing or occurring within the
individual self or mind). Intrapersonal
factors include knowledge, attitudes,
beliefs, motivation, self-concept,
developmental history, past experience,
and skills. Individual-level theories are
presented below.
• The Health Belief Model (HBM) addresses
the individual’s perceptions of the threat
posed by a health problem (susceptibility,
severity), the benefits of avoiding the
threat, and factors influencing the
decision to act (barriers, cues to action,
and self-efficacy).
• The Stages of Change (Transtheoretical)
Model describes individuals’ motivation
and readiness to change a behavior.
• The Theory of Planned Behavior (TPB)
examines the relations between an
individual’s beliefs, attitudes, intentio ns,
behavior, and perceived control over
that behavior.
• The Precaution Adoption Process Model
(PAPM) names seven stages in an
individual’s journey from awareness to
action. It begins with lack of awareness
and advances through subsequent stages
of becoming aware, deciding whether

or not to act, acting, and maintaining
the behavior.
Health Belief Model (HBM)
The Health Belief Model (HBM) was one
of the first theories of health behavior, and
remains one of the most widely recognized
in the field. It was developed in the 1950s
by a group of U.S. Public Health Service
social psychologists who wanted to explain
why so few people were participating in
programs to prevent and detect disease.
For example, the Public Health Service was
sending mobile X-ray units out to
neighborhoods to offer free chest X-rays
(screening for tuberculosis). Despite the fact
that this service was offered without charge
in a variety of convenient locations, the
program was of limited success. The
question was, “Why?”
To find an answer, social psychologists
examined what was encouraging or
discouraging people from participating in
the programs. They theorized that people’s
beliefs about whether or not they were
susceptible to disease, and their
perceptions of the benefits of trying to
avoid it, influenced their readiness to act.
In ensuing years, researchers expanded
upon this theory, eventually concluding that
six main constructs influence people’s
decisions about whether to take action to
prevent, screen for, and control illness. They
argued that people are ready to act if they:

• Believe they are susceptible to the
condition (perceived susceptibility)
• Believe the condition has serious
consequences (perceived severity)
• Believe taking action would reduce their
susceptibility to the condition or its severity
(perceived benefits)
• Believe costs of taking action (perceived
barriers) are outweighed by the benefits
• Are exposed to factors that prompt action
(e.g., a television ad or a reminder from
one’s physician to get a mammogram)
(cue to action)
• Are confident in their ability to successfully
perform an action (self-efficacy)
Since health motivation is its central focus,
the HBM is a good fit for addressing
problem behaviors that evoke health
concerns (e.g., high-risk sexual behavior
and the possibility of contracting HIV).
Together, the six constructs of the HBM
provide a useful framework for designing
both short-term and long-term behavior
change strategies. (See Table 2.) When
applying the HBM to planning health
programs, practitioners should ground their
efforts in an understanding of how
susceptible the target population feels to the
health problem, whether they believe it is

serious, and whether they believe action
can reduce the threat at an acceptable cost.
Attempting to effect changes in these factors
is rarely as simple as it may appear.
13
PA
R
T 2
T
H
E
O
R
I E
S
A
N
D
A
P
P
L I C
A
T
I O

N
S
Table 2. Health Belief Model
Stages of Change (Transtheoretical) Model of change.
Nonetheless, the manner in
Developed by Prochaska and DiClemente,6 which they pass
through these stages may
the Stages of Change Model evolved out vary, depending on the
type of behavior
of studies comparing the experiences of change. For example, a
person who is tryingConcept Definition Potential Change
Strategies
Perceived Beliefs about the chances • Define what
populations(s) are at risk and
susceptibility of getting a condition their levels of risk
• Tailor risk information based on an
individual’s characteristics or behaviors
• Help the individual develop an accurate
perception of his or her own risk
Perceived severity Beliefs about the • Specify the
consequences of a condition
seriousness of a condition and recommended action
and its consequences

Perceived benefits Beliefs about the • Explain how, where,
and when to take
effectiveness of taking action and what the potential positive
action to reduce risk or results will be
seriousness
Perceived barriers Beliefs about the material • Offer
reassurance, incentives, and
and psychological costs assistance; correct misinformation
of taking action
Cues to action Factors that activate • Provide ”how to”
information, promote
”readiness to change” awareness, and employ reminder systems
Self-efficacy Confidence in one’s ability • Provide training and
guidance in
to take action performing action
• Use progressive goal setting
• Give verbal reinforcement
• Demonstrate desired behaviors
smokers who quit on their own with those
of smokers receiving professional treatment.
The model’s basic premise is that behavior
change is a process, not an event. As a
person attempts to change a behavior, he
or she moves through five stages:
precontemplation, contemplation,
preparation, action, and maintenance (see
Table 3.). Definitions of the stages vary
slightly, depending on the behavior at issue.
People at different points along this
continuum have different informational

needs, and benefit from interventions
designed for their stage.
Whether individuals use self-management
methods or take part in professional
programs, they go through the same stages
Table 3. Stages of Change Model
to give up smoking may experience the
stages differently than someone who is
seeking to improve their dietary habits by
eating more fruits and vegetables.
The Stages of Change Model has been
applied to a variety of individual behaviors,
as well as to organizational change. The
Model is circular, not linear. In other words,
people do not systematically progress from
one stage to the next, ultimately
“graduating” from the behavior change
process. Instead, they may enter the
change process at any stage, relapse to
an earlier stage, and begin the process
once more. They may cycle through this
process repeatedly, and the process can
truncate at any point.
15
PA
R
T 2
T

H
E
O
R
I E
S
A
N
D
A
P
P
L I C
A
T
I O
N
S
14
T
H
E
O

R
Y
A
T
A
G
L A
N
C
E
Stage Definition Potential Change Strategies
Precontemplation Has no intention of taking
action within the next
six months
Increase awareness of need for change;
personalize information about risks
and benefits
Contemplation Intends to take action in
the next six months
Motivate; encourage making specific plans
Preparation Intends to take action
within the next thirty
days and has taken some
behavioral steps in
this direction

Assist with developing and implementing
concrete action plans; help set
gradual goals
Action Has changed behavior for
less than six months
Assist with feedback, problem solving,
social support, and reinforcement
Maintenance Has changed behavior for
more than six months
Assist with coping, reminders, finding
alternatives, avoiding slips/relapses
(as applicable)
High blood pressure screening campaigns often identify people
who are at high risk for heart
disease and stroke, but who say they have not experienced any
symptoms. Because they don’t
feel sick, they may not follow instructions to take prescribed
medicine or lose weight. The
HBM can be useful for developing strategies to deal with
noncompliance in such situations.
According to the HBM, asymptomatic people may not follow a
prescribed treatment regimen
unless they accept that, though they have no symptoms, they do
in fact have hypertension
(perceived susceptibility). They must understand that
hypertension can lead to heart attacks
and strokes (perceived severity). Taking prescribed medication
or following a recommended
weight loss program will reduce the risks (perceived benefits)

without negative side effects
or excessive difficulty (perceived barriers). Print materials,
reminder letters, or pill calendars
might encourage people to consistently follow their doctors’
recommendations (cues to
action). For those who have, in the past, had a hard time losing
weight or maintaining
weight loss, a behavioral contract might help establish
achievable, short-term goals to build
confidence (self-efficacy).
Suppose a large company hires a health educator to plan a
smoking cessation program
for its employees who smoke (200 people). The health educator
decides to offer group
smoking cessation clinics to employees at various times and
locations. Several months
pass, however, and only 50 of the smokers sign up for the
clinics. At this point, the
health educator faces a dilemma: how can the 150 smokers who
are not participating
in the clinics be reached?
The Stages of Change Model offers perspective on ways to
approach this problem. First,
the model can be employed to help understand and explain why
they are not attending
the clinics. Second, it can be used to develop a comprehensive
smoking program to help
more current and former smokers change their smoking
behavior, and maintain that

change. By asking a few simple questions, the health educator
can assess what stages
of contemplation potential program participants are in. For
example:
• Are you interested in trying to quit smoking? (Pre-
contemplation)
• Are you thinking about quitting smoking soon?
(Contemplation)
• Are you ready to plan how you will quit smoking?
(Preparation)
• Are you in the process of trying to quit smoking? (Acti on)
• Are you trying to stay smoke-free? (Maintenance)
The employees’ responses will help to pinpoint where the
participants are on the
continuum of change, and to tailor messages, strategies, and
programs appropriate to
their needs. For example, individuals who enjoy smoking are
not interested in trying to
quit, and therefore will not attend a smoking cessation clinic;
for them, a more
appropriate intervention might include educational interventions
designed to move
them out of the “precontemplation” stage and into
“contemplation” (e.g., using carbon
monoxide testing to demonstrate the effect of smoking on
health). On the other hand,
individuals who are ready to plan how to quit smoking (the
“preparation” stage) can be
encouraged to do so, and moved to the next stage, “action.”

a particular behavior. Azjen and Driver7 situations, however.
People’s perceptions
added this construct to account for about controllability may
have an important
situations in which people’s behavior, or influence on behavior.
behavioral intention, is influenced by factors
beyond their control. They argued that
people might try harder to perform a
behavior if they feel they have a high
degree of control over it. (See Table 4.)
It has application beyond these limited
Table 4. Theory of Planned Behavior
Concept Definition Measurement Approach
Behavioral intention Perceived likelihood of performing
behavior
Are you likely or unlikely to
(perform the behavior)?
Attitude Personal evaluation of the behavior Do you see (the
behavior) as
good, neutral, or bad?
Subjective norm Beliefs about whether key people
approve or disapprove of the
behavior; motivation to behave in a
way that gains their approval
Do you agree or disagree that
most people approve
of/disapprove of (the behavior)?
Perceived behavioral

control
Belief that one has, and can exercise,
control over performing the behavior
Do you believe (performing the
behavior) is up to you, or not
up to you?
17
PA
R
T 2
T
H
E
O
R
I E
S
A
N
D
A
P
P
L I C

A
T
I O
N
S
16
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E
Theory of Planned Behavior (TPB)
The Theory of Planned Behavior (TPB) and
the associated Theory of Reasoned Action

