Strategic Plan

for Interdisciplinary
Faculty Development:
Arming the Nation’s
Health Professional Workforce
for a New Approach to
Substance Use Disorders

Edited by
MARY R. HAACK, PHD, RN, FAAN
HOOVER ADGER, JR., MD, MPH
 Association for Medical Education and Research
in Substance Abuse (AMERSA)
125 Whipple Street, 3rd Floor
Providence, Rhode Island 02908

For more information:

AMERSA
Telephone: 401-349-0000
Fax: 877-418-8769
Web Sites: www.amersa.org and
www.projectmainstream.net

This publication has been produced by the Association for Medical Education and Research in
Substance Abuse under a Cooperative Agreement (HRSA-#U78HP00001) with the Bureau of
Health Professions, Health Resources and Services Administration (HRSA), in collaboration with
the Center for Substance Abuse Treatment, Substance Abuse and Mental Health Services
Administration (SAMHSA).
The conclusions and opinions expressed herein are those of the authors and do not necessarily
represent the views and policies of HRSA or of SAMHSA.
September 2002
 TABLE OF CONTENTS

Table of Contents ............................................................................................................................................................iii

Contributors ....................................................................................................................................................................v
Acknowledgments ......................................................................................................................................................... vii
Letter from the President of the Association for Medical Education and Research in Substance Abuse ............................. viii
Letter from the Project Director ..................................................................................................................................... ix
Foreword ........................................................................................................................................................................ x

Executive Summary ........................................................................................................................................................ 1

Mary R. Haack, PhD, RN, FAAN, and Hoover Adger, Jr., MD, MPH

Part I: Evidence Supporting the Strategic Plan

Chapter 1. Prevention of Alcohol and Drug Abuse: What Works? .................................................................................. 25
Karol L. Kumpfer, PhD
Chapter 2. Screening, Assessment, and Intervention for Substance Use Disorders
in General Health Care Settings ............................................................................................................................. 47
Michael F. Fleming, MD, MPH
Chapter 3. Is Addiction an Illness? Can It Be Treated? ................................................................................................... 67
A. Thomas McLellan, PhD
Chapter 4. Medicaid Reimbursement of Primary Care Providers for Treatment of Substance Use Disorders ..................... 95
Mary R. Haack, PhD, RN, FAAN, and Farrokh Alemi, PhD
Chapter 5. Substance Abuse in Older Adults: Review and Recommendations for Education
and Practice in Medical Settings ........................................................................................................................... 105
Kristen Lawton Barry, PhD, Frederic C. Blow, PhD, and David W. Oslin, MD
Chapter 6. Substance Use Disorders in Children and Adolescents and the Impact on Children
in Families Affected by Substance Use .................................................................................................................. 133
Hoover Adger, Jr., MD, MPH, and Michelle K. Leff, MD
Chapter 7. Recognizing and Treating Dual Diagnosis in General Health Care Settings:
Core Competencies and How to Achieve Them .................................................................................................... 143
Kathleen T. Brady, MD, PhD
Chapter 8. Impairment Issues for Health Care Professionals: Review and Recommendations ........................................ 155
Martha E. Brown, MD, Alison M. Trinkoff, RN, ScD, FAAN, Arden G. Christen, DDS, MSD, MA,
and Ernest J. Dole, PharmD, FASHP, BCPS, CDE

Part II: Discipline-Specific Recommendations for Faculty Development

Chapter 1. The Role of Allied Health Professionals in Substance Abuse Education ........................................................ 169
John A. Bonaguro, PhD, PT, Ernie Nalette, EdD, PT, and Mary Lee Seibert, EdD
Chapter 2. Dental Education in the Prevention and Treatment of Substance Use Disorders ........................................... 185
Arden G. Christen, DDS, MSD, MA, and Joan A. Christen, BGS, MS
Chapter 3. The Physician’s Role in Caring for Patients with Substance Use Disorders:
Implications for Medical Education and Training .................................................................................................. 207
David A. Fiellin, MD, Richard Butler, DO, Gail D’Onofrio, MD, Richard L. Brown, MD, MPH,
and Patrick G. O’Connor, MD

iii
Chapter 4. The Role of Midwives in Caring for Women with Substance Use Disorders: Implications for Training .......... 223
Pat Paluzzi, CNM, DrPH, Nicole Deggins, CNM, MSN, Ellen Hutchins, MSW, ScD,
and Patricia Burkhardt, CNM, DrPH
Chapter 5. Substance Abuse Education for Nurse Practitioners in Primary Care ........................................................... 235
Elias Vasquez, PhD, NNP, FAAN, and Marie Eileen Onieal, MMHS, RN, CPNP
Chapter 6. Nursing Education in the Prevention and Treatment of Substance Use Disorders ......................................... 247
Madeline A. Naegle, RN, PhD, FAAN
Chapter 7. Recommendations for Implementing Effective Substance Abuse Education in Pharmacy Practice................. 263
Ernest J. Dole, PharmD, PhC, FASHP, BCPS, CDE, and Anthony Tommasello, PhD
Chapter 8. Improving Physician Assistant Education and Practice in Substance Use Disorders and
Policy Recommendations on Substance Abuse Education for Physician Assistants .................................................. 273
Catherine R. Judd, MS, PA-C, Roderick Hooker, PhD, PA, and Perri Morgan, MS, PA-C
Chapter 9. Educating Psychologists about Substance Abuse ......................................................................................... 289
William R. Miller, PhD
Chapter 10. Incorporating Substance Abuse Prevention into Public Health Curricula ................................................... 305
Christopher L. Ringwalt, DrPH, MSW
Chapter 11. Educating Social Workers to Work with Individuals Affected by Substance Use Disorders .......................... 319
Shulamith Lala Ashenberg Straussner, DSW, CAS, CEAP, and Evan Senreich, CSW, ACSW, CASAC

Appendixes
Appendix A: Acronyms ............................................................................................................................................... 341
Appendix B: Glossary .................................................................................................................................................. 345

iv
 CONTRIBUTORS

Hoover Adger, Jr., MD, MPH Arden G. Christen, DDS, MSD, MA

Associate Professor Department of Oral Biology
School of Medicine School of Dentistry
Johns Hopkins University Indiana University
Baltimore, MD Indianapolis, IN

Farrokh Alemi, PhD Joan Christen, BGS, MS

School of Nursing and Health Services Department of Oral Biology
Management School of Dentistry
George Mason University Indiana University
Fairfax, VA Indianapolis, IN

Kristen Lawton Barry, PhD Nicole M. Deggins, CNM, MSN, MPH

Department of Psychiatry University of Mississippi Medical Center
University of Michigan Lexington, MS
Ann Arbor, MI
Ernest J. Dole, PharmD, PHC, FASHP,
Frederic C. Blow, PhD BCPS, CDE
Department of Psychiatry Lovelace Health Systems
University of Michigan College of Pharmacy
Ann Arbor, MI University of New Mexico Health and
Sciences Center
John Bonaguro, PhD Albuquerque, NM
School of Health Sciences and Human
Performance David A. Fiellin, MD
Ithaca College Department of Internal Medicine
Ithaca, NY Yale University School of Medicine
New Haven, CT
Kathleen Brady, MD, PhD
Department of Psychiatry Michael Fleming, MD, MPH
Medical University of South Carolina Family Medicine Research Program
Charleston, SC University of Wisconsin
Madison, WI
Martha Brown, MD
USF Psychiatry Center Mary R. Haack, PhD, RN, FAAN
University of South Florida Department of Behavioral and Community
Tampa, FL 33613 Health Nursing
School of Nursing
Richard L. Brown, MD, MPH University of Maryland
Department of Family Medicine Baltimore, MD
University of Wisconsin
Madison, WI Roderick Hooker, PhD, PA
Department of Physician Assistant Studies
Patricia Burkhardt, CNM, DrPH University of Texas Southwestern
Division of Nursing Medical Center
New York University Dallas, TX
New York, NY
Ellen Hutchins, ScD, MSW
Richard Butler, DO Women’s Health Branch
Michigan State University College of Division of Perinatal Systems and Women’s
Osteopathic Medicine Health
Madison Heights, MI Maternal and Child Health Bureau
Health Resources and Services Administration
Rockville, MD

v
 Catherine Judd, PA-C, MS David Oslin, MD
Department of Physician Assistant Studies Department of Psychiatry
University of Texas Allied Health Sciences University of Pennsylvania
School Philadelphia, PA
Desoto, TX
Gail D’Onofrio, MD
Karol Kumpfer, PhD Section of Emergency Medicine
Department of Health Education Yale University
University of Utah New Haven, CT
Salt Lake City, UT
Pat Paluzzi, CNM, DrPH
Michelle K. Leff, MD Baltimore City Health Department
Neuroimaging Research Branch Baltimore, MD
National Institute on Drug Abuse/IRP
Baltimore, MD Christopher L. Ringwalt, DrPH
Pacific Institute for Research and Evaluation
A. Thomas McLellan, PhD Chapel Hill, NC
Treatment Research Institute
Philadelphia, PA Mary Lee Seibert, EdD
Vice President for Academic Affairs
William Miller Utica College
Department of Psychology Utica, NY
University of New Mexico
Albuquerque, NM Evan Senreich, CSW, CASAC
Ehrenkranz School of Social Work
Perri Morgan, MS, PA-C New York University
Physician Assistant Program New York, NY
University of Wisconsin
Madison, WI Lala Straussner, DSW, CAS
Ehrenkranz School of Social Work
Madeline A. Naegle, RN, PhD, FAAN New York University
Division of Nursing New York, NW
New York University
New York, NY Anthony Tommasello, PhD
School of Pharmacy
Ernie Nalette, EdD, PT University of Maryland
Department of Physical Therapy Baltimore, MD
Ithaca College
Rochester, NY Alison Trinkoff, ScD, RN, FAAN
Department of Behavioral and
Patrick G. O’Connor, MD, MPH Community Health Nursing
Section of General Internal Medicine University of Maryland
Yale University School of Medicine Baltimore, MD
New Haven, CT
Elias Vasquez, PhD, NNP, FAAN
Marie Eileen Onieal, MMHS, RN, CPNP Department of Child, Women’s, and
Health Policy Coordinator Family Health
Department of Public Health School of Nursing
Boston, MA University of Maryland
Baltimore, MD

vi
 ACKNOWLEDGMENTS

Managing Editor
Linda Harteker

Association for Medical Education and Research

in Substance Abuse
Doreen MacLane-Baeder, Project Manager
Christine Benz, Project Assistant

Health Resources and Services Administration

Elizabeth Duke, PhD, Administrator
Sam Shekar, MD, MPH, Associate Administrator for Health Professions
Neil Sampson, MPH, Deputy Associate Administrator for Health Professions
Division of Nursing
Denise Geolot, PhD, RN, FAAN, Director
Donna English, MPH, RN, Deputy Director
Patricia Calico, DNSc, RN, Nurse Consultant
CDR Angela M. Martinelli, DNSc, RN, Program Officer
Division of Interdisciplinary Community-Based Programs
Bernice Parlak, MSW, Director
Theresa Derville, Deputy Director
Mildred Brooks-McDow, MSW, LICSW, Program Officer
CDR Angela Gonzalez-Willis, PhD, Program Officer
Division of Community, State and Public Health Programs
Jeffrey Dunlap, MPH, Director
Terri Spear, EdM, Program Officer
Marcia Starbecker, MSN, RN, Program Officer
Division of Medicine and Dentistry
Carol Bazell, MD, MPH, Director
Barbara Brookmyer, MD, MPH, Deputy Director
Susan Goodman, DDS, Dental Officer
Ruth Kahn, DNSc, RN, Health Professions Education Specialist

Substance Abuse and Mental Health Services Administration

Charles G. Curie, MA, ACSW, Administrator

Center for Substance Abuse Treatment

H. Westley Clark, MD, JD, MPH, CAS, FASAM, Director
Office of Evaluation, Scientific Analysis and Synthesis
Arthur M. Horton, EdD, Director
Karl D. White, EdD, Acting Branch Chief
Suzanne Cable, Program Officer
Arlene Stanton, PhD, Program Officer

vii
 LETTER FROM THE PRESIDENT
of the Association for Medical Education
and Research in Substance Abuse

On behalf of the Association for Medical Education and Research in Substance Abuse (AMERSA)
I am delighted and privileged to congratulate Mary Haack, PhD, and Hoover Adger, Jr., MD,
MPH, on bringing forth this Strategic Plan for Interdisciplinary Faculty Development: Arming
the Nation’s Health Professional Workforce for a New Approach to Substance Use Disorders.
Since 1976, AMERSA has been working to expand education in substance abuse for all
health care professionals. AMERSA has achieved national prominence for its role in faculty
development, in curriculum design, implementation, and evaluation, and in the promulgation of
an interdisciplinary approach to substance abuse education and clinical services. Providing
leadership for improved training for health care professionals in the management of problems
related to alcohol, tobacco, and other drugs is central to our mission. Cultural competence and
inclusiveness are an integral part of this effort.
This Strategic Plan presents a thoughtful and comprehensive approach to broad-based
interdisciplinary development of the faculty, educational tools, and clinical skills needed for our
country to address this high-priority health problem. Alcohol and other drug use problems are
simply too common for us to ignore. We must not settle for an undertrained health professions
workforce and inconsistent clinical practices.
Almost every American has been influenced by alcohol or other drug use problems through
personal or family experience. One in four children lives in a family affected by alcohol abuse or
dependence. There are more deaths, illnesses, and disabilities from substance use disorders than
from any other preventable health condition. Despite having this health crisis all around us,
health care professionals continue to struggle to recognize it and prioritize a response.
We know too much to do nothing. All health care professionals should feel called to action
to address this urgent health problem. It is imperative that health professionals, health policy
leaders, health insurers, health educators, legislators, and others advocating the well-being of
families, children, and communities share this commitment. The Strategic Plan outlined by this
special supplement is a critically important place to start. Are we each ready to do our part?
Active support of this Strategic Plan and the road map it presents is the right place to begin. The
letter from Project Director Richard L. Brown, MD, MPH, which follows, outlines the other
goals under the overall project that will help move this agenda forward.

Mark J. Werner, MD, FAAP, FSAM

President, AMERSA

viii
 LETTER FROM THE PROJECT DIRECTOR

I am pleased to help introduce this Strategic Plan, an important product of the 5-year coopera-
tive agreement entitled the “HRSA-AMERSA-SAMHSA/CSAT Interdisciplinary Project to
Improve Health Professional Education in Substance Abuse.”
This project is funded by a cooperative agreement between the Health Resources and
Services Administration (HRSA) and the Association for Medical Education and Research in
Substance Abuse (AMERSA), in collaboration with the Center for Substance Abuse Treatment
(CSAT) of the Substance Abuse and Mental Health Services Administration (SAMHSA).
AMERSA was charged with three goals:
Goal 1: To produce a document to inform the Federal government and others how to improve
substance abuse education for generalist health professionals—i.e., those who do not specialize
in the addictions yet routinely see patients and clients who use alcohol, tobacco, and other
drugs in a risky or problematic manner.
Goal 2: To administer an interdisciplinary faculty development program to improve the
substance abuse curricula in training programs for such professionals.
Goal 3: To establish an electronic and regional infrastructure to support a vast expansion in
faculty development in substance abuse
This Strategic Plan responds to Goal 1. Mary Haack, PhD, RN, FAAN, and Hoover Adger,
Jr., MD, MPH, the editors of this publication, directed the effort with fortitude, diligence, and
wisdom. They and the document benefited greatly from the guidance of our Federal Program
Officers. Thanks are also due to each of the authors who contributed chapters to this book.
Goals 2 and 3 of the project are being carried out through a faculty development program
entitled Project MAINSTREAM. The purpose of Project MAINSTREAM is to establish ways of
conducting faculty development and of fostering curriculum improvement at health care
professional education and training institutions around the Nation.
Pursuant to Goal 3, we have established a new Web site (www.projectmainstream.net) that
provides public access to project curriculum materials, annotated learning resource databases,
profession-specific learning resources, and electronic newsletters.
As Project Director, I have been fortunate to be able to observe all aspects of this project
unfold over the last 3 years. The initial support and direction from HRSA, and the subsequent
funding and additional guidance from SAMHSA’s CSAT, have been essential to the project. The
project has benefited substantially from the collaboration between academicians and Govern-
ment officials with complementary experience and skills and a shared vision and commitment
to improve public health.
Out of this project is emerging a tremendous national resource—an interdisciplinary,
unified group of health care professionals who are able, positioned, and motivated to improve
public health by training a new generation of health care professionals to acquire new compe-
tencies with documented effectiveness in preventing and treating SUD.
My project colleagues and I call on you to take advantage of this resource to enhance the
responsiveness of our health care system to the nation’s number-one public health problem.
Working together, we can make a difference.
Richard L. Brown, MD, MPH
Associate Professor, Department of Family Medicine
University of Wisconsin Medical School
Director, Project MAINSTREAM HRSA/AMERSA/SAMHSA-CSAT
Project to Improve Health Professional Education in Substance Abuse

ix
 FOREWORD

Within the American health care system, primary care providers are the gatekeepers to all
services. The ability to identify a problem, to provide the indicated prevention and treatment
service, or to refer a patient to a specialist is key to the efficacy of the system. Most Americans
believe that primary health professionals know how to identify and treat individuals with
substance use disorders (SUD). They assume that people with SUD could get help within the
health care system if they wanted it. Recent studies indicate that neither statement is true. The
National Center on Addiction and Substance Abuse at Columbia University reported that 94%
of primary care physicians and 40% of pediatricians, when presented with a classic description
of a person with a SUD, failed to properly diagnose the problem. If similar studies were con-
ducted with nurses, social workers, dentists, psychologists, pharmacists, public health workers,
physical therapists, and others, the findings would likely be comparable. The reasons are
complex, but lack of knowledge and skills is the primary cause. Curricula in most health
professions education programs either inadequately address SUD or fail to include them at all.
The impact of this deficiency is extensive.
Over the past three decades, the National Institutes of Health’s National Institute on
Alcoholism and Alcohol Abuse and the National Institute of Drug Abuse have supported
rigorous research programs that have demonstrated the effectiveness of specific SUD prevention
and treatment strategies, many of which could be delivered in a primary care or community
setting. The tragedy is that this research remains in the pages of scientific journals and rarely
gets implemented in the primary care settings where most individuals with SUD present. This
breakdown in the transfer of science into practice has major consequences that impact the
health of our Nation. Without effective prevention and treatment, people with SUD continue
the physical deterioration, crime, child abuse and neglect, and domestic violence that accom-
pany their disease. In addition, the transmission of HIV/AIDS, which is integrally related to
intravenous drug use, continues to threaten our youth and other vulnerable populations. The
cost to the health care, criminal justice, and child welfare systems and to families is devastating
both in monetary and psychosocial terms. Moreover, it has the impact of diminishing the
potential outcomes of one of our most valuable resources, the health and well-being of children
who grow up in affected families.
According to the Substance Abuse and Mental Health Services Administration (SAMHSA),
between 13 million and 16 million people need treatment for SUD each year, but only 3 million
receive care. This health care disparity could be overcome to a large extent in a non-hospital
setting, if primary care providers knew what to do and could be reimbursed for their services.
Training can greatly increase the degree to which health professionals screen, intervene, and
refer for treatment, but health professions schools will not include this training without incen-
tives and direction. Thanks to the vision, foresight, and support of the Health Resources and
Services Administration and the Center for Substance Abuse Treatment of SAMHSA, the
Strategic Plan for Interdisciplinary Development: Arming the Nation’s Health Professional
Workforce for a New Approach to Substance Use Disorders was developed to meet this
challenge. This supplement presents the Strategic Plan, which includes the state of the art on
what works in substance use prevention, assessment and intervention, and treatment, as well as
a status report on training of the health professionals most likely to encounter individuals and
families with SUD. It also provides recommendations for policy makers and individual health
care disciplines, as well as for interdisciplinary collaboration and training.
It is our hope that this Strategic Plan will lead to a day when all primary care gatekeepers
are competent to diagnose, prevent, intervene, treat, or refer an individual with or affected by
SUD. When that day comes, no child will be placed in foster care because their mother’s nurse,
obstetrician, or nurse midwife did not know how to care for their mother’s cocaine addiction.
No parent will die of cirrhosis of the liver because a nurse practitioner, family practitioner, or

x
internist did not know how to provide brief intervention and refer him or her to alcoholism
treatment. No student will suffer in silence or fail in school because the school social worker
lacked the skill to recognize that the child’s problem stemmed from a parent who had a heroin
addiction. No wage earner will lose time from work because the employee assistance psycholo-
gist did not understand that her depression stemmed from living with a spouse with SUD. No
adult or adolescent will die from oral and lung cancer because their dentist did not know how
to treat or refer them for tobacco-dependence treatment.
Mary R. Haack, PhD, RN, FAAN
Hoover Adger, Jr., MD, MPH
Editors

xi
 EXECUTIVE SUMMARY

Strategic Plan for Interdisciplinary Faculty Development:

Arming the Nation’s Health Professional Workforce for
a New Approach to Substance Use Disorders
MARY R. HAACK, PHD, RN, FAAN
HOOVER ADGER, JR., MD, MPH

Scope of the Problem

America today faces a host of new threats—the threat of bioterrorism, the possibility of chemi-
cal weapons, and the reality of war. This nation also continues to face a threat that is even more
real for millions of citizens: substance use disorders (SUD). SUD accounts for more deaths,
illnesses, and disabilities than does any other preventable health condition. In a recent survey
conducted by the Center for Addiction and Substance Abuse at Columbia University (CASA), 23
states reported an increased demand for alcohol and drug treatment since September 11, 2001.
SUD are associated with many of this country’s most serious and tragic problems, including
violence, injury, human immunodeficiency virus infection, cardiovascular disease, and cancer.
Of the more than 2 million deaths in the United States each year, approximately one in four is
attributable to alcohol, tobacco, or illicit drug use. More than 400,000 deaths annually are
attributed to tobacco, more than 100,000 to alcohol abuse, and some 16,000 to illicit drugs.
These problems put an enormous strain on America’s health care system and its economy. The
total annual costs associated with SUD are currently estimated at more than $414 billion.
In recent decades, our Nation has invested heavily in programs designed to reduce or
eliminate the threat of SUD. Many of these programs today are showing encouraging results.
Progress in drug treatment and prevention during the past decade, for example, has shown
great promise. Unfortunately, we have not invested sufficient resources in another key area that
holds tremendous potential: the education and training of the millions of men and women who
constitute our health professions workforce. Far too little attention has been paid to educating
primary care health professionals—physicians, nurses, dentists, physician assistants, psycholo-
gists, pharmacists, social workers, and others—to respond to the needs of the millions of
individuals and families affected by SUD.
Lacking the necessary training, primary care health professionals do not identify and
diagnose SUD with the same degree of accuracy as they do other preventable diseases. The role
of these front-line health professionals in prevention, early identification, and referral remains
largely untapped. As a result, many patients with SUD go unidentified; for others, the disease
goes unrecognized far too long and becomes more difficult and more costly to treat.
Ensuring that all health professionals are equipped with the knowledge and skills to
respond appropriately to the needs of patients and families affected by SUD is vital to addressing
substance abuse, the number-one health problem in America. The education and training of
health professionals in all disciplines is key to ensuring that SUD are prevented, identified, and
appropriately treated.
Furthermore, in the wake of the tragedies associated with the attacks on the World Trade
Center and the Pentagon and the launching of a war on terrorism, it is essential that this
country be prepared to deal with a rise in mental health disorders and SUD. Based on history,
there is reason to believe that the need for substance abuse-related services will rise as a result
of the traumatic events that our country is undergoing. Our Nation must be prepared to meet
the needs of its citizens in this difficult time.

1
Initiation of the Strategic Plan for It concludes with 12 comprehensive recommendations for
improving health professionals’ training in SUD. Each
Interdisciplinary Faculty Development recommendation is accompanied by a rationale and a list of
To bring about the systemic changes needed to prepare responsible agents.
health professionals to take on an expanded role in
addressing the Nation’s substance abuse problem, the
Health Resources and Services Administration’s Bureau of Background of the Strategic Plan
Health Professions (HRSA/BHPr) in 1999 entered into a A review of the literature, conducted at the start of the
cooperative agreement with the Association for Medical planning process, identified six key issues as fundamental
Education and Research in Substance Abuse (AMERSA). to the development of this Strategic Plan. These issues are
One objective of the cooperative agreement was to develop as follows:
a Strategic Plan for Interdisciplinary Faculty Development. ■ The documented effectiveness of SUD screening
Interagency support for this effort is provided by the and early intervention in health care settings;
Substance Abuse and Mental Health Services
Administration’s Center for Substance Abuse Treatment ■ The documented effectiveness of community SUD
(SAMHSA/CSAT). The initiative was sparked by the prevention programs;
Department of Health and Human Services (DHHS) goal of ■ A consensus that parents with SUD and their
reducing substance use and its related health and social children need to be recognized and offered
consequences as stated in Healthy People 2010. assistance;
■ The lack of substance-related treatment services in
general health care settings; such services could be
AMERSA is a 25-year-old national interdisciplinary
provided if health professionals were appropriately
organization. A key element of AMERSA’s mission
trained to do so. Such services would include
is the training of health professionals in the
screening, assessment, brief intervention, and
prevention and treatment of SUD. HRSA/BHPr
referral for specialized treatment when indicated;
programs help ensure access to quality health care
professionals in all geographic areas and to all ■ The lack of competence and comfort of many
segments of society. HRSA/BHPr puts new health care professionals in providing substance-
research findings into practice, encourages health related services; and
professionals to serve individuals and communi- ■ The lack of a sufficient number of health profes-
ties where the need is greatest, and promotes sional faculty to teach substance abuse-related
cultural and ethnic diversity within the health competencies to current and future health profes-
professions workforce. SAMHSA/CSAT aims to sionals.
improve the lives of individuals and families
affected by alcohol and drug abuse by ensuring
access to clinically sound, cost-effective addiction Developing the Strategic Plan
treatment that reduces the health and social costs The development of this Strategic Plan began with the
to our communities and the Nation. formation of a Strategic Planning Advisory Committee
(SPAC). Individuals recruited for membership in the SPAC
were nationally recognized experts representing each of the
disciplines involved the project—dentists, dietitians, nurse-
Overview of This Executive Summary midwives, nurses, nurse practitioners, occupational
The purpose of this Executive Summary is to highlight therapists, pharmacists, physical therapists, physicians,
seminal points of the Strategic Plan for Interdisciplinary physician assistants, psychologists, public health profession-
Faculty Development. The summary describes how the als, rehabilitation counselors, social workers, speech
Plan was developed and outlines the critical role of health pathologists, and audiologists (see Executive Summary
professionals in SUD prevention and treatment. It summa- Appendix A). These experts were convened in 2000 to
rizes the content of the two major sections of the Strategic discuss the issues associated with improving interdiscipli-
Plan. The first section consists of a set of eight papers that nary training in SUD. Using a modified consensus-develop-
review the scientific evidence in support of the Plan; the ment approach, they defined a set of core competencies for
second section, consisting of 11 papers, presents a disci- all health professionals, irrespective of discipline (see
pline-specific perspective on health professions training in section entitled “Core Knowledge, Skills, and Attitudes in
SUD. The summary then lists the core knowledge, SUD for Health Professionals” below).
attitudes, competencies, and skills needed by health In addition, members of the SPAC, in conjunction
professionals in all disciplines in order to effectively with other national leaders in substance abuse, developed
identify, intervene with, and refer patients with SUD. discipline-specific papers that summarize the state of the art

2 HAACK AND ADGER

regarding education of health professionals about SUD and women who make up our nation’s health professional
provide recommendations and action steps for achieving workforce were equipped with the knowledge and skills to
desired goals within each of the respective disciplines. Each intervene in an appropriate manner and to facilitate
of the papers was subjected to peer review and was changes in the behaviors of those who are affected by this
modified before being accepted for inclusion in the disease.
Strategic Plan. Following further review of the papers, an
exhaustive stratification process was used to derive key
recommendations that cut across the professional disci- Summary of Evidence Supporting the
plines represented by the authors. The recommendations Strategic Plan
(see section entitled “Recommendations” below) represent To ensure that the Strategic Plan had a strong scientific
the collective input from SPAC members and outside base, key content areas were identified. Experts in each of
experts from all of the disciplines and hundreds of other these areas were then invited to submit papers for publica-
individuals who assisted in the review of materials in the tion in the document. Two types of papers were commis-
Strategic Plan. sioned: scientific and discipline-specific. The papers in
Section I of the Strategic Plan present a thorough review of
Expanding the Role of Health Professionals the literature and are intended to serve as a scientific
foundation for the recommendations. These papers also
in SUD provide a context within which to view the discipline-
Recognition of the deleterious effects of SUD is not a specific papers that appear in Section II.
new phenomenon. More than 200 years ago, America’s Each of the papers in Section I provides a synthesis of
first Surgeon General, Benjamin Rush, labeled “intemper- the seminal work in its respective content area and
ance” a disease. Four decades ago, the American Medical validates the relevance of the Plan’s recommendations.
Association formally acknowledged alcoholism as a medical Karol Kumpfer, Ph.D., reviews the major areas of SUD
illness and, a decade later, as a disease. In Mental Health: A prevention that are supported by research and indicates
Report of the Surgeon General, issued in 19991, and in why funding to support the development of health profes-
Healthy People 2010, issued by DHHS, addressing sional curricula and faculty development in SUD would
substance abuse is seen as a vital strategy for improving the help ensure the implementation of evidence-based preven-
health of the nation. tion practices. Michael Fleming, M.D., M.P.H., reviews the
Although the consequences of substance abuse have scientific evidence that supports the implementation of
long been recognized as pressing health concerns, health screening and brief intervention and the associated cost
professionals, including dentists, nurses, physicians, benefits. A. Thomas McLellan, M.D., reviews data over the
psychologists, social workers, and others, still do not past 15 years from clinical trials, treatment matching
identify and diagnose SUD with the same accuracy as they studies, and health services studies. This review suggests
do other illnesses or chronic conditions. For example, one that societal investment in treatment would provide an
study has shown that only 19% of physicians feel confident attractive return on investment. Mary Haack, Ph.D., and
about diagnosing alcoholism, and just 17% feel comfortable Farrokh Alemi, Ph.D., propose a method for expanding
diagnosing drug use. At the same time, there is evidence reimbursement for SUD prevention and treatment services
that training in SUD can have a sustained effect on health and its potential impact on enabling health professionals to
professionals’ ability to intervene with patients: Five years better address the needs of patients and their families.
after participating in a seminar on detection of and brief Kristen Barry, Ph.D., and colleagues review the research on
intervention for substance abuse, more than 91% of SUD in older adults and discuss the need for screening and
participants, who included physicians, nurses, physicians intervention procedures focused on the unique issues
assistants, social workers, and psychologists, stated they associated with drinking and drug use in later life. Hoover
were still using techniques they had learned at the interdis- Adger, M.D., M.P.H., and Michelle Leff, M.D., discuss
ciplinary seminar. substance abuse in children and adolescents; they review
the literature on children of substance-abusing parents, co-
The questions to be answered are straightforward:
occurring psychiatric disorders and SUD in children and
Why do health professionals lack the knowledge and skills
adolescents, and the challenge of screening in this popula-
they need to help their patients with SUD? What steps are
tion. Kathleen Brady, M.D., Ph.D., discusses the impor-
necessary to ensure a minimal level of competence for all
tance of early detection and appropriate treatment of SUD
health professionals who are being trained? What infra-
in individuals with psychiatric disorders or symptoms.
structure is necessary to ensure that all health professionals
Finally, Martha Brown, M.D., and colleagues review the
receive adequate training?
topic of health professionals impaired by SUD. A brief
Much of the morbidity and mortality, as well as the overview of each of these chapters may be found in
associated suffering and economic costs of substance abuse, Executive Summary Appendix B: Evidence Supporting the
could be reduced or eliminated if the millions of men and Strategic Plan.

EXECUTIVE SUMMARY 3
 Section II of the Strategic Plan includes 11 discipline- Knowledge Competencies
specific chapters authored by leaders in allied health,
General Concepts
dentistry, medicine, nurse-midwifery, nurse practitioners,
■ Common definitions and diagnostic criteria
nursing, pharmacy, physician assistants, psychology, public
■ Epidemiology of substance use and related disor-
health, and social work. Each of these chapters provides a
historical overview of prior efforts to educate health ders
■ Relationship of substance use disorders to family
professionals in SUD; a discussion of critical issues,
obstacles, and challenges; a distillation of critical core function and stability
■ Risk and protective factors
competencies for the profession; a vision for the future; and
a set of discipline-specific recommendations. A brief Prevention
overview of each of these chapters may be found in ■ Universal, selected, and indicated prevention
Executive Summary Appendix C: Discipline-Specific strategies, their effectiveness, and their application
Perspectives on Interdisciplinary Faculty Development. at the individual, family, and community levels
■ Risk and protective factors, including familial and
sociocultural influences
Core Knowledge, Skills, and Attitudes in SUD Alcohol and Other Drug Effects
for Health Professionals ■ Acute and chronic health effects of substance use
■ Pharmacology and behavioral effects of commonly
In 2000, members of the SPAC participated in a modified
consensus-development process in order to identify the abused substances
core knowledge and skills needed by health professionals. Evaluation and Management
The following four-point statement was developed on the ■ Treatment approaches, including outcomes,
basis of the group’s deliberations. Its purpose is to broadly effectiveness, and costs
describe the minimum knowledge and skills related to SUD ■ Behavioral change and motivational enhancement
for all health professionals. strategies
■ All health professionals should receive education in ■ Relationship and interaction of substance use

their basic core curricula to enable them to disorders and other psychiatric disorders
understand and accept alcohol and other drug ■ Cultural context of drug use and impact of gender,

abuse and dependence as disorders that, if appro- culture, and ethnicity on intervention and treat-
priately treated, can lead to improved health and ment
well-being. Legal and Ethical Aspects
■ All health professionals should have a basic ■ Confidentiality and protecting patients’ rights

knowledge of SUD and an understanding of their ■ Rules and regulations governing controlled

effect on the patient, the family, and the commu- substances

nity. Each practitioner should have an understand- Health Professional Impairment
ing of the evidence-based principles of universal, ■ Identification, management, reporting, recovery
selected, and indicated substance abuse prevention ■ Resources for health professionals impaired by
as defined by the Institute of Medicine. substance use
■ All health professionals should be aware of the Skill Competencies
benefits of screening for potential or existing All health care professionals should be able to
substance-related problems, as well as of appropri- ■ Recognize early the signs and symptoms of
ate methods for intervention. substance use disorders
■ All health professionals should have core knowl- ■ Screen effectively for substance use disorders in the
edge of treatment and be able to initiate treatment patient or family
or refer patients for further evaluation and manage- ■ Provide prevention and motivational enhancement
ment. At a minimum, all health professionals to assist the patient in moving toward a healthier
should have the ability to communicate an lifestyle, or referral for further evaluation or
appropriate level of concern and the requisite skills treatment
to offer information, support, follow-up, or referral Attitude Competencies
to an appropriate level of services. All health professionals should
In addition, the following cross-disciplinary core ■ Approach patients in a culturally sensitive and
knowledge, skill, and attitude competencies for health caring manner
professionals in SUD were identified by the SPAC: ■ Recognize SUD as a preventable, treatable condition

4 HAACK AND ADGER

 Recommendations
The 12 recommendations presented here are based on input from leaders in the disciplines of
allied health, dentistry, medicine, nurse-midwifery, nurse practitioners, nursing, pharmacy,
physician assistants, psychology, public health, and social work. They were ratified by a consen-
sus-building process and found relevant to all represented disciplines. The recommendations are
designed to inform policy makers, educators, and representatives of government and nongovern-
ment agencies, foundations, and others; to address improvements in the education of health
professionals; and to serve as a basis for improving the lives of persons affected by SUD and their
families. Resources will be needed to implement these recommendations. Therefore each
recommendation includes advice to responsible agencies to redirect present government funds,
provide leadership to change legislation, or seek new legislation, that would provide the
required resources. The recommendations presented recognize the reality that in order to
garner the support needed to address this important health problem, there must be a strong
voice in Congress to provide leadership in addressing SUD. The Health Professions Substance
Abuse Education Act of 2002, introduced in February 2002 as S. 1966 by Senator Joseph Biden,
Jr. (D-DE), in the U.S. Senate and as H.R. 3793 in the U.S. House of Representatives by Repre-
sentative Patrick Kennedy (D-RI), addresses some of the important funding issues necessary to
make substantial gains in this area. Senators Michael DeWine (R-OH) and Carl Levin (D-MI) are
cosponsors of the Senate version. Recommendations 1, 4, and 5 are specifically addressed in the
companion bills, which are of great significance, given the historical lack of desperately needed
support for health professions education.

Recommendations to the Secretary of the Department of Health and

Human Services and to the U.S. Surgeon General

1. The Secretary of the Department of Health and Human Services should

create a Secretary’s Advisory Committee on Health Professions Education
on Substance Use Disorders. A key task of this committee should be to
develop and issue an annual report that summarizes progress made on
implementing the recommendations made in this strategic plan as well as
the status of other recommendations for improving interdisciplinary aca-
demic training for all health professionals and health professional faculty.
Rationale. The problem of substance abuse in the United States is of such magnitude, and
training of health professionals is currently so insufficient to address it, that a Secretary’s
Advisory Committee is needed to ensure that this issue receives the high-level priority it
requires. In addition, there needs to be a means through which advice and recommendations
concerning policy and program development in SUD (substance use disorder) education can be
examined and progress can be monitored. The committee should present its first report to the
Secretary in Fiscal Year 2003.
The Secretary of DHHS has unique visibility, decision-making powers, and authority. His
support would stimulate thought and action about the issue of interdisciplinary health profes-
sionals training in substance abuse. By creating an advisory committee, the Secretary would
publicly signify his recognition of the urgency of the issue and his commitment to resolving it.
The committee would ensure that the education, prevention, and treatment communities and
constituencies they serve would have an ongoing voice in DHHS policy making and priorities. It
would ensure greater public visibility of the issue of health professionals training in SUD. It
would also ensure a means through which the Federal government could respond rapidly to
emerging issues in the field, such as bioterrorism and its link to mental health problems and co-
occurring substance use and misuse.

EXECUTIVE SUMMARY 5
 It is essential that the advisory committee be broadly representative of the health profes-
sional education, prevention and treatment communities and their constituencies. Thus, its
members should comprise representatives of vulnerable populations from rural and urban
settings; practicing health professionals engaged in training; leaders from health professions
organizations; faculty from health professionals institutions; health professionals from public or
private teaching hospitals or community-based settings; representatives from key private
foundations with an interest in SUD; and health professionals engaged with business, labor, and
private and Federal agencies that already fund or could fund SUD training, prevention, interven-
tion, referral, and treatment.
Responsible Agents. A legislative mandate does not presently exist to support this recom-
mendation. However, S. 1966 designates that an interagency oversight committee be estab-
lished for this purpose. The responsibility for convening this group and for Committee manage-
ment should appropriately be assigned to the Director of the Office of the National Drug Control
Policy in coordination with the Health Resources and Services Administration’s Bureau of
Health Professionals (HRSA/BHPr) and the Substance Abuse and Mental Health Services
Administration (SAMHSA), particularly its Center for Substance Abuse Treatment (CSAT). The
Centers for Medicare and Medicaid Services (CMS, formerly the Health Care Financing
Administration, or HCFA) and representatives of private health insurance companies, private
foundations with interest and experience in SUD, such as the Robert Wood Johnson Founda-
tion, the Macy Foundation, the Liberty Foundation, and the Hartford Foundation, and advocacy
groups such as the National Association for Children of Alcoholics would be invited to partici-
pate in committee deliberations and to offer their input into its decisions.

2. The U.S. Surgeon General should develop and disseminate a Surgeon

General’s Report on the State of Substance Use Disorders Prevention and
Treatment in the United States.
Rationale. A Surgeon General’s Report on the State of Substance Use Disorders Prevention
and Treatment in the United States is needed to inform policy makers and the public of the
extent, nature, and consequences of SUD.
One section of this report should be devoted to an exploration of the current status of health
professionals training in SUD and to recommendations for improving the knowledge and skills
of health professionals in preventing, diagnosing, and treating SUD. This document could guide
the training of health professionals in science-based prevention and treatment of SUD. Dissemi-
nated to policy makers, health professionals, the media, and the public, the report would
galvanize needed action on the part of public and private organizations and agencies at the
local, State, and Federal levels.
Historically, reports issued by the Office of the U.S. Surgeon General have been a powerful
and persuasive force for positive change in our nation’s health. For example, the recent publica-
tion of the Surgeon General’s Report on Mental Health has been hailed by many as an important
breakthrough. Such reports have saluted the improvements of the public health through medical
science. They have disseminated information on ambitious, often innovative, approaches to
health care services. Equally important, they have raised national awareness of the disparities in
the availability of and access to effective mental health care. A Surgeon General’s report on the
State of Substance Use Disorder Prevention and Treatment could have an enormous impact on
improving access to prevention and treatment services for all Americans.
Responsible Agents. Office of the Surgeon General, in partnership with HRSA and SAMHSA.

6 HAACK AND ADGER

 Recommendations to Federal Agencies

3. Convene a National Forum on Health Professions Education on Substance

Use Disorders.
Rationale. The National Forum on Health Professions Education on Substance Use Disorders
would serve as a dynamic and high-profile event from which to launch a national, ongoing
program to improve health professions education in SUD. The 2-day Forum would ensure that
valuable information that has been developed through Federal research and program develop-
ment grants is brought to the attention of stakeholders. The forum could serve as a catalyst for
promoting a shared perception of the problem and a coordinated plan for moving forward. This
recommendation is already partially being implemented and a work plan is in place.
The National Forum should have four purposes:
■ To launch the Strategic Plan for Interdisciplinary Faculty Development, which contains
the consensus on recommended core competencies in SUD prevention and treatment
for health professionals in medicine, nursing, nurse-midwifery, social work, dentistry,
pharmacy, allied health, psychology, and public health. The Strategic Plan could be an
important and timely resource to the newly formed Secretary’s Advisory Committee,
which is proposed in Recommendation 1.
■ To provide a national showcase for the activities and accomplishments of Project
MAINSTREAM (see Recommendation 4).
■ To disseminate key information and supporting documentation on substance abuse
services that could and should be provided by generalist health care professionals. Of
particular importance is the dissemination of documents that contain information on
evidence-based principles of universal, selected, and indicated prevention strategies;
screening protocols for identifying potential or existing substance-related problems; and
methods for intervention, initiation of treatment, and referral. The national forum
would serve as a means to bring together new scientific findings related to SUD,
particularly from the National Institute on Drug Abuse (NIDA) and its Clinical Trials
Network, the National Institute on Alcohol Abuse and Alcoholism (NIAAA), the Human
Genome Project, the Office of Social Sciences and Behavioral Science of the National
Institutes of Health, and others.
■ To focus on the role of technology in substance abuse prevention and treatment and its
utility in the education and training of health professionals.
Responsible Agents. HRSA/BHPr and SAMHSA/CSAT, through the cooperative agreement
with AMERSA and in partnership with private foundations that have demonstrated a commit-
ment to SUD.

Recommendations for Translating Research into Education and Practice

4. Expand Project MAINSTREAM, a federally supported, university-based

interdisciplinary faculty development program in substance use disorders.
Rationale. HRSA/BHPr and SAMHSA/CSAT currently support an interdisciplinary faculty
fellowship program entitled Project MAINSTREAM (Multi-Agency Initiative on Substance Abuse
Training and Education for America) Administered by AMERSA, Project MAINSTREAM trains
interdisciplinary faculty teams in SUD in university settings. The objectives of the project are to
have in every U.S. health professional education and training program at least two faculty with
demonstrated competencies in substance use screening, intervention, and referral; identifying
and assisting children of parents with SUD; advising communities on implementing substance
abuse prevention programs; and training others in these competencies.

