Module Two

Prevention Research

Time

The anticipated time for the module is 4 hours.

Learning Objectives

Participants will be able to:

-   Define evidence-based prevention

-   Describe the risk factors/protective factors theory of substance
    abuse prevention, the resiliency approach and the developmental
    assets framework

-   Apply the risk factors/protective factors approach to a case study

Materials and Preparation

1.  Prepare an **overhead projector** or **LCD Projector** with the
    appropriate slides.

2.  Be ready to use the following information and work sheets:

    -   **Risk Factors**

    -   **The Risk Factors/Protective Factors Theory**

    -   **Building Protection: Social Development Strategy**

    -   **Risk and Protective Factor Framework**

    -   **The Resiliency Approach**

    -   **The Developmental Assets Approach**

    -   **40 Developmental Assets**

    -   **Three Case Studies in Prevention**

3.  Have handy a chart pad and markers.

Format of Facilitator Notes

Trainer instructions are in *italics.* Suggested narrative is in normal
font.

Integrating the SPF throughout the SAPST

*In Module 2,* *Risk and Protective Factor Theory is discussed in great
detail. Risk and Protective Factors are often "intervening variables"
which the SPF indicates need to be addressed by the strategies selected
and implemented by a community. This could be addressed further in
Module 3.*

Slide 1

*Show title slide, **Prevention Research**.*

Slide 2

*Review the slide, **Prevention Research: Why study Prevention
Research**.*

Slide 3

What does evidence-based mean?

*Show the slide, **What is "Evidence-based" Prevention?***

The field of substance abuse prevention is a young and complex field
whose research and theoretical base is in a state of evolution. The
prevention field is increasingly being held to higher standards of
accountability. There is credible scientific evidence that many
prevention and intervention programs are effective in preventing
substance abuse and/or the risk factors that have been linked to it.
"Evidence-based" prevention is the current standard in the field.

*Review the slide.*

Slide 4

*Show the slide, **Why All the Concern over Evidence-based Prevention?**
Explain.*

Slide 5

*Show the slide, **What Should a Good Theory Do?,** and briefly describe
each of the points (Bellack & Kazdin, 1990):*

-   A good theory should identify the factors that predict substance
    abuse.

-   A good theory should explain the mechanisms through which they
    operate.

-   A good theory should identify the internal and external variables
    that influence these mecha­nisms, including cultural factors.

-   A good theory should predict points to interrupt the course leading
    to substance abuse.

-   A good theory should specify the interventions to prevent onset of
    substance abuse.

The evolving science of prevention is currently prima­rily informed by
the Risk and Protective Factor Theory. Other approaches, such as the
resiliency approach and the developmental assets approach, show promise
but require further longitudinal research with diverse populations to
validate their theoretical base. Limited research has been done to date
to show that implementation of these approaches leads to the future
reduction or prevention of substance abuse.

Slide 6

*Choose one of the optional activities to conduct at this time.*

**A. Physician-Patient Activity:**

-   *Set up: Ask participants to find a partner.*

    -   *Have them designate one person "A" and the other "B."*

    -   *A's role-play physicians; B's role-play patients.*

    -   *Explain that patients are 45 year-olds consulting their
        physician after experiencing chest pain.*

    -   *Explain that the physicians are to interview their patient for
        5 minutes to assess what they believe is going on and to make
        some recommendations.*

-   *After 5 minutes, reconvene the group.*

-   *Debrief: Ask patients what kinds of questions their physicians
    asked them.*

    -   Why were these questions asked? *(Because these are risk factors
        for heart disease. Risk factors are also known as intervening
        variables.)*

    -   Did the physicians ask their patients what size shoe they wear?
        Why not? *(Because this is not a risk factor for heart
        disease.)*

    -   What recommendations did the physicians make to the patients and
        why? *(To reduce risk factors and increase protective factors
        for heart disease.)*

    -   How did non-physicians, role-playing physicians know what
        questions to ask and recommendations to make? *(Because U. S.
        Public Health has disseminated this research to the public and
        provided education which has resulted in behavior changes.)*

-   Heart disease rates in the U. S. have gone down significantly over
    the past 20 years due to the behavior and lifestyle changes made as
    a result of public health education.

-   David Hawkins and Richard Catalano at the University of Washington
    followed this public health model in their work on substance abuse
    prevention. They have organized their research into the Risk and
    Protective Factor Theory.

> **B. Risk and Protective Factor Activity**

-   *Give each participant about 20 post-its and a felt tip pen.*

-   Think of up to 10 factors in your community, family, school, or
    themselves and their peers, that **could have or did** put you at
    risk for ATOD abuse. Write **one** risk factor on **each** post-it.

-   *While they are doing this, post 4 sheets of chart paper around the
    room with headings prepared as follows:*

    -   *INDIVIDUAL/PEER*

> *Top half: Risk Factors*
>
> *Bottom half: Protective Factors*

-   *FAMILY*

> *Top half: Risk Factors*
>
> *Bottom half: Protective Factors*

-   *SCHOOL*

> *Top half: Risk Factors*
>
> *Bottom half: Protective Factors*

-   *COMMUNITY*

> *Top half: Risk Factors*
>
> *Bottom half: Protective Factors*

-   Post your responses on the appropriate piece of chart paper. If you
    see a similar response already placed on the sheet, please place
    your post-it on top of it.

-   *Repeat the procedure for protective factors:* Think of up to 10
    factors in the 4 areas that were or could have been factors or
    positive assets to protect you from ATOD use. Write one protective
    factor/asset on each post-it and then place your responses on the
    appropriate piece of chart paper.

> *Introduce the Risk and Protective Factor Theory as instructed in the
> next section. As you present each risk and protective factor slide,
> refer to this activity.*

-   *Ask a participant to come forward and read just the risk factors
    for one of the categories. Then display the slide that lists the
    evidence-based risk factors for that category. Ask participants to
    identify the risk factors that are the same on their list as those
    on the evidence-based list. Highlight those risk factors that the
    group may have omitted and explain them briefly, connecting the
    unidentified risk factor to something on their list that might be
    related. If there is something on the group list that is not on the
    evidence-based list, explain or discuss with the group why it might
    not be listed. (For example: Being the child of a single parent is
    not a risk factor. Although it may be true that parenting is more
    challenging as a single parent, the child of a single parent is not
    at increased risk if family management practices are effective. Some
    participants will attest to the fact that, while they were children
    of single parents, they received equally effective parenting and
    support from other adults, and did necessarily experience their
    situation negatively.) Note that risk factors are also known as
    intervening variables.*

-   *Conclude the activity by making the following points:*

    -   In general, the more risk factors present, the greater the risk.
        Conversely, the more protective factors present, the lesser the
        risk.

    -   As we know from our life experience, not all risk and protective
        factors have equal weight for each person. For example, a
        significant, positive adult mentor in our teen years could
        buffer the exposure to risk factors.

    -   Family history is the only risk factor we cannot change, but we
        can significantly reduce its effect just as one who has a family
        history of heart disease can. This concept of reducing risk
        factors is important to address in prevention programs.

Slides 7-9

> *Refer participants to the Information Sheet, **The Risk Factors/
> Protective Factors Theory**, and explain how this theory meets the
> requirements of a good theory:*

-   The Risk and Protective Factor Theory identifies the factors that
    predict substance abuse. The theory calls conditions which research
    has shown increase the likelihood of substance abuse, risk factors
    and the conditions which research has shown protect against
    substance abuse, protective factors.

-   The Risk and Protective Factor Theory explains that risk factors and
    protective factors operate through the mechanism of cumulative
    effect. The more risk factors are present, the greater the risk, and
    the more protective factors are active in a child\'s life, the more
    the child is protected from developing substance abuse.

-   The Risk and Protective Factor Theory states that risk factors and
    protective factors occur within communities, within families,
    schools and individual and peer relations. Levels of risk and
    protective factors vary and are subject to change.

-   The Risk and Protective Factor Theory suggests the course of
    substance abuse may be interrupted by reducing exposure to risk
    factors and increasing exposure to protective factors throughout the
    devel­opmental process, from prenatal to adulthood.

-   The Risk and Protective Factor Theory specifies strategies and
    interventions that reduce risk factors and increase protective
    factors to prevent the onset of substance abuse.

Risk and Protective Factor Theory emerged from the public health model
of disease pre­vention. That is, the factors which increase the risk of
developing a disease, or in this case, substance abuse, are identified
through research, and measures taken to reduce those risks. At the same
time, the factors which help protect against development of the disease,
or in this case, substance abuse, are also identified through research,
and measures taken to enhance those factors. An analogy can be made with
heart disease. Public health has identified, through heart research,
which factors (family history, diet high in fat, lack of exercise,
smoking, high stress, etc.) contribute to the development of heart
disease. Measures have been taken to educate the public to reduce the
risk factors associated with heart disease. At the same time, research
in heart disease has identified factors (regular moderate exercise, diet
high in certain kinds of foods, not smoking, limited alcohol intake,
etc.) which can help protect against heart disease. Measures have been
taken to educate the public to enhance the protec­tive factors associated
with heart disease prevention. The same approach has been taken for
substance abuse with the Risk and Protective Theory.

*Show the slides, **Risk and Protective Factor Theory**, and review them
from this perspective, making connections to the information above
showing how Risk and Protective Factor Theory meets the criteria of a
good theory.*

Risk factors are associated with six adolescent health and behavior
problems---substance abuse, violence, delinquency, teen pregnancy,
school dropout, and depression and anxiety; the more risk factors are
present, the greater is the risk. Risk factors are also known as
intervening variables which contribute to these problems.

Slide 10

*Show slide **Criteria for Inclusion as a Risk Factor,** and review.*

This is the only prevention approach that has been shown to be
predictive. In order for a risk factor to make the list, it must be
demonstrated in multiple studies. In addition, the studies must be
longitudinal. Longitudinal means in an investigation or research study,
a particular individual or group of individuals is followed over a
substantial period of time to discover changes that maybe attributable
to the influence of the treatment, to maturation, or to the environment.
Longitudinal surveys are useful for studying an issue over time. For
example, if a re­searcher were interested in studying the effects of
parenting classes on ATOD use of their children, then a cross-sectional
approach could call for sampling the children one time at the end of the
class. A longitudinal survey could call for sampling the children
several times; perhaps once before the program, another time after the
program is completed, and a year after the program is completed (Gay &
Airasian, 2000, ch. 8). A predictive theory is one that experimental
evidence has shown that if certain conditions are present, a probable
outcome will result. That is, young people are more likely to use
alcohol, tobacco, and other drugs if they are exposed to certain risk
factors and lack certain protective factors. The predictive quality of
risk factors rests on the fact that each risk factor was assessed to be
present in a child\'s life *before* a problem behavior occurred, rather
than examining that child\'s life once the child has engaged in a
problem behavior and looking retrospectively at which factors were
present. This ensures that accurate conclusions about the validity of
the risk factors can be made. Risk and Protective Factor Theory emerges
from research on adolescent substance abuse, and is therefore not
intended to apply to adult-onset substance abuse.

