Precede, developed in 1974, stands for Predisposing, Reinforcing and Enabling Constructs in Educational Diagnosis and Evaluation. Proceed, added in 1991, stands for Policy, Regulatory, and Organizational Constructs in Educational and Environmental Development. That this planning framework was prescient in scope has been affirmed every year in the worksite health promotion sphere as I’ve watched this discipline’s slow but steady migration from a focus on individually targeted programs to more environmental and ecological approaches.
In the decades since the first edition, Green and Kreuter’s profuse tome remains our profession’s most cogent and comprehensive guide for how to collect and evaluate evidence to inform program planning and evaluation. I’m pleased, then, to report that the Fifth Edition of this seminal text is in production. I know this because I was honored to be a co-author with Nico Pronk and Shelly Golden contributing the chapter on program planning for occupational settings. I plan to profile and interview several of the chapter authors to this latest edition in my editorials in journal issues to come beginning in this issue with an interview with Dr. Green. Stay tuned to these pages for an announcement of the book’s release date.
Under investment in rigorous assessment and planning is all the more surprising given the impressive investments being made in employee health improvement programs and services. Under planning, yet over delivering, isn’t at all responsive to Green’s call for practice-based evidence. Instead, it may reflect a headlong march using a “ready, fire, aim” approach that, though well meaning, may be why some worksite wellness programs are felt to be paternalistic and intrusive rather than what wellness should be best at; personalized, relevant, fun and engaging.
An Interview with Dr. Lawrence Green
Dr. Paul Terry: Congratulations on nearing the completion of the 5th Edition of Health Promotion Planning (now the first edition with a new publisher, Johns Hopkins University Press). The new title will be “Health Program Planning, Implementation and Evaluation: Creating Behavioral, Environmental and Policy Change.” Your Co-Editors for this edition are Andrea Geilen, Judith Ottoson, Darleen Peterson, and Marshall Kreuter. This edition shows the clear progression from planning and implementation to evaluation and you’ve further refined and simplified the visual representation of the planning model. Can you describe the genesis of previous editions and some of the research derived from the PRECEDE model?
Dr. Lawrence Green: Our first edition presented an approach to planning and evaluating health education and health promotion programs that became the PRECEDE model. Formalizing the PROCEED model came in later editions. The model was built on research and field experience from my work in county, state and federal agencies in California during my field training as an MPH student at Berkeley, and then elaborated and tested over 2 years in Bangladesh and during my doctoral studies at Berkeley. During my first 10 years of teaching at the Johns Hopkins University School of Public Health, my publications from the Bangladesh experience provided a cross-cultural test of my assumptions about the generalizability of my beliefs about planning effective programs, and a test of their credibility among MPH students at Hopkins. The Hopkins teaching at that time of mostly physicians and nurses pursuing their MPH degrees also provided a rigorous test of the interdisciplinary relevance and credibility of the concepts. In the inner-city context of Johns Hopkins, the opportunity to conduct experimental studies with patient and family interventions on their control of hypertension and asthma with funding from NIH set in motion a decade of evidence-based validation of educational, behavioral and social-support interventions that produced cardiovascular improvements and mortality reductions in patients.
Some research I’ve reviewed in this editorial indicates that even modest planning is often lacking in health promotion. For example, pundits note that Biden’s pandemic plan was maddeningly obvious. Based on PRECEDE-PROCEED tenets, what elements of planning were most obviously missing in 2020 and what is your greatest wish for 2021 national planning?
The necessarily missing element is the engagement of local practitioners, citizens and/or patients in the planning process. Biden and his transition team could not have gone to each community in which a tailored program of population surveillance, supply, vaccination, priority-setting among population groups, and other adjustments to geographic, demographic, epidemiological, language and educational specificity could be included in what was necessarily a national plan. It is at these more local community levels that the PRECEDE-PROCEED model can be expected to disaggregate and fine tune the more generic Biden plan for each community’s planning. The principle of participation is one of the “key concepts” presented in Chapter 1 of this new edition: “Overarching perspectives on population health promotion planning.”
As the pandemic has shown, many, if not most, organizations fall into reaction mode and do their best to adapt to a fast changing environment on the fly. Indeed, some innovators or disruptive industries pride themselves in building the plane as they are flying it. Is disciplined planning antithetical to winging it? Can planning and breakthrough innovation coincide?
No, not antithetical. Indeed, I love your term “breakthrough innovation,” and will substitute that for my weak terms of “tweaking the plan,” or “adaptation of the plan.” If we view the breakdown of prior assumptions or the presumed link in a program plan as mistakes rather than as a limitation of understanding the presumed link and its own determinants, we will encounter more resistance to the proposed change in a plan. By calling the change a breakthrough innovation, we share the credit for its success with those who helped uncover the need for adaptation and for suggested remedies. That’s the essence of ongoing process evaluation and redesign. Our new chapter on evaluation in the new edition gives prominence to the variety of breakdowns to be discovered for remedies to be inserted in their place as innovations.