EXECUTIVE SUMMARY 7
 The objectives of Project MAINSTREAM were established to help achieve the goals set
forth in Healthy People 2010. To meet these objectives, it has been determined that (1) 80% of
all graduating health professionals will have training in basic competencies for prevention and
treatment of individuals and families with SUD by the year 2010; and (2) every health profes-
sional education or training program university will have at least two faculty members who are
qualified to develop and implement the necessary curriculum changes.
Project MAINSTREAM has had remarkable success; however, it is limited in scope and
penetration. As currently structured and funded, it will provide only a small percentage of the
workforce capability needed to have a substantial effect on public health. Moreover, this project
is slated to conclude in 2004. Continued support for this or another markedly expanded
initiative is needed to ensure that competent faculty are available to carry out these important
training roles. Once trained, this critical mass of faculty would ensure that the prevention and
treatment of SUD receives due emphasis in health professions training. Health professional
education is addressed in Section 3 of S. 1966.
Responsible Agents. HRSA/BHPr, SAMHSA/CSAT.

5. Create a HRSA Interdisciplinary Faculty Development Fellowship Specialist

Training Program in substance use disorders.
Rationale. In addition to the university-based team training provided under Project MAIN-
STREAM, as outlined in Recommendation 4, support is needed for developing interdisciplinary
specialist-educators in substance abuse. This advanced specialty training would be available to
alumni of Project MAINSTREAM and other advanced-level specialist-educators. The existence
of a trained corps of specialist-educators would enable each State to make available to its health
professional education and training programs dedicated specialists in SUD education. These
individuals would serve as resources or on an advisory basis for all health professions training
institutions. These specialists should have expertise in such areas as culturally competent and
gender-specific SUD prevention and treatment strategies for vulnerable populations (e.g., adults
and adolescents with dual diagnoses, older persons, children in families affected by SUD, and
individuals and families involved in the justice system) in underserved areas.
The HRSA/BHPr Faculty Training Program in Geriatrics is a prototype of this proposed
fellowship. However no legislation currently exists to support such a program in SUD. New
legislation that includes a substance abuse faculty fellowship similar to that proposed in S. 1966
is needed.
Responsible Agents. HRSA/BHPr, SAMHSA/CSAT, and Center for Substance Abuse
Prevention (CSAP), in collaboration with private foundations.

6. Establish funding for six to ten regional interinstitutional consortia that

would serve as national centers of excellence for leadership in Interdisci-
plinary Faculty Development in Substance Use Disorders.
Rationale. The mission of the proposed regional interdisciplinary consortia would be to
develop and maintain a transorganizational base of affiliated individuals and organizations
concerned with specific issues related to SUD. The consortia would be centers of excellence
that would initiate, promote, and implement training, research, and clinical activities related to
targeted issues or special areas of focus such as brief intervention in the general health setting,
children and families, older persons, maternal and child health issues, persons with dual
diagnoses, prevention in the general health setting, and clinical practice standards for primary
care providers.
The consortia would provide opportunities for interdisciplinary and interinstitutional
collaboration in curriculum development, course development, clinical practice, research and

8 HAACK AND ADGER

 translation of research into practice, policy analysis and formulation, resource development, and
networking to advance knowledge and practice. These activities could be carried out through
distance-based learning and online instructional technology.
The current Geriatric Education Centers (GEC) program is a prototype for these consortia.
Responsible Agents. Currently, no legislation exists to support national centers of excel-
lence for leadership in interdisciplinary faculty development in SUD. To carry out this recom-
mendation, new legislation would be required. It is suggested that HRSA/BHPr consider
including national centers of excellence in SUD when it seeks reauthorization of Title VII.
HRSA/BHPr would be responsible for implementing the program. Collaboration should also be
sought from the SAMHSA/CSAT, NIAAA, NIDA, the National Institute of Mental Health
(NIMH), and private foundations.

7. Use established grant mechanisms to ensure that funding priorities or

opportunities are assigned to grant proposals submitted for funding under
Title VII (faculty development for physicians and dentists), Title VIII (fac-
ulty development for nurses), Title I (HIV/AIDS Ryan White Care Act), and
Title V (Maternal Child Health Bureau) programs that place appropriate
emphasis on training in substance use disorders.
Rationale. These four programs have played key roles in health professional faculty develop-
ment. They have served as a vital link for many of today’s leaders in the field and have facili-
tated the development of the curricula currently used in many health professional schools. The
focus of these programs should be broadened to provide mechanisms for upgrading training and
education for physicians, dentists, and nurses in SUD. This could be done by using an existing
HRSA mechanism, which is to give grant applicants that include certain designated areas in
their proposals funding preference, funding priority, or special consideration during the grant
review process.
Responsible Agents. HRSA. New priorities for Titles VII and VIII would require a change in
the legislation. During reauthorization efforts, it is suggested that HRSA seek legislative change
in order to create funding priorities for grant proposals that address SUD.

8. Increase funding for existing federally supported regional infrastructures in

order to maximize the documentation and dissemination of information for
improving health professionals education in substance use disorders.
Rationale. At a time of limited funding, it is particularly important to avoid duplication of
services and to use existing programs and resources as fully as possible. Within the past decade,
the Federal government has taken significant steps to create regional infrastructures to support
the dissemination of evidence-based strategies for educating and training health professionals in
SUD. Two hubs of regional activity, each with a distinct focus, are the Area Health Education
Centers (AHECs), supported by HRSA/BHPr, and the Addiction Technology Transfer Centers
(ATTC) supported by SAMHSA/CSAT. Another is the Clinical Trials Network supported by the
National Institutes on Drug Abuse. Greater effort is needed to enhance these programs and to
ensure dissemination to the field of information about their programs and resources, especially
those transmitted by distance-based learning and online instruction technologies. Of particular
importance would be to ensure that Web sites of these organizations are easy to access, and that
a means is found for updating them frequently to incorporate emerging research findings and
trends. Programmatic attention is needed to focus on health professionals education in SUD.
This most likely will require a redirection of funds.
Responsible Agents. DHHS, HRSA/BHPr, SAMHSA/CSAT, NIDA, NIAAA.

EXECUTIVE SUMMARY 9
 Recommendations to Agencies and Organizations in the Public and
Private Sectors
The goals set forth in this Strategic Plan for Interdisciplinary Faculty Development: Arming the
Nation’s Health Professional Workforce for a New Approach to Substance Use Disorders call for
a profound and pervasive change in the education of health professionals. Achieving these goals
will require the cooperation of public and private organizations and agencies; it cannot be done
by the Federal government alone. The following four recommendations suggest a role for the
Federal government, as well as State and private organizations and agencies, in creating
systemic changes in the interdisciplinary training of health professionals and health professional
faculty in SUD.

9. Convene representatives of licensure, certification, and accreditation

bodies in the health professions to consider how their examinations and
certification requirements address key knowledge and concepts relating to
the prevention and treatment of substance use disorders.
Rationale. Core curricula in the health professions are strongly influenced by licensing
examinations and certification requirements. If items on the prevention and treatment of SUD
were included in the licensing and certification examination, the topic of SUD would receive
more emphasis in the core curriculum of each discipline.
Licensing and certification examinations should include questions relevant to methods of
screening; brief intervention; motivational interviewing; pharmacotherapy and psychosocial
interventions for relapse prevention; treating and referring for comorbid medical and psychiatric
conditions; and recognizing and referring professional colleagues impaired by substance use.
Questions should also focus on the legal and ethical issues involved in the care of individuals
with SUD and their families. The first opportunity for such discussion would be the National
Forum proposed in Recommendation 3, to which key representatives from these bodies would
be invited.
Responsible Agents. Liaison representatives for Federal agencies, in partnership with private
and public organizations, should take the lead in bringing this issue to the attention of key
organizations with which they interact. Groups that should collaborate in this effort include
State and discipline-specific organizations, including the Liaison Committee for Medical
Education, the Residency Review Committees of the Association of Colleges of Graduate
Medication Education, the American Medical Association, the American Osteopathic Associa-
tion, the United States Medical Licensure Exam, the American Board of Medical Specialties, the
National Council of State Boards of Nursing, the American Association of Colleges of Nursing,
and the licensing and accrediting bodies of other disciplines in the health professions.

10. Expand health care workforce studies to examine the impact of the
current health professional shortage on the capacity to deliver substance
use disorder prevention and treatment and to educate health profession-
als and faculty in substance use disorders.
Rationale. Current labor projections forecast continuing and worsening shortages in many of
the health professions. The impact of this shortfall on the nation’s health care system has not
been fully explored. Whatever its impact may be, it is certain that a significant shortage of
health care professionals will have a direct and negative effect on the delivery of SUD preven-
tion and treatment services. The number of treatment facilities may decrease; in addition,
primary providers, forced to see more patients in less time, will find it necessary to focus on
their chief presenting complaints. They may have even less time to question patients about
substance abuse, perform brief interventions, or refer patients for evaluation for SUD.

10 HAACK AND ADGER

 A study of the predicted extent and impact of the workforce shortage would enable the
health care system to better allocate human and financial resources and help ensure their
equitable distribution. Federal leadership is needed to seek additional funding for this purpose.
A prototype of this study is the Genetic Workforce Study now being carried out by HRSA’s
National Center for Workforce Development.
Responsible Agents. HRSA/BHPr and National Center for Workforce Development, Depart-
ment of Labor, State agencies that monitor workforce needs, foundations interested in health
care professionals workforce issues, Association of American Medical Colleges, Council on
Graduate Medical Education, American Association of Colleges of Nursing, and other profes-
sional associations concerned with workforce data.

11. Support efforts by individual health care disciplines to develop baseline

data on substance use disorder curricula currently in place and on re-
quired competencies in the prevention, diagnosis, and treatment of
substance use disorders.
Rationale. Improvements in the education of health professionals must be based on awareness
of existing curricula. The development and implementation of new curricula must be guided by
accurate data. For this reason, each discipline in the health professions must collect data on the
curricula being offered in schools and universities, analyze the data, and use the findings to
make recommendations for the future.
Federal support is needed to seek additional funds to enable all disciplines in the health profes-
sions to engage in similar surveys of the state of the art in health professional education and
training in their fields. A representative example of such a study, which was supported by HRSA
is an article by Fleming and colleagues entitled “Medical Education about Substance Abuse:
Changes in Curriculum and Faculty between 1976 and 1992” (Acad Med. 1994;69:362).
Responsible Agents. Federal agencies, in collaboration with discipline-specific health
professional organizations, schools, colleges, and universities.

12. Enable and provide incentives to the Centers for Medicare and Medicaid
Services (CMS) to study and set rates for reimbursement for SUD preven-
tion and treatment services in nonhospital settings for qualified primary
care health professionals.
Rationale. The mental health and SUD fields are plagued by disparities in the availability of
and access to services. Part of the problem is due to poorly conceived policies concerning
reimbursement for services provided for SUD.
Reimbursement is often dependent on the location in which a service is provided, rather
than on the service itself. For example, physicians can be reimbursed for prevention and
treatment services provided in acute care and other specialized substance use treatment
settings; however, physicians and other primary care providers cannot be reimbursed for the
same services when they are provided in their offices or other primary care settings. Moreover,
there is a lack of reimbursement in any setting for screening, intervention, case management,
and referral for treatment of coexisting and psychiatric conditions, as well as for prevention and
treatment for affected family members. Yet another issue is that reimbursement, if given at all, is
often restricted to physicians. Other front-line providers, such as physician assistants, nurse
practitioners, nurse-midwives, allied health professionals, dentists, pharmacists, psychologists,
and social workers, cannot be reimbursed for these services. This is unfortunate, since these
providers are in an optimal position to screen, recognize, diagnose, and treat SUD.
Reimbursement should also be comprehensive, i.e., it should cover such key interventions
as pharmacotherapy, psychosocial interventions, management of withdrawal, relapse prevention,

EXECUTIVE SUMMARY 11
 case management, and referral for treatment of coexisting medical and psychiatric conditions, as
well as prevention and treatment for affected family members.
Responsible Agents. CMS, private insurance companies, with advice from SAMHSA/CSAT.

Conclusion
The recommendations contained in this Executive Summary are based on the input of the most
knowledgeable scientists and health professionals in practice and teaching. A number of the
recommendations will require new legislation or a change in existing legislation. It is essential
that the Federal government take the lead in making these changes. It is impossible for any one
professional association or private foundation to accomplish what is needed. No doubt success-
ful implementation will require the concerted effort of organizations and individuals in the
public and private sectors, but without Federal leadership and support the Nation’s health
professional workforce will be inadequately armed to address the public health fight against
SUD and the many problems associated with it. The cost to the Nation is simply too great.
Every day, a child is placed in the foster care system because the mother’s nurse-midwife knew
how to deliver her baby but did not know how to address the mother’s cocaine problem, a
promising athlete drops out of school because his physical therapist knew how to treat his
injured knee but not how to appropriately refer him for help with his heroin problem, a father
dies of cirrhosis because his physician knew how to diagnose his liver disease but not the
alcohol dependence that caused it, and a talented actor dies of lung cancer because his dentist
knew how to care for his teeth but not his tobacco dependence. Every day individuals are
brought before judges in family and criminal court because of a substance use-related charge,
and every day judges grapple with the fact that punishment does not stop addiction, treatment
does.
Ensuring that all health professionals are equipped with the knowledge, skills, and attitudes
to respond appropriately to the needs of patients and families affected by SUD is vital to
addressing the number-one health problem in America. The education and training of health
professionals in all disciplines is key to ensuring that SUD are prevented, identified, and
appropriately treated. The assistance of the Federal government is critical to this effort.

12 HAACK AND ADGER

 Executive Summary Appendix A
Members of the SPAC Advisory Committee

Hoover Adger, Jr., MD, MPH Nicole M. Deggins, CNM, Perri Morgan, PA-C, MS
Associate Professor MSN, MPH Physician Assistant Program
School of Medicine University of Mississippi University of Wisconsin
Johns Hopkins University Medical Center Madison, WI
Baltimore, MD Lexington, MS
Madeline A. Naegle, RN,
Kristen Lawton Barry, PhD Ernest J. Dole, PharmD, PhC, PhD, FAAN
Senior Associate Research Scientist FASHP, BCPS, CDE Associate Professor,
Department of Psychiatry Manager, Clinical Pharmacy Services Division of Nursing
Division of Substance Abuse Lovelace Health Systems New York University
University of Michigan Clinical Associate Professor New York, NY
Ann Arbor, MI 48108 of Pharmacy Practice
School of Pharmacy Patrick G. O’Connor,
John A. Bonaguro, PhD University of New Mexico Health MD, MPH
Acting Dean and Sciences Center Professor of Medicine
School of Health Sciences Albuquerque, NM Chief, Primary Care
and Human Performance Section of General Internal Medicine
Ithaca College David A. Fiellin, MD Yale University School of Medicine
Ithaca, NY Assistant Professor of Medicine New Haven, CT
Yale University School of Medicine
Kathleen T. Brady, MD, PhD New Haven, CT Pat Paluzzi, DrPH, CNM
Professor Chief, Perinatal & Women’s
Department of Psychiatry Mary R. Haack, PhD, RN, FAAN Health Branch
Medical University of South Carolina Associate Professor Baltimore City Health Department
Charleston, SC School of Nursing Baltimore, MD
University of Maryland
Richard L. Brown, MD, MPH Baltimore, MD Christopher L. Ringwalt, DrPH
Project Director Center Director
Department of Family Medicine Catherine Judd, PA-C, MS Pacific Institute for Research
University of Wisconsin Assistant Clinical Professor and Evaluation
Madison, WI of Health Care Science Chapel Hill, NC
Department of Physician
Richard Butler, DO Assistant Studies Lala Straussner, DSW
Associate Professor of Medicine University of Texas Professor, Social Work
College of Osteopathic Medicine Allied Health Sciences School Ehrenkranz School of Social Work
Michigan State University DeSoto, TX New York University
Director of Medical Education New York, NY
St. John Oakland Hospital David C. Lewis, MD
Madison Heights, MI Director Elias Vasquez, PhD, NP, FAAN
Center for Alcohol & School of Nursing
Arden G. Christen, DDS, Addiction Studies University of Maryland
MSD, MA Brown University Baltimore, MD
Department of Oral Biology, Providence, RI
School of Dentistry
Indiana University
Indianapolis, IN

EXECUTIVE SUMMARY 13
 Executive Summary Appendix B
Evidence Supporting the Strategic Plan

Key points of evidence supporting this Strategic Plan, Assessment, Screening, and Brief Intervention
drawn from eight scientific papers commissioned in
conjunction with the interdisciplinary faculty development for SUD in General Health Settings
project, are as follows: ■ Studies suggest that 50 million Americans drink alcohol
above recommended limits or use illicit drugs. The U.S.
health care system offers an ideal opportunity to identify
Prevention and treat these people and thereby reduce associated
■ After 20 years, the substance use disorder (SUD) adverse effects on health, family, and society.
prevention field has matured past the early scare-tactic ■ This chapter reviews the scientific evidence that
interventions and is now characterized by well- supports the implementation of alcohol screening, brief
researched, comprehensive, and effective prevention intervention, and pharmacotherapy in the U.S. health
programs. Best practices are those with research care system. Although the paper focuses on efficacy
evidence in decreasing substance use, delaying age of research, information on effectiveness studies and on
onset of use, improving protective factors, and decreas- the integration of primary care with specialized alcohol
ing risk factors related to later use. and drug treatment programs is included.
■ This chapter describes in detail six major SUD preven- ■ The cost benefits of screening and brief intervention can
tion approaches: (1) community partnership strategies, be considerable. One study found that nearly $1,000 in
which involve coalitions of community leaders, costs relating to crime, motor vehicle crashes, and
organizations, and citizens who conduct community health care can be saved for every individual who
assets or needs assessments, develop comprehensive undergoes alcohol screening and, if necessary, brief
strategic plans, and implement prevention projects, intervention.
including advocacy for policy change; (2) community
environmental change, which focuses on enacting laws,
policies, ordinances, and sales or server practices that SUD Treatment
reduce the production, sale, distribution, and thus ■ Doubts about the value of substance abuse treatment
availability of and access to alcoholic beverages or appear to be based primarily on public perceptions
tobacco products; (3) family-strengthening strategies, about addiction and about what would be an effective
which promote a positive family environment; (4) addiction intervention. There is widespread skepticism
individual social competency strategies, which involve about the advisability, effectiveness, and value of
intensive social or life skills training and are imple- treatments for addiction. This chapter considers these
mented in school settings; (5) school climate strategies, questions from several perspectives. Part I explores
which seek to shift school norms and practices to be whether there is evidence to suggest that addiction
more supportive of non-use and address many of the could be an illness. Part II examines the evidence base
risk and protective factors that mediate use, such as for recently developed medications and medically
school bonding, self-esteem, association with non-using oriented behavioral interventions. Part III reviews the
friends, a supportive school climate, and positive family research on specific treatment processes and compo-
relations; and (6) multicomponent prevention ap- nents. This review covers the past 15 years and
proaches. includes data from clinical trials, treatment matching
■ The greatest challenge facing the SUD prevention field program studies, and health services studies in which
is to disseminate to community prevention practitioners the patients were adults who were clearly alcohol- or
and health professionals information about the best drug-dependent and in which there were measures of
prevention programs, approaches, and principles of treatment processes and post-treatment outcome. Part
effectiveness. In many communities, such practitioners IV discusses why addiction treatment, when considered
are health professionals; in others, health professionals in an appropriate framework, is not as effective as are
could serve as advisors. Funding to support the develop- treatments for other medical disorders. The examina-
ment of health professional curricula and faculty tion of this issue leads to important conclusions
development in SUD prevention would help ensure the regarding how the public conceptualizes addiction
implementation of evidence-based prevention practices. treatment, how treatment programs typically provide it,
and how researchers have evaluated it. Suggestions are

14 HAACK AND ADGER

 made concerning how addiction might be treated and ■ This chapter reviews the research on substance abuse in
insured and how treatment outcomes would be older adults. Older adults with alcohol or other drug
evaluated if it were considered a chronic illness. problems are a special and vulnerable population who
■ The research reviewed suggests that societal investment require screening and intervention procedures focused
in treatment would provide an attractive return on the on the unique issues associated with substance use in
investment. Both controlled clinical trials and large- later life. Drinking problems are by far the largest class
scale field studies have shown statistically and clinically of substance abuse problems seen in older adults today.
significant improvements in drug use and in the drug- Prescription drug abuse is also of concern. However, as
related health and social problems of treated individu- the “baby boom” generation reaches later life, clinicians
als. Further, these improvements translate into substan- may see a greater use of illicit drugs in their older
tial reductions in social problems and costs patients.
■ Despite the high prevalence of alcohol problems, most
elderly patients with alcohol problems go unidentified
Reimbursement for SUD Services by health care personnel. Given the high utilization of
■ Traditionally, health professionals in out-of-hospital general medical services by the elderly, physicians and
settings have not provided primary, secondary, or other health care professionals can be crucial in
tertiary interventions for patients with SUD. There are identifying those in need of treatment and providing
at least two key reasons. First, most primary care appropriate interventions.
providers lack the training and skills to provide SUD
treatment; second, reimbursement rates have not been
determined for these services. This is unfortunate, Impact of SUD on Children and Adolescents
because primary care providers may detect SUD sooner, ■ Alcohol, tobacco, and other drug use poses a serious
treat patients in fewer visits, require fewer specialist threat to the health of children and adolescents. It is
referrals, and produce better outcomes than other estimated that one out of four children in the United
providers do. States under 18 years of age is exposed to alcohol abuse
■ This chapter describes a method for expanding reim- or alcohol dependence in the family. This figure is
bursement for SUD treatment services that would magnified by the countless numbers of other children
require major changes in Medicaid, the system under adversely affected by parents who are impaired by other
which thousands of individuals with SUD receive psychoactive drugs.
primary care treatment. Many more individuals would ■ Primary care providers and other health care profession-
undoubtedly benefit from SUD treatment if Medicaid als are in an ideal position to provide preventive
were structured to cover SUD prevention and treatment guidance, education, and intervention to children,
services provided by primary care providers in out-of- adolescents, and their families.
hospital settings. ■ This chapter discusses the problem of substance abuse
■ If primary care providers were trained in standardized in children and adolescents and reviews the literature
protocols that met Medicaid requirements for treatment on children of substance-abusing parents, co-occurring
of patients with SUD in out-of-hospital settings, then the psychiatric illness and SUD in children and adolescents,
treatment capacity in the United States would dramati- and the challenges of screening in this population.
cally increase. If rates for Medicaid reimbursement of
primary care providers in out-of-hospital settings were
established, then every eligible health professional Patients with Dual Diagnosis
would be motivated to learn the necessary skills, and to ■ Patients with both psychiatric disorders and SUD are
meet the objectives set forth in Healthy People 2010. commonly found in primary care settings. This chapter
discusses why detecting and treating SUD in individuals
with psychiatric disorders or psychiatric symptoms is
SUD in Older Adults essential to successful treatment.
■ As a growing number of people reach later life, the ■ It is of critical importance that individuals treated for
promotion of healthy lifestyles and primary disease psychiatric disorders be screened and assessed for SUD,
prevention among older adults is a critical issue. The because it is likely that the threshold for damaging use
occurrence of a number of acute and chronic diseases in of substances is lower for individuals with psychiatric
late life leads to the high utilization of health care disorders than for other individuals. Persons with
among the elderly.1989 #1230}” Many of these medical psychiatric disorders are also at greater risk for develop-
and psychiatric diseases are influenced by lifestyle ing abuse and dependence than are individuals in the
choices and behaviors, including the consumption of general population, who may abuse substances without
alcohol and other drugs. developing harmful and long-lasting sequelae.

EXECUTIVE SUMMARY 15
■ The comorbidity of psychiatric disorders and SUD is ■ The research reviewed in this chapter suggests that
common and has a substantial impact on the course of successful treatment programs have been developed for
illness and treatment outcome. This chapter discusses physicians, nurses, dentists, pharmacists, and other
some of the promising discoveries and improvements in health professionals, but that few if any prevention
the treatment of dually diagnosed patients and the programs exist. Research is needed to develop effective
importance of integrating information concerning the prevention programs and to identify the most effective
assessment and treatment of these individuals into SUD treatment programs for professionals impaired by SUD.
training curricula. Research is needed to identify best-practice programs
that promote the recovery of health professionals
impaired by SUD and protect the public.
Health Professionals Impaired by SUD ■ Health professional curricula and licensing examina-
■ The lifetime prevalence of substance abuse and tions should be modified to include content on the
dependency is 23.8% for men and 6.2% for women. If recognition and referral for treatment of health profes-
the rate for health professionals even approaches that of sionals impaired by SUD.
the general population, the threat to the integrity of the
health care system and to patients is significant if health
professionals impaired by SUD go unrecognized and
untreated.

16 HAACK AND ADGER

 Executive Summary Appendix C
Discipline-Specific Perspectives on Interdisciplinary Faculty Development

Key points of evidence for improving interdisciplinary 1.2% of the BHPr budget. No grants have been awarded
faculty development in substance use disorders (SUD), in SUD education for the allied health professions. One
drawn from the 11 discipline-specific papers commissioned chief reason is the lack of faculty prepared to teach such
in conjunction with the preparation of this Strategic Plan, programs.
are as follows:

Dentistry
Allied Health ■ The American Dental Association (ADA) directed its
■ Practitioners in six allied health disciplines—dietetics, Council on Dental Practice to form the Advisory
physical therapy, occupational therapy, rehabilitation Committee on Chemical Dependency Issues and to
therapy, speech-language pathology and audiology, and serve as a clearinghouse for SUD treatment programs
therapeutic recreation—are most directly involved in for dentists in 1984. This group focuses on providing
patient assessment and treatment. Some 475,000 resources for impaired dentists.
professionals work in these fields. Most have no ■ ADA adopted a policy statement on chemical depen-
training or very little training in SUD screening, dency in 1986. That statement urges institutions
assessment, and intervention. responsible for dental education to allocate adequate
■ Currently there is no infrastructure to support allied curricula to SUD.
health faculty participation in educating allied health ■ Many dental schools base their curricula on core
professionals about SUD. content outlined in 1988 by the Pharmacology and
■ Among the six major disciplines of allied health, there Therapeutics Section of the American Association of
have been no studies on curriculum content or educa- Dental Schools. The guidelines cover nicotine and
tional methodologies related to SUD, impaired profes- tobacco, controlled substances, and illegal drugs. These
sionals, or the continuing education (CE) needs of allied guidelines are not sufficient for today’s dentists, who
health professionals in SUD. should play active roles in the prevention, intervention,
■ Core competencies in substance abuse are not consid- and referral and need to acquire the skills necessary to
ered an essential component of professional education take on these responsibilities
by most allied health accrediting bodies. However, the ■ Licensure requirements in dentistry do not include core
accreditation bodies of many of the disciplines have competencies and skills in SUD, and no studies on the
identified specific knowledge, skills, and core compe- curriculum content or education methodologies related
tencies that are directly related to screening and to SUD exist. Dentists have never had federal support
assessment for SUD. for faculty development programs in SUD.
■ Traditionally, education in SUD for allied health ■ With respect to SUD, the dental profession has been
professionals has focused on biomedical concepts and most active in tobacco-cessation programs. This
pharmacology; there has been little emphasis on skills commitment began with the issuance of a resolution by
development. the ADA at the time of the publication of the Surgeon
■ Of the six disciplines, physical therapy has made the General’s 1964 report. The profession has taken an
greatest strides in developing curricula and in address- active role in encouraging and training members of the
ing SUD within the profession. Practice standards are oral health team to become active in tobacco-cessation
outlined in the Commission for the Accreditation of efforts. Dentists were trained as smoking-cessation
Physical Therapy Education Criteria, two of which change agents under the National Cancer Institute
support the physical therapist’s role in screening, Community Intervention Trial for Smoking Cessation
wellness, and prevention. Absent is a means for training and the follow-up effort, American Stop Smoking
physical therapists for assuming these roles. Intervention Study.
■ Federal support for improving the training of allied
health professionals is very limited. In 1999, the budget Medicine
for allied health project grants offered by the Health ■ A 1998–1999 survey showed that of 125 allopathic
Resources and Services Administration’s Bureau of
medical schools, training in substance abuse was
Health Professionals was $5.3 million, which is only
provided as part of a larger required course in 119

EXECUTIVE SUMMARY 17
 schools; only 10 had separate required courses. Forty- Association and the Society of Teachers of Family
five schools offered an elective course on this topic. The Medicine, have been responsible for significant contri-
greatest emphasis in these courses is on biomedical butions to the development of existing curricula.
complications of substance abuse. There is less empha-
sis on skill building for SUD prevention, intervention,
and referral. Nurse-Midwifery
■ All colleges of osteopathy responding to a survey ■ Core competencies, developed by the American College
reported offering substance abuse content in their of Nurse-Midwives (ACNM), include SUD as part of the
curricula in 1998–1999; however, only 3 of 11 knowledge base needed to provide care for childbearing
respondents to another survey, which involved 17 women. There are no specific requirements concerning
schools, offered separate courses in the first two years of content, and ACNM does not have a policy regarding
medical school, and none had required clerkships. the provision of care to women with SUD during other
times of their life cycles.
■ Despite the recommendations of professional organiza-
tions, most residency programs have not taken mea- ■ A survey of the 42 ACNM-accredited programs (50%
sures to more fully integrate substance abuse into the response rate) revealed broad variance in how they
curriculum. There are Residency Review Committee address SUD. Some address it narrowly (e.g., only as it
standards regarding substance abuse in only 5 of 99 relates to pregnancy and childbirth); others address it
specialty training programs. Among allopathic and more broadly. There has been increased interest in
osteopathic residency programs, the average percentage strengthening the primary care component of the nurse-
that offered substance abuse education was 65%. midwifery curriculum, and assessment for SUD falls
under this area; however, attention to these issues is
■ Among programs that do exist, there is a heavy
often minimal in the educational and clinical settings.
emphasis on lectures and little clinical contact with
treatment professionals and little focus on skill building ■ A model exists for strengthening curricula in a focused
for substance abuse prevention, intervention, and area. In the mid-1990s, ACNM participated in a
referral. Barriers to further integration of training in national Domestic Violence Education Project (DVEP),
SUD include lack of time, faculty experts, training sites, which was funded by the Maternal and Child Health
and institutional support. Bureau of the Department of Health and Human
Services. The DVEP, which included resources to
■ Physicians can obtain advanced training in addiction
educate both faculty and practicing midwives on issues
medicine through psychiatry fellowship programs
related to partner violence, has resulted in greater
sponsored by the American Board of Psychiatry.
identification and treatment of women with domestic
Physicians may also seek advanced certification through
violence issues. Similar support for training in SUD is
the American Society of Addiction Medicine. The
critical.
American Osteopathic Association offers certificates of
added qualifications in addiction medicine. ■ ACNM provides two venues through which midwives
may obtain continuing education units (CEUs)—a
■ Beginning in the 1960s, efforts to train physicians in the
journal and an annual meeting. During the past 10
care of patients with SUD have been enhanced. Among
years, four journal articles have related to prenatal
the early programs was the Career Teacher Program in
substance use; however, there has not been a compre-
the Addictions, which provided faculty support to 59
hensive home-study module on the topic. Nurse-
medical schools. More recently, support for faculty
midwives may obtain CEUs in other nursing- or
development in substance abuse education has come
physician-based workshops, if approved by ACNM.
through the National Institute on Alcohol Abuse and
Alcoholism and NIDA Health Professions Education ■ No formal subspecialty education or training in SUD is
Program and SAMHSA’s Faculty Development Program available to midwives. There has been no Federal
(FDP). The FDP has provided grants to 14 medical support for faculty development in SUD for midwives.
schools to support 69 faculty fellows. These programs
have made significant contributions to the current pool
of leaders in the field of SUD prevention, intervention,
Nurse Practitioners
and treatment. ■ In the early 1990s, the NNSA and the ANA defined the
■ Project SAEFP (Substance Abuse Education for Family practice of addiction nursing. Nine key knowledge and
Physicians) is a model of faculty development with skill domains of the graduate curriculum in addiction
demonstrated outcomes. This 5-day, learner-centered nursing were defined. Those skill domains need to be
curriculum has trained 165 faculty. Similar programs, updated and modified so that they can be implemented
sponsored by such organizations as the Society of in nurse practitioner curricula. All nurse practitioner
General Internal Medicine, the Ambulatory Pediatric curricula should address general concepts related to
addiction, prevention, alcohol and other drug effects,

18 HAACK AND ADGER

 evaluation and management of SUD, legal and ethical community-based education for nurses in the public
aspects, and health professional impairment. health workforce. Since then, restructuring of the
■ The Texas Commission on Alcohol and Drug Abuse in health care delivery system and funding cutbacks have
coordination with the regional ATTC and funding from had serious negative effects on CE offerings in SUD.
HRSA/Division of Nursing supported a program at the ■ Nurses have been involved in a number of interdiscipli-
University of Texas Houston School of Nursing that nary programs in SUD education. Nursing faculty,
identified a faculty team with expertise in SUD to particularly those associated with previously funded
design and implement a comprehensive curriculum to faculty development program projects, are active
prepare nurses for advanced practice in psychiatric/ participants in the Addiction Technology Transfer
mental health nursing with a focus on addiction. This Centers (ATTCs), which are funded by the Substance
program is a model for advanced-practice nursing and Abuse and Mental Health Services Administration’s
should be replicated throughout the country. Center for Substance Abuse Treatment. ATTC programs
■ SAMHSA’s CSAP funded an interdisciplinary faculty have been a powerful vehicle for translating research
development program that supported the delivery of into practice and for regional training and curriculum
SUD prevention programs in community-based settings. dissemination. Expanded linkages between schools of
The program significantly enhanced the development of nursing and regional ATTCs could be key to improving
undergraduate and graduate curricula in the area of nursing education in SUD prevention, intervention, and
SUD prevention at the University of Texas Houston and treatment.
the University of Kansas. The program is a successful ■ There are insufficient numbers of nurse researchers,
model that should be replicated in other communities nursing practitioners, and nursing educators to teach
to help strengthen the links between academic pro- students and practitioners core knowledge and skill
grams and community-based organizations. competencies in SUD. Compounding this problem
today is a national nursing faculty shortage. Nursing can
no longer rely on a small pool of experts in SUD. The
Nursing profession needs competent faculty to ensure that all its
■ Nursing education on SUD began in the 1980s, when members are better prepared to deal with patients with
the American Nurses Association (ANA) and nurse SUD.
specialty organizations began to issue position state- ■ The limited funds available to nurses who wish to
ments and policies. The Care of Clients with Addic- pursue specialization in addictions or psychiatric mental
tions: Dimension of Nursing Practice, published in health nursing at the master’s level through Title VIII is
1987 by the ANA, the Drug and Alcohol Nurses having a negative effect on enrollment in these areas
Association, and the National Nurses Society on and subsequently on the ability of the nursing
Addictions (NNSA), laid the groundwork for developing workforce to identify and treat patients with SUD.
nursing interventions and standards of care.
■ Beginning in 1989, FDP grants supported the participa-
tion of nursing faculty in teaching and training activi- Pharmacy
ties. A number of training materials, including model ■ Pharmacists are among the nation’s most accessible and
curricula, were developed as a result of this program. respected health care providers. Their potential to
These products served to advance the profession in prevent SUD and to identify and refer patients for
SUD training and education, especially in those screening remains untapped.
institutions that received the FDP grants, but many ■ Pharmacy has not participated in any Federal initiative
more schools of nursing need this support. for faculty or curriculum development in SUD educa-
■ Questions related to care of patients with SUD are tion. There is no Federal mandate or other mandate for
included in items on psychiatric nursing in the Ameri- the education of the pharmacist in SUD.
can Nurses Credentialing Center examination for ■ No professionwide effort has been made to determine
baccalaureate-level nurses. The International Nurses the core competencies in SUD education needed by
Society on Addictions offers an advanced-practice pharmacists.
certificate as a certified addictions registered nurse—
advanced practice.
■ There is no systematic SUD education in pharmacy
school curricula. No formal training in SUD education is
■ CE programs for nurses on SUD began to occur with universally required at the undergraduate or graduate
increasing frequency in the 1980s and continued levels. Training is not uniform. Some schools have
through the early 1990s. These events were often comprehensive programs, others have elective pro-
supported by FDP projects, employers, and nursing grams, and some have no program whatsoever
organizations. Several federally funded FDPs developed

EXECUTIVE SUMMARY 19
■ There are no pharmacy residencies or fellowships Psychology
dedicated to postgraduate training in SUD.
■ Most psychologists receive little preparation to deal
■ The American Association of Colleges of Pharmacy with patients with SUD during their training. Such
published curriculum guidelines for pharmacy in SUD training should be integrated into the core course work
education in 1991. When schools of pharmacy were of psychologists.
asked about implementation of these guidelines in
1994, 82% responded. Among the responding schools,
■ There is little baseline information concerning exactly
only 50% of the recommended curriculum material had what psychology programs are doing to prepare
been implemented. graduates to address SUD problems. One survey,
however, noted that 91% of psychologists encounter
patients with SUD in their daily work but that 75% had
Physician Assistants received no formal course work on the subject. Half
had received no training in SUD even during their
■ The Accreditation Review Commission on Education
internships. Training in treatment of nicotine depen-
for Physician Assistants (ARC-PA), formed in 2001, has
dence is even poorer.
not defined specific requirements for PAs with respect
to knowledge and skills in SUD education. The ■ The NIAAA/NIDA Faculty Development Program was
Commission on Accreditation of Allied Health Educa- expanded to include psychology in 1991; however, only
tion Programs, ARC-PA’s parent organization, does have one grant was awarded before the program moved to
an “applied behavioral sciences” requirement, but SAMHSA; no further psychology applications have been
substance abuse is not specified as a content area under accepted since that time. NIAAA developed a curricu-
it. lum guide for psychology faculty; however, it was never
released.
■ A 1993 evaluation of the training in 59 PA training
programs found that all of the programs included ■ A foundation for training psychologists exists; three
content in the diagnosis and treatment of SUD, but the societies in the field promote research in alcohol,
depth and detail of this content varied considerably. In nicotine, and other drug problems, and psychologists
many cases, basic skills, such as screening, were are involved in all three. In addition, the discipline,
neglected while advanced skills, such as how to manage under the direction of the American Psychological
detoxification, were emphasized. Association (APA), has a developed a detailed outline of
core competencies.
■ One survey revealed that 35% of PA training programs
had an elective in SUD; only 15 programs reported any ■ In 1996, APA began to offer a certificate of proficiency
students taking these electives. in the treatment of alcohol and other SUD. More than
1,000 psychologists hold this certificate. In addition, the
■ There are no postgraduate faculty development
Addictions Division is one of the APA’s largest, with
fellowships for PAs in addiction medicine.
1,000 members.
■ Only 18 of 300 questions on the national certification
examination for PAs relate to the psychiatric/behavior
system; questions on SUD are among several topics Public Health
covered in this short segment of the exam. ■ Few schools of public health have instituted curricula
■ The majority of respondents to a 2000 survey expressed that address SUD prevention, and many practitioners
an interest in and desire for faculty development enter the field with a professional public health degree
workshops on curriculum development and methods of but with little understanding of the core theory,
instruction regarding SUD. knowledge, and skills essential to effective practice.
■ The number of PAs with teaching experience who serve ■ Until recently, SUD prevention was ancillary to the field
as academic and clinical role models is inadequate. A of public health, and today it is taught sparsely and
shortage of faculty and clinical preceptors with experi- inconsistently. A 1996 questionnaire revealed that only
ence in addiction medicine is an obstacle to expanding 14 of 27 schools of public health offered courses in SUD
teaching about SUD. prevention. Six of the 14 schools offered a track in SUD
■ Federal funding priorities can have a strong influence prevention as an area of concentration, a certificate
on PA training. Among these is a recent HRSA/BHPr program, or a postdoctoral program.
training program that gives preference to projects ■ Some exemplary SUD-related programs have taken
addressing the needs of special populations, including hold; an example may be found at the University of
persons with SUD. Since these grants are awarded to Minnesota. Extensive replication of this program is
only a few programs, their impact is small. needed in order to form a cadre of professionals with
the credentials needed to train the developing public
health workforce in academic programs.

20 HAACK AND ADGER

■ The standards of the main accrediting body for schools programs, individuals interested in this field must take
of public health, the Council on Education for Public courses in non-social-work educational settings. Many
Health, make no mention of SUD-related course work social workers who specialize in SUD treatment obtain
or practice. State certification as substance abuse counselors in
■ Licensing requirements for public health prevention order to demonstrate expertise in their field.
professionals are virtually nonexistent, although the ■ The Council on Social Work Education does not
American Public Health Association has begun to mandate SUD content in the social work curriculum.
explore the idea of credentialing the public health ■ In 1990, the faculty development program of NIAAA,
workforce. As the demand for an evidence-based record NIDA, and the Office for Substance Abuse Preventing
of effectiveness of programs increases, this is an idea (OSAP, now CSAP) expanded its support of clinical
that may have increasing appeal. teaching programs in SUD in medicine and nursing to
■ There is little communication between the public include funding for schools of social work. Between
health field and Federal agencies that support the 1990 and 1999, the government awarded grants to
Nation’s SUD prevention goals and initiatives. Likewise, seven schools of social work to develop faculty experts
greater interdisciplinary communication is needed in SUD. This Federal support has had a significant
between public health and other professions. In light of impact on the academic programs funded by these
the contemporary threat of bioterrorism and its conse- grants.
quences, the need to expand the knowledge and skills ■ In 1997, the National Association of Social Workers
of the public health workforce is critical. (NASW) issued a policy statement that supports the
expansion of SUD content in social work education for
Social Work graduate and undergraduate programs. NASW is also
developing specialty certification in SUD; this is the first
■ Schools of social work do not provide all undergraduate
certification designed specifically for social workers in
students with a basic knowledge of SUD. Some
this field. As part of this project, NASW has recom-
graduate schools offer a concentration in SUD treat-
mended 11 knowledge domains and 10 skill domains
ment; others offer elective courses, but they are
be required for certification.
generally not popular. Because there are so few post-
graduate training programs in SUD in social work school

EXECUTIVE SUMMARY 21
PART I
Evidence Supporting the Strategic Plan
Chapter 1. Prevention of Alcohol and Drug Abuse:
What Works?
Chapter 2. Screening, Assessment, and Intervention for
Substance Use Disorders in General Health Care
Settings
Chapter 3. Is Addiction an Illness? Can It Be Treated?
Chapter 4. Medicaid Reimbursement of Primary Care
Providers for Treatment of Substance Use Disorders
Chapter 5. Substance Abuse in Older Adults: Review
and Recommendations for Education and Practice in
Medical Settings
Chapter 6. Substance Use Disorders in Children and
Adolescents and the Impact on Children in Families
Affected by Substance Use
Chapter 7. Recognizing and Treating Dual Diagnosis in
General Health Care Settings: Core Competencies and
How to Achieve Them
Chapter 8. Impairment Issues for Health Care Profes-
sionals: Review and Recommendations
 CHAPTER 1

Prevention of Alcohol and Drug Abuse: What Works?

KAROL L. KUMPFER, PH.D.