Slides 11-12, 13-14, 15-16, and 17-18

*Refer participants to the **Risk Factors** matrix and the Information
Sheet, **Risk Factors**/**Protective Factors Theory** as a reference as
you discuss risk factors. Make the following points as you refer to the
following slides: **Community Risk Factors, Community Risk Factor
Matrix, Family Risk Factors, Family Risk Factor Matrix, School Risk
Factors, School Risk Factor Matrix, Individual/Peer Risk Factors, and
Individual/Peer Risk Factor Matrix, Protective Factors and Social
Develop­ment Strategy.***

-   Risk factors fall into four basic categories: community risk
    factors, family risk factors, school risk factors, and
    individual/peer risk factors.

-   Protective factors protect youth from exposure to risk, either by
    reducing the impact of risk factors or by altering the way youth
    respond to risk; the more protective factors are present, the less
    is the risk.

-   Protective factors fall into three basic categories: individual
    characteristics, bonding, and healthy beliefs and clear standards.

-   Because both risk factors and protective factors are observable,
    they lend themselves to interven­tions.

*Discuss each risk factor, using the information sheet **The Risk
Factors/Protective Factors Theory** as your guide, to ensure
participants have a clear understanding of each. Provide examples of
each risk factor to ensure understanding. Adhere to defining risk
factors and resist suggesting interpretations of why a risk factor
increases the likelihood of substance abuse, as the research simply
identifies that it does, not necessarily why it does.*

*After discussing each risk factor, point out some factors that have NOT
been shown through research to be predictive of substance abuse. These
include low self-esteem, single parenting/divorce, sexual abuse, and
racism (Developmental Research and Programs, 1996).*

Low self-esteem may be a result of other risk factors present, but
increasing a child\'s self esteem without addressing the risk factors
causing low self-esteem is not an effective strategy. For single
parenting/divorce, family structure has not been found to be an
effective predictor of problem behaviors. \"It appears that the
increased prob­lem behaviors observed among children of divorced parents
are a result of family conflict, poor family management, or the
increased likelihood of poverty\...\" (DRP, 1996). Racism also has not
been found to be \"a discrete risk factor. This may be due to difficulty
in measuring racism. However, racism may be a significant contributor to
other risk factors, i.e. economic deprivation, academic failure, and
rebel­liousness\" (DRP, 1996). Finally, the reason that sexual abuse is
not listed as a risk factor is because there are not multiple,
longitudinal prospective studies showing that sexual abuse is a risk
factor for substance abuse and other problem behaviors. Although many
people who abuse substances may have a history of sexual abuse, the
research has not shown that a history of sexual abuse increases the
likelihood that a person will experience substance abuse.

Slide 19

*Refer participants to the Information Sheet, **Risk
Factors**/**Protective Factors Theory** and the **Building Protection:
Social Development Strategy** graphic as a reference as you discuss
protective factors. Show the slide **Protective Factors.** Discuss the
protective factors, using the informa­tion sheet **The Risk Factors /
Protective Factors Theory** as a guide.*

Slide 20

*Show the slide **Social Developmental Strategy (SDS)** and refer to the
information sheet **Building Protection: Social Development**
**Strategy**. Show how the protective factors interrelate, using this
model.*

*One way to present the SDS is to begin with a discussion of the
individual characteristics that can act as a \"buffer\" for the risk
factors.*

Intelligence is not a protective factor for substance abuse, but it is
for the other problem behaviors. A person\'s individual characteristics
(e.g. resilient temperaments, positive social orientation) affect how
each person approaches opportu­nities, learns new skills, and elicits and
accepts recognition.

Opportunities, skills and recognition all are necessary to build
bonding, commitment or attachment. A prevention program or person must
present children with meaning­ful opportunities to participate, the
skills to take advantage of that opportunity, and recognition for taking
that opportunity and learning that new skill. *(Remind participants that
individual characteristics impact how these should be operationalized in
prevention programs.)* It is important to note that when praise is
non-specific, it can actually decrease a child\'s internal motivation.
Consequently, praise needs to be specific.

Next, if bonding is present, then when healthy beliefs and clear
standards for behavior are conveyed by those to whom youth are bonded,
youth will be more likely to develop healthy beliefs and a desire to
adhere to the clear standards. If youth are not bonded to those
conveying the healthy beliefs and clear standards, the standards will
have little influence on their behavior; youth may even rebel by acting
in opposition to the standards.

In summary, if individual characteristics are taken into consideration
when opportunities, skills, and recognition are presented; and if youth
are bonded to those who are conveying healthy beliefs and clear
stan­dards; then youth will be more likely to develop healthy beliefs and
act within the clear standards, thus displaying healthy behaviors.
Alternately, you can work your way down the diagram by starting with
healthy behaviors: if our goal for youth is healthy behaviors, we need
to hold and develop healthy beliefs and communicate clear standards for
their behavior; in order for our standards to influence their behavior,
youth must be bonded to us; finally, some individual characteristics may
influence the opportunities for involvement youth accept, the skill
levels they develop, and the type of recognition they receive or is
meaningful to them.

Slide 21

**Risk and Protective Factor Sculpture**

*This optional activity (20 minutes) is an interactive exercise designed
to enhance under­standing of how risk and protective factors interact and
how they affect the life of a child. It works inserted at this point in
Section 2 or as a review and mind set for Day 2 of the SAPST.*

**Introduction**

We know that some children exposed to high levels of risks do not
develop adolescent problems behaviors. Why not? What is different for
these children? Some children have a variety of protective factors in
place in their lives which protect them from the impact of risk factors
on their lives.

To experience how protective factors help protect children from risk,
I\'d like to involve a number of you in a fun role play. Your tasks in
the role play will be simple, and I\'ll direct you, so no one will have
to improvise on their own.

**Sculpture Instructions**

May I have a volunteer who would like to play our \"adolescent?\"

Script: This is (name). (S)he lives with her/his Mom/Dad. (S)he is
trying to do well in school, wants to stay out of trouble and have a
more successful life than many of the adults (s)he sees around her/him.

May I have a volunteer who would like to play Mom/Dad?

Script: This is (name\'s) Mom/Dad. (S)he is very supportive and also
wants (name) to do well in school, stay out of trouble and do more with
her/his life than Mom/ Dad has been able to do. Referring to your SDS
diagram, which protective factors do you see Mom/Dad providing?
*(Bonding, healthy beliefs and clear standards)*

Now, Mom/Dad is supporting the family alone and works long hours. (Name)
is out of school several hours before Mom/Dad gets home from work.

Who would like to play a grandparent?

Script: This is (names) grandparent, and Mom/Dad has arranged for (name)
to go to the grandparent\'s house every day after school until Mom/Dad
gets home. They are really working well together to make this time
productive for (name). (Name) is to get something to eat, do homework
and any assigned chores, and grandparent will be there to supervise and
help if needed. Which protective factors do you see grandparent
providing for (name)? *(Bonding, healthy beliefs and clear standards)*

Who would like to be (name\'s) friend?

Script: (Name\'s) friend is also trying to do well in school and wants
to be successful.

The two friends are a great support and encouragement for each other.
Which protective factors is the friend providing? *(Bonding, healthy
beliefs and clear standards)*

Now can we have a coach?

Script: This is (name\'s) basketball coach. Recently (name) has become
interested in basketball and has made the school basketball team. Coach
thinks (s)he has real potential and spends time working to develop
her/his skills and confidence. Which protective factors do you see at
work here? *(Bonding, healthy beliefs and clear standards, individual
characteristics)*

Who would like to be a police officer?

Script: This community police officer works with young people in
(name\'s) neighbor­hood to help them find ways to contribute to their
community. (S)he provides guidance and support for them to be drug free,
successful in school, to develop goals for themselves, and create
neighborhood revitalization networks. Which protective factors is the
community police officer providing? *(Bonding, healthy beliefs and clear
standards)*

*Have the participants representing protective factors form a circle
around the adolescent, joining hands, facing in. This is (names) circle
of protection.*

Also in the community we have some risk factors at play. Who would like
to be a conve­nience store operator?

Script: This convenience store operator is known to sell alcohol and
cigarettes to minors. Referring to your Risk Factor list, which risk
factor does this represent? *(Availability of drugs)*

We need another friend.

Script: This friend has recently tried marijuana and wants (name) to try
it, too. Which risk factor is this? *(Friends who engage in the problem
behavior)*

(Name) has a sister/brother. Who would like to play this role?

Script: Sister/Brother has been involved with a group of friends who are
receiving and selling stolen property, and making a good deal of money.
Mom/Dad recently found out about it, and there has been a lot of heated
arguing about it around home. What risk factor is this? *(Family
conflict)*

Who would like to be a school board president?

Script: The school has policies about drug use by students and about
weapons and violence at school. The policies are written and kept in
some notebook some­where in somebody\'s office. The school enforces these
policies- unless the student involved is the star quarterback! Which
risk factor is this? *(Community laws and norms favorable to the problem
behavior)*

*Instruct people representing risk factors to, without causing bodily
harm, try to \"get to\" (name). Instruct protective factors to say or do
what they need to in order to protect (name). Instruct participants not
directly involved in the role play to observe what happens. After a few
minutes, stop the role play and debrief what you saw/heard.*

*Ask the participant playing the adolescent to report how it felt to be
in the middle of the action. Point out that sometimes it gets loud and
active and we can almost overwhelm or smother our kids trying to protect
them.*

What did participants see/hear? *(Connect comments to the interaction of
protective factors and risk factors.)* As protective factors, we can
support young people by providing them with close bonds, healthy beliefs
and clear standards.

But we can also protect them by facing outward and working to reduce the
levels of risk factors. For in­stance, if the parent and grandparent got
a group of parents together to picket the convenience store until they
stop selling alcohol and tobacco to minors, they could reduce the level
of the risk factor, availability of drugs. Or the coach and the police
officer could hold the school board president accountable for consistent
application of the school drug policies, thereby reducing the level of
the risk factor, community laws and norms favorable to the problem
behavior.

*Close by leading applause to thank participants for helping illustrate
how protective factors and risk factors interact in the life of a
child.*

*Remind participants to use the information sheet **Risk and Protective
Factor Framework,** which shows risk factors and the adolescent problem
behaviors they predict, the protective factors which address them, and
the SDS on a single page, as a reference.*

Slide 22

*Show the slide and refer participants to their information sheet, **The
Resiliency Approach**, and briefly summarize this approach, using the
information sheet as your guide. Point out that this approach is a
promising approach due to the fact that re­search showing that
implementation of the approach actually leads to the future reduction or
prevention of substance abuse is lacking.*

Slide 23

*Show the slide and refer participants to their information sheet, **The
Developmental Assets Approach**, and briefly summarize this approach,
using the information sheet as your guide. Point out that this approach
is also a promising approach due to the fact that re­search showing that
implementation of the approach actually leads to the future reduction or
prevention of substance abuse is lacking.*

Research is a term widely used and widely defined. Virtually all
approaches will assert that they are "researched." Research can mean
anything from a survey of a homogenous population, to a study of a
distinct population, to replicated and validated university studies with
control groups. Considering the scientific rigor of the research helps
decide whether a particular approach is based on good science. Both the
Resiliency approach and the Developmental Assets approach require
further longitudinal studies with diverse populations in order to
validate these approaches to the same degree as the Risk and Protective
Factor Theory.