This is not the first or last time that ideological differences will foil planning. When you headed up a research section at CDC you were conflicted by differences over research and tobacco policies, among others. What did you learn about the need for many differing voices to be heard and the tension that lends to evidence-based decision making?
In my haste to implement a CDC grant program for community-based participatory research, I invited peer reviewers of proposals to come to CDC for a meeting with applicants. The exchange sensitized me and my staff to the reality that adherence to “evidence-based practices” from the scientific literature was not necessarily the only criterion that counted. What mattered most to the community project applicants was that they built on their experience and familiarity with community practice, composition, and histories. I concluded that CDC review process with the coining of a phrase that “If we want more evidence-based practices, we need more practice-based evidence.”
Another significant instance of clashing ideological/scientific differences was when, as Founding Director under Michael Eriksen (who had been one of my students at Johns Hopkins 30 years earlier) of the WHO-CDC Collaborating Center on Global Tobacco Control, I was appointed by the newly elected President Bush to the US delegation to represent CDC among other federal agencies, each with one representative at the Global Tobacco Control Policy Convention in Geneva. Our delegation of 6 professionals representing various agencies was shadowed by a federal political appointee of the Bush Administration who, during the proceedings, sat behind and above us in the WHO auditorium to monitor our verbal contributions to the proceedings, apparently to report to the White House on our fidelity to its new industry-friendly policies on tobacco. I resigned during the second meeting.
In hindsight, are there planning strategies you wish you had done differently when you returned to government as CDC’s Acting Director of the Office on Smoking and Health and then as founding Director of CDC’s Office of Science & Extramural Research?
What hadn’t been accomplished prior to my arrival in Washington in 1979, and still was inadequate when I left CDC in 2004, was a harmonization of the research to practice pipeline. My final departure from government culminated with my retirement from CDC in 2004. I tried for a while not to second-guess what I had and hadn’t done while in government. But I soon took up a Visiting Professorship to help with the creation of a Health & Society Program at the University of Maryland, as part of Bob Gold’s starting of a new School of Public Health, and then at UC Berkeley School of Public Health, both of which challenged some of my assumptions about the effective penetration of federal policy initiatives into the consciousness of public health students and faculty. The textbook on the PRECEDE-PROCEED model of program planning, which Marshal Kreuter and I revised in 2003 while translating our federal experience, and was published as the 4th edition in 2005, seemed to have missed the mark in adequately translating policies effectively into public health practice that used evidence as strategically and effectively as we had imagined was possible.
Too soon after settling back in our San Francisco home to retire more honestly, I was persuaded to accept a part-time Adjunct Professorship at UCSF in the Department of Epidemiology and Biostatistics. Like the 2 Visiting Professorships, the academic settings raised questions about what had or hadn’t been accomplished in my stint in Washington as Director of the Office of Health Information and Health Promotion under Deputy Assistant Secretary of Health, Michael McGinnis. Besides planning and supporting the implementation of policies and programs with states, was the development of an adequate data base for the evaluation of the policies that had been passed by Senator Edward Kennedy’s Senate Committee (where I had given testimony that was included in the Congressional Record). My position included planning, supporting implementation and evaluation of innovative programs in support of the 1990 Healthy People Objectives for the Nation. The closest I could come to that legislative mandate was the recruitment, development and deployment of a federal staff for the Office of Health Promotion, a federal information clearinghouse, a variety of guidelines and tools for state and local health departments’ health promotion, a national health information media campaign, and recommendations for addition of items in the National Health Survey in line with evaluating progress on the Objectives for the Nation in Health Promotion.
In an interview we had in 2015 for this Journal, you described working with Senator Kennedy on what led to the creation of the Office of Health Information and Health Promotion. He guided you away from using the term “health education” for his legislative purposes because it would cause his Health Information and Health Promotion Bill to be referred to the Education Committee of the Senate which would have buried it in their more crucial school legislation and left it low among the high priority medical issues of NIH. What lessons from your collaboration with Kennedy stick with you now relative to piloting the planning process?
