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Protective Factors in Law and Economics

The concept of protective factors - as being positive moderators of risk or adversity (Masten & Wright, 1998: 10) - owes its existence to the wish to explain the curious fact that some people experience positive outcomes in the face of highly adverse conditions. Some heavy smokers, e.g., live in good health until their 90th birthday and beyond in spite of the adverse condition of inhaling highly toxic smoke. Similarly, there are some young boys who grow up under adverse conditions (such as a gang-ridden, violent, and disorganized neighborhood), but keep away from delinquent careers and become respected members of conventional society. Criminological research into such cases reveals a number of protective factors that shield those youths from the impact of adverse environmental conditions, such as low extraversion, low neuroticism, parental harmony, few friends, mother having a full-time job; maternal discipline, parent interest in education, low impulsiveness; attendance at religious services, good family management by parents, and bonding to school.

The search for protective factors can also make sense in the world of law and economics, where illegal business opportunities can be seen as adverse conditions that might result in non-compliance with legal rules and regulations. While some economic actors might cede to the temptation of making an extra profit by non-compliance, others are able to resist even overwhelming economic temptations to break the rules, and they do so for some reasons other than deterrence and risk-aversion. In those cases, the characteristics or resources that help people reach a positive outcome in the face of adverse conditions could be called protective factors.

An actor's decision to either comply or not with the legal rules governing his economic activity is also influenced by non-material considerations: he does not want to lose the respect of his family, friends and colleagues, and he might also feel better maintaining his self-image as an honest business man and therefore experience it as a benefit to avoid taking ethically questionable actions. More systematically, we can distinguish four non-material influences that can account for the fact that some economic actors keep away from otherwise profitable acts of non-compliance, these being (1) the external and (2) the internal non-material benefits of compliance, and (3) the external and (4) the internal non-material costs of non-compliance.

An economic actor will be all the more likely to resist material temptations of non-compliance to the extent that he values (1) social respect of relevant others in the conventional world, (2) his ethical self, his self-esteem and self-affirmation (as long as they are linked to non-deviant values).

The actor will also be protected from non-compliance to the extent that he fears (3) negative responses from relevant others in case of non-compliance (social exclusion, loss of social status, ostracism), and (4) the more he is aversive towards his own negative self-evaluation in case of non-compliance (e.g., sensitivity with relation to developing a guilty conscience; high relevance of positive self-image).

Adopting the perspective that, besides economic wealth, people may also seek social respect and inner contentment, we can assume that the following would work as protective factors in favor of pro-compliance decisions by economic actors:

(1) social bonds to relevant others (parents, peers, role models) who are perceived as giving great importance to rule-compliant behaviour (attachment)

(2) belief in values favouring compliance; any actor is more likely to conform to social norms when he believes in them; the variation in depth and magnitude of their belief is seen as reliant upon the degree of identification with systems representing the beliefs in question (belief)

(3) commitment to compliance because of earlier investment in conventional life; If one were to have developed a positive reputation, earned a valuable education, raised a supportive family, and/or established a strong name in the business world, he would suffer a substantial loss by violating laws. The societal accumulations that one accrues throughout a lifetime represent assurance to society that this person is committed to conventional values. He has more to lose by violating laws. Not only can one be committed to conformity by what he has obtained, but the hope of acquiring goods through conventional means can reinforce one's commitment to social bonds (commitment)

(4) involvement in conventional activities can help to protect from indulgence into non-compliance (cautionary remark: white collar criminals have the time for crime because the are engrossed in work).


Definitions

General

In general terms, protective factors have also been defined as

  1. "resources - individual characteristics or environmental conditions - that minimize the impact of risk" (Frazer and Terzian 2005: 12)
  2. correlates of resilience that may reflect preventive or ameliorative influences.

They could also be seen as (conditions or resources, i.e.:) factors that

  1. shield from risk
  2. shield from the impact of adverse conditions, or
  3. reduce the vulnerability of individuals or larger social entities.

A combination of these approaches could define protective factors as factors that reduce the vulnerability of individuals or larger social entities to adverse conditions.

Protective factors are individual and/or environmental characteristics that reduce people’s vulnerability to adversities such as natural, health, or moral hazards.

Specific

With reference to specific objects (like health, delinquency etc.) protective factors have been defined as

  1. "factors that predict desistance from offending in populations of known delinquents", whereas risk factors are factors that predict later offending, and promotive factors predict the absence of offending"(Loeber 2012)
  2. "Faktoren, die die Wirksamkeit von Risikofaktoren und die dadurch ausgelöste erhöhte Verletzlichkeit für Abweichungen, Auffälligkeiten und Beeinträchtigungen abschwächen können" (Böhnisch 2001).

