Philip Morris
Adolescent Smoking: Research and Health Policy
Fields
- Author
- Cleary, P.D.
- Flinchbaugh, L.J.
- Hitchcock, J.L.
- Pinney, J.M.
- Semmer, N.
- Flinchbaugh, L.J.
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- BIBL, BIBLIOGRAPHY
- Document File
- 2021588886/2021589197/Missing
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- Natl Center for Health Statistics
- NCI, Natl Cancer Inst
- Nie
- Stanford
- Univ of Mi
- Usphs
- Wk Kellogg Foundation
- Carnegie
- Cdc
- Harvard Medical School
- Harvard Univ
- Inst for the Study of Smoking Behavior +
- NCI, Natl Cancer Inst
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- R107
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- Akers
- Ary
- Bachman
- Baker
- Bandura
- Banks
- Battjes
- Bell
- Bell, K.
- Berenson
- Best
- Bewley
- Biglan
- Bland
- Botvin
- Brown
- Chassin
- Chen
- Clarke
- Cleary, P.D.
- Coates
- Collins
- Connell
- Covington
- Croft
- Cullen, J.
- Danaher
- Dean
- Donofrio
- Dunn
- Dwyer
- Eng
- Evans, R.
- Fisher
- Flay
- Flay, B.
- Friedman
- Fuchs
- Gilchrist
- Glasgow
- Glynn
- Glynn, T.
- Goodstadt
- Gordon
- Gordon, N.
- Governali
- Graham
- Grant
- Green
- Green, D.
- Gritz
- Gritz, E.
- Guggenheimer
- Hansen
- Harris
- Hawthorne
- Higgens
- Hirschi
- Hirschman
- Hunter
- Iverson
- Jessor
- Johnson
- Johnston
- Jones
- Kandel
- Kiesler
- Killen
- Killin
- Krohn
- Lando
- Lauer
- Leventhal, H.
- Lichtenstein, E.
- Lippert
- Logan
- Luepker
- Macoby
- Marty
- Mason
- Massey
- Mcalister
- Mccaul
- Mcguire
- Mittelmark
- Moskowitz
- Moskowitz, J.M.
- Murray
- Newman
- Nolte
- Omalley
- Orourke
- Panagis
- Pechacek
- Pechacek, T.
- Perry
- Pollard
- Presson
- Raines
- Ramirez
- Reed
- Renick
- Safer
- Santi
- Schaps
- Schelling, T.
- Schinke
- Semmer
- Sherman
- Skinner
- Slinkard
- Smith
- Snow
- Snyder
- Spitzhoff
- Stoto, M.
- Surgeon General
- Telch
- Thompson
- Turner
- Warmack
- Watson
- Webber
- Weissman
- White
- Williams
- Wills
- Winder
- Wongmccarthy
- Ary
- Request
- Stmn/R1-147
- Author (Organization)
- Harvard Medical School
- Harvard Univ
- Inst for the Study of Smoking Behavior +
- Institut Fur Sozialmedizin Und Epidemiol
- John F Kennedy School of Government
- Harvard Univ
- Litigation
- Stmn/Produced
- Date Loaded
- 05 Jun 1998
- UCSF Legacy ID
- wro44e00
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Introduction
In the period since the 1979 Surgeon General's report, adolescent smoking
behavior has received as much research attention as almost any other health-
risk behavior. We know a great deal about the prevalence and natural history
of adolescent smoking as well as the correlates and predictors of smoking
behavior. In addition, there have been a series of well designed,,
theoretically based experiments to evaluate adolescent smoking prevention
programs that match or exceed, in number and quality, program evaluation in
any other area of health behavior.
After a substantial decline in the late 1970's, smoking behavior among
adolescents has not decreased appreciably over the past five years, and the
most intensive intervention efforts have been judged to be of only modest
success.. In this paper we review and summarize what we know about the natural
history of adolescent smoking behavior and the results of smoking
interventions directed at adolescents. Varied~intervention approaches have
been attempted, but the most commonly evaluated programs focus primarily on
social influences that are assumed to play a role in smoking initiation.
Almost all interventions have placed a heavy emphasis on primary prevention:
through the modification of peer influences and other social psychological
correlates of smoking. We reexamine the appropriateness of these foci in
light of the avaiLable theory and research results and make recommendations on
research and public policies relevant to adolescent smoking.
We think that the available data suggest a need to reassess the types of
research and intervention programs directed at adolescent smoking.
Specifically, we think that it is inappropriate to focus almost exclusively on





