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ELSEVIER Patient Education and Counseling 33 (1998) 49-58

Patient education and health promotion: clinical health promotion -


the conceptual link

Martin Caraher*
Wolfson School of Health Sciences, Thames Volley University. 32-38 Uxbridge Rood, Ealing. London W5 2BS. UK

Received 10 January 1996; received in revised form 20 January 1997, accepted 3 February 1997

Abstract

A model linking health promotion, health education and patient education is presented. Claims to health
education being distinguishable from patient education on the basis of setting and working with well, as opposed to
sick. individuals are disputed. Many health education encounters create the role of prom-patient for the individual
receiving care. A further distinction is made between patient education and clinical health promotion on the basis
of the focus of care as seen by the professional. The linking elements in the model are those of the patient role and
relationships adopted, another distinction is seen in the area of the focus of the encounter. Traditional patient
education focuses on the disease process whereas clinical health promotion emphasises the place of illness in the
persons life and looks to influence non-medical factors that impinge on the disease. @ 1998 Elsevier Science
Ireland Ltd.

Keywords: Health education; Health promotion: Clinical health promotion; Patient education; Relationships;
Motivation

1. Introduction dition specific [l]. This offers no clarification or


analysis of the relationship between the two.
Patient education is often viewed as the poor Others base the difference on the location of the
cousin of health promotion. It suffers from being activity or the status of the individual receiving
viewed as a less skilled form of health promo- care. Many of the reviews of health promotion
tion. There are assumptions that patient educa- seek means of analysis which exclude patient
tion is distinguishable from health promotion but education as a legitimate form of health promo-
the basis of these distinctions is not always made tion. This is often on the basis that health
clear. One popular distinction is summed up by promotion is to do with the promotion of health
the statement that patient education is con- and well individuals whereas patient education is
about sicknessand the treatment of unwell
*Corresponding author. Tel.: + 44 181 2805060: fax: + 1 individuals. As Hellstrom notes policy makers
__ 181 93X646. and people in general are prone to hold that

0738-3991/98/$19.00 @ 1998 Elsevier Science Ireland Ltd. All rights reserved.


PII SO738-3991(97)00055-4
50 M. Caraher I Patient Education and Counseling 33 (1998) 49-58

health promotion. too. exclusively deals with the **condition-specific education with patients. Fre-
prevention of illness and diseases within a popu- q u e n t l y focused on tertiary levels of prevention
lation ( [2]. p. 248). Such a view seeks to locate but includes activities directed to primary and
patient education outside the remit of health secondary prevention (p. 150). It is also signifi-
promotion. This article by using the term clinical cant that the first part of the above quote is
health promotion shows how these objections frequently acknowledged but the second is ig-
can be overcome by making a link to the princi- nored or passed over. Tones and Tilford do not
ples contained in the Ottawa Charter and outlin- go on to say how patient education can also
ing how it can contribute to the promotion of include activities at primary and secondary level.
health [3]. Many critiques of health promotion relate to the
A recent edition of Patient Education and fact that it is focused on specific diseases and
Counselling introduced the term clinical health concerned with prevention of disease rather than
promotion [4]. This was related to health promo- the promotion of health, so even health promo-
tion with patients carried on in a clinical setting tion is subject to the same critique of being
and incorporated both health education and illness and diseased focused [8,9].
patient counselling aimed at behaviour change in This article sets out the development of health
patients at risk for lifestyle related illnesses [4]. promotion and analyses the relationship between
In the same edition of the journal the term was patient education and health promotion by ex-
used in different articles to mean different things, amining the intermediate process of health edu-
some equating it with old style patient education cation. In attempting this, the case is put forward
others with health education in a primary care that much of the work primary care staff call
setting [5,6]. A clearer distinction came in the health education, whether carried out by doctors
editorial of the same issue where Herbert, Visser or nurses, does not differ in its application from
and Green [7] noted that clinical health promo- that of hospital based staff. Both it is argued are
tion. we believe, predisposes, enables and re- concerned with a focus on secondary care. the
inforces patients to take greater control of the patient role and a model of health which is based
non-medical determinants of their own health on a medical or disease prevention approach to
(p. 224). Using this notion of non-medical deter- health promotion. From this base distinctions are
minants a distinction is made between patient made between the new term clinical health
education and clinical health promotion. This promotion and patient education. The intent of
focus proposed by Herbert Visser and Green the article is to draw in those professionals in
locates disease within a larger framework where- secondary and tertiary care areas who feel that
as patient education focuses on disease as the health promotion is the preserve of community-
prime object. An attempt is made to apply the based and specialist health promoters but also to
principles of the Ottawa Charter to the area of help expand the scope of all patient education in
patient education, so that the focus is not the broadening the focus of the intervention. In
disease itself but disease within the larger remit doing this it becomes clear that many activities
of life. The Ottawa Charter when talking of called health education are in fact closer to
health notes that "[h]ealth is therefore seen as a patient education.
resource for everyday life and not the objective
of living [3]. In a similar way disease is not the
primary focus of clinical health promotion but 2. Health promotion as an umbrella term
merely another component (maybe one to be
overcome) in helping people to cope with every- Dines and Cribb [10] describe health promo-
day life. tion as a concept that encompasses health
Tones and Tilford [l] distinguish between the education and all the other routes to health (p.
various elements by means of categorisation and 28). They describe this in colloquial terms as
definition. they note that patient education is health promotion being health education plus ".
M. Carahar I Patient Education and Counseling 3 3 (1998) 49-58 51