Law-abidance by economic actors:

"factors that cause non-material benefits (utility) in the case of compliance and non-material costs in the case of non-compliance with legal rules."

Posttraumatische Belastungen (Matthew Tull 2008):

"etwas, das die Verletzbarkeit (Vulnerabilität) im Hinblick auf die Entwicklung einer Störung verhindert oder vermindert."

Kindeswohl (US-Gesundheitsministerium):

"Protective factors are conditions or attributes in individuals, families, communities, or the larger society that, when present, mitigate or eliminate risk in families and communities that, when present, increase the health and well-being of children and families. Protective factors help parents to find resources, supports, or coping strategies that allow them to parent effectively, even under stress."


Concept

Conceptually, protective factors can be seen as

  1. marking one end of a single risk scale the other end of which is being marked by risk factors (to score high on protective factors equals showing low marks in terms of risk)
  2. being independent of risk factors (a person could score high on both risk and protective factors)
  3. predicting desistance from offending in populations of known delinquents (whereas risk facoone in three options:

A third possibility is to distinguish between three kinds of factors. According to Sameroff (1999; Sameroff & Gutman, 2004), distinguish between promotive, protective, and risk factors. Promotive factors refers to attributes or characteristics that have positive effects on people’s lives, irrespective of the level of risk exposure (high intelligence has a direct effect on child and adolescent outcomes).

Hence:

  • protective factors predict desistance from offending in populations of known delinquents", whereas
  • risk factors are factors that predict later offending, and
  • promotive factors predict the absence of offending.


read: http://www.crim.cam.ac.uk/people/academic_research/maria_ttofi/pub8.pdf



As a buffering agent they moderate the exposure to risk, i.e. they reduce the vulnerability of individuals or larger social entities to negative influences (harm).

They interact with risk factors present in individuals or their social environment. They operate in three ways, by serving to

  1. reduce or buffer the impact of risk in a person's life
  2. interrupt a chain of risk factors that may be present in an individual’s life (e.g., disrupt a potential chain of risk that begins at a point in time and leads to involvement with illegal practices), and
  3. prevent or block the onset of a risk factor.

Protective factors exist on several levels, e.g. individual, micro-social (friends and family), and macro-social (prevailing social norms and values). Therefore, one may look for them on the genetic level and in the process of socialization. In the latter, the level of support and care from a parent or other adult at an early age is important - as is the quality of a child’s school experience, not to forget his or her general personal and social competence, such as feeling in control and feelings about the future. At the family level, factors include a history or lack of substance use; the effectiveness of family management, including communication and discipline; the structure of coping strategies; the level of attachment between parents and children; the nature of rules and parental expectations; and the strength of the extended family network. Adolescents who have a positive relationship with their parents and whose parents provide structure and boundaries are less likely to use substances.

Depending on the harm in question - the occurrence of crime, criminal victimization, infections, traumas and the like - different conditions may be identified as being protective. With regard to child welfare, these are the most commonly identified protective factors (Jenson, Frazer: 14):

  1. Environmental Factors: Opportunities for education, employment, andotherpro-social activities Caring relationships withadults or extendedfamilymembers Social support from non-family members
  2. Interpersonal and Social Factors Attachment to parents Caring relationships with siblings Low parental conflict High levels of commitment to school Involvement in conventional activities Belief in pro-social norms and values
  3. Individual Factors Social and problem-solving skills Positive attitude Temperament High intelligence Low childhood stress

If, e.g., adolescent drug use is seen as a negative influence, one would study the factors associated with significantly higher/lower probabilities of young persons' intake of drugs (risk factors/protective factors). With regard to drug use, e.g., the following factors were identified as being protective: a positive relationship with parents who provide structure and boundaries, a positive school environment and positive relations with teachers, regular attendance, and good grades, plus: having spiritual beliefs.

In the presence of economic temptations to break legal rules, protective factors have the potential to shield actors from rule-breaking (e.g. from committing economic crimes) by causing non-material benefits (utility) in the case of compliance and non-material costs in the case of non-compliance with legal rules.


