Professional Documents
Culture Documents
in COA Research
MICHAEL WINDLE, PH.D.
or years common wisdom has ciated with COA status. Second, both ameliorate the frequency and severity
in New York are used to estimate the disorder) and other family members, signed selection criteria (e.g., two
number of COA’s. If the prevalence the results often range from only 30- first-degree relatives of the target parti-
of alcohol use disorders among par- to 60-percent agreement (Russell cipant had to live within 100 miles of a
ents is greater in New York than in 1990). Furthermore, in cases in which testing center) (e.g., Bucholz et al. 1996).
the rest of the Northeast region, then the target participant and other family The use of such a recruitment pro-
estimates of the number of COA’s members disagree, the direction of cedure will likely increase the partici-
based on the New York data would disagreement is consistent in that other pation rate by family members and,
overestimate the prevalence of COA’s family members tend to indicate lower hence, increase the precision of esti-
in the Northeast or any other less rates of disorder than the target partici- mates for alcohol use disorders.
intensive drinking region. Although pants. Thus, family members identi- Furthermore, precision is improved
probability sampling on a national fied by other family members as having not only because more family mem-
level would eliminate these sampling an alcohol use disorder are indeed bers directly report on their own alcohol
difficulties, estimates of the number highly likely to have the disorder. How- use behaviors, but also because the
of COA’s and the prevalence of alco- ever, a significant percentage of family probability of missing a nonparticipat-
hol use disorders among them may members with an alcohol use disorder ing member’s disorder may be reduced
still differ across studies because of are not appropriately identified with if multiple family members report on
differences in data collection strate- the family history method, which the nonparticipants’ alcohol use be-
gies and the instruments used to as- contributes to underestimates of alco- haviors. For instance, if four family
sess alcohol use disorders. holism in the general population and members report on the alcohol use of
consequently, the number of COA’s. a fifth member who is not participat-
Data Collection Strategies Because of the limitations of the ing in the study, at least two or three
family history method, the family of the four respondents may be able
The method of assessment used to and willing to provide accurate data
identify alcoholics is another factor that study method is a more effective ap-
proach for obtaining a reliable assess- on the nonparticipating member.
potentially influences the differences To date, most research studies on
across studies in estimates of the preva- ment of the prevalence of alcohol use
disorders. Although this method is COA’s have relied on the family his-
lence of COA’s. At the family assess- tory method because of practical con-
ment level, two of the methods most preferred scientifically, it is often
difficult to implement in practice, straints. Subsequent research studies,
frequently employed are the family however, may turn to alternative hy-
study method and the family history because it involves a direct interview
with each family member. In addition brid approaches more frequently.
method. The family study method in-
volves collecting data (typically through to the costliness of interviewing each
interviews) from multiple (or all) mem- family member directly, difficulties Assessment Instruments
bers of a family regarding the presence may arise: Family members may be Investigators have used several alterna-
of an alcohol use disorder. Hence, all geographically dispersed throughout tive instruments to assess family history
family members ages 18 and older the country (or world), unwilling to of alcoholism, and variability in the
respond directly to questions about the participate, or unable to participate scope and precision of these instruments
presence of an alcohol use disorder (e.g., because of injury or death). has contributed to different prevalence
within themselves as well as within Nevertheless, with sufficient resources, estimates. The Family History-Research
each other family member. In contrast, researchers can use somewhat of a Diagnostic Criteria (FH–RDC) (Endi-
the family history method involves hybrid approach between the family cott et al. 1978), for example, is an
data collection from a single family study and family history methods to interview-based procedure that enables
member regarding the presence of an assess the prevalence of alcohol use the assessment of alcohol use, other
alcohol use disorder within each family disorders with reasonable accuracy. drug use, and psychiatric disorders
member. For instance, the Collaborative Study among family members. In general,
Findings from analyses of studies on the Genetics of Alcoholism research findings support the reliability
that used the family history method (COGA), a large-scale project initiat- and validity4 of the FH–RDC (e.g.,
have been relatively consistent in ed by the National Institute on Endicott et al. 1978; Sher 1991). The
indicating that this approach underesti- Alcohol Abuse and Alcoholism in COGA project, referred to previously,
mates the extent of alcohol use disor- 1989 to identify and analyze genetic has developed another extensive family
ders among family members (e.g., factors contributing to the risk for history diagnostic interview, the Family
Andreasen et al. 1986; Thompson et alcoholism, attempted to recruit all History Assessment Modules (FHAM),
al. 1982). When rates of agreement on first-, second-, and third-degree rela-
which family members have an alco- tives3 into the study. However, to
3
hol use disorder are cross-checked minimize the impact of geographical First-degree relatives are mothers, fathers, and
siblings; second-degree relatives are grandpar-
between target participants (i.e., those distance as a barrier to participation, ents, aunts, and uncles; and third-degree
who indicate they have an alcohol use the project employed carefully de- relatives typically are defined as cousins.