Introduction
The prevention of alcohol and drug abuse should be a major concern for primary health care
professionals, and the topic should be included in their training and continuing education
programs. Some studies have estimated that up to half of all health care costs are related to
excessive use of alcohol and drugs. However, substance abuse seems to have become less visible
as a public health issue, partly because it has increasingly been branded as a “criminal justice
issue” and partly because illicit drug use has steadily decreased in adults. As a consequence,
businesses, the military, government agencies, institutions of higher education, and public policy
makers have had less concern about abusing or addicted workers and students. Fewer employee
assistance programs are operating in businesses, and the military has cut back its drug preven-
tion and treatment services. Few health care professionals routinely screen patients for addic-
tions.
The recent inattention to substance abuse may be about to change. Health care profession-
als will be faced with many more patients with addiction problems. Why? Although unheralded
by the media, parent groups, or government agencies, the abuse of tobacco, alcohol, and illicit
drugs by teenagers increased dramatically in the 1990s. There was an 85% increase (from 14%
to 26%) in the percentage of high school seniors who used any illicit drug monthly between
1992 and 1997. (That trend did, however, level off in the last three years of the 1990s.)1 In
1997, 42% of all high school seniors had used an illegal drug in the past year. In the last 3 years,
use of most illegal drugs remained at high levels, but legal drug use decreased slightly. Daily
tobacco use among high school seniors has decreased in the last 3 years, from 25% to 21%, but
is still higher than the low of 17% in 1992. Binge drinking (i.e., consuming five or more drinks
at one sitting) in the past month decreased from a high of 34% in 1997 to 32% in 2000 in high
school seniors. The largest increase in 2000 in regular drug use was for “club drugs”—MDMA
or ecstasy—whose regular use among high school seniors more than doubled in 2 years, from
1.5% to 3.6%. The National Household Survey shows that although a higher percentage of
teenagers were drug abusers during the adolescent drug epidemic that peaked in 1979, a higher
number of youth are abusing drugs than ever before.2
Federal efforts to reduce the supply of drugs into this country, launched in 1989 with the
appointment of a drug “czar” and the creation of the White House Office of National Drug
Control Policy (ONDCP) have not been as effective as had been hoped, at least for our nation’s
youth. With demand increasing in young people, illicit drugs are a $60-billion-per-year industry.
When the alcohol misuse cost of over $166 billion is added to this sum, the total cost of
substance abuse was estimated at over $226 billion yearly by 1995.3 Youth are reporting
approximately the same availability of drugs in 2000 as in 1989.1 While perceived availability of
crack and cocaine has decreased somewhat, that of heroin has increased. According to the
National Household Survey, serious drug abuse, such as heroin use, increased fourfold in adults
and youth between 1992 and 1997, from 68 million users to 325 million users. The bulk of the
171 million new users of heroin were adolescents and young adults, who found that with the
new high purity of heroin they could smoke and snort heroin, rather than inject it. Regular
heroin use among high school seniors is at an all-time high.1 Heroin overdoses in teenagers have
increased in the past decade. Also of concern are increases in drug use by young girls. The
largest increases for juvenile offenses for girls in the last 10 years were drug abuse violations (up
132%) and person offenses (up 155%).4

25
 Health problems related to aggressive, violent, and delinquent behaviors are also on the rise
and are significantly related to substance abuse.5 The current “get tough” approach, which has
focused on criminal penalties and incarceration, has not been sufficient. The number of people
incarcerated for drug problems has more than doubled, as has the number of prisons, since this
tactic was adopted. Funding for drug treatment and prevention has not kept pace with the need.
While the national drug control budget rose from $12.2 billion to $19.2 billion between 1994
and 2001, prevention funds increased only 33% and treatment funds increased by just 44%.
International efforts increased by 175%, interdiction efforts increased by 68%, and domestic law
enforcement increased by over 60%.3 It is difficult to reduce the demand for drugs without
providing increased funding for prevention and treatment.

What Works in Substance Abuse Prevention? childhood problems leading to drug use in adolescence.20
Researchers are encouraging prevention providers to target
Although skeptics may continue to say that nothing works the highest-risk youth through selective or indicated
in prevention, the literature contains many research-based prevention programs. Childhood antisocial behaviors or
prevention strategies with sufficient evidence of program conduct disorders, anger, rebelliousness, and anxiety and
effectiveness in Phase III controlled trials to warrant shyness are predictive of adolescent delinquency and
dissemination.6-9 This is an exciting time for alcohol and substance use and abuse.21-23 In recent years, early child-
drug abuse prevention. In the past 20 years, the prevention hood aggression has become a major focus for prevention
field has matured past the early attempts of drug education research because it has been found to be a developmental
or “scare-tactic” interventions to well-researched, compre- marker for a variety of negative adolescent outcomes,
hensive, and effective prevention programs. A large including delinquency and substance use.24,25 Aggressive
number of such approaches have been identified by Federal children do not improve without some type of early
agency scientific review committees conducting national intervention. If no preventive intervention is provided,
searches and publishing their lists of evidence-based their behaviors deteriorate as they grow older,26 leading to
practices. “Best practices” are those with research evidence increased risk for substance use.27 Recent studies suggest
in decreasing substance use, delaying age of onset of use, that youth today are more anxious and depressed and feel
improving protective factors and decreasing risk factors less connected to family and community; these factors, too,
related to later use. can be precursors of substance abuse.
Three levels of primary prevention programs should be Children of alcohol- and drug-abusing parents (COAs
considered when planning a prevention policy.10 These or CODAs) are one of the highest-risk groups for substance
levels are (1) universal prevention approaches targeting an abuse problems, for both genetic and family environmental
entire population, such as a school, a church, or a total reasons.28,29 Most prevention programs designed for
community; (2) selective prevention approaches targeting children of alcohol or drug abusers have struggled with
high-risk groups (e.g., children of substance abusers or identifying, attracting, and maintaining drug-abusing
prisoners, American Indian children); and (3) indicated families in preventive interventions. Appropriate measure-
prevention approaches targeting youth or adults with ment of outcomes for COAs has also been a concern of
identified precursors of alcohol or drug abuse such as practitioners, but good family and youth measures exist.30
aggressive or conduct-disordered youth or juvenile delin-
quents. Syntheses of best practices in research-based According to Adger,31 “the first step in intervention
prevention practices have been published by the Institute and treatment is identification.” Identification of these
of Medicine,10 the Center for Substance Abuse Prevention children, however, is difficult for prevention programs in
(CSAP),7,11-13 the National Institute on Drug Abuse schools and communities. If the parents are in alcohol or
(NIDA),14,15 Office of Juvenile Justice and Delinquency drug treatment programs or self-help groups, it is easier to
Prevention (OJJDP),16-18 the University of Utah family- locate and recruit these children. However, only a small
strengthening Web site (www.strengtheningfamilies.org), percentage of drug-abusing parents are in treatment.
and individual researchers.19 Because of the stigma of being a substance abuser, the
parents and the children are less likely to allow themselves
to be identified. Primary health care professionals can play
Identifying Groups at Risk a role in helping provide early identification and referrals
A major issue in the prevention field is the degree to which for these children and parents. Sometimes the health,
programs should be targeted to specific at-risk groups or behavioral, or academic problems of children of alcoholics
spread across all groups. A growing body of research or drug abusers bring these children to the attention of
suggests rather stable developmental trajectories for health care professionals before the parental substance
abuse is diagnosed.31

26 KUMPFER
Need to Disseminate and Adopt Evidence- Despite the progress that has been made, much
remains to be done. Only about 10% of substance abuse
Based Prevention Programs prevention programs are replications of effective programs,
The Nation’s war on drugs has been criticized because of and possibly only about a quarter of those are implemented
its failure to reduce the use of illicit drugs.33 The highly with fidelity.41 Additionally, with respect to alcohol policies,
publicized failure to prevent drug use of one of the most an analysis comparing the research with current bills
widely used school-based programs, DARE (Drug Abuse pending in State legislatures concludes, “Most alcohol
Resistance Education), has highlighted the importance of policies currently under debate and being enacted across
enhanced dissemination of programs that work.34,35 Hence, the U.S. do not have a scientific research base available to
a major task for the prevention field and the funding inform public policy decision-making.”42
agencies is to improve the dissemination of information on
effective prevention programs.36,37 Researchers tend not be
marketers and have needed support by the Federal Overview of Substance Abuse Prevention
Government in marketing and developing training systems Approaches
for their effective programs. For example, the nation’s most
Research on effective alcohol and drug abuse prevention
successful dissemination system for scientific knowledge is
approaches has been slowed because of the broad range of
the U.S. Department of Agriculture’s system of land grant
potential interventions (e.g., social skills, parenting and
universities and the Cooperative Extension Service, which
family strengthening, school climate change, community
spends one dollar on dissemination for every dollar on
partnerships, community environmental change). No single
research.38,39 We have a long way to go in the substance
prevention approach has emerged as clearly superior,
abuse area. Our major dissemination efforts include Web
although the social competency approach is most widely
sites, publications, and conferences showcasing research-
implemented.
based programs. For instance, national and regional
conferences have been conducted in recent years by CSAP, This chapter discusses what has been learned about
NIDA, the National Institute on Alcohol Abuse and the most effective school-, community-, and family-focused
Alcoholism (NIAAA), OJJDP, and the Department of strategies for altering individual dispositions toward drug
Education to showcase their pick of the most effective abuse. In this chapter, “evidence-based programs” are
prevention programs. CSAP hosted a symposium on how to defined as research-based drug abuse prevention programs
improve dissemination of evidence-based practices.37,39 that have been shown to reduce licit or illicit drug use,
initiation, or major risk factors, or to increase protective
In an ideal world, research would flow smoothly from
factors for drug use. Changes in knowledge and attitudes
basic research to efficacy trials, effectiveness trials, and
about drugs, without behavior changes, are not considered
finally to nationwide adoption.40 In reality, in the preven-
in this analysis as sufficient criteria for effectiveness.
tion field, there are major gaps between research and
dissemination. The most commonly used programs are not This paper summarizes the research literature in each
those with the strongest research results but those that are of the following six major areas of substance abuse
most widely marketed. While some popular prevention prevention:
programs say they are based on “principles of effective- ■ Community Partnership Strategies
ness,” they are ineffective because they are shorter, do not ■ Community Environmental Change or Policy
control quality or fidelity, or do not have as well-trained Strategies
implementers.
■ Family-Strengthening Strategies
The research-based programs that have documented
effectiveness results are generally those developed and ■ Individual Social Competency Strategies
tested in federally funded Phase III clinical efficacy trials ■ School Climate Change Strategies
under the leadership of university researchers. Few of these ■ Comprehensive, Multicomponent Strategies
researchers have the time or the knowledge to market their
programs. Additional support is needed by the funding The chapter concludes with recommendations for
sources to support the dissemination of research-based future research and for the training of health care profes-
approaches. Practitioners also have a responsibility to ask sionals to improve their ability to identify and treat
hard questions about the effectiveness of the programs they individuals with substance use disorders and to support
are planning to implement rather than to select a program substance abuse prevention programs.
because it looks good or would be fun to implement. Even
when lists of effective prevention programs are located, Community Partnership Strategies
decisions concerning the best program for a given popula-
tion must be based on matching the program outcomes to The community partnership approach involves developing
the needs of the proposed participants. a coalition of community leaders, organizations, and
citizens to create teams to conduct community assets or

SUD PREVENTION 27
needs assessments, develop comprehensive strategic plans, availability by regulating alcohol outlets. These coalitions
and implement prevention projects, including advocacy for were successful in getting new regulations passed regarding
policy change. This comprehensive, coordinated approach special-event permits and banning alcohol at some public
is considered the most effective prevention approach if it events.
includes research-based prevention activities at its core. Hingson and associates54 tested Saving Lives, a
The only discretionary prevention grant program that community mobilization approach in six communities in
Congress allocated to the ONDCP is the Anti-Drug Massachusetts. Many interventions were tested, primarily
Community Coalition program, which funds approximately targeting reducing drinking and driving, but some included
100 coalitions a year. The Community Anti-Drug Coalitions preschool alcohol education and alcohol-free proms. Results
of America (CADCA) has more than 4,000 communities as showed reductions in traffic highway crashes and arrests
members. The Robert Wood Johnson Foundation supports for driving while intoxicated (DWI), both of which are
the Fighting Back Initiative, consisting of 15 communi- indications of possible reductions in alcohol use. Project
ties,43 and the Join Together network provides technical Northland55,56 is a comprehensive community alcohol
assistance to about 4,000 communities to fight drug abuse. prevention program with positive results in reducing
The Kaiser Family Health Foundation supports 10 commu- alcohol use. This program includes developmentally
nities to implement drug prevention programs.44 appropriate activities for classrooms from elementary
This community mobilization approach is particularly school to junior high school with parent involvement
useful for changing policies and laws concerning alcohol through homework assignments.
and tobacco misuse. Members can launch public awareness
campaigns and advocate stronger substance misuse Community Partnership Evaluation Results
legislation and ordinances.45,46 Coalitions often focus on Most of the early evaluations of community coalitions
reducing access to tobacco or alcohol in minors. Anti-drug focused on process evaluations of what coalition character-
community coalitions were mobilized to implement the istics contribute to successful implementation.57,58 These
Synar amendment, which aimed at reducing access by evaluations found that community coalitions were effective
minors to tobacco purchases. Sting operations staffed by if they were organized in communities with a high degree
coalition youth, when added to increased enforcement and of readiness,59,60 progressed from planning to implementa-
limiting licenses, resulted in a reduction in tobacco sales to tion within the first 2 years,61 implemented proven
minors from an average across all States of about 50% in prevention strategies, and had strong leaders who pro-
1997 to 20% in 2000. Access to alcohol and tobacco can moted a shared vision, utilized members’ talents, and
also be reduced by limiting licenses to sell these products, avoided or resolved conflict.58,62,63
mapping and publicizing the relationship of geographic
High-quality outcome evaluations became possible
availability and health-related problems, developing
with Federal funding, primarily from NIDA and CSAP. The
planning and zoning policies to regulate density, reducing
Midwestern Community Prevention Project, implemented
the density of outlets, enforcing penalties and revoking
in Kansas City and Indianapolis with NIDA research and
licenses of outlets selling to minors, enacting zoning laws
local corporate funding, tested one of the first effective
that restrict sales near colleges and schools, and restricting
coalition models.46,64,65 This research-driven model con-
the hours of sales.47-51 Studies show that when community
sisted primarily of a school-based program, Project SMART,
coalition members become educated, stage protests against
parent involvement through homework assignments,
problem outlets, oversee license renewals, and help
media, policy changes, and community organizing. The
planning and zoning departments develop policies, they
Communities That Care (CTC) coalition model was also
can be successful in increasing the distance between
tested with NIDA funds and found successful.19 One of the
outlets and in getting problem outlets closed.
major contributions of the CTC “epidemiologically based
risk-reduction model” is the development a framework for
Examples of Projects planning and managing comprehensive prevention
Several cross-site community research trials have been activities based on a community risk and protective factor
funded by NIAAA to study the effectiveness of different needs-assessment system that includes individual house-
coalition-generated policy changes on the prevention of hold surveys conducted by community members or use of
alcohol misuse. The aim of the Community Trials Project archival data on key indicators.66
(CTP) is to reduce injury and deaths related to drinking
alcohol.52,53 The CTP tested three community coalitions Congress appropriated funds to CSAP to implement
and found they successfully implemented their own and conduct a cross-site process and outcome evaluation of
activities in five major target areas: (1) use of media to 251 community partnerships between 1990 and 1996 and
increase community awareness and change knowledge and of about 60 community coalitions (coalitions of individual
attitudes; (2) server training; (3) reducing sales to minors partnerships or megacoalitions) between 1994 and 2000.
through police sting operations; (4) increased police One of the largest community health studies ever con-
enforcement of drunk driving; and (5) reducing alcohol ducted, the 48 Community Partnerships Cross-Site Study,58

28 KUMPFER
included a 10% sample of the community partnership driver cannot pass a quick sobriety test (i.e., complete a
grantee communities matched with similar communities in series of number punches quickly). In Europe and Austra-
their State without a coalition. Results showed that coalitions lia, harms associated with drug use have been reduced by
were effective in reducing use of both alcohol and illicit developing needle exchanges and injecting rooms, provid-
drugs by male adults and adolescents—except in 10th ing heroin through doctors, and offering drug-testing
graders. There were no positive results for girls or women. stations and free water at raves. These approaches are not
This was a wake-up call to the need to analyze results popular with some prevention researchers, who are
separately for boys and girls. When preventionists did this, concerned that reducing the negative consequences of
they found that many prevention approaches that appear to illegal use of alcohol or drugs could lead to increased use.
be effective for boys do not work for girls. New approaches Binging on alcohol or overdosing on drugs has additional
may be needed for girls. The OJJDP is funding a National negative consequences youth may not consider (e.g.,
Girls’ Institute and a Girls’ Study Group of national experts passing out, rape, respiratory failure) and other less
in women-centered prevention approaches. Little research immediately lethal health consequences (e.g., cirrhosis,
exists on how to design prevention programs for girls and diabetes, high blood pressure, ulcers, and malnutrition).
women, and more work in this area is needed.
Effectiveness of Environmental Policy Approaches
The results of research on the most widely used approaches
Community Environmental Change or Policy are described below by target of change within the PHS
Strategies Model of Prevention:68 reducing demand, reducing access
and availability, and changing community environments.
The environmental approach focuses on changing or
implementing laws, policies, ordinances, and sales or server Reducing Demand. The policy approach with the most
practices that can reduce the production, sale, distribution, evidence of effectiveness in reducing alcohol consumption
and marketing of alcoholic beverages67 or tobacco products. and associated health problems appears to be to raise
Environmental approaches can be categorized by the three taxes.69,70 The higher the cost, the lower the interest
major types of prevention within the Public Health Service consumers have in purchasing tobacco or alcohol. This is
(PHS) Triangle Model of Prevention,68 namely (1) reducing particularly true of younger, less affluent individuals who
access (raising the minimum legal drinking age, reducing are not addicted to drugs. In general, a 1% increase in taxes
density of sales outlets, keg registration, server training, decreases alcohol use rates of 16- to 21-year-olds by about
banning discounted drinks, increasing enforcement of laws 1%.71 The decreases are greater for youth who drink
and carding minors); (2) reducing demand (increasing heavily (i.e., three to five drinks at one sitting) than for
taxes, warning labels, health education); and (3) changing youth who drink less. Coate and Grossman72 found that
community environments (media campaigns and counter- increasing beer taxes to keep up with inflation, so that the
advertising, warning labels). Environmental policy ap- cost of beer is equivalent over time, would reduce infre-
proaches have been researched primarily in the area of the quent drinking minors 24%–28% and frequent drinking by
reduction of misuse of legal drugs (i.e., alcohol and minors 32%–35%. Several studies suggest that increasing
tobacco). Although this paper focuses only on alcohol, most the alcohol tax in 1989 reduced drinking more than did
of the approaches that have been effective in reducing raising the minimum drinking age (MDA) from 18 to 21
alcohol use also have been shown effective for tobacco. years.73,74 The savings to society of such changes have been
Policy approaches sometimes include legislation to estimated at $0.5 to $4 billion per year.
reduce the negative consequences of using licit drugs, Reducing Access and Availability. Raising the MDA to
rather than the use itself. This “harm-reduction” approach 21 years was found to decrease alcohol use by 25% in 18-
is popular in other countries, and it includes efforts to to 20-year-olds immediately after Congress passed the bill.75
reduce the effects of drunkenness on oneself and others Related accidents and problems (e.g., arrests, health and
(e.g., car crashes, drowning, accidents, family disputes). social problems, and traffic casualties) were also re-
The CTP, cited in the previous section, is a harm-reduction duced.75,76 This approach appears to be quite influential on
policy approach.52,53 If one begins to think of harm reduc- youth who are light drinkers (one or fewer drinks).77 Using
tion, many environmental changes are possible, such as the annual Monitoring the Future high school and college
providing public education to increase the number of surveys, O’Malley and Wagenaar75 found the positive
designated drivers, offering rides to drunk friends, or effects persisted even after the respondents were of legal
arranging sleep-overs after drinking parties. The impact of age. In addition, high school seniors spent less time in bars,
car crashes caused by drunk or drugged driving can be and alcohol-related traffic collisions declined in the 18- to
reduced by increased use of seat belts and air bags and 20-year-olds. For college students, a 21-year MDA law
better highway design (e.g., warning or rumble strips in appears to reduce drinking in controlled locations (i.e.,
shoulders, reflectors in the center strip, and side reflectors). bars, restaurants, clubs) but not in uncontrolled locations
Under development are cars whose ignition locks if the (e.g., dormitories, fraternity houses).78

SUD PREVENTION 29
 A number of studies have found a 21-year MDA community’s establishments participates.105 Saltz106 found
reduced traffic crashes,79-83 reduced driver-involved crashes that after an 18-hour server training course in a Navy
by 9% to 22%,84-87 and reduced driver fatality crashes by 5% enlisted men’s club compared with a matched club, rates of
to 28% in multi-State studies88-91 and by 1% to 35% in intoxication were reduced by half for both men and
single-State studies.86,92,93 Voas and associates83 estimated women, but the absolute consumption and rate of con-
that enacting the uniform age-21 minimum drinking law sumption were unaffected.
decreased fatal crashes by about 19% after controlling for None of these prevention approaches works well
confounding variables (e.g., beer consumption, driving unless the laws and regulations are enforced. For instance,
exposure, zero-tolerance laws, and other differences refusal to serve “pseudo-patrons” simulating intoxication
between State laws). increased dramatically, from 17.5% to 54.3%, following
Keg registration laws require purchasers of beer kegs increased enforcement of laws prohibiting sales to intoxi-
to sign a form that links their names to a number on the cated persons.107 Alcohol is easily purchased by minors in
keg in order to prosecute adults who supply alcohol to the United States. Studies show that 40% to 90% of outlets
youth. These laws are being considered in many States; sell to minors.94,108-110 Unlike the massive effort to reduce
however, there are no studies that indicate their effective- sales of tobacco to minors through Synar amendment
ness.94 Banning discount drinks during “happy hour” enforcement with police and sting operations, there is little
promotionals can reduce consumption and impaired enforcement of alcohol sales to minors, and police feel
driving.95,96 there is little public support for such activities.111,112 A
The impact of reducing the density of outlets and of number of studies have found that increasing police
zoning restrictions to reduce access to alcohol or alcohol enforcement of the laws against selling alcohol to minors
consumption is unclear. Alcohol consumption by adults can reduce sales to minors.94, 113 Sending letters warning
was found to increase in several States after the elimination about enforcement, conducting sting operations, and
of State monopolies of the retail sales of distilled spirits or issuing citations to clerks who sold alcohol and commenda-
privatization of wine sales.97,98 No studies have been tions to those who did not increased compliance from 17%
conducted of the effects of State monopolies on adolescent to 67%.114 Adding press conferences or media coverage to
drinking in this country. However, several studies in this mix of enforcement activities was found to reduce
Scandinavia suggest that increasing the availability of sales to minors by about 35%.115-117 Using a similar preven-
alcohol does increase adolescent consumption. Skog99 tion approach, but repeating the sting activities twice,
found that changing from over-the-counter alcohol sales to reduced alcohol sales to minors from 59% to 39% to
self-service resulted in a 17% increase in amount of alcohol 26%.104 Unfortunately, as has been found for tobacco
sales in seven Swedish townships. Rahkonen and following enactment of the Synar amendment, decreased
Ahlstroem100 studied drinking trends in youth in Finland sales to minors do not result in reduced use. Youth simply
from 1973 to 1987 and found increased consumption in get older friends to make purchases for them. Hence, the
youth after increased alcohol availability. Valli101 found that failure to reduce tobacco or alcohol use by minors suggests
allowing the sale of medium-strength beer in Finnish this type of enforcement approach is not worth its cost.
grocery stores increased drinking in 13- to 17-year-olds. Changing Community Environments or Norms.
Legalizing beer sales in Iceland in 1989 resulted in Advertising, restrictions on alcohol ads, counter-advertising,
increased alcohol and beer consumption among adoles- and public awareness campaigns are all methods for
cents.102,103 According to Grube,94 research evidence on the changing community norms. Alcohol advertising has been
effectiveness of these strategies for youth is limited. found to have a small, but statistically significant, effect on
Preusser and associates104 did find that more high school increasing adolescents’ alcohol consumption.118-121 How-
students (43%) in New York had ever attempted to ever, there is little research on the impact of restricting
purchase alcohol from an outlet than in Pennsylvania alcohol advertising on adults, and there are no studies of
(30%), which has State-controlled liquor stores. Alcohol the effects on adolescents.94 Suggestive positive evidence
consumption rates were lower in minors in Pennsylvania has been found by Saffer122,123 that restricting broadcast
than in New York, but the differences were not significant. alcohol advertising between 1970 and 1983 in 17 Euro-
Server training reduces alcohol misuse by training pean and North American countries reduced alcohol
beverage servers to monitor and pace the delivery of drinks consumption rates by 11% to 16%.
to intoxicated customers, promote consumption of food Media education is part of the social influence
and nonalcoholic beverages, avoid “two-for-one” sales, and prevention approach that seeks to educate youth about
attempt to prevent intoxicated patrons from engaging in methods the media use to influence people.124 It is based
risky behaviors (e.g., fights, driving). Some research on McGuire’s125,126 persuasive communication theory. Few
suggests that while server training can improve server studies have tested the efficacy of this approach alone;
practices in a given bar or restaurant, it has little effect on instead it has been used in combination with other social
the community as a whole if only a portion of a competency or peer-resistance strategies.

30 KUMPFER
Public Awareness, Counter-Advertising, and Media maintaining it at 21 years appear to be very effective
Campaigns. Examples of information strategies include approaches to reducing consumption among youth.
media campaigns, films, pamphlets, clearinghouse resource
centers, radio and TV public service announcements,
health fairs, advertisements, hot lines, and speaking Family-Strengthening Strategies
engagements. These are major methods for providing Strong families are key to preventing adolescent problems,
information for adults. Such programs are also being including substance abuse. New longitudinal research
implemented in schools and communities to target youth. suggests that parents have a larger impact on their teenage
Research shows that media campaigns provide needed children than previously thought.137 Although peer
information and, when combined with other community influence is the major reason adolescents initiate substance
prevention strategies, do slowly affect community norms.127 use, a positive family environment (e.g., positive parent/
The public demand for credible information about child relationships, parental supervision and consistent
drugs is increasing. Since 1987, the Partnership for a Drug- discipline, and communication of family values) is the
Free America128 has disseminated thousands of anti-drug major reason youth do not use drugs or engage in delin-
ads for its national campaigns. The partnership matches quent or unhealthy behaviors.138,139 These protective family
each ad financed by the ONDCP National Youth Anti-Drug factors are even stronger predictors for minority youth140
Media Campaign. This campaign costs about $198 million and girls.141
each year, but Congress has authorized the funds to be A CSAP expert review of family-focused approaches
used to target only illegal drugs—not alcohol. A NIDA determined that four family-based approaches demon-
evaluation of this media campaign is under way.129 Prelimi- strated the highest level of evidence of effectiveness in
nary results suggest that the media campaign is having a reducing behavioral and emotional problems in children 5
small but important effect in helping reduce drug use in years of age and up: (1) behavioral parent training (prima-
youth. According to communications researchers,130,131 rily cognitive/behavioral parent training); (2) family skills
communication campaigns can be effective when (1) there training; (3) family therapy (structural, functional, or
is widespread acceptance of the campaign; (2) media create behavioral family therapy); and (4) in-home family sup-
awareness and knowledge of the issues; (3) they are used port.142 Newer research suggests that parent involvement
to recruit individuals, and (4) interpersonal communication in homework assignments about drug prevention can also
channels such as peer networks or action groups are used be effective in reducing substance abuse in students.143 For
to reinforce behavior changes. more information including contact information on 34
Media campaigns have played a major part as well; model family programs, see Kumpfer,144 Kumpfer and
these are often spearheaded by citizens’ groups such as Alvarado17,145 and the University of Utah’s and OJJDP’s Web
Mothers Against Drunk Driving (MADD). Counter- site (www.strengtheningfamilies.org). Family interventions
advertising is much more sophisticated than it was a with insufficient evidence of effectiveness include parent
decade ago and now includes the use of interactive CD- education approaches. These programs are characterized by
ROMs to teach media literacy and Web sites that include short (less than 8 hours) didactic sessions or affectively
media messages, hot lines, and opportunities for electronic based parent education.142
ordering of materials from clearinghouses such as the
National Center for Alcohol and Drug Information. Behavioral Parent Training
Counter-advertising and educating the public about This highly structured approach includes parents only,
the dangers of alcohol through warning labels appear to generally in small groups led by a skilled trainer following a
have little impact on adolescent drinking132,133 or adult curriculum guide and including at least six 1- to 2-hour
drinking.134,135 MacKinnon and associates132 found increased sessions in child management. Parents are encouraged to
awareness of warning labels, but no changes in beliefs or increase interactions with their children through positive
alcohol use, in adolescents following exposure to warning play, increased rewards for good behavior, ignoring
labels. unwanted behavior, and improved communication.
Sessions include review of homework, video presentations
Summary of the Effectiveness of Environmental Policy contrasting more and less effective ways of parenting,
lectures and discussions to elicit parenting principles,
Approaches interactive exercises, modeling and role plays of the
The effects of community-based alcohol prevention policy parenting behavior to be changed, charting and monitoring
approaches have been described as “quite modest,” even of parenting and children’s behaviors, assignment of
though a great deal of effort and funds have been expended homework, and effective discipline.
on them.136 Cost-benefit studies are needed to help
communities understand how much improvement they can Patterson and associates146 pioneered behavioral parent
expect, in the light of alternative approaches. Increasing training and found that at least 45 hours are needed with
the cost of alcohol and increasing the legal drinking age or high-risk families. Research suggests that modeling the

SUD PREVENTION 31
therapist and practice through role plays are more effective or praise, problem solving, decision making, assertion and
than are reading and discussion with lower socioeconomic peer-resistance skills, communication skills, and how to
status parents.147 Webster-Stratton148 developed effective make and keep positive friends. Food, transportation, and
video-based versions for preschool and elementary school child care are often provided.
children that have been replicated by Taylor and associ- Family skills training appears to work best for elemen-
ates.149 From an analysis of these studies, this approach tary and middle school children. Examples include the
works best with young children (3 to 10 years old). A Strengthening Families Program,160 which has culturally
meta-analysis of 26 behavioral parent training studies found modified versions for African-American,161 Pacific Islander,
the mean age of children involved in the studies was 6.05 American Indian, and Hispanic families of 6- to 12-year-
years.150 The effect sizes (E.S.) for children’s outcomes olds, as well as for pre-teens and teens;158,59,162 Focus on
were very high (0.84 for parental report, 0.85 for observer Families163 for methadone maintenance parents; the
report, 0.73 for teacher report, and 0.44 for parents’ Nurturing Program164 for physically and sexually abusive
reports on their own behavioral and emotional changes). parents; Families and Schools Together (FAST)165,166 for
Some researchers have increased positive outcomes by students in schools; and Family Effectiveness Training
adding components such as family sessions on parent (FET)167 for Hispanic adolescents.
concerns not related to the child (e.g., marital, job, and
health concerns);151 social problem-solving training for Family Therapy
single parents;152 “synthesis training” to discuss stressful
This approach is typically implemented by trained clinicians
parent experiences;153 self-control training;154 and marital
or interns with adolescents who have diagnosed problems
adjustment support.155
(e.g., conduct disorder, depression, and school or social
problems) that, if not treated, may lead to serious delin-
Family Skills Training quency or drug use.168 Sometimes called family-based,
This approach combines behavioral parent training, empirically supported treatments (FBESTs), these interven-
children’s social and life skills training, and family practice tions have preventive value for younger siblings because of
sessions. The family goes to a community center, school, or positive changes made in the maladaptive family pro-
place of worship. For the first hour, the parents and cesses.169 In the CSAP 1998 review, four family therapy
children are split into separate groups. In the second hour, models were found effective: Szapocznik’s Structural
the parents and children reunite to practice what they Family Therapy;167 Alexander and Parsons’s Functional
learned in the first hour. Family meetings are implemented Family Therapy;170 Gordon’s interactive computer program,
and practiced. Parents are taught special therapeutic play or called Parenting Adolescents Wisely;171 and Liddle’s Family
parent/child interactive therapy.156 The parents learn Therapy.168
through observation, practice, and trainer and child
reinforcement how to improve positive play. Teaching In-Home Family Support
parents therapeutic play has been found to improve
The CSAP Family Prevention Enhancement Protocol (PEP)
parent/child attachment and improve child behaviors in
found a moderate level of evidence for this approach.172 In
psychiatrically disturbed and behaviorally disordered
an unpublished report to CSAP, Tobler and Kumpfer173
children.157,158 After the parents master special play, they
found a high effect size (1.64) for 14 well-implemented, in-
begin family communication sessions and, finally, practice
home family support programs. This approach is used
effective discipline and request techniques to improve
primarily for helping parents with children younger than 5
compliance.
years of age.174
Recruitment and retention are higher when the whole
family attends than they are when only parents or only Parent Involvement Drug Prevention Approaches
children attend. Preliminary results of a NIDA-funded This approach seeks to involve parents with their children
randomized controlled trial of the 14-week Strengthening in school activities or homework assignments about
Families Program (SFP) show that retention was 74% for substance abuse. Its objectives are to increase parent and
the three-component SFP that both parents and children child communication and sharing of family substance use
attended, 62% for the SFP children’s social skills training norms. In-school programs have had difficulty in attracting
class only, and 50% for the SFP parent training class only.159 parents; even when stipends for participation are offered,
Parents are more likely to enroll in a family skills training only about one-third of parents attend.175 If parents are
program because their children will receive preventive requested only to complete homework assignments with
services while they learn parenting skills. Children encour- their children, about 66% to 94% of parents are willing to
age their parents to enroll and attend more sessions participate.176-178 Bauman and associates143 found that 84%
because they enjoy seeing their friends and like the classes. of families completed at least one of four “Family Matters”
Contents of the children’s skills training program often booklets at home. With phone support (averaging eight
include identification of feelings, anger and emotional calls) by health educators, 62% of families completed all
management, accepting and giving feedback and criticism

32 KUMPFER
four booklets, devoting about an hour to each. The cost per Research-Based Guide8 includes descriptions of some of
family was about $140. The program was associated with these exemplary programs, including the universal,
significant reductions in risk factors and substance use in research-based programs listed below:
the youth.
Adolescent Alcohol Prevention Trial (AAPT).188 A
Multicomponent Mixed Family Programs classroom program for 5th graders, with booster sessions in
the seventh grade. It offers normative education and
Few comprehensive family approaches involve universal,
resistance skills training.
selective, and indicated approaches, because family
approaches are designed for specific populations. One Alert Drug Prevention Curriculum.189,190 A largely
example, the school-based Adolescent Transitions Program, video-based resistance skills program with 10 weekly
begins by providing a family resource room, selective family lessons in the seventh grade and three booster sessions in
services, and more intensive family services to identified the eighth grade developed and evaluated by the Rand
youth with conduct disorders and aggressive behaviors.179 Corporation. It had a positive effect on reducing cigarette
and marijuana use in students in California.

Individual Social Competency Strategies All Stars.191 This universal, 13-session, school-based
prevention program for seventh graders, with boosters in
Individual social competency or life skills programs are
the eighth and ninth grades, aims to reduce substance use,
generally implemented with universal populations of school
delinquency, and early sexual activity. An independent
children in junior high schools or in selective high-risk
evaluation found All Stars more effective than DARE,
populations in after-school community programs. Universal
particularly for reducing sexual intercourse and number of
school-based and community-based programs have been
sexual partners.192
reviewed several times.9,180-186 This section reviews several
approaches to social competency building: social influence Life Skills Training Program.193-196 This 30-session, 3-
programs (social skills, life skills, peer resistance), year, personal and social skills program for middle school
mentoring, tutoring, cultural pride programs, and alterna- students was found to reduce tobacco, alcohol, and drug
tive programs. use 40% to 66% immediately and up to 1 year after high
Youth-only change programs aiming to reduce interest school.197
in or demand for alcohol and drugs had a rocky beginning.
Project STAR.198,199 A 2-year middle-school social
When research evaluations were begun in the 1970s and
influence curriculum (10 to 13 sessions in seventh grade
1980s, the most popular drug prevention programs—scare-
and 5 to 7 sessions in eighth grade) implemented by
tactic drug education, alternatives, and affective education
trained teachers, combined with comprehensive commu-
programs—were found to have little effect. Having
nity interventions as part of the Midwestern Prevention
discovered that knowledge or attitudinal changes do not
Program, was found to reduce substance use.200
necessarily lead to behavioral change, researchers began in
the early 1980s to test a variety of social competency Seattle Social Development Project.201 A comprehen-
approaches that focused on behavior change. Best practices sive teacher training, social skills training (based on Shur
are increasing in schools. According to Tobler, 60% of the and Spivack’s “I Can Problem Solve” Program202,203), and
recently published school-based programs are the more parent training program, the Seattle Social Development
effective types of school-based youth competency pro- Project has be shown to improve school performance,
grams—the Social Influences and Comprehensive Life family relationships, and student alcohol involvement at
Skills Programs.187 In 1992, Hansen183 classified the school- various grades. Outcomes from the first four years demon-
based approaches into 12 activities, including information, strated that by the end of grade 11, Project students,
decision making, pledges, values clarification, goal setting, compared to control students, reduced involvement in
stress management, self-esteem building, resistance skills violent delinquency and sexual activity, and also showed
training, life skills training, norm setting, student assistance reductions in being drunk and in drinking and driving.201
(peer counseling, peer leadership, professional counseling,
hot lines), and alternatives. Selective Social Competency Programs
Few social competency programs are designed for youth
Examples of Effective Social Competency Programs who are identified as being at risk for substance abuse,
The most effective universal prevention programs imple- delinquency, or other problems because they belong to a
mented in schools appear to be those that involve intensive high-risk group, such as low-income youth or children of
social or life skills training and that often include home- alcoholics. Well-evaluated examples include the SFP
work assignments with parents. NIDA has funded the Children’s Social Skills Training Program204 and Smart
development and evaluation of many of these programs. Moves.205 The latter, a 40-session program for high-risk 10-
Preventing Drug Use Among Children and Adolescents: A to 11-year-old youth is implemented after school, often in

SUD PREVENTION 33
boys’ and girls’ clubs. This skills training program includes Other Types of Social Competency Programs
role plays and recreational activities and is facilitated by
Mentoring Programs. Mentoring programs can be
peer leaders.
implemented in school or community settings with high-
Indicated Social Competency Programs. These risk youth, but, because of the cost and need for staff time
programs are designed for youth who are identified by to coordinate, they are most often found in community
schools or communities as having conduct problems or agencies employing volunteers. Mentoring programs
emotional problems. Examples include Lochman’s Anger attempt to convey positive values, attitudes, and life skills
Coping Program and Coping Power Programs,206 Shure’s I through a one-to-one relationship with a positive role
Can Problem Solve Program,202,203,207 Social Skills Training model, who may be a culturally matched community
in the Fast Track Program,208 Kazdin’s Problem-Solving volunteer, college student, parent, or business professional.
Social Skills Training Intervention Program,209,210 and One of the only evaluations of mentoring was the Big
Eggert’s Reconnecting Youth Program, with is Personal Brothers’ and Big Sisters’ Program evaluation, which found
Growth Class for high school students at risk of dropping positive results only if the mentor spent at least a year with
out of school.211 the young person.217 Some intergenerational mentoring
Reconnecting Youth Program.212 This prevention programs using retired or older persons have been imple-
program is for high school students who are at risk for mented and evaluated. These include Across Ages, a CSAP
dropping out of school because of declining grades or other model program, and Full Circle, implemented in four urban
behavioral or mental problems, such as substance abuse, and rural sites in Colorado. Another program, Partners in
depression, or suicidal ideation. The program’s Personal Denver, combines a Big Brother/Big Sister programs with
Growth Class involves students in a credit class taught by wilderness outings.
carefully selected and trained teachers. It includes a peer Tutoring Programs. Academic achievement is a protec-
support group that teaches social and life skills that increase tive factor for drug use, and academic tutoring has been
resilience to drug use.213 found to lead to decreased peer rejection, fewer disruptive
Alcohol Prevention Programs. Reducing the number of behaviors, and significant gains in math and reading
adolescents who begin to use alcohol is harder than skills.218 For these reasons, tutoring programs are used to
reducing the initiation of tobacco or drugs. The average ES reduce future drug use in high-risk youth with academic
for tobacco prevention programs in schools is about problems. Some programs use a cross-age tutoring approach
ES=0.16, broader substance abuse prevention programs in which high-risk students tutor younger students. Other
average ES=0.11, and alcohol prevention programs average programs use mentors, college students, or teachers to
ES=0.10.187 Examples of effective universal programs tutor students in school or after school.
funded by NIAAA to reduce alcohol use include the Cultural Competency or Pride Programs. Many of
following: the targeted prevention programs developed for ethnic
Project Northland.55,56 A comprehensive program with youth and families have been based more on practitioners’
developmentally appropriate activities for elementary responses to ethnic community needs than on theoretical
school and junior high school students. Unique features advances involving ethnic youth. Kim and associates219
include a cartoon series and parent involvement in state, “Prevention practitioners frequently place more
homework assignments. emphasis on the personality styles of the fieldworkers and
their level of commitment than on a particular theoretical
Alcohol Misuse Prevention Project.214 This middle orientation.” Promising approaches being tested with
school program was found to reduce alcohol use signifi- different ethnic groups are described in Drug Abuse
cantly, but only in the highest-risk youth, whose parents Prevention with Multiethnic Youth.220 The theoretical
allowed them to drink at home and not until the eighth or models that could inform these programs include accultura-
ninth grades, when alcohol initiation normally begins.215 tion theory, differential family acculturation, and orthogo-
These programs include teaching social competencies nal cultural identification theory.221
or peer-resistance skills. Some effective programs focus Multicultural Competencies or Skills Training
more on broader life skills (Botvin’s Life Skills Training); Programs. Although etiological studies have not found a
others focus on n normative changes (Hansen’s All Stars). consistent relationship between cultural pride and sub-
These theory-based social competency programs differ from stance use, the research of
other school-based programs found to have minimal
effects,9,186,187 such as DARE,216 in a number of ways. They Oetting and Beauvais221 suggests that youth with more
have longer curricula targeting a larger number of primary multicultural competencies are less vulnerable to substance
risk factors for drug use, improved fidelity to their curricula use than are those without such competencies. Many of
in implementation, increased dosage or intensity, better the high-risk youth programs implemented with ethnic
training of implementers, and booster sessions. youth include sessions on cultural pride or history and

34 KUMPFER
teaching of cultural dances, art, and theater. They employ or adults. Positive effects are found if the activities provide
attractive role models to increase cultural pride. Intensive pro-social, non–drug-using role models, such as academic
experiential wilderness programs and youth clubs orga- activities, religious activities, and active hobbies.231
nized around activity programs have been evaluated in CSAP cross-site studies suggest the most effective
CSAP high-risk youth programs with ethnic students, alternatives programs involve youth in their development
primarily Native American youth, and found to be cultur- and include social skills training and recreational outings.11
ally relevant and effective in reducing risk factors.222 They promote attachment to social institutions (e.g., family,
Alternatives Programs involve high-risk youth in drug- school, and places of worship), academic achievement,
free activities (“alternative highs”) during their leisure time. educational aspirations, social competency, and unfavorable
Because research on mediators of drug use supports a link attitudes toward substance use. The outcome research
between thrill seeking in adolescence and drug use,223 suggests that community service-oriented programs
alternatives programs frequently involve wilderness produce mixed results. Cultural competence programs are
challenge experiences (i.e., wilderness survival, mountain popular with participants and effective in several respects.
climbing, backpacking, river rafting, sky diving) and The most effective programs are those that are more
extreme sports. The rationale for such programs is based in intensive (i.e., offering activities several days a week or
part in findings that high-risk youth are often bored during booster sessions) and provide opportunities for creating
their free time, and that their customary leisure activities positive relationships with adult role models or mentors.
do not provide sufficient arousal. Other types of positive Alternative programs can enhance their effectiveness if
alternatives to drug use include sports, the arts, community they also focus on environmental change by having youth
service or restoration projects, house building, vocational work on legislative advocacy to reduce the availability of
training, drug-free dances or graduation events, entrepre- tobacco, alcohol, and drugs.
neurial ventures, teen hot lines, and drop-in centers.224-226
Because of their cost, these selective or indicated preven- Effectiveness of Social Competency Programs
tion strategies are reserved for at-risk individuals. This A review of the effectiveness of school-based programs by
indirect approach to prevention avoids labeling and Hansen183 suggests that social influence programs, includ-
stigmatizing youth as being at high risk for drug use, ing resistance skills training, norm setting, and life skills,
because the programs often never mention their underlying have the largest percentage of positive findings (51%
purpose. positive, 38% neutral, and 11% negative). When correc-
tions were made for programs with insufficient power to
Critical elements of programs such as these include (1)
detect a significant change, 63% of the programs had
promotion of new skills, knowledge, and anti-drug atti-
positive results, 26% were neutral, and 11% were negative.
tudes, (2) occupation of free time with positive activities,
After this power correction, comprehensive school pro-
(3) community service that provides meaningful involve-
grams looked more effective: 72% positive, 28% neutral
ment in socially responsible activities, (4) opportunities to
and no negative effects reported. The information/values
interact in positive ways with peers, and (5) adult supervi-
clarification programs had mixed results—30% positive,
sion or development of positive relationships with adults.
40% neutral, and 30% negative outcomes. Affective
These programs do not include drug education content
education also had positive effects (42%) balanced by 25%
directly. More than 75% of CSAP’s community partnerships
negative effects and 33% no effect. There were not enough
included youth alternative activities.11 One of the few well-
studies with reported results to determine overall effective-
researched alternatives programs is Amazing Alterna-
ness of the alternatives approach. Among the comprehen-
tives.227 This program helps youth identify health-enhanc-
sive programs, two models—Life Skills Training193,194 and
ing alternative activities for each function that substance
STAR199 —and two other similar programs—SMART and
use provides for them. Often leisure activities are added to
AAPTC—were found to contribute to successful outcomes.
other prevention approaches, such as school climate
change programs228 or indicated prevention programs for A meta-analysis of school-based prevention programs
school drop-outs.212 conducted by Tobler and Stratton9 found that social
competency approaches have only small-to-moderate effect
Alternative programs are very popular, even though
sizes. (A meta-analysis involves collecting data on all the
research is limited229 and meta-analyses suggest only a
researched programs, categorizing types, and comparing
weak positive effect.186 Malvin and associates230 found the
their relative effectiveness by averaging the size of the
effectiveness of this approach was equivocal. A review of
effects.) Tobler187 in 1998 updated her 1993 meta-analysis
CSAP’s prevention programs suggests that alternative
of the effectiveness of school-based substance abuse
programs were not as effective as were family-oriented
prevention programs by adding 87 studies that had taken
approaches or youth-led drug education approaches.11
place between 1990 and 1997. The results reported below
Harmful effects have been found if the type of alternative
are from 207 programs with acceptable evaluations from a
activity (some rock bands, sports, or vocational training)
total of 700 school-based substance abuse prevention
exposes non-using youth to older, substance-abusing peers