(TRA) explore the relationship between
behavior and beliefs, attitudes, and
intentions. Both the TPB and the TRA
assume behavioral intention is the most
important determinant of behavior.
According to these models, behavioral
intention is influenced by a person’s attitude
toward performing a behavior, and by beliefs
about whether individuals who are important
to the person approve or disapprove of the
behavior (subjective norm). The TPB and
TRA assume all other factors (e.g., culture,
the environment) operate through the
models’ constructs, and do not
independently explain the likelihood that
a person will behave a certain way.
The TPB differs from the TRA in that it
includes one additional construct, perceived
behavioral control; this construct has to
do with people’s beliefs that they can control
Surveillance data show that young, acculturated Hispanic
women are more likely to get
Pap tests than those who are older and less acculturated.8 A
health department decides to
implement a cervical cancer screening program targeting older
Hispanic women. In
planning the campaign, practitioners want to conduct a survey
to learn what beliefs,
attitudes, and intentions in this population are associated with
seeking a Pap test. They
design the survey to gauge: when the women received their last
Pap test (behavior); how
likely they are to seek a Pap test (intention); attitudes about

getting a Pap test (attitude);
whether or not “most people who are important to me” would
want them to get a Pap
test (subjective norm); and whether or not getting a Pap test is
something that is “under
my control” (perceived behavioral control). The department will
compare survey results
with data about who has or has not received a Pap test to
identify beliefs, attitudes, and
intentions that predict seeking one.
Figure 3. Theory of Reasoned Action and Theory of Planned
Behavior Figure 4. Stages of the Precaution Adoption Process
Model
E
C
N
A
T
A
G

L
Y
A
R
O
E
H
Note: Upper blue section shows the Theory
T
of Reasoned Action; the entire figure
Behavioral
beliefs
Evaluation of
behavioral outcomes
Attitude toward
behavior
Normative
beliefs

Motivation
to comply
Subjective
norm
Control beliefs
Perceived power
Perceived
behavioral control
Behavioral
intention
Behavior
19
PA
R
T 2
Stage 1:
Unaware
of Issue
Stage 2:
Unengaged
by Issue
Stage 3:
Deciding

About
Acting
Stage 5:
Decided
to Act
Stage 6:
Acting
Stage 4:
Decided
Not to Act
Stage 7:
Maintenance
18
shows the Theory of Planned Behavior.
Figure 3. shows the TPB’s explanation for
how behavioral intention determines
behavior, and how attitude toward behavior,
subjective norm, and perceived behavioral
control influence behavioral intention.
According to the model, attitudes toward
behavior are shaped by beliefs about what
is entailed in performing the behavior and
outcomes of the behavior. Beliefs about
social standards and motivation to comply
with those norms affect subjective norms.
The presence or lack of things that will
make it easier or harder to perform the

behavior affect perceived behavioral control.
Thus, a causal chain of beliefs, attitudes,
and intentions drives behavior.
Precaution Adoption Process Model
The Precaution Adoption Process Model
(PAPM) specifies seven distinct stages in
the journey from lack of awareness to
adoption and/or maintenance of a behavior.
It is a relatively new model that has been
applied to an increasing number of health
behaviors, including: osteoporosis
prevention, colorectal cancer screening,
mammography, hepatitis B vaccination,
and home testing for radon gas.
In the first stage of the PAPM, an individual
may be completely unaware of a hazard
(e.g., radon exposure, the link between
unprotected sex and HIV). The person may
subsequently become aware of the issue
but remain unengaged by it (Stage 2). Next,
the person faces a decision about acting
(Stage 3); may decide not to act (Stage 4),
or may decide to act (Stage 5). The stages
of action (Stage 6) and maintenance (Stage
7) follow. (See Figure 4.) According to the
PAPM, people pass through each stage of
precaution adoption without skipping any of
them. It is possible for people to move
backwards from some later stages to earlier
ones, but once they have completed the first
two stages of the model they do not return
to them. For example, a person does not
move from unawareness to awareness and

then back to unawareness.
The PAPM bears similarities to the Stages
of Change model, but differs in important
ways. Stages of Change offers insights for
addressing hard-to-change behaviors such
as smoking or overeating; it is less helpful
when dealing with hazards that have
recently been recognized or precautions
that are newly available. The PAPM
recognizes that people who are unaware of
an issue, or are unengaged by it, face
different barriers from those who have
decided not to act. The PAPM prompts
practitioners to develop intervention
strategies that take into account the stages
that precede active decision-making.
Interpersonal Level
At the interpersonal level, theories of health
behavior assume individuals exist within,
and are influenced by, a social environment.
The opinions, thoughts, behavior, advice,
and support of the people surrounding an
individual influence his or her feelings and
behavior, and the individual has a reciprocal
effect on those people. The social
environment includes family members,
coworkers, friends, health professionals,
and others. Because it affects behavior,
the social environment also impacts health.
Many theories focus at the interpersonal
level, but this monograph highlights Social
Cognitive Theory (SCT). SCT is one of the
most frequently used and robust health

behavior theories. It explores the reciprocal
interactions of people and their
environments, and the psychosocial
determinants of health behavior.
Social Cognitive Theory (SCT)
Social Cognitive Theory (SCT) describes a
dynamic, ongoing process in which personal
factors, environmental factors, and human
behavior exert influence upon each other.
T
H
E
O
R
I E
S
A
N
D
A
P
P
L I C
A
T
I O

N
S
According to SCT, three main factors affect
the likelihood that a person will change a
health behavior: (1) self-efficacy, (2) goals,
and (3) outcome expectancies. If individuals
have a sense of personal agency or self-
efficacy, they can change behaviors even
when faced with obstacles. If they do not
feel that they can exercise control over their
health behavior, they are not motivated to
act, or to persist through challenges.9 As a
person adopts new behaviors, this causes
changes in both the environment and in the
person. Behavior is not simply a product of
the environment and the person, and
environment is not simply a product of the
person and behavior.
Table 5. Social Cognitive Theory
SCT evolved from research on Social
Learning Theory (SLT), which asserts
that people learn not only from their own
experiences, but by observing the actions
of others and the benefits of those actions.
Bandura updated SLT, adding the construct
of self-efficacy and renaming it SCT.

(Though SCT is the dominant version in
current practice, it is still sometimes called
SLT.) SCT integrates concepts and
processes from cognitive, behaviorist,
and emotional models of behavior change,
so it includes many constructs. (See Table
5.) It has been used successfully as the
underlying theory for behavior change
in areas ranging from dietary change10
to pain control.11
Reciprocal determinism describes
interactions between behavior, personal
factors, and environment, where each
influences the others. Behavioral capability
states that, to perform a behavior, a person
must know what to do and how to do it.
Expectations are the results an individual
anticipates from taking action. Bandura
considers self-efficacy the most important
personal factor in behavior change, and it
is a nearly ubiquitous construct in health
behavior theories. Strategies for increasing
self-efficacy include: setting incremental
goals (e.g., exercising for 10 minutes each
day); behavioral contracting (a formal
contract, with specified goals and rewards);
and monitoring and reinforcement (feedback
from self-monitoring or record keeping).
rather than through their own experience.
Reinforcements are responses to behavior
that affect whether or not one will repeat it.
Positive reinforcements (rewards) increase
a person’s likelihood of repeating the

behavior. Negative reinforcements may
make repeated behavior more likely by
motivating the person to eliminate a
negative stimulus (e.g., when drivers put the
key in the car’s ignition, the beeping alarm
reminds them to fasten their seatbelt).
Reinforcements can be internal or external.
Internal rewards are things people do to
reward themselves. External rewards (e.g.,
token incentives) encourage continued
participation in multiple-session programs,
but generally are not effective for sustaining
long-term change because they do not
bolster a person’s own desire or commitment
21
PA
R
T 2
20
T
H
E
O
R
Y
A
T

A
G
L A
N
C
E
T H
E
O
R
I E
S
A
N
D
A
P
P
L I C
A
T
I O
N
S

Concept Definition Potential Change Strategies
Reciprocal
determinism
The dynamic interaction of the
person, behavior, and the
environment in which the
behavior is performed
Consider multiple ways to promote
behavior change, including making
adjustments to the environment or
influencing personal attitudes
Behavioral
capability
Knowledge and skill to perform
a given behavior
Promote mastery learning through
skills training
Expectations Anticipated outcomes of
a behavior
Model positive outcomes of
healthful behavior
Self-efficacy Confidence in one’s ability to
take action and overcome
barriers
Approach behavior change in small

steps to ensure success; be specific
about the desired change
Observational
learning (modeling)
Behavioral acquisition that
occurs by watching the actions
and outcomes of others’
behavior
Offer credible role models who
perform the targeted behavior
Reinforcements Responses to a person’s
behavior that increase or
decrease the likelihood
of reoccurrence
Promote self-initiated rewards
and incentives
Observational learning, or modeling, refers to change. Figure 5.
illustrates how self-
to the process whereby people learn efficacy, environmental,
and individual
through the experiences of credible others, factors impact
behavior.
Figure 5. An Intergrative Model
Behavioral beliefs
and their
evaluative aspects

Normative beliefs
and motivation
to comply
Efficacy beliefs
Attitude
Norm
Self-efficacy
Skills
Intention Behavior
Environmental
constraints
Other individual
difference variables
Personality traits
Attitudes toward
targets
External variable
Demographic
variables
http:control.11

A university in a rural area develops a church-based
intervention to help congregation
members change their habits to meet cancer risk reduction
guidelines (behavior). Many
members of the church have low incomes, are overweight,
rarely exercise, eat foods that
are high in sugar and fat, and are uninsured (personal factors).
Because of their rural
location, they often must drive long distances to attend church,
visit health clinics, or
buy groceries (environment).
The program offers classes that teach healthy cooking and
exercise skills (behavioral
capability). Participants learn how eating a healthy diet and
exercising will benefit them
(expectations). Health advisors create contracts with
participants, setting incremental
goals (self-efficacy). Respected congregation members serve as
role models (observational
learning). Participants receive T-shirts, recipe books, and other
incentives, and are taught
to reward themselves by making time to relax (reinforcement).
As church members learn
about healthy lifestyles, they bring healthier foods to church,
reinforcing their healthy
habits (reciprocal determinism).
The conceptual frameworks in this section
offer strategies for intervening at the
community level:
• Community Organization and Other

Participatory Models emphasize
community-driven approaches to
assessing and solving health and
social problems.
• Diffusion of Innovations Theory addresses
how new ideas, products, and social
practices spread within an organization,
community, or society, or from one society
to another.
• Communication Theory describes how
different types of communication affect
health behavior.
Community Organization and Other
Participatory Models
Community organizing is a process through
which community groups are helped to
identify common problems, mobilize
resources, and develop and implement
strategies to reach collective goals. Strict
definitions of community organizing assume
that the community itself identifies the
problems to address (not an outside change
agent). Public health professionals often
adapt the methods of community organizing
to launch programs that reflect the priorities
of community members, but may not be
initiated by them. Community organizing
projects that start with the community’s
priorities, rather than an externally imposed
agenda, are more likely to succeed.
Community organizing is consistent with an
ecological perspective in that it recognizes

multiple levels of a health problem. It can be
integrated with SCT-based strategies that
take into account the dynamic between
personal factors, environmental factors,
and human behavior. Theories of social
networks and social support (exploring the
influence of social relationships on health
decision making and behavior) can be
used to adapt community organizing
strategies to health education goals.
Social systems theory (exploring how
organizations in a community interact with
each other and the outside world) is also
useful for this purpose.
Community organizing is not a single
mode of practice; it can involve different
approaches to effecting change. Jack
Rothman14 produced the best-known
classification of these change models,
describing community organizing according
to three general types: locality development,
social planning, and social action. These
models sometimes overlap and can
be combined.
• Locality development (or community
development) is process oriented. With the
aim of developing group identity and
cohesion, it focuses on building consensus
and capacity.
• Social planning is task oriented. It stresses
problem solving and usually relies heavily
on expert practitioners.