discusses a model that encompasses teristics, and that the particular life A Closer Look
many of these research-identified stressors they encounter may trigger
factors in order to provide an overall Although this article discusses the
the expression of disordered behavior.
picture of COA functioning. Dynamic Diathesis-Stress Model in
Second, the model may be viewed general terms,7 many of the contribu-
as a multiple-variable (i.e., multivari- tors to this issue of Alcohol Health &
ate) diathesis-stress model, because it Research World elaborate on findings
CONCEPTUAL MODEL
OF INFLUENCES
recognizes that many personal and associated with specific influences
ON COA FUNCTIONING environmental factors contribute to identified by the model. Specifically,
ongoing behavioral interactions and the article contributions by Larkby
About 40 or 50 years ago, theoretical given outcomes (i.e., people influence and Day and by Jacobson focus on
models of alcoholism tended to view environmental events and environ- prenatal alcohol exposure and how its
the underlying cause of this disorder mental events influence people’s effects can be distinguished from
as most likely influenced by a single behaviors). Focusing on a single risk effects due to postnatal exposure. As
factor. For example, causal simplifica- domain (e.g., parenting deficits) will indicated in the figure, prenatal alco-
tions, such as “the alcoholic personali- not likely yield high predictive power hol exposure, like other possible risk
ty” or “the alcoholic gene,” often were factors associated with a family histo-
for a given outcome (e.g., heavy alco-
promulgated as sufficient explanatory ry of alcoholism, may influence func-
mechanisms for the occurrence of alco- hol use by offspring) or provide a tioning in biological, psychological,
holism. With the proliferation of re- holistic sense of the number of factors and social spheres. An article by Ja-
search studies in the alcohol field in (and their interactions) that can con- cob and Johnson reviews parenting
general, and among COA’s in particu- tribute to a given outcome. This model, influences on COA’s and indicates the
lar, it is now widely accepted that mul- in contrast, accounts for the influence multiple ways that parental alcoholism
tiple factors influence the onset of of numerous risk factors. may adversely affect child and adoles-
alcohol-related behaviors, their pro- Third, the model is referred to as cent development. McGue reviews the
gression, and their ongoing status (e.g., “dynamic,” because it explicitly rec- expanding literature on the behavioral
continuation of heavy drinking, cessa- ognizes that the interrelationships genetics of alcoholism, which strongly
tion, and relapse cycles) (Begleiter between personal and environmental supports a heritable basis for the dis-
and Kissin 1995; Sher 1991; Windle variables change over time and devel- order, and Ellis and colleagues pro-
and Searles 1990; Zucker et al. 1995). op into meaningful regularities or vide a range of family influences that
A conceptual model that attempts to cyclical patterns. Whereas the general may direct the development of COA’s.
incorporate the majority of factors Contributions by Finn and Justus,
diathesis-stress model of psychiatric
identified as potential influences for Nixon and Tivis, and Porjesz and
research has focused on a single con- Begleiter focus on different response
adverse outcomes among COA’s
illustrates the relationship of these stitutional factor and a single stress systems (physiological, neuropsycho-
factors (see figure, p. 190). factor at one point in time, the Dy- logical, and neurophysiological, re-
Three features distinguish this mod- namic Diathesis-Stress Model expresses spectively) that are associated with
el, known as the Dynamic Diathesis- the interaction of multiple constitu- distinctive at-risk patterns obtained
Stress Model. First, it is consistent with tional and stress factors that may from data on COA’s.
