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Concepts and Issues

in COA Research
MICHAEL WINDLE, PH.D.

Estimates of the number of children of alcoholics (COA’s) and the prevalence of


alcohol use disorders among them can vary widely from study to study depending on
research design features such as sample selection, data collection strategies, and
assessment methods. Although investigators agree that COA’s are at higher risk for
developing alcohol use disorders than children of nonalcoholics, problems with
alcohol are not an inevitable consequence of COA status. Recent research has
identified numerous biological, psychological, and social factors associated with a
family history of alcoholism that may play a role in determining whether COA’s will
develop an alcohol use disorder. The conceptual model presented in this article gives
a general overview of how such risk factors can interact with life stressors to influence
alcohol-related behavior in COA’s. (Subsequent articles in this issue explore some of
the specific factors identified in the model in greater depth.) KEY WORDS: AODD (alcohol
and other drug dependence); children of alcoholics; epidemiology; study design; sample
selection; data collection; identification and screening for AOD use; family AODU (alcohol
and other drug use) history; risk factors; causes of AODU; scientific model; literature review

or years common wisdom has ciated with COA status. Second, both ameliorate the frequency and severity

F fostered the notion that alco-


holism runs in families. To a
large extent, recent scientific studies
have substantiated this concept, al-
COA’s and children of nonalcoholics
(non-COA’s) substantially overlap in
the frequency with which they engage
in the normal (rather than the clinical)
of alcohol use disorders and their
devastating consequences.
This issue of Alcohol Health &
Research World focuses on current
though with two important provisos range of alcohol use and other prob- knowledge about COA’s. In recent
(for reviews, see Sher 1991; West lem behaviors (e.g., delinquent activi- years, the number of scientific COA
and Prinz 1987; Windle and Searles ty). Therefore, the expression of studies has increased dramatically
1990). First, not all children of alco- alcohol use disorders among COA’s (e.g., Galanter 1991; Sher 1991;
holics (COA’s) develop alcohol use is considered to be probabilistic, Windle and Searles 1990), paving
disorders1 or other forms of psycho- because it occurs at some certainty the way for keener insight into the
pathology, such as depressive disor- level less than 100 percent (e.g., genetic mechanisms and psychosocial
ders; hence, the manifestation of an Zucker et al. 1995), and not determin-
alcohol use disorder or other psy- istic (i.e., inevitable). Several impor-
chopathology is not inevitably asso- tant scientific questions must be MICHAEL WINDLE, PH.D., is professor
addressed more fully, however, re- of psychology and director of the
1
garding the pervasiveness of alcohol Doctoral Studies Program in
In this article, the term “alcohol use disorder”
refers to the entire range of alcohol problems, use disorders among COA’s; the Developmental Psychology at the
including alcohol abuse and alcohol depen- identification of major genetic and University of Alabama at Birmingham.
dence as defined by the American Psychiatric environmental causes that probabilis-
Association’s Diagnostic and Statistical tically may contribute to the occur- Support for this work was provided
Manual of Mental Disorders, Fourth Edition.
The terms “alcoholism” and “alcoholic” as used
rence of these disorders; and the in part by National Institute on
in this article are summary terms for the diag- development, application, and evalua- Alcohol Abuse and Alcoholism grant
noses of alcohol abuse and alcohol dependence. tion of preventive interventions to R37–07861.