• Social action is both process and task
oriented. Its goals are to increase the
community’s capacity to solve problems
and to achieve concrete changes that
redress social injustices.
The different approaches broadly classified
as community organizing share in common
several concepts that are key to achieving
and measuring change. (See Table 6.)
Empowerment describes a social action
process through which individuals,
organizations, or communities gain
confidence and skills to improve their quality
of life.15 Community capacity refers to
23
PA
R
T 2
T
H
E
O
R
I E
S
A
N

D
A
P
P
L I C
A
T
I O
N
S
22
T
H
E
O
R
Y
A
T
A
G
L A
N

C
E
Community Level
Initiatives serving communities and
populations, not just individuals, are at
the heart of public health approaches to
preventing and controlling disease.
Community-level models explore how
social systems function and change and
how to mobilize community members and
organizations. They offer strategies that
work in a variety of settings, such as health
care institutions, schools, worksites,
community groups, and government
agencies. Embodying an ecological
perspective, community-level models
address individual, group, institutional,
and community issues.
Communities are often understood in
geographical terms, but they can be defined
by other criteria too. For instance, there are
communities of shared interests (e.g., the
artists’ community) or collective identity
(e.g., the African American community).
When planning community-level
interventions, it is critical to learn about
the community’s unique characteristics.
This is particularly true when addressing
health issues in ethnically or culturally
diverse communities.

Comprehensive health promotion programs
often use advocacy techniques to help
support individual behavior change with
organizational and regulatory change. In
recent years, innovative tools and methods
for evaluation and measurement have been
developed to capture the successes of
community-level health promotion efforts.12 13
Tobacco control/smoking prevention is one
area where programs have been extensively
evaluated. Local tobacco control initiatives
typically pursue four concurrent goals: (1)
raising the priority of smoking as a health
concern, (2) helping community members to
change smoking behavior, (3) strengthening
legal and economic deterrents to smoking,
and (4) reinforcing social norms that
discourage smoking. This multi-level
approach has been proven very effective.
http:efforts.12
24
T
H
E
O

R
Y
A
T
A
G
L A
N
C
E
Potential Change StrategiesTerm Definition
Community members assume
which people gain mastery over
Empowerment A social action process through
greater power, or expand their
their lives and their communities power from within, to create
desired changes
Community members participate Community Characteristics of
a community that
actively in community life, gaining
around, and address problems
capacity affect its ability to identify, mobilize
leadership skills, social networks,
and access to power

Community members develop
members as equal partners; reflects
Participation Engagement of community
leadership skills, knowledge, and
the principle, “Never do for others resources through their
what they can do for themselves” involvement
Community members create
where the people are”
Relevance Community organizing that ”starts
their own agenda based on felt
needs, shared power, and
awareness of resources
Community members participate
realizable targets for change that
Issue selection Identifying immediate, specific, and
in identifying issues; targets are
unify and build community strength chosen as part of a larger
strategy
Community members discuss the Critical Awareness of social,
political, and
root causes of problems and plan
social problems
consciousness economic forces that contribute to
actions to address them

Table 6. Community Organization
characteristics of a community that allow The social action
model differs from other
it to identify social problems and address forms of community
intervention in that it
them (e.g., trusting relationships between is grassroots based,
conflict oriented, and
neighbors, civic engagement). Participation geared to
mobilizing disadvantaged people
in the organizing process helps community to act on their own
behalf.16 Goals vary, but
members to gain leadership and problem- typically include
policy and other significant
solving skills. Relevance involves activating changes that
participants have identified as
participants to address issues that are important. Largely based
on the organizing
important to them. Issue selection entails work of Saul Alinsky
and the Industrial Areas
pulling apart a web of interrelated problems Foundation,17 this
approach employs direct-
into distinct, immediate, solvable pieces. action strategies as the
primary means of
Critical consciousness emphasizes helping fostering change. It
focuses on building
community members to identify the root power and encouraging
community
causes of social problems. members to develop their capacities
as active citizens.18
In a social action approach to community Media Advocacy is an
essential tactic in
organizing, self-interest is seen as the community organizing. It
involves using the

motivation for action: community members mass media
strategically to advance public
become involved when they see that it will policies.20 Because
the media bring attention
benefit them to take action, and targeted to specific issues, they
set the agenda for the
institutions are willing to make changes public and policy
makers. The media often
when they believe it is in their self-interest present health
information in medical terms,
to do so. Community organizing seeks to focusing on
technological breakthroughs and
expand participants’ sense of self-interest personal health
habits. Media advocacy
to an ever-wider sphere, from the assumes the root of most
health problems is
individual or family level to their block, not that people lack
information, but that they
neighborhood, city, state, and so on.19 lack the power to change
social and economic
Participants grow through this process, conditions. It seeks to
balance news coverage
learning to take an active role in shaping by framing issues to
emphasize social,
the future of their communities. economic, and political—rather
than personal
and behavioral—influences on health.21
Responding to high rates of cancer among African Americans, a
health department
wishes to increase consumption of fresh fruits and vegetables in
a low-income, urban
neighborhood. The department surveys community members to
find out why they do
not eat more fruits and vegetables. They learn there are few

supermarkets within easy
walking distance, and residents shop at local stores that do not
offer fresh, affordable
produce. Many do not own cars; they must take the bus, spend
money on taxis, or
carry shopping bags for blocks to shop at the supermarket.
The health department contacts a community-based organization
that has been working
to improve neighborhood conditions, and shares the findings
with them (participation).
The organization’s leaders invite department staff to attend a
community meeting,
where residents discuss why there are fewer supermarkets in
low-income neighborhoods
(critical consciousness). Residents say they would buy
healthier, less expensive foods at
the supermarket if they could get a ride home (relevance). The
community organization
decides to organize a campaign to convince the local
supermarket to start a shuttle
service (issue selection).
The health department trains residents to assess the potential
cost and ridership of the
shuttle service (community capacity). Residents plan an event
and invite the media.
They line up in front of the supermarket with shopping carts and
signs, and explain
both the problem and the potential solution to reporters (media
advocacy). Stories
appear in the local newspapers. The supermarket’s management
meets with community
residents and tells them the market loses thousands of dollars
each year due to stolen
shopping carts. Residents explain that the store will have fewer

shopping cart losses if
they start a shuttle (self-interest). The supermarket agrees to
give free rides to inner-city
shoppers. Through their success, residents gain skills and
confidence, and are inspired
to think about other ways to strengthen their community
(empowerment).
25
PA
R
T 2
T
H
E
O
R
I E
S
A
N
D
A
P
P
L I C
A

T
I O
N
S
http:citizens.18
http:behalf.16
In participatory action research, the people
who are being studied take an active role
in some or all phases of the research.
Participatory research builds an alliance
between professional researchers and
lay participants, and enables a dialogue
between them.22 When planning and
implementing health programs, the
program’s beneficiaries help to direct the
type of inquiry, collect and analyze data,
imagine possible solutions, and evaluate
the costs and benefits of each choice. They
engage in a learning process, both checking
and complementing expert knowledge. One
example of participatory action research is
the NCI’s COMMIT program, which explored
whether implementing an intervention
through community organizations would
result in a higher “quit rate” among heavy

smokers than in the comparison
communities.23 24
The CDC Task Force on the Guide to
Community and Preventive Services created
an organizing logic framework to illustrate
how community-level factors influence health
status. (See Figure 6.) They noted that
disparities in access to health care; behaviors
in response to illness; exposure to
environmental and occupational hazards;
health promotion and disease prevention
behaviors; and experience of stress, societal
support, and social cohesion all contribute
to disparities in health status. Therefore,
community-level interventions that address
population health until effective programs
are broadly diffused and disseminated.
Multiple critiques, including one by the
National Cancer Policy Board, suggest that
failing to implement proven methods of
cancer prevention and early detection
results in tens of thousands of premature
deaths each year.26 Diffusion expands the
number of people who are exposed to and
reached by successful interventions,
strengthening their public health impact.
Diffusion of Innovations Theory addresses
neighborhood conditions, employment how ideas, products, and
social practices
opportunities, behavioral norms, opportunities that are
perceived as “new” spread
27

PA
R
T 2
T
H
E
O
R
I E
S
A
N
D
A
P
P
L I C
A
T
I O
N
S
26

Figure 6. Sociocultural Environment Logic Framework
Guide to Community Preventive Services: Sociocultural
Environment Logic Framework
DETERMINANTS IMMEDIATE OUTCOMES HEALTH
OUTCOME
EQUITY and
SOCIAL JUSTICE
1* Neighborhood Living
Conditions
for education and training, and access to
health promotion, prevention, and care are
key to addressing health disparities.25 The
model shows elements and associations
at play in translating theory into research
and action.
throughout a society or from one society to
another. According to the late E.M. Rogers,
diffusion of innovations is “the process by
which an innovation is communicated
through certain channels over time among
the members of a social system.”27 Diffusion
Theory has been used to study the adoption
of a wide range of health behaviors and
programs, including condom use, smoking
cessation, and use of new tests and
technologies by health practitioners.
Table 7. defines concepts that are central
to this theory.
T