Slide 24

*Show the slide of the **Social Development Strategy with the
Developmental Assets overlay.** Explain that one way communities using
the Developmental Assets approach can integrate this into the stronger
Risk and Protective Factor Theory is by using the assets as a way to
measure protective factors.*

Slide 25

*Organize participants into groups of about 6 persons each. Facilitators
can tailor the case studies to particular audiences, if desired.*

*Show the slide and refer participants to the work sheet, **Three Case
Studies in Prevention**, and provide the following instructions:*

-   I\'d like you to read the case study that I'll be assigning to each
    group.

-   Your task is to identify a substance use-related behavior of concern
    and determine which risk factors and which protective factors you
    can identify in the community presented in your case study. I want
    to know which factors you identified and why you identified them.

-   You\'ll have about 20 minutes to do this. Select people in your
    group to fulfill the following roles: a Facilitator to guide the
    discussion; a Timekeeper to let you know periodically how much time
    you have left; and a Recorder to take down notes and report back to
    the large group when we reconvene. Any questions?

*Assign the same case study to each group and give participants time to
complete their tasks. (Although there are three case studies, choose one
that best fits the location where you are working.)*

*After about 20 minutes, reconvene the group. Have them take turns
reporting one risk or protective factor they identified and why.
Entertain questions and comments from the rest of the participants.*

Slide 26

*After each group has presented, show the next slide, **Case Studies**,
and focus discussion on the following questions:*

-   Is there any kind of consensus on which risk factors were
    identified?

-   Is there any kind of consensus on which protective factors were
    identified?

-   How might our values and culture influence which factors we see
    present?

In Section 6 we will discuss in depth how culture and diversity apply to
prevention.

Slide 27

*Show the slide, **Caution! ***

The purpose of the case study activity is to begin using risk and
protective factor language and to see what risk and protective factors
might look like in a community. Please note that communities should
**never** identify risk and protective factors in their own communities
this way, but will always use a data-driven process to formally assess
levels of these factors. Such a process will be presented in Section 3.

*Reach a consensus that each community\'s unique profile of risk factors
and protective factors will determine where prevention professionals
will focus their work and which prevention strategies they will employ.*

This exercise was an introduction to risk and protective factors. A
systematic way to assess a particular community\'s risk and protective
factors will be explored in Section 3.

Slide 28

> *Review slide, **Prevention Research: Why study prevention
> research**.*
>
> *Ask participants to complete the section evaluation. (Have a copy of
> the section evaluation for each participant.)*

### INFORMATION SHEET: Risk Factors {#information-sheet-risk-factors .HeadInfSheet}

+----+--------------------------------+---+----+----+----+----+----+
| ## | Risk Factors                   | A |    |    |    |    |    |
| #  |                                | d |    |    |    |    |    |
|    |                                | o |    |    |    |    |    |
|    |                                | l |    |    |    |    |    |
|    |                                | e |    |    |    |    |    |
|    |                                | s |    |    |    |    |    |
|    |                                | c |    |    |    |    |    |
|    |                                | e |    |    |    |    |    |
|    |                                | n |    |    |    |    |    |
|    |                                | t |    |    |    |    |    |
|    |                                | \ |    |    |    |    |    |
|    |                                | P |    |    |    |    |    |
|    |                                | r |    |    |    |    |    |
|    |                                | o |    |    |    |    |    |
|    |                                | b |    |    |    |    |    |
|    |                                | l |    |    |    |    |    |
|    |                                | e |    |    |    |    |    |
|    |                                | m |    |    |    |    |    |
|    |                                | B |    |    |    |    |    |
|    |                                | e |    |    |    |    |    |
|    |                                | h |    |    |    |    |    |
|    |                                | a |    |    |    |    |    |
|    |                                | v |    |    |    |    |    |
|    |                                | i |    |    |    |    |    |
|    |                                | o |    |    |    |    |    |
|    |                                | r |    |    |    |    |    |
|    |                                | s |    |    |    |    |    |
+----+--------------------------------+---+----+----+----+----+----+
| D  | > *Risk factors are            | S | De | D  | Te | Sc | Vi |
| om | > characteristics of           | u | pr | el | en | ho | ol |
| ai | > individuals, their families, | b | es | in | P  | ol | en |
| ns | > schools, and community       | s | si | qu | re | D  | ce |
|    | > environments that are        | t | on | en | gn | ro |    |
|    | > associated with increases in | a | a  | cy | an | po |    |
|    | > alcohol and other drug use,  | n | nd |    | cy | ut |    |
|    | > delinquency, teen pregnancy, | c | A  |    |    |    |    |
|    | > school dropout, and          | e | nx |    |    |    |    |
|    | > violence. The following      | A | ie |    |    |    |    |
|    | > factors increase the         | b | ty |    |    |    |    |
|    | > likelihood that children and | u |    |    |    |    |    |
|    | > young people may develop     | s |    |    |    |    |    |
|    | > such problem behaviors.*     | e |    |    |    |    |    |
+----+--------------------------------+---+----+----+----+----+----+
| C  | Availability of alcohol/other  | a |    |    |    |    | a  |
| om | drugs                          |   |    |    |    |    |    |
| mu |                                |   |    |    |    |    |    |
| ni |                                |   |    |    |    |    |    |
| ty |                                |   |    |    |    |    |    |
+----+--------------------------------+---+----+----+----+----+----+
|    | Availability of firearms       |   |    | a  |    |    | a  |
+----+--------------------------------+---+----+----+----+----+----+
|    | Community laws and norms       | a |    | a  |    |    | a  |
|    | favorable to drug use,         |   |    |    |    |    |    |
|    | firearms, and crime            |   |    |    |    |    |    |
+----+--------------------------------+---+----+----+----+----+----+
|    | Transitions and mobility       | a | a  | a  |    | a  |    |
+----+--------------------------------+---+----+----+----+----+----+
|    | Low neighborhood attachment    | a |    | a  |    |    | a  |
|    | and community disorganization  |   |    |    |    |    |    |
+----+--------------------------------+---+----+----+----+----+----+
|    | Media portrayals of violence   |   |    |    |    |    | a  |
+----+--------------------------------+---+----+----+----+----+----+
|    | Extreme economic deprivation   | a |    | a  | a  | a  | a  |
+----+--------------------------------+---+----+----+----+----+----+
| Fa | Family history of the problem  | a | a  | a  | a  | a  | a  |
| mi | behavior                       |   |    |    |    |    |    |
| ly |                                |   |    |    |    |    |    |
+----+--------------------------------+---+----+----+----+----+----+
|    | Family management problems     | a | a  | a  | a  | a  | a  |
+----+--------------------------------+---+----+----+----+----+----+
|    | Family conflict                | a | a  | a  | a  | a  | a  |
+----+--------------------------------+---+----+----+----+----+----+
|    | Favorable parental attitudes   | a |    | a  |    |    | a  |
|    | and involvement in problem     |   |    |    |    |    |    |
|    | behaviors                      |   |    |    |    |    |    |
+----+--------------------------------+---+----+----+----+----+----+
| Sc | Academic failure beginning in  | a |    | a  | a  | a  | a  |
| ho | late elementary school         |   |    |    |    |    |    |
| ol |                                |   |    |    |    |    |    |
+----+--------------------------------+---+----+----+----+----+----+
|    | Lack of commitment to school   | a |    | a  | a  | a  | a  |
+----+--------------------------------+---+----+----+----+----+----+
| In | Early and persistent           | a | a  | a  | a  | a  | a  |
| di | antisocial behavior            |   |    |    |    |    |    |
| vi |                                |   |    |    |    |    |    |
| du |                                |   |    |    |    |    |    |
| al |                                |   |    |    |    |    |    |
| /  |                                |   |    |    |    |    |    |
| Pe |                                |   |    |    |    |    |    |
| er |                                |   |    |    |    |    |    |
+----+--------------------------------+---+----+----+----+----+----+
|    | Rebelliousness                 | a |    | a  |    | a  |    |
+----+--------------------------------+---+----+----+----+----+----+
|    | Friends who engage in the      | a |    | a  | a  | a  | a  |
|    | problem behavior               |   |    |    |    |    |    |
+----+--------------------------------+---+----+----+----+----+----+
|    | Favorable attitudes toward the | a |    | a  | a  | a  |    |
|    | problem behavior (including    |   |    |    |    |    |    |
|    | low perceived-risk of harm)    |   |    |    |    |    |    |
+----+--------------------------------+---+----+----+----+----+----+
|    | Early initiation of the        | a |    | a  | a  | a  | a  |
|    | problem behavior               |   |    |    |    |    |    |
+----+--------------------------------+---+----+----+----+----+----+
|    | Gang involvement               | a |    | a  |    |    | a  |
+----+--------------------------------+---+----+----+----+----+----+
|    | Constitutional factors         | a | a  | a  |    |    | a  |
+----+--------------------------------+---+----+----+----+----+----+

©2002 Channing Bete Company, Inc. All rights reserved. Reproduced with
permission of the publisher.

### INFORMATION SHEET {#information-sheet .HeadInfSheet}

# The Risk Factors/Protective Factors Theory

Prevention according to the risk factors/protective factors theory is
based on a simple premise: To prevent a problem, we need to identify the
factors that increase the risk that the problem will develop and then
find ways to reduce the risk. At the same time, we must identify those
protective factors that buffer individuals from the risk factors in
their environments and then find ways to increase the protection.

Risk- and protective-factor-focused prevention is based on the work of
J. David Hawkins, Ph.D., Richard F. Catalano, Ph.D., and a team of
researchers at the University of Washington in Seattle. In the early
1980s, they conducted a review of 30 years of youth substance abuse and
delinquency research and identified risk factors for adolescent drug
abuse and delinquency. They have continually updated this review. Other
researchers---including Joy Dryfoos, Robert Slavin, and Richard
Jessor---have reviewed the literature on behavior problems, such as
school dropout, teen pregnancy, and violence, and the identified risk
factors of these problems. Recently, risk factors have been identified
for a sixth adolescent problem behavior, depression and anxiety.

Young people who are at risk of either juvenile delinquency, substance
abuse, school dropout, teenage pregnancy, violence, or depression and
anxiety are more likely to be at risk in other ways as well.
Furthermore, all of these teen problems share many common risk factors.

Before looking at the risk factors and the problems they predict, it is
important to establish a working definition of the terms "delinquency"
and "violence." For our purposes, delinquency is defined as "crimes
committed by juveniles younger than 18." Violence is defined as "acts
against a person that involve physical harm or the threat of physical
harm."

The primary focus of substance abuse prevention programs is reducing
substance abuse; however, since problem behaviors---including substance
abuse, violence, delinquency, teenage pregnancy, school dropout, and
depression and anxiety---share many common risk factors, reducing common
risk factors is likely to reduce multiple problem behaviors.

The following is a summary of the research-based risk factors and the
problem behaviors they predict.