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questionnaire that their saliva would be analyzed for tobacco products. It is
not possible to make definitive conclusions about trends among adolescents,
but we think the accumulation of evidence showing a decrease in smoking
prevalence, and the remarkable similarity of these trends to those among
adults, as well as the results of this validity study, support the argument
that changes in reported smoking rates reflect real changes.
Despite the fact that smoking rates appear to be falling among
adolescents in a way that mirrors adult trends, there is sti1L good~reason to
be concerned with smoking among adolescents. It is usually assumed that it is
better to prevent a disease or unhealthy behavior than to cure the disease or
change the behavior once it has been learned (c.f. Johnson, 1982). However,
this is not true if the incidence of the disease or behavior in the target
population is relatively low or the preventive measures don't have a lasting
effect. For smoking, the available data suggest that interest in prevention
is justified because of the high risk of intitial use during a relatively
brief span of years, and by the relationship that early smoking appears to
have with later use of cigarettes.
Wong-McCarthy and Gritz (1982) found that a substantial amount of first
time smoking occurs after the transitions of entering junior high school or
high school. Kandel and colleagues have been conducting longitudinal studies
of substance use among adolescents for many years. They recently analyzed
results from a ten year follow-up study of 1,325 people who were in the 10th
and llth grades in the Fall of 1971 (Kandel and Logan, 1984). They calculated
hazard functions for various substances and found that the period of major
risk for initiation of cigarettes, alcohol, and marijuana were for the most
part complete by age 20. For cigarette smoking, for example, they found that







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13
Moskowitz (1985) has stated that it is premature to conclude that these
programs are effective in preventing cigarette smoking. He points out that
the studies have yet to demonstrate effects on the more established'habitual
smoking that generally does not occur until the high school years.
A fourth generation of studies consisted of large scale trials typically
involving five or more units per condition. All of these evaluations were
based on the social influences approach. Botvin, Renick, and Baker (1983)
have asserted that psychosocial smoking prevention strategies are capable of
producing initial reductions in smoking behaviors of about 50% and that
longer-term~results look promisimg.F1ay (1985b) concludes that the data:from
these studies suggest that the social influences approach to smoking
prevention can be effective some of the time. He warns, however, that this
conclusion is a tentative one because of the inconsistencies in the patterns
of results.
The importance of viewing some of these results as tentative is
emphasized in a review of one of the more successful intervention programs,
the Waterloo Study (Best et al., 1984, Flay et al., 1985). Flay (1985b)
concludes that the results of the Waterloo study represent one of the most
rigorous tests of the social influences approach to smoking prevention. Flay
interprets these results as suggesting reasonably good'.maintenance of long
term effects and notes the importance of the findimg that the program was most
effective for students at high risk.
The results from the Waterloo study do indeed appear encouraging. Among
students in the experimental program who were not smoking at the beginning of
the study, 60% were still non-smokers at the end of the eighth grade, whereas
the comparable figure for the control group was 47%. Among students who said
they had tried smoking at the beginning of the study, 43% of the students in

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the experimental program quit, as opposed to 25% of the comparison group--a
statistically significant difference. Even more impressive was the finding
that among students classified as being at high social risk, 77.8% of the
students in the experimental group remained never smokers, while the figure
was only 44.48 for those in the control group. These results appear to suggest that focusing on
social influence
processes in order to reduce the onset of smoking can be efficacious.
However, from a public health perspective, it is important to consider not
only the relative differences, but also the total number of students affected
and the robustness of the effects. For example, only 44% of the students in
the Waterloo study were non-smokers at the beginning of the study and 33% were
regular smokers. Partly as a result of this stratification, only one of the
17 contrasts between the experimental and control groups at the end of grade
eight was statistically significant.. Similarly, there were only 36 students
in the high social risk group who were non-smokers at the beginning of the
study. Thus, the difference of 78% versus 44% reported by Best et al. (1984)
reflects the fact that 14 smokers in the experimental versus 8 in the control
group remained non-smokers--a difference of 6 students. As Flay et al. (1985)
assert, these results are "fragile." This is especially true if one takes
into account how unstable these reported patterns at the end of gzade eight
are likely to be.
Most program evaluations conducted to date have been concerned primarily
with the efficacy of specific programs. With apologies to McGuire, one might
say that the research has focused on finding the best vaccine for inoculating
students. In conducting an efficacy trial, it is appropriate to focus on
persons at risk. Before preventive measures are implemented, however, it is
necessary to ask what the impact on the entire population wi11 be. In the