H
E
O
R
Y
A
T
A
G
L A
N
C
E
SOCIETAL
RESOURCES
Standard of living
Culture and history
Social institutions
Built environments
Political structures
Economic systems
Technology
4
Community Development and

Employment Opportunities
2
3 Civic Engagement and
Participation in
Decision-Making
In public health and health promotion,
practitioners who want to make efficient use
of resources must attend to the reach,
adoption, implementation, and maintenance
of programs. It is not enough to develop
HEALTHIER
COMMUNITIES
innovative programs; to reduce the burden of
cancer, these programs must be disseminated Diffusion of
innovations that prevent disease
widely. Cancer control measures will not and promote health
requires a multilevel
realize their full potential for improving change process that
usually takes place in
Prevaling Community Norms,
Customs, and Processes
Opportunities for Education
and Developing Capacity
PHYSICAL
ENVIROMNMENT

Natural Resources
Table 7. Concepts in Diffusion of Innovations5
A pathway that will not be examined
HEALTHY
POPULATION
Concept
SOCIETAL RESOURCES
concerns the presence
of essential resources
Health Promotion, Prevention,
and Care Opportunities
Innovation6
while EQUITY and
SOCIAL JUSTICE
concerns the distribution Communication channels
*Links 1-6 indicate strategic
within the population
of those resources
points for intervention
Social system
Time

Source: Institute of Medicine. Speaking of Health: Assessing
Health Communications Strategies for Diverse
Populations. Washington, D.C.: National Academies Press,
2002.
Definition
An idea, object, or practice that is thought to be new by an
individual, organization, or community
The means of transmitting the new idea from one person to
another
A group of individuals who together adopt the innovation
How long it takes to adopt the innovation
http:disparities.25
diverse settings, through different strategies.
At the individual level, adopting a health
behavior innovation usually involves lifestyle
change. At the organizational level, it may
entail starting programs, changing regulations,
or altering personnel roles. At a community
level, diffusion can include using the media,
advancing policies, or starting initiatives.
According to Rogers, a number of factors
determine how quickly, and to what extent,
an innovation will be adopted and diffused.
By considering the benefits of an innovation
(see Table 8.), practitioners can position it

effectively, thereby maximizing its appeal.
Specifically:
• The relative advantage of an innovation
shows its superiority over whatever
it replaces.
• Compatibility is an appropriate fit with the
intended audience.
• Complexity has to do with how easy it is
to implement the innovation.
• Trialability pertains to whether it can be
tried on an experimental basis.
• Observability reflects whether the
innovation will produce tangible results.
Effective diffusion requires practitioners to use
both informal and formal communications
channels and a spectrum of strategies for
different settings. Disseminating an innovation
in a variety of ways increases the likelihood
that it will be adopted and institutionalized.
Communication usually should include both
mass media and interpersonal interactions.
Through the two-step flow of communication,
information from the media moves in two
stages. First, opinion leaders, who pay
close attention to the media, receive the
information. Second, they convey their own
interpretations, as well as the media content,
to others. This process highlights the
value of social networks for influencing

adoption decisions.
Rogers described the process of adoption as
a classic “bell curve,” with five categories of
adopters: innovators, early adopters, early
majority adopters, late majority adopters, and
laggards. When an innovation is introduced,
the majority of people will either be early
majority adopters or late majority adopters;
fewer will be early adopters or laggards; and
very few will be innovators (the first people to
use the innovation). By identifying the
A university designs a program to help elementary school
children cultivate healthy
lifestyle habits and avoid chronic disease. The program has
many components: it
addresses the foods that children eat by modifying the fat and
sugar content of school
lunches, it teaches important health informa tion through a
classroom-based health
education curriculum, and it encourages physical activity
through a physical education
component. It is highly successful; follow-up studies show that
children who went
through the program in elementary school continue to have
healthier habits in their
adolescence than those who did not go through the program.
The fact that the program is successful is not enough to ensure
it will change elementary
school practices. To achieve a broader impact, the program must
diffuse to other sites.
Program planners may seek to demonstrate the relative
advantage of the program by
emphasizing its positive outcomes. They may try to show its

compatibility by
demonstrating that state policy-makers (e.g., the state Board of
Education) have
approved its materials. The program’s complexity can be
limited by creating user-friendly
materials for teachers and cafeteria workers. By making the
materials available on a
Web site, they can enhance its trialability. Professional
demonstrations of the program
components can create an element of observability.
29
PA
R
T 2
28
T
H
E
O
R
Y
A
T
A
G
L A

N
C
E
T H
E
O
R
I E
S
A
N
D
A
P
P
L I C
A
T
I O
N
S
characteristics of people in each adopter
category, practitioners can more effectively
plan and implement strategies that are

customized to their needs.
Communication Theory
Communication theory explores “who says
what, in which channels, to whom, and with
what effects.” It investigates how messages
are created, transmitted, received, and
assimilated. When applied to public health
Public health communications should
represent an ecological perspective and
foster multilevel strategies, such as tailored
messages at the individual level, targeted
messages at the group level, social marking
at the community level, media advocacy at
the policy level, and mass media campaigns
at the population level.29 Public health
communications can increase knowledge
and awareness of a health issue; influence
perceptions, beliefs, and attitudes that
Table 8. Key Attributes Affecting the Speed and Extent of an
Innovation’s Diffusion
Attribute
Relative advantage
Compatibility
Complexity
Trialability
Observability

Key Question
Is the innovation better than what it will replace?
Does the innovation fit with the intended audience?
Is the innovation easy to use?
Can the innovation be tried before making a decision to adopt?
Are the results of the innovation observable and easily
measurable?
problems, the central question theories of factor into social
norms; prompt action;
communication seek to answer is, “How do demonstrate or
illustrate healthy skills;
communication processes contribute to, or
discourage, behavior change?” Focused on
improving the health of communities rather
than examining the underlying processes of
communication, public health communications
is the scientific development, strategic
dissemination, and evaluation of relevant,
accurate, accessible, and understandable
health information, communicated to and
from intended audiences to advance the
public’s health.28
increase support for services; debunk
misconceptions; and strengthen

organizational relations.30 On the other
hand, without supports in the social and
physical environment, health communications
alone may not be enough to sustain
individual-level behavior changes, may
not be effective for relaying complex
health messages, and cannot compensate
for lack of access to health care or
healthy environments.31
http:environments.31
http:relations.30
http:health.28
http:level.29
30
T
H
E
O
R
Y
A
T
A
G

L A
N
C
E
Since other communication strategies are
discussed elsewhere in this monograph, this
section examines the role of mass media in
public health interventions. The media are
interconnected, large-scale organizations
that gather, process, and disseminate news,
information, entertainment, and advertising
worldwide. Whether they are small
operations, such as a neighborhood
newspaper, or large corporations employing
tens of thousands of people, the media
influence almost every aspect of human life:
economic, political, social, and behavioral.
Media Effects
The outcomes of media dissemination of
ideas, images, themes, and stories are
termed media effects. Media effects research
investigates not only how the media influence
the knowledge, opinions, attitudes, and
behaviors of audience members, but also how
audience members affect the media. Because
audience members are active seekers and
users of health information, the content
transmitted through the media reflects their
needs, interests, and preferences. Two
questions are central to understanding the
effects of media on audience members: 1)
What factors affect the likelihood that a

person will be exposed to a given message?
2) How do media effects vary with the
amount of exposure to that message?32
Funding is a primary factor that determines
whether or not audience members will be
exposed to a message through the mass
media, since money is needed to buy media
time and space. Many public health programs
do not have large budgets, so they often must
rely on strategies for free distribution. Options
may include public service announcements,
embedding health messages in entertainment
programs (e.g., soap operas), or promoting
news coverage of public health topics in print
and electronic media. Community institutions
can adopt and disseminate messages, and
social networks can also generate excitement
about some messages, depending on
their content.33
How often do people need to hear a message
before it influences their beliefs or behaviors?
This depends on several factors.
Characteristics of target audiences (e.g.,
their readiness for change, the ways they
process information), the complexity of the
health issue, the presence of competing
messages, and the nature of the health
message influence the relationship between
exposure to a health message and an
outcome effect. Repeated exposure to a
message, especially when it is delivered
through multiple channels, may intensify
its impact on audience members.34

Planners often assume that a certain
percentage of the target audience will be
exposed to a message and that another
fraction of those who receive the message
will be engaged by it. Yet there are several
possible paths through which a health
communications message can influence
someone’s beliefs and/or behaviors. These
include immediate learning (people learn
directly from the message), delayed learning
(the impact of the message is not processed
until some time after it has been conveyed),
generalized learning (in addition to the
message itself, people are persuaded about
concepts related to the message), social
diffusion (messages stimulate discussion
among social groups, thereby affecting
beliefs), and institutional diffusion (messages
instigate a response from public institutions
that reinforces the message’s impact on the
target audience.)35
Agenda Setting
The mass media can illuminate and focus
attention on issues, helping to generate
public awareness and momentum for change.
A major focus of communications research
has been on how the mass media influence
public opinion, especially about politics and
policymaking. Agenda setting involves setting
the media agenda (what is covered), the
public agenda (what people think about), and
the policy agenda (regulatory or legislative
actions on issues).36 (See Table 9.) Research

on agenda setting has shown that the amount
of media coverage an issue receives
correlates strongly with the public’s opinion
of how important that issue is.
An axiom underlying this area of study is that
mass media may not tell us what to think, but
they are surprisingly effective in telling us
what to think about. A critical construct of
agenda setting, however, reinterprets this
idea. Framing is a process in which someone
tells the audience what aspect of the story is
important. In other words, they tell the
audience not only what to think about, but
how to think about it. The way facts are
packaged to tell a story creates the frame.
By framing stories to emphasize social and
environmental factors that affect health,
public health advocates can use the media
to pressure decision makers to develop
and support healthy policies.
New Communication Technologies
New communication technologies have
opened an extraordinary range of avenues
for influencing health behavior. “E-health”
(one element of new communication
technologies) is the use of emerging
information and communication technology,
especially the Internet, to improve or enable
31
PA