+----------------+-----------------------------------------------------+
| ## Communit    | ## A                                                |
| y Risk Factors | vailability of Drugs (Substance Abuse and Violence) |
|                |                                                     |
|                | The more available drugs are in a community, the    |
|                | higher the risk that young people will abuse drugs  |
|                | in the community. Perceived availability of drugs   |
|                | is also associated with risk. In schools where      |
|                | children just think that drugs are more available,  |
|                | a higher rate of drug use occurs.                   |
|                |                                                     |
|                | > **Community Laws and Norms Favorable Toward Drug  |
|                | > Use, Firearms, and Crime\                         |
|                | > **(Substance Abuse, Delinquency, and Violence)    |
|                |                                                     |
|                | Community norms---the attitudes and policies a      |
|                | community holds about drug use and crime---are      |
|                | communicated in a variety of ways: through laws and |
|                | written policies, through informal social           |
|                | practices, and through the expectations parents and |
|                | other members of the community have of young        |
|                | people.                                             |
|                |                                                     |
|                | One example of how community law can affect drug    |
|                | use is the taxation of alcoholic beverages. Higher  |
|                | rates of taxation decrease the rate of alcohol use  |
|                | at every level of use. When laws, tax rates, and    |
|                | community standards are favorable toward substance  |
|                | use or crime, or even if they are just unclear,     |
|                | children are at higher risk.                        |
|                |                                                     |
|                | Another concern is conflicting messages about       |
|                | alcohol/other drugs from key social institutions.   |
|                | An example of conflicting messages about substance  |
|                | abuse can be found in the acceptance of alcohol use |
|                | at a social activity within the community. The      |
|                | "Beer Gardens," popular at street fairs and         |
|                | community festivals frequented by young people, are |
|                | in contrast to the "Just Say No" messages that      |
|                | schools and parents may be promoting. These         |
|                | conflicting messages make it difficult for children |
|                | to decide which norms to follow.                    |
|                |                                                     |
|                | Laws regulating the sale of firearms have had small |
|                | effects on violent crime, and those effects usually |
|                | diminish after the law has been in effect for       |
|                | multiple years. In addition, laws regulating the    |
|                | penalties for violating licensing laws or using a   |
|                | firearm in the commission of a crime have also been |
|                | related to reduction in the amount of violent       |
|                | crime, especially involving firearms. Some studies  |
|                | suggest that the small and diminishing effect is    |
|                | due to two factors: the availability of firearms    |
|                | from other jurisdictions without legal prohibitions |
|                | on sales or illegal access, and community norms     |
|                | that include lack of proactive monitoring or        |
|                | enforcement of the laws.                            |
+----------------+-----------------------------------------------------+

+----------------+-----------------------------------------------------+
| ## Communi     | ## Transitions and Mobility (Substance Abuse, Delin |
| ty Risk Factor | quency, School Dropout, and Depression and Anxiety) |
| s -- continued |                                                     |
|                | Even normal school transitions predict increases in |
|                | problem behaviors. When children move from          |
|                | elementary school to middle school or from middle   |
|                | school to high school, significant increases in the |
|                | rate of drug use, school misbehavior, and           |
|                | delinquency result. When communities are            |
|                | characterized by frequent nonscheduled transitions, |
|                | problem behaviors increase.                         |
|                |                                                     |
|                | Communities with high rates of mobility appear to   |
|                | be linked to an increased risk of drug and crime    |
|                | problems. The more often people in a community      |
|                | move, the greater the risk of both criminal         |
|                | behavior and drug-related problems in families.     |
|                | While some people find buffers against the negative |
|                | effects of mobility by making connections in new    |
|                | communities, others are less likely to have the     |
|                | resources to deal with the effects of frequent      |
|                | moves and are more likely to have problems.         |
|                |                                                     |
|                | ##                                                  |
|                | Low Neighborhood Attachment and Community Disorgani |
|                | zation (Substance Abuse, Delinquency, and Violence) |
|                |                                                     |
|                | Higher rates of drug problems, juvenile             |
|                | delinquency, and violence occur in communities or   |
|                | neighborhoods where people have little attachment   |
|                | to the community, where the rates of vandalism are  |
|                | high, and where there is low surveillance of public |
|                | places. These conditions are not limited to         |
|                | low-income neighborhoods; they can also be found in |
|                | wealthier neighborhoods.                            |
|                |                                                     |
|                | Communities of diversity must pay special attention |
|                | to creating a shared community identity and common  |
|                | goals, as well as creating attachment and           |
|                | organization within subgroups.                      |
|                |                                                     |
|                | Perhaps the most significant issue affecting        |
|                | community attachment is whether residents feel they |
|                | can make a difference in their communities. If the  |
|                | key players in the neighborhood---such as           |
|                | merchants, teachers, police, and human and social   |
|                | services personnel---live outside the neighborhood, |
|                | residents' sense of commitment may not be strong.   |
|                | Lower rates of voter participation and parental     |
|                | involvement in schools also indicate lower          |
|                | attachment to the community.                        |
+----------------+-----------------------------------------------------+
| ## Communi     | ## Ext                                              |
| ty Risk Factor | reme Economic Deprivation (Substance Abuse, Delinqu |
| s -- continued | ency, Violence, Teen Pregnancy, and School Dropout) |
|                |                                                     |
|                | Children who live in deteriorating and crime-ridden |
|                | neighborhoods characterized by extreme poverty are  |
|                | more likely to develop problems with delinquency,   |
|                | teen pregnancy, school dropout, and violence.       |
|                | Children who live in these areas---and have         |
|                | behavior and adjustment problems early in           |
|                | life---are also more likely to have problems with   |
|                | drugs later on.                                     |
+----------------+-----------------------------------------------------+
| ## Famil       | **Family History of the Problem Behavior\           |
| y Risk Factors | **(Substance Abuse, Delinquency, Violence, Teen     |
|                | Pregnancy, School Dropout, and Depression and       |
|                | Anxiety)                                            |
|                |                                                     |
|                | If children are raised in a family with a history   |
|                | of addiction to alcohol or other drugs, the risk    |
|                | that the children themselves will have alcohol and  |
|                | other drug problems increases. If children are born |
|                | or raised in a family with a history of criminal    |
|                | activity, the risk of juvenile delinquency          |
|                | increases. Similarly, children who are raised by a  |
|                | teenage mother are more likely to become teen       |
|                | parents, and children of dropouts are more likely   |
|                | to drop out of school themselves.                   |
|                |                                                     |
|                | > **Family Management Problems\                     |
|                | > **(Substance Abuse, Delinquency, Violence, Teen   |
|                | > Pregnancy, School Dropout, and Depression and     |
|                | > Anxiety)                                          |
|                |                                                     |
|                | Poor family management practices include lack of    |
|                | clear expectations for behavior, failure of parents |
|                | to monitor their children (knowing where they are   |
|                | and who they are with), and excessively severe or   |
|                | inconsistent punishment.                            |
|                |                                                     |
|                | > **Family Conflict\                                |
|                | > **(Substance Abuse, Delinquency, Violence, Teen   |
|                | > Pregnancy, School Dropout, and Depression and     |
|                | > Anxiety)                                          |
|                |                                                     |
|                | Persistent, serious conflict between primary        |
|                | caregivers or between caregivers and children       |
|                | appears to increase children's risk for all of the  |
|                | problem behaviors. Whether the family is headed by  |
|                | two biological parents, a single parent, or some    |
|                | other primary caregiver appears to matter less than |
|                | whether children experience much conflict in their  |
|                | families. For example, domestic violence in a       |
|                | family increases the likelihood that young people   |
|                | will engage in delinquent behaviors and substance   |
|                | abuse, as well as become pregnant or drop out of    |
|                | school.                                             |
+----------------+-----------------------------------------------------+
| ## Fami        | > **Parental Attitudes and Involvement in Drug Use, |
| ly Risk Factor | > Crime, and Violence\                              |
| s -- continued | > **(Substance Abuse, Delinquency, and Violence)    |
|                |                                                     |
|                | Parental attitudes and behavior toward drugs,       |
|                | crime, and violence influence the attitudes and     |
|                | behavior of their children. Parental approval of    |
|                | young people's moderate drinking, even under        |
|                | parental supervision, increases the risk that the   |
|                | young person will use marijuana. Similarly,         |
|                | children of parents who excuse their children for   |
|                | breaking the law are more likely to develop         |
|                | problems with juvenile delinquency. In families     |
|                | where parents display violent behavior, children    |
|                | are at greater risk of becoming violent.            |
|                |                                                     |
|                | Further, in families where parents involve children |
|                | in their own drug or alcohol behavior---for         |
|                | example, by asking them to light their cigarettes   |
|                | or bring them beer from the refrigerator---children |
|                | are more likely to become drug abusers in           |
|                | adolescence.                                        |
+----------------+-----------------------------------------------------+
| ## Schoo       | **Academic Failure Beginning in Elementary School\  |
| l Risk Factors | **(Substance Abuse, Delinquency, Violence, Teen     |
|                | Pregnancy, and School Dropout)                      |
|                |                                                     |
|                | Beginning in the late elementary grades (grades     |
|                | 4-6), academic failure increases the risk of drug   |
|                | abuse, delinquency, violence, pregnancy, and school |
|                | dropout. Children fail for many reasons, social as  |
|                | well as academic. The experience of failure---not   |
|                | necessarily lack of ability---appears to increase   |
|                | the risk of problem behaviors.                      |
|                |                                                     |
|                | This is particularly troubling because in many      |
|                | school districts African-American, Native-American, |
|                | and Hispanic students have disproportionately       |
|                | higher rates of academic failure compared with      |
|                | white students. Consequently, school and            |
|                | instructional improvement and reducing academic     |
|                | failure for all students are particularly important |
|                | prevention strategies for ethnic minorities and can |
|                | involve culture-specific strategies.                |
|                |                                                     |
|                | > **Lack of Commitment to School\                   |
|                | > **(Substance Abuse, Delinquency, Violence, Teen   |
|                | > Pregnancy and School Dropout)                     |
|                |                                                     |
|                | Low commitment to school means the young person has |
|                | ceased to see the role of student as a valuable     |
|                | one. Those who do not have commitment to school are |
|                | at higher risk for substance abuse, delinquency,    |
|                | teen pregnancy, and school dropout.                 |
+----------------+-----------------------------------------------------+
| ## Scho        | In many communities of color, education is seen as  |
| ol Risk Factor | a "way out," just as it was among the early         |
| s -- continued | immigrants. Other subgroups in the same community   |
|                | may view education and school as a form of negative |
|                | acculturation; young people who adopt this view are |
|                | likely to be at higher risk for health problems and |
|                | problem behaviors.                                  |
+----------------+-----------------------------------------------------+
| ## I           | > **Early and Persistent Antisocial Behavior\       |
| ndividual/ Pee | > **(Substance Abuse, Delinquency, Violence, Teen   |
| r Risk Factors | > Pregnancy, School Dropout, and Depression &       |
|                | > Anxiety)                                          |
|                |                                                     |
|                | Boys who are aggressive in grades K through 3 are   |
|                | at higher risk of substance abuse and juvenile      |
|                | delinquency. However, aggressive behavior before    |
|                | Kindergarten in very early childhood does not       |
|                | appear to increase risk. When a boy's aggressive    |
|                | behavior in the early grades is combined with       |
|                | isolation or withdrawal, the risk of problems in    |
|                | adolescence is even greater. This increased risk    |
|                | also applies to aggressive behavior combined with   |
|                | hyperactivity or attention deficit disorder.        |
|                |                                                     |
|                | This risk factor also includes persistent           |
|                | antisocial behavior in early adolescence, like      |
|                | misbehaving in school, skipping school, and getting |
|                | into fights with other children. Young people, both |
|                | girls and boys, who engage in these behaviors       |
|                | during early adolescence are at increased risk of   |
|                | drug abuse, juvenile delinquency, violence, school  |
|                | dropout, and teen pregnancy.                        |
|                |                                                     |
|                | **Alienation/Rebelliousness\                        |
|                | **(Substance Abuse, Delinquency, and School         |
|                | Dropout)                                            |
|                |                                                     |
|                | Young people who feel they are not part of society, |
|                | are not bound by rules, don't believe in trying to  |
|                | be successful or responsible, or who take an active |
|                | rebellious stance toward society are at higher risk |
|                | of drug abuse, delinquency, and school dropout.     |
+----------------+-----------------------------------------------------+