This assumes that health education is part of primary care will be examined as Herbert et al.
health promotion. What the relationship consists [7] suggest that this is the area through family
of. is not clear and it does not make clear what physicians that offers most hope of implementing
health promotion or health education itself is. their view of clinical health promotion.
This approach to health promotion as an over-
arching umbrella term including within its remit
all lesser concepts, is one that is commonly used.
It means that health promotion is defined by the 3. Health education in primary care settings
sum of its parts rather than having to be defined
in its own right. At first glance many community and primary
There is a tendency to reduce health promo- care activities fit easily under the health promo-
tion activities to the skills required to carry out tion label. They involve well people and occur
the activity [ll]. This does not take account of outside an institutional setting. Such a view
roles or relationships. The current emphasis in neglects the impact of the patient role and model
primary care is on the implementation of screen- of operation used.
ing programmes, the focus of which is the early Many of the activities in community settings
detection of disease processes and their treat- are based on the notion of detecting and treating
ment [12]. This tension is reflected by calls for disease and as such are an extension of hospital
patient education to focus on the chronic sick as activities to community settings [15.16]. The
opposed to the worried well. Eijk [6] for example intrusion of screening into all areas of life has the
calls for a focusing of health promotion on potential to turn well individuals into patients or
patients with a chronic disease. Le Touze and the term preferred here proto-patients. This is
Calnan report on the tendency of general prac- similar to arguments in sociology over the sick
titioners to focus their efforts on risk factor role, in order to occupy the sick role you do not
identification and screening [13]. Herbert [4] have to be sick, similarly with the patient role
contends that health promotion activities only you do not necessarily have to have an illness or
form a small part of physicians work in North disease. The attitudes of professionals and the
America and that attempts are currently under context of care may encourage or even force
way to increase it. From Canada Collins (141 individuals into the patient role. The patient role
reports on the concern with shifting existing is not an objective reality but rather a social one
health care emphasis from disease process to the determined by social and contextual situations.
role of social determinants of health. This article Lupton [12] argues that the medical model is all
takes up this latter theme and suggests that social invasive and that the intrusion of the model into
determinants are not just a concern at a macro- all areas of life results in areas and conditions not
level of operation but also should be a concern of previously under the gaze of medicine being
micro-level process such as health education or medicalised.
patient education. Dines [17], in her analysis of health education
It seems churlish to suggest that. while disease and nurses in primary care, suggests that
and illness exist, approaches based on dealing
with ill health and illness are not valuable and nurses may not be assuming individuals have
necessary endeavours or indeed that patients do full control over their health status, if it is
not welcome such approaches. The argument accepted that to speak of health education at all
here is their place within the rubric o f health is to be referring to that part of the deter-
promotion and what constitutes the various ele- minants of health over which the individual
ments. Efforts to prevent disease and further has some control. (p. 221).
suffering deserve a place within the rubric of
health promotion. as the prevention and allevi- This appears to rule out any radical form of
ation of disease contribute to health. The area of health education concerning the determinants of
M. Caraher / Patient Education and Counseling 33 (1998) 49-58