SUD PREVENTION 35
 Donaldson and associates232 analyzed social influence-
Table 1: School-Based Prevention Programs,
based drug abuse prevention programs. They concluded
Ranked in Order of Effect Size (ES)
that this type of programming produced the most consis-
tently successful preventive effects with the general
1. Comprehensive life skills training (0.30 ES)
population, but that it may not be as effective with high-
2. “Other” programs (e.g., peer counseling, parent involvement, risk youth. Unfortunately, most of these programs rely on a
behavioral token economy, community partnerships) (0.21 ES) mixture of several prevention approaches, so it is difficult
3. Social influences (0.20 ES) to determine the most salient content. Donaldson and
colleagues concluded that the most essential ingredient for
4. Health education (0.18 ES) success appears to be changing social norms or peer norms.
5. DARE-type (0.08 ES) These authors warn against implementing only a subset of
the lessons of exemplary programs because of the potential
6. Knowledge only (0.07 ES)
of implementing only the less effective lessons.
7. Decisions, values, and attitudes (0.06 ES)
8. Affective only (0.04 ES)
School Climate Change Strategies
9. Knowledge and affective (- 0.05 ES)
This comprehensive, universal prevention approach seeks
to shift school norms and practices to be more supportive
of non-use. These programs also address many of the risk
studies dating from 1978 to 1997.187 Whereas Tobler’s and protective factors for drug use that mediate use, such
1993 study coded programs into six categories, the present as school bonding, self-esteem, association with non-using
study classified them into nine types (see Table 1). friends, a supportive school climate, and positive family
Comprehensive life skills training programs such as relations.139 School climate change approaches resemble
Botvin’s produce the largest decreases in tobacco, alcohol, community change approaches but focus on the school or
and drug use; the least effective program type is a combina- school district. Task forces are mobilized to plan, imple-
tion of knowledge-only and affective education, which ment, and evaluate locally developed solutions to empiri-
actually produces negative effects. This statistical analysis of cally identified problems derived from a baseline needs
social competency revealed that interactive, skills training assessment. Many different prevention solutions are
methods were more effective (0.14 versus 0.04 ES) than implemented by the planning teams to address multiple
were didactic methods in reducing substance use or risk. risk and protective factors.
The successful programs sought to change behaviors by Project PATHE was one of the first comprehensive
teaching skills and competencies rather than by seeking to school climate change programs to be tested and to
change knowledge and attitudes by providing lectures on demonstrate positive results.233 The program involves
the consequences of tobacco, alcohol or drug use. students, parents, teachers, school officials, and communi-
The Tobler187 meta-analysis also clarified the core ties in planning teams following a specific planning process
elements of the more effective substance abuse prevention called the Program Development Evaluation (PDE)
program. These included (1) interactive delivery style (0.14 method, which includes a needs assessment, development
to 0 .04 ES); (2) smaller programs with fewer students and implementation of plans to address the substance
served, particularly if they allow students to interact with abuse risk factors, and explicit standards for performance
each other (0.43 ES for 20 students compared with 0.14 if with constant feedback.234 School/community teams are
serving over 2,000 students); (3) minority-serving programs free to develop many different strategies and to evaluate
with interactive experiential content (0.13 to 0.11 ES); (4) their effectiveness, making this project the precursor for the
programs staffed by leaders trained in behavior change popular community partnership approaches. This program
psychology and mental health therapy, such as mental was implemented in Charlotte, North Carolina, junior high
health clinicians (0.24 ES), rather than peer-led or teacher- schools and found to affect many mediators and to reduce
led programs (0.10 ES), or other staff, such as police tobacco, alcohol, and drug use in students in the schools
officers (0.08 ES); (5) longer programs with booster implementing the programs compared with students in
sessions, because program effects do decay with time; (6) nonparticipating schools.
program incentives, such as food, child care, attendance Project HI PATHE is unique because in each site
rewards, and transportation, that reduce attrition, because program activities are planned locally by teams of students,
programs with high attrition had reduced effectiveness (.09 teachers, administrators, parents, and community members
to .16 ES); and (7) fidelity to original research-based based on the PDE model.233,234 The activities are designed
models, because tight implementation and quality assur- by the school teams after a review of local school needs
ance lead to increased effectiveness. assessment data139 and include universal school activities
(e.g., school policy revisions, school pride days, plays and

36 KUMPFER
assemblies, and educational reform with cooperative What Health Care Professionals Can Do
learning training for teachers combined with universal
health promotion and substance abuse prevention cur- Become knowledgeable about effective prevention
ricula, and parent training); selective school activities (e.g., approaches.
children of alcoholics groups, minority youth after-school Health care professionals need to become better educated
programs, buddy programs and welcome wagons for about which prevention programs are most effective.
transferring students); and indicated activities (e.g., student Health care professionals can improve their knowledge
hotlines run by peers with professional training and through reading and participating in continuing education
support, treatment after-care groups at school, in-school classes, workshops, and online courses at some universi-
suspension for suspended students, and tutoring and ties. The author has designed an online graduate-level
mentoring for students performing poorly academically). prevention science course at the University of Utah. The
Unfortunately, due to the short-term nature of Project HI Society for Prevention Research is developing undergradu-
PATHE’s funding from the Department of Education, the ate and graduate distance learning courses in substance
evaluation results were not conclusive.228 However, abuse prevention.
because of the effectiveness of this approach as demon-
strated by Gottfredson,233 the school climate approach is Support collection of needs-assessment data.
worthy of additional research. This paper has covered the most recent research on
effective prevention practices. However, knowledge of
these evidence-based practices is still not equivalent to
Comprehensive, Multicomponent Strategies good prevention practice, any more than knowledge of best
Some schools and communities conduct comprehensive medical practices equates to high-quality care. The cure
programs that include a mixture of various prevention must fit the disease. A sophisticated diagnostic process
approaches. These frequently involve a community or must occur to determine whom to treat with which
school planning and development approach, with local evidence-based practices. The most effective prevention
solutions developed by planning committees matched to programs are tailored to the most salient risk and protective
needs assessment data on risk and protective factors. factors for a particular group. For instance, if the most
The advantage of comprehensive approaches is that salient risk factors are excessive family conflict, lack of
they address the risk and protective factors of many supervision, harsh discipline, and poor parent/child
different types of individuals. These programs include bonding and attachment, combined with a very high risk
locally designed solutions that are grounded in research- neighborhood for substance abuse, “strategic parenting” is
based models but sometime also involve new approaches. needed.237 These families need an age-appropriate, evidence-
The disadvantages of these models are that they require based parenting program to improve parenting skills.16
significant fiscal resources, require substantial amounts of Eventually, the PDSS will include a matching expert
school- and community-readiness, are volunteer- and staff- system module for matching local needs to the selection of
intensive, and require a prevention director. Also, an the best practice. Needs assessments are currently on the
effective planning process cannot proceed without needs- PDSS Web site. States and counties are becoming more
assessment data on risk and protective factors. This could sophisticated in conducting epidemiological surveys to
require that a school or community survey be conducted determine risk and protective factors for substance abuse.
before beginning planning of services. Some States are implementing Web-based needs-assessment
Probably the best-known comprehensive programs are systems that allow counties to conduct surveys using a
the Mid-West Prevention Project 46,198 and the Seattle Social standardized needs-assessment instrument, enter the data,
Development Program.66 Other effective comprehensive and have geocode maps created that compare their county
programs that are primarily school based include the or towns on risk and protective factors for substance abuse
School Transitional Environment Project (STEP),235 which with State and national norms and with other similar
is a school climate change program, the Aban Aya Project counties or towns.183,136,238 A number of effective needs-
in Chicago,236 and Project PATHE233 and its variant targeted assessment systems are available.239
for universal, high-risk, and in-crisis youth through a
comprehensive student and community team approach, Advocate evidence-based prevention practices.
Project HIPATHE.228 The 10 new CSAP Developmental Health care professionals can advocate more effective,
Predictor Variable grants are conducting research on the evidence-based prevention in their communities. Educating
effectiveness of providing comprehensive prevention mayors, county commissioners, and State legislators that
services to students, selective families, and indicated youth substance abuse prevention not only works but can
and families. substantially reduce health care costs is a role that health
professionals can credibly play. Many health professionals

SUD PREVENTION 37
serve on boards of directors of private, nonprofit agencies. Summary
They are in a position to advocate that funds be allocated
to effective prevention approaches. There is no single “best” prevention program, and no one
program or approach will stop all drug use. There are many
effective research-based programs; the best approach for
Seek consultation from prevention specialists when
any particular population requires selecting the best
planning programs. intervention for the target population on the basis of a
Health care professionals can look to a number of resources knowledge of the risk and protective factors in that
to help them select the best prevention services. These population. Unfortunately, the most highly marketed school
resources include State or county prevention specialists or or family programs are generally not those programs with
local university prevention researchers. Those involved the best outcomes.
with prevention planning should ask to see the evaluation
The best approach to prevention is to begin early to
results. Increased knowledge and changed attitudes are not
reduce emerging behavioral and emotional problems in
sufficient changes—evidence of behavioral changes in risk
youth. Longer-lasting effects should accrue from changing
precursors (e.g., conduct disorders, aggression, depression,
school, community, and family environmental conditions
school failure, family conflict, poor parent/child relations)
that promote and maintain drug problems in youth. More
and actual drug use must also be clear. Additionally,
and more prevention specialists are considering moving
implementation and community readiness variables must
from a focus on the individual to changes in total systems
be considered when selecting the best prevention program
or the environmental contexts that promote or hinder drug
for your local community. Help in these areas can be found
use. On the basis of economic considerations, the “whole
in Wandersman and associates, “Comprehensive Quality
family” systems-change approach of family skills training
Programming: Eight Essential Strategies for Implementing
classes is becoming popular even in the managed care
Successful Prevention Programs,”240 and Kumpfer,
environment.241
Whiteside, and Wandersman’s Community Readiness for
Drug Prevention: Issues, Tips, and Tools.239 The greatest challenge facing the drug abuse preven-
tion field is to get information out to practitioners and
Advocate for a public health approach to substance communities about the best prevention programs, ap-
abuse prevention. proaches, and principles of effectiveness. Researchers and
funding agencies must learn how to effectively market the
A more effective approach to prevention is clearly needed.
most successful programs to bridge the gap between
Availability of drugs has not decreased, and drug use is up
research and practice. We must become as effective at
85% in youth since 1992. Funding for prevention and
marketing drug prevention programs as drug dealers are at
treatment has not kept pace with the demand or increases
promoting and selling drugs. Communities need health
in funding for supply-reduction efforts. Primary health care
care professionals who are knowledgeable about substance
professionals need to work together to request a Surgeon
abuse prevention and who can advocate the implementa-
General’s report on substance abuse treatment and
tion and ongoing improvement of prevention programs
prevention. Now that a Surgeon General’s report on mental
with known effectiveness.
illness has been completed, the nation needs a thoughtful
and complete review of what a more humane public health
approach could contribute to reducing SUD.

38 KUMPFER
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Sudbury, Mass.: USA Jones & Bartlett Publishers; 2001.

SUD PREVENTION 45
 CHAPTER 2

Screening, Assessment, and Intervention

for Substance Use Disorders in
General Health Care Settings
MICHAEL F. FLEMING, MD, MPH

Introduction
Alcohol- and drug-related problems are among the leading causes of death and morbidity in the
United States. Studies suggest that 50 million Americans drink alcohol above recommended
limits or use illicit drugs. The general health care system in the United States offers an ideal
opportunity to identify and treat these people and thereby reduce associated adverse health,
family, and societal effects. Practitioners from various disciplines, including physicians, nurses,
pharmacists, dentists, social workers, psychologists, and allied health professionals, are essential
participants in national efforts to deal with these problems. This paper reviews the scientific
evidence that supports the implementation of alcohol screening, brief intervention, and pharma-
cotherapy in general health care settings. Although the paper focuses on efficacy research, it also
includes information on effectiveness studies and on the integration of primary care with
specialized alcohol and drug treatment programs.

Definitions and Criteria with recommendations. SUD are divided into (1) at-risk or
hazardous use; (2) problem or harmful use, or abuse; and
Persons with alcohol use disorders may be grouped into (3) drug dependence or drug addiction. Any use of an
three categories: (1) at-risk or hazardous drinkers; (2) illegal substance is considered at-risk use. Problem drug
problem, abusive, or harmful drinkers; and (3) dependent users are those persons who have experienced drug-related
or alcoholic drinkers. The adjectives “hazardous” and harm (e.g., financial loss, family problems, school problems,
“harmful” are in common use throughout the world and legal problems, or health problems). Drug dependence or
are used for International Classification of Diseases (ICD)- drug addiction criteria include loss of control, adverse
10 coding. The definitions of the three terms vary by consequences, and evidence of physical dependence.
clinician, scientist, and country, but for the purpose of this
paper we will use the definitions incorporated in a 1995 The criteria for a diagnosis of addiction may vary by
publication by the National Institute on Alcohol Abuse and drug class. Opioids, for example, often cause physical
Alcoholism (NIAAA).1 At-risk drinkers are defined as men dependence when used to treat chronic pain, without any
who drink more than 14 standard drinks per week or more other evidence for addiction. Other drugs of abuse, such as
than 4 drinks on one occasion, or women who drink more hallucinogens and inhalants, do not appear to cause
than 7 standard drinks per week. (A standard drink contains physical dependence.
14 grams of alcohol and is equivalent to a 12-ounce bottle
of beer, a 5-ounce glass of wine, or 1-1/2 ounces of hard
liquor.) Problem drinkers are persons who drink above
Prevalence of Substance Use Disorders
these limits and also have one or more alcohol-related Patients with SUD are commonly seen in clinical settings.
problems or adverse events (e.g., accident, injury, hyperten- Using the criteria just described, a study was conducted to
sion, or employment problems). Dependent drinkers are assess the 90-day prevalence of alcohol and drug use
persons who are unable to control their alcohol use, have disorders in 22 primary care practices. The authors found
experienced one or more adverse consequences of alcohol that 9% of patients screened were at-risk drinkers, 8% were
use, and have evidence of tolerance or withdrawal. problem drinkers, and 5% were alcohol-dependent.2 Rates
of alcohol use are high in pregnant women. The 1995
Persons with substance use disorders (SUD) include
National Behavioral Risk Factor Survey reported that 3.2%
those who use illicit drugs as well as those who use mood-
of pregnant women were exposing their fetuses to teratoge-
altering or over-the-counter prescription drugs at variance
nic doses of alcohol.3

47
 This paper focuses to some degree on the identification Indirect behavioral questions such as those contained
and treatment of alcohol and drug addiction disease; in the CAGE8 were developed to detect persons who are
however, the primary goal is to help health care profession- alcohol-dependent.9,10 Two or more positive responses to
als recognize and encourage behavioral change in the CAGE suggest an alcohol problem that needs to be
nondependent persons who are drinking and using drugs further assessed. CAGE variants include the T-ACE or
above recommended levels. The majority of health, family, TWEAK,11,12 which were developed for pregnant women.
and social problems related to alcohol and drug use in the The T-ACE substitutes a question on tolerance for the
United States, as in most countries of the world, occur in question on guilt. The TWEAK adds to the T-ACE a
this nondependent, high-risk group. For example, most question on blackouts. A recent study by Volk et al.13 found
persons involved in fatal alcohol-related motor vehicle important differences in the psychometric properties of the
accidents are not alcoholic. There is a direct dose-response CAGE when it is used with African-American and Mexi-
relationship between alcohol and accidents and injuries in can-American populations.
young men. Similar effects have been documented Simplicity, low cost, and accuracy are important
between alcohol and cancer, and alcohol and stroke. characteristics of effective screening tools. Numerous
Alcohol-related accidents, stroke, and cancer are all directly researchers have tried to develop one- or two-question
related to the amount of alcohol consumed. The data alcohol screening tests. The single question, “How often in
illustrate the public health importance of decreasing risky the past month have you had five or more drinks on one
alcohol use in the general population. occasion?” was found to have a sensitivity of 62% and a
specificity of 92%. This study, by Taj, Devera-Sales, and
Vinson,14 used NIAAA criteria for at-risk drinking and DSM-
Screening for Alcohol Use Disorders IV criteria for alcohol dependence or abuse as the standard.
Screening methods for use in clinical settings include (1)
Brown and colleagues15 found that two questions had
direct questioning by a health care professional; (2) self-
a sensitivity of 79% in a large primary care sample. These
administered questionnaires completed with pencil and
questions were “In the last year, have you ever drunk or
paper or computer; and (3) laboratory tests. Many of these
used drugs more than you meant to?” and “Have you felt
methods have excellent psychometric properties that are
you wanted or needed to cut down on your drinking or
comparable to a single measurement of blood pressure as a
drug use in the last year?” Another pair of questions with
screening test for hypertension, a fasting blood glucose test
high psychometric properties is “Have you had a drink in
to detect diabetes, a mammogram to identify early breast
the past 24 hours?” and “Have you ever had a problem
cancer, or a prostate-specific antigen test to detect prostate
with your drinking?”16 Cherpitel17, 18 developed a four-
cancer. The reliability and validity of screening methods to
question alcohol screening questionnaire, the RAPS4
detect alcohol and drug use vary by the method of adminis-
(Rapid Alcohol Problems Screen) for use in emergency
tration of the test, the clinical setting, and the population of
department settings.
interest.
A number of authors have reported that current
Consumption questions that focus on frequency,
alcohol screening tests are less sensitive in women. A
quantity, and binge drinking are widely recommended as
review of the alcohol screening literature by Bradley19
initial screening questions for use in clinical settings.1,4
found that the CAGE, AUDIT, Skinner’s trauma scale,20 and
These questions, which can be incorporated into routine
the MAST (Michigan Alcoholism Screening Test) had
patient care, are very sensitive and specific for the detec-
poorer psychometric properties in women than in men.
tion of at-risk and problem drinkers. Two studies suggest
that these questions are more sensitive than is the CAGE or A series of studies have examined the psychometric
the Alcohol Use Disorders Inventory Test (AUDIT) for properties of screening instruments in special settings and
trying to detect at-risk or problem drinking.5,6 While some with special populations. Saitz9 found the CAGE a useful
patients will minimize their alcohol use, especially those screening test in a Latino population. The CRAFFT alcohol
who are alcohol-dependent, a number of interview screening test was developed for adolescents. This nine-
techniques can minimize underreporting. These include question test showed strong psychometric properties in a
asking about alcohol use in the context of other health sample of 99 young people between the ages of 14 and
behaviors, asking direct questions in a nonjudgmental 18.21 Peters22 developed two new instruments, the Texas
manner, observing nonverbal cues, asking about very heavy Christian University Drug Screening Test and the Simple
drinking days, and checking with a family member. Screening Instrument, and compared these with six other
Consumption questions also facilitate determining the level alcohol screening instruments. All eight instruments had
of risk for alcohol-related health effects. For example, comparable psychometric properties in a sample of 400
young men who drink more than 400 grams (30 standard adult male prisoners.
drinks) of alcohol per week have a five times greater risk of A recent study confirmed the utility of the 25-question
dying from an alcohol-related problem than do young men MAST in general psychiatric settings.23 Hermannson24
who drink less than 100 grams per week. 7 screened 540 employees in the workplace and found the

48 FLEMING
combined use of the AUDIT, CDT (carbohydrate-deficient Recommendations on the Use of Alcohol Screening
transferrin), and GGT (gamma-glutamyl transferase) was Questions and Tests
the most sensitive method of detecting hazardous drinking.
The following recommendations are based on the NIAAA
Each of the tests identified a group of hazardous drinkers
publication The Physicians’ Guide to Helping Patients with
not recognized by the other two tests. A number of studies
Alcohol Problems.1
have found that physicians are less likely to screen women
than men. A study reported by Gentilello25 found that Everyone over the age of 10 should be asked about
women admitted for trauma had alcohol problem severity alcohol use on a routine basis. Patients with alcohol-related
scores similar to those of men, and that gender was not a medical problems, or those who take medication that may
protective factor for alcohol-related trauma. A new interact with alcohol, should be screened on a more
instrument called the CUGE was developed to detect frequent basis than persons at low risk. This recommenda-
hazardous alcohol use in young adults. The “Annoyed” tion applies to adolescents, men and women, all racial
question in the CAGE was replaced by “driving under the groups, and older adults.
influence.” This substitution resulted in a significantly 1. The questions should begin by focusing on
greater sensitivity and area under the curve (ROC analysis) frequency, quantity, and frequency of binge
in a sample of 3,564 college students at a Catholic univer- drinking. Direct questions by a clinician should be
sity in Belgium.26 asked in the context of routine care. Asking
Another screening approach is the self-administered questions about alcohol use along with questions
questionnaire. These include the AUDIT,27-29 the MAST,30 on smoking, safety issues, exercise, nutrition, and
the SAAST (Self-Administered Alcohol Screening Test),31 sexual activity appears to reduce patient and
and instruments that embed alcohol use questions in the clinician resistance. The following cut-off levels are
context of other health behaviors such as smoking, based on risk. A positive screen is as follows:
exercise, and weight (Health Screening Survey).32 The a. Men younger than age 21: Any alcohol use is a
Prime-MD33 combines alcohol questions in the context of a positive screen. Such use is illegal in most states
screening test to detect depression. These pencil-and-paper and potentially harmful to the maturing brain.
tests can also be used as an adjunct to questions asked by a b. Men age 21–64: More than 2 drinks per day or
clinician or administered by a computer in the waiting more than 14 drinks per week; more than 4
room. drinks per occasion.
Laboratory tests such as the GGT, mean corpuscular c. Men age 65 or older: More than 1 drink per day
volume (MCV), and CDT may be used as screening tests.34 or 7 drinks per week; more than 3 drinks per
Limitations include cost, low sensitivity in general popula- occasion.
tion samples (under 20%), and false positives.35 The CDT is
a new test that is expected to be available in the United d. Women younger than age 21: Any alcohol use is
States for general clinical care in the next year. While the a positive screen.
test has been widely used by American-based life insurance e. Women who are pregnant or are trying to
companies to identify heavy drinkers, it has not received conceive: Any alcohol use is a positive screen.
Food and Drug Administration approval. The test is very f. Women age 21–64: More than 1 drink per day
sensitive in men who have been drinking five or more or more than 7 drinks per week; more than 3
drinks per day for at least 30 days. It is less useful in drinks per occasion.
detecting binge-drinking patterns and in women. It is
g. Women 65 or older: More than 1 drink per day
primarily used in Europe to screen high-risk patients, to
or 7 drinks per week; more than three drinks
detect relapse, and to predict withdrawal risk in surgical
per occasion.
patients.
h. Men and women with serious health problems
Blood alcohol levels (BALs) can provide unique
affected by alcohol use (e.g., diabetes, depres-
information in emergency departments and trauma centers,
sion, anxiety, and hypertension): Any alcohol
where as many as 30% of patients will have detectable
use is a positive screen..
levels of alcohol.17,36-38 While BALs may not be as sensitive
as direct questions are, a positive BAL is very specific and i. Men and women who take medications that
can be used to predict risk of postoperative alcohol may interact with alcohol: Any alcohol use is a
withdrawal. A number of important alcohol–medication positive screen.
interactions (e.g., alcohol and sedatives, opioids, warfarin, 2. If the person is drinking above recommended limits
and phenytoin) may justify the use of Breathalyzer™ or if the clinician has additional time, clinicians
testing in general clinical settings. At the present time, should ask the CAGE questions to screen for
there are no low-cost biological markers with a sensitivity alcohol dependence. A positive CAGE is usually
over 20% that can be use for routine alcohol screening. defined as two or more positive responses. Clini-

S C R E E N I N G , A S S E S S M E N T, A N D I N T E R V E N T I O N 49
 cians may want to use the T-ACE for pregnant Screening for Drug Use and Drug Dependence
women. A positive T-ACE screen includes women
who need more than two drinks to feel high or There is less information on effective screening tests to
those who have two or more positive responses. detect illicit drug use in general clinical settings than on tests
for alcohol. While the evidence is weak, a number of
3. The AUDIT is recommended for clinicians and questions and methods are available. Some screen for drug
health care systems that want to use a self- use; others assess for symptoms of abuse or dependence.
administered questionnaire by pencil and paper or Screening questions and instruments include those focused
computer.39 A positive score is between 6 and 8. on quantity and frequency, the modified CAGE, single
The AUDIT is more sensitive at a cut-off of 6, but screening questions developed for the DIS (Diagnostic
there will be more false positives. Persons with an Interview Schedule) and other diagnostic schedules, and self-
AUDIT score of over 15 may be alcohol-dependent. administered screening/assessment questionnaires such as
The AUDIT contains three questions on frequency, the DAST (Drug Abuse Screening Test). Screening questions
quantity, and binge drinking; three of the four should include five drug classes: cannabinoids, cocaine,
CAGE questions on control, guilt, and the eye- opioids, amphetamines, and benzodiazepines. Other drugs
opener; and four additional questions on blackouts, may be included when screening specific populations. For
alcohol-related injury, physician/family advice, and example, inhalants should be added when interviewing
expectation failure. adolescents, hallucinogens for teenagers and young adults,
4. A number of methods are under investigation to amphetamines for young adults, and anabolic steroids for
find the best and least expensive way to administer athletes or persons who are trying to increase muscle mass.
an alcohol or drug screening test. These include If clinicians have limited time and prefer to inquire
the use of computers in the clinic waiting room, about a single drug, marijuana is the drug most frequently
dental office, or pharmacy. Computers can be used reported by patients to physicians. A primary care study of
to administer alcohol and drug questions as well as 1,928 patients in Wisconsin found that 19% of patients
to provide immediate feedback. Some health care coming into a primary care clinic reported using an illicit
systems are including alcohol and drug questions drug five or more times in their lifetime. Of this group, 88%
on mailed questionnaires as part of an annual reported using marijuana. Marijuana was also the drug of
health check. Others are setting up Web-based choice for those who had used an illicit drug in the last 6
systems. These alternative methods have many months. Twenty-three percent of the drug users reported
advantages, especially in less traditional settings marijuana use in the last 6 months, and 7% reported cocaine
such as dental offices, student health centers, use. Other drugs were reported by less than 1% of the
podiatry offices, optometrist offices, social service population.2 While there was multiple drug use in this
agencies, alternative medicine clinics, and pharma- sample, it was unusual for polydrug users not to smoke
cies. These methods are likely to become one of marijuana. This study suggests that clinicians will be able to
the many ways we are able to regularly screen the detect more than 80% of drug users if they limit their initial
U.S. population for alcohol use disorders. screening question to marijuana.
5. Biological markers are useful for special popula-
Frequency Questions42
tions. BALs are recommended for all patients
receiving care in the emergency department for “Have you used marijuana ( … cocaine, narcotics, sedatives
trauma or injuries. BALs should be conducted as … ) five or more times in your life?” (DIS question)
part of the preoperative assessment in high-risk “Have you used marijuana in the last 6 months?”
cardiac, orthopedic, and transplant patients. Quantity Questions
Persons receiving certain medications such as
“How many joints do you smoke in a single day?”
narcotics, benzodiazepines, and antiseizure
medications should have their BALs checked. “How many joints did you smoke in the last month?”
Other markers, such as GGT, MCV, and CDT, are “How many lines of cocaine did you snort in the last day
indicated for patients with potential alcohol-related (…week, …month)?”
health problems such hypertension, diabetes, “On a heavy day, how many bags of heroin do you use?”
depression, and chronic anxiety, as well as for
persons who drink three to four drinks per day. “How many times did you shoot up heroin in the last 24
CDT is used in many European countries to hours?”
monitor patients for relapse. Screening Questions to Detect Abuse or
6. The CAST-6 (Children of Alcoholics Screening Test) Dependence43
can be used to ask children about alcohol problems “Have you ever felt the need to cut down on your drug use?”
in their parents. The six-question version has similar “Do you get annoyed when someone criticizes your drug use?”
psychometric properties as the longer version 40,41 “Do you feel guilty about your drug use?”

50 FLEMING
 Urine drug screens are recommended in a number of drinkers. Falsely labeling someone as a “problem drinker”
clinical situations. Patients being treated in the emergency or “dependent drinker” can have serious adverse effects if
room for trauma, cardiac problems, drug overdose, or such a diagnosis is recorded in the medical record or if an
behavioral or mental health problems, especially those alcohol ICD code such as 305.0 (alcohol abuse) or 303.9
being admitted, should have a toxicology screen for (alcohol dependence) is used for reimbursement. On the
marijuana, cocaine, narcotics, amphetamines, and seda- other hand, missing someone who is alcohol dependent
tives. Many clinical centers conduct toxicology screens as can delay the diagnosis for many years and result in serious
part of routine preoperative assessments. A muscle relaxant harm to the patient or others.
such as carisoprodol (Soma) is a common street drug and is The Physicians’ Guide to Helping Patients with
metabolized to meprobamate. Patients being given opioid Alcohol Problems1 recommends that the alcohol assess-
prescriptions should be screened for narcotics and mood- ment include a brief review of alcohol-related medical
altering drugs prior to the first prescription. One of the best problems, symptoms of physical dependence, behavioral
ways a provider can avoid being duped by a patient with an effects, and legal or social problems. Examples of alcohol-
addiction problem is to require a random urine toxicology related medical problems include repeated injuries when
screen before initiating therapy with mood-altering drugs drinking, depression or suicide ideation, poorly controlled
such as opioids, benzodiazepines, hypnotics, or muscle hypertension or diabetes, hepatic dysfunction, chronic
relaxants. Clinicians may want to talk to the clinical epigastric pain, and blackouts. Symptoms of physical
pathologist who is running the referral lab, because the dependence include drinking in the morning to get over a
accuracy of these tests varies widely. hangover, sweats or shakes if the patient stops drinking,
history of alcohol withdrawal, lack of evidence of intoxica-
Recommendations on the Use of Drug Screening tion with BALs over 100 mg/dL and prolonged periods of
Questions and Tests intoxication. Social and legal effects may include arrests for
1. All patients over the age of 10 should be screened on a drunk driving or disorderly conduct, employment difficul-
regular basis for marijuana use. The rationale for using ties, and problems maintaining long-term relationships.
marijuana as the primary screen is based on its far Behavioral effects include preoccupation with use, inability
greater frequency of use. Clinicians should ask ques- to control drinking, and loss of interest in hobbies or other
tions on frequency and quantity as part of routine care. activities due to drinking.
2. Other drugs (e.g., cocaine, narcotics, amphetamines, A number of self-administered pencil-and-paper
and sedatives) can be added to the screen for high-risk assessment instruments can be used to get a better idea of
populations or persons who have admitted to marijuana the extent of the alcohol problem and to develop a
use in the last 6 months. treatment plan. These include the 25-question MAST,30 the
3. Any illicit drug use is considered a positive screen. 12-question Alcohol Dependence Scale,44 and the 35-
question Substance Abuse Assessment Test (SAAST).31
4. Populations at greatest risk for serious medical or social These tools can be completed by the patient while the
consequences of drug use are adolescents and young physician works with another patient. Diary cards are
adults, pregnant women or women who are trying to another method that may provide more accurate informa-
become pregnant, college students, and patients with a tion on recent alcohol use.45 Diary cards have also been
variety of medical problems. widely used in brief intervention studies as a self-monitor-
5. Clinicians may want to ask high-risk patients one or ing method.46,47
two questions about the use of over-the-counter mood-
altering drugs when inquiring about current medica- Recommendations for an Alcohol Assessment
tions. 1. Consider asking a few questions focused on medical,
6. Clinicians who prefer to use self-administered screening social, family, and physical effects.
tests embedded in a general health form should 2. Ask patients to complete a self-administered assessment
consider the CAGE-AID. test.
3. Perform biological tests to confirm an alcohol problem
Assessment for Alcohol Abuse or Dependence such BAL, GGT, MCV, or CDT.
There is limited information on how to conduct an 4. Refer to an alcohol specialist for a complete assessment.
assessment in a general clinical setting in a patient who has
screened positive for a possible alcohol and drug use
disorder. While clinicians may want to refer a patient who
Assessment for Drug Abuse or Dependence
screens positive to an alcohol and drug treatment specialist Information on how to conduct a drug assessment with
for a full assessment, it is important to try to classify patients who screen positive for illicit drug use in a general
patients as low-risk, at-risk, problem, or dependent clinical setting is limited. Clinical guides suggest a drug

S C R E E N I N G , A S S E S S M E N T, A N D I N T E R V E N T I O N 51
abuse assessment could include (1) a urine toxicology test 2. Provide direct clear feedback: “As your doctor/
for marijuana, cocaine, amphetamines, narcotics, and therapist, I am concerned about how much you
sedatives; (2) a physical exam to look for intravenous track drink and how it is affecting your health.” “The
marks and nasal perforations or hyperemia; (3) questions car accident is a direct result of your alcohol use.”
on prior attempts to cut down or stop; (4) previous 3. Establish a treatment contract through negotiation
treatment for drug problems; (5) legal problems related to and goal setting: “You need to reduce your
use; (6) social, financial, employment, or family problems drinking. What do you think about cutting down
related to drug use; (7) continued use despite serious to three drinks two or three times per week?” “I
consequences; and (8) evidence of tolerance or drug would like you to use these diary cards to keep
withdrawal. track of your drinking over the next two weeks.
Many drugs are not detected by routine toxicology We will review these at your next visit.”
screens. Drugs such as methadone, propoxyphene, and 4. Apply behavioral modification techniques: “Here is
fentanyl may not be detected unless special assays are a list of situations when people drink and some-
utilized. Clinicians may want to use a self-administered times lose control of their drinking. Let’s talk
questionnaire such as the DAST to save time. If providers about ways you can avoid these situations.”
have limited time or interest, referral to an alcohol and
drug specialist for a full drug assessment may be the best 5. Ask patients to review a self-help booklet and to
option. complete diary cards: “I would like you to review
this booklet and bring it with you at your next
Recommendations for a Drug Assessment visit. It would be very helpful if you could com-
plete some of the exercises in the book. I’d also
1. Perform urine toxicology screen.
like you to write down how much you drink on
2. Ask a few questions about adverse drug effects. these diary cards.”
3. Administer a pencil-and-paper assessment test such as 6. Set up a continuing care plan for nurse reinforce-
the DAST. ment phone calls and clinic visits: “I would like you
4. Refer patient for a full assessment. to schedule a follow-up appointment in 1 month
so we can review your diary cards and I can
answer any questions you might have. I will also
Brief Intervention Therapy for Alcohol Use ask one of the nurses to call you in 2 weeks. When
Disorders is good time to call?”
There are a number of techniques that clinicians can
Definition and Evidence use to increase the efficacy of brief intervention. Provider
Brief interventions are time-limited, patient-centered empathy and body language are powerful change agents.
counseling strategies that focus on changing behavior and Creating a safe, protective environment is another key
increasing medication compliance. Brief intervention is not element, especially for women. Developing trust and
unique to the treatment of alcohol problems; in fact, this mutual respect can often lead to risk taking and behavioral
strategy is widely used by physicians and other health care change. Creating cognitive dissonance and dealing with a
professionals for other behaviors. This method is used to patient’s ambiguity toward change is another effective
help patients change dietary habits, reduce weight, stop strategy. Other tools include self-monitoring diary cards,
smoking, reduce cholesterol or blood pressure, and take self-help booklets, and reading materials. Many patients
medications as prescribed. The following is a brief review respond to stories about persons who have changed their
of the evidence. Recent reports in the NIAAA 10th Annual alcohol use. Asking a patient to bring his/her partner or a
Report to Congress on Alcohol and Health48 and the close family member to the counseling may be helpful.
NIAAA journal Alcohol Research & Health provide a more
comprehensive review of the subject.49 In studies testing brief intervention, the number and
duration of sessions varied by trial and setting. The classic
The clinical elements of brief intervention for the brief intervention is performed by a physician or nurse and
prevention and treatment of alcohol problems vary across usually lasts 5 to 10 minutes and is repeated one to three
trials and clinical programs. However, a number of com- times over a 6- to 8-week period. Other trials that utilized
mon elements can be identified: therapists or psychologists as the interventionist usually had
1. Conduct an assessment: “Tell me about your 30- to 60-minute counseling sessions for one to six visits.
drinking.” “What do you think about your drink- Trials that utilized therapists as the intervenor made
ing?” “What does your family or partner think extensive use of motivational interviewing techniques.
about your drinking?” “Have you had any prob- Some trials developed manuals or scripted workbooks.
lems related to your alcohol use?” “Have you ever Others studies left it up to the interventionist to decide
been concerned about how much you drink?” how to conduct the intervention based on a training

52 FLEMING
program. Some studies used the FRAMES mnemonic 3. The effect size for persons over the age of 18 is similar
developed by Miller as a guide for the intervention.50 for all age groups, including older adults.46,47,56,58,60,62,64
Brief intervention is useful in three clinical situations. One unique difference in older adults is that there
First, it can reduce alcohol use and the risk of alcohol- appears to be minimal reductions in alcohol use by
related problems in nondependent drinkers who are control groups.65
consuming alcohol above recommended limits. The goal of 4. Brief intervention can reduce health care utiliza-
brief intervention with this population is to reduce con- tion.46,61,66-68 Fleming’s Project TrEAT and Kristenson
sumption or negative consequences, not abstinence. found reductions in emergency room visits and
Second, brief intervention may be used to facilitate hospital days. Gentilello found reductions in hospital
medication compliance and abstinence with patients being readmissions for trauma. Israel reported reductions in
treated with pharmacological therapies. For example, physician office visits.
patients on disulfiram or naltrexone for alcohol dependence 5. Brief intervention can reduce alcohol-related harm. A
or persons on antidepressant medications are more likely to number of studies found a reduction in laboratory tests
respond and remain on medication with client-centered such as GGT levels,62,66,67,69 sick days,66,70 drinking and
brief counseling.51 Noncompliance is a major issue with driving,64 and accidents and injuries.61,68
patients receiving medication for alcohol dependence and
comorbid conditions. A NIAAA-funded multisite pharmaco- 6. Brief intervention may reduce health care and societal
therapy trial, Project COMBINE, is making extensive use of costs. An analysis of 12-month outcome data for
brief intervention protocols to increase medication compli- Project TrEAT found a benefit-cost ratio of 5.6 to 1 for
ance. health care and societal costs 68 Preliminary analysis of
the 48-month outcome data for Project TrEAT
Finally, brief intervention may be used to facilitate the indicates a benefit-cost ratio of 3.8 to 1 for health care
referral of persons who do not respond to brief counseling costs and 39 to 1 for societal costs.71 Cost estimates
alone or with patients who are alcohol-dependent. Most performed by Holder72 using indirect data reported a
patients who are referred for an assessment or counseling cost saving of 1.5 to 1. Additional cost studies are in
by a primary care provider either do not schedule an progress by investigators funded by the NIAAA and
appointment or fail to keep the scheduled assessment. Brief private foundations.
intervention can greatly facilitate this process and increase
the probability that the patent will successfully complete an 7. Brief interventions may have a more powerful effect if
assessment and enter a treatment program.52 The goal of delivered by the patient’s personal physician or
brief advice in this situation is to move patients along the provider. While there have been no direct comparisons
readiness-to-change-scale, from precontemplation to among types of provider, the strongest trials had the
action.53 Dealing with ambivalence, resistance, and patient patient’s personal physician and nurse deliver the
fears is critical to a successful referral. intervention.46,47,49,59,62,73,74

The evidence on the efficacy of brief intervention may 8. Based on a number of trials, the minimum number of
be summarized as follows: brief intervention contacts required to achieve a
reduction in alcohol use is three to four. These can
1. Brief intervention talk therapy, delivered by primary include screening and assessment, a 10- to 15-minute
care providers, nurses, therapists, and research staff, counseling session, and a follow-up phone call. The
can decrease alcohol use for at least one year in length of the intervention appears less important than
nondependent drinkers in primary care clinics, is the number of contacts.75
managed care settings, hospitals, and research
settings.45-48,54-61 In positive trials, reductions in alcohol 9. Over half of the brief intervention trials conducted in
use varied from10% to 30% between the experimental the United States and Europe demonstrated minimal
and control groups. differences between control and intervention groups at
follow-up. While the lack of effect in many of these
2. The effect size for men and women is similar.46,47,56,62 A studies can be attributed to methodological problems,
48-month follow-up study of 205 women ages 18 to brief intervention may not work as well in some
40 who participated in Project TrEAT found sustained clinical settings as in others.63,76 The majority of the
reductions in alcohol use.59 This study also found negative trials have not been published.
significant reductions by women who received brief
intervention and became pregnant during the 48- 10. Nontraditional settings such as the workplace, dental
month follow-up period compared with women from offices, adult education centers, social service agen-
the control group who became pregnant. Nonetheless, cies, and pharmacies offer significant promise for
there is insufficient evidence on the efficacy of brief screening and brief intervention. A study conducted in
intervention with pregnant women.63 67 work sites in Australia suggests that employees will
participate in alcohol screening and brief intervention if
they are incorporated into lifestyle-based interventions.77

S C R E E N I N G , A S S E S S M E N T, A N D I N T E R V E N T I O N 53
11. The role of readiness to change in helping hazardous Recommendations for Brief Intervention for an
drinkers change their alcohol and drug use is not clear. Alcohol Use Disorder
None of the brief intervention trials reported to date
1. All patients who drink above recommended limits of
has found a strong relationship between readiness to
alcohol should receive brief intervention treatment.
change and actual changes in alcohol use. Studies with
alcohol- dependent patients have been more promis- 2. Patients who are resistant or who fail brief intervention
ing. While the model has a strong research base in should be referred to an alcohol treatment specialist.
other areas, there is limited support in efficacy studies 3. Change is a long-term process. Physicians may have to
conducted to date in the alcohol and drug field. conduct brief intervention multiple times before
Unanswered questions about brief intervention include the patients change their behaviors.
following: 4. Brief intervention should be used to increase medica-
1. Does brief intervention work in adolescents, pregnant tion compliance in patients who are receiving pharma-
women, women of childbearing age, African Ameri- cotherapy for alcohol use disorders.
cans, Latinos, and other population groups?
2. Can brief intervention reduce illicit drug use in Treatment for Drug Use Disorders
dependent or nondependent drug users? If yes, does it
The efficacy of brief intervention for drug use disorders has
work for marijuana, cocaine, and amphetamines?
not been widely tested. It may offer great promise, but
3. Is it important to assess readiness to change, and does there is little evidence to support the use of brief talk
it matter? therapy in general medical settings with patients who use
4. What is the long-term (i.e., beyond 12 months) illicit drugs. Stephens78 conducted a trial in the Seattle area
efficacy of brief intervention? with persons smoking marijuana daily and found a reduc-
5. Does the effect of the intervention diminish with time? tion in use with brief therapy. Patients were recruited by
newspaper advertisements and received counseling and
6. Does brief intervention reduce morbidity (e.g., support by a trained therapist. The counseling primarily
hypertension, depression, diabetes, accidents) and focused on cognitive behavioral therapy techniques.
mortality?
Several studies are using a variety of brief counseling
7. What are the most effective intervention components methods to facilitate reductions in use or abstinence. A
(e.g., normative review, contracting, self-help booklets, NIDA-funded study conducted by Bernstein79 is testing the
motivational interview techniques)? efficacy of a brief negotiated interview and active referral
8. Is brief intervention effective when delivered by process for recruiting cocaine- and heroin- abusing patients
dentists, pharmacists, and other health care profession- from a general medical program into a local drug treatment
als? system. In another NIDA-funded study, Svikis80 is testing
9. Can brief intervention be delivered by computer in the the efficacy of brief intervention in a population of pregnant
clinic waiting room, by telephone, or by Web-based women who are using illicit substances. The study is
programs? comparing usual care with motivational enhancement
therapy.
10. What is the efficacy of brief intervention combined
with pharmacotherapy?
11. Does brief intervention work with persons who are Pharmacotherapy
alcohol-dependent? Patients who do not respond to brief intervention, self-help
12. Are certain groups of patients more likely than others groups such as Alcoholics Anonymous (AA), or specialized
are to respond to brief intervention treatment ? alcohol treatment may benefit from pharmacological
13. How are screening, brief intervention, and referral best management.81 Disulfiram (Antabuse), naltrexone (ReVia),
implemented in general health care settings? and calcium acetylhomotaurinate (acamprosate). Serotonin
reuptake inhibitors and tricyclic antidepressants may be
14. Should there be a stepped-care approach for the helpful for patients with alcohol and certain psychotic
treatment of patients who are adversely affected by disorders.82-85 Medications used to treat opioid dependence
alcohol use? include methadone, buprenorphine, and naltrexone. New
15. Should there be a continuum of care from primary evidence suggests a role for disulfiram in the treatment of
care to specialized treatment for patients who do not cocaine addiction. Primary drugs used to treat alcohol and
respond to brief intervention? drug withdrawal include benzodiazepines, propofol,
clonidine, promethazine hydrochloride (Phenergan), and
loperamide hydrochloride (Imodium).