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case of adolescent smoking, this means that instead of asking how many non-
smokers are prevented from smoking in a six month period of a specific trial,,
we should try and estimate what proportion of all adolescents will be
prevented from smoking. This is a complex question that cannot be answered
definitively with existing data. However, in order to at least sensitize
policy makers to this issue we have calculated two statistics for a number of
representative intervention studies. The statistic that may be of most
interest to public health officials is what we refer to as Attributable
Prevention in the Population. This simply refers to the proportion of all
students affected by the program. For example, if two schools with 100
students each are assigned to an experimental and control program
respectively, and the proportion of new smokers in the experimental school is
10% and the proportion of new smokers in the other is 5%, we say that the
Attributable Prevention in the Population is 5%. Therefore, the upper limit
of Attributable Prevention in the Population is the prevalence of the
behavior. Experimental and control groups often~exhibit different behavior
before the start of a study and both groups usually change behavior over the
course of time. The methods available for adjusting for such differences are
varied and sophisticated (Cleary, 1983) but for simplicity we simply subtract
base rates from rates at the end of the study. For example, if in an
experimental program~the rate of smoking increased from 4% to 10% whereas the
control group increased from 3$' to 5%, we would say the Attributable
Prevention in the Population was 4% (10-4 versus 5-3). This is not a
statistically correct way of adjusting for group differences but in the
absence of the original data, it provides a rough way of comparing studies.
Data are sometimes reported only for students "at risk." For example,
if 70% of both schools already have experimented with smoking, one might

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analyze data for only non-smokers. In the example given above, if only 30% of
both schools were used for analyses, the results would indicate that about 33%
of the,non-smokers in the experimental school were prevented from~smoking and
about 17% were prevented from smoking in the control group--a difference of
16%. To facilitate comparisons among studies, if data are presented only for
a "risk group" we calculate what the Attributable Prevention in the Population
would be. These types of calculations are a start towards answering the
question of what proportion of students would be prevented from smoking for
the period of the study if the intervention was applied to that type of
population. These figures, along with some description of the studies are
presented in Table 1. These studies were drawn from the list compiled and
reviewed by Flay (1985a, Table 1).


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Washington III 6th 689 6X-9X smoking 2 yrs 4.OX5
(original past week
sample)
Tennessee 6th-9th 1472
(origiaal
sample) 2 yrs FA6
Stanford I l0th 871 2.9X smoking
past week 6 mos 3'.SX
past month 6 mos 9.7%
Stanford II 10th 583
(original
sample) cessation 3 mos 11. 3% 0.9X
Waterloo 6th 439 33.0X never smoked
quit 301 mos 12.9% 5.7X7
regular smoking
(among triers). 30lmos 18.OX 6.0%
Australia 7th 1964 18.3% smoking
initiation 16 mos 5.9% 3.8%
smoking
cessation 16 sas -1.1X -0:4X
Footnotes:
1. Evans included students who wore only exposed to repeated testing in, the experisuentaL group.
If those students are considered part of the control group the attributable prevention
statistics are5.2Xand 3.6Xrespectively.
2. Estimated: from a published bar graph (Schinke & Blyth, 1982).
3.. Assumes that control and experimental groups were equal at baseline. 6nlypost-test resulits~
were reported.
4. Results from two experimental groups were pooled, assuming that they were of equal size.Bumber of
students in each group was not reported.
5.. Estimated from a line.graph. Results frominformation-only group combined with results from.m
control group.
6.. Pentz (1984) presents only tests ofsi'gnificance for treatment effects on, cigarette use., 7..
Experimental and control groups assumed to be equal atbaseline..