health. The danger with this approach is that are due to the structuralist position doctors and
nurses. in common with other professionals. other health care providers adopt in their at-
reduce presenting conditions to nursing agendas tempt to maintain a social distance from patients
because the nurse rather than the client has no in order to be seen as experts. Equipping profes-
control over social issues [18]. So the nurse sionals with skills may further increase this gap
decides what areas the client has control over and disadvantage patients.
and only deals with these or turns them into The notion that health education and patient
concerns that may be dealt with. Dines [17] gives education are different is not disputed here: what
the example of poverty and suggests that nurses is being argued is that many of the activities
do not tackle poverty as it is outside the in- termed health education in the community set-
fluence of the nurse. Another way of viewing this ting are more aptly termed patient education.
is that nurses do tackle poverty, teaching in- This is because they focus on disease patterns
dividuals or families to cope within the limits of and individual causality and seek explanation in
their poverty. Again it may be that poverty is the realm of the medical and scientific rather
reinterpreted as lifestyle and behavioural issues. than the social.
This deals with the issue from an individualistic The idea that patient education is authoritative
perspective and does not help people understand is a stereotype, and while it may be the dominant
the cause of their ill health. A radical approach approach to patient education, it is not the only
to health education would incorporate both ele- one. The notion that all community health edu-
ments [19]. This may help individuals understand cation practice is facilitative and based on clients
why there are limits to their choice rather than needs is also a stereotype. As Labonte [21] notes
encouraging them to cope within the limits of
their choice. Waitzkin argues that this is because Whether health care was based in doctors
social factors cannot be controlled by the profes- offices. hospitals or public health units. the
sional and threaten the power relationships in emphasis remained on treating or preventing
the encounter. Social factors are reinterpreted disease by correcting problems in the mechani-
into the hegemony of the encounter which is a cal functions of the body. (p. 4).
medical and disease driven ideology. According
to Waitzkin [18] social factors presented by The concepts underlying health education prac-
clients or patients in medical encounters are not tice and more recently health promotion have
explored in any great depth. They are absorbed been as much influenced by medical notions of
within the dominant discourse and reinterpreted health as any broader socioenvironmental ap-
in this light. Non-medical determinants of health proach. The major approach to health deter-
as represented by poverty and social class are minants has been based on the medical model
reinterpreted within medical and health care which is concerned with the absence of disease or
encounters as factors such as lifestyle or be- infirmity and the health determinant becomes
haviour. where they can be viewed as risk factors that which causes disease. Such an approach to
rather than indicative of risk. Stacey says the health education is probably not surprising with-
indicators of risk end up being considered the in a hospital setting given the dominance of the
risk and can be used as labelling or stigmatising medical model and the presentation of disease
devices rather than as analytic categories [20]. and illness. The fact that much health promotion
This is largely due to the inability of health care and education in the community has been based
providers to have any influence on social and on a similar model of operation has been over-
cultural matters. So structural issues such as looked. This is in opposition to the view of the
poverty become issues of lifestyle or behaviour WHO that health promotion should focus on
which are seen as amenable to change. Waitzkin identifying and enabling individuals to control
[18] and Lupton [12] argue that such behaviours the determinants that influence health [3]. The
contention is that such an approach is based education which focuses on illness reorient itself
more on attitudes and perceptions than skills. to a broader focus possibly that offered by
clinical health promotion.