54 FLEMING
 The following discussion of medications can help is not protein-bound.98 It has a relative specificity for brain
primary care clinicians to treat alcohol use disorders. All of NMDA and GABA receptors, which themselves are
the medications reviewed, with the exception of involved in learning and anxiety relief.99 Alcohol has
acamprosate, have FDA approval. Dozens of other medica- activity at NMDA receptors.100,101 Acamprosate appears to
tions are currently being tested in animals and humans. act at glutamate receptors as a competitive antagonist and
Disulfiram is the medication most commonly used to to decrease craving in alcohol-dependent persons. Eleven
deter patients from drinking alcohol during recovery. While controlled trials have been conducted in Europe. Ten of
the efficacy of this medication is variable, it is used these trials demonstrated that acamprosate was superior to
throughout the world in tablet and implant form.86,87 If placebo when the medication was combined with psycho-
patients who are alcohol-dependent take disulfiram daily, it social treatment.102-104 These trials used doses of up to 2000
can be an effective deterrent.88,89 Disulfiram inhibits several mg per day for periods of up to one year. There was only
enzyme systems, including aldehyde dehydrogenase (ADH) one major side effect—diarrhea in 10% of the cases.
and dopamine hydroxylase. The normal dose range is 250– Unfortunately, small sample size, 40% to 60% loss-to-
500 mg per day; the most common dose is 250 mg per day. follow-up rates, and noncompliance with treatment
Spousal monitoring can significantly increase compliance compromised the scientific strength of these trials. A
and reduce rates of relapse.90 number of U.S. trials are ongoing.
Recent studies suggest disulfiram may reduce cocaine Animal studies have found lower concentrations of
use in patients on methadone maintenance. The normal serotonin and its metabolites (5-HIAA) in the cerebrospinal
dose is 250 mg per day. The length of treatment in the fluid in alcohol-dependent persons.105 As a result, research-
initial studies has been limited to 6 weeks.91,92 ers have proposed a number of methods to increase the
amount and activity of serotonin in the brain. L-tryptophan,
Naltrexone is an opioid receptor antagonist that binds the amino acid precursor to serotonin, appears to have
primarily to mu-type opioid receptors. It was initially found some effect in laboratory animals and may directly increase
to reduce alcohol use in laboratory animals. Subsequent concentrations of serotonin. The serotonin receptor agonist
randomized controlled trials found reductions in alcohol buspirone has reduced alcohol use in small studies.106
use and craving in alcohol-dependent persons.85,93-95 The
drug does not appear to be effective when used without The use of serotonin reuptake inhibitors to reduce
counseling and other standard treatment; for this reason, it craving is being studied by pharmaceutical companies.107
is viewed as a treatment adjunct, rather than as a replace- Serotonin reuptake inhibitors (e.g., fluoxetine [Prozac])
ment for traditional treatment. The efficacy of naltrexone appear to enhance serotonin activity in the central nervous
in nondependent problem drinkers is an area of active system. These drugs have been traditionally used to treat
research.96,97 depression, panic attacks, lack of self-esteem, and obses-
sive-compulsive disorders. A number of small clinical trials
The normal dose of naltrexone is 50 mg/day, with a with zimelidine, citalopram, viqualine, and fluoxetine
recommended duration of 6 to 12 weeks. The optimum suggest a modest treatment effect in reducing alcohol use
dose has not yet been established, and some clinical trials in both heavy drinkers and alcoholics.108-110 The effect size
are using doses of up to 150 mg/day. The most common ranges from 10% to 26%; however, a number of serious
side effect is nausea (10%), which usually resolves in a few design problems make it difficult to interpret the results.
days. Vomiting is uncommon. Naltrexone appears to cause Common serotonin reuptake inhibitors such as fluoxetine
reversible elevations in GGT levels at high doses (200 mg/ and sertraline (Zoloft) are not recommended for alcohol
day). Idiosyncratic reactions include fatigue, dizziness, abuse until more compelling evidence is presented.
restlessness, and insomnia. In an open-label trial with 530
subjects, 5% developed symptoms similar to those of Methadone maintenance is the primary treatment for
narcotic withdrawal, including abdominal cramps, joint opioid dependence. Patients are often treated with 80 to
pain, myalgia, and nasal stuffiness. It is important to inform 100 mg per day, given as a single dose under direct
patients of the interaction between naltrexone and observation. Studies have demonstrated long-term efficacy
narcotics. and reduced societal costs. There is an effort in the U.S. to
allow primary care providers to prescribe methadone for
Naltrexone is also widely used for patients who are addiction, with methadone being dispensed daily at local
addicted to opioids. The normal dose is 25 mg per day for pharmacies.
1 to 2 years. Patients must be abstinent for at least 30 days
before initiating this medication. Naltrexone is often used Buprenorphine is also being used for the treatment of
with recovering health care professionals who are partici- opioid dependence. It is available as a liquid or given
pating in monitoring programs to minimize relapse. Liver sublingually or as a tablet, with or without naloxone,
function tests should be ordered every three months. which is not orally absorbed, which discourages parenteral
use and diversion. Subcutaneously administered
Calcium acetylhomotaurinate (acamprosate) is an buprenorphine is also used for opioid detoxification.
orally available, nonmetabolized, modified amino acid that

S C R E E N I N G , A S S E S S M E N T, A N D I N T E R V E N T I O N 55
 In summary, a number of medications are available for Implementation Strategies
the pharmacological treatment of alcohol and drug
problems; however, the field is at the point of mental Implementing screening and brief intervention for the
health treatment in the 1970s. We have one or two prevention and treatment of SUD in the U.S. health care
medications that are very expensive and that have limited system will not be an easy task. Experience with many
efficacy. We need additional medications with stronger other medical issues like hypertension, hypercholester-
effect than those currently available. Combinations of olemia, depression, cancer, and tobacco cessation suggests
medications need to be tested. There has been limited a time lag of at least 20 years between the development of
research with non–treatment-seeking patients conducted in effective treatment methods and changes in standards of
primary care settings with medication administration by the care. This section summarizes the more promising types of
patient’s physician. The development of effective medica- brief interventions.
tions will have important effects on physician behavior. As Clinicians need to become more comfortable with
with depression and many other problems, the develop- alcohol screening questions, brief intervention techniques,
ment of effective drug treatment dramatically changes the and motivational interviewing. They need to say the
rates of screening, referral, and treatment by front-line appropriate words; they also need to learn to focus as much
clinicians. on what patients don’t say (nonverbal cues) as what they
do say. Role playing with colleagues or recovering persons
Recommendations for Pharmacotherapy and the use of standardized patients (persons trained to
for Alcohol and Drug Problems in General Clinical play a specific role) are effective strategies to teach health
care professionals how to screen patients for alcohol
Settings
problems. Role playing can be conducted with large groups
Alcohol using a paired technique (workshop participants turn to the
■ 250 mg per day of disulfiram may reduce alcohol use by person next to them) or small-group sessions.
patients who participate in daily observed therapy.
■ 50–100 mg per day of naltrexone may decrease craving Use of Opinion Leaders
and reduce rates of heavy drinking and relapse when Opinion leaders are colleagues who are trusted sources of
used in combination with counseling for up to 12 clinical information. These leaders can be local, State, or
weeks. national experts. Often they are trained in the same specialty
■ Selective serotonin reuptake inhibitors may reduce as the health care professionals to whom they are speaking.
alcohol use by persons who are alcohol-dependent and Presentation of new information involving changes in
depressed for 3-6 months. clinical practice can be very effective when done by a
trusted colleague. This is of special importance in the
■ 2-3 grams per day of acamprosate can reduce craving alcohol field, where societal and system barriers block the
and alcohol use by persons who are alcohol dependent, incorporation of alcohol screening into routine clinical care.
when combined with counseling.
One of the most promising developments in the
■ Benzodiazepines are the drugs of choice for alcohol alcohol field is the expanding number of faculty in primary
detoxification. care, obstetrics, emergency medicine, and surgery who are
Drugs teaching their colleagues how to prevent and treat alcohol
■ Methadone maintenance treatment reduces opioid use problems. A recent study identified over 1,000 faculty
by persons who are opioid-dependent. The average dose across seven clinical specialties who teach medical students
is 80–100 mg per day for 2 to 5 years. The use of and residents about this area.114 These faculty are serving as
methadone for addiction treatment requires a special role models within academic medical centers. While this
license. Some States license primary care physicians to group is not sufficient to change the U.S. health care
prescribe methadone for addiction.) system, it can begin to change practice norms and stan-
dards of care so that all physicians and residents will be
■ Naltrexone 25 mg per day facilitates opioid abstinence encouraged to obtain an alcohol history on all patients and
in patients being closely monitored for opioid depen- provide effective treatment and referral.
dence.
■ Disulfiram may reduce cocaine use in persons with Performance Feedback and Comparisons with Peers
cocaine dependence on methadone maintenance. Changing provider behavior is not an easy process, but
■ 100–300 mg of subcutaneous buprenorphine every 4 to feedback is one of the most powerful change methods
6 hours for 3 to 5 days or decreasing doses of oral available, especially when a physician perceives a need to
methadone over 10 to 21 days is the preferred method change. Examples of effective feedback include (1)
for opioid detoxification. conducting confidential performance reviews based on

56 FLEMING
medical record audits; (2) providing written feedback from consequences occur in trauma units and coronary care
quality assurance committees; and (3) giving feedback units when patients are not carefully screened for alcohol
derived from patient satisfaction questionnaires. Peer- problems. Patients who have alcohol or drug problems and
review feedback and “report cards” are other methods also have hypertension, depression, and anxiety are other
utilized by managed care organizations to modify and examples of those requiring identification and appropriate
change physician behavior.115 treatment.
According to Greco,116 feedback includes various ways
of giving health care providers information about their Implementation of Clinic-Based Systems
practice performance and/or patient outcomes compared Clinic-based systems designed to facilitate prevention and
with those of other providers. Feedback can be used to treatment can include (1) routine screening procedures
introduce a new procedure or it can be part of a quality such as self-administered health history forms; (2) manual
assurance system. Eisenberg117 suggest that feedback “plays or computerized patient- or provider-reminder systems; and
on the provider’s sense of achievement and desire to (3) standardized prevention messages using protocol-driven
excel.” Through more than 30 years of research, Bowers118 treatment methods. Effective clinic-based systems acknowl-
has shown that organizational change can be greatly edge the complexity of implementing new clinical activities
facilitated when data about systems functioning are into a busy practice and the need to systematize the
collected, fed back to members, and used to provide activity as part of routine clinical care.
opportunities for diagnosis and action. A clinic-based system requires the participation of all
119
Schwartz described some of the ways in which members of the clinic staff. Reminder letters can be mailed
feedback can be given. These include impersonal means, to patients who have not participated in a prevention
such as computer profiles or reports, or personal interac- activity within a specified time limit (e.g., Pap test every 3
tions such as peer-review groups or committees. Feedback years).120 Clinic receptionists can hand out alcohol screen-
is most effective in changing behavior when it is provided ing questionnaires to patients and attach reminder print-
in a timely fashion, provided relative to peers, and com- outs to their charts. Nursing assistants can score the
bined with education and either incentives or administra- questionnaires and follow protocols designed to manage
tive changes positive and negative responses. Medical record clerks
record the information in the chart and in databases.
Health maintenance organizations (HMOs) increas-
Primary providers use the data for clinical decision making.
ingly have begun to use provider report cards or provider
In many practices, screening for high blood pressure,
profiles on specific diseases to assess provider performance.
cancer, elevated cholesterol, and tobacco use have become
A recent study on the use of report cards to assess the care
a routine element of care.
of patients with diabetes suggests that HMOs need to
interpret these data cautiously.115 The study found that the The effectiveness of clinic-based systems has been an
report cards were often based on fewer than five patients. active area of research since the early 1980s. A number of
Less than 4% of the variance in hospitalization rates, studies have been supported by the National Institutes of
number of outpatient visits, and blood sugar control could Health, the Agency for Healthcare Research and Quality,
be explained by report card differences among providers. and private foundations. Kottke121 conducted a physicians’
They estimate it would take 50 to 100 diabetics to detect office-based organizational intervention designed to
meaningful differences among physicians. However, since establish a smoking-cessation program. The project
most full-time primary care providers can expect to have included the use of screening, chart labels (color-coded
100 to 150 patients with an alcohol use disorder, provider stickers placed on the outside of the chart to indicate
report cards may be an effective feedback strategy. To the smoking status), brief intervention messages, a manual
best of the author’s knowledge, HMOs have not used this reminder system, and follow-up phone calls by clinic
strategy to increase rates of alcohol screening and treat- nurses. They reported smoking-cessation rates greater than
ment. 20% at 1 year.
Feedback may be an especially powerful tool in the A study was conducted in Sweden to increase alcohol
alcohol field, where rates of alcohol screening and treat- screening and brief intervention in four primary care health
ment in primary care settings are low and the clinical centers.122 The research team worked with staff and
consequences are high. For example, it is difficult for providers in each of the clinics to develop protocols specific
surgeons and anesthesiologists to justify not including for that clinic. General practitioners reported increases in
alcohol screening as part of routine preoperative care when early detection and intervention after the program. The
delirium tremens can and does develop during the postop- author concluded that office-based interventions should
erative period. Alcohol withdrawal can severely compro- include educational programs, supervision and feedback,
mise a patient’s recovery from surgical procedures. Similar and clinical examples of successful outcomes.

S C R E E N I N G , A S S E S S M E N T, A N D I N T E R V E N T I O N 57
Academic Detailing and Office-Based Outreach (The Physicians’ Guide to Helping Patients with Alcohol
Interventions Problems),1 the Center for Substance Abuse Treatment,127
and the Agency for Healthcare Research and Quality.128
“Academic detailing” refers to a clinic- or hospital-based
educational activity focused on individual practitioners. Cabana129 reviewed 76 published reports that de-
This intervention usually involves educational or skills scribed at least one barrier to adherence to clinical practice
programs that are conducted at the provider’s office or at a guidelines, clinical policies, or national consensus panel
hospital. The intervention may include (1) short didactic reports. The studies reported a total of 293 potential
presentations; (2) skills training using role playing; (3) barriers clustered into the following categories: (1) not
performance feedback; and (4) strategies on how to aware that a guideline had been developed; (2) lack of
overcome staff resistance. Pharmaceutical companies have detailed knowledge about the guideline; (3) disagreement
used this method successfully to market new medications. among providers on the efficacy or safety of the guideline;
(4) self-doubt about having the skills or knowledge to
Two recent studies compared academic detailing with
implement the guideline; (5) outcome expectancy and
other methods. Both were part of the Phase IV World
belief that patients will not improve; (6) lack of interest in
Health Organization (WHO)-sponsored alcohol intervention
changing clinical practice; and (7) belief that the guideline
program.123 One study, conducted in Denmark, tested the
is too complex, impractical, or costly. This study offers a
effectiveness of academic detailing, telephone contact, and
number of testable hypotheses that are applicable to the
direct mailing to convince physicians to undertake screen-
alcohol field and emphasizes the importance of attitudes,
ing and brief intervention for problem drinking.124 One
self-efficacy, and beliefs in clinical care.
hundred forty-three general practitioners were randomized
to one of the three conditions. Academic detailing was
found to be significantly more effective than were the other
Quality Improvement
two interventions in convincing physicians to read educa- Quality improvement (QI) programs offer a range of
tional materials and to utilize them in their practices. A research opportunities to change provider behavior in the
second study, conducted in Australia, compared academic alcohol area. QI programs utilize a variety of assessment
detailing, telemarketing, and direct mailing in a sample of methods and intervention strategies in order to improve
628 family physicians.125 Academic detailing was found to processes of care, outcomes, and efficiency of complex
be twice as effective as were the other strategies in systems of health care. Interventions include educational
convincing physicians to utilize the alcohol screening and programs; development of task forces consisting of clinic
brief intervention protocols and to participate in a 3-month personnel to develop goals, clinical guidelines, and
follow-up medical record review. Telemarketing was the implementation strategies; clinic-based reminder systems
least expensive method. and screening methods; incentives; academic detailing; and
addition of clinical staff. QI programs are often specific to a
Incentives particular clinical system or community. One of the
strengths of this strategy is the potential involvement of the
Studies suggest that incentives can change clinician
whole system of care—from receptionist to provider to
behavior. These incentives can be based on a variety of
administrative leaders to financial officers of the organization.
positive and negative indicators such as the number of
patients immunized, the frequency of screening for a A recent QI study designed to improve the outcomes
selected health problem (e.g., mammography for women of patients with depression found significant improvements
over the age of 50), the number of prescriptions written for in the number of patients receiving appropriate doses of
selected medications (e.g., expensive antibiotics), the antidepressants and counseling.130 The intervention
number of patients referred to specialty care, or the consisted of systematic screening, provider education using
number of patients hospitalized. Positive financial incen- standardized treatment protocols, and nurse follow-up to
tives can include bonuses, higher base salaries, or increases monitor compliance and provide supportive care. This
in HMO capitation payments. Negative financial incentives study also noted increased rates of employment. A second
are less common but are being used in some health care QI study, which did not supply additional providers to
systems. No reports were identified in the alcohol literature implement and support the treatment protocols, found
on the use of incentives to change provider behavior. minimal changes in rates of depression, compliance with
medication, and employment status.131 These two studies
Clinical Guidelines suggest that office-based QI programs can be effective if
Evidence-based clinical guidelines have been developed for additional resources are provided for direct patient care
a variety of health behaviors and diseases, including the activities. A number of other studies have documented the
prevention and treatment of tobacco use, heart disease, challenges of implementing QI programs in clinical settings.
diabetes, back pain, breast cancer, prostate cancer, alcohol use The effectiveness of utilizing QI methods focused on the
disorders, and dozens of other topics.126 Clinical guidelines prevention and treatment of alcohol problems has not been
for the alcohol field have been developed by the NIAAA tested in primary care settings.

58 FLEMING
Policy and Systems Issues a trusted colleague whose office is down the hall than to a
stranger located many miles away in a different system of
Implementing alcohol screening, brief intervention, motiva- care. It is also easier for clients to accept and follow
tional interviewing, pharmacotherapy, and referral protocols through with an in-house referral. Concerns about sharing
is best approached as a systems issue. Clinical services and confidential information between physicians and alcohol
the providers who deliver them need to be linked in terms counselors can be handled through informed consent
of both location and reimbursement. Health care settings procedures that ask clients to sign medical release forms.
are complex systems with multiple competing agendas. Clinicians and alcohol/drug specialists need to be part of
Implementation strategies include convincing purchasers the same medical staff and care team. Clients need their
(e.g., employers and government agencies) and payers (e.g., treatment providers to communicate and work together to
insurance companies and HMOs) to provide financial provide coordinated comprehensive care.
support and leadership. Both purchasers of health insurance
and providers need to be convinced that the pre-vention and
treatment of alcohol problems will improve the health of their Leadership Issues Within Universities and
populations and reduce health care and social costs. Profes-
sional organizations need to take a more active role in working Academic Medical Centers
with payers and providers to allocate a level of resources that A recent study performed by the Center on Addiction and
matches the impact of substance abuse on the health care Substance Abuse (CASA) at Columbia University and the
industry and the health of the American people. University of Chicago Survey Lab found that physician
Consideration of the clinic delivery system is crucial. performance in the alcohol and drug area is below accept-
Clinical settings encompass a wide range of clinical tasks able standards of practice.132 While health care professional
and prevention activities. These range from performing schools, residency programs, faculty development pro-
routine physicals (e.g., sports, well-woman, insurance), grams, and continuing education programs are beginning to
treating acute medical problems (e.g., trauma, infections, develop educational programs focused on the prevention
anxiety, headaches), managing chronic conditions (e.g., and treatment of SUD,133 the effect of these programs on
depression, hypertension, diabetes), and conducting preven- clinical practice appears minimal.
tion programs (e.g., breast cancer screening, nutrition and diet One of the primary problems in addressing this
counseling, immunizations). In order to implement and deficiency is the lack of faculty expertise and leadership in
maintain prevention and treatment protocols, the procedures our universities and academic medical centers. Simply
must be incorporated into routine clinical care. adding educational programs is unlikely to have a signifi-
Another important component of a clinic-based system cant effect on clinical practice, in the absence of a commit-
is the integration of specialized treatment with the general ment from chancellors and university presidents, deans of
medical care system. Substance abuse treatment has schools of medicine, nursing, dentistry, and social science;
historically occurred outside the traditional medical care university hospital chief executive officers; and administra-
system. Many alcohol treatment programs are self-standing tive directors of academic practices. Every clinical depart-
community-based programs. A lack of communication ment, including surgery, emergency medicine, anesthesiol-
between these specialized alcohol or drug treatment ogy, obstetrics and gynecology, and psychiatry, as well the
programs and the client’s primary care physicians and nurses primary care specialties, needs at least one faculty member
can have a serious adverse effect on a patient’s long-term with clinical and teaching expertise in the alcohol and drug
sobriety. Unlike other specialty referral systems (e.g., area. Every academic medical center needs 8 to 10
medical and surgical specialty clinics), alcohol and drug physician faculty who view the prevention and treatment
programs do not routinely send electronic or mailed copies of SUD as an essential part of their jobs. This is the minimal
of the assessment, treatment plans, or discharge summaries critical mass necessary to change the system.
to the client’s primary health care providers. Alcohol and Leadership and a core group of faculty can increase
drug specialists do not routinely call the client’s physician or curriculum time and teaching programs and, more impor-
therapist to coordinate and develop long-term treatment tant, can change standards of care in academic medical
plans. Clinicians and therapists could also increase commu- centers. They can ensure that every patient is screened for
nication by sending referral letters to alcohol treatment alcohol and drug problems, just as every patient coming
programs. Studies are needed to test the effectiveness of into an academic hospital or clinic has a blood pressure
improving links between primary care providers and alcohol measurement taken. They can provide direct feedback to
and drug specialists. physicians whose patients go into delirium tremens
One way to facilitate an integrated treatment process following routine surgical procedures or whose trauma
and to increase communication is to locate alcohol treat- patients with positive BALs do not receive appropriate
ment programs in close proximity and to “carve in” alcohol referral to an alcohol treatment program. They can provide
specialty services as opposed to “carving out” systems of leadership on university campuses to deal with the college
behavioral care. Physicians are more likely to refer clients to student drinking epidemic.

S C R E E N I N G , A S S E S S M E N T, A N D I N T E R V E N T I O N 59
Facts That May Facilitate Provider- and treated with brief therapy. Data from Project TrEAT
suggest that for every $10,000 a health care system
System-Level Behavioral Change invests in conducting systematic alcohol screening and
The following list enumerates reasons why providers, brief intervention, the health care organization will save
payers, and payees should support the implementation of $43,000 in utilization costs.67 The cost savings are from
systematic screening for SUD in all persons over age 10. fewer emergency department visits, hospital days, and
Attention to these issues is critical for providing quality care. serious accidents.
1. Numerous alcohol–medication interactions result in 6. Young children who present to their providers with
patient morbidity and mortality. These interactions headaches, chronic stomach pain, fatigue, or vague
include altered blood levels of medications that are complaints of “just not feeling well” or who are
metabolized by the cytochrome P450 system, such as exhibiting behavioral problems at home and school may
warfarin and phenytoin. Alcohol in combination with have a heavy-drinking parent as an underlying problem.
sedative drugs such as Valium, Fiorinal, Soma, and Ordering expensive tests and telling the child and
Flexeril is associated with falls, injuries, motor vehicle parent that “everything is fine” is poor medical practice.
accidents, suicide attempts, and respiratory depression. Routine screening for parental alcohol abuse may
There is also the additive hepatotoxicity of alcohol and facilitate early intervention and help these children to
medications such as isonazid. All patients receiving a avoid future problems such as adolescent suicide
medication that interacts with alcohol need to be attempts, drug use, or early sexual activity.
screened and assessed for alcohol use. Pharmacists can 7. Fetal alcohol exposure is very common. A 1995
play a critical role in the prevention of these interactions. Centers for Disease Control and Prevention survey
2. Alcohol can seriously affect treatment for a number of found that 3.2% of all pregnant women drank two or
chronic medical and mental health problems, including more drinks per day or reported binge drinking early in
hypertension, diabetes, heart disease, cancer, arthritis, their pregnancy. This suggests that of the 4 million
chronic pain syndromes, depression, anxiety, asthma, children born in 1995, 140,000 were exposed to
cognitive problems in older adults, hyperlipidemia, and potentially teratogenic doses of alcohol. Identification
dental problems. Heavy alcohol use in the presence of and treatment of all women of childbearing age who
these chronic disorders often results in less effective use alcohol above recommended levels before they
pharmacotherapy, medication and behavioral change become pregnant is critical. The focus on “cocaine
compliance issues, and direct toxic effects of alcohol. babies” is misplaced; there is limited scientific research
3. Patients who experience delirium tremens following an to confirm that this syndrome is distinct from the
elective surgical procedure (e.g., hip or knee replace- nicotine, alcohol, and other drug problems seen in
ment or cardiac bypass) have received poor medical these infants.
care. All patients should be screened and detoxified 8. Confidentiality and protection of a patient’s insurability
prior to elective surgical procedures. This is a serious is a major concern for providers and patients and is
liability issue that is beginning to reach the courts. often a barrier to routine screening and diagnosis. A
Alcohol and drug screening needs to be an essential recent study reported by Rivara134 surveyed insurance
element of the preoperative evaluation. In addition, commissioners in all 50 States and assessed current
serving patients beer and other alcohol in the hospital State and Federal laws. The study found that current
to prevent withdrawal is not an acceptable standard of confidentiality laws offer sufficient protection for
care. patients who suffer alcohol-related injuries.
4. Expensive medications are being used to treat the
wrong medical problems. Prilosec, Prozac,
antihypertensives, and diabetic medications are often
Recommendations for Improving Group
prescribed for conditions that are caused or exacerbated Education Programs (Continuing Education)
by alcohol abuse. These conditions include chronic Recommended group training strategies for promoting
gastritis, depression, hypertension, and diabetes. substance abuse screening and intervention include (1)
Medication costs could be reduced if alcohol disorders educational programs at the providers’ workplaces; (2) use
were identified and treated as the primary problem. of step-by-step, evidence-based clinical protocols; (3) peer
5. Costs due to alcohol-related accidents and injuries are group discussion; (4) skills-based role-playing; and (5) use
escalating, especially if patients require hospitalization of a credible expert trainer/educator. Educational programs
and emergency surgery. Among patients admitted for are more effective when used in combination with other
trauma, 30% to 40% have positive blood alcohol levels, intervention strategies such as peer feedback and changes
suggesting that alcohol played a role in many of these in workplace systems.111
events. Gentilello61 found reductions in hospital re- Attempts to modify provider behavior should be
admissions for trauma if patients are identified and evidence based. Davis111,112 surveyed the physician perfor-

60 FLEMING
mance literature from 1975 to 1998 and found 224 same clinical protocols mailed to Group A. Group C
intervention studies, 113 of which were randomized received training as well as on-site and telephone support.
clinical trials involving practicing physicians. Seventy The physicians in Group C had significantly increased rates
percent of these interventions reported changes in physi- of screening and treatment compared with the other two
cian performance, and 48% reported positive health groups. The cost of the program was about $16 per patient.
outcomes. Formal courses using lectures and handouts had
limited impact. Educational programs including peer
discussion and skills practice sessions were more effective Summary
than were programs limited to lectures. The most effective Health care settings offer an important opportunity to
strategies included physician reminder checklists, patient- reduce the burden of harm associated with SUD. This
mediated interventions, outreach visits, academic detailing, paper provides health care professionals with a range of
and use of opinion leaders. clinical protocols and implementation methods that can
One of the first studies of the effectiveness of training, improve the care of patients and their families who are
support, and systems for the implementation of alcohol affected by these disorders. It is time for health care
screening was reported by Kaner.113 The study randomly professionals to change the system. It is time for university
assigned 128 general practitioners to one of three condi- presidents, chancellors, and deans to take responsibility for
tions. Group A received a brochure in the mail containing a problem too long neglected. Through education and
recommended methods for screening and brief interven- united efforts, we can effect changes that will improve the
tion. Group B received a training program based on the health of our patients and communities.

S C R E E N I N G , A S S E S S M E N T, A N D I N T E R V E N T I O N 61
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 CHAPTER 3

Is Addiction an Illness—Can It Be Treated?

A. THOMAS MCLELLAN, PHD

Introduction
Problems of alcohol and drug dependence produce dramatic costs to society in terms of lost
productivity, social disorder, and health care utilization.1,2 One recent study estimated that
alcohol abuse and dependence cost society approximately $90 billion annually, and that abuse
of other drugs cost approximately $67 billion each year.3 A recent study funded by the Robert
Wood Johnson Foundation reported that more than one-quarter of all deaths in this country
were associated in some way with alcohol, drug, or tobacco use.4 Perhaps more subtle, but no
less significant, is the fact that more than three-fourths of all foster children in this country are
the products of alcohol- or drug-dependent parents.5 In response to this threat to the general
welfare, there has been renewed interest in the development and expansion of treatment
programs. Yet, while some segments of the public are demanding greater availability of and
more funding for substance dependence treatments, there are those in government, insurance,
managed care, and the public who question the efficacy of these treatments, and whether they
are “worth it.”6 As recently as 1997, The Wall Street Journal questioned the effectiveness and
value of substance abuse treatment, saying “the success rate of treatment programs is highly
uncertain.”7
The negative opinions about the value of substance abuse treatment appear to relate to core
public perceptions about addiction and about what would be an “effective” addiction interven-
tion. The first perception is that drug addiction is primarily a social problem requiring a social-
judicial remedy, rather than a health problem requiring prevention and treatment. This percep-
tion is understandable, given the relative prominence of the social problems caused by drug and
alcohol abuse. Crime, family disruption, loss of economic productivity, and social decay are the
most observable, dangerous, and expensive effects of drugs on the social systems of our country.
Thus, it is not surprising that many legislators and public citizens alike expect law enforcement
and interdiction efforts instead of public health efforts to correct the “drug problem.”
There also is widespread skepticism about the advisability, effectiveness, and value of
treatments for addiction. For example, many individuals believe that a medical or treatment-
oriented approach to substance abuse conveys uncomfortable implicit messages. Some believe
that to call addiction an “illness” suggests that the addicted person is responsible neither for the
addiction nor for the addiction-related problems—that such persons “can’t help themselves.”
Many people find such messages offensive and unfair. There is also the pervasive view that
treatments are designed to help the drug user, but not to help society. Why should society
expend public resources to help individuals who may have produced many social problems?
Finally, many in the public do not believe that treatment works. They do not believe that any
treatment can get addicted persons “off drugs and alcohol” and keep them off.
This view is apparently shared by many physicians. Few medical schools have adequate
required courses in addiction. Studies over three decades have shown that a majority of
physicians do not screen for signs of alcohol or drug dependence during routine examinations.8,9
Apparently, there is the feeling that such screening efforts are wasted, given that in a 1997
survey a majority of general practice physicians and nurses indicated that none of the currently
available medical or health care interventions would be appropriate or effective in treating
addiction.10

67
 Many persons who have received treatment have indeed returned to alcohol and drug use.
The “failure” of substance abuse treatments to reliably produce longstanding abstinence is seen
as confirming the suspicions about treatment held by many Americans. Interventions that
admittedly cannot cure the addiction and that may be seen as focusing only on helping an
addicted individual—at great cost to society—are not widely popular.
But are these perceptions true? Is there a role for addiction treatment in public policy
aimed at reducing demand for drugs and reducing the social harms and costs associated with
drug abuse? And, if treatments were considered a wise public investment, which ones—
behavioral interventions, medications, or combinations thereof—should be provided? Finally, is
there evidence that these addiction treatments can be effective and valuable, not just to the
patient but to the society that would be expected to support those treatments?
This chapter considers these questions from several perspectives. It begins by exploring
whether there is evidence to suggest that addiction could be an illness. Questions include the
following:
■ Is it possible to reliably diagnose “dependence” or “addiction” and to differentiate it
from simple “drug use”?
■ Is there a predictable onset and course to the addictive disorders? Is there evidence for
genetic heritability in the susceptibility to addictive disorders?
■ Are there brain and physiological changes associated with the progression from drug use
to addiction, and, if so, how long do these changes last?
It is important to acknowledge that even substantial evidence in these areas will not prove
that addiction is an illness. Such evidence will only suggest that the onset, course, and presenta-
tion parameters seen in addiction are similar to those seen in other diseases. Moreover, even if
we were able to prove that addiction were an illness, it is an entirely separate question whether
currently available medical interventions would be effective in addressing addiction problems.
Next, this paper examines the evidence base for recently developed medications and
medically oriented behavioral interventions. It explores whether there is evidence that medi-
cally oriented treatments for addiction could be effective and valuable to a society, and whether
incarceration and other forms of criminal justice interventions could be effectively combined
with treatments.
The next major section of the paper reviews the research on specific treatment processes
and treatment components This review covers the past 15 years and includes only data from
clinical trials, treatment matching program studies, and health services studies in which the
patients were adults who were clearly alcohol- or drug-dependent (tobacco was not included as
a drug) by contemporary criteria, where the treatment provided was a conventional form of
rehabilitation (any setting or modality), and where there were measures of treatment processes
and post-treatment outcome.
The final section discusses why addiction treatment is apparently not as effective as are
treatments for other medical disorders. To inform and frame this discussion, addiction treat-
ments are compared with treatments for three well-studied chronic medical illnesses—adult-
onset hypertension, diabetes, and asthma. The examination of this issue leads to important
conclusions regarding how addiction treatment is conceptualized by the public, how it is
typically provided by treatment programs, and how it has been evaluated by researchers.
Suggestions are made concerning how addiction might be treated, insured, and evaluated if it
were considered a chronic illness.

68 McLELLAN
Is Addiction an Illness? How Could You Know? effect.”14 Withdrawal is evidenced by physical signs
indicating “a syndrome of unpleasant and often dangerous
There has been much debate regarding the inappropriate health condition developing hours to days following the
“medicalization” of various conditions and problems.11 The cessation of the drug use.”14 While tolerance and withdrawal
public has grown skeptical of new syndromes and condi- have been cardinal features of drugs such as nicotine,
tions that do not appear to conform to common-sense alcohol, opioids, benzodiazepines, and barbiturates for many
diagnostic criteria for true medical illnesses and of condi- years, there has been recent evidence for tolerance and
tions that have no known treatments. For example, a withdrawal associated with tetrahydrocannabinol (THC),
recent New York Times editorial suggests that to consider the most prominent active ingredient in marijuana.15,16
cigarette smoking a medical disorder “shifts responsibility
away from the individual, . . . helps doctors profit, and has Additional DSM criteria inquire about whether a
. . . little to do with improving the public health.”12 Many patient has “reduced or eliminated previously pleasurable
believe that medicalization of addiction is simply a way for activities in order to concentrate on obtaining the sub-
physicians to declare more territory under their jurisdic- stance” and whether the patient has “used the substance
tion. Much of this skepticism is understandable, given that instead of or while performing important responsibilities or
the word “addiction” has been applied to sex, gambling, functions.”14 Answers to these seven diagnostic questions
work, and even chocolate. In view of this background, it is have been found to be more sensitive and specific than are
reasonable to ask how any “condition” comes to be many laboratory tests used in diagnosing other illnesses
considered a “medical illness.”12. In this paper, we have such as prostate and breast cancers.17
tried to apply the same standards and methods that are
currently used in the study of the etiology, diagnosis, and Genetic Factors in Substance Abuse
course of other disorders (e.g., diabetes, asthma, hyperten- While many diseases (e.g., tuberculosis) are not genetically
sion) to the study of drug dependence. transmitted and many heritable traits are not diseases (e.g.,
eye color), genetic transmission is one of the many criteria
Advances in Diagnosing Drug Dependence that a physician might use to decide whether a presenting
The first question a physician might ask to determine if a condition is a medical illness. Rounsaville and col-
presenting condition is actually a medical disorder is leagues18,19 used standard diagnostic criteria to examine
whether that condition can be reliably differentiated from a rates of alcoholism and drug dependence in the general
nonpathologic state. This contrast has not always been population and among family members of diagnosed
clear in the area of alcohol and drug dependence, partly alcohol- and drug-dependent individuals. They found
because most adults have used alcohol or other drugs prevalence rates of approximately 11% for alcoholism and
during their lives, sometimes to the point of abuse but 6% for any type of other drug dependence in the general
rarely to the point where it could reasonably be called an population. This compared with rates of 38% for alcohol-
illness. ism and 41% for drug dependence in family members of
diagnosed alcohol- or drug-dependent individuals. In a
Compounding this difficulty has been the lack of a separate study of siblings of diagnosed drug-dependent
laboratory test for dependence, or even of standardized individuals, 92% who tried a drug went on to meet
definitions for the words “addiction” and “dependence.” diagnostic criteria for dependence.19 This compared with
The vagueness of these terms meant that diagnoses were an 18% rate of drug dependence among siblings of non–
often unreliable across different practitioners or different drug- dependent individuals who tried the same drugs.
parts of the country. This situation has changed dramati-
cally as a result of the concept of the dependence syn- While these studies suggest that drug dependence
drome formulated by Edwards and Gross13 and translated “runs in families,” many factors are known to operate in
operationally through the Diagnostic and Statistical familial transmission, of which direct genetic heritability is
Manual of Mental Disorders (DSM).14 In the fourth and only one. One of the best methods for estimating the level
current edition of the DSM, dependence is defined as “a of genetic contribution within all the cultural and environ-
pathologic condition that is manifested by a “compulsive mental variables that are operational in familial transmis-
desire for the drug (or drugs) despite serious adverse sion is to examine the relative rates of a disorder in
consequences.”14 monozygotic and dizygotic twins. For example, heritability
estimates (H2) from twin studies of hypertension range
There are seven specific criteria that a practitioner from 0.25 to 0.50, depending upon the sample and the
must consider in making a DSM diagnosis of dependence, diagnostic criteria used.20-22 Similarly, twin studies of
and three or more of these criteria must be satisfied for a diabetes offer heritability estimates of approximately 0.80
valid diagnosis of dependence. Two of these criteria, for Type 1 (insulin-dependent)23 to 0.30 to 0.55 for Type 2
tolerance and withdrawal, are considered evidence of (non–insulin-dependent) diabetes.24 Twin studies of adult-
neurological and behavioral adaptation to a drug. Tolerance onset asthma have produced a somewhat broader range of
is operationalized in the criteria through evidence that heritability estimates, ranging from 0.36 to 0.70.25,26
“greater quantities must be used to produce the same

S U D T R E AT M E N T 69
 In the addiction field, four twin studies have been diet, smoking, and high stress, it is also true that behavioral
published in recent years.27-30 All found significantly higher choices, such as the ingestion of high-sugar or high-
rates of alcoholism or drug dependence among twins than cholesterol foods, smoking, and failure to exercise, also
among siblings, and higher rates among monozygotic than played a role in the onset and severity of the disorders.
dizygotic twin pairs. A recent twin study of heroin depen- Another aspect to the issue of voluntary choice as a
dence produced a heritability estimate of 0.34 among contributor to the initiation of a disease process is the role
males.28 Similar studies of alcohol dependence have of involuntary components embedded within seemingly
produced heritability estimates of 0.55 to 0.65 among volitional choices. For example, although the choice to try
males.29-31 Though there are still very few studies of a drug the first time appears to be completely voluntary, it
heritability in the field of addiction and there is a need for can be influenced by uncontrolled cultural, economic, and
studies of specific heritabilities by substance and by gender, ecological factors such as peer pressure, price, and,
the evidence suggests significant contribution of genetic especially, availability, which are not completely deter-
influence in approximately the same range as for chronic mined by individual choice. None of our grandmothers had
illnesses such as asthma and hypertension. the choice to use crack cocaine, ecstasy, or lysergic acid
diethylamide (LSD). In contrast, many children today are
Comparing the Factors Associated with the Onset and regularly offered these choices and are faced with substan-
Course of Illness in Drug Dependence and in Other tial external pressures to accept them.
Illnesses Further, it is clear that only a small minority of those
The evidence presented thus far suggests that drug who use alcohol or another drug go on to develop addic-
dependence can be reliably and validly diagnosed, and that tion. Is this merely evidence that some people are “weak
there is evidence of genetic, as well as familial, transmis- willed” while others “come to their senses?” In fact, the
sion associated with contracting the illness. However, effects of the initial sampling of a drug are also influenced
because the use of drugs is, at least initially, a voluntary by genetic heritability and, in turn, are likely to modify the
action, behavioral control or willpower is an important course of continued use in an involuntary manner. A
factor in the onset of addictive disorders. At some level, person whose initial physiological response to alcohol or
and particularly in the case of dependence on illegal other drugs is extremely pleasurable may be more likely to
substances, the addicted individual is believed by some to repeat the drug taking than someone whose involuntary
be at fault for initiating the behaviors that later combine physiological reaction is neutral or even negative. Work by
with social, environmental, and genetic factors to produce Schuckit and colleagues34,35 with sons of alcohol-dependent
the dependence disorder. Though an addicted person may fathers has shown that these sons are born with more
have been genetically predisposed to contract the illness tolerance to alcohol’s effects than are sons of non–alcohol-
and may have been raised in an environment that con- dependent fathers, and that this effect is highly influenced
tained known risk factors, it remains a fact that this by direct genetic transmission (heritability estimate is
individual’s behavioral choices played a prominent role in 0.67). Thus, the positive effects of alcohol that may be
the onset and course of the disorder. Does this voluntary experienced at relatively low doses by most individuals
initiation set drug dependence apart, etiologically, from may be experienced only at higher doses by sons of alcohol-
other medical illnesses? dependent fathers. In turn, the negative, “hangover” effects
In fact, there are many illness where voluntary choice of alcohol that may be felt by sons of normal fathers may
contributes significantly to initiating and sustaining a not be experienced at the same level by sons of alcohol-
disease process, especially when these voluntary behaviors dependent fathers.
interact with genetic and cultural factors. For example, In contrast, an example of inherited hypersensitivity to
there is clear evidence, at least among males, that salt alcohol has been shown in a large proportion of Chinese
sensitivity is genetically transmitted (heritability estimate is and Japanese individuals, who experience an involuntary
0.74),32,33 and salt sensitivity is a known risk factor for at skin “flushing” response to alcohol. This effect has been
least one form of hypertension. However, not everyone traced to the presence of an aldehyde dehydrogenase gene
who inherits salt sensitivity goes on to develop hyperten- that controls a central part of alcohol metabolism.36-38
sion. This is because the use of salt is much more likely to Individuals who are homozygous for this allele (approxi-
be determined by familial salt use patterns, cultural factors, mately 35% of Chinese population) have an especially
and individual choice. Similarly, factors such as obesity, unpleasant reaction to alcohol. This negative reaction
stress level, and exercise are the joint product of familial, reduces the appeal of alcohol to the point where there have
cultural, environmental, and personal choice factors.30-32 been no alcoholics found with this genotype.36
Thus, while a diabetic, hypertensive, or asthmatic patient For those who do not have an initially negative
may have been genetically predisposed to contract a reaction to their first drug administration, continued
disorder and may have been raised in an environment that repetition of voluntary drug use begins to change, often
contained known risk factors such as poor parenting, poor imperceptibly, into involuntary drug use, to the point