R
T 2
T
H
E
O
R
I E
S
A
N
D
A
P
P
L I C
A
T
I O
N
S
Concept

Problem definition
Framing
Definition
Institutional factors and
processes influencing how
the media define, select, and
emphasize issues
covered in the media and the
public’s priorities
covered in the media and
the legislative priorities of
policy makers
Factors and process leading to
the identification of an issue
as a “problem” by social
institutions
Selecting and emphasizing
certain aspects of a story and
excluding others
Potential Change Strategies
Understand media professionals’

needs and routines for gathering
and reporting news
Use media advocacy or
partnerships to raise public
awareness of key health issues
Advocate for media coverage to
educate and pressure policy
makers about changes to the
physical and social environment
needed to promote health
Community leaders, advocacy
groups, and organizations define
an issue for the media and
offer solutions
Advocacy groups “package” an
important health issue for the
media and the public
Table 9. Agenda Setting, Concepts, Definitions, and
Applications
http:issues).36
http:members.34
http:content.33
health and health care. The term refers to an
emerging field in the intersection of medical
informatics, public health, and business.37

It bridges clinical and non-clinical sectors,
and includes both individual and population
health-oriented tools.38 E-health
communication strategies include, but are
not limited to: health information on the
Internet, online support groups, online
collaborative communities, information
tailored by computer technologies,
educational computer games, computer-
controlled in-home telephone counseling,
and patient-provider e-mail contact.39
Major benefits of e-health strategies are
increased reach (the ability to communicate
to broad, geographically dispersed
audiences), asynchronous communication
(interaction not bounded by having to
communicate at the same time) the ability
to integrate multiple communication modes
and formats (e.g., audio, video, text,
graphics), the ability to track, preserve, and
analyze communication (computer records
of interaction, analysis of interaction trends),
user control of the communication system
(the ability to customize programs to user
specifications), and interactivity (e.g.,
increased capacity for feedback).40
Educational and behavioral interventions
Community organizing approaches have
been used to coordinate Internet-based
campaigns through www.Meetup.com
(a technology platform that helps people
self-organize local gatherings).

Innovative e-health projects are expanding
the range of tools that planners can use to
develop cancer control and other
interventions. For instance, NCI’s Cancer
Control Planet http://cancercontrolplanet.
cancer.gov/ links public health professionals to
comprehensive cancer control resources. NCI
also has published data from its Health
Information National Trends Survey (HINTS)
on the Web at http://cancercontrol.cancer.gov/
hints/. The HINTS program helps survey
researchers, program planners, and social
scientists understand how adults 18 years
and older are using different communication
channels, including the Internet. For example,
according to recent HINTS data, when asked
where they would go first if they had a strong
need to get information about cancer, 34
percent of respondents said they would go
to the Internet.
The HINTS data illustrate consumers’
increasing reliance on the Internet as an
easily accessible source of health information.
The Internet has been characterized as a
“hybrid technology” because it has the
potential to reach millions of people with
information that can be tailored to individual
needs and preferences.41 E-health
interventions frequently offer information,
education, and support directly to consumers.
For example, the Association of Online
Cancer Resources (ACOR), a collection of
online communities designed to provide timely
and accurate information in a supportive

environment, is one case in point. ACOR
delivers 1.8 million cancer messages each
week (http://www.acor.org/).
Not all e-health interventions are Web-based.
Computer applications have also allowed new
uses of traditional health communications
media, such as print and telephone. Tailored
print communications (TPCs) and telephone-
delivered interventions (TDIs) are two
examples that have the potential for reaching
linguistically and culturally diverse audiences.
TPCs are printed materials created especially
for an individual, based on relevant
information about that person. Over 40 studies
of TPCs have been conducted on a wide
range of health topics, including diet, exercise,
smoking cessation, mammography, and
prostate cancer; most have found positive
outcomes evidence. TDIs include a range
of human-delivered counseling and reminder
interventions delivered using the telephone
and computer-generated voice response
systems. Studies indicate that TDIs are
effective across different populations and
health topics, but do not have a broad-based
reach. They have not been widely used by
diverse populations.42
Interactive games offer another vehicle for
intervention. Lieberman et al. designed a
series of Nintendo video games to improve
children’s and adolescents’ prevention and
self care behaviors for asthma, diabetes,
smoking prevention, and other health topics

(see Figure 7.).43 The games were based
on well-established theories of learning and
behavior change, such as Social Cognitive
Theory. They reduced players’ urgent care
and emergency medical visits by as much
as 77 percent.44 Though research has
demonstrated the effectiveness of some
new communications technologies, further
inquiry is needed into the mechanisms’
underlying success.45
Opportunities are increasing for people to
gain free access to the Internet via libraries
and kiosks.46 Unequal access remains
problematic, however. Significant gaps in
Internet usage between Caucasians, African
Americans, and Hispanics persist,47 and
people with lower levels of educational
attainment are also less likely to have
Internet access. Because the Internet is
a text-based medium, literacy issues that
make it difficult for people to read print
materials are also barriers to accessing
Web-based information. There is danger
that new computer technologies could
worsen existing inequities in health status
for diverse populations. It is therefore
important to involve community members in
planning e-health interventions and to offer
them ongoing training and support for using
these emerging communications tools.48
33
PA
R

T 2
T
H
E
O
R
I E
S
A
N
D
A
P
P
L I C
A
T
I O
N
S
32
T
H

E
O
R
Y
A
T
A
G
L A
N
C
E
employing new communication technologies
are forging new ground and therefore benefit
from the perspective provided by theories
of health behavior. Like communications in
other media, e-health interventions can
address issues at the individual, group, or
community/societal level; different theories
may be appropriate, depending on the
project’s goals. For example, computer-
tailored print materials encouraging individuals
to eat more fruits and vegetables could be
designed using the Stages of Change Model.
Online support groups may apply theories of
social support and social networks.
Figure 7.

An Asthma Self-Management
Video Game for Children
(Bronkie the Bronchiasaurus)
Box art reproduction used by permission of Health Hero
Network. Copyright © 1994 by Health Hero Network. All rights
reserved.
http:tools.48
http:kiosks.46
http:success.45
http:percent.44
http:populations.42
http:http://www.acor.org
http:preferences.41
http:http://cancercontrol.cancer.gov
http:cancer.gov
http://cancercontrolplanet
http:www.Meetup.com
http:feedback).40
http:contact.39
http:tools.38
http:business.37
Putting Theory And
Practice Together Part 3
35
PA
R

T 3
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E
36
T
H
E

O
R
Y
A
T
A
G
L A
N
C
E
Planning Models
When practitioners begin the process of
planning an intervention to promote health
or change health behavior, theory helps
them interpret the situation and guides their
decisions about what design, procedures,
and measurement indicators to select.
Depending on the unit of practice (e.g.,
individuals, groups, organizations,
community) and the nature of the health
problem, different theoretical approaches
may be appropriate. Practitioners can find
that using more than one theory to address
a problem produces a stronger impact.
This is particularly true when planning
comprehensive health promotion
programs that address multiple levels

(e.g., individual, organizational, community)
of a health problem.
Planning models, such as PRECEDE-
PROCEED and social marketing, help
practitioners develop programs step by step,
integrating multiple theories to explain and
address health problems. Practitioners
begin by using theory to develop a set of
assumptions about factors contributing to a
health problem. They then use research to
test, adjust, and add to these assumptions.
Armed with a theoretical framework and
situation-specific research findings,
practitioners design a targeted intervention
strategy. This includes designing an
evaluation to gauge whether or not the
approach is effective, and choosing realistic,
actionable goals that define in advance
what programmatic success will look like.
Research (into the needs of the population,
resources available, and the situation in
which the health problem occurs) is a
central feature of comprehensive planning
models. Theory helps planners think about
what questions to ask throughout program
planning, implementation, and evaluation
phases. During program planning, they
explore the needs and resources of the
population and learn how to design effective
materials and strategies. During
implementation, they seek to build and
continually improve the program. After it
ends, they assess what short-term and long-

term effects the program has had on the
health problem and its contributing factors.
Both social marketing and the PRECEDE-
PROCEED model instruct the practitioner
to begin the planning process by assessing
the target audience’s needs at multiple
levels of a health problem. In social
marketing, this preliminary investigation
involves conducting consumer research and
market analysis. In PRECEDE-PROCEED,
it includes carrying out epidemiological
assessment; behavioral, educational,
environmental, and organizational
diagnosis; and administrative and policy
assessment. Both planning models combine
behavior change theories for greater impact
and use them as a basis for evaluation.
These planning models are described in
greater detail in the sections that follow.
Social Marketing
Social marketing uses marketing techniques
to influence the voluntary behavior of target
audience members for health benefit. It
is distinct from health education in that it
goes beyond informing or persuading
people to reinforcing behavior with
incentives and other benefits. It also differs
from commercial marketing because the
people who gain from it are members of the
target audience. Another difference is that
the marketing organization defines success
in terms of positive effects on society.
Social marketing is not a theory, but an

approach to promoting health behavior.
Alan Andreason defines it as “the
application of commercial marketing
technologies to the analysis, planning,
execution, and evaluation of programs
designed to influence the voluntary behavior
of target audiences in order to improve their
personal welfare and that of society.”49
This process creates a voluntary exchange
between a marketing organization and
members of a target audience based on
mutual fulfillment of self-interest. In other
words, the marketing organization exists
to fulfill its mission (as defined by the
organization’s leadership), and the target
audience members act in their own interests.
Social marketing programs are generally
“consumer-driven,” not expert-driven. They
are targeted to serve a defined group of
people. To avoid delineating the target
market in an overly broad manner, social
marketing practitioners segment a larger,
heterogeneous target market into smaller
subgroups. Market segmentation is the
process of dividing a target audience into
these more homogenous subgroups with
distinct, unifying characteristics and needs.
For example, factors such as regional
location, ethnicity, gender, exercise habits,
readiness for change, or media habits could
be used to segment the larger audience
of “smokers.” Social marketing seeks to
identify patterns that distinguish one target

group from another to effectively target
marketing strategies.
The social marketing process involves
identifying an effective “marketing mix”
(“The four Ps”) of product, price, place,
and promotion. The optimal marketing mix
produces a timely exchange that heightens
benefits, reduces barriers, and offers a
better choice than the competition. The
social marketer explores what benefits
are of most interest to target market
members and develops strategies and
methods accordingly. The four Ps of the
marketing mix are:
• Product (the right kind of behavioral
change) includes not only the behavior
that is being promoted, but also the
benefits that go along with it.
• Price (an exchange of benefits and costs)
refers to barriers or costs involved in
adopting the behavior (e.g., money,
time, effort).
• Place (making new behaviors easy to do)
is about making the “product” accessible
and convenient. It means delivering
benefits in the right place at the right time.
• Promotion (delivering the message to the
audience) is how the practitioner notifies
the target market of the product, as well
as its benefits, reasonable cost,

and convenience.
Ideally, social marketing interventions begin
with formative research (also called
audience or consumer research) to
understand the target market’s perceptions,
needs, and wants concerning the health
behavior. Formative research includes
learning about consumers’ current behavior,
what enables it, and what reinforces it.
Practitioners also conduct a second type of
research, competitive analysis (also called
environmental analysis), to learn about the
environment in which members of the target
market are making behavior decisions.
This analysis examines competing
behaviors that are being promoted to the
target market. (For example, messages
encouraging people to eat convenient,
inexpensive fast foods compete with
messages about eating 5 fruits and
vegetables a day.) It also investigates how
consumers’ decisions are shaped by
factors such as their social and physical
surroundings or their economic situation.
37
PA
R
T 3
P
U
T