4. The influence of the Ottawa charter


definition 5. Patient roles and expectations

The definition of health promotion by the The vulnerable state of the patient and the
World Health Organisation [3] in the Ottawa role of the patient are two distinguishing features
Charter as "the process of enabling people to that set patient education apart. Another dis-
increase control over and to improve their tinguishing feature is the location of the activity.
health still seems to locate health at an in- These on their own are insufficient to afford a
dividual level. Structural changes are seen to be distinguishing analysis of the situation. Many
necessary in order to help individuals make documents see primary care as the appropriate
healthy choices rather for any direct impact they setting for health education and health promo-
may have on health. The danger with the above tion [26.27]. Indeed the shift of health care
definition and model of operation is that because resources would seem to help this process.
of its lack of making explicit its operationalising
principles it is subject to interpretation. As 5. I. Settings and roles
Collins [14] points out in the move from health
care to health promotion the absence of an Tones and Tilford [l] contend that patient
explicit conceptual model of health. has the education may occur in primary, secondary or
potential to focus only on parts of the problem tertiary care settings so the setting itself may not
(p. 317). This is what has happened with patient be an indication of whether it is patient or health
education. the part focused on has been the education. The key feature may be whether the
disease process with the absence of a focus on individual is viewed as a patient or client and this
social factors or social factors being regarded as is heavilv dependent on the reason for the
mere fodder for the clinical encounter. Health consultation. whether it is illness, screening or for
promotion concentrates on the individual as the the promotion of health. It has already been
prime focus for its attentions: in England this argued that most consultations are not for the
tendency has been reinforced by the Health of purpose of promoting health but are concerned
the Nation which emphasises individual lifestyle with treating existing illness or detecting early
and behaviour ignoring issues such as depriva- signs of future illness. In terms of health educa-
tion and inequity [22-25]. The focus on indi- tion practice it results in a form of health
viduals is not a problem in itself. the reality is education which is based on an authoritative and
that most health care professionals work with domineering approach. This may be more appro-
and will continue to work with individuals. The priately termed patient education as the focus is
problem occurs when this becomes individualistic on disease detection and the unwell. It is char-
to the exclusion of social factors and the domi- acterised by the patient role and by being profes-
nance of the disease model. This reduction of the sionally led regardless of the setting in which it
encounter to this micro political level as Lupton occurs.
[12] notes allows doctors and patients to ignore The other distinguishing feature between
the social and political context in which such health education and patient education is said to
encounters take place (p. 107). The principle be the difference in control exercised by patients
enshrined in the Ottawa Charter of looking or clients. more control is believed exercised by
beyond disease to the total needs of the in- the individual in the health education scenario.
dividual as a whole person, require that patient This leads to the belief that patient education
54 M. Caraher / Patient Education and Counseling 3 3 (1998) 49-58

offers little opportunity to the patient to education. It also runs the risk of being criticised
negotiate the agenda or to exercise control and for being focused on the needs of the nurse and
indeed in many ways the agenda is set or framed the professional agenda and thus contributing to
by the presenting condition. This does not mean the stereotype of patient education as being
that negotiation cannot take place on how the authoritative. This is similar to the criticisms of
patient and his/her family want to take it for- health education in the late 1970s and early 1980s
ward [28]. The patient role is disempowering and which led to the demise of health education as a
this is partly due to the institutional issues and separate discipline and its replacement with
also because the patient in some instances desires health promotion as the dominant paradigm [9].
it to so [29,30]. As Parsons [31] notes of the As Gott and OBrien [l 1] note:
patient role there might be, more generally than
had been believed an element of motivatedness Making people more effective communicators
not only in the etiology of the pathological is a dangerous and maybe dishonest business.
condition but also in the maintenance of it (p. It promotes token participation and part-
18). This leads on to examining this single view nership in work with clients (p. 141).
of patient education as being concerned with one
approach. Beattie [34] puts forward a similar argument with
relation to counselling when he points out coun-
5.2. Patient education as communication skills? selling can still be accused of victim blaming if it
ignores issues of social influences on health as he
Rather than the wide divide between health says.
promotion in hospitals and community we now
begin to see similarities and overlaps. Also rather . . . . ..it may be more disposed than are persua-
than as Delaney suggests health promotion sion methods to grant the client an active role.
clinics being based on a model of health educa- its emphasis is clearly almost exclusively on
tion, it may be more appropriate to suggest that helping individuals to cope (rather than to
most of the practice is based on a model of change their circumstances). and it therefore
patient education [32]. This is because the em- does not escape the charge of victim blaming
phasis is on disease the role of the professional in even if it is a more benign version (p. 175).
imparting knowledge for the management of the
disease process and the patient role. Accusations of counselling offering middle class
Gott and OBrien [ll] noted the overemphasis solutions and perspectives to problems are com-
in nursing and health promotion on the acquisi- mon. As Beattie notes counselling does little to
tion of skills and the imparting of facts and help people change circumstances merely to cope
information. Many of the studies of patient within the limits imposed by them.
education in hospitals focus on the issue of
communications and the imparting of skills. 5.3. Patient education as a process
typical of this are the definitions offered by
Luker and Caress [33] who define patient educa- The notion that patient education is only about
tion as the imparting of information or skills is limiting.
It also suggests that there is only one typology or
the imparting of information. skills or knowl- form of patient education. This is in contrast to
edge by the nurse. with the aim of bringing others who suggest that there are a number of
about demonstrable behavioural or attitudinal types [1.35,36]. Both Caraher and Tones and
changes in patients. Tilford use the typology devised by Roter [36].
In this typology. three approaches to patient
The problem with this definition is that it limits education are offered or suggested: authoritative
by its specificity that which constitutes patient guidance. active participation and independent
M. Caraher / Patient Education and Counseling 33 (1998) 49-58 55