70 McLELLAN
where the behavior is driven by a compulsive craving for to the development and wide clinical use of four effective
the drug. The physiological and molecular bases for these medications (see below). Evidence is also emerging that the
changes are explained below. GABA (gamma-aminobutyric acid) system plays a central
role in alcohol dependence, and this has led to the develop-
Pathophysiology Associated with Drug Dependence ment of an effective medication to treat alcohol depen-
The evidence presented thus far suggests that drug dence (see below). Finally, recent work on the stress
dependence has many of the elements of onset and response system suggests that lasting changes in neuro-
presentation that are exhibited by other illnesses. However, chemical and neuroendocrine function may occur with the
it is a separate question whether drug dependence is development of cocaine and opiate dependence.48,49
accompanied by a predictable pattern of pathophysiological Significantly, the ventral tegmental area and the
changes such as those generally seen in the course of other dopamine system are part of what has been called “survival
medical illnesses. How does the voluntary choice to use circuitry,” which accounts for some of our most basic
alcohol or another drug ultimately become an involuntary behaviors, including feeding, “flight or fight” responses in
compulsion? The acute effects of alcohol and many other dangerous situations, and sexual activity. These brain areas
drugs have been well characterized for many years; have also been associated with the feelings of euphoria
however, even a complete understanding of these acute produced by naturally occurring reinforcers such as food,
effects is inadequate to address fundamental questions sleep, and sex.50,51 In experiments, animals that receive
regarding the mechanisms by which repeated doses of mild electrical stimulation of the dopamine system,
alcohol and other drugs produce paradoxically increasing contingent upon a lever press response, rapidly learn to
tolerance to the effects of those drugs concurrent with press that lever tens of thousands of times, ignoring normal
decreasing volitional ability to forgo the drug. As suggested needs for water, food, or rest, in order to maintain the
by Koob and Bloom,39 the challenge is to find an internally stimulation of that system.43 Cocaine, opiates, and several
consistent sequence by which molecular events modify other dependence-producing drugs stimulate this reward
cellular events and, in turn, produce profound and lasting circuitry in a supernormal manner,47 producing extremely
changes in cognition, motivation, and behavior. powerful reward sensations. It is not hard to understand
Research into the neurochemical, neuroendocrine, and how addictive drugs can produce an immediate and
cellular changes associated with drug dependence has led profound desire for their readministration. What is less
to volumes of remarkable findings over the past decade. clear is why simply preventing the administration of these
These advances have been summarized in recent special drugs for some period of time (for example, by “detoxify-
issues of Science40 and The Lancet41 and in two volumes ing” or incarcerating the person with an addiction) would
produced by the Institute of Medicine of the National not correct the situation, set the system back to normal,
Academy of Sciences.42,43 Three areas of investigation that and, like the child who burned his fingers, lead to a sadder
have produced clinically relevant information leading to but wiser individual who would be less (instead of more)
medications to treat drug dependence are summarized in likely to readminister those drugs.
the following paragraphs. Two explanations seem possible from the research
There is now clear evidence that most addictive drugs done thus far. The most direct answer is that use of a drug
have well-specified effects on the brain circuitry that is at some dose, frequency, and chronicity will reliably
involved in the control of motivated and learned behaviors. produce enduring and possibly permanent pathophysiologi-
This evidence originated from studies in animals42-44 and, cal changes in the reward circuitry,43,51,52 in the “normal”
with recent developments in brain imaging techniques, has levels of many neurochemicals,52-54 and in the stress
been confirmed in humans.45,46 Anatomically, the brain response system.51,52 It is not clear just how much drug use
circuitry principally involved in most of the actions of the is required to create these changes, how enduring the
major addictive drugs is the ventral tegmental area, which various effects are, or whether these effects will ever return
connects the limbic cortex through the midbrain to the to normal. Physical signs of withdrawal generally last
nucleus accumbens.39,47 Neurochemically, all of the major several days, motivational symptoms of withdrawal and
drugs of abuse (alcohol, opiates, cocaine, nicotine) have cognitive impairment may last several months,43 and the
significant effects on the dopamine system, although learned aspects of tolerance to the drug may never return
through different mechanisms. For example, cocaine to normal.45,46,55 For example, Volkow 52,53 found impair-
increases synaptic dopamine by blocking reuptake into the ments in the dopamine system (reduced D2 binding) of
presynpatic neuron; amphetamines produce increased abstinent former cocaine users for as long as 3 months after
presynaptic release of dopamine; and opiates and alcohol their last cocaine use. In addition, her research team found
disinhibit dopamine neurons, thereby producing increased reduced glucose metabolism in dopamine projection areas
firing rates.39-44 during cocaine abstinence,54 and the degree of metabolism
reduction correlated with the long-term reductions in
Opiates and alcohol also have a direct effect on the
radioligand binding.53 Another human imaging study found
endogenous opioid system.39-44 This finding has led directly
decreased uptake of radiolabeled DOPA into the striatum of

S U D T R E AT M E N T 71
cocaine users tested 1 week after their last cocaine dose, (amygdala and anterior cingulate) increases and basal
indicating decreased dopamine synthesis at this early time ganglia decreases in regional cerebral blood flow. This
point.56 Still other studies have documented areas of poor pattern did not occur in cocaine-naive controls, nor did it
cortical blood flow (“patchy defects”) and reduced prefron- occur among cocaine-dependent patients, in response to
tal metabolism57 in abstinent cocaine abusers.58,59 Research the neutral video or even to a different drug video.55 These
suggests sustained changes in the stress response system findings indicate that even rather artificial video scenes of
following the development of opiate or cocaine depen- cocaine-related stimuli, presented in the sterile and remote
dence.48,49 Taken together, these studies suggest that the context of a PET laboratory, produce excitation of brain
neurochemical, and possibly the neuroendocrine, systems of reward regions that mimic the effects of the drug itself.
abstinent but formerly drug-dependent patients are function- It is likely that both the direct and sustained physi-
ing irregularly and at a reduced level for a very long time. ological changes produced by the drugs themselves and the
A second explanation for the enduring pathology seen acquired effects produced by conditioned cues are involved
among drug-dependent persons and for their tendency to in the ultimate explanation of the continued vulnerability
become readdicted lies in the integration of the reward to relapse even among motivated, abstinent former drug-
circuitry with the motivational, emotional, and memory dependent individuals.48 At the same time, there is much
centers that are co-located within the limbic system. left to explain. As Childress55 has noted, all individuals have
Connections among these “survival circuits” are apparently reward circuitry, and most people have had their reward
designed to give prominence and emotional significance to circuitry associated with natural reinforcers such as food,
the normal biological events that usually precede arousal of sex, sleep, and even some drug or alcohol use. Why don’t all
those circuits (e.g., food, danger, sex). These circuits are people use natural rewards compulsively? What distinguishes
also intimately involved in the control of emotion, motiva- the brain function of persons who use alcohol and other
tion, and “biologically significant memories.”50,51 These drugs but do not become addicted from that of those who use
interconnected regions allow the organism not only to similar amounts or at similar frequencies but do become
experience the pleasure of rewards but also to learn the dependent? Considered in combination with the heritability
signals for them and to respond in an anticipatory manner. data from twin studies discussed above and data on congeni-
This pairing of a person (drug-using friend), place tal preference for alcohol and other drugs in specially bred
(corner bar), thing (paycheck), or even an emotional state strains of rats and mice, it may be that alcohol, nicotine.
(anger, depression) with drug use, including the supernor- and other drugs have especially excitatory effects on
mal activation of the reward circuits, leads to rapid and particular types of individuals; or that the excitation of this
entrenched learning or conditioning, to the point where circuitry is simply a parametric function of amount,
these cues or signals acquire some of the properties of the duration, interval, and frequency of drug administration; or
drug itself. Thus, if previously drug- dependent individuals both. Much more work needs to be done to identify the
who have been abstinent, even for long periods of time, learned and innate aspects of vulnerability to drugs.
encounter a person, place, or thing that was associated
with their drug use, it may produce significant physiologi-
cal reactions. In the case of cocaine, these reactions include
Are There Effective Medical Treatments for
palpitations and other signs of sympathetic arousal, such as Addictive Disorders?
ear ringing, chest tightness, lightheadedness, and a cocaine Regardless of whether the etiology and course of addictive
“taste” in the back of the throat.55 In the case of heroin, disorders are similar to those of other chronic diseases, the
this reaction includes pilo-erection, stomach cramps, fever, question of most import is whether these supposed diseases
and withdrawal-like symptoms.60 These responses are will actually respond to medical treatment. To address this,
usually accompanied by profound desire or craving for that it is necessary to review the efficacy and effectiveness of
drug.55,60 Ingrained through learning, the confluence of the treatment approaches for drug dependence compared
physiological, emotional, and craving symptoms combine to against the untreated course of drug dependence. Continu-
produce the loss of control that has been considered a ing the comparison with other forms of chronic medical
hallmark of drug dependence.14 For example, Childress and illness, it is also necessary to consider whether and in what
colleagues61 have shown the profound neurostimulation ways the effectiveness of drug treatment compares with
effects of cues that had been previously associated with use that of treatments for other chronic diseases such as
of drugs, even among stably abstinent former users. Using hypertension, asthma, and diabetes.
positron emission tomography (PET), these authors
compared regional cerebral blood flow in limbic and Standards for Evaluating the Effectiveness of
control brain regions of 14 detoxified male cocaine users Drug-Dependence Treatments
and 6 cocaine-naive controls during exposure to neutral
For patients and for the many treatment stakeholders in
videos and to videos of cocaine-related scenes. During the
society, the effectiveness of any medical treatment is
cocaine video, former cocaine-dependent subjects experi-
measured only in part by that treatment’s initial effects on
enced increased craving and showed a pattern of limbic

72 McLELLAN
the presenting or primary symptoms. Most treatments, to evaluate new drug or device applications in controlled
especially those for chronic conditions and public health clinical trials65 and, as indicated above, are quite consistent
problems, are also evaluated in terms of their extended with mainstream thought regarding the evaluation of other
effects on the disease-related problems that have limited forms of health care.63 The final outcome dimension is
personal function in the patient, that may have been costly more specific to the treatment of drug dependence,
to the health care system, and that may have become a because it acknowledges the significant public health and
public health concern to society.62 These considerations public safety concerns associated with drug addiction. In
also apply in the evaluation of treatments for addictive the text that follows, these three domains are used to
disorders. Typically, the immediate goal of reducing alcohol evaluate published reports of drug-dependence treatments,
and drug use is necessary, but rarely sufficient, for the with emphasis on medically oriented treatments.
achievement of the longer-term goals of improved personal
health and social function. Thus, from both the patient’s Do Treated Patients Show Better Outcomes Than
and society’s perspectives, a truly effective treatment is one Untreated Patients?
that not only provides lasting reduction of substance use While it is not ethically possible to deny treatment to those
but also significantly improves personal and social function- who require it, there are situations where treatments have
ing, particularly in areas of special public health and public not been applied to substance-dependent persons. These
safety concern. Again, these broad and diverse expectations situations offer some indication of what happens to
of treatment are not peculiar to the addiction field. As substance use, personal function, and the public health and
Stewart and Ware62 note in their recent text on outcome safety problems of addicted individuals in the absence of
evaluation in general medical care, “Since the 1970s, treatment. Four recent studies provide information
however, the emphasis in America on what patient pertinent to this question.
outcomes to measure to determine health status has been
shifting . . . to the assessment of functioning, or the ability Intravenous Drug Users. Metzger et al.66 examined the
of the patients to perform the daily activities of their lives, drug use and needle-sharing practices and human immuno-
how they feel, and their own personal evaluation of their deficiency virus (HIV) infection rates of two large samples
health in general.” of opiate-addicted patients in the Philadelphia area. Earlier
Given that these issues are important in the treatment studies of untreated intravenous drug users had shown
of drug dependence, not only to patients but also to society, reductions in drug-injection and needle-sharing rates from
addiction treatment outcomes have been measured on at HIV testing alone.67-69 However, in all of these studies, one-
least three domains..63 third to one-half of intravenous drug users showed no
reductions in behaviors known to increase risk for the
1. Reduction of alcohol and drug use. The foremost spread of infectious disease. Metzger and colleagues66
goal of drug-dependence treatment, measured objec- attempted to assess the effects of a medically oriented
tively by urinalysis for drug screening and treatment for opiate dependence (methadone) in reducing
Breathalyzer‰ readings of blood alcohol content. HIV risk behaviors and the actual rates of HIV infection in
2. Improvement in personal health and social two groups of heroin-dependent individuals. The in-
function. Measures such as general health status treatment group comprised 152 patients randomly selected
inventories, psychological symptom inventories, family at admission to a large methadone maintenance program.
function, and days worked and dollars earned can be These subjects were asked to refer their heroin-using
reliably and validly collected directly from the patient friends from the same neighborhoods who had been out of
via confidential self-report and from medical/psychiatric all substance dependence treatment for at least one year.
evaluations and employment records. This resulted in a group of 103 out-of- treatment heroin-
3. Reduction in public health and public safety dependent individuals who were matched for age, race,
threats. Threats to public health come from behaviors gender, neighborhood, and many other relevant back-
that spread infectious diseases and can be measured ground and social factors associated with drug use.
using standard laboratory tests for acquired immunode- Both groups of patients were interviewed and tested
ficiency syndrome (AIDS), sexually transmitted diseases for HIV status (90% contact rates at each interview) every
(STDs), tuberculosis, and hepatitis. The commission of 6 months over the next 6 years. At the initial assessment
personal and property crimes can also be measured point, 13% of the in-treatment sample and 21% of the out-
from public arrest and conviction records, although of-treatment sample tested positive for HIV infection. By
these measures typically underestimate the extent of the 6-year point, 51% of the out-of-treatment group, but
the criminal and dangerous behaviors actually per- only 21% of the in-treatment group, tested HIV-positive.66 It
formed.64 is important to note that without the untreated comparison
The first two domains are quite consistent with the group, data from the methadone group might have led to a
“primary and secondary measures of effectiveness” conclusion that treatment did not work, i.e., drug use had
typically used by the Food and Drug Administration (FDA) not been reduced to zero, and there was still needle

S U D T R E AT M E N T 73
sharing in the treated group. However, these risky behav- Subjects were randomly assigned either to a standard HIV
iors were far less prevalent and less severe than they were counseling and testing intervention or to an enhanced
among the matched group of untreated individuals. intervention that consisted of the standard intervention
Although the difference between the groups was quite plus one to three sessions of motivational counseling from a
remarkable, these data do not prove that treatment was the health educator. At 6-month follow-up, subjects in the
causal agent responsible for the different infection rates. It enhanced intervention showed half the rates of drug
is possible, and even likely, that the out-of-treatment injection (20% versus 45%), four times the rates of absti-
subjects lacked the motivation for treatment found among nence (confirmed by urinalysis), and significantly lower
the treated subjects, and that this lack of desire for personal arrest rates (14% versus 24%) than those randomly
change, rather than the treatment itself, produced the receiving just HIV counseling and testing.71
differences. For this reason, it is necessary to equate level This study is significant for several reasons. First, the
of motivation, at least at the start of treatment, in order to very modest public health efforts to reduce needle sharing
make any valid judgment regarding the effectiveness of and drug use through HIV counseling and testing were
treatment. associated with significant reductions in these target
behaviors, even among subjects who were not initially
Waiting List Patients. An ongoing study of male motivated to receive these interventions. Second, more
veterans who applied for cocaine abuse treatment at the extended but still modest efforts at referring patients into
Philadelphia Veterans Administration Medical Center helps more formal treatment at seven of the study sites were
shed light on the relative outcomes of treated versus associated with broader, more sustained improvements not
untreated patients who were approximately equal in their only in the target problems but also in other areas, such as
initial motivation for treatment. In this 4-week study,70 68 abstinence, needle sharing, and arrests. This suggests that
cocaine-dependent individuals were contacted at the time treatment entry is not simply a matter of a preconceived
of their application for inpatient substance abuse treatment. desire for change that would have occurred anyway; were
Because of the unavailability of treatment beds, these that the case, the rates of treatment entry among these
individuals were put on a waiting list. These individuals randomly assigned groups would have been approximately
were followed each week of their waiting period and asked equal. Studies of other diseases show that even brief advice
questions regarding their drug use and health status by from physicians and other health care workers can affect
independent evaluators. The question of interest was the motivation for treatment among patients and the
whether the cocaine use and the related problems would longer-term course of their health.72,73 This is the very
change without treatment in a group of individuals who foundation of primary care medicine and, as Booth et al.71
were all, at least initially, motivated to change. suggest, this also pertains even for seriously and chronically
Over the following 4 weeks, only 16% of the group addicted individuals. Appointments for a health care
received any treatment-related services (typically detoxifica- service of any type may set the occasion for brief screening
tion, temporary housing at a community shelter, or both). and health counseling that can have important and lasting
This small subgroup did show some reductions in their benefits not only for the addicted patient but also for the
alcohol and other drug use, but no improvements in health broader public health.
and social function. Among those who received no
treatment services, 57% reported increased severity of The Costs of Untreated Addiction: An Example from
medical problems and 81% reported worse employment Prenatal Care
and support problems over the 4-week waiting period.
A final study comparing the effects of drug abuse treat-
Thus, there was little evidence from these data that the
ment with no treatment was performed by Svikis et al.74
drug use or the related health problems showed significant
among one of the most problematic and costly subgroups of
improvement without treatment, despite the fact that the
substance-dependent individuals—pregnant women. The
subjects were clearly motivated to change.
dangers of drug use during pregnancy are extreme, both for
Unmotivated Individuals. Another way to separate the the mother and the child.75-77 Moreover, the costs associ-
effectiveness of drug-dependence treatment from the direct ated with even the acute care of neonates born to addicted
effects of motivation would be to compare treated and women can be very high.78 The Svikis et al. study was
untreated substance-dependent individuals who were not designed to test the effects of standard drug dependence
initially interested in treatment. Such a study was per- treatment combined with a standard program of prenatal
formed by Booth and associates71 among intravenous drug and perinatal care on the health status and costs of mothers
users seeking HIV testing and AIDS services as part of a and their children. As had Booth et al., these authors
multisite AIDS initiative involving 4,000 subjects recruited assessed the effects of drug abuse treatment among
from 15 cities. In each city, out-of-treatment injection drug individuals who did not originally apply for treatment. All
users were offered an opportunity to participate in drug subjects had simply applied for prenatal care services and
abuse treatment as a part of AIDS risk-reduction services. were found to be cocaine-positive on a routine drug screen.

74 McLELLAN
Two groups of pregnant women were compared: the first FDA guidelines and researched in randomized clinical
100 women admitted to the combined drug-dependence trials. Many have now reached the over-the-counter
treatment plus prenatal care program and 46 comparison market. There is no doubt that these medications, plus an
women drawn from the same geographic catchment area educated physician population, have made an important
and matched with the treatment women for race, mental contribution to public health efforts to reduce cigarette
status, insurance coverage, and parity and who were consumption.
identified during the year prior to the opening of the A review of the evidence regarding the development
experimental treatment program. Drug-dependence of medications for the treatment of alcohol, cocaine, and
treatment consisted of 1 week of residential care focused opiate addiction suggests many commonalities.40,43,79,80
on stabilizing the women and engendering commitment for These medications have also been developing in the same
continued treatment, delivered in the context of their manner as did the tobacco products, albeit more slowly, in
prenatal care. This was followed by twice-weekly addiction part because of the lack of a large commercial market. The
counseling that was coordinated with the women’s identification, development, and testing of new drugs and
prenatal care visits. the necessary accompanying physician education practices
With regard to the primary measure of drug use, 37% have been major efforts in both the national institutes on
of the treated patients had evidence of drug use (urinalysis) addictive disorders (i.e., the National Institute on Drug
at the time of childbirth. Considered in the absence of a Abuse and the National Institute on Alcohol Abuse and
comparison group, these data could lead to the conclusion Alcoholism) for the past 5 years.43 These efforts have
that the treatment had failed. However, 63% of the brought approval of several medications (e.g., levo alpha
untreated women had cocaine-positive urine tests at acetyl methadol [LAAM], buprenorphine), identified
delivery. The treated women kept twice as many appoint- important new uses for existing medications (e.g.,
ments as the untreated women did (eight versus four); the naltrexone in alcohol treatment), and led to the develop-
average birthweight of the infants of the treated women ment of some promising new medications (e.g.,
was higher (2934 g versus 2539 g); and the gestational age buprenorphine, acamprosate). At the same time, there has
of the babies of the treated women was more than 1 been frustration in the development of an effective
month older at delivery (39 weeks versus 34 weeks). medication for cocaine addiction. The following paragraphs
Following the deliveries, 10% of the babies in the treated review several of the most prominent medications now
group had to be placed in the neonatal intensive care unit available and some of the work in progress.
at an average length of stay of 7 days; 26% of the babies of
Medications for the Treatment of Opioid Addiction
women in the untreated group had to be placed in inten-
sive care, and their average stay was 39 days. The total Agonists, partial agonists, and antagonists are the three
costs of care for the mother and the baby in the treated primary types of medications available for the treatment of
group averaged approximately $14,500, including the costs opioid dependence. All act directly upon the opiate
for the drug abuse treatment. The average cost for the receptors, particularly mu-receptors.43 Agonist medications
women and babies in the group that received prenatal care are prescribed acutely as part of an opioid detoxification
but no treatment for drug dependence was more than protocol (gradually reducing doses to minimize discomfort
$46,700. The authors point out that these cost calculations as the patient becomes acclimated to lower and finally zero
were quite conservative because they did not include doses of opiate), or chronically in a maintenance regimen
expenses such as criminal and family court costs, child and (gradually increasing doses of long-acting pharmaceutical
family services, and continued health care costs for mother opiates to maximize the patient’s tolerance and reduce or
and child. Nonetheless, the data present striking evidence eliminate the effects of lower-potency “street” opiates).
that drug dependence treatment can be cost-effective in Methadone has been an approved agonist medication for
this severely affected population and such treatment can be both the acute detoxification and the long-term mainte-
combined effectively with traditional perinatal medical care nance treatment of opiate dependence for more than 25
with mutual benefit. years. The long-acting form of methadone (48 to 72 hours’
duration), LAAM, has received FDA approval and has been
Are Drug-Dependence Disorders Responsive to accepted by 16 States for use on a prescription basis, but
only at methadone maintenance programs.81 Double-blind,
Medications? placebo-controlled trials have shown methadone to be
If physicians are expected to play a role in the treatment of effective in detoxifying opiate-dependent patients safely and
drug dependence, it is reasonable to ask whether there are comfortably in both inpatient and outpatient settings.82-85
effective medications available. Perhaps the best-known Used for maintenance purposes, methadone has many
and well-studied medications in the treatment of drug advantages, including an oral route of administration, slow
dependence are those used in the treatment of smoking onset of action, and long half-life, and it has been very
cessation, such as nicotine gum, nicotine skin patches, and effective in reducing opiate use, crime, and the spread of
bupropion. All of these medications were developed under infectious diseases through needle sharing (e.g., AIDS,

S U D T R E AT M E N T 75
hepatitis, tuberculosis) for the past three decades. Recently, some of the “high” produced by alcohol through competi-
the effectiveness of methadone was reaffirmed by a panel tive binding with mu opiate receptors.95, 96
of impartial physicians and scientists at a National Institutes European researchers have found encouraging results
of Health consensus conference.86 using acamprosate to block craving and return to alcohol
Partial agonist medications such as buprenorphine abuse. While acamprosate acts on different receptor
have been widely used in Europe.87 Buprenorphine is systems than does naltrexone, the clinical results are
administered sublingually and has an effective duration of remarkably similar.97 Alcohol-dependent patients who take
action of approximately 24 to 36 hours. Like methadone, acamprosate have shown 30% greater post-treatment
buprenorphine significantly reduces craving for opiates and abstinence rates at 6-month follow-up than patients
is being reviewed by the FDA. Large-scale, double-blind, randomly assigned to placebo. Further, those who have
placebo- controlled trials with buprenorphine have shown returned to drinking while receiving acamprosate report
reductions in opiate use that are comparable to those seen less heavy (greater than five drinks per day) alcohol use
with methadone.88 The partial agonist actions of than those in the placebo group who returned to drink-
buprenorphine may have some advantages over metha- ing.97 While both of these medications can be used for
done; for example, unlike methadone, it produces few or extended periods, in practice they are generally prescribed
no withdrawal symptoms upon discontinuation of use.87 for about 1 to 3 months as part of a general rehabilitation
Opioid receptor antagonists such as naltrexone have program that includes behavioral change strategies.79
also been used for more than 20 years in the treatment of Medications for the Treatment of Stimulant
opiate dependence.89 Naltrexone is an orally administered Dependence
opiate antagonist that blocks actions of externally adminis- Over the past 10 years, many medications have been tried
tered opiates such as heroin through competitive binding for the treatment of dependence on cocaine and other
for 48 to 72 hours.90-92 Like methadone and buprenorphine, stimulants. While this literature is quite extensive, results
naltrexone is a maintenance medication, designed as an are disappointing.80 At this writing, there is no convincing
“insurance policy” in situations where the patient is evidence that any of the various types of cocaine-blocking
expected to be confronted with situations that might lead agents are truly effective for even brief periods of time or
to relapse. Opiate antagonists produce neither euphoria nor for even a significant minority of affected patients. Research
dysphoria when prescribed to abstinent opiate addicts, but, continues in this area, and there have been indications of a
as is true with so many maintenance medications in other “vaccine” that may be able to immediately metabolize and
areas of medicine, compliance has been generally poor. inactivate active metabolites of cocaine.98 This promising
Most field studies show retention rates of less than 20% product is being tested in animal models, and clinical trials
after 1 month of treatment. Perhaps for this reason, several will not be scheduled for several years.
studies have combined this antagonist medication with
social or criminal justice sanctions to increase compliance Medications in the Treatment of Comorbid
and sustain the benefits from the medication. For example, Psychiatric Conditions
naltrexone is routinely used in the monitored treatment of There is a large and important literature examining the use
physicians, lawyers, nurses, and other professionals93 where of medications to reduce psychiatric problems among
the maintenance of a license to practice is contingent upon addicted individuals.99-101 This is an important area for
continued abstinence. In a recent controlled trial with physician involvement. Psychiatric disorders such as
opiate-dependent Federal probationers, Cornish and depression, anxiety, and phobia are prominent among
colleagues94 showed that naltrexone added to standard nicotine-, alcohol-, opiate-, cocaine-, and benzodiazepine-
probation produced 70% less opiate use and 50% lower re- dependent individuals. There is abundant evidence that
incarceration rates than did standard probation alone. Like addicted individuals with concurrent psychiatric problems
the Svikis study, the Cornish study also showed that drug- are more likely to drop out of standard drug-dependence
dependence treatments could be combined with other treatments, to perform poorly during those treatments, and to
medical or social interventions with the potential for great relapse early following those treatments than are individuals
cost savings.94 without psychiatric comorbidity.102-104 Finally, there is
increasing evidence that the prescription of appropriate
Antagonist Medications in the Treatment of antidepressant medications can alter that prognosis for these
Alcohol Dependence “psychiatrically more severe” individuals.99-101
Naltrexone (Revia) has been found to be effective in the
In summary, there are medications currently available
treatment of alcohol dependence.95,96 Naltrexone at 50
for use in the treatment of nicotine, alcohol, and opioid
mg/day was approved by the FDA for use with alcohol-
dependence and for the treatment of comorbid psychiatric
dependent patients after independent studies showed it to
disorders associated with all forms of substance depen-
be a safe, effective pharmacological adjunct for reducing
dence. These medications have been tested in multiple
heavy alcohol use among alcohol-dependent patients. Its
trials and have been shown to be effective. At the same
mechanism of action appears to be the blocking of at least

76 McLELLAN
time, there are still relatively few patients who receive, or colleagues.111 In that study, “at-risk drinkers” were
practitioners who prescribe, these medications, Moreover, screened and offered two 10- to 15-minute interventions
as in the treatment of other medical illnesses, managed by the physician, or simply provided a health booklet.
care companies have been slow to authorize maintenance “Risk” was defined as the self-reported drinking of more
medications.42,43 80 There is a need for additional studies of than 13 drinks in the past week for men or 10 drinks for
the appropriate use of these medications in the treatment women. At both 6- and 12-month follow-up, the interven-
of drug dependence disorders. tion group was drinking on fewer days, drinking signifi-
cantly less, reporting fewer binge drinking episodes (greater
Is Drug Dependence Responsive to Brief Physician than four or five more drinks per occasion for women and
Interventions ? men, respectively), and hospitalized for fewer days than the
One of the most interesting and potentially important control group. A follow-up study of costs and benefits
developments over the past decade has been the research showed a 5:1 savings per dollar invested in the interven-
in physician-administered brief interventions as part of tion; most of the savings came from reduced hospital days
office-based primary care.105-111 The interventions follow the and emergency room visits as well as avoided crime and
identification of at-risk drinking or drug use through any motor vehicle accidents.113
number of simple screening instruments. Once the problem Several points are relevant here. First, these interven-
has been identified, the physician begins a nonchallenging tions do require training (about 1-1/2 hours for the
discourse with the patient designed to get the patient to physician and the same for an office nurse).113 The training
accept that there is a problem and that the patient has the is designed to help physicians avoid confrontation and
ability to correct it. Getting the patient to accept that he or develop constructive methods of engaging the patient in
she has a drug problem can be difficult, but direct assess- the required behavioral change. Second, these interven-
ment of the problem and simple feedback of normal tions require some form of screening for alcohol and drug
behaviors (e.g., simple charts showing normal levels of problems. There are, however, many patient-administered
drinking by age and gender) can be much more helpful screening instruments available. Third, while these
than scolding or confrontation.112 Patient behavioral change interventions have been studied in the context of alcohol
is accomplished through negotiation of some behavioral treatment, these behavioral change initiation skills would
goals that are agreed upon by contracting with the pa- be broadly useful in the treatment of most other forms of
tient.105-107 These brief (usually 10 to 20 minutes) sessions chronic illness. Finally, while the results reported here have
of physician time in the office are typically accompanied by been broadly replicated, it is likely that these brief forms of
booklets or self-help manuals and regular follow-up, usually intervention are more appropriate for, and will be accepted
over the phone. These brief interventions for problematic more readily by, individuals with lower levels of problem
alcohol and drug use are similar in many ways to those severity than by individuals with more serious dependency
used in the office-based primary care management of other problems. Further, these brief interventions have not been
chronic illnesses. studied in individuals who use drugs other than alcohol.
Clinical research in office-based settings has shown Their effectiveness with these persons remains unexplored.
these approaches to be both effective and cost-saving.108-111
For example, a study of office-based brief interventions by Treatment Adherence in Drug Dependence and Other
Kristenson108 in Sweden showed sustained reductions in Chronic Diseases
alcohol use (verified by liver function tests) and health care There is no reliable cure for drug dependence. Persons
utilization. A study performed by the Medical Research dependent on nicotine, alcohol, opiates, cocaine, barbitu-
Council in England with 47 general practitioners found rates, or marijuana who attempt to reduce their use are
more significant reductions in alcohol use in the interven- likely to have problems in maintaining controlled use.
tion group than in the randomly assigned control (no Among persons who become addicted, those who comply
intervention) group at 12 months following the interven- with the recommended regimen of education, counseling,
tion.109 A World Health Organization study of brief and medication that characterizes most contemporary
interventions in 10 countries also looked at brief interven- forms of drug-dependence treatment have the most
tions in both physician offices and in general clinic set- favorable outcomes during and following treatment.114-118
tings.110 When the total sample was analyzed, there were Despite this, most of those who start any type of treatment
approximately equal reductions in alcohol use among the drop out prior to completion or ignore advice to continue
control group (who had simply had their alcohol use medications or in aftercare or Alcoholics Anonymous (AA)
identified and reported to them) and the brief-intervention participation following formal treatment. Even those who
group. However, when data from just the physicians’ do comply fully with treatment have problems sustaining
offices were analyzed, there was a significant effect of the abstinence, with 1-year follow-up studies indicating that
brief intervention. Brief interventions were also studied in only 40% to 60% of treated patients are able to remain
17 community physician office practices by Fleming and completely abstinent throughout that time period, although

S U D T R E AT M E N T 77
an additional 15% to 30% do not resume dependent use or restabilization of their medication or additional medical
develop problems associated with drug use.118-120 interventions.125-129 Many of these recurrences result in
It is discouraging that so many patients fail to comply more serious additional health complications. For example,
with the recommended course of treatment and that so limb amputations and blindness are common results of
many of those who complete treatment subsequently treatment nonresponse among diabetics.130,131 Stroke and
resume substance use. Recent reviews of the treatment cardiac disease are common problems associated with
literature have indicated that factors such as low socioeco- exacerbation of hypertension.132,133
nomic class, comorbid psychiatric conditions, and lack of
family or social supports for continuing abstinence are
among the most important variables associated with lack of
What Are the Active Ingredients in Addiction
treatment compliance and with relapse following treat- Treatment? What Contributes to Treatment
ment.121 Several medications have demonstrated effective- Effectiveness?
ness in the treatment of alcohol and opiate dependence;
however, to be effective, they must be taken on a regular The Detoxification-Stabilization Phase of Treatment
basis. Lack of patient compliance has severely limited the Medical detoxification has been the initial and acute stage
potential impact of these medications.122 Clinical research of virtually all forms of addiction treatment. However, the
in this area is focused on the development of longer-acting word “detoxification” has been used to describe treatments
or depot forms of these medications, as well as on behav- of a true withdrawal syndrome (i.e., neuroadaptation) as
ioral strategies to increase patient compliance.122 well as the stabilization of acute physiological and emo-
Hypertension, diabetes, and asthma are also chronic tional symptoms associated with the cessation of drug use
disorders that require continuing care. These disorders are that might not produce a bona fide withdrawal syndrome.
not necessarily unremitting or unalterably lethal, as long as True detoxification is required only for certain types of drug
the treatment regimen of medication, diet, and behavioral dependence, most notably dependence on nicotine,
change are followed. Treatments for these disorders are alcohol, opiates, barbiturates, and benzodiazepines. In each
heavily dependent upon behavioral change and medication of these cases (particularly barbiturate use) persistent use of
compliance to achieve their effectiveness. In a review of a substance at gradually escalating doses and for escalating
more than 70 outcome studies of treatments for these time periods produces neuroadaptation, or “tolerance,” to
disorders, patient compliance with the recommended the drug–to the point where greater amounts of the drug
medical regimen was the most significant determinant of are typically required to produce euphoria and, equally
treatment outcome.123,124 However, studies have shown important, to eliminate withdrawal symptoms. Withdrawal
that less than 50% of Type 2 insulin-dependent adult symptoms reflect the rebound of a physiological system that
diabetics fully comply with their medication schedule,125 has been perturbed by drug use for a substantial period of
and that less than 30% of hypertensive or asthmatic time. They include headaches, bone pain, fever, chills,
patients comply with their medication regimens.126,127 The watery eyes, runny nose, diarrhea, and profound emotional
problem is even worse for the behavioral and dietary upset. Opiate drugs in particular can produce these
changes that are so important for the maintenance of short- symptoms, which, while profoundly uncomfortable, are
term gains in these chronic disorders. A review of recent rarely life-threatening. Alcohol, barbiturates, and benzodi-
studies in the fields of adult-onset diabetes, hypertension, azepines may produce not only many of the previously
and asthma revealed that less than 30% of patients in described symptoms but also seizures and cardiac irregu-
treatment for these disorders comply with the recom- larities, which can be life-threatening
mended diet or behavioral changes that are designed to Virtually all drugs—caffeine, amphetamines, cocaine,
reduce risk factors for reoccurrence of the disorders.128,129 and hallucinogens—produce acute periods (typically 1 to 3
days) of physiological and emotional instability following
Relapse Rate in Drug Dependence and Other Chronic abrupt discontinuation of regular use. While uncomfort-
Diseases able, this instability will almost always subside without
This review suggests important parallels with the treatment formal medical attention. In the United States, few patients
of drug dependence. Lack of patient compliance with the are admitted to a hospital, or even to residential care, for
treatment regimen for these disorders, like that for drug the acute treatment of the instability produced by these
dependence, is a major contributor to recurrence and to drugs. Although cocaine withdrawal has been recognized
the development of more serious and more expensive in DSM–IV,14 there is continued debate regarding the
disease-related conditions. For example, outcome studies treatment and even the existence of a bona fide withdrawal
indicate that 30% to 60% of insulin-dependent adult syndrome following cocaine use.134, 135 At the same time,
diabetic patients, and 50% to 80% of adult hypertension there is clear agreement that patients who have used
and asthma patients, suffer recurrences of their symptoms cocaine or crack continuously over sustained periods suffer
each year to the point that they require, at least, 2- to 5-day periods of measurable physiological and

78 McLELLAN
psychiatric instability.136, 137 For this reason, cocaine In the presence of significant physiological signs of
“stabilization” is included in this review along with formal alcohol, opiate, benzodiazepine, or barbiturate withdrawal,
detoxification. however, the standard treatment includes medical supervi-
sion either in a hospital or an outpatient medical clinic.138
Goals of Detoxification-Stabilization
Although research is not extensive, medical settings are
Patients and Treatment Settings. The detoxification generally viewed as being more appropriate for detoxifica-
and stabilization phase of treatment is designed for patients tions involving medical problems (particularly for patients
who have been actively abusing alcohol or street drugs or with a history of seizures) and psychiatric problems
both, and who are suffering physiological or emotional (particularly for individuals with depression and at risk of
instability or both. In cases of severe withdrawal potential suicide), as well as in cases of patients who have concur-
or extreme physiological or emotional instability, detoxifica- rent cocaine dependence.
tion-stabilization helps prevent serious medical conse-
quences of abrupt withdrawal, reduce the physiological and Alcohol Detoxification. Within the framework of
emotional signs of instability, and motivate behavioral medically supervised alcohol detoxification, the relative
change. This stage of treatment may take place in inpatient effectiveness and costs of inpatient versus outpatient
settings, either a hospital or a non-hospital residential alcohol detoxification have been examined.139,140 In a study
setting, or in outpatient settings, such as in a hospital-based by Hayashida et al.,139 chronic alcohol-dependent patients
clinic or a residential or social setting. without histories of serious psychiatric or medical compli-
cations were randomly assigned to receive medically
Treatment Elements and Methods. Medications are supervised alcohol withdrawal in either an inpatient or a
available both for physiological withdrawal signs and for day-hospital setting. On two of the outcome domains
the temporary relief of acute medical problems associated considered important for detoxification treatments (i.e.,
with physiological instability (e.g., sleep medications, safe elimination of withdrawal signs and engagement in
antidiarrheal medications, vitamins, and nutritional ongoing rehabilitation), the inpatient group showed
supplements). Motivational counseling is widely used to significantly better performance, but the re-addiction rates
address shame and ambivalence, as well as to increase were less than 12% for both groups. Despite this statisti-
adherence to recommendations for continued rehabilitation. cally significant advantage for the inpatient setting, it was
10 times more costly than outpatient detoxification.
Duration. Regardless of the setting, stabilization of acute
problems is typically completed within 2 to 10 days, with There may be some advantage to inpatient detoxifica-
the average being 3 to 5 days.138 True detoxification is tion when a patient does not have the social or personal
necessary only for cases of severe alcohol, opiate, benzodi- supports necessary to comply with the outpatient atten-
azepine, or barbiturate use, although many cocaine- dance requirements. However, despite somewhat lower
dependent and other drug-dependent patients suffer from retention rates for outpatient than for inpatient alcohol
significant physiological and emotional instability that detoxification,139,140 outpatient detoxification may be more
precludes immediate participation in rehabilitation. The acceptable to a wider range of drinkers who wish to avoid
duration of the detoxification-stabilization process depends the stigma of treatment in a designated detoxification
on the presence and severity of the patient’s dependence facility.140
symptoms as well as concurrent medical and psychiatric Opiate Detoxification. Opiate detoxification can be
problems. Treatments longer than 5 days are unusual and accomplished with many medications, including clonidine,
typically are due to conjoint medical or psychiatric prob- lofexidine, buprenorphine, and methadone. Recently there
lems or physiological dependence upon some forms of have been reports of rapid (24 hours or less) opiate
sedatives (e.g., alprazolam). detoxification under general sedation.141 At least four
Effective Components of the Detoxification- reports in the literature show the efficacy of this method,
Stabilization Stage but there are also some elevated dangers associated with
this modality as applied in general practice.142 Apart from
Setting of Care (Medical or Nonmedical, Inpatient
these relatively new procedures, a wealth of studies over
or Outpatient). Debate regarding the appropriate setting
the past 10 years have shown that opiate detoxifications
of care in which to detoxify alcohol-dependent patients has
can generally be accomplished in outpatient settings under
been substantial. Since the mid-1970s, medical settings
medical supervision with gradually reduced doses of
such as residential treatment facilities or even outpatient
methadone.143, 144 However, completion rates for treatment
treatment centers have conducted detoxification or
of opioid dependence may be higher in inpatient than in
stabilization treatments for alcohol, opiates, and, more
outpatient detoxification programs.145,146
recently, cocaine. Although studies have not systematically
compared social settings with medical settings for detoxifi- Cocaine, Crack, and Other Stimulant Stabilization.
cation from alcohol dependence, there are reports of Few studies have examined the appropriate setting for the
favorable outcomes in both. stabilization of physiological and psychiatric signs and