VOL. 21, NO. 3, 1997 185


processes that contribute to alcohol disorders in both parents and their vide estimates based on data collected
use disorders among the COA popula- offspring. Nonetheless, whether the from patients in treatment for alco-
tion. Nevertheless, constructive de- “true” risk is four or nine times holism. In these studies, the preva-
bates among scientists and greater (or somewhere in between or lence of alcoholism among parents
practitioners coexist with this expand- slightly less), COA’s unquestionably and other family members is based on
ing knowledge base in the ongoing constitute an at-risk population. the rate reported by the patients in
manner that often characterizes the Depending on which risk ratio esti- treatment about their families. This
dynamic practice of science. At issue mate is adopted, however, conclusions sampling procedure likely produces
are the relative importance of different may vary greatly about the extensive- higher than expected (i.e., upwardly
etiologic factors (e.g., genetic and ness of the health risk among COA’s biased) estimates of the number of
environmental), the benefits of alter- and the appropriate public health COA’s, because of differences be-
native COA intervention and treat- response. tween people in treatment for alco-
ment strategies, and the advantages of To determine the number of COA’s holism and people in the general
various research and sampling de- in the United States, estimates often population. For example, people in
signs. This article first discusses the are extrapolated based on the preva- alcoholism treatment are more likely
relative merits and limitations of sev- lence of alcohol use disorders among than those in the general population to
eral study designs in the context of adults in national surveys. For exam- be disproportionately male, manifest a
epidemiological issues, then presents ple, Booz, Allen & Hamilton, Inc. more severe pattern of alcoholism,
a conceptual model that provides a (1974) estimated the number of adult have a higher number of co-occurring
broad perspective on COA function- alcoholics, then used the ratio of adults (i.e., comorbid) psychiatric and medi-
ing. The article concludes with a brief to children in the general population to cal health conditions, and share other
overview of the other articles in this estimate the number of COA’s. Russell characteristics (e.g., a propensity
issue, which discuss various factors (1990) used a similar extrapolation toward seeking help or involvement
identified in the conceptual model. procedure with data collected in the with the legal system) (e.g., Heller et
1979 National Drinking Practices al. 1982; Helzer and Pryzbeck 1988).
Survey and arrived at an estimate of Altogether, such dissimilarities will
EPIDEMIOLOGICAL ISSUES approximately 6.6 million COA’s result in an inflated estimate of the
under age 18 and 22 million COA’s prevalence of COA’s when this sam-
Two fundamental, related questions of age 18 and older. More recently, Eigen
concern among investigators in the pling procedure is used.
and Rowden (1995), using data from Other studies have estimated the
COA field are: (1) how many COA’s the 1988 National Health Interview
are there? and (2) how many COA’s prevalence of COA’s by relying on
Survey, concluded that 17.5 million data derived from samples that were
will develop alcohol problems? (Al- COA’s under age 18 lived in the
though the frequency of psychological not selected via probability sampling
United States. The divergent estimates methods2 (e.g., volunteers from self-
disorders and expressions of malad- obtained in these national studies, as
justment among COA’s also is of help groups or college students). For
well as other estimates obtained example, the use of college students
concern, these topics are beyond the through regional or State samples,
scope of this article, which focuses as a sample may underestimate the
reflect a range of potential differences number of COA’s in the general pop-
primarily on research investigating the in sample selection, data collection
development of alcohol use disorders ulation, because selection criteria for
strategies, assessment methods, and entry into college (e.g., high academic
among COA’s.) Attempts to answer even definitions of problem drinking
the two aforementioned key questions performance) may disproportionately
or alcohol use disorders. Several major
have resulted in widely varying esti- exclude COA’s.
methodological issues contributing to
mates. With regard to COAs’ risk of Probability sampling at the State or
such differences are discussed in the
developing an alcohol use disorder, regional level is useful for estimating
following sections.
estimates have ranged from 4:1 to 9:1 the prevalence of COA’s for a speci-
(i.e., COA’s are four to nine times fied sampling unit (e.g., Erie County,
Sampling Variation New York), but these estimates may
more likely than non-COA’s to devel-
op an alcohol use disorder) (Cloninger Survey sampling involves methods for not generalize to larger units (e.g., the
et al. 1981; Cotton 1979; Russell 1990), selecting and observing a part (i.e., Nation) because of factors unique to
although some researchers have criti- sample) of a population in order to the sampling unit (e.g., Russell 1990).
cized the studies on which these esti- make statistical inferences about the For instance, assume that extrapola-
mates are based (e.g., Murray et al. whole population. Depending on a tion procedures from data on parents
1983; Littrell 1988; Searles 1988). study sample’s composition, the
Part of the variation in risk estimates prevalence of alcohol use disorders 2
With probability sampling, every member of
is attributable to differences in the among COA’s may differ across stud- the population has a known likelihood of being
criteria used to assess alcohol use ies. For example, some studies pro- selected as part of the sample.

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Concepts and Issues in COA Research

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.