T
I N
G
T
H
E
O
R
Y
A
N
D
P
R
A
C
T
I C
E
T
O
G
E
T

H
E
R
Evaluation is a critical and ongoing
component of social marketing programs.
Formative research helps practitioners to
develop and refine concepts, messages,
products, services, pricing, and distribution
channels before they are fully implemented.
Marketers often use qualitative methods,
such as focus groups or key informant
interviews, to pre-test marketing concepts,
messages, and materials in a cost-effective
manner. They may also pilot-test materials
with individuals who share characteristics
of the target market in order to verify their
effectiveness, identify diverse channels
for delivering the message, and measure
outcomes. Process evaluation methods are
used to track program outputs and processes
during implementation. Social marketers also
conduct summative research, often in the
form of outcomes monitoring. This analysis
compares the program’s program objectives
with its immediate and long-term outcomes

to determine what worked, what didn’t, and
whether the program was cost-effective.
Social marketing programs are most
successful when they are implemented
using a research-driven process; then
consumer research can help to adjust
program messages and outputs. The social
marketing process includes four stages:
planning and strategy development;
development of pretesting concepts,
messages, and materials; implementation;
assessment of in-market effectiveness;
and feedback to the first stage. (See
Figure 8.) Within each stage, there is a
constant feedback loop between research
and planning.
As an approach that promotes behavior
change through voluntary exchange and
positive reinforcement, social marketing
borrows substantively from behavior change
theory. Behavioral theory offers insights
into the current behavior of target market
members and what might influence or
change that behavior. For example, a social
marketer who references Social Cognitive
Theory might examine how self-efficacy
and expectations about the outcome of a
behavior factor into certain health practices
within a target market.
The California 5 A Day Campaign, which
was the model for the national 5 A Day
program,50 employs social marketing to
increase Californians’ consumption of

fruit and vegetables through strategies
such as supermarket point-of-purchase
interventions, industry promotional support,
media outreach, and community programs.51
Several features of this program have been
well-received.52 First, it has a focused goal:
preparing them, psychological cost of
“worrying” about getting the recommended
number of servings)
• Place: Grocery stores and other points
of purchase (the 5 A Day message and
healthy foods compete against unhealthy
products for space and attention)
• Promotion: Branding the 5 A Day
campaign to increase awareness (e.g.,
using a slogan and compelling images
that are easy to recall)
Distribution channels include mass media
advertising, public service announcements,
newsletters, the Internet, magazines, press
conferences, outreach activities, special
events, and community-based groups, such
as churches. Regular monitoring and
evaluation help to assess the reach and
impact of messages; efficient use of time,
labor, and capital resources; and program
costs/benefits.
39
PA

R
T 3
P
U
T
T
I N
G
T
H
E
O
R
Y
A
N
D
P
R
A
C
T
I C
E

T
O
G
E
T
H
E
R
38
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E

Figure 8. Social Marketing Wheel
to increase fruit and vegetable consumption
by raising awareness of the health benefits.
PRECEDE-PROCEED
Second, its approach is built on an
PRECEDE-PROCEED is a planning model,
not a theory. It does not predict or explain 1
established theoretical framework—thePlanning and
Stages of Change model. Third, messages Strategy factors
linked to the outcomes of interest,
Development were designed and disseminated using
but offers a framework for identifying
intervention strategies to address these
factors. Developed by Green, Kreuter,
consumer-driven communications
strategies. Fourth, formative research (mall
Developing
and Pretesting
intercept interviews, focus groups, and
4
Concepts, and associates,53 PRECEDE-PROCEED
Messages, baseline survey data) helped the planners
provides a road map for designing health

education and health promotion programs.
and Materials to understand their audiences and improve
Assesing messages. Lastly, the program uses the
four Ps of social marketing:2 It guides planners through a
process that starts with desired outcomes and works
Effectiveness and Making
Refinements
3 Implementing the Program
• Product: Consuming more fruits and
vegetables each day to minimize the risk
of cancer and improve health status
• Price: The costs of eating a healthier diet
(e.g., financial cost of buying fruits and
vegetables, time cost of shopping for and
backwards to identify a mix of strategies
for achieving objectives. (See
http://lgreen.net/index.html.)
Because the model views health behavior
as influenced by both individual and
environmental forces, it has two distinct
parts: an “educational diagnosis”
http://lgreen.net/index.html
http:well-received.52
http:programs.51

(PRECEDE) and an “ecological diagnosis”
(PROCEED). The PRECEDE acronym
stands for Predisposing, Reinforcing,
Enabling Constructs in Educational/
Environmental Diagnosis and Evaluation.
Developed in the 1970s, this component
of the model posits that an educational
diagnosis is needed to design a health
promotion intervention, just as a medical
diagnosis is needed to design a treatment
plan. PROCEDE stands for Policy,
Regulatory, and Organizational Constructs
in Educational and Environmental
Development. This element was added
to the framework later, in 1991, to take
into account the impact of environmental
factors on health. Together, these two
components of the model help practitioners
plan programs that exemplify an
ecological perspective.
PRECEDE-PROCEED has nine steps. The
first five steps are diagnostic, addressing
both educational and environmental issues.
These include: (1) social assessment, (2)
epidemiological assessment, (3) behavioral
and environmental assessment, (4)
educational and ecological assessment, and
(5) administrative and policy assessment.
The last four comprise implementation and
evaluation of health promotion intervention.
These include: (6) implementation, (7)
process evaluation, (8) impact evaluation,

and (9) outcome evaluation. (See Figure 9.)
During the diagnostic steps of the model,
practitioners employ various methods to
learn about the community’s perceived and
actual needs, as well as the regulatory
context in which the intervention will
operate. To conduct social assessment, the
practitioner may use multiple data collection
activities (e.g., key informant interviews,
focus groups, participant observation,
surveys) to understand the community’s
perceived needs. Epidemiological
assessment may include secondary data
analysis or original data collection to
prioritize the community’s health needs and
establish program goals and objectives.
Behavioral and Environmental Assessment
identifies factors, both internal and external
to the individual, that affect the health
problem. Reviewing the literature and
applying theory are two ways to map out
these factors.
• Enabling factors, which enable persons to
act on their predispositions; these factors
include available resources, supportive
policies, assistance, and services.
• Reinforcing factors, which come into play
after a behavior has been initiated; they
encourage repetition or persistence of
behaviors by providing continuing rewards
or incentives. Social support, praise,
reassurance, and symptom relief might all
be considered reinforcing factors.

In the final diagnostic step of PRECEDE-
PROCEED, Administrative and Policy
Assessment, intervention strategies reflect
information gathered in previous steps;
the availability of needed resources; and
organizational policies and regulations
that could affect program implementation.
(See Table 10.)
41
PA
R
T 3
P
U
T
T
I N
G
T
H
E
O
R
Y
A

N
D
P
R
A
C
T
I C
E
T
O
G
E
T
H
E
R
40
T
H
E
O
R

Y
A
T
A
G
L A
N
C
E
Figure 9. The PRECEDE-PROCEED Model
PRECEDE
STEP 5
Administration
and Policy
Diagnosis
Educational and Behavioral and Epidemiological Social
Ecological Environmental Assessment Assessment
Assessment Assessment
In Educational and Ecological Assessment,
the practitioner identifies antecedent and
reinforcing factors that must be in place to
initiate and sustain change. Behavior—such
as reducing intake of dietary fat, engaging

in routine physical activity, and obtaining
annual mammograms—is shaped by
The four remaining steps of PRECEDE-
PROCEED comprise program
implementation and evaluation. Before
Implementation (Step 6) begins,
practitioners should prepare plans for
evaluating the process (Step 7), impact
Predisposing
Health factors
Promotion
Health Reinforcing Behavior and
education factors lifestyle
Policy
regulation Enabling Environment organization factors
Health Quality
of life
predisposing, reinforcing, and enabling
factors. Practitioners can use individual,
interpersonal, or community-level change
theories to classify determinants of behavior
(Step 8), and outcome (Step 9) of the
intervention. Process Evaluation gauges the
extent to which a program is being carried
out according to plan. Impact Evaluation
looks at changes in factors (i.e.,
into one of these three categories and rank

their importance. Because each type of
predisposing, enabling, and reinforcing
factor requires different intervention
factors) that influence the likelihood that
strategies, classifying them helps
behavioral and environmental change will
practitioners consider how to address
occur. Lastly, outcome evaluation looks at
Implementation Process Impact Outcome
Evaluation Evaluation Evaluation
PROCEED
Source: Green LW, Kreuter MW, 1999.
As Table 11 shows, the individual,
• Predisposing factors, which motivate or
interpersonal, and community-level theories
provide a reason for behavior; they include
discussed in this monograph are most
knowledge, attitudes, cultural beliefs, and
useful when applied to PRECEDE-
readiness to change.
PROCEED’s diagnostic steps. Community
community needs. The three types of

influencing factors include:
whether the intervention has affected health
and quality-of-life indicators.
Planning Step Function Examples of Relevant Theory
1. Social Assessment Assesses people’s views of
their own needs and quality
of life
Community building
2. Epidemiological
Assessment
Documents which health
problems are most important
for which groups in a
community
Community-level theories
(If the community helps to
choose the health problem that
will be addressed)