+----------------+-----------------------------------------------------+
| ##             | > Alienation and rebelliousness may be an           |
| Individual/ Pe | > especially significant\                           |
| er Risk Factor | > risk for young minorities. Children who           |
| s -- continued | > consistently experience discrimination may        |
|                | > respond by removing themselves from the dominant  |
|                | > culture and rebelling against it. On the other    |
|                | > hand, many minority communities are experiencing  |
|                | > significant cultural change because of            |
|                | > integration. The conflicting emotions that        |
|                | > children in these communities feel when family    |
|                | > and friends work, socialize, or marry outside of  |
|                | > their culture may well interfere with their       |
|                | > development of a clear and positive racial and    |
|                | > cultural identity.                                |
+----------------+-----------------------------------------------------+
| ##             | > **Friends Who Engage in the Problem Behavior\     |
|                | > **(Substance Abuse, Delinquency, Violence, Teen   |
|                | > Pregnancy and School Dropout)                     |
|                |                                                     |
|                | Young people who associate with peers who engage in |
|                | problem behavior--- delinquency, substance abuse,   |
|                | violent activity, sexual activity, or school        |
|                | dropout---are much more likely to engage in the     |
|                | same problem behavior. This is one of the most      |
|                | consistent predictors that research has identified. |
|                | Even when young people come from well-managed       |
|                | families and do not experience other risk factors,  |
|                | just hanging out with friends who engage in the     |
|                | problem behavior greatly increases the child's risk |
|                | of that problem. However, young people who          |
|                | experience a low number of risk factors are less    |
|                | likely to associate with friends who are involved   |
|                | in the problem behavior.                            |
|                |                                                     |
|                | > **Gang Involvement\                               |
|                | > **(Substance Abuse, Delinquency, and Violence)    |
|                |                                                     |
|                | Research has shown that children who have           |
|                | delinquent friends are more likely to use alcohol   |
|                | or other drugs and to engage in delinquent or       |
|                | violent behavior than children who do not have      |
|                | delinquent friends. But the influence of gang       |
|                | involvement on alcohol and other drug use,          |
|                | delinquency, and violence exceeds the influence of  |
|                | delinquent friends on these problem behaviors. Gang |
|                | members are even more likely than children who have |
|                | delinquent friends to use alcohol or other drugs    |
|                | and to engage in delinquent or violent behavior.    |
+----------------+-----------------------------------------------------+
| ##             | > **Favorable Attitudes Toward the Problem          |
|                | > Behavior\                                         |
|                | > **(Substance Abuse, Delinquency, Teen Pregnancy,  |
|                | > and School Dropout)                               |
|                |                                                     |
|                | During the elementary school years, children        |
|                | usually express antidrug, anticrime, and prosocial  |
|                | attitudes. They have difficulty imagining why       |
|                | people use drugs, commit crimes, and drop out of    |
|                | school. However, in                                 |
+----------------+-----------------------------------------------------+

+----------------+-----------------------------------------------------+
| ##             | > middle school, as others they know participate in |
| Individual/ Pe | > such activities, their attitudes often shift      |
| er Risk Factor | > toward greater acceptance of these behaviors.     |
| s -- continued | > This acceptance places them at higher risk.       |
|                | >                                                   |
|                | > **Early Initiation of the Problem Behavior\       |
|                | > **(Substance Abuse, Delinquency, Violence, Teen   |
|                | > Pregnancy, and School Dropout)                    |
|                |                                                     |
|                | The earlier young people begin using drugs,         |
|                | committing crimes, engaging in violent activity,    |
|                | dropping out of school and becoming sexually        |
|                | active, the greater the likelihood that they will   |
|                | have problems with these behaviors later on. For    |
|                | example, research shows that young people who       |
|                | initiate drug use before the age of 15 are at twice |
|                | the risk of having drug problems as those who wait  |
|                | until after the age of 19.                          |
|                |                                                     |
|                | > **Constitutional Factors\                         |
|                | > **(Substance Abuse, Delinquency, Violence, and    |
|                | > Depression & Anxiety)                             |
|                |                                                     |
|                | Constitutional factors may have a biological or     |
|                | physiological basis. These factors are often seen   |
|                | in young people who engage in sensation-seeking and |
|                | low harm-avoidance behavior and those who           |
|                | demonstrate a lack of impulse control. Fetal        |
|                | alcohol and drug exposure, environmental poisoning, |
|                | and brain injuries are some other examples of       |
|                | constitutional factors. These factors appear to     |
|                | increase the risk that young people will abuse      |
|                | drugs, engage in delinquent behavior, and commit    |
|                | violence.                                           |
+----------------+-----------------------------------------------------+
| ##             | -   **Risks exist in multiple domains.**            |
|  Generalizatio |                                                     |
| ns About Risks | Risk factors exist in all areas of                  |
|                | life---community, family, school, and               |
|                | individual/peer relations. If a single risk factor  |
|                | is addressed in a single area, problem behaviors    |
|                | may not be significantly reduced. Communities       |
|                | should focus on reducing risks in all areas.        |
|                |                                                     |
|                | -   **The more risk factors are present, the        |
|                |     greater is the risk.**                          |
|                |                                                     |
|                | While exposure to one risk does not condemn a child |
|                | to problems later in life, exposure to a greater    |
|                | number of risk factors increases a young person's   |
|                | risk exponentially. Even if a community cannot      |
|                | eliminate all the risk factors, reducing or         |
|                | eliminating even a few risk factors may             |
|                | significantly decrease problem behaviors of young   |
|                | people in that community.                           |
|                |                                                     |
|                | -   **Common risk factors predict diverse problem   |
|                |     behaviors.**                                    |
|                |                                                     |
|                | Since many individual risk factors predict multiple |
|                | problems, the reduction of risk factors is likely   |
|                | to reduce a number of different problems in the     |
|                | community.                                          |
+----------------+-----------------------------------------------------+
| #              | -   **Risk factors appear to consistently affect    |
| # Generalizati |     different races and cultures.**                 |
| ons About Risk |                                                     |
| s -- continued | While levels of risk may vary in different racial   |
|                | or cultural groups, the way these risk factors work |
|                | does not appear to vary. One implication for        |
|                | community prevention is to prioritize prevention    |
|                | efforts for groups with higher levels of risk       |
|                | exposure.                                           |
|                |                                                     |
|                | -   **Protective factors may buffer exposure to     |
|                |     risk.**                                         |
|                |                                                     |
|                | Protective factors are conditions that buffer young |
|                | people from the negative consequences of exposure   |
|                | to risks by either reducing the impact of the risk  |
|                | or changing the way a person responds to the risk.  |
|                | Consequently, enhancing protective factors can      |
|                | reduce the likelihood that problem behaviors will   |
|                | arise.                                              |
+----------------+-----------------------------------------------------+

### Information Sheet {#information-sheet-1 .HeadInfSheet}

## Risk and Protective Factor Framework

The following graph supports a public health model using a theoretical
framework of risk reduction and protection enhancement. Developments in
prevention and intervention science have shown that characteristics of
individuals, their families, and their environment (i.e., community
neighborhoods, schools) affect the likelihood that individuals will
engage in substance abuse, delinquency, violence, and school dropout.
Other characteristics serve to protect or provide a buffer to moderate
the influence of the negative characteristics. These characteristics are
identified as risk factors and protective factors (Arthur, Hawkins, et
al., 1994; Hawkins, Catalano, Miller, 1992).

