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Scientific Methods for Prevention Intervention Research National Institute on Drug Abuse RESEARCH MONOGRAPH SERIES Scientific Methods for Prevention Intervention Research U.S. Department of Health and Human Services • Public139 Health Service • National Institutes of Health Scientific Methods for Prevention Intervention Research Editors: Arturo Cázares, M.D., M.P.H. Lula A. Beatty, Ph.D. NIDA Research Monograph 139 1994 U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES Public Health Service National Institutes of Health National Institute on Drug Abuse 5600 Fishers Lane Rockville, MD 20857 ACKNOWLEDGMENT This monograph is based on the papers from a technical review on “Scientific Methods for Prevention Intervention Research” held in 1992. The review meeting was sponsored by the National Institute on Drug Abuse. COPYRIGHT STATUS The National Institute on Drug Abuse has obtained permission from the copyright holders to reproduce certain previously published material as noted in the text. Further reproduction of this copyrighted material is permitted only as part of a reprinting of the entire publication or chapter. For any other use, the copyright holder’s permission is required. All other material in this volume except quoted passages from copyrighted sources is in the public domain and may be used or reproduced without permission from the Institute or the authors. Citation of the source is appreciated. Opinions expressed in this volume are those of the authors and do not necessarily reflect the opinions or official policy of the National Institute on Drug Abuse or any other part of the U.S. Department of Health and Human Services. The U.S. Government does not endorse or favor any specific commercial product or company. Trade, proprietary, or company names appearing in this publication are used only because they are considered essential in the context of the studies reported herein. National Institute on Drug Abuse NIH Publication No. 94-3631 Printed 1994 NIDA Research Monographs are indexed in the Index Medicus. They are selectively included in the coverage of American Statistics Index, BioSciences Information Service, Chemical Abstracts, Current Contents, Psychological Abstracts, and Psychopharmacology Abstracts. ii Contents Page Introduction: Scientific Methods for Prevention Intervention Research . 1 Lula A. Beatty and Arturo Cázares Prevention Intervention Research: Focus and Perspective . 5 Arturo Cázares I. Theoretical Basis for Prevention Research Trials Testing Theory Through Developmental Epidemiologically Based Prevention Research . 37 Sheppard G. Kellam II. Hypothesis Formulation and Testing Hypothesis Formulation and Testing in Substance Use Prevention Research . 59 William B. Hansen Ill. Research Design and Other Methodological Issues Target Populations and Interventions in Prevention Research: What Is High Risk? . 75 Mary Ann Pentz Some Design, Measurement, and Analysis Pitfalls in Drug Abuse Prevention Research and How To Avoid Them: Let Your Model Be Your Guide . 95 Linda M. Collins 111 Correction for the Design Effect in School-Based Substance Use and Abuse Prevention Research: Sample Size Requirements and Analysis Considerations . 115 T. E. Dielman IV. Measuring Effectiveness Analysis of Mediating Variables in Prevention and Intervention Research . 127 David P. MacKinnon Summary of Critiques From the Drug Abuse Epidemiology and Prevention Research Review Committee . 155 Raquel Crider and Eleanor Friedenberg V. Special Research Considerations Regarding Minorities and Ethnicity Issues in Drug Abuse Prevention Intervention Research With African Americans . 171 Lula A. Beatty Drug Prevention Research With Hispanic Populations: Theoretical and Methodological Issues and a Generic Structural Model . 203 Felipe G. Castro, Mary P. Harmon, Kathryn Coe, and Helen M. Tafoya-Barraza Drug Prevention Research With Native-American Populations: Some Considerations . 235 Grace Powless Sage Drug Abuse Prevention Research Concerns in Asian and Pacific Islander Populations . 249 Ford H. Kuramoto iv Introduction: Scientific Methods for Prevention Intervention Research Lula A. Beatty and Arturo Cázares The purpose of this research monograph, titled Scientific Methods for Prevention Intervention Research, is to advance theoretical, methodological, and analytical rigor in the design and conduct of prevention intervention research, particularly with minority populations. It results from a National Institute on Drug Abuse (NIDA) Technical Review held September 29 and 30, 1992, and sponsored by the Prevention Research Branch of NIDA’s Division of Epidemiology and Prevention Research. This research monograph will provide both researchers and clinicians in the field of drug abuse prevention with the latest information regarding scientific methodology in prevention research. The specific objectives of the monograph are to: (1) provide current and potential researchers with state-of-the-art information regarding theory, design, and analysis in drug abuse prevention intervention research; (2) provide considerations for and models of drug abuse prevention intervention research on culturally diverse populations that are both sensitive and responsive to cultural and minority concerns and scientific rigor; (3) identify areas in need of research and theoretical development; and (4) improve the quality of applications submitted to NIDA seeking drug abuse prevention intervention research support. The intended audience is a rather broad one. It includes current researchers in drug abuse prevention, potential researchers and applicants to NIDA (in particular, researchers asking about prevention intervention research conducted by NIDA staff at conferences and meetings and through telephone inquiries), faculty members teaching units on drug abuse evaluation and prevention, graduate students, and clinical staff and program administrators interested in demonstrating the success of their interventions, 1 This research monograph will strive to fill gaps based on the following evidence: (1) program staff in the Prevention Research Branch frequently receive requests from the field for information, particularly for written texts, and technical assistance in conceptualizing and designing prevention intervention research; (2) NIDA, other Federal and State agencies, and researchers recognize the need for increased scientifically rigorous research capable of documenting the effec- tiveness and impact of prevention intervention efforts; (3) a higher- than-usual number of prevention intervention research applications submitted to NIDA are not highly rated by the scientific review committee for reasons common across applications (one of the chapters discusses common reasons for rejection of applications, and others discuss specific areas that lead to problems in the conduct of research); (4) prevention research still is a relatively new discipline with a great need for resources for investigators, especially investigators new to this field; (5) there is a need to increase the number of new and minority researchers in the field; (6) there is a need to increase research in topic areas that are of importance and interest to NIDA (as determined by the work of NIDA staff and grantees); and (7) there is limited infor- mation available on conducting sound, theoretically based, methodo- logically rigorous prevention intervention research with culturally diverse populations. It is our expectation that this research monograph will provide assistance to the prevention field by addressing methodological needs in one comprehensive volume more than a typical journal article will allow. It should be noted that the chapter authors represent much input from the leadership in the field. Through the years, their work has advanced the field of prevention intervention research. The readers of this research monograph can benefit most from its use in the following ways: (1) Current researchers may use the volume to further refine their research, integrate new methodological and analytic approaches into their studies, and consider new avenues for explo- ration; (2) researchers and applicants new to NIDA may use the volume as a guide for the design of a rigorous research proposal and well-designed study and as a reference point to other researchers and sources for collaboration or consultation; (3) faculty members may use it as a resource book and instructional material for courses in drug abuse prevention design and evaluation; (4) graduate students may use it as an introductory overview and guide to issues and considerations 2 in drug abuse prevention intervention research; and (5) clinical staff and program administrators may use the monograph to assist them in identifying issues of concern in assessing the effectiveness of their prevention intervention strategies and, perhaps, in collaborating with researchers. All readers are expected to benefit from the information provided on the four major ethnic/minority populations. In addition, libraries are expected to obtain the monograph for use by their patrons, particularly research institutions, and departments at universities and agencies that maintain interest-specific collections. This research monograph is not duplicative of another public or private communication effort. Its uniqueness lies in the fact that it provides valuable information on how ethnicity and cultural considerations can be represented in the state-of-the-art of rigorous prevention meth- odologies. Further, the publication will serve as a guide to potential (and current) grantees in pointing out important considerations
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