VOL. 21, NO. 3, 1997 187


to facilitate the assessment of psy- interrater agreement decrease consid- holism coexisting with antisocial
choactive substance use and psychi- erably for family members other than personality disorder) (Helzer and
atric disorders using the most recent fathers (Windle 1996b). Thus, using Pryzbeck 1988). In these families,
clinical diagnostic criteria (Bucholz et single-item assessments is not recom- heightened genetic and environmen-
al. 1996). Initial findings with the mended if precise estimates of familial tal risk (e.g., physical or sexual abuse)
FHAM have supported its reliability alcoholism are desired (Sher 1991). may increase the risk for alcohol
(e.g., Bucholz et al. 1996), and validity use disorders and other forms of
studies are in progress. Other Contributing Factors maladjustment among COA’s.
Screening instruments such as the
Michigan Alcoholism Screening Test In addition to variations in data col- • Age, gender, and racial distribution
(MAST) (Selzer 1971) or Short MAST lection strategies and assessment of given samples. The prevalence
(S–MAST) have been used with methods, several other factors may of alcohol use disorders is not
young adults to estimate or screen for also contribute to differential esti- constant across these demographic
parental alcoholism (e.g., Sher et al. mates of the relative risk for COA’s to variables (Russell 1990). Thus, if
1991). High reliability (i.e., interrater develop an alcohol use disorder. To the prevalence of alcohol use disor-
the extent that one or more of these ders among COA’s was derived on
agreement5) across siblings has been
factors is overrepresented in a given the basis of a sample of young
reported for the S–MAST (e.g., Sher
sample, estimates of the prevalence of females, for example, the resulting
and Descutner 1986), and moderate
alcohol use disorders among COA’s estimates would be biased if statis-
levels of validity have been reported
may be biased. Factors that may in- tical inferences were sought for the
when offspring ratings were compared
crease the risk for alcohol use disor- general population.
with parental ratings (e.g., Levenson
ders and thereby contribute to biased
et al. 1987).
estimates include the following: Summary of Epidemiological
Large national survey studies fre-
quently have used global, single-item Issues
• Assortative mating, which is the
questions (e.g., “Has your father ever nonrandom choice of a partner Responses to the dual questions of the
had a drinking problem?”) to assess based on personal characteristics number of COA’s and the number of
family history of alcoholism (e.g., (in this context, alcoholism). For COA’s who will develop alcohol
Midanik 1983; Windle 1996b). Such example, compared with female problems may vary considerably de-
single-item assessments of paternal nonalcoholics, female alcoholics pending on multiple factors, including
alcoholism have been determined to partnering with male alcoholics at a those identified in this article. Several
have reasonably high sibling interrater greater-than-expected rate increase strategies may enhance the consistency
agreement6 (e.g., Sher and Descutner their offspring’s exposure to risk of findings across studies, however,
1986; Windle 1996b), but levels of factors from sources both environ- such as the use of probability sampling,
mental (e.g., role modeling) and more precise measurement strategies
4
The term “reliability” refers to consistency of genetic (e.g., Hall et al. 1983). (e.g., hybrid approaches to the family
measurement (i.e., the extent to which the Therefore, prevalence estimates of study method), and measures with
measurement procedure yields the same alcohol use disorders among demonstrated reliability and validity.
results on repeated assessments). The term COA’s would be biased, because Although studies are not in agreement
“validity” refers to whether a test (e.g., ques- about the estimated magnitude of risk
tionnaire) actually measures what it purports
the risk for an alcohol use disorder
to measure (e.g., whether survey items on among the subsample with two for an alcohol use disorder among
alcohol use provide good measures of the alcoholic parents is greater than that COA’s (cf. Murray et al. 1983; Searles
actual use of alcohol or whether sources of expected in the general population. 1988), a general consensus does exist
error, such as misrepresentation by respon- that COA status enhances the risk for
dents, undermine their validity).
• Psychopathology (e.g., clinical the expression of alcohol problems to
5
Interrater agreement is a form of reliability depression) in the nonalcoholic some degree. This higher risk for
and refers to the degree of agreement or partner of an alcoholic parent. adverse outcomes among COA’s (e.g.,
consistency between two or more raters or
judges. In this context, interrater agreement Because such a condition may school or work difficulties, involvement
provides an index of the level of agreement contribute to a disruptive, nonsup- with the legal system, and troubled
among siblings regarding their parents’ alco- portive family environment, its relationships) has spawned a rapidly
hol use. A value known as a kappa statistic presence may increase risk for expanding body of research literature
usually is derived to indicate chance-corrected
levels of agreement. Kappa values from 0.40
alcohol use disorders and other (Sher 1991; Windle and Searles
to 0.59 indicate moderate agreement; 0.60 to psychopathologies among COA’s 1990). Through this cumulative re-
0.79, substantial agreement; and 0.80 to 1.00, (e.g., Windle 1996a). search effort, investigators have dis-
very high agreement. cerned numerous factors that may
6
Kappa statistic = 0.72, indicating substantial • Co-occurring psychopathology influence alcohol-related behavior in
agreement. among alcoholic parents (e.g., alco- COA’s. The remainder of this article

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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).

VOL. 21, NO. 3, 1997 189


Broader Multifaceted Sociocultural and Historical Contextual Factors

Risk Factors Mental/Physical


Biological
Health Problems

• 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.

190 ALCOHOL HEALTH & RESEARCH WORLD


Concepts and Issues in COA Research

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:
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