<table>
<colgroup>
<col style="width: 4%" />
<col style="width: 22%" />
<col style="width: 4%" />
<col style="width: 4%" />
<col style="width: 4%" />
<col style="width: 4%" />
<col style="width: 4%" />
<col style="width: 4%" />
<col style="width: 20%" />
<col style="width: 23%" />
</colgroup>
<tbody>
<tr class="odd">
<td rowspan="2">Domains</td>
<td>Risk Factors</td>
<td colspan="6">Adolescent<br />
Problem Behaviors</td>
<td>Protective Factors</td>
<td>Social Development Strategy (SDS)</td>
</tr>
<tr class="even">
<td><blockquote>
<p><em>Risk factors are characteristics of individuals, their families,
schools, and community environments that are associated with increases
in alcohol and other drug use, delinquency, teen pregnancy, school
dropout, and violence. The following factors increase the likelihood
that children and young people may develop such problem
behaviors.</em></p>
</blockquote></td>
<td><strong>Substance abuse</strong></td>
<td><strong>Depression/anxiety</strong></td>
<td><strong>Delinquency</strong></td>
<td><strong>Teen pregnancy</strong></td>
<td><strong>School dropout</strong></td>
<td><strong>Violence</strong></td>
<td><blockquote>
<p><em>Factors associated with reduced potential for drug use are called
protective factors. They encompass family, social, psychological, and
behavioral characteristics that can provide a buffer for young people.
These factors mitigate the effects of risk factors.</em></p>
</blockquote></td>
<td rowspan="21"><blockquote>
<p><em>SDS is a synthesis of three existing theories of criminology
(control, social learning, and differential association). It
incorporates the results of research on risk and protective factors for
problem behaviors and a developmental perspective of age, specific
problem, and prosocial behavior. It is based on the assumption that
children learn behaviors.</em></p>
<p> <img src="media/image1.png"
style="width:1.65in;height:5.28889in" /></p>
</blockquote></td>
</tr>
<tr class="odd">
<td rowspan="7">Community</td>
<td>Availability of alcohol/other drugs</td>
<td>a</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td>a</td>
<td rowspan="7"><p>Opportunities for prosocial involvement in
community</p>
<p>Recognition for prosocial involvement</p></td>
</tr>
<tr class="even">
<td>Availability of firearms</td>
<td></td>
<td></td>
<td>a</td>
<td></td>
<td></td>
<td>a</td>
</tr>
<tr class="odd">
<td>Community laws and norms favorable to drug use, firearms, and
crime</td>
<td>a</td>
<td></td>
<td>a</td>
<td></td>
<td></td>
<td>a</td>
</tr>
<tr class="even">
<td>Transitions and mobility</td>
<td>a</td>
<td>a</td>
<td>a</td>
<td></td>
<td>a</td>
<td></td>
</tr>
<tr class="odd">
<td>Low neighborhood attachment and community disorganization</td>
<td>a</td>
<td></td>
<td>a</td>
<td></td>
<td></td>
<td>a</td>
</tr>
<tr class="even">
<td>Media portrayals of violence</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td>a</td>
</tr>
<tr class="odd">
<td>Extreme economic deprivation</td>
<td>a</td>
<td></td>
<td>a</td>
<td>a</td>
<td>a</td>
<td>a</td>
</tr>
<tr class="even">
<td rowspan="4">Family</td>
<td>Family history of the problem behavior</td>
<td>a</td>
<td>a</td>
<td>a</td>
<td>a</td>
<td>a</td>
<td>a</td>
<td rowspan="4"><p>Bonding to family with healthy beliefs and clear
standards</p>
<p>Attachment to family with healthy beliefs and clear standards</p>
<p>Opportunities for prosocial involvement</p>
<p>Recognition for prosocial involvement</p></td>
</tr>
<tr class="odd">
<td>Family management problems</td>
<td>a</td>
<td>a</td>
<td>a</td>
<td>a</td>
<td>a</td>
<td>a</td>
</tr>
<tr class="even">
<td>Family conflict</td>
<td>a</td>
<td>a</td>
<td>a</td>
<td>a</td>
<td>a</td>
<td>a</td>
</tr>
<tr class="odd">
<td>Favorable parental attitudes and involvement in problem
behaviors</td>
<td>a</td>
<td></td>
<td>a</td>
<td></td>
<td></td>
<td>a</td>
</tr>
<tr class="even">
<td rowspan="2">School</td>
<td>Academic failure beginning in late elementary school</td>
<td>a</td>
<td></td>
<td>a</td>
<td>a</td>
<td>a</td>
<td>a</td>
<td rowspan="2"><p>Bonding and attachment to school</p>
<p>Opportunities for prosocial involvement</p>
<p>Recognition for prosocial involvement</p></td>
</tr>
<tr class="odd">
<td>Lack of commitment to school</td>
<td>a</td>
<td></td>
<td>a</td>
<td>a</td>
<td>a</td>
<td>a</td>
</tr>
<tr class="even">
<td rowspan="7">Individual / Peer</td>
<td>Early and persistent antisocial behavior</td>
<td>a</td>
<td>a</td>
<td>a</td>
<td>a</td>
<td>a</td>
<td>a</td>
<td rowspan="7"><p>Bonding to peers with healthy beliefs and clear
standards</p>
<p>Attachment to peers with healthy beliefs and clear standards</p>
<p>Opportunities for prosocial involvement</p>
<p>Increase in social skills</p></td>
</tr>
<tr class="odd">
<td>Rebelliousness</td>
<td>a</td>
<td></td>
<td>a</td>
<td></td>
<td>a</td>
<td></td>
</tr>
<tr class="even">
<td>Friends who engage in the problem behavior</td>
<td>a</td>
<td></td>
<td>a</td>
<td>a</td>
<td>a</td>
<td>a</td>
</tr>
<tr class="odd">
<td>Favorable attitudes toward the problem behavior (including low
perceived-risk of harm)</td>
<td>a</td>
<td></td>
<td>a</td>
<td>a</td>
<td>a</td>
<td></td>
</tr>
<tr class="even">
<td>Early initiation of the problem behavior</td>
<td>a</td>
<td></td>
<td>a</td>
<td>a</td>
<td>a</td>
<td>a</td>
</tr>
<tr class="odd">
<td>Gang involvement</td>
<td>a</td>
<td></td>
<td>a</td>
<td></td>
<td></td>
<td>a</td>
</tr>
<tr class="even">
<td>Constitutional factors</td>
<td>a</td>
<td>a</td>
<td>a</td>
<td></td>
<td></td>
<td>a</td>
</tr>
</tbody>
</table>

+----------------+-----------------------------------------------------+
| #              | Some young people who are exposed to multiple risk  |
| # Protective F | factors do not become substance abusers, juvenile   |
| actors and the | delinquents, school dropouts, or teen parents.      |
|  Social Develo | Balancing the risk factors are factors that protect |
| pment Strategy | young people from exposure to risk, either by       |
|                | reducing the impact of risk factors or by changing  |
|                | the way young people respond to risks. The          |
|                | importance of protective factors cannot be          |
|                | overstated because they promote positive behavior,  |
|                | health, well-being, and personal success. Research  |
|                | has identified protective factors that fall into    |
|                | three basic categories: individual characteristics, |
|                | bonding, and healthy beliefs and clear standards.   |
|                |                                                     |
|                | -   **Individual Characteristics**                  |
|                |                                                     |
|                | Research has identified three individual            |
|                | characteristics as protective factors. These are    |
|                | characteristics children are born with and are      |
|                | difficult to change: a resilient temperament, a     |
|                | positive social orientation, and intelligence.      |
|                | Intelligence, however, does not protect against     |
|                | substance abuse.                                    |
|                |                                                     |
|                | -   **Bonding**                                     |
|                |                                                     |
|                | Positive bonding makes up for many other            |
|                | disadvantages caused by other risk factors or       |
|                | environmental characteristics. Children who are     |
|                | attached to positive families, friends, school, and |
|                | community and who are committed to achieving the    |
|                | goals valued by these groups are less likely to     |
|                | develop problems in adolescence. Studies of         |
|                | successful children who live in high-risk           |
|                | neighborhoods or situations indicate that strong    |
|                | bonds with a caregiver can keep children from       |
|                | getting into trouble.                               |
|                |                                                     |
|                | To build bonding, three conditions are necessary:   |
|                | opportunities, skills, and recognition. Children    |
|                | must be provided with opportunities to contribute   |
|                | to their communities, families, peers, and schools. |
|                | The challenge is to provide children with           |
|                | opportunities that they consider meaningful that    |
|                | help them feel responsible and significant.         |
+----------------+-----------------------------------------------------+
| ##             | Children must be taught the skills necessary to     |
|                | effectively take advantage of the opportunity they  |
|                | are provided. If they don't have the necessary      |
|                | skills to be successful, they experience            |
|                | frustration and/or failure. Children must also be   |
|                | recognized and acknowledged for their efforts. This |
|                | gives them the incentive to contribute and          |
|                | reinforces their skillful performance.              |
+----------------+-----------------------------------------------------+
| ## Protective  | -   **Healthy Beliefs and Clear Standards**         |
| Factors and th |                                                     |
| e Social Devel | > The people with whom young people have bonds need |
| opment Strateg | > to have healthy beliefs about substance use and   |
| y -- continued | > other problem behaviors, as well as clear,        |
|                | > positive standards for behavior. The content of   |
|                | > these standards is what protects young people.    |
|                | > When parents, teachers, and communities set clear |
|                | > standards for children's behavior, when these     |
|                | > standards are widely and consistently supported,  |
|                | > and when the consequences for not following the   |
|                | > standards are consistent, young people are more   |
|                | > likely to follow the standards.                   |
|                | >                                                   |
|                | > The Social Development Strategy shows how         |
|                | > protective factors work together to help young    |
|                | > people engage in healthy behaviors. Families,     |
|                | > schools, and communities encourage young people's |
|                | > healthy behaviors by communicating healthy        |
|                | > beliefs and clear standards, or expectations, for |
|                | > their behavior in relation to substance use and   |
|                | > other issues.                                     |
|                |                                                     |
|                | Young people are more likely to follow these        |
|                | standards if they have strong bonds with their      |
|                | families, schools, and communities. These bonds can |
|                | be kept strong by offering young people             |
|                | opportunities for meaningful involvement in their   |
|                | families, schools, and communities; by teaching     |
|                | them the skills they need to be successful in their |
|                | involvement; and by recognizing them for their      |
|                | efforts and accomplishments. And finally, certain   |
|                | individual characteristics, such as a positive      |
|                | social orientation and a resilient temperament,     |
|                | support young people in taking advantage of the     |
|                | opportunities they are offered and may even help    |
|                | define the types of opportunities that will be      |
|                | meaningful to them.                                 |
|                |                                                     |
|                | For more information on the risk and protective     |
|                | factor theory, consult Hawkins, J. D., Catalano, R. |
|                | R., & Miller, J. Y. (1992) and Hawkins, J. D.       |
|                | (2002).                                             |
+----------------+-----------------------------------------------------+
| ## Actively    | Research supports the importance of a community     |
| Creating Healt | focus.                                              |
| hy Communities |                                                     |
|                | -   Risk and protective factors are found in all    |
|                |     aspects of the community: schools, families,    |
|                |     individuals, and the community. Community       |
|                |     efforts can affect the entire local             |
|                |     environment, including community norms, values, |
|                |     and policies.                                   |
|                |                                                     |
|                | -   Because substance abuse is a phenomenon         |
|                |     influenced by multiple risk factors, its        |
|                |     prevention may be most effectively accomplished |
|                |     with a combination of interventions.            |
+----------------+-----------------------------------------------------+
| ## Actively    | -   A community-wide approach promotes the          |
|  Creating Heal |     development of strong bonds to family,          |
| thy Communitie |     community, and school.                          |
| s -- continued |                                                     |
|                | Because community approaches are likely to involve  |
|                | a wide spectrum of individuals, groups, and         |
|                | organizations, they create a base of support for    |
|                | behavior change. The firm support of community      |
|                | leaders and their involvement in a prevention       |
|                | effort are likely to lead to long-term behavior     |
|                | change. This reallocation of resources to reduce    |
|                | risk factors and enhance protective factors becomes |
|                | feasible with support from community leaders.       |
|                |                                                     |
|                | Programs and strategies gradually become integrated |
|                | into the regular services and activities of local   |
|                | organizations and institutions. The community-wide  |
|                | focus creates a synergy; the whole is more powerful |
|                | than the sum of its parts.                          |
+----------------+-----------------------------------------------------+
| ##             | Because many attempts to change families, schools,  |
|                | and other institutions have operated in isolation,  |
|                | they have had limited success. For meaningful       |
|                | change to occur, multiple interconnected forces     |
|                | within the community must begin to share a vision   |
|                | and agenda. Six strategies for creating a           |
|                | comprehensive community approach to prevention will |
|                | be discussed later in this section.                 |
+----------------+-----------------------------------------------------+

Portions of the Risk Factors/Protective Factors Approach were reprinted
with permission from Developmental Research and Programs, Seattle, WA,
developers of *Communities That Care,*^©^ an operating system for risk-
and protective-factor-focused prevention.

© 1990, 1991, 1992, 1993, 1994, 1995, 2000

© 2002 Channing Bete Company, Inc. All rights reserved. Reproduced with
permission of the publisher.

Additional resource: Schinke, S.., Brownstein, P., & Gardner, S*.
Science-Based Prevention Programs and Principles, 2002*. DHHS
Publication No. (MSA) 03-3764. Rockville, MD: Center for Substance Abuse
Prevention, Substance Abuse and Mental Health Services Administration,
2002.