S U D T R E AT M E N T 79
symptoms associated with extended cocaine or crack use. direct entry to rehabilitative treatment, as well as to
The prevailing practice has been to attempt to stabilize all motivate the patient to recognize the severity of the drug
but the most severely affected patients through outpatient use, to accept that there is a problem that the patient must
care. Patients who are in the acute stages of cocaine and can address, and to engage the patient in continued
cessation and who are more severely affected (medically or rehabilitative care. The acute detoxification-stabilization
psychiatrically) are placed in a hospital if they have stage cannot be considered complete treatment; it is only
significant cardiac problems or significant psychiatric preparation for continued treatment. Research over the past
symptomatology or are at least placed in inpatient social 20 years in most countries has concluded definitively that
settings for the first three to five days of cocaine treat- detoxification is associated with lasting improvements only
ment.136-138 when there is continued rehabilitative treatment.1 Thus,
The literature is replete with accounts of dropouts detoxification can be said to have succeeded if shortly (i.e.,
during the first 2 to 3 weeks of outpatient cocaine treat- two to three weeks) after discharge the patient has
ment, with attrition rates ranging from a low of 27% to a ■ Shown significant reductions in physiological and
high of 47% in the first few weeks of care.147-149 It is emotional instability (at least to levels appropriate
reasonable to conclude that the patients with the most for outpatient rehabilitation admission);
severe medical and psychiatric problems are most likely to ■ Not had serious medical or psychiatric complica-
drop out of treatment early. tions; and
Length of Stay and Criteria for Completion of ■ Been integrated into and engaged in an appropriate
Detoxification ongoing rehabilitation program.
Alcohol and Opiates. Several detoxification studies have
measured detoxification as three consecutive days of The Rehabilitation–Relapse Prevention Phase of
abstinence from observable withdrawal signs or symptoms Treatment
(opiate or alcohol), using standardized inventories of these Patients and Treatment Settings
physical measures.139, 143 Using these criteria, the great
Rehabilitation is appropriate for patients who are no longer
majority of detoxifications can be accomplished in 3 to 5
suffering from the acute physiological or emotional effects
days,138 and there is no evidence of greater effectiveness
of recent substance use and who need behavioral change
from extended stays.
strategies to regain control of their urges to use substances.
In an early study by Cushman et al.,143 only 3% of 525 Rehabilitation may be initiated in a residential setting, but
opiate-dependent patients who failed to provide an opiate- sustained benefits require that it continue beyond that
negative urine specimen following the outpatient detoxifi- setting, because life in a controlled environment does not
cation (signifying at least 3 days of abstinence) were able to permit the patient to practice the skills necessary to prevent
engage in the suggested abstinence-oriented rehabilitation a relapse to substance use. Thus, most rehabilitation takes
program following detoxification. All these patients were place in outpatient clinics or social settings. A practical goal
re-addicted to opiates at 6-month follow-up. of this stage of treatment is to prevent a return to active
substance use that would require re-detoxification-
Cocaine. A recent study of cocaine-dependent patients
stabilization; to assist the patient in developing control over
entering outpatient rehabilitation also offers some relevant
urges to use alcohol or drugs or both, usually through
information on the clinical importance of developing a
sustaining total abstinence from all drugs and alcohol; and
criterion for successful completion. In a study of cocaine-
to assist the patient in regaining or attaining improved
dependent veterans, Alterman et al.147 found that the single
personal health and social function, both as a secondary
best predictor of engagement in the rehabilitation process,
part of the rehabilitation function and because these
and ultimately program completion (elimination of cocaine
improvements in lifestyle are important for sustaining
use verified by urinalysis), was the presence or absence of
control over substance use.
cocaine metabolites in the urine sample submitted upon
admission to the rehabilitation program. Of those patients Treatment Elements and Methods
without cocaine metabolites present in their urine on Professional opinions vary widely regarding the underlying
admission, 79% engaged in and completed the outpatient reasons for the loss of control over alcohol or drug use
treatment, whereas only 39% of those with positive urine typically seen in treated patients. Genetic predispositions,
samples on admission engaged in and completed the acquired metabolic abnormalities, learned negative
outpatient treatment. behavioral patterns, deeply ingrained feelings of low self-
Indicators of Effectiveness in the Detoxification- worth, self-medication of underlying psychiatric or physical
Stabilization Stage problems, character flaws, and lack of family and commu-
The goal of detoxification-stabilization is to remove the nity support for positive function have been suggested.
physiological and emotional instability that has impeded There is an equally wide range of treatment strategies and
treatments that can be used to correct or ameliorate these

80 McLELLAN
underlying problems and to provide continuing support for Maintenance forms of treatment are always controver-
the targeted patient changes. sial, because many in the public, and even those in the
Strategies have included such diverse elements as treatment field, believe that medications are just another
psychotropic medications to relieve underlying psychiatric form of “drug,” and that all drug usage should be elimi-
problems; medications to relieve alcohol and drug cravings; nated. However, if one takes a broader, medical perspec-
acupuncture to correct acquired metabolic imbalances; tive, these medication-maintenance approaches are quite
educational seminars, films, and group sessions to correct similar to current strategies for ameliorating the physiologi-
false impressions about alcohol and drug use; group and cal or emotional problems in individuals with other chronic
individual counseling and therapy sessions to provide medical conditions, such as long-term maintenance on
insight, guidance, and support for behavioral changes; and antidepressant, antipsychotic, or other psychotropic
peer help groups (e.g., AA and Narcotics Anonymous [NA]) medications for psychiatric patients; maintenance on beta-
to provide continued support for the behavioral changes blockers and other normotensive agents for patients with
thought to be important for sustaining improvement. hypertension; antiasthmatics for asthma sufferers; and
insulin for diabetics. A substantial amount of research has
Duration of Treatment shown that these medications can be very effective in the
Typically, residential rehabilitation treatments range from rehabilitation of several forms of addiction.144,150,151
30 to 90 days; outpatient, abstinence-oriented forms of
treatment range from 30 to 120 days; and therapeutic Defining Outcome
community modalities typically range from 6 months to 1 All forms of rehabilitation-oriented treatments for addiction
year. Methadone maintenance can have an indefinite time have the same four goals, regardless of the setting, modal-
period. ity, philosophy, or methods of rehabilitation. These goals
are to
Many of the more intensive forms of outpatient
treatment (intensive outpatient and day hospital) begin 1. Maintain the physiological and emotional improve-
with full- or half-day sessions five or more times per week ments that were initiated during detoxification-
for approximately 1 month. As the rehabilitation stabilization phase, preventing need for re-detoxifi-
progresses, the intensity of the treatment reduces to cation;
shorter-duration sessions of 1 to 2 hours delivered twice 2. Enhance and sustain reductions in alcohol and
per week and tapering to once per week. The final part of drug use (most rehabilitation programs suggest a
outpatient treatment is typically called “continuing care” or goal of complete abstinence);
“aftercare,” with biweekly to monthly group support 3. Teach, model, and encourage behaviors that lead to
meetings (in association with parallel activities in self-help improved personal health, improved social func-
groups) continuing for as long as 2 years. tion, and reduced threats to public health and
Maintenance Medications public safety; and
Although the majority of rehabilitation treatment programs 4. Teach and motivate behavioral and lifestyle
in the United States are abstinence oriented, a significant changes that are incompatible with substance
number of rehabilitation programs maintain patients on a abuse.
medication that is designed to block the effects of the A purposely broad perspective on measuring effective-
abused drugs (e.g., acamprosate, disulfiram, or naltrexone ness was discussed in the first section of this chapter.
to block alcohol abuse) and thereby prevent the re- Specifically, for any form of substance abuse rehabilitation
emergence of drug use. In the case of opiates and nicotine, intervention to be worthwhile to society, there must be
many patients are “maintained” on a medication designed lasting improvements in those problems that led to the
to override the effects of the abused drugs in what may treatment admission and that are important to the patient
seem a paradoxical way, namely, through the development and to society. This definition purposely emphasizes
of greater physiological tolerance to the same class of drugs. improvements that have an enduring or lasting quality.152-155
While more tolerance is typically developed during the Because these disorders are chronic and relapsing, a “cure”
course of medication with these maintenance drugs, the for substance use disorders (SUD) is not now achievable in
tolerance is to a safer, more potent, and longer-acting most cases. Nonetheless, there are many illnesses that
medication from within the class of abused drugs. For cannot be cured, and yet there are effective treatments for
example, the nicotine patch provides significant doses of these illnesses that arrest and contain symptoms and permit
nicotine, elevating tolerance to nicotine but preventing improved function. The definition also emphasizes those
withdrawal that abstinence would induce and obviating the improvements that are important to society. For the many
need for cigarettes. In the same way, methadone, LAAM, parts of society affected by substance abuse, the effective-
and buprenorphine produce more opioid tolerance in an ness of treatment will be measured by the extended effects
opioid abuser, but there are no worries about withdrawal of treatment on the addiction-related problems that have
and no need for heroin. become public health and public safety concerns. Given

S U D T R E AT M E N T 81
this framework, it can be seen that achievement of the significant advantages provided by inpatient care over
primary goal of reducing alcohol and drug use is necessary, outpatient care in the rehabilitation of alcohol dependence,
but not always sufficient, to improve the addiction-related despite the substantial difference in costs. In contrast, a
problems that are typically so prominent among individuals widely cited study by Walsh et al.160 did find a significant
seeking treatment. Furthermore, without additional difference in outcome favoring an inpatient program.
improvements in these associated problems, addiction However, this difference was shown among employed
treatment may not be worthwhile either to the patient or alcohol-dependent patients who were assigned to either an
to society.152-155 inpatient program plus AA or to AA meetings only, rather
than to formal outpatient treatment. One recent review of
Effective Components in the Rehabilitation–Relapse the alcohol inpatient–outpatient literature did conclude
Prevention Stage of Treatment that in studies that found an advantage to inpatient care
Using the framework just described for defining outcome, over outpatient treatment, outpatients did not receive
this section summarizes some of the studies that have inpatient detoxification. It also concluded that these studies
investigated treatment processes and treatment compo- tended not to have social stability inclusion criteria and not
nents in order to determine the “active ingredients” of the to require randomization.161 This review points to the need
rehabilitation stage of treatment and to identify what to consider real-world factors when evaluating the effec-
individuals would appear to benefit most from these tiveness of different treatment settings.
ingredients. Until recently, patient factors had been more In the field of cocaine-dependence treatment, there
thoroughly studied than treatment process factors with have also been several studies examining the role of
regard to their role in treatment outcome. With the treatment setting. Again, while there have typically been
development of new medications and behavioral interven- high attrition rates,148 there is still evidence indicating that
tions, there are now many studies devoted to the explora- outpatient treatments for cocaine dependence can be
tion of treatment “ingredients” or elements and their role effective, even for patients with relatively limited social
in post-treatment outcome. The more prominent factors are resources. For example, Alterman and his colleagues157
as follows: followed up a prior comparison study of inpatient and day-
hospital treatment of alcohol dependence with an identical
Medications examination comparing the effectiveness of 4 weeks of
Great progress has been made over the past 10 years in the intensive, highly structured day hospital treatment (27
development of new medications and in the application of hours weekly) with that of inpatient treatment (48 hours
existing medications for the treatment of particular weekly) for cocaine dependence. The subjects were
conditions associated with substance dependence and for primarily inner-city, African-American men treated at a
particular types of substance-dependent patients. Veterans Administration medical center. The inpatient
Setting of Treatment treatment completion rate (89%) was significantly higher
There have now been many studies investigating differ- than the day-hospital completion rate (54%). However, 7
ences in outcome between various forms of inpatient and months after treatment entry. self-reported outcomes
outpatient rehabilitation. For example, studies by Alterman indicated considerable improvements for both groups in
et al.156 and McCrady et al.157randomly assigned alcohol- drug and alcohol use, family/social, legal, employment,
dependent patients to an equal length (28 to 30 days) of and psychiatric problems. The reductions in self-reported
either inpatient or day-hospital rehabilitation; the treatment cocaine use were supported by urine screening results.
elements were also designed to be similar. Both studies had Both self-report and urine data indicated 50% to 60%
similar findings. Patients in both the inpatient and outpa- abstinence for both groups at the follow-up assessment.
tient arms of both studies showed substantial and signifi- The comparability of both treatment settings was also
cant reductions in alcohol use, as well as improvements in evident in 12-month outcomes in both randomized and
many other areas of personal health and social function, self-selecting patients.162
which suggests that both settings of care were able to There have been at least two attempts to formalize
produce substantial benefits. At the same time, a wide clinical decision processes regarding who should and
range of outcome measures collected at 6-month follow-up should not be assigned to inpatient and outpatient settings
in both studies showed essentially no statistically significant of care (Cleveland Criteria; American Society of Addiction
or clinically important differences between the two settings Medicine [ASAM] Criteria). McKay et al.163 failed to show
of care, which suggests that the setting of care might not be evidence for the predictive validity of the Cleveland
an important contributor to outcome. Criteria, at least when applied to the assignment of alcohol-
Other reviews of the literature on inpatient and and drug-dependent patients to day hospital or inpatient
outpatient alcohol rehabilitation by Miller and Hester158 care. That is, patients who met the Cleveland Criteria for
and Holder et al.159 also concluded that across a range of inpatient treatment did not have worse outcomes than did
study designs and patient populations, there are few those who met criteria for day hospital-only when both

82 McLELLAN
groups received day hospital treatment. If the Cleveland coercion, and to provide them with more services during
Criteria had been valid, those who “needed inpatient treatment. On the other hand, if well-motivated, high-
treatment” but did not receive it should have had poorer functioning, compliant patients enter treatment with the
outcomes than those who were appropriately matched to requisite skills and supports necessary to do well, then
day hospital. In a similar study evaluating the psychosocial efforts to provide more services or to coerce patients into
predictors from the ASAM criteria, McKay et al.163 found at longer stays may not add to the effectiveness of more
least partial support for the predictive validity of these streamlined and less expensive rehabilitation efforts.
placement variables. That is, among patients who “needed
Participation in AA and NA
inpatient treatment,” as defined by the psychosocial
elements of the ASAM criteria, those who were randomly AA is a self-help or mutual support organization, not a
assigned to outpatient care showed somewhat worse formal treatment. For this reason, and because of the
abstinence rates and generally poorer social outcomes than anonymous quality of the group, little research has been
did those who were randomly assigned to inpatient done to evaluate this important part of substance abuse
rehabilitation. The retrospective nature of this study made rehabilitation.169,170 While there has always been consen-
it impossible to complete a full evaluation of these criteria. sual agreement on the value of AA and other peer-support
forms of treatment, new evidence has emerged showing
The most recent versions of the ASAM criteria have that patients who have an AA sponsor or who have
attempted to make very fine-grained decisions regarding participated in the fellowship activities have much better
placements to levels of care defined by the amount and abstinence records than patients who have received
quality of medical supervision and monitoring. Research is rehabilitation treatments but have not continued in AA.
needed to establish the predictive validity of these finer McKay and colleagues171 found that participation in post-
distinctions and to determine whether placements to treatment self-help groups predicted better outcomes
settings and modalities with more medical supervision among a group of cocaine- or alcohol-dependent veterans
actually receive more medical contact or services than in a day hospital rehabilitation program. Timko et al.172
placements that are not expected to receive such services. found that more AA attendance was associated with better
Length of Treatment/Compliance with Treatment 1-year outcomes among previously untreated problem
Perhaps the most robust and pervasive indicator of drinkers, regardless of whether they received inpatient,
favorable post-treatment outcome in all forms of substance outpatient, or no other treatment. Finally, a recent review
abuse rehabilitation is length of stay in treatment. Virtually of the literature on the impact of self-help programs
all studies have shown that patients who stay in treatment concluded that greater participation was generally associ-
longer or attend more treatment sessions have better post ated with better alcohol and psychosocial outcomes,
treatment outcomes than those who do not.164-168 Specifi- although the magnitude of the effects tended to vary as a
cally, several studies have suggested that outpatient function of the quality of the study and of whether patients
treatments of less than 90 days are more likely to result in were treated in inpatient or outpatient settings.173
early return to drug use and generally poorer response than There has been less research in the use of self-help
treatments of longer duration.164, 67,168 organizations among cocaine- or opiate- dependent
Although length of stay is a very robust, positive patients. However, a recent study of cocaine patients
predictor of treatment outcome, the nature of this relation- participating in outpatient counseling and psychotherapy
ship is ambiguous. One possibility is that patients who showed that while only 34% attended a Cocaine Anony-
enter treatment gradually acquire new motivation, skills, mous (CA) meeting, 55% of those who did became
attitudes, knowledge, and supports over the course of their abstinent, compared with only 38% of those who did not
stay in treatment; that those who stay longer acquire more attend CA.
of these favorable attributes and qualities; and that the It is difficult to sort out the extent to which AA
gradual acquisition of these qualities or services is the attendance is an active ingredient of successful treatment
reason for the favorable outcomes. An equally plausible from the extent to which it is simply a marker for general
possibility is that better-motivated and better-adjusted treatment compliance and commitment to abstinence.
patients come into treatment ready and able to change; Several investigators have studied the relationship of
that their decisions to change their lives were made in completing various 12-step processes during the course of
advance of their admission; and that because of this greater rehabilitation and relapse following treatment.
motivation and treatment readiness, they are likely to stay Morgenstern and colleagues174 reported that patients who
longer in treatment and to do more of what is recom- adopted more of the attitudinal and behavioral tenets of the
mended. These two interpretations have very different 12-step model of rehabilitation, such as admission of
implications for treatment practice. If treatment produces powerlessness, acceptance of a higher power, commitment
gradual positive changes over time, it is clinically sound to AA, and agreement that alcoholism is a disease, were
practice to retain patients longer, perhaps even through neither more nor less likely to relapse following treatment

S U D T R E AT M E N T 83
than patients who had adopted very few of the 12-step counselors resulted in significant differences in treatment
tenets by the end of the rehabilitation treatment. At the progress over the following 6 months. Specifically, patients
same time, two tenets found in all rehabilitation models, transferred to one counselor achieved significant reductions
i.e., greater commitment to abstinence and greater in illicit drug use, unemployment, and arrests while
intention to avoid high risk situations, did predict a lower concurrently reducing their average methadone dose. In
likelihood of relapse.174 In another analysis from the same contrast, patients transferred to another counselor evi-
study, greater affiliation with AA following treatment denced increased unemployment and illicit drug use while
predicted better outcomes. AA affiliation was positively their average methadone dose went up. In a study of two
associated with self-efficacy, motivation, and coping efforts, different interventions for problem drinkers, Miller, Taylor,
which were themselves significant predictors of out- and West179 found significant differences between parapro-
come.174 More research is warranted to determine how fessional therapists in the percentage of their patients who
participation in AA exerts its positive effects. improved by 6-month follow-up. These percentages varied
from 25% for the least effective therapist to 100% for the
The Therapist or Counselor
most effective therapist. McCaul et al.180 reported signifi-
Research also suggests that access to regular drug/alcohol cant differences in post-treatment drinking rates and in
counseling can make an important contribution to the several other outcomes among alcohol-dependent patients
engagement and participation of the patient in treatment assigned to different counselors within an alcohol treat-
and to the post-treatment outcome. One example of the ment program.
role of the counselor and of individual counseling was
shown in a study of methadone-maintained patients, all Although it is relatively clear that therapists and
within the same treatment program and all receiving the counselors differ considerably in the extent to which they
same methadone dose, who were randomly assigned to are able to help their patients achieve positive outcomes, it
receive counseling or no counseling.175 Results showed that is less clear what distinguishes more effective from less
68% of patients assigned to the no-counseling condition effective therapists. In an experimental study of two
failed to reduce drug use (confirmed by urinalysis) and 34% different therapist styles, Miller, Benefield, and Tonigan181
of these patients required at least one episode of emergency found that a client-centered approach emphasizing
medical care. In contrast, no patient in the counseling reflective listening was more effective for problem drinkers
group required emergency medical care, 63% showed than was a directive, confrontational approach. In a review
sustained elimination of opiate use, and 41% showed of the literature on therapist differences in substance abuse
sustained elimination of cocaine use over the 6-month trial. treatment, Najavits and Weiss182 concluded, “The only
consistent finding has been that therapists’ in-session
A study by Fiorentine and Anglin176 as part of a larger interpersonal functioning is positively associated with
“Target Cities” evaluation also showed the contribution of greater effectiveness.” Among indicators of interpersonal
counseling in drug rehabilitation. Group counseling was functioning were the ability to form a helping alliance,177
the most common modality (averaging 9.5 sessions per measures of the level of accurate empathy and a measure
month), followed by 12-step meetings (average 7.5 times of “genuineness,” “concreteness,” and “respect.”183
per month) and individual counseling (average 4.7 times
per month). Greater frequency of both group and indi- There are a variety of certification programs for
vidual counseling sessions was shown to decrease the counselors. They include Committee on Addiction Reha-
likelihood of relapse over the subsequent 6 months. One bilitation (CARF) and Certified Addictions Counselor
important contribution of this study is that the relationships (CAC), as well as other professions treating substance-
shown between more counseling and lower likelihood of dependent patients (e.g., American Society of Addiction
relapse to cocaine use were seen even among patients who Medicine; American Academy of Psychiatrists in Addic-
completed treatment, that is, who had approximately the tion). There is also an added- qualifications certificate for
same tenure in the programs. Thus, it may be that beyond psychologists available through the American Psychological
the simple effects of attending a program, more involve- Association. Added-qualifications certificates are offered
ment with the counseling activities is important for throughout the country, usually by professional organiza-
improved outcome. tions. Although the efforts of these professional organiza-
tions to bring needed training and proficiency to the
At least four studies of substance abuse treatment have treatment of addicted persons are commendable, there
documented between-therapist differences in patient have been no studies validating whether patients treated by
outcomes. These differences have emerged both among certified addictions counselors, physicians, or psychologists
professional psychotherapists with doctoral-level training have better outcomes than patients treated by noncertified
and among paraprofessional counselors. Luborsky et al.177 individuals. This is an unfortunate gap in the literature.
found outcome differences in a variety of areas among nine Results from such studies would be quite important for the
professional therapists providing ancillary psychotherapy to licensing efforts and health policy decisions of many States
methadone maintenance patients. McLellan et al.178 found and health care organizations.
that assignment to one of five methadone maintenance

84 McLELLAN
Community Reinforcement and Contingency Substance abusers with comorbid psychiatric problems
Contracting may be particularly good candidates for the problem-to-
Azrin and colleagues184 initially developed the community service matching approach, especially the addition of
reinforcement approach (CRA) and tested it against other specialized psychiatric services for those most severely
standard treatment interventions. CRA includes conjoint affected by psychiatric problems. For example, recent
therapy, job-finding training, counseling focused on alcohol- studies suggest that tricyclic antidepressants and the
free social and recreational activities, monitored disulfiram, selective serotonergic medication fluoxetine may reduce
and an alcohol-free social club. The goal of CRA is to make both drinking and depression levels in alcoholics with
abstinence more rewarding than continued use.185 In a major depression.192-194 Similarly, the anxiolytic buspirone
study in which patients were randomly assigned to CRA or may reduce drinking in alcoholics with a comorbid anxiety
to a standard hospital treatment program, those getting disorder.195 Highly structured relapse-prevention interven-
CRA drank less, spent fewer days away from home, tions may also be more effective in decreasing cocaine use
worked more days, and were institutionalized less over a than are less-structured interventions in cocaine abusers
24-month follow-up.184 with comorbid depression.196
A recent set of studies by Higgins et al.186-189 used the Woody and colleagues197 evaluated the value of
CRA approach with cocaine-dependent patients. In one of individual psychotherapy when added to paraprofessional
these studies, cocaine-dependent patients seeking outpa- counseling services in the course of methadone mainte-
tient treatment were randomly assigned to receive standard nance treatment. Patients were randomly assigned to
drug counseling and referral to AA or to a multicomponent receive standard drug counseling alone or drug counseling
behavioral treatment integrating contingency-managed plus one of two forms of professional therapy: supportive-
counseling, community-based incentives. and family expressive psychotherapy or cognitive-behavioral psycho-
therapy comparable to the CRA model.189 The CRA model therapy. Over a 6-month period, patients receiving psycho-
retained more patients in treatment, produced more therapy showed greater reductions in drug use, more
abstinent patients and longer periods of abstinence, and improvements in health and personal function, and greater
produced greater improvements in personal function than reductions in crime than did those receiving counseling
did the standard counseling approach. Following the alone. Stratification of patients according to their levels of
overall findings, these investigators systematically “disas- psychiatric symptoms at intake showed that the main
sembled” the CRA model and examined the individual psychotherapy effect was seen in those with greater than
“ingredients” of family therapy,188 incentives,187 and average levels of psychiatric symptoms. Specifically,
contingency-based counseling186 as compared against patients with low symptom levels made considerable gains
groups who received comparable amounts of all compo- with counseling alone, and there were no differences
nents except the target ingredient. In each case, these between types of treatment; however, patients with more
systematic and controlled examinations indicated that severe psychiatric problems showed few gains with
these individual components made a significant contribu- counseling alone but substantial improvements with the
tion to the outcomes observed, thus proving their added addition of the professional psychotherapy.
value in the rehabilitation effort. Another type of substance abuser who can pose
Matching Patients and Treatments particular problems for outpatient treatment is the cocaine-
A number of research studies have attempted to match dependent patient who is unable to achieve remission from
particular kinds of patients with specific types, modalities, cocaine dependence early in outpatient treatment. Several
or settings of treatment. The approach to patient-treatment randomized studies suggest that highly structured cogni-
matching that has received the greatest attention from tive-behavioral treatment is particularly efficacious with
substance abuse treatment researchers involves attempting such individuals. In two outpatient studies with cocaine
to identify the characteristics of individual patients that abusers, those with more severe cocaine problems at intake
predict the best response to different forms of addiction had significantly better cocaine use outcomes if they
treatments (e.g., cognitive-behavioral versus 12-step, or received structured relapse-prevention rather than interper-
inpatient versus outpatient).169 The majority of these patient- sonal or clinical management treatments.104,149 In a third
to-treatment matching studies have not shown robust or study, cocaine-dependent patients who continued to use
generalizable findings.190 Another approach to matching cocaine during a four-week intensive outpatient treatment
has been to assess patients’ problem severity in a range of program had much better cocaine use outcomes if they
areas at intake and then to match the specific and necessary subsequently received aftercare that included a combina-
services to the particular problems presented at the assess- tion of group therapy and a structured relapse-prevention
ment. This has been called “problem-to-service” match- protocol delivered through individual sessions rather than
ing.191 This approach may have more practical application aftercare that consisted of group therapy alone.171
because it is consonant with the individually tailored McLellan and colleagues191 recently attempted to
treatment philosophy that most practitioners have espoused. match problems to services in two inpatient and two

S U D T R E AT M E N T 85
outpatient private treatment programs. The 130 patients in ■ Alcohol/drug education sessions
the study were assessed with the Addiction Severity Index ■ General group therapy sessions, especially “confronta-
(ASI) at intake and placed in a program that was acceptable tion” sessions
to both the employee assistance program referral source
and to the patient. At intake, patients were randomized to
■ Acupuncture
either the standard or matched services condition. In the ■ Patient-relaxation techniques
standard condition, the treatment program received ■ Treatment program accreditation or professional
information from the intake ASI, and personnel were certification criteria.
instructed to treat the patient in the “standard manner, as
Holder and colleagues159 have reviewed the available
though there were no evaluation study ongoing.” The
research on effectiveness of various treatment components
programs were instructed not to withhold any services
in the alcohol rehabilitation field. They also concluded that
from these patients. Patients assigned to the matched
a number of therapeutic practices and procedures that
services condition were also placed in one of the four
remain prevalent in the field have not yet shown indication
treatment programs and ASI information was forwarded to
of success.
that program. However, the programs agreed to provide at
least three individual sessions in the areas of employment, It is important to note that the absence of evidence
family/social relations, or psychiatric health delivered by a does not prove a treatment element is ineffective. Some of
professionally trained staff person. In fact, matched patients the treatment practices or conventions cited may actually
received significantly more psychiatric and employment have benefits for some patients or under some circum-
services than did standard patients, but not more family/ stances, even though there is little support for them in the
social services or alcohol and drug services. Matched existing literature.
patients were more likely to complete treatment (93%
versus 81%) and showed more improvement in the areas of
employment and psychiatric functioning than did the
Why Aren’t Addiction Treatments Considered
standard patients. While matched and standard patients as Effective as Treatments for Other Illnesses?
had sizable and equivalent improvements on most mea- The previous parts of this paper have examined the
sures of alcohol and drug use, matched patients were less addiction treatment field from the perspective of its value
likely to be retreated for substance abuse problems during to society. It would seem that this review would provide a
the 6-month follow-up. These findings suggest that relatively simple answer to what appears to be a direct
matching treatment services to adjunctive problems can question of cost and value. However, it is not a direct
improve outcomes in key areas and may also be cost- question at all. The reasonable expectations of a society
effective by reducing the need for subsequent treatment for regarding any form of intervention designed to take care of
relapse. the drug problem must address many issues, all of which
are related to the addiction-related problems that are so
frightening and costly to society. Multiple perspectives on
Summary outcome are not typical in evaluations of medical illnesses.
This section has reviewed the substance abuse treatment In the treatment of most chronic illnesses effective treat-
research literature to identify treatment process variables ments are expected to reduce symptoms, increase function,
and treatment components that have been shown to be and prevent relapse–especially costly relapse. Thus, a final
important in determining outcome from addiction rehabili- perspective on the issue of the effectiveness and worth of
tation efforts, and in this way to contribute to the discus- addiction treatments must be an evaluation of the effective-
sion of what aspects of treatment are “worth it” to society. ness of addiction treatments using the criteria typical for
The major treatment variables or components were staying evaluations of other chronic illnesses.
longer in treatment, reinforcement (i.e., financial incentives
or vouchers) for attendance and abstinence; having an A Chronic Illness/Continuing Care Perspective:
individual counselor or therapist; receiving specialized Implications for Treatment and Evaluation
services for psychiatric, employment, and family problems;
There are no cures for any of the chronic medical illnesses
medications to block drug craving and drug effects; and
reviewed in this paper. Nonetheless, it is interesting that
participation in AA or NA following rehabilitation.
despite rather comparable rates of compliance and relapse
It was surprising that some of the treatment elements across all of the disorders examined, there is no serious
that are most widely provided in substance abuse treat- argument as to whether the treatments for diabetes,
ment have not been associated with better outcome. For hypertension, or asthma are effective or whether they
example, this review of the literature has shown little should be supported by contemporary health insurance.
indication that any of the following lead to better or longer However, this issue is very much in question with regard to
lasting outcomes following treatment: treatments for drug dependence.7,12 In this regard, it is

86 McLELLAN
interesting that the relatively high relapse rates among Conclusions
diabetic, hypertensive, and asthmatic patients following
cessation of their medications have been considered Although science has made great progress over the past
evidence of the effectiveness of those medications and of several years, we cannot yet fully account for the physi-
the need for compliance enhancement strategies. In ological and psychological processes that transform
contrast, relapse to drug or alcohol use following cessation controlled, voluntary use of alcohol or other drugs into
of addiction treatments has often been considered evidence uncontrolled, involuntary dependence on these substances.
of treatment failure. We cannot cure this condition once it has been contracted.
But can we treat it effectively.
One major difference is that drug-dependence treat-
ments are not provided, evaluated, or insured under the Would a societal investment in treatment provide an
same assumptions as are treatments for other chronic attractive return on the investment? The research reviewed
illnesses. Particularly important is that drug-dependence here suggests the answer is clearly yes. Both controlled
treatments are rarely delivered under a continuing-care clinical trials and large-scale field studies have shown
model that would be appropriate for a chronic illness. statistically and clinically significant improvements in drug
Indeed, with the exception of methadone maintenance and use and in the drug-related health and social problems of
AA/NA forms of treatment (which are among the most treated individuals. Further, these improvements translate
effective forms of treatment currently available), most into substantial reductions in social problems and costs to
contemporary treatments for drug dependence are acute society. Recent pharmaceutical research has produced
care episodes. For example, it is common for a drug- effective medications for the treatment of alcohol, nicotine,
dependent individual to be admitted to a 30- to 90-day and opiate dependence, and has identified promising
outpatient rehabilitation program, rarely accompanied by candidate medications that will provide even more
medical monitoring or medication. This period of treatment assistance to physicians in treating these illnesses. Thus, we
is typically followed by discharge with referral to commu- conclude that drug and alcohol dependence are treatable
nity sources. While the intentions and overall goals of medical illnesses.
addiction treatment might be conceptualized as ongoing by If this conclusion is true, then why does it seem so
those in the treatment field, from an operational perspec- surprising to so many parts of society? The thesis of this
tive, addiction treatments are delivered in much the same paper is that there are two main reasons for this.
way as are follow-up treatments that might be offered a
patient who has undergone hip-replacement surgery. Addiction Is a Chronic Condition
Outcome evaluations are typically conducted 6 to 12 Much of society believes that addiction to drugs or alcohol
months following treatment discharge. A major (sometimes is simply the product of poor impulse control complicated
the exclusive) measure in all these evaluations is whether by the physiological problems associated with dependence
the patients had been continuously abstinent since leaving and withdrawal. This assumption leads to a view that these
treatment. acquired habits and withdrawal symptoms ought to be
Consider these goals and this treatment and evaluation correctable with some education, some severe conse-
strategy applied to a hypertension treatment regimen. quences associated with use (to teach the user a lesson),
Patients who meet diagnostic criteria for hypertension and some period of brief stabilization. The research,
would be admitted to a 30- to 90- day outpatient “hyper- however, is quite clear on these points. It shows that
tension rehabilitation” program, where they might receive education does not correct drug dependence; it is not
medication, behavioral change therapy, dietary education, simply a problem of lack of knowledge. Consequences for
and an exercise regimen. Because of insurance limits and drug use appear to be important stimuli leading to drug
evaluation goals, the medication would be tapered during abuse treatment entry. Indeed, more than half of all
the last days of the treatment, and the patient would be treatment entrants in the United States are under some
referred to community sources. The evaluation team would form of coercion.198 At the same time, very few addicted
contact the patient 6 months later and determine whether individuals are able to profit from a corrections-oriented
he or she had been continuously normotensive throughout approach by itself. Relapse rates are over 70% for all forms
that post-treatment period. Only those patients that met of criminal justice interventions. Finally, addiction is not
this criterion would be considered “successfully treated.” simply a matter of becoming stabilized and “getting the
Obviously, this hypothetical treatment management drugs out of one’s system.” Relapse rates following detoxifi-
strategy and its associated outcome evaluation approach are cations are approximately the same as those following
absurd for any chronic illness, including drug dependence. incarceration.86, 94,123,153,199
The evidence is compelling that, at the present state of
medical knowledge, addiction is best considered as a
chronic relapsing condition. (The word “condition” is used
here because there are many who do not wish to call it an

S U D T R E AT M E N T 87
illness.) Once alcohol or drug abuse is considered a chronic that those who have suffered from the crime, lost produc-
condition, it is no longer surprising that incarceration or tivity, and embarrassment of addiction are eager to accept.
brief stabilization would not be effective. The research Addiction treatment providers must broaden their views of
evidence is clear that for those with alcohol, cocaine, their responsibilities. To achieve the potential social value
opiate, or other drug dependence the best available of addiction treatment, it will be necessary for providers to
treatments are those that are ongoing, able to address the focus on such socially important goals as
multiple problems that are risks for relapse–such as medical ■ Working with employers and social welfare
and psychiatric symptoms and social instability, and well agencies toward the goals of returning to or
integrated into society, thereby permitting ready access for initiating work;
monitoring purposes and to forestall relapse. The research
has shown that while motivation for treatment plays an
■ Working with criminal justice agencies and parole/
important role in maintaining treatment participation, most probation officers toward the goals of keeping the
substance-abusing patients enter treatment with combina- patient from returning to drug-related crime and
tions of internal motivation and external motivation from incarceration; and
family, employer, the legal system and society at large. ■ Working with family agencies and the families
themselves toward the goals of returning to or
Addiction Treatments Must Address the Concerns of initiating responsible parenting.
Society These are the addiction-related conditions that most
While addiction may be compared to other chronic affect society. Reduction or elimination of these problems
illnesses, there are many differences. One of the most are the goals that society expects from any effective
prominent differences is the breadth of treatment focus. intervention. This review indicates that addiction treat-
The major foci of most treatments for other chronic ments can, but do not always, show evidence of being able
illnesses are symptom remission and return of function for to meet these societal expectations of effectiveness. With
the benefit of the patient. This has also been true for many application of the treatment elements that have been
addiction treatments, and it has left much of society with shown to be effective under a continuing-care model of
the view that the major goal of addiction treatment is to treatment, addiction treatment can be an effective and
simply make the patient feel better. This goal is not one valuable part of a social policy on drug abuse problems.

88 McLELLAN
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 CHAPTER 4

Medicaid Reimbursement of
Primary Care Providers for
Treatment of Substance Use Disorders
MARY R. HAACK PHD, RN, FAAN
FARROKH ALEMI, PHD

Introduction
For purposes of this paper, primary care is defined as “the provision of integrated, accessible
health care services by clinicians who are accountable for addressing a large majority of personal
health care needs, developing a sustained partnership with patients, and practicing in the
context of family and community.”1 According to this definition, primary care providers include
physicians, nurses, psychologists, midwives, social workers, dentists, pharmacists, and allied
health professionals. The definition excludes care provided by specialists and care provided in
acute settings.
Traditionally, health care professionals in primary care settings have not provided primary,
secondary, or tertiary interventions for patients with substance use disorders (SUD). There are at
least two reasons why primary care providers have not been reimbursed for SUD treatment.
First, most of them lack the training and skills to provide SUD treatment; and second, reim-
bursement rates have not been determined for these services. This situation is unfortunate,
because primary care providers may detect illness sooner, treat patients in fewer visits, require
fewer specialist referrals, and produce better outcomes than other providers.2 If primary care
health professionals were trained to provide SUD interventions and could be reimbursed for
such services, then the Nation’s capacity for treatment of patients with SUD would grow
enormously. These expanded services are greatly needed and could be an important step in
attaining the Healthy People 2010 objectives.3
Expanding reimbursement for SUD treatment services requires major changes in Medicaid,
the system under which thousands of individuals with SUD receive treatment. Almost 20% of
Medicaid hospital costs are associated with untreated SUD.4 Many more individuals would
undoubtedly benefit from treatment if Medicaid were structured to respond to the unique
nature of SUD and to cover successful treatment of individuals affected by it. U.S. taxpayers pay
$276 billion per year for untreated SUD.5 Medicaid can make a difference by making effective
SUD treatment more widely available.
This paper begins by discussing some of the problems in the current Medicaid system with
respect to coverage for SUD treatment. It then focuses on the need for setting standards for core
services and establishing reimbursement rates for SUD services offered under Medicaid. The
paper concludes by proposing a rate-setting model that may help determine the most effective
and cost-beneficial means of delivering substance abuse services.

95
How SUD Treatment Services Are Provided chronic disease.9 In recent years, policy changes at the
Federal and State levels show some movement in this
and Reimbursed direction. For example, in 1999, the Clinton Administra-
In United States, there are two methods of providing and tion mandated the U.S. Office of Personnel Management to
paying for substance abuse treatment: one method for the achieve parity for MHSA treatment services in all Federal
private sector and another for the public sector. In the health benefits programs by 2001.10 Congress passed a
private sector, individuals whose employers offer health limited parity law in 1996 for mental health services but
care benefits may choose an insurance company, such as not for substance abuse treatment services. Several States
Blue Cross/Blue Shield, or a health maintenance organiza- have introduced similar legislation. A recent U.S. General
tion (HMO) plan. These programs usually have mental Accounting Office study reported, however, that a large
health “carve-outs” that cover private treatment providers. percentage of U.S. businesses are either ignoring or
Carve-out plans distinguish mental health providers from circumventing parity regulations.11
SUD treatment providers. According to Frank and col- Meanwhile, the need for treatment expands. The U.S.
leagues,6 a private plan requires higher copayments for “war on drugs,” for example, has begun to give greater
mental health and substance abuse (MHSA) care than for emphasis to treatment.12 At the State level, the passage of
general services, limits the number of MHSA office visits, legislation such as Proposition 36 in California has begun to
limits MHSA hospital stays to 30 to 60 days, and often divert large numbers of offenders from the criminal justice
imposes annual or lifetime limits on plan costs for MHSA system into treatment. Without widespread availability of
care. Coverage for medical services is not subject to these treatment, however, such programs are likely to fail.
limitations, a fact that creates a significant disparity
between medical services and MHSA services.
The public sector provides treatment for SUD for Medicaid Coverage for Substance Use
unemployed persons and for employed persons whose Treatment: The Problems
employers do not offer health insurance. The public system
The challenge, in brief, is to find a way to ensure Medicaid
is funded through several parallel mechanisms. Federal
coverage for treatment of individuals with SUD and to
block grants to States fund SUD prevention and treatment
identify a means of reimbursing primary health care
programs in underserved areas through competitive
providers for such services in primary health care settings.
contracts. Federal, State, and local governments fund 46%
of all SUD treatment in the United States.7 The Medicaid Medicaid has two mechanisms for paying for treat-
program, which is funded by the Federal government and ment of SUD: the clinic option and the rehabilitation
the States, provides reimbursement for some components option. The clinic option allows substance abuse treatment
of SUD treatment (e.g., in-hospital detoxification); how- services to be delivered in an outpatient setting, as long as
ever, it rarely pays for other components, such as outpa- a physician provides them. The rehabilitation option allows
tient counseling. coverage for non-physician providers. Numerous issues
must be resolved if Medicaid options for treatment of SUD
The responsiveness of Medicaid, a major source of
are to be put to further use. These include (1) inconsistent
health care for persons living in poverty and for women
coverage; (2) restrictions governing program eligibility; (3)
and children, to persons with SUD can clearly be im-
exclusions of institutions for mental disorders from
proved. In 1990, the Institute of Medicine (IOM) published
Medicaid eligibility; (4) lack of coverage for SUD treatment
several recommendations to improve coverage of SUD by
within Medicaid managed care plans; (5) lack of Medicaid
Medicaid and private insurers.8 More than a decade later,
standards for SUD treatment; and (6) lack of set reimburse-
these recommendations are still relevant. For example, the
ment rates for interventions in primary care settings. Each
IOM report stated that Medicaid should “assume a
of these issues is addressed in the paragraphs that follow.
consistent role across the board in financing the public tier
of drug treatment.” To accomplish this, Federal legislation
governing Medicaid must be altered. Such legislation
Inconsistent Coverage
would delineate eligibility criteria and the kinds of services In order for a provider to be reimbursed under Medicaid,
and the types of providers eligible for reimbursement. It the patient whom he or she cares for must be Medicaid-
also would set minimum reimbursement levels. The IOM eligible. Not all unemployed or uninsured individuals are
also recommended that the provisions covering drug eligible to be enrolled in Medicaid. Furthermore, many
treatment benefits, including deductibles, copayments, persons periodically lose and regain Medicaid eligibility,
stop-loss measures, and schedule caps, be similar to those which creates inconsistent coverage for SUD treatment.13
for treatment of other chronic, relapsing health problems. For example, most treatment programs last a minimum of
4 months, and it is not uncommon for a patient to lose
There is widespread public support for insurance Medicaid eligibility during that time period. Welfare-to-
programs that reimburse providers for SUD treatment in work programs and children in foster care present enor-
the same way as they reimburse for treatment of any other mous challenges to continued coverage. For example,

96 HAACK AND ALEMI

mothers with SUD lose their Medicaid benefits when they The Clinic Option
lose custody of their children. To be reunified with their The clinic option within a State Medicaid plan allows
children, they must successfully complete SUD treatment, physician-provided substance abuse treatment services in
but they have no insurance to pay for treatment. Many non-hospital settings. While the option can be used for any
parents permanently lose custody of their children because SUD treatment, it has been used predominantly for
they do not receive adequate treatment for their SUD. methadone maintenance. Methadone maintenance services
provided in freestanding clinics are eligible for Medicaid
Restrictions Governing Program Eligibility reimbursement, because these programs operate under
To many SUD treatment providers, particularly those direct physician supervision; however, Medicaid covers
working in outpatient settings, it seems as though Medicaid methadone maintenance in only 41% of the State plans.
has erected a series of hurdles that they must overcome to The U.S. Congress recently authorized the training of
be eligible to be reimbursed for services they provide. physicians and advanced-practice nurses to prescribe
These hurdles include the following: buprenorphine in primary care settings. This legislation is
Certificate of Need significant because it extends SUD treatment services for
persons with an opiate disorder in a primary care setting
In order for Medicaid to pay for SUD treatment, providers
and eliminates the gap that often occurs between referral
and their institutions, like their patients, must be Medicaid-
and placement in a SUD treatment program. It also allows
eligible. To be eligible for Medicaid reimbursement, in
services for persons with opiate disorders to be provided by
many States an SUD treatment facility must hold a
advanced-practice nurses, who usually spend more time
certificate of need. Treatment programs have been tradi-
with primary care patients than physicians do. This
tionally exempted from the need to obtain a certificate of
legislation would also expand the number of qualified
need. Applying for certification is a time-consuming and
providers and therefore the availability of services. It is not
expensive process. By forcing treatment programs to go
yet clear whether these services will be eligible for Medic-
through this process, Medicaid makes it difficult for new
aid reimbursement under the clinic option.
programs to enter the market and thereby restricts program
expansion and competition. The Rehabilitation Option
Lack of Reimbursement for Care in Non-Hospital The only provision under Medicaid that allows direct
Settings reimbursement of providers other than physicians in
Most SUD treatment services occur outside hospitals and traditional treatment settings is the section on rehabilita-
therefore cannot be reimbursed under Medicaid rules for tion. Under it, Medicaid usually pays for rehabilitation
hospitals. Historically, Medicaid has paid for services services by a physical therapist. Seeking to use this option
offered in hospital settings, in particular inpatient detoxifi- to broader advantage, States such as Missouri and Massa-
cation. Over time, as SUD treatment has moved to chusetts have successfully argued that certified addiction
outpatient settings and more and more services have begun counselors are providing “therapy” to patients going
to be provided by non-physicians, Medicaid has played a through mental “rehabilitation,” and that they should
smaller and smaller role. Medicaid continues to focus on therefore be eligible for Medicaid reimbursement under the
hospital care, even though the majority of SUD treatment rehabilitation option, if it is part of the State plan. It is an
has shifted to the outpatient setting. Furthermore, Medic- awkward argument, but one that enables programs to
aid utilization and review systems are set up to discourage secure Medicaid reimbursement for outpatient SUD
use of health services. The assumption is that, left to their treatment provided by nurses, counselors, and social
own devices, patients will overutilize health services. This workers in traditional settings. This option infuses addi-
assumption is not reasonable for patients with SUD, who tional Federal money into the substance abuse treatment
attend outpatient settings and who should be constantly system, requires programs to meet a high standard of care,
encouraged to continue to attend treatment. and improves the possibility for continuity of care.