A protective factor shields from the impact of adverse conditions. It may contribute to the ability of an individual to be well adjusted and interpersonally effective in the face of an adverse environment. Like the term resilience, the concept of protective factors refers to conditions or attributes (skills, strengths, resources, supports or coping strategies) in individuals (but sometimes also families, communities or the larger society) that help them deal more effectively with threats to their well-being. While there is considerable overlap between the two terms, it is sure to say that protective factors are more often associated with outside conditions, whereas resilience is largely seen as a mainly internal characteristic.


the concept of protective factors refers to ” (Spooner, Hall and Lynskey 2001) - . Davis (1999) reviewed the literature on resilience and grouped the characteristics of resilient individuals into physical, social, cognitive, emotional, moral, and spiritual competence.The term refers to Hence, protective factors mitigate or eliminate the undesired consequences of the presence of risks. In other words, a protective factor prevents or reduces the vulnerability of an entity.

Examples:

  • Violence: While growing up in a violent neighborhood carries a high risk for young people to become delinquent, some youngsters may nevertheless be protected from drifting into deviance by strong social bonds to relevant others with non-delinquent attitudes and behavior. These bonds then function as a protective factor.
  • Trauma: While criminal victimization is known to be a "traumatic event", the development of a traumatic syndrome is not inevitable. On the one hand, it depends on risk factors such as the exact type of traumatic event, the victim's personal history - e.g. of mental illness - and the victim's response at the time of the event. On the other hand, resilience and recovery seem to be promoted by:
  • the ability to cope with stress effectively and in a healthy manner (non-avoidance)
  • being resourceful and having good problem-solving skills.
  • being more likely to seek help
  • holding the belief that there is something you can do to manage your feelings and cope
  • having social support available to you
  • being connected with others, such as family or friends
  • self-disclosure of the trauma to loved ones
  • spirituality
  • having an identity as a survivor as opposed to a victim
  • helping others.
  • finding positive meaning in the trauma.

"All of these characteristics distinguished those who were able to recover from a traumatic experience and those who may have developed PTSD or other problems following a traumatic experience. Think of these protective or resiliency factors as a foundation for recovery. The stronger these factors, the more likely they will be able to shore you up during times of extreme stress. It is important to realize that the majority of the factors identified above are under your control. That is, you can develop these characteristics. Establish close and supportive relationships with others. Learn new healthy ways of coping with stress. Start helping others in your community. Seek help for any difficulties you may be experiencing. Experiencing a traumatic event can have a major disruptive impact on a person's life. You can be a survivor and start taking the steps to take your life back" (Tull 2008 referring to Agaibi & Wilson 2005).

Factors that have been shown to have a protective potential are, among others, material well-being, a high intelligence, a positive self-image and high degrees of self-confidence and social integration (network of family and friends). This does not preclude the risk, however, of a generally protective factor like intelligence or self-confidence to turn into a risk factor (very high intelligence might make vulnerable to depression; very high self-confidence might encourage problematic risk-taking).


Die intrapersonal Ressource der Resilienz findet häufig ein Umweltkorrelat in der Form protektiver Faktoren, die trotz existierender Risikofaktoren einen Schadenseintritt verhindern oder abschwächen können. Allerdings kann ein protektiver Faktor unter Umständen selbst zum Risiko werden (Bsp: Intelligenz, Selbstbild, Selbstwertgefühl, soziale Beziehungen). In der Sozialpädagogik gelten z.B. Selbstvertrauen und Anerkennung im Rahmen konformer Lebensführung als protektive Faktoren zur Verhinderung des Abgleitens in problematischen Drogenkonsum, Delinquenz etc. Böhnisch (2001). In der Gesundheitswissenschaft gilt z.B. die Selbstwirksamkeitserwartung als protektiver Faktor gegen Krankheitsrisiken.

Inhaltsverzeichnis [Verbergen] 1 Definitionen 2 Faktoren 2.1 Personale Faktoren 2.2 Soziale Faktoren 2.3 Ambiguität 3 Resilienz 4 Literatur und Weblinks 4.1 Kindeswohl, Drogen, Gewalt, Kriminalität ... [Bearbeiten] Definitionen