decision making. Caraher [35] describes how problem arises if this is carried on into the
these three typologies exist in relation to one recovery stage where the patient does not accept
another and how. in a patient/nurse encounter, the responsibility for his or her recovery, choos-
the three can exist and build on one another ing instead to locate this responsibility in the
together adding up to a health promoting en- nurse. This is why patient education is a process
counter. Labonte [21] describes this process of requiring a period during which power is handed
empowerment as transformative and argues that back to the patient. This process of empower-
professionals have to want to hand over power ment is to a large extent controlled by the nurse.
and that it not just in the hands of the patient as Empowerment is as much a process as an out-
consumer models of health care would maintain. come [21]. It is not just something that happens
The main point to note is that patient education but a process that is facilitated.
can be conceived of as not just one activity or
approach but as a number of different ap-
proaches either in isolation or combination. One 6. Role adoption
of the problems seems to be that patient educa-
tion is judged from the perspective of the domi- The fact that people come to hospitals seeking
nant paradigm of primary care and community technical help and advice and in a vulnerable
practice and how health education is conceived state makes it important to recognise the role of
within this area of practice. patient and all that this implies both for the
The issue of roles is important as individuals at nurse and patient. The classic sick role allows
this stage also occupy the role of patient. As patients to adopt a role, but it also allows the
defined by Parsons [37), the sick role disempow- health care provider to adopt the role of expert
ers individuals but also gives them rights and The form of patient education may at this stage
freedom from certain responsibilities. Many pa- therefore be medico-centered or based on
tients welcome this role and occupy it looking to expert input [1,39]. The fact that this is the
the nurses and other professionals to care for dominant paradigm of thought and belief in
them. Community nurses. on the other hand, relation to health and illness makes it appro-
deal with those who are not institutionally bound priate to use as a starting point. The issue of free
and who are at a different stage on the health choice is constrained by peoples social and
continuum. This also has a bearing on the power economic circumstances [18,23]. Free choice is
relationships between the individual and the constrained when people are sick regardless of
nurse: it switches from an passive-active role in their social circumstances, although it may be
the patient encounter to mutual-dependence in compounded by the presence of illness. The
the client encounter [38]. What is required is the knowledge and skills that nurses require are not
introduction of the mutual dependency relation- the same as patients requires for self care. So
ship into patient education. part of the process of empowerment is in work-
Delaney [32] points out that health promotion ing with the patient to determine what knowl-
is seen as a combination of activities b u t practice edge and skills they require. This may mark the
of any single one (especially health education) is shift from patient education to clinical health
denied the label. Similarly. many models of promotion and has implications for the relation-
health education or health promotion seem to set ship between the health care provider and pa-
out to exclude patient education from their tient.
remit.
An important issue to address is that patients
do not always remain dependent on the nurse 7. Relationships
and the institution. One of the rights of the sick
role as personified by the patient role is not to Health care is primarily about relationships
have to accept responsibility for the illness. A and moving from health promotion through
56 M. Caraher / Patient Education and Counseling 33 (1998) 49-58