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There are a number of detailed reviews of the methodological limitations
of these issues (Biglan and Ary, 1985; Battjes and'Bell, 1985; Flay, 1985a and
1985b; Lando, 1985; Moskowitz, 1985; Snow, Gilchrist, and Schinke, 1985) and
it is not necessary to repeat that material here. Suffice it to say that even
the most recent studies suffered problems associated with unit of assignment
to experimental conditions, integrity and strength of the treatment as
delivered, unit of analysis, attrition, failure to assess treatment
interactions, reactive effects of repeated measurements, lack of attention to
the differential impact of program in different subsets of students,
restricted study populations (e.g. never smokers), and Hawthorne effects.
(For reviews of similar problems with drug abuse program evaluations see
Schaps et al., 1981 and Moskowitz, 1985.)
The observations of methodological problems that numerous authors have
made are perceptive, accurate, and noteworthy. However, we disagree with
Flay's (1985a) recommendation that we should conduct more large-scale studies;;
in effect "bigger and better" studies to address some of the methodological
problems mentioned. The experiments he reviews have been carefully developed
from sound theoretical work. They have been implemented with great care by
some of the best researchers in the field, and the results have been carefully
and honestly reported.
The methodological shortcomings pointed out by the various reviews cited
are important, but these are to be expected givemthe complexity of the
research (Lando 1985). It is our opinion that evaluations of adolescent
smoking prevention programs are among the best evaluation work done on
changing health behavior, and that the results are definitive and obvious: the
types of programs reviewed can have temporary, small effects on smokingg
behavior.


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A second assumption apparently motivating much of the current research
that focuses only on smoking prevention concerns the relationship between
adolescent experimentation~with smoking and the adoption of other problematic
behaviors such as alcohol and/or drug abuse. For example, Kandel (1975) and
colleagues view the use of various substances as links in a chain of
progressively more serious use and abuse., If this is true, then the limited
impact of smoking programs on smoking behavior is not as troubling because
there will be an effect on many types of substance use. It is important, we
think, to critically re-examine some of the research that is used to justify
these positions.
Social Correlates of Smoking
In order to develop public health programs to reduce the prevalence of
smoking, it is necessary to understand something about the factors that cause
smoking.. By combining theories of behavior and the empirical findings on
adolescent smoking, it may be possible to develop a better understanding of
the issues that need to be addressed if we are to have an impact on smoking
behavior.
A key theoretical perspective used to explain the association between
peer'smoking and adolescent smoking is social learning theory (Bandura, 1977).
Social learning theory describes the importance of vicarious and symbolic
learning. That is, adolescents "learn" about smoking and the positive and
negative consequences of smoking by watching peers and adults smoke.
According to social learning theory,, there are four central processes that
determine learning: attention (e.g. watching friends smoke), retention, motor
reproduction (e.g. actually trying a cigarette), and motivation or incentive






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behind white children in early experience and adoption of smoking behavior"
(Hunter, Webber and Berenson 1980, p. 701). At all ages, black children who
smoked consumed fewer cigarettes than white children. Bachman, 0'Malley and
Johnston (1980) reported that black high school seniors smoked less than their
white counterparts in 1979--a pattern opposite from that found in 1969.
In Covington & D'Onofrio's study (1985) of approximately 6,500 sixth,
eighth, and tenth grade students in the San Francisco Bay area, Asian students
reported the lowest prevalence of smoking (1.4%, 11.5%, 13.0%, respectively,
for Grades 6, 8 & 10). Hispanics students reported consistently higher
prevalence for the same grade levels: 9.4$, 22.58,and 20.0%. Black and white
students had about same prevalence at Grade 6(4.6$ and 4.5%) and at Grade 8
(18.78 and 18.98).. By 10th grade, however, the black students in this sample
had the highest prevalence of all age and ethnic groups, 25.2%.
There are a number of other findings that are not easily explained by
viewing smoking among adolescents solely as a socially learned behavior. For
example, children from "broken homes" smoke more than children from intact
two-parent homes (Green, 1979; Bachman, 0'MaILey and Johnston, 1980,, p. 12).
The Monitoring the Future Study has also found greater drug and cigarette use
among the high school seniors who worked a substantial number of hours at a
job, had higher incomes, dated more often, and spent more evenings out of
their families' home (Bachman, O'Malley and Johnston, 1980)., These
correlations were strongest for females. Banks, Bewley, Bland, Dean and
Pollard (1978) found very similar patterns: "Having more money to spend,
working at a part-time job, spending more evenings out with a mixed-sex peer
group, at a youth club, or out dancing ...were all associated with an
increased risk of smoking... The best predictor of smoking and experimenting
with cigarettes for both boys and girls was attending youth clubs..."'(p. 16).