Was das Wohlergehen von Adoptivkindern angeht (Risiken: Selbstverletzungen, Delinquenz, Drogenmissbrauch, Diebstahl) so wurden zwei protektive Faktoren gefunden: ein präzises Verständnis der Adoptiveltern von den medizinischen und verhaltensmäßigen Problemen ihres Adoptivkindes aus der Zeit vor der Adoption das Vorhandensein von professioneller Unterstützung im neuen Zuhause der Adoptivkinder Die Bielefelder Invulnerabilitätsstudie stellte fest, dass resiliente Schüler oft auch von protektiven Faktoren innerhalb und außerhalb der Familie profitieren: feste Bezugsperson außerhalb der Familie zufrieden mit der sozialen Unterstützung bessere Beziehung zur Schule harmonischeres und normorientiertes Erziehungsklima Ein Faktor in der Familie ist eine feste Bezugsperson, die ein sicheres Bindungsverhalten mit dem Kind entwickeln kann. elterliche Aufsicht wurde im Worcester Family Research Project gemessen („parental monitoring“). resiliente Jugendliche schaffen sich protektive Faktoren durch ihre Fähigkeit, „soziale Unterstützung zu mobilisieren und zu nutzen“. resiliente Kinder haben auch Freunde im gleichen Alter. resiliente Jugendliche gehen gerne zur Schule. [Bearbeiten] Faktoren

A number of protective factors for PTSD following the experience of a traumatic event have been identified. What increases the likelihood that someone will develop PTSD following a traumatic event? - Less research has been conducted on what protects someone from PTSD and other problems after the experience of a traumatic event. -

"However, there are many other factors of resilience and vulnerability than wealth or poverty, or academic success or failure. Psychological well being is a term that is used to describe a holistic wellness, including thoughts, feelings, behaviors, and physical health. In early human development research, Jean Piaget (2000, 2008) describes development as the process of intelligent thought and autistic (or subconscious) interacting with external and internal environments. The genetic and biological individual adapts to environmental conditions in the best way possible in order to have physical and emotional needs met. Erik Erikson (1994, 1997) describes development as a series of dilemmas negotiated over the lifespan; the positive or negative resolution of these dilemmas results in some degree of health or illness. Abram Maslow (1971) studied individuals who embody examples of psychological wellness, and called psychologically well people 'self- actualizing'; those people who are psychologically and physically healthy are able to work toward fulfilling their best potential. Hauser (1999) and Ponterotto, Costa-Wofford, Brobst, Spelliscy, Kacanski and Scheinholtz (2007) describe psychologically healthy people as those who have a high degree of autonomy and environmental mastery; a belief that one has some control over what happens to them in the world; self-acceptance and an integrated sense of self; a purpose in life; and positive relationships with other people. In these examples, the wellness factor is illustrated by people who have successfully negotiated life’s challenges and who are defined as successful by their own belief system and cultural values. People who are able to successfully negotiate these challenges in the face of hardship are resilient; resilience in turn is psychological well being. These authors have not addressed the definition of psychological well being in different cultural contexts, but assume that success is manifested in emotions, cognition, and behaviors which are culturally accepted as positive adaptation" (Peterson 2011). [Bearbeiten]Personale Faktoren Kommunikations- & Problemlösefähigkeiten Nutzung von Talenten Realistische Kontrollüberzeugungen Selbstvertrauen durch Überwindung von Krisen Selbstwirksamkeit Flexibilität Sinnhaftigkeit des Handelns [Bearbeiten]Soziale Faktoren enge Bindung mit einer kompetenten und stabilen Person Familienklima: klare Strukturen/Regeln, Gefühlsoffenheit *relative Autonomie Lehrer als Vertrauensperson Schulklima, klare Strukturen/Regeln, Individuelle Unterstützung *Zugehörigkeitsgefühl positive Rollenvorbilder [Bearbeiten] Ambiguität Ambiguität der Intelligenz: Hohe Intelligenz schützt vor antisozialer Auffälligkeit Hochintelligente Söhne straffälliger Väter werden seltener straffällig. Sie sind in der Lage zu planen, negative Konsequenzen vorherzusehen, nicht-aggressive Verhaltensalternativen zu entwickeln und Konflikte verbal zu lösen. Aber: Hohe Intelligenz kann das Risiko für Depressivität und internalisierende Störungen erhöhen Intelligente Personen haben eine differenzierte Umwelt- und Selbstwahrnehmung können leichter Misserfolgserwartungen entwickeln Lassen sich schwer vom Gegenteil überzeugen Ähnliches gilt für Selbstwertgefühl/Selbstvertrauen: SW & SV protektiv gegen Aggressionen und Antisozialität Bei sehr hohem SW Risiko für Aggression Ursache: Abwertung anderer Personen; Gefühl, nicht angemessen respektiert zu werden; Gefühl, negativ behandelt zu werden [Bearbeiten] Resilienz