health education to patient education means a cal mode! of operating and rely for their success-
change in the relationship from distance to one ful operation on the receiver of care occupying
of intimacy. As was noted earlier. the relation- the patient role and the health care provider
ship needs to incorporate elements of mutual being perceived as the expert. Patient education
dependency. This is due to the fact that the is also dominated by the professional knowledge
patient role usually involves some element of of the doctor or nurse and their expertise in
physical care and this is part of the role of a carer illness and disease. This is different to the exper-
the corresponding to the patient role and it has tise required to manage illness in the social
its own duties and obligations world. In the social world compliance is not just
Health education is that which occurs when a matter of medical knowledge but influenced by
individuals are not patients, this is not the same social and other non-medical factors.
necessarily as well individuals. we have seen that Clinical health promotion is an attempt to
we!! people can occupy the social role of patient break free of the constraints of the medical
while being we!!. The focus is on the promotion mode! and move to a focus on empowering
of health rather than the treatment of illness and individuals. Clinical health promotion according
the relationship is more intimate than that of the to Herbert, Visser and Green [7] predisposes,
health promotion scenario, but not as forma! as enables and reinforces people to take greater
in the patient education scenario. Many activities control of the non-medical determinants of their
carried out in primary care turn individuals into own health (p. 224). Hellstrom [2] talks about
patients. Screening for high blood pressure is helping people to establish their own health. In
aimed at detecting individuals at risk, once high order for this to occur illness and disease must be
blood pressure is detected the individuals established in the context in which it occurs. This
concerned become patients. So health education may equate to using patient education ap
has the potential to be iatrogenic by disempower- proaches based on active participation and in-
ing individuals and turning them into patients dependent decision making rather than au-
[40]. There is also a change in the relationship thoritative guidance.
between the health care provider and the in- Issues of context within patient education are
dividual receiving care. The patient /nurse role subjugated to the disease mode! and are used as
introduces elements of intimacy. if not of a part of the process of informing the expert of the
persona! nature certainly of a professional one limitations of the encounter. Many of the non-
and changing boundaries, roles and power rela- medical presenting issues are turned into medical
tionships. components to be dealt with in the encounter.
A significant proportion of health education What needs to occur is the location of the
practice is based on the principle of discovering encounter in this wider context of non-medical
these risk factors at an early stage and turning determinants rather than the other way round.
the possible into probabilities. This is especially So the focus becomes one of how we can help
true when the underlying principle is based on people cope with their disease and how it inter-
detecting problems in the mechanical functions acts with their lives rather than using aspects of
of the body [21]. The use of social indicators their lives to control the illness.
such as class are used to help the professional For example Close [41] says that patient edu-
structure the health education input rather than cation is about giving people information so they
being used to prepare the patient for the world can exercise choice. Clinical health promotion
outside the encounter. involves going beyond the encounter and the
expert/patient roles to a concern with working
with the patient. It implies a partnership mode!
8. Clinical health promotion of mutual interdependence in helping people to
focus outside the encounter and the disease to
All the foregoing show that both health educa- identifying non-medical factors that influence
lion and patient education are based on a medi- their health and also helping them identify pos-
M. Caraher I Patient Education and Counseling 33 (1998) 49-58 57

sible actions to influence and control these fac- on one model of implementation. Clinical health
tors. At the moment indicators such as the social promotion is an expansion of this process and
class of patients are used to inform the encounter not the introduction of a new way of education.
and guide the education input of the health care It is to do with the attitudes and approach of the
provider, these need to be expanded to inform health care provider to the encounter. It de-
the choice people have outside the encounter mands a new approach to roles and relationships
and inform the doctor or nurse take due cognis- being adopted.
ance of the social structural roots of their pa- Patient education still has a role as part of an
tients ill health ( [12], p. 110). overall health promoting process but if we want
to influence health then clinical health promotion
is the way forward. The practice of clinical health
9. Conclusions promotion is an option for all staff not just those
in community settings as claimed by Herbert,
Many of the assumptions used in other studies Visser and Green [7], although primary care staff
to distinguish between health education and may have some advantages over institutional
patient education have been explored and based staff. Clinical health promotion to borrow
proved to be lacking in analysis. The skills from feminist ideology makes the individual
involved are not substantially different. The encounter political by focusing beyond the en-
claims of health education to work with well counter and the disease, to life itself.
individuals ignores the tendency to create and
encourage adoption of the patient role within the
health education encounter.
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