#####  {#section-5 .unnumbered}

### ![](media/image2.png){width="6.35in" height="7.9534722222222225in"}INFORMATION SHEET  {#information-sheet-2 .HeadInfSheet}

### INFORMATION SHEET  {#information-sheet-3 .HeadInfSheet}

# The Resiliency Approach

The resiliency approach stems from research of young people from
troubled backgrounds who have bounced back when the odds were stacked
against them. Researcher Emmy Werner (1986) identified the following
environmental factors that foster resilience in kids:

-   the age of the parent of the opposite sex (younger mothers for
    resilient boys, older fathers for resilient girls)

-   the number of children in the family (four or fewer)

-   spacing between children (two years or more for best results)

-   the number and type of people available to help the mother rear the
    children\
    (such as grandparents, aunts, or uncles)

-   steady employment for the mother, especially if she was a single
    mother

-   the availability of a sibling as a caretaker in childhood

-   the presence of a multigenerational network of friends, teachers,
    and relatives during adolescence

-   church attendance

Werner conducted a 35-year longitudinal study of 505 children born on
Kauai, Hawaii. Her research explored how children remained resilient
despite the risk factors in their lives. Although Werner's study did not
provide a simple, single list of risk or protective factors, several
themes did emerge. The risk factors included poverty, parental
psycho-pathology, care-giving deficits, delinquencies, and teenage
parenthood. Werner identified three clusters of protective or resiliency
factors. First, average intelligence and positive disposition
attributes, such as robustness, vigor, and an active and social
temperament, provided resiliency for children. Second, affectionate ties
with parental substitutes, such as teachers and other mentors, helped
develop trust, autonomy, and initiative in children. Finally, external
support systems, such as churches, youth groups, and schools, rewarded
competence and provided coherence for youth.

Werner and others have concluded that kids who overcome adversity better
than others tend not to seek formal professional or institutional help.
Instead, they turn to people they've grown to trust, such as teachers,
school counselors, ministers, grandparents, and friends.

Steven and Sybil Wolin, directors of Project Resilience, a
Washington-based training and consulting project, see the following
characteristics of resilient children:

-   The children conclude that their parents' problems have nothing to
    do with them. They see through lies and mistreatment and they
    develop a cherished belief in truth and honesty.

-   They spend extra time at school, in libraries, or in neighbors'
    homes, developing more meaningful relationships than they'll ever
    develop with their parents or guardians.

Werner has several suggestions for schools to foster resilient children:

-   Establish better relations with local companies and community groups
    to encourage college students and grownups to work as mentors.

-   Avoid cutting art, music, or athletic programs.

-   Establish school schedules that allow students to have the same
    teachers for at least two years.

-   Decrease class sizes.

**Note:**

*The resiliency approach is considered a "promising" approach because
most research has not yet conclusively shown that increasing resiliency
leads to a reduction in the prevention of substance abuse (Bushweller,
1995).*

*The list of risk and protective factors developed in the resiliency
approach differs from those identified by Hawkins and Catalano. Although
these factors may overlap in some areas, the conclusions made regarding
the factors are in some cases unique. For more information about this
approach, consult Werner, E. E. (1986).*

### INFORMATION SHEET {#information-sheet-4 .HeadInfSheet}

# The Developmental Assets Framework

Since 1989, Search Institute has been conducting research---grounded in
the vast literature on resilience, prevention, and adolescent
development---that has illuminated the positive relationships,
opportunities, competencies, values, and self-perceptions that young
people need to succeed. The institute's framework of "Developmental
Assets" grows out of that research, which has involved more than 1
million adolescents in grades 6 through 12 in communities across the
country. Developmental Assets are the building blocks that all young
people need to be healthy, caring, principled, and productive (Scales &
Leffert, 1999).

The Developmental Assets framework points to a variety of strategies to
build assets for young people. Some of these strategies call for
establishing caring relationships between adults and young people. Other
strategies call for providing an environment in schools, homes, and
communities that is conducive to building assets. And still other
strategies call for formal structures like programs and practices that
help build assets for young people. All the strategies rely on an
awareness of the framework, on an assessment of the assets of each
person, on an inventory of the resources available to build the assets,
and finally on an implementation and continuation of the strategies.

Following is a list of the 40 Developmental Assets. They are divided
into "external" assets and "internal" assets.

External assets are support, empowerment, boundaries and expectations,
and constructive use of time. The "support" category refers to ways
children are loved, affirmed, and accepted. The "empowerment" category
focuses on community perceptions of children and the opportunities
available to them to contribute to society in a meaningful way.
"Boundaries and expectations" refer to the provision of clear rules,
consequences, and high expectations, coupled with positive role models.
And "constructive use of time" refers to the value of having children
engage in constructive, positive activities.

Internal assets are the commitment to school, positive values, social
competencies, and positive self-identity that young people develop to
guide themselves. "Commitment to school" refers to commitment to the
learning and educational process, as well as to achievement motivation
and school bonding. "Positive values" include honesty, responsibility,
and integrity. "Social competencies" refer to skills in conflict
resolution and interpersonal interactions. And "positive self-identity"
refers to self-esteem, sense of purpose, and other self-actualized
behaviors.

**Note:**

*The Developmental Assets framework is viewed only as a ^u^promising"
approach, not a "best" approach, because although data indicate an
association between the presence of assets and the absence of substance
abuse, research has not yet conclusively shown that increasing assets
reduces or delays substance abuse. For more information about this
approach, consult Scales, P., & Lejfert, N. (1999).*

### INFORMATION SHEET  {#information-sheet-5 .HeadInfSheet}

# 40 Developmental Assets

+------------------+---------------------------------------------------+
| CATEGORY         | ASSET NAME AND DEFINITION                         |
+==================+===================================================+
| EXTERNAL ASSETS  |                                                   |
+------------------+---------------------------------------------------+
| Support          | 1.  **Family support**---Family life provides     |
|                  |     much love and support.                        |
|                  |                                                   |
|                  | 2.  **Positive family communication**---Young     |
|                  |     person and her or his parent(s) communicate   |
|                  |     positively, and young person is willing to    |
|                  |     seek advice and counsel from parent(s).       |
|                  |                                                   |
|                  | 3.  **Other adult relationships**---Young person  |
|                  |     receives support from three or more nonparent |
|                  |     adults.                                       |
|                  |                                                   |
|                  | 4.  **Caring neighborhood**---Young person        |
|                  |     experiences caring neighbors.                 |
|                  |                                                   |
|                  | 5.  **Caring school climate**---School provides a |
|                  |     caring, encouraging environment.              |
|                  |                                                   |
|                  | 6.  **Parent involvement in                       |
|                  |     schooling**---Parent(s) are actively involved |
|                  |     in helping young person succeed in school.    |
+------------------+---------------------------------------------------+
| Empowerment      | 7.  **Community values young people**---Young     |
|                  |     person perceives that adults in the community |
|                  |     value the young.                              |
|                  |                                                   |
|                  | 8.  **Youth as resources**---Young people are     |
|                  |     given useful roles in the community.          |
|                  |                                                   |
|                  | 9.  **Service to others**---Young person serves   |
|                  |     in the community one hour or more per week.   |
|                  |                                                   |
|                  | 10. **Safety**---Young person feels safe at home, |
|                  |     at school, and in the neighborhood.           |
+------------------+---------------------------------------------------+
| Boundaries and   | 11. **Family boundaries**---Family has clear      |
| Expectations     |     rules and consequences, and monitors the      |
|                  |     young person's whereabouts.                   |
|                  |                                                   |
|                  | 12. **School boundaries**---School provides clear |
|                  |     rules and consequences.                       |
|                  |                                                   |
|                  | 13. **Neighborhood boundaries**---Neighbors take  |
|                  |     responsibility for monitoring young people's  |
|                  |     behavior.                                     |
|                  |                                                   |
|                  | 14. **Adult role models**---Parent(s) and other   |
|                  |     adults model positive, responsible behavior.  |
+------------------+---------------------------------------------------+
| EXTERNAL ASSETS  |                                                   |
+------------------+---------------------------------------------------+
| Boundaries and   | 15. **Positive peer influence**---Young person's  |
| Expectations --  |     best friends model responsible behavior.      |
| continued        |                                                   |
|                  | 16. **High expectations**---Both parent(s) and    |
|                  |     teachers encourage the young person to do     |
|                  |     well.                                         |
+------------------+---------------------------------------------------+
| Constructive Use | 17. **Creative activities**---Young person spends |
| of Time          |     three or more hours per week in lessons or    |
|                  |     practice in music, theater, or other arts.    |
|                  |                                                   |
|                  | 18. **Youth programs**---Young person spends      |
|                  |     three or more hours per week in sports,       |
|                  |     clubs, or organizations at school or in the   |
|                  |     community.                                    |
+------------------+---------------------------------------------------+
|                  | 19. **Religious community**---Young person spends |
|                  |     one or more hours per week in activities in a |
|                  |     religious institution.                        |
|                  |                                                   |
|                  | 20. **Time at home**---Young person is out with   |
|                  |     friends "with nothing special to do" two or   |
|                  |     fewer nights per week.                        |
+------------------+---------------------------------------------------+
| INTERNAL ASSETS  |                                                   |
+------------------+---------------------------------------------------+
| Commitment to    | 21. **Achievement motivation**---Young person is  |
| Learning         |     motivated to do well in school.               |
|                  |                                                   |
|                  | 22. **School engagement**---Young person is       |
|                  |     actively engaged in learning.                 |
|                  |                                                   |
|                  | 23. **Homework**---Young person reports doing at  |
|                  |     least one hour of homework every school day.  |
|                  |                                                   |
|                  | 24. **Bonding to school**---Young person cares    |
|                  |     about her or his school.                      |
|                  |                                                   |
|                  | 25. **Reading for pleasure**---Young person reads |
|                  |     for pleasure three or more hours per week.    |
+------------------+---------------------------------------------------+
| Positive Values  | 26. **Caring**---Young person places high value   |
|                  |     on helping other people.                      |
|                  |                                                   |
|                  | 27. **Equality and social justice**---Young       |
|                  |     person places high value on promoting         |
|                  |     equality and reducing hunger and poverty.     |
|                  |                                                   |
|                  | 28. **Integrity**---Young person acts on          |
|                  |     convictions and stands up for her or his      |
|                  |     beliefs.                                      |
+------------------+---------------------------------------------------+
| INTERNAL ASSETS  |                                                   |
+------------------+---------------------------------------------------+
| Positive Values  | 29. **Honesty**---Young person "tells the truth   |
| -- continued     |     even when it is not easy."                    |
|                  |                                                   |
|                  | 30. **Responsibility**---Young person accepts and |
|                  |     takes personal responsibility.                |
|                  |                                                   |
|                  | 31. **Restraint**---Young person believes it is   |
|                  |     important not to be sexually active or to use |
|                  |     alcohol or other drugs.                       |
+------------------+---------------------------------------------------+
| Social           | 32. **Planning and decision making**---Young      |
| Competencies     |     person knows how to plan ahead and make       |
|                  |     choices.                                      |
|                  |                                                   |
|                  | 33. **Interpersonal competence**---Young person   |
|                  |     has empathy, sensitivity, and friendship      |
|                  |     skills.                                       |
|                  |                                                   |
|                  | 34. **Cultural competence**---Young person has    |
|                  |     knowledge of and comfort with people of       |
|                  |     different cultural/racial/ethnic backgrounds. |
|                  |                                                   |
|                  | 35. **Resistance skills**---Young person can      |
|                  |     resist negative peer pressure and dangerous   |
|                  |     situations.                                   |
|                  |                                                   |
|                  | 36. **Peaceful conflict resolution**---Young      |
|                  |     person seeks to resolve conflict              |
|                  |     nonviolently.                                 |
+------------------+---------------------------------------------------+
| Positive         | 37. **Personal power**---Young person feels he or |
| Identity         |     she has control over "things that happen to   |
|                  |     me."                                          |
|                  |                                                   |
|                  | 38. **Self-esteem**---Young person reports having |
|                  |     high self-esteem.                             |
|                  |                                                   |
|                  | 39. **Sense of purpose**---Young person reports   |
|                  |     that "my life has a purpose."                 |
|                  |                                                   |
|                  | 40. **Positive view of personal future**---Young  |
|                  |     person is optimistic about her or his         |
|                  |     personal future.                              |
+------------------+---------------------------------------------------+