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Similarly, Murray et al. (1983) found that both initiation and changes in
smoking were related to having friends of the opposite sex. Green (1979) also
found a pattern of greater smoking on the part of students who worked.
Other Theoretical Perspectives. Clearly, a social influences model of
smoking acquisitiomis not adequate to explain these disparate findings.
However, there are a number of other important behavioral theories that can be
brought to bear on the issue of adolescent smoking. For example, although
smoking is almost normative among adolescents, from an adult perspective it
can be considered a "deviant behavior" and there is a large amount of theory
and empirical research to explain why adolescents adopt deviant behaviors.
Another major research paradigm is that developed by Jessor and Jessor
(1977). They describe socio-cultural, personality, and social systems and
describe how these affect behavior. Their work is especially interesting
because they hypothesize that there are behavior syndromes that consist of
groups of behavior with a common social genesis. To the extent that general
social factors are operative, specific interventions focused on smoking
behavior will
not be very effective.
Skinner and colleagues (Skinner, Massey, Krohn, and Lauer, 1985; Krohn,
Massey, Skinner, and Lauer, 11983) have tested the hypothesis that social
bonding theory and differential association theory explain smoking behavior.
Social bonding theory (Hirschi, 1969) posits that individuals will tend to
behave in individualistic and "deviant" ways unless constrained by ties to
conventional society. These constraints are maintained througi3 four types of
bonds to conventional society: attachment, commitment, involvement, and
belief. This theoretical perspective does not focus on the learning of
behavior, but rather on the mechanisms of social control. Skinner, Massey,
Krohn, and Lauer (1985; Krohn, Massey, Skinner, and Lauer, 1983) tested this

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30
theory using data from a two-wave panel study of 1405 students in 7th through
12th grade. The findings generally supported the hypothesis that adolescents'
ties to conventional society are important in constraining deviant behavior.
Commitment to education, attachment to father and mother, and association with
female smoking friends were the variables most strongly associated with
differences in rates of smoking initiation, whereas attachment to father,
beliefs about smoking, and association with both male and female smoking
friends were important for cessation. The Muscatine study has also reported
important results on parental and peer influence and ties to conventional
social order.
Although we tend to assume that adolescents smoke for reasons that are
different from the reasons that motivate adults, this may not be the case. A
good example of this is regulation of emotional states. Recent analyses of
data from the West German study of adolescent smoking indicate that beliefs
about the effect of smoking on affective states are predictors of changes in
smoking behavior (Semmer, Cleary, Dwyer et a1., 1986). Similarly, Wills
(1985) found that stress was related to an increased probability of cigarette
use among two cohorts of public school students who were in the seventh grade
when first interviewed.
These various findings do not imply that social influences are not
important. For example, regional or racial differences could simply be a
function of the salience of different models. Furthermore, social influences
are probably major mechanisms for maintaining these differentials. Thus,
social influence is undoubtably extremely important in influencing the
anticipation of, the experimentation with, and the adoption of smoking.
However, social influence models explain transmission and cannot account for
the important class, race, and regional differentials that have been observed.

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Surprisingly, only the most recent, sophisticated programs programs take
into account the various processes that theory would predict to be important
in the initiation and maintenance of smoking. One example is the work
conducted by Glynn, LeventhaL, and Hirschman (1985). In the program that they
have developed, they explore, in some depth, the nature of the user's physical
as well as psychological response to cigarettes and attempt to provide
knowledge that promotes a negative evaluation of those reactions. They
speculate that such an approach will be especially effective with experimental
smokers who are evaluating the efficacy of smoking for themselves.
Public Health Policy Considerations
We think that there may be very little utility in conducting further
large scale school smoking prevention research and demonstration programs
based primarily on social learning theory and focused almost exclusively on
prevention. Our conclusions are consistent with the directions adpoted by
some of the most recent programs that are currently in planning or
implementation stages. The most innovative programs have adopted a much
broader theoretical perspective and focus on~a full range of smoking
behaviors. To be effective, a public health program aimed at reducing
smoking, or alcohol and drug abuse among adolescents nationwide, ideally would
utilize a program model or models with attributable prevention rates
considerably higher than those we have reviewed here. However, even if one
were to accept these moderately successful models as the best available for a
broad school-based prevention strategy there are a number of other important
criteria that must be considered.
First, regardless of the relative effectiveness of any prevention model,
it must be "marketable" in the sense that it can be easily and rapidly















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