the general model adopted in psychiatric reciprocally influence each other Price and Emshoff describe early
research of the interaction between a across time to produce (or not pro- intervention and treatment programs
person’s constitutional predisposition duce) a given outcome (e.g., an alco- designed to prevent substance abuse
to acquire a certain disorder (i.e., diathe- hol use disorder). This dynamic among COA’s and provide informa-
sis) and outside stressors. That is, this orientation has implications for statis- tion on screening measures and special
diathesis-stress model recognizes the tical modeling, research design, and treatment concerns. Sher reviews
importance of studying relationships substantive interpretation of findings. research literature comparing person-
between a person’s characteristics, ality, temperament, and childhood
For instance, prospective research
such as temperament or alcohol sensi- disorder differences among COA’s
designs, which measure individual versus non-COA’s, and Reich empha-
tivity, in conjunction with stressful
subjects repeatedly over time, are sizes the need for prospective studies
environmental encounters that may
precipitate the occurrence of a psychi- essential to capturing the dynamic that track and periodically interview
atric or substance abuse episode or aspect of the model, because such both COA’s and non-COA’s and their
disorder. The Dynamic Diathesis- designs allow a focus on how people families until the children are past the
Stress Model suggests that COA’s vary change depending on the interaction
in their relative vulnerability to psychi- between their pattern of vulnerabilities 7
For more information on the Dynamic
atric or substance abuse disorders, and the environmental stressors that Diathesis-Stress Model, see Windle and
depending on their individual charac- occur in their lives. Tubman (in press).
• Electrocortical
(e.g., P300, EEG 1)
• Alcohol sensitivity
Externalizing
• Stress reduction
Problems
• Neurotransmitters
• Alcohol use
disorder
• Other drug
use disorder
Psychological
• Delinquent
activity
• Difficult temperament
• Aggression
• Attributional style
• Alcohol expectancies
• Lower intelligence
• Coping styles Stressors
Family History of • Perceived • Neighborhood
Alcoholism competencies Internalizing
• Assortative mating • School Problems
• Coexisting • Familial • Depression
disorders/deviance • Anxiety
Social • Peer
• Prenatal effects • Alienation
• Parent’s social network (Family) • Unique events
• Parenting deficits (e.g., victimization)
(e.g., inconsistency,
harsh discipline)
• Marital conflict
• Financial strain
• Ritual disruption
Miscellaneous
• Difficult sibling Health-Related
relations Problems
• HIV and other
STD’s2
• Accidents and
Social
injuries
(Extrafamilial)
• Suicide
• Peer rejection/isolation
• Aggressive social
style
• Limited friend
selection
• Lack of prosocial skill
development
A Dynamic Diathesis-Stress Model of developmental psychopathology as applied to children of alcoholics. This conceptual model
offers an overview of how factors related to a family history of alcoholism influence a wide range of other risk factors and may (or
may not) lead to the development of psychological or other health problems, including alcohol use disorders. The bidirectional
arrows indicate that influences are not one way—that is, risk factors and problems may interact with stressful circumstances and
change over time as people influence events around them and as events influence people’s behavior, all within a broad
sociocultural and historical context.
1
EEG = electroencephalogram.
2
STD’s = sexually transmitted diseases.
age at which they are most likely to Criteria (FH–RDC). New York: New York instrument. American Journal of Psychiatry
develop alcoholism. Finally, members State Psychiatric Institute, 1978. 127(12):1653–1658, 1971.
of an expert panel provide their views GALANTER, M., ed. Recent Developments in SHER, K.J. Children of Alcoholics: A Critical
on the “state of the field” in COA Alcoholism: Volume 9. Children of Alcoholics. Appraisal of Theory and Research. Chicago:
studies, placing it in historical context New York: Plenum Press, 1991. University of Chicago Press, 1991.
and speculating on promising research HALL, R.L.; HESSELBROCK, V.M.; AND STABE- SHER, K.J., AND DESCUTNER, C. Reports of
directions for the future. ■ NAU,J.R. Familial distribution of alcohol use: I. paternal alcoholism: Reliability across siblings.
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Behavior Genetics 13(4):361–372, 1983.
SHER, K.J.; WALITZER, K.S.; WOOD, P.K.; AND
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