### WORKSHEET {#worksheet .HeadInfSheet}

# Three Case Studies in Prevention 

+----------------+-----------------------------------------------------+
| ## Spring Val  | Spring Valley, an ethnically and culturally diverse |
| ley Case Study | community, is located in a large northwestern       |
|                | metropolitan area. Each year, approximately 25      |
|                | percent of the community relocates. Approximately   |
|                | 25 percent of Spring Valley adults have less than a |
|                | sixth-grade education; 45 percent have finished the |
|                | twelfth grade; 30 percent have college degrees.     |
|                | Spring Valley parents and caregivers work long      |
|                | hours. Most adults have full- or part-time jobs,    |
|                | with average annual incomes ranging from \$15,000   |
|                | to \$60,000.                                        |
|                |                                                     |
|                | Many Spring Valley parents, of whom many are        |
|                | single, meet weekly at the community center for     |
|                | salad and dessert. On the weekends, Spring Valley   |
|                | adults participate in soccer games and attend other |
|                | recreational and social events at the community     |
|                | center, which has a liberal alcohol-use policy.     |
|                |                                                     |
|                | Three spiritual communities---St. Mark's, the Faith |
|                | Assembly of Christ, and the Calvary-Casa del Pueblo |
|                | United Methodist Church---serve Spring Valley and   |
|                | the surrounding area. Each conducts several         |
|                | bilingual services, and two congregations offer     |
|                | English as a Second Language (ESL) programs.        |
|                |                                                     |
|                | > Local businesses actively support the community.  |
|                | > C&S Enterprises, a local computer firm, is        |
|                | > working with the Spring Valley Chamber of         |
|                | > Commerce to gain support for First Night, a       |
|                | > family-oriented alcohol-free New Year's           |
|                | > celebration. Parents and local businesses have    |
|                | > worked together to provide access to the Internet |
|                | > for local schools, to renovate the community's    |
|                | > day care facility, and to post bilingual signs in |
|                | > many local businesses.                            |
|                | >                                                   |
|                | > Spring Valley also enjoys support from individual |
|                | > community residents. A local pharmacist recently  |
|                | > realized that many of his customers, particularly |
|                | > retirees and immigrant families with young        |
|                | > children, were not always following directions on |
|                | > prescription medications. He is working with      |
|                | > several of the public schools and the area's      |
|                | > retirement home to develop a bilingual education  |
|                | > program that will be offered throughout the year  |
|                | > as part of various community functions. Still,    |
|                | > there are several vacancies on the boards of the  |
|                | > three spiritual communities, and several seats on |
|                | > the community center board remain unfilled.       |
+----------------+-----------------------------------------------------+
| ## Silver C    | Silver City is a western community of approximately |
| ity Case Study | 50,000 residents surrounded by farms and ranches.   |
|                | Two major interstate highways intersect in Silver   |
|                | City and connect to an international border and a   |
|                | sea port of entry. Downtown Silver City was         |
|                | redeveloped about 10 years ago and continues to     |
|                | remain clean, with little graffiti. Although Old    |
|                | Town and the rest of the downtown are mainly        |
|                | commercial, there are few large businesses and no   |
|                | major community funders other than United Way. Two  |
|                | industries that hire locally are a call-in catalog  |
|                | center and an airline mileage-plus program. For the |
|                | past two years, mini-buses have run between         |
|                | downtown and nearby residential areas. The limited  |
|                | number of residential units in the downtown area    |
|                | consists of apartment buildings, many of which are  |
|                | owned and operated by the U.S. Department of        |
|                | Housing and Urban Development (HUD).                |
|                |                                                     |
|                | Because of Silver City's proximity to several       |
|                | national parks, tourism is a seasonal source of     |
|                | business. To encourage visitors, Silver City        |
|                | sponsors a yearly rodeo, the Tri-County Fair, a     |
|                | summer stock show, and a motorcycle rally, all of   |
|                | which attract up to 500,000 people. Dingbat Brewing |
|                | Company cosponsors these events, displaying event   |
|                | banners sporting the company logo, and setting up   |
|                | beer tents separated from the family event area by  |
|                | portable fencing and controlled access.             |
|                |                                                     |
|                | > One large mall, accessible by car, has 70 stores, |
|                | > including two anchor stores: Sears and J.C.       |
|                | > Penney. Part-time, seasonal employment is         |
|                | > competitive among adults and young people alike.  |
|                | > Silver City is large enough to support an         |
|                | > airport, a bus depot, and a train station, all of |
|                | > which employ community residents and sponsor      |
|                | > community events. There are two community         |
|                | > colleges and one university, Mid-Western          |
|                | > Technical University. Faculty and students        |
|                | > participate in mentoring programs within Silver   |
|                | > City's public school system. Silver City Memorial |
|                | > Hospital serves the western half of the state and |
|                | > operates a major trauma center.                   |
|                | >                                                   |
|                | > Based on a recent student survey, the Silver City |
|                | > public school system is reporting a small         |
|                | > increase in drug use in grades 6 and 8. The       |
|                | > survey also showed that students in grades 8, 10, |
|                | > and 12 had decreased perceptions of the harm of   |
|                | > alcohol, tobacco, and marijuana use. It also      |
|                | > revealed an increase in student truancy rates. In |
|                | > response, a small group of concerned parents is   |
|                | > meeting to address these issues. The schools have |
|                | > an active program in which individual classes     |
|                | > "adopt" a local business for one academic year.   |
|                | >                                                   |
|                | > Most community members are Caucasians whose       |
|                | > families have lived in the area for generations.  |
|                | > The small Native-American population remains      |
|                | > isolated from community resources, maintaining    |
|                | > links to its heritage by returning to the         |
|                | > reservations at various times throughout the      |
+----------------+-----------------------------------------------------+
| ## Silver      | > year. Most of the small number of African         |
| City Case Stud | > Americans live at the nearby Air Force base. The  |
| y -- continued | > Jewish community sponsors a homeless shelter,     |
|                | > three soup kitchens, and a safe house for women   |
|                | > and children who are victims of domestic          |
|                | > violence. A second safe house recently opened and |
|                | > operates at capacity.                             |
|                | >                                                   |
|                | > In a recent radio interview, the director of      |
|                | > Silver City's Head Start program described the    |
|                | > local gang population as "wannabes." She remarked |
|                | > that gang members primarily walk around the       |
|                | > downtown area in groups. Local police are         |
|                | > concerned about increasing petty crime and drug   |
|                | > arrests, and local businesses have reported a     |
|                | > decrease in business over the last two years.     |
|                |                                                     |
|                | Silver City's substance abuse problems have been    |
|                | primarily related to marijuana, alcohol, and speed. |
|                | Crack cocaine and other substances found in large   |
|                | urban areas have not become common in Silver City.  |
+----------------+-----------------------------------------------------+
| ##             |                                                     |
+----------------+-----------------------------------------------------+
| ## Loganvi     | Loganville is a rural frontier community of 15,000  |
| lle Case Study | residents. Until recently, Loganville's population  |
|                | was mostly lower-middle class, but there has been   |
|                | an influx of upper-middle-class professionals,      |
|                | drawn to the area because of its proximity to       |
|                | scenic Lake Thoa.                                   |
|                |                                                     |
|                | Typically, both parents work outside the home,      |
|                | resulting in less parental supervision of the       |
|                | community's school-aged children. Most              |
|                | professionals commute to jobs in the metropolitan   |
|                | area, some distance away. Parents tend to be active |
|                | in local politics and schools, especially with      |
|                | regard to budgets. The community's 21 churches      |
|                | represent a diversity of faith traditions and are   |
|                | well attended.                                      |
|                |                                                     |
|                | > Most residents subscribe to *The Herald* and *The |
|                | > Review,* daily newspapers from nearby cities.     |
|                | > Television and radio programs are also "feeds"    |
|                | > from regional metropolitan stations.              |
|                | >                                                   |
|                | > Approximately 50 small businesses compose         |
|                | > Loganville's business district, which includes    |
|                | > bars and stores where beer, wine, liquor, and     |
|                | > tobacco products can be easily purchased, even by |
|                | > those younger than 21. The local weekly           |
|                | > newspaper, "The Independence," frequently carries |
|                | > articles on ATOD abuse, and these issues are      |
|                | > often discussed at board of education and town    |
|                | > council meetings. Long-time residents of          |
|                | > Loganville and newer residents do not necessarily |
|                | > agree about these issues.                         |
|                | >                                                   |
|                | > Approximately 3,000 students attend the           |
|                | > township's public schools; another 1,000 students |
|                | > are enrolled in the local parochial school.       |
|                | > Another 600 students attend the county            |
|                | > vocational-technical school. Students are         |
|                | > dismissed much earlier than most parents return   |
|                | > home from work. Many of the community's teenagers |
|                | > have access to cars or pickup trucks and commonly |
|                | > report that "there is nothing to do in            |
|                | > Loganville."                                      |
|                | >                                                   |
|                | > Loganville Public High School has an enrollment   |
|                | > of 700 students, 70 percent of whom are white.    |
|                | > African-American, Asian-American, and a small     |
|                | > number of Hispanic-American students compose the  |
|                | > remainder. Approximately 60 percent of graduates  |
|                | > go on to four-year or community colleges. High    |
|                | > school sporting events are well supported by the  |
|                | > community.                                        |
|                |                                                     |
|                | Alcohol use is accepted as normal, even for         |
|                | teenagers. The children of lower-middle-class       |
|                | residents often smoke cigarettes, as do their       |
|                | parents. The children of upper-middle-class         |
|                | professionals tend not to smoke, although some      |
|                | local officials have noted a slight increase in     |
|                | smoking in this group. These parents attribute this |
|                | change to the influence of the "poor" kids. The     |
|                | prevalence of other drug use is moderate.           |
+----------------+-----------------------------------------------------+

###  {#section-7 .HeadInfSheet}