3. Behavioral/
Environmental
Assessment
Identifies factors that
contribute to the health
problem of interest
Interpersonal theories
- Social Cognitive Theory
Theories of organizational change
Diffusion of innovations
4. Educational/
Ecological
Assessment
Identifies preceding and
reinforcing factors that must
be in place to initiate and
sustain change
All three levels of change theories:
- Individual
- Interpersonal
- Community
5. Administrative/
Policy

Assessment
Identifies policies, resources,
and circumstances in the
program’s context that may
help or hinder implementation
Community-level theories:
- Community organization
- Organizational change
organization relates to Step 1, which may
entail working with communities to identify
their own needs, strengths, resources, and
capacities. Descriptive epidemiology is most
pertinent to Step 2, but community-level
theories may be relevant if the community
helps to choose the health problem that will
be addressed, or to set priorities among
health problems. Theory is most directly
useful when applied to steps 3, 4, and 5,
since these steps call upon the practitioner
to make strategic decisions. By using theory,
the practitioner can make sound choices
that are based upon more than just intuition
and personal judgment.
Theory should guide practitioners’ exam
ination of predisposing, enabling, and
reinforcing factors. For example, the Health
Belief Model suggests that certain beliefs
might influence women’s decisions about
whether or not to get a mammogram, such
as perceived chances of developing cancer
(perceived susceptibility), or how serious
they believe cancer would be (perceived

severity). Both beliefs constitute
predisposing factors. Other HBM constructs
may identify possible perceived benefits of
and barriers to screening. Receiving
reassurance that they do not have cancer
(perceived benefit) might be a reinforcing
factor. Lack of insurance coverage for
screening mammography (perceived
barrier) could be a negative enabling factor.
By exploring the degree to which each of
these factors affects women’s behaviors,
program planners can decide how to focus
program messages for a communications
campaign or strategies for an administrative
intervention (such as providing low- or no-
cost screening or changing insurance
coverage). The best way to verify and rank
explanations offered by theory is to gather
information directly from women in the
target population. Another, less ideal
To make appropriate use of theory in a
given situation, practitioners must consider
both the social or health problem at hand
and the context in which the intervention
will take place. Once they have identified
a problem, they can use a planning system
such as social marketing or PRECEDE-
PROCEED to identify social science
theories that contribute to their
understanding. These theories can guide
them to potential points of intervention.
Consulting the research literature helps
practitioners to learn about the past

successes or failures of intervention
strategies that they consider, and reflect
on whether those strategies are likely to
work for the current situation. Pre-testing
43
PA
R
T 3
42
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E

Table 10. Diagnostic Elements of PRECEDE-PROCEED
approach is to learn by reading research and actively discussing
proposed
literature on women who share strategies with the target
audience can
characteristics with the target population. also help to determine
whether or not they
will be well received.
P
U
T
T
I N
G
T
H
E
O
R
Y
A
N
D
P
R
A

C
T
I C
E
T
O
G
E
T
H
E
R
Where to Begin: Choosing the
Right Theories
Interventions that evolve from a
comprehensive planning process, build
on prior research, and use health behavior
theories are more likely to be effective.
By investigating what factors influence
the target population’s behavior, including
their social and physical environments,
practitioners gain the raw materials they
need to meet the needs of that population.
Theory helps practitioners to interpret the
findings of their research, making the leap
from facts on a page to understanding the
dynamic interactions between behavior

and environmental context. Systematic
approaches to tailoring, targeting,
implementing, and evaluating programs
provide practitioners with a framework for
translating this insight into actions that
improve health outcomes.
Table 11. summarizes the focus and key
concepts of each of the eight theories
described in this guide. Refer to this table
to identify theories that help explain and
address a health problem. For example,
several theories could be used to inform the
design of a program to reduce tobacco use
among adolescents. By scanning the
“Focus” column, one can quickly gauge
which theories might apply to a particular
situation. For example, The Stages of
Change model might be very useful, since it
centers on individuals’ readiness to change.
On the other hand, the Health Belief Model
seems less promising, since young people
may be less concerned about long-term
health problems. (In fact, they may not feel
vulnerable to disease at all!) Social
Cognitive Theory could be helpful because it
emphasizes the interplay between personal,
environmental, and behavior factors.
Likewise, Community Organization could
offer perspective on activating young people

around tobacco control issues. Applying step-by-step process of
examining health
each of these theories might look like this: and behavior at
multiple levels.
44
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E
• Stages of Change: Learn more about
readiness to change among adolescents
who smoke in order to plan appropriate
and effective cessation messages
and strategies.

• Social Cognitive Theory: Examine how
social environment, including peer
attitudes, influences adolescents’ tobacco
use. What are the expectations of teens
who experiment with tobacco, or who use
it regularly? How do observational learning
and reinforcement contribute to the
reasons why they smoke? Might these
constructs help identify someone who
can successfully help them to quit?
• Community Organization: Consider how
to involve teen smokers in developing and
carrying out the program. One idea might
be to organize a coalition of concerned
parents, teachers, and teens to help
explore why teens smoke, and identify
potential solutions.
The examples above offer a basic
illustration of how multiple theories might
be combined to address a single problem.
The resulting program would be a multi-
faceted, multilevel effort.
A Few Final Words
Once one is familiar with some
contemporary theories of health behavior,
the challenge is to use them appropriately
within a comprehensive planning process.
Planning systems, such as social marketing
and PRECEDE-PROCEED, facilitate the
process of developing successful programs
because they lead practitioners through a

At the most basic level, an ecological
perspective points to two approaches to
addressing health problems: change
people’s behavior or change the
environment. The most powerful health
promotion and behavior change
interventions integrate these approaches
and treat them both as essential. Figure 10.
illustrates that strategies intended
to change people’s behavior can often be
derived from individual-level theories; those
aimed at changing the environment draw on
community-level theories. Theories at the
interpersonal level (such as Social Cognitive
Theory) lie in-between, exploring the
reciprocal exchanges between individuals
and their environments.
Practitioners who are aware of reciprocal
causation (i.e., that individual behavior
both influences, and is influenced by, the
environment) are more likely to design
multidimensional, effective health promotion
programs. A change strategy based on
individual-level theory may indirectly lead
to changes in the environment (e.g., when
individuals’ improved eating habits drive
the cafeteria to offer healthier choices).
By the same token, a strategy based on
community-level theory may yield improved
individual health behaviors (e.g., when
an individual’s involvement in a community
organizing project to improve access to
fruits and vegetables in the community
inspires her to cook healthier foods for
her family).

Theoretical frameworks offer flexible
guidance for applying the abstract
concepts of theory to a vast array of real
circumstances. By becoming familiar with
Stages of Change
Model
Theory of Planned
Behavior
Diffusion of
Innovations
Individuals’ motivation and
readiness to change a
problem behavior
Individuals’ attitudes toward
a behavior, perceptions of
norms, and beliefs about the
ease or difficulty of changing
How new ideas, products,
and practices spread within a
society or from one society
to another
Precontemplation
Contemplation
Decision
Action
Maintenance
Behavioral intention

Attitude
Subjective norm
Perceived behavioral control
Relative advantage
Compatibility
Complexity
Trialability
Observability
Table 11. Summary of Theories: Focus and Key Concepts
Individual
Level
Interpersonal
Level
Community
Level
Theory Focus
Health Belief Model Individuals’ perceptions of
the threat posed by a health
problem, the benefits of
avoiding the threat, and
factors influencing the
decision to act
45
PA
R
T 3

G
E
T
H
E
R
Precaution
Adoption Process
Model
Social Cognitive
Theory
Community
Organization
Communication
Theory
Individuals’ journey from
lack of awareness to action
and maintenance
Personal factors,
environmental factors, and
human behavior exert
influence on each other
Community-driven
approaches to assessing and
solving health and social

problems
How different types of
communication affect health
behavior
Key Concepts
Perceived susceptibility
Perceived severity
Perceived benefits
Perceived barriers
Cues to action
Self-efficacy
Unaware of issue
Unengaged by issue
Deciding about acting
Deciding not to act
Deciding to act
Acting
Maintenance
Reciprocal determinism
Behavioral capability
Expectations
Self-efficacy
Observational learning
Reinforcements
Empowerment
Community capacity
Participation
Relevance
Issue selection
Critical consciousness

Example: Agenda Setting
Problem identification,
definition
Framing
Figure 10. Using Theory to Plan Multilevel Interventions
Change Strategies
Change
People’s Behavior
Change
the Environment
•
•
•
•
Examples
of Strategies

Educational sessions
Interactive kiosks
Print brochures
Social marketing
campaigns
Ecological
Level
Individual
Useful Theories
Stages of Change
Precaution Adoption Process
Health Belief Model
Theory of Planned Behavior
•
•
Mentoring programs
Lay health advising
Interpersonal Social Cognitive Theory
•
•
Media advocacy
campaigns
Advocating changes to
company policy
Community Communication Theory

Community Organizing
47
PA
R
T 3
46
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E
P U
T

H
E
R
behavior change theories and planning
systems, practitioners gain access to tools
that allow them to generate creative
solutions to unique situations. They are able
to go beyond acting on instinct or repeating
earlier interventions to adopt a systematic,
scientific approach to their work. Theory
helps practitioners to ask the right questions
and effective planning helps them zero in on
factors that contribute to a problem. Other
key elements of effective programs include
matching programs to the audience, making
information accessible and practical,
involving participants in active learning,
and including elements that build skills
and reinforce behavior change.
Becoming comfortable with behavior change
theory as an instrument of practice may take
some work, but the results are well worth
it. Behavior change theory is not simply a
tool for academics and researchers; it
can be applied to the problems health
promotion practitioners face every day.
The abstractions of theory help practitioners
to understand the dynamics underlying real
situations and to think about solutions
in a new way. Armed with this resource,
you may find yourself saying, as did
Winston Churchill in 1898, “I pass with relief

from the tossing sea of Cause and Theory
to the firm ground of Result and Fact.”
48
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E
Sources
Bandura A. Social Foundations of Thought and Action: A Social

Cognitive Theory. Englewood
Cliffs, N.J.: Prentice-Hall, 1986.
Glanz K, Rimer BK, Lewis FM. Health Behavior and Health
Prochaska JO, DiClemente CC, Norcross JC. In Search of How
People Change: Applications to
the Addictive Behaviors. American Psychologist 47:1102–1114,
1992.
Rosenstock IM, Strecher VJ, Becker MH. Social Learning
Theory and the Health Belief Model.
Health Education Quarterly 15(2):175–183, 1988.
van Ryn M, Heaney CA. Developing Effective Helping
Relationships in Health Education Practice.
Health Education and Behavior 24:683–702, 1997.
Kotler P, Andreasen A. Strategic Marketing for Nonprofit
Organizations (5th Edition).
Prentice-Hall, 1996.
Office of Cancer Communications, National Cancer Institute.
NIH Pub. No. 02-5145, 2002.
Glanz, Karen and Rimer, Barbara K. Theory at a Glance: A
Guide for Health Promotion Practice.
National Cancer Institute, National Institutes of Health, U.S.
Services. NIH Pub. No. 97-3896. Washington, DC: NIH,
Revised September 1997.