The pull from Kennedy’s Senate office came first while I was still at Hopkins, and the lesson I took from his notice of my research was that it was referred to him by others among his constituency, as I had given lectures in Massachusetts and had been a consultant in the formation of the President’s Committee on Health Education, which he had championed. His interest and representation of my testimony before his Senate Committee led, in turn, to the interest of Michael McGinnis, then heading the new federal Office of Disease Prevention and Health Promotion, in recruiting me to head the still relatively new Office of Health Information and Health Promotion created under his Office by Kennedy’s legislation. These Offices were created under the Assistant Secretary of Health. Two years later, that Assistant Secretary, Julius Richmond, was leaving to return to his Professorship at Harvard, and he offered me a place in his new Harvard Center for Disease Prevention and Health Promotion. The unconscious lessons I must have learned in this sequence, was the importance of leveraging your modest accomplishments and the contacts that came with them to take the next steps
Political polarities were tame during Kennedy’s hay days compared to today’s ideological schisms. In what many worry is a ‘post fact’ society, how should the diagnostic stage of planning factor in competing views or ‘alternative facts?
The scientific communities, including NIH and CDC, had developed a convention of responding to “alternative facts” with a mantra that they and everyone else should base their planning on “evidence-based practice.” During my tenure at CDC, when leaving the Office on Smoking and Health, I became director of the Office of Science & Extramural Research and Associate Director for Prevention Research and Academic Partnerships for the Public Health Practice Program Office. This put me at the interface of the scientific and practice and planning worlds, where practitioners and their state and local public health directors pushed back in recognizing that the science handed down from NIH and us at CDC was based on research that was rigorous in its clinical and other randomized trials, but such rigor often failed or was impossible to represent the diversity and uniqueness of many local circumstances. I, too, became skeptical of the one-way construction of scientific facts to universal guidelines. My best opportunity for addressing the need to better link science and practice came via an appointment to chair and publish the findings of an Institute of Medicine of the National Academies Committee on “Linking Research and Public Health Practice.”
10I led the chapter on workplace-based health promotion planning for your new edition and I shared data about how having a plan with measurable accountabilities and monitoring of plans is associated with better organizational level outcomes. Yet, I also shared studies showing that a relatively small number of organizations adhere to planning best practices. What would you say to organizational leaders who look at PRECEDE-PROCEED and are daunted by the scope or who feel thorough planning is more trouble than it is worth?
One answer might be, if you’ve collected appropriate information in the justification of your organization’s purposes, and in the hiring of staff, and in the matching of resources to those purposes and staff assignments, much of the data required by the PRECEDE planning process would be in hand, begging for re-purposing organizational allocations and application to an emerging health need or problem. Another might be to gauge the data-collection and organization proposed to the severity and reach of the problem and the duration of the commitment to maintain a program capable of controlling it.
After leaving CDC, my critiques of “evidence-based practice” and the need for more “practice-based evidence” attracted a cross-fire of science defenders vs practice- and specific population-based supporters who recognized the misfit of some “evidence-based practices” for their populations, begging for greater specificity or tailoring of evidence-based practices. The PRECEDE model had a sufficiently publication-based track record of over 1000 published applications that a sharing of that bibliography (now over 1200) on my website seemed to offer a quieting of the “where’s the evidence” complaints, as well as some of the “is it worth the time and effort” questions.
Some leaders delegate strategic planning, but when I held executive posts I considered leading an annual planning process a prime duty. I’ve always worked with skeptics of planning, including on my leadership teams, who argued that detailed plans end up on a shelf collecting dust. Why not hold people accountable for desired results without being so prescriptive about how they go about achieving them?
Experience would seem to favor early intervention rather than merely waiting for outcomes to justify OK results or to reveal disappointing or disastrous outcomes. The experience of some who cite plans that collect dust on shelves (i.e., were never implemented) has given rise to a new subspecialty, in the planning to evaluation spectrum, which NIH came to label “implementation science.” My wife, Judith Ottoson, did her doctoral dissertation at Harvard on that subject in the early 1980s, when it was still a fledgling subject, but it has gained respectability with the growing recognition that failures or disappointing results from presumably well-planned programs are implementation failures rather than planning failures, hence our added chapter on “Implementation” in this 5th edition and her emphasis in co-authoring the chapter on evaluation.
Planning is a team sport. You’ve had a marvelously productive collaboration with Marshall Kreuter over 5 decades and it no doubt tested your respective capacities to abide by some ambitious plans. What do you look for in planning teammates and what goes into robust and sustainable partnerships?
Yes, Marshall came to my attention when he was a professor of health education at the University of Utah, and he followed up our initial contacts with an expression of interest in my Postdoctoral Fellowship program at Hopkins. He was such a popular star among my colleagues, students and Fellows that following year that we invited him to join us as a co-author of the first edition, which was to reflect the NIH-funded studies we were conducting as early tests of the model in patient and community trials. What went into our robust and sustainable partnership was the good humor of all 4, Marshall, our wives, Judith and Martha Katz, who had worked with us at the Office of Health Information and Health Promotion and CDC, into our continued friendship and collaborations with second and subsequent editions as we came together at CDC and shared family vacations, and now in our respective semi- or pseudo-retirements.