Im Gegensatz zu protektiven Faktoren handelt es sich bei der Resilienz (Widerstandsfähigkeit) um eine personelle (in der Person liegende) Ressource. Aber: Resilienz wird nicht mehr generell als unveränderbare Persönlichkeitseigenschaft gesehen. Sie bezeichnet in erster Linie einen temporären Zustand und ein Bearbeitungsergebnis. Zustand, der gekennzeichnet ist durch eine erhöhte Bearbeitungskapazität für Risiken und die daraus resultierende Perspektive, auch mit künftigen Risiken umgehen zu können Basiert auf dem Erkennen eigener Ressourcen und der Mittel und Wege, sie funktional einzusetzen Nicht einzelne Faktoren, sondern Kompetenzen Finden von Ressourcen Einsatz zur Erreichung sozial anschlussfähiger Ziele Flexibles Zielmanagement The belief then is that every child capable of developing a resilient mind-set will be able to deal more effectively with stress and pressure, to cope with everyday challenges, to bounce back from disappointments, adversity, and trauma, to develop clear and realistic goals, to solve problems, to relate comfortably with others, and to treat oneself and others with respect” (Goldstein u. Brooks 2006, S. 4) Wichtig für Resilienz sind (vgl. Gebhardt 2008): hohe Selbstwirksamkeit(serwartung) realistische Kontrollüberzeugung (Unterscheidungsfähigkeit zwischen kontrollierbaren und unkontrollierbaren Problemen) adaptive Attributionsstile (Ursachen für Ereignisse werden selbstwertschützend interpretiert, Gründe für negative Ereignisse werden außerhalb der eigenen Person gesehen, Gründe für positive innerhalb) rationale Denkmuster (Fähigkeit auf negative äußere Ereignisse mit kognitiven Präferenzen anstatt mit absoluten Forderungen zu reagieren). Man sieht die Welt positiver, hat ein Gefühl des Optimismus und eine gelassene Gemütsverfassung.

Literature and Weblinks

  • Bynner, John (2006) Childhood risks and protective factors in social exclusion
  • Luthar, Suniya S. (ed.) (2003), Resilience and Vulnerability, Cambridge: Cambridge University Press (p. 377 valuable terminological considerations).
  • David P. Farrington, Rolf Loeber, and Maria M. Ttofi (2012) Risk and Protective Factors in Offending. The Oxford Handbook of Crime Prevention
  • Loeber (ppt): Kids not cons
  • Masten, A. S. & Wright, M. O. (1998). Cumulative risk and protection models of child maltreatment. Journal of Aggression, Maltreament and Trauma, 2, 7-30. Reprinted in B. B. R. Rossman & M. S. Rosenberg (Eds.), Multiple victimization of children: Conceptual, developmental, research and treatment issues (pp. 7-30). Binghamton, NY: Haworth
  • Peterson, Robin (2011) Tanzania..
  • Reilly, T. & Platz, L. (2004). Post-adoption service needs of families with special needs children : Use, helpfulness, and unmet needs. Journal of Social Service Research 30(4)51-67.
  • Rutter et al., Resiliency and protective factors
  • Salutogenesis and the Promotion of Positive Mental Health in Older People EU Thematic conference “Mental Health and Well-being in Older People - Making it Happen” 19th- 20th April 2010, Madrid Darin: Salutogenesis is a concept derived from the work of Antonovsky (1) (2) and is concerned with exploring the origin of health. Antonovsky’s particular research focus was on the search for factors that keep people healthy, especially those in difficult circumstances, as opposed to investigating the reasons for ill health. The salutogenic approach has been described as a deep personal way of being, thinking and acting, a feeling of inner trust that things will be in order independent of whatever happens (...) core salutogenic concepts are generalised resistance resources (GRRs) and a sense of coherence (SOC). GRRs are biological, material and psychosocial factors which make it easier for people to understand and structure their lives. Typical GRRs are money, social support, knowledge, experience, intelligence and traditions and there is significant overlap between those GRRs identified and “protective factors” for mental health identified in the discipline of psychology.
  • Simmel, C. (2007). Risk and protective factors contributing to the longitudinal psycho-social well-being of adopted foster children. Journal of Emotional and Behavioral Disorders,15(4), 237-249.
  • Spooner, Catherine, Hall, Wayne, and Lynskey, Michael Thomas (2001). The Structural Determinants of Youth Drug Use. Canberra
  • Key Features of Risk and Protective Factors. Massachusetts, Government ....
  • Understanding Risk and Protective Factors ...
  • UNO: Violence against women and girls
  • Werner, Emmy E. & Smith, Ruth S. (1992) Overcoming the Odds - High Risk Children from Birth to

Adulthood. Cornell University Press, Ithaca, NY.

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