References
1 Glanz K, Rimer BK, Lewis FM. Health Behavior and Health
2 Institute of Medicine. Speaking of Health: Assessing Health
Communications Strategies
for Diverse Populations. Washington, D.C.: National Academies
Press, 2002.
3 Kreuter MW, Skinner CS. Tailoring: what’s in a name? Health
Education Research 15(1):1, 2000.
4 McLeroy KR, Bibeau D, Steckler A, Glanz K. An ecological
perspective on health promotion
programs. Health Education Quarterly 15:351–377, 1988.
5 Office on Smoking and Health, National Center for Chronic
Disease Prevention and Health
Promotion, Centers for Disease Control and Prevention, U.S.
Services. Best Practices for Comprehensive Tobacco Control
Programs. Atlanta Ga.: August 1999.
6 Prochaska JO, DiClemente CC. Stages and processes of self-
change of smoking:
Toward an integrative model of change. Journal of Consulting
and Clinical Psychology 51(3):
390–395, 1983.
7 Azjen I, Driver BL. Prediction of leisure participation from
behavioral, normative, and control
beliefs: an application of the theory of planned behavior.
Leisure Science 13:185–204, 1991.

8 Mandelblatt JS, Gold K, O’Malley AS, et al. Breast and cervix
cancer screening among multiethnic
women: Role of age, health, and source of care. Preventive
Medicine 28:418–425, 1999.
10 Baranowski T, et al. Increasing fruit and vegetable
consumption among 4th and 5th grade
students: results from focus groups using reciprocal
determinism. Journal of Nutrition Education
25:114–327, 1993.
11 Lorig K, Sobel D, Stewart A, et al. Evidence suggesting that
a chronic disease self-management
program can improve health status while reducing
hospitalization. Medical Care 37(1):5–14, 1999.
12 Fetterman DM, Kaftarian SJ, Wandersman A. Empowerment
Evaluation: Knowledge and Tools
for Self-assessment and Accountability. Thousand Oaks, Calif.:
Sage Publications, 1996.
13 Fawcett SB, Francisco VT, Schultz JA, et al. The Community
Tool Box: A Web-Based Resource
for Building Healthier Communities. Public Health Rep. 115(2-
3):274–8, Mar-Jun, 2000.
49
T
H
E
O

R
Y
A
T
A
G
L A
N
C
E
50
T
H
E
O
R
Y
A
T

A
G
L A
N
C
E
14 Rothman J. Approaches to Community Intervention. In
Rothman J, Erlich JL, Tropman JE (eds.),
Strategies of Community Intervention. Itasca, Ill.: Peacock
Publishers, 2001.
15 Wallerstein N. Powerlessness, empowerment, and health:
implications for health promotion
programs. American Journal of Health Promotion 6:197–205,
1992.
16 Fisher R. Social Action Community Organization:
Proliferation, Persistence, Roots, and
Prospects. In Minkler M (ed.), Community Organizing and
Community Building for Health. Rutgers,
N.J.: Rutgers University Press, 1997.
17 Alinsky SD. Rules for Radicals. New York, N.Y.: Vintage
Books, 1989.
18 Parachini L, Covington S. Community Organizing Toolbox:
A Funder’s Guide to Community
Organizing Neighborhood Funders Group. Washington, D.C.:
April 2001.
URL: http://www.aecf.org/tarc/publications/pubs_toolbox.php

19 Alinsky, op. cit.
20 Dorfman L, Wallack L, Themba M. Media Advocacy and
Public Health: Power for Prevention.
Newbury Park, Calif.: Sage Publications, 1993.
21 Wallack L., Dorfman L. Issue 1. Berkeley Media Studies
Group, Berkeley, CA. January, 1997.
22 Nichter M. Project community diagnosis: Participatory
research as a first step toward community
involvement in primary health care in Hahn RA (ed.),
Anthropology in public health: Bridging the
differences in culture and society. New York, N.Y.: Oxford
University Press, 1999.
23 Thompson B, Nettekoven L, Ferster D, Stanley LC,
Thompson J, Corbett KK. Chapter 5:
Mobilizing the COMMIT Communities for Smoking Control.
Smoking and Tobacco Control
Monograph 6: Community-Based Interventions for Smokers:
The COMMIT Field Experience.
Tobacco Control Research Branch, Division of Cancer Control
and Population Sciences, National
Cancer Institute, National Institutes of Health. 1993.
24 Community-based interventions for smokers: The COMMIT
Field Experience, Smoking and
Tobacco Control Monograph No. 6. Burns D, Garfinkel L,
Samet J, editors. USDHHS NIH NCI. NIH
Publication No. 95-4028, 1995.
26 National Cancer Policy Board, Institute of Medicine.
Fulfilling the Potential of Cancer Prevention

and Early Detection. Washington, D.C.: The National
Academies Press, 2003.
27 Rogers EM. Diffusion of Innovations (4th Edition). New
York, N.Y.: Free Press, 1995.
28 Bernhardt JM. Communication at the Core of Public Health.
American Journal of Public Health
94(12): 2051–2052, December 2004.
29 Ibid.
30 Office of Cancer Communications, National Cancer Institute.
NIH Pub. No. 02-5145, 2002.
31 Freimuth V, Quinn SC. The Contributions of Health
Communication to Eliminating Health
Disparities. American Journal of Public Health 94(12):2053–
2054, December 2004.
33 Freimuth V, Quinn SC, op. cit.
34 Ibid.
35 Ibid.
36 Dorfman L, Wallack L, Themba M, op cit.
37 Eysenbach G. What is e-health? Journal of Medical Internet
Research 3(2):e20, 2001.
URL: http://www.jmir.org/20012/e20

38 Eng TR. The eHealth Landscape: A Terrain Map of Emerging
Information and Communication
Technologies in Health and Health Care. The Robert Woods
Johnson Foundation, 2001.
URL: http://www.informatics-review.com/thoughts/rwjf.html
39 Neuhauser L, Kreps G. Rethinking Communication in the E-
health Era. Journal of Health
Psychology 8(1): 7–22, 2003.
40 Science Panel on Interactive Communication and Health.
Wired for Health and Well-Being:
The Emergence of Interactive Health Communications. U.S.
Services, U.S. Government Printing Office. Washington, D.C.:
April 1999.
URL: http://www.health.gov/scipich/pubs/finalreport.htm
41 Cassell MM, Jackson C, Cheuvront B. Health communication
on the Internet: an effective
channel for health behavior change? J Health Commun 3(1):71-
9, Jan-Mar 1998.
43 Lieberman, D.A. Interactive video games for health
promotion: Effects on knowledge, self-
efficacy, social support, and health. R.L. Street, W.R. Gold, &
T. Manning (Eds.), Health promotion
and interactive technology: Theoretical applications and future

directions. Mahwah, NJ: Lawrence
Erlbaum Associates, pp. 103–120, 1997.
44 Lieberman DA. Management of chronic pediatric diseases
with interactive health games:
Theory and research findings. Journal of Ambulatory Care
Management 24(1):26–38, 2001.
51
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E
http://www.health.gov/scipich/pubs/finalreport.htm
http://www.informatics-review.com/thoughts/rwjf.html
http://www.jmir.org/20012/e20

http://www.aecf.org/tarc/publications/pubs_toolbox.php
52
T
H
E
O
R
Y
A
T
A
G
L A
N
C
E
45 Kreps GL. Evaluating new health information technologies:
expanding the frontiers of health care
delivery and health promotion. Stud Health Technol Inform
80:205–12, 2002.
46 U.S. Department of Commerce. A Nation On-line: How
Americans are Expanding their Use of the

Internet. Economics and Statistics Administration, National
Telecommunications and Information
Administration. February 2002. URL:
http://www.ntia.doc.gov/ntiahome/dn/anationonline2.pdf
47 Leslie Harris & Associates. Bringing a Nation On-line: The
Importance of Federal Leadership.
The Leadership Conference on Civil Rights Education Fund and
the Benton Foundation. July 2002.
URL:
n.pdf
48 Institute of Medicine, op cit.
49 Andreasen A. Marketing Social Change: Changing Behavior
to Promote Health, Social
Development, and the Environment. San Francisco, Calif.:
Jossey-Bass, 1995.
50 National Cancer Institute. 5 A Day for Better Health
Program, Chapter 1. National Institutes of
Health. NIH Pub. No. 01-5019. Washington, DC: September
2001.
51 California Department of Health Services. Cancer Prevention
and Nutrition Section. Eat 5 A Day
for Better Health. 2005. URL:
http://www.dhs.ca.gov/ps/cdic/cpns/ca5aday/
52 Alcalay R, Bell R. Promoting Nutrition and Physical Activity
Through Social Marketing. Department
of Communication and the Center for Advanced Studies in
Nutrition and Social Marketing.
University of California, Davis, June, 2000.

53 Green LW, Kreuter MW. Health Promotion Planning: An
Educational and Ecological Approach
(3rd edition). McGraw-Hill, 1999.
http://www.dhs.ca.gov/ps/cdic/cpns/ca5aday
n.pdf
http://www.ntia.doc.gov/ntiahome/dn/anationonline2.pdfStructu
re BookmarksTheory.Glance. A Guide For Health Promotion
Practice (Second Edition) Foreword. Acknowledgements. Tables
and Figures. Table of Contents. Introduction. Foundations of
Theory in Health Promotion and Health BehaviorPart 1 Theories
and Applications Putting Theory And Practice Together Part 3
Sources. References.

Here is a research tip We write the theory into a separate sectio

More Related Content

Similar to Here is a research tip We write the theory into a separate sectio (20)

More from SusanaFurman449 (20)

Recently uploaded (20)

Here is a research tip We write the theory into a separate sectio