In most States, Medicaid does not reimburse for basic Exclusion of Institutions for Mental Disorders
screening, assessment, brief intervention, or motivational
Even when a State plan includes the rehabilitation option,
interviewing in primary care settings. If Medicaid covered
Medicaid has a number of limitations on reimbursement.
these services, a primary care provider could provide them.
For example, the institution for mental disorders (IMD)
Few primary care providers have been trained to provide
exclusion prevents the program from making payments to
these services. Certified addiction counselors, nurses, and
institutions with more than 16 beds. Most residential
social workers, who are not eligible for Medicaid reim-
treatment programs have more than 16 beds and are
bursement, provide most of the services in public and
therefore not eligible for reimbursement.
private treatment settings. Therefore, very few patients in
primary care settings, whether or not Medicaid insures Faced with this dilemma, programs must separate
them, receive services that would identify or treat SUD. room and board from clinical services—a separation that is

MEDICAID REIMBUSEMENT FOR SUD 97

often not clinically reasonable for wrap-around comprehen- reimbursement to extend services under the rehabilitation
sive treatment programs. To overcome this barrier, pro- option can vastly improve the quality and quantity of SUD
grams sometimes use separate funding streams for drug-free treatment services in many communities.
housing and other services not covered by Medicaid. Certified addiction counselors typically provide tertiary
prevention SUD services. Primary care providers provide
Lack of Coverage Under Medicaid Managed Care Plans primary, secondary, and tertiary prevention treatment
Medicaid in several States has aggressively encouraged the services. Treatment in a primary care provider’s office is
use of managed care programs, and enrollment in such different in nature and duration from treatment by a
programs is growing. Coverage of SUD treatment under certified addiction counselor in a SUD treatment program.
current Medicaid managed care programs, however, is This distinction must be acknowledged in any Medicaid
often narrow. For example, only 12 States include metha- policy concerning standards of care.
done services in their Medicaid managed care contracts.
Primary care providers may provide
Some managed care programs limit coverage for outpatient
counseling and require authorization by a primary care ■ Screening and assessment for SUD for individuals
provider for treatment of patients with dual diagnoses. As and their families;
noted earlier, primary care providers are generally ill ■ Brief intervention and motivational interviewing;
prepared to screen and assess for SUD or coexisting a ■ Outpatient detoxification using prescribed medica-
psychiatric disorders. It is unclear how primary health care tion to alleviate symptoms and complications
professionals can act as gatekeepers to services of which associated with withdrawal;14
they have little or no knowledge. These limits may
undermine the effectiveness of treatment programs.
■ Relapse prevention;

The central problem between linking managed care to

■ Primary and secondary prevention interventions for
treatment programs is the complex nature of addiction. spouses and children affected by a family member’s
Even when appropriate referrals are made, most patients SUD;
who seek treatment cannot and do not follow through. An ■ Prescription medication for treatment of a dual
opportunity to treat is often lost as the patient is shuffled diagnosis problem, prevention of relapse, or as a
between primary care offices and SUD and mental health substitution therapy; and
treatment programs. ■ Case management and referral.
A significant body of literature documents the effec-
Lack of Standards of Care for SUD Treatment tiveness of brief intervention,2 motivational interviewing,15
To earn Medicaid certification, a program must meet outpatient detoxification,14 relapse prevention,16,17 and
standards that are set by a designated State agency. Many family strengthening;18,19 however, these interventions have
States do not have a formal standards or certification never been standardized for Medicaid purposes. Establish-
procedures for treatment programs (although the rehabilita- ing standards for Medicaid entails more than describing an
tion option provides an incentive for States to develop evidence-based treatment protocol or reporting the
standards so that treatment programs can meet this outcome data. Standards must include a description of
requirement). Standardization and certification encourage treatment components, steps for patient safeguards,
improvement in the quality of care and promote the methods of process improvement, data reporting require-
development of comprehensive treatment approaches. ments, unit-cost reporting, procedures for follow-up and
Medicaid further requires that a certifying authority record keeping, minimum qualification and experience for
regularly review treatment programs to maintain their providers, and public reporting of outcomes. Public
quality. reporting of outcomes is important because it enables
States have taken varying approaches to this issue. In consumers to go to the most effective treatment providers.
the District of Columbia, the need to meet requirements It also enables programs to learn from each other.
for Medicaid reimbursement led to the adoption of a Medicaid has not established standards governing
certification process and a comprehensive reporting system what services should be included in or excluded from
for treatment outcomes. In keeping with the IOM recom- primary care settings. Before primary care providers can be
mendations, the District of Columbia has adopted regula- reimbursed for SUD services, a detailed manual for
tions that require providers to participate in regular, standards of care must be developed, and an outside
publicly distributed, severity-adjusted reports of treatment national or statewide agency must be identified to certify to
outcomes. Adoption of these regulations was part of the Medicaid that standards have been met. An organization
District of Columbia’s attempt to increase Medicaid such as the Association for Medical Education and Re-
reimbursement under the rehabilitation option. Primary search in Substance Abuse (AMERSA) could help by
health care providers should advocate these changes in establishing standards for this purpose.
their communities as well. The ability to use Medicaid

98 HAACK AND ALEMI

Lack of Set Reimbursement Rates for Interventions in paid an additional amount equal to what would be paid to
Primary Care Settings a substance abuse counselor? The tendency is to argue for
a rate that is higher than that for one visit but less than that
No legal restrictions prevent Medicaid from reimbursing
for two visits. What this rate should be is a question that
primary care providers for SUD services in primary care
needs to be studied.
settings; however, two practical barriers stand in the way.
The first, as seen above, is the absence of standards of care. Differing Rates for Services Offered by Members of
The second is that Medicaid has not set reimbursement Different Professions
rates for SUD prevention and treatment interventions in The rates that different types of professionals charge for
primary care settings. The following paragraphs discuss counseling patients in recovery differ considerably. To some
some of the issues that must be resolved in order to set extent, these rates reflect market valuation of the profes-
reimbursement rates. sion in question. By setting different rates, insurers amplify
existing differences in the market and discourage certain
Caps on Services and Rates
disciplines from participating.
Medicaid requires that standardized services have estab-
lished rates in order to control costs and prevent fraud. The Historically, insurers have set rates by examining the
safeguards typically take the form of caps on the number of cost of the provider’s time and effort. An ideal program is
visits per year, deductibles or copayments, requirements for identified, and the total program budget is divided by the
preauthorization before services can be offered, or utiliza- number of units of services provided in order to set unit
tion reviews. In the treatment of physical problems, such as costs (F. Alemi and M. Haack, unpublished data, 2001). An
hypertension, diabetes, and asthma, health care profession- alternative is to conduct time studies of each profession
als are given wide discretion regarding frequency of and to cost out its various activities, including mental
services, regardless of outcomes. For patients with chronic activity, by the value of the professional’s time.20 Rates set
diseases that are difficult to control, clinicians can schedule in this fashion perpetuate and in some way contribute to
frequent visits. This is not the case in reimbursement for disparities in professional incomes. None can be defended
substance abuse treatment; in this area, significant restric- without accepting that (1) the profession’s income is
tions are imposed to restrict unnecessary use of services. justified, and (2) the profession’s educational preparation
These restrictions, which may be justifiable for other forms and experience are necessary. In SUD treatment, where
of treatment, may pose particular problems in the case of persons from different professions are simultaneously
patients with SUD. With most other health care problems, active, where wide income disparities exist, and where
patients want and seek treatment. With SUD, readiness for professions have different levels of educational prepared-
treatment changes radically over time. Patients may seek ness, these assumptions cannot be justified. The cost of 15
treatment while they are in the primary care provider’s minutes of a primary care provider’s time exceeds by
office, but when referred to treatment they may refuse to severalfold the cost of 15 minutes of the time of a certified
participate. Some may even act in a contradictory manner, addiction counselor. Therefore, encouraging primary care
i.e., seeking help but resisting treatment. Given the nature providers to treat patients with SUD might be viewed as
of SUD, it is critical to make treatment services available increasing the cost of treatment, if it were not for the
when a patient needs them. Because of the unique differential outcomes these providers can achieve. In fact,
character of SUD treatment, provisions intended to prevent primary care providers may screen and treat patients at an
fraud can become barriers to treatment. earlier stage and thus prevent expensive consequences of
SUD. Certified addiction counselors typically see patients
Patients with Dual Diagnoses much further along in their illness, have a harder time
Patients generally visit a primary care provider for treat- keeping them in treatment, and have more visits with their
ment of a physical illness. During an assessment related to patients than primary care providers do. The goal of rate
the patient’s physical complaint, the primary care clinician setting should be to be fair to the provider by taking into
may identify substance use as a problem. In such a case, account his or her profession’s cost structure and ability to
the provider ends up treating the patient for more than one detect SUD, and the length and the effectiveness of
diagnosis. For example, the provider may treat an HIV- treatment. In the following paragraphs, we propose an
positive patient with SUD, a patient with liver problems approach that overcomes difficulties of setting one rate for
and SUD, or a depressed elderly patient with SUD. multiple professions.
When it comes to setting the reimbursement rate for
all of the needs of a dually diagnosed patient, it is difficult
to estimate both the duration and the number of visits. For Outcome-Based Reimbursement and
example, if a primary care provider treats a patient with a Rate Setting
dual diagnosis, should the provider be paid for two visits, Medicaid and other insurers face the daunting task of
one visit, or somewhere in between? If a mental health deciding which type of provider they should reimburse and
professional treats the client’s SUD, should he or she be at what level. The traditional approach has been to pay

MEDICAID REIMBUSEMENT FOR SUD 99

inconsistent amounts to different providers on the grounds cost. Medicaid reimbursement rates should not favor one
of market value. However, insurers are price- setters, and profession over the other, unless there are data that one
they can shape the market. The traditional approach does group of providers can provide more effective services than
not make economic sense if both the high- and the low-cost the others can. Since professions differ in their frequency of
professions produce the same results. contact with patients, length of contact with patients,
One solution is to price treatment at the rate charged ability to retain patients in treatment, and effectiveness in
by the lowest-cost provider and thus by design exclude helping patients recover, different providers will receive
higher-cost providers. This approach takes into account different rates.
neither the differential outcomes of different providers nor A physician may be paid severalfold higher for a 15-
the fact that primary and secondary prevention services in minute contact with the patient if his or her brief treat-
the primary care setting can decrease the probability that a ments are more effective than are longer and more
patient may need more costly tertiary care. A primary care frequent treatment visits with a drug counselor. Since the
provider has the advantage of detecting the condition price is based on outcome, not on effort, professions that
earlier, not losing the patient to referral, providing a shorter have better outcomes should receive higher reimbursement
intervention, and, perhaps, producing a better recovery. per visit under this approach. This reimbursement ap-
Medicaid and other insurers should consider these factors, proach encourages more effective providers to be most
not just cost per visit, when setting rates. active in treating the patient.
In setting prices for the various providers, we recom- Outcome-based rates are not new; they have been
mended that Medicaid bear in mind the following criteria: used by Medicaid programs to set rates for HIV-positive
■ The costs to Medicaid if the patient’s problems would patients.21 The application to substance abuse, however, is
go undetected and contribute to other health care costs. new. The appendix to this article provides details of how
this can be done in the context of SUD treatment.
■ The probability that the patient would not complete
treatment.
■ The probability that the provider would neither refer Vision for the Future
the patient nor provide the needed treatment. If primary care providers were trained in standardized
■ The probability that the provider would refer the protocols that met Medicaid requirements for treating
patient to SUD treatment, but that the patient would patients with SUD in primary care settings, then the
not follow through on the referral. treatment capacity in the United States would dramatically
■ The unit cost of care for the provider. increase. If rates for Medicaid reimbursement of primary
care providers in primary care settings were established,
■ The number of service units needed to complete the then every eligible health professional would be motivated
mental health and SUD treatments. to learn the necessary skills, and the objectives set forth in
■ The effectiveness of the care provided. Healthy People 2010 would be attainable. The shame and
These factors are different for primary care physician, stigma associated with entering a freestanding SUD
advanced-practice nurse, psychologists, pharmacists, and treatment program would decrease. Patients would be
substance abuse counselors. One profession may cost more treated more effectively, and treatment would begin earlier.
per visit but may treat the patient in fewer visits and be less SUD would be seen less as a moral failing and more as a
likely to lose the patient in the shuffle of referrals to chronic disease. If reimbursement were based on out-
treatment programs. Medicaid should set the prices in such comes, not effort, then professions with better outcomes
a fashion that the expected price of delivering services in a would become more active and there would be an eco-
primary care setting does not exceed the expected cost of nomic incentive to improve outcomes. If more and better
current alternatives. “Expected cost” refers not only to cost treatment were available, the number of individuals with
per visit but also to the probability of detecting illness, of SUD might decrease. There would be less prenatal expo-
retaining clients, and of reducing drug use. From sure to alcohol and other drugs. Drug-related crime rates
Medicaid’s economic perspective, it does not matter who would decrease. The population’s general health might
treats the client, as long as the client recovers at the same increase.

100 HAACK AND ALEMI

 Recommendations
1. Studies should be done to establish standards of care for SUD services
acceptable to Medicaid for primary care providers in primary care settings.
Rationale. Before Medicaid can set reimbursement rates for primary, secondary, or tertiary
treatment of SUD by primary care professionals in primary care settings, the service must be
described and standards established that meet Centers for Medicaid and Medicare Services
(CMS, formerly the Health Care Financing Administration, or HCFA) requirements.
Responsible Agents. CMS, Substance Abuse and Mental Health Services Administration/
Center for Substance Abuse Treatment (SAMHSA/CSAT).
Expected Outcomes. A detailed manual for standards of care would be developed, and an
outside agency would be designated that would bear responsibility for determining and certify-
ing that the Medicaid standards have been met.

2. Medicaid should perform the studies needed to set reimbursement rates

for the treatment of SUD by primary care providers in primary care set-
tings. Such rates should be set for all 50 States in a manner that is fair to all
professions, including physicians, nurses, social workers, psychologists,
dentists, and pharmacists, and should reflect outcomes, including expected
relapse and chronicity of the disease.
Rationale. Most primary care providers are ineligible for reimbursement for SUD services in
primary care settings. Primary care providers should be reimbursed because they can screen and
assess for SUD sooner, treat in fewer visits, and reach individuals who would not otherwise
have access to treatment.
Responsible Agents: CMS, SAMHSA/CSAT.
Expected Outcomes. The capacity to identify and treat individuals with SUD would dramati-
cally expand. The objectives of Healthy People 2010 would become a reality.

3. Resources should be allocated for the development and dissemination of

standardized Medicaid protocols for treating patients with SUD in primary
care settings.
Rationale. Establishing standards for Medicaid services requires more than a research-based
protocol. Primary care providers need to be informed of what is expected in regard to patient
safeguards, methods for process improvement, data reporting requirements, procedures for
follow-up and record keeping, and qualifications for providers.
Responsible Agents. CMS, SAMHSA/CSAT.
Expected Outcomes. Dissemination efforts would inform potential primary care providers,
who would provide the SUD services and increase the number of providers willing to offer such
services.

MEDICAID REIMBUSEMENT FOR SUD 101

 4. Studies should be done on the impact of reimbursement for primary health
professionals other than physicians who provide SUD services in primary
care settings.
Rationale. Data are needed to establish the added value of providing SUD services within a
primary care setting.
Responsible Agents. CMS, SAMHSA/CSAT.
Expected Outcomes. Impact data would establish if this strategy is effective for overcoming
the disparity between the number of citizens who need treatment and the number who actually
get treatment.

102 HAACK AND ALEMI

 Appendix: Decision Analysis of Reimbursement Rates
The decision tree in Figure 1 illustrates what must be done consistently, and as a consequence, their probability of
to apply outcome-based reimbursement to SUD treatment. recovery is reduced. The analysis shows the average
In it, the cost of primary care intervention to the insurer is recovery rate among subjects. The expected cost of primary
shown as C1 ; this is the unknown variable to be estimated. care providers’ intervention is expressed in the following
The cost to the insurer for untreated SUD is shown as C2; a equation:
number of studies provide estimates for cost to insurers for Expected Cost =
untreated SUD. The probability that a patient’s SUD is d (s (r C1 + (1 - r) (C1 + C2)) + (1 - s) C2) + (1 - d) C2
detected is shown as “d”; this probability may be higher for
primary care offices than for self-referral to outpatient drug We can estimate the expected cost from the cost
counseling. The probability that a patient who has been of treatment by drug counselors. In the equation, all
diagnosed with a SUD will show up for treatment is “s.” values are known except the cost of the intervention to
This probability is “1” when the professional who detects the insurer (C1). By solving for C1, the rate for an average
the SUD also treats it. When the patient is referred to other treatment course is set. If the treatment takes an average
settings, this probability drops significantly (with the of four visits, then the cost per visit can be calculated.
exception of court-ordered referrals). The probability of a This analysis allows primary care providers to be more
day of recovery is shown as “r”; note that as patients have cost-effective if they detect illness sooner, treat the patient
more recovery days, this probability increases (F. Alemi, M. in fewer visits, offer more coordinated care, and provide
Haack, L. Weisman, unpublished data, 2001). more effective treatment. The approach proposed takes
Moving from left to right, the decision tree shows the advantage of these unique characteristics of primary care
chances of detection, of successful referral, and of success- interventions.
ful treatment. Some clients do not participate in treatment The cost for outpatient treatment for an early-stage
recovering patient by a drug counselor and by
Cost to Insurer the primary care provider is shown in Table 1.
Figure 1: Decision Tree for Cost of The decision tree analysis in Figure 1 would
Estimating Reimbursement Intervention Untreated peg the maximum cost of treatment by a
for Primary Care Provider Cost SUD primary care clinician at $1,983 per patient.
r Recovery If primary care providers can treat a patient
C1 0
within these costs, they will have the same
s Treatment
outcomes as drug abuse counselors do. From
Medicaid’s perspective, it does not matter
SUD Continued who treats the patient, as long as the same
detected drug use C1 C2
d outcomes are obtained at the same cost.
Under other assumptions regarding rates of
Patient lost C2
in referral detection and effectiveness, different maxi-
mum rates can be set.
SUD
undetected C2

Table 1: Hypothetical Data for Decision Tree

Probability of detection from general population Drug counselor 0.1

Primary care providers 0.65
Probability that the patient shows for treatment Drug counselor 0.3
Primary care providers 0.75
Probability of recovery after treatment Drug counselor 0.7
Primary care providers 0.5
Cost to Medicaid of continued drug use Drug counselor $4,000
Primary care providers $4,000
Cost of outpatient treatment Drug counselor $3,000
Primary care providers ?

MEDICAID REIMBUSEMENT FOR SUD 103

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EA, Barry KL. Benefit-cost analysis of brief physician advice with 13. Welch WP. HMO enrollment and Medicaid. Survival analysis
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2000;38(1):7-18. 14. Haack MR. Treating acute withdrawal from alcohol and other
3. Healthy People 2010. Washington, DC: US Department of drugs. Nurs Clin North Am. 1998;33(1):75-92.
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www.health.gov/healthypeople/. Behav Psychother. 1983;11:147-172.
4. Fox K, Merrill JC, Chang H, Califano JA Jr. Estimating the costs 16. Annis A. A cognitive-social learning approach to relapse: phar-
of substance abuse to the Medicaid hospital care program. Am macotherapy and relapse prevention counseling. J Alcohol Stud.
J Public Health. 1995;85(1):48-54. 1991;1(suppl):527-530.
5. Harwood H, Fountain D, Livermore G. The Economic Costs of 17. Marlatt GA, Gordon JR. Relapse Prevention. New York: Guilford
Alcohol and Drug Abuse in the United States, 1992. Washing- Press; 1985.
ton, DC: National Institute on Drug Abuse; 1998. NIH publica-
tion 98-4327. 18. Kumpfer KL, Olds D, Alexander JF, Zucker RA, Gary LE. Fam-
ily etiology of youth problems. In: Ashery R, Kumpfer KL, eds.
6. Frank RG, Huskamp HA, McGuire TG, Newhouse JP. Some Family-Focused Prevention of Drug Abuse: Research and In-
economics of mental health ‘carve-outs.’ Arch Gen Psychiatry. terventions. National Institute on Drug Abuse Research Mono-
1996;53(10):933-937. graph. Rockville, Md.: National Institute on Drug Abuse. In
7. Office of Applied Studies, Substance Abuse and Mental Health press.
Services Administration. 1998 Uniform Facility Data Set Sur- 19. Kumpfer KL, Molgaard V, Spoth R. The Strengthening Families
vey. Available at: www:http://dasis3.samhsa.gov/98ufds/ Program for prevention of delinquency and drug use in special
table_3_8.htm. populations. In: Peters R, McMahon RK, eds. Childhood Disor-
8. Gerstein DR, Harwood HJ, eds. Treating Drug Problems: A Study ders, Substance Abuse, and Delinquency: Prevention and Early
of the Evolution, Effectiveness, and Financing of Public and Intervention Approaches. Newbury Park, Calif.: Sage Publica-
Private Drug Treatment Systems. Vol 1. Washington, DC: Na- tions; 1996.
tional Academy Press; 1990. 20. Hsiao WC, Braun P, Dunn DL, Becker ER, Yntema D, Verrilli
9. Hanson KW. Public opinion and the mental health parity de- DK, Stamenovic E, Chen SP. An overview of the development
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1888;49(8):1059-1066. foundation for reform of US physician payment. Med Care.
10. Mental Health and Substance Abuse Parity in the Federal Em- 1992;30(11, suppl):NS1-12.
ployee Health Benefits Program. Washington, DC: Office of Per- 21. Conviser R, Gamliel S, Honberg L. Health-based payment for
sonnel Management; June 7, 1999. Available at: http:// HIV/AIDS in Medicaid managed care programs. Health Care
www.opm.gov/insure/health/parity/index.htm. Financ Rev. 1998;19(3):63-82.
11. Mark TL, Coffey RM, King E, Harwood H, McKusick D,
Genuardi J, Dilonardo J, Buck JA. Spending on mental health
and substance abuse treatment, 1987–1997. Health Aff
(Millwood). 2000;19(4):108-120.

104 HAACK AND ALEMI

 CHAPTER 5

Substance Abuse in Older Adults:

Review and Recommendations for Education
and Practice in Medical Settings
KRISTEN LAWTON BARRY, PHD
FREDERIC C. BLOW, PHD
DAVID W. OSLIN, MD

Introduction
As a growing number of people reach later life, the promotion of healthy lifestyles and primary
disease prevention among older adults is a critical issue. The occurrence of a number of acute
and chronic diseases in late life leads to the high utilization of health care among the elderly.1-4
Many of these acute and chronic medical and psychiatric diseases are influenced by lifestyle
choices and behaviors such as the consumption of alcohol. Because of the increased incidence
of health care problems, elderly adults are more likely to seek health care on a regular or semi-
regular basis than are younger adults.1-4 In addition, older adults are more vulnerable to the
effects of alcohol than are younger people, and, with their increased risk of comorbid diseases
and their use of prescription and over-the-counter medications, may seek health care for a
variety of conditions that are not immediately associated with increased alcohol consumption.
This is why systematic alcohol screening and intervention methods are particularly important
components of high-quality health care for older adults. Older adults with alcohol problems are
a special and vulnerable population who require elder-specific screening and intervention
procedures focused on the unique issues associated with drinking in later life. As a group, this
generation of adults (age 65 and over) is less likely than younger cohorts to abuse illicit drugs.
Drinking problems are by far the largest class of substance abuse problems seen in older adults
today and are the primary focus of this paper. However, as the “baby boom” generation reaches
later life, clinicians may see a greater use of illicit drugs in their older patients.
Heavy alcohol use is associated with a number of adverse health effects in this population.
These include greater risk for harmful drug interactions, injury, depression, memory problems,
liver disease, cardiovascular disease, cognitive changes, and sleep problems.5-8 Screening and
interventions that focus on lifestyle factors, including the use of alcohol, may be the most appropri-
ate way to maximize health outcomes and minimize health care costs among older adults.9

Core Values and Paradigms disorder treatment field and our culture, in general, have
developed in terms of dealing with substances and their
A number of theoretical models have been applied to SUD associated problems. All of the models described are used
(SUD). This chapter addresses the five most widely used to varying degrees in a variety of treatment venues.
models: (1) the moral model, (2) the family interaction
model, (3) the disease or medical model, (4) the social The moral model states that SUD result from a moral
learning model, and (5) the self-medication model.10 Most weakness or lack of willpower.11 The individual with a
of these models have not been applied directly to older substance use disorder is viewed as someone with a weak
adults with SUD, but each has played a role in how health character. This model can include an impaired submodel:
care providers and others view and address at-risk use, “Alcoholics can’t change.” Many older adults in the United
problem use, and substance dependence in older adults. States were raised with this cultural paradigm. Because the
The models do not represent specific theories about current U.S. elderly population experienced numerous
alcoholism but general trends in thinking and attitudes. social and historical changes in alcohol availability and
The models provide a glimpse into how the substance use acceptability of drinking during the 20th century, such as

105
the Prohibition era, many older individuals with drinking influences.15 It is a product of external forces (e.g., poverty,
problems suffer great shame and guilt. Therefore, it is family dysfunction). This model does not place blame on
critical that nonjudgmental language and a sensitive the person who has problems related to substance abuse.
approach be used when addressing alcohol problems with Interventions and treatments are designed to improve
elderly individuals.12 social functioning by altering the social environment or
The family interaction model is focused primarily on coping responses. Treatment focuses on changing behavior
the family’s interactions rather than on the behavior of the and cognition to allow the old habits to be controlled
person with the alcohol problem. In the extreme, the through new learning. This model has been demonstrated
family is thought to select the member who has a sub- to be effective in reducing drinking among older at-risk and
stance use disorder for his/her role and to keep that person problem drinkers receiving health care in a primary care
drinking through a complex series of interpersonal transac- setting. Brief alcohol interventions are often used (based on
tions.13 A positive outcome of this model is that it focuses cognitive behavioral therapy [CBT] and motivational
on the effect of SUD on families. Family-oriented models interviewing).12
have been used extensively in the mental health treatment The self-medication model states that SUD are either
community. This paradigm applies to older adults in two symptoms of another primary psychiatric disorder or coping
important ways. Family members in contact with the older mechanisms.16 Individuals with SUD use chemicals to
relative may also have a substance use disorder, which alleviate painful symptoms or to fill a void in functioning.
makes recognition and treatment of the older person’s This paradigm can be most easily applied to older adults
drinking problem difficult. In addition, family members who begin a pattern of at-risk drinking later in life. Older
may know that their older relative has a drinking problem adults with this late-onset pattern often begin drinking or
but may believe they should not interfere because the older misusing medications after major life events (e.g., retire-
adult “has no other pleasures left in life.” Stereotypical ment, a move to new surroundings, physical health losses,
views of drinking in older adulthood can impede help- loss of spouse, or loss of close friends).
seeking behavior with health care providers. The biopsychosocial model incorporates essential
The disease or medical model follows the tenet that features and expands the parameters of the five models in a
alcohol dependence is a disease. Genetic and other manner that may be particularly useful for those working
biological factors are considered important in this model.14 with older adults. Integrating the traditional medical model
An underlying assumption of this paradigm is that the with psychosocial approaches, especially the social learning
disease is chronic and always present; therefore, the goal of and self-medication models, is salient in this age group
treatment is complete abstinence. This model assumes that because of the array of physical and mental health concerns
there is a fundamental change in brain functioning that common among older adults with at-risk or problem
leads to increased consumption of alcohol or another substance use. This integration of theoretical models can
substance. Simplistically, this represents either an up- provide a background and a basis for thinking about
regulation of craving or a disinhibition of normal controls training the myriad professionals who work with older
or limits on drinking. Without abstinence, the disease is adults in health care settings. The next section of this
regarded as progressive and often fatal. Treatment focuses chapter addresses the number of clinical work settings in
on substance abuse as the primary problem, rather than on which older adults are seen and the potential audience for
a lack of willpower, lack of self-control, or mental health state-of-the-art training to most effectively treat substance
disorder. Newer innovations in treatment focus on pharma- abuse problems in this population.
cological treatments to lessen craving or disinhibition. This
remains one of the dominant models among specialized
substance abuse treatment programs and, as such, is often Work Settings
applied to older adults in substance abuse treatment. The To understand the impact of training regarding problems
model works well with some older adults who have SUD. related to substance use in older adults, one must first
However, older adults present a complex picture to address the potential number of health care professionals in
treatment providers, and they often have negative health or different fields who can benefit from that training. The
social consequences related to low levels of alcohol American Medical Association (AMA)17 reports the
consumption and low craving states that would not be following numbers of physicians and residents in specialties
consistent with the disease model. Important consideration appropriate for further training in substance abuse screen-
should be given to additional nonjudgmental, ing and intervention with geriatric populations. There were
nonconfrontational approaches in any treatment plan with 97,707 internal medicine physicians (of which geriatrics is
this population. a subspecialty) and 20,685 internal medicine residents
The social learning model states that problems with practicing in the U.S. Family practice physicians numbered
alcohol use are the result of learning maladaptive habits 68,663, with 9,472 family practice residents. There were
through environmental, cultural, social, peer, and family 39,056 psychiatrists and 4,407 psychiatry residents

106 B A R R Y, B L O W, A N D O S L I N
practicing. The American Medical Student Association has an active membership of more than 6,000 health care
reported that there are 170 medical schools across the professionals. Current membership comprises primarily
country, with an average incoming class size of approxi- geriatrics health care professionals, including physicians,
mately 200 students each year (B. Escobar, personal nurses, researchers, medical educators, pharmacists,
communication, May 2000). physician assistants, social workers, physical therapists,
According to the Bureau of Labor Statistics (BLS),18 health care administrators, and others. Historically, the
2,218 million registered nurses (RNs) were employed in Society’s membership has been predominantly physicians.23
1999. A recent survey by the American Association of Each of these organizations and training institutions
Colleges of Nursing19 reported that there were 111,186 can play a critical role in preparing clinicians to deal with
students enrolled in bachelor’s-degree nursing programs in substance abuse issues in the older adult population. As the
the fall of 1999. Included in this total were 75,909 entry- U.S. demographic composition shifts to include larger
level students and 35,277 registered nurses (with two-year numbers of older adults, the need for a sound knowledge
associate degrees or hospital diplomas) who returned to and skill base in this area will become even more impera-
school to obtain a bachelor’s degree in nursing in “RN-to- tive. We are at a critical juncture in which clinicians will
baccalaureate” programs. In master’s degree programs, need new techniques and skills to work with a growing at-
nursing schools graduated 10,342 students between August risk population of older adults—those with problems
1998 and July 1999. Enrollment in doctoral programs that related to their substance abuse.
prepare nurse researchers and nurse faculty totaled 2,879
students at responding schools in the fall of 1999.
The American Academy of Physician Assistants
Historical Profile of Work in Substance Abuse
(AAPA)20 estimates 41,421 individuals were eligible to and Educating Health Professionals about
practice as physician assistants (PAs) as of March 1, 1999. SUD in Older Adults
The AAPA Physician Assistant Census (2000) reported that
52% of respondents reported their primary specialty in one Scope of the Problem
of the primary care fields: family/general practice medicine Despite significant advances over the past two decades in
(38%), general internal medicine (9%), general pediatrics the understanding of the aging process with its attendant
(3%), or obstetrics/gynecology (2%). Other prevalent areas health problems and of alcohol problems and alcoholism,
of practice for PAs include general surgery/surgical little attention has been paid to the intersection of the fields
subspecialties (20%), emergency medicine (10%), and the of gerontology/geriatrics and alcohol studies. In recent
subspecialties of internal medicine (7%). There are 120 years, however, there has been an increased interest in
accredited PA programs nationwide; these programs alcohol problems among the elderly. Although studies in
produced approximately 4,000 new graduates in 1999.20 this area are limited, prevalence estimates and typical
The BLS18 reported 813,000 social workers employed characteristics of older problem drinkers now are being
during 1999. The Council on Social Work Education21 reported.24- 27 Specific treatment and intervention strategies
reported the following statistics for 1998 social work for older adults who are alcohol-dependent28 or hazardous
student enrollments: 35,816 full-time/6,627 part-time drinkers12 are beginning to be disseminated.
students in bachelor’s of social work (B.S.W.) programs;
Prevalence estimates of problem drinking in older
12,409 full-time/11,350 part-time students in master’s of
adults using community surveys have ranged from 1% to
social work (M.S.W.) programs; 1,127 full-time/975 part-
15%.24,27,29,30 These rates vary widely, depending on the
time students in doctoral social work (Ph.D.) programs.
definitions of “at-risk,” “problem drinking,” or “alcohol
The American Psychological Association (Research Depart-
abuse/dependence” and on the methodology used in
ment, oral communication, May 2000) estimates there are
obtaining samples. Among clinical populations, however,
65,000 to 75,000 licensed psychologists practicing
estimates of alcohol abuse/dependence are substantially
nationwide and approximately 13,000 master’s-level and
higher because problem drinkers of all ages are more likely
4,000 doctorate-level psychologists graduate each year.
to present in health care settings.31, 32
In 1999, 206,002 pharmacists were licensed to
Despite the high prevalence of alcohol problems, most
practice nationwide.22 The American Association of
elderly patients with alcohol problems go unidentified by
Colleges of Pharmacy22 reports that in the fall of 1998, a
health care personnel. Signs and symptoms of potential
total of 33,090 men and women were enrolled in the
problems related to alcohol abuse in older adults are shown
nation’s schools and colleges of pharmacy in pursuit of their
in Table 1. Many of these signs and symptoms can be
initial professional pharmacy degree (12,248 in BS programs
applied to other age groups but, because of the predomi-
and 20,842 in doctor of pharmacy [Pharm.D.] programs).
nant lack of recognition in health care settings, they are
The American Geriatrics Society (AGS) is the profes- delineated here with a focus on older adults. Moreover,
sional organization of health care providers dedicated to few elderly patients with alcohol problems seek help in
improving the health and well-being of all older adults. It specialized addiction treatment settings. Given the high

S U D I N O L D E R A D U LT S 107
Table 1: Signs and Symptoms of Potential Alcohol older adults are generally lower than those set for adults
Problems in Older Adults under age 65.
The National Institute on Alcohol Abuse and Alcohol-
Anxiety Increased tolerance to alcohol ism (NIAAA) and the Center for Substance Abuse
Blackouts, dizziness Legal difficulties Treatment’s (CSAT’s) Treatment Improvement Protocol
Depression Memory loss (TIP) on older adults34 recommend that persons age 65 and
older consume no more than one standard drink per day or
Disorientation New difficulties in decision making seven standard drinks per week.26,35
Excessive mood swings Poor hygiene The drinking limit recommendations for older adults
Falls, bruises, burns Poor nutrition are consistent with data regarding the relationship between
Family problems Seizures, idiopathic consumption and alcohol-related problems in this age
group.36,37 Recommendations are also consistent with the
Financial problems Sleep problems
current evidence on the beneficial health effects of
Headaches Social isolation drinking.37-39
Incontinence Unusual response to medications
Adapted from Fleming and Barry, 1992.136
Classification of Alcohol Use Patterns and Problems in
Older Adults
utilization of general medical services by the elderly, Two classic methods are used to understand alcohol
physicians and other health care professionals can be problems in older adults–the medical diagnostic approach
crucial in identifying those in need of treatment and in and the spectrum-of-use approach. Both approaches use
providing appropriate interventions.33 criteria that may not always apply to older adults and can
lead to underidentification of alcohol use problems in this
Most research conducted on substance abuse in older population.40
adults has focused on alcohol abuse. The rates of illegal
drug abuse in the current elderly cohort are poorly Medical Diagnostic Approach
documented but are thought to be very low.34 While Clinicians often rely on the medical diagnostic approach
nicotine dependence is common among older adults and using criteria published in the American Psychiatric
interventions at reducing smoking have tremendous Association’s Diagnostic and Statistical Manual of Mental
benefits, issues related to the consequences, identification, Disorders, Fourth Edition (DSM-IV), for classifying alcohol-
and treatment of smoking are not unique to older adults related problems in both younger and older adults. DSM-IV
and are not be a focus of this report. Prescription drug criteria are widely used and distinguish between abuse and
misuse is a broad issue with multiple determinants, causes, dependence.41 These criteria may not apply to older adults
and consequences. With the exception of psychoactive with substance abuse problems, because older individuals
drugs, most misuse can be addressed without formal often do not experience the legal, social, or psychological
treatment. Alcohol/medication interactions remain a consequences specified in the criteria. For example, “a
significant concern.34 failure to fulfill major role obligations at work, home, or
school” may be less applicable to a retired person than to a
Drinking Guidelines younger person who is working full-time and raising a
Older adults pose special concerns in developing alcohol family.34 A lack of tolerance to alcohol may not indicate
consumption guidelines. Compared with younger people, that an older adult does not have problems related to
older adults have an increased sensitivity to alcohol as well alcohol use. Moreover, DSM-IV criteria for tolerance are
as to OTC and prescription medications. There is an age- mostly based on increased consumption over time and
related decrease in lean body mass versus total volume of ignore the changes of aging that would account for
fat, and the resultant decrease in total body volume physiologic tolerance in the setting of decreased alcohol
increases the total distribution of alcohol and other mood- consumption. An important aspect of the DSM criteria
altering chemicals in the body. Liver enzymes that metabo- relates to the physical and emotional consequences of
lize alcohol and certain other drugs become less efficient alcohol use. This criterion may be especially important in
with age, and central nervous system sensitivity increases identifying alcohol problems in older adults if the associa-
with age. Of particular concern in this age group is the tion between alcohol use and the physical or mental health
potential interaction of medication with alcohol. For some problem is made. Table 2 summarizes some of the problems
patients, any alcohol use, coupled with the use of specific associated with applying DSM-IV criteria to older adults.
OTC or prescription medications, can be problematic. Spectrum-of-Use Approach
Because of the age-related changes in how alcohol is
The following definitions and examples are provided to
metabolized and the potential interactions between
help the reader understand this approach. The spectrum-of-
medications and alcohol, alcohol use recommendations for
use categories are derived from the clinical and research

108 B A R R Y, B L O W, A N D O S L I N
Table 2: DSM-IV Diagnostic Criteria for Substance Dependence and Special Issues of Aging41
The DSM-IV defines the diagnostic criteria for substance dependence as a maladaptive pattern of substance use, leading to clinically
significant impairment or distress, as manifested by three or more of the following occurring at any time in the same 12-month
period. The following considerations should be borne in mind when applying DSM-IV criteria to older adults.

Criterion Special Considerations for Older Adults

Tolerance May have problems with low intake because of increased

sensitivity to alcohol with aging.
Withdrawal Symptoms may be more subtle and more protracted. Many late-
onset alcoholics do not develop physiological dependence.
Taking larger amounts over a longer period than was intended Increased cognitive impairment can interfere with self-monitoring;
drinking can exacerbate cognitive impairment.
Unsuccessful efforts to cut down or control use No special considerations; same issues across life span.
Spending much time to obtain or use drugs or Negative effects can occur with relatively low use.
recover from their effects
Giving up activities because of use May engage in fewer activities, making detection of problems
more difficult.
Continuing use despite physical or psychological problems May not know that problems are related to use.
caused by use

expertise of professionals in the field. Definitions for older Use that increases the chances that an individual will
adults regarding low risk, at-risk, and problem use focus develop problems and complications is at-risk use. Persons
primarily, but not exclusively, on alcohol.42 over 65 who drink more than seven drinks per week (one
per day) are in the at-risk use category. Although they may
Abstinence refers to drinking no alcohol in the previous not currently have a health, social, or emotional problem
year. Approximately 60% to 70% of older adults are caused by alcohol, they may experience family and social
abstinent. If an older patient is abstinent, it is useful to problems and, if this drinking pattern continues over time,
ascertain why he or she does not use alcohol. Some health problems could be exacerbated. Brief interventions
individuals are abstinent because of a previous problem are useful for older adults in this group as a prevention
with alcohol. Some are abstinent because of recent illness, measure.
while others have life-long patterns of low-risk use or
abstinence. Patients who are currently abstinent but who Older adults engaging in problem use are drinking at a
have a history of alcohol problems may require preventive level that has already resulted in adverse medical, psycho-
monitoring to determine if any new stressors could logical, or social consequences. Potential consequences
exacerbate an old pattern. include injuries, medication interaction problems, and
family problems, among others. It is important to reiterate
Low-risk use is alcohol use that does not lead to problems. that some older adults who drink even small amounts of
Older adults in this category drink within recommended alcohol can experience alcohol-related problems. Quantity
drinking guidelines (no more than one drink per day or and frequency of alcohol use may not be the first determi-
seven drinks per week, and never more than two drinks on nants of the usefulness of intervening. The presence of
any one day); are able to employ reasonable limits on consequences also drives the need for intervening.
alcohol consumption; and do not drink when driving a
motor vehicle or boat or when using contraindicated Alcohol or drug dependence refers to a medical disorder
medications. Low-risk use of medications would include characterized by loss of control, preoccupation with alcohol
using them following the physician’s prescription. However, or drugs, continued use despite adverse consequences, and
the provider should perform a careful check of the number physiological symptoms such as tolerance and with-
and types of medications, because medication interactions drawal.41 Formal specialized treatment is generally used
and reactions are not uncommon in older adults. These with persons who meet criteria for alcohol abuse or
individuals can benefit from preventive messages but may dependence and who cannot discontinue drinking with a
not need interventions.42 brief intervention. Pretreatment strategies are also appropri-
ate for individuals with the highest problem severity. Brief

S U D I N O L D E R A D U LT S 109
interventions may be found in CSAT’s TIP on Brief Inter- third of older problem drinkers were in this category,7 some
ventions and Brief Therapies. These may be used as a newer research is beginning to place the rate at 10% or less.28
pretreatment strategy to assist individuals on waiting lists
Comorbid Medical and Psychiatric Conditions
for formalized treatment programs, for some patients who
meet abuse or dependence criteria with no physical The medical and emotional consequences of heavy or
dependence or withdrawal, or as an adjunct to specialized excessive alcohol consumption are well chronicled in
treatment to assist with specific issues (e.g., completing mental health texts. However, there is emerging evidence
homework for treatment groups, attendance at work, of the medical risks of moderate alcohol use among older
adherence to the treatment plan).43 adults. Moderate alcohol consumption has been demon-
strated to increase the risk of strokes caused by bleeding,
Issues Unique to Older Adults although it decreases the risk of strokes caused by blocked
blood vessels.45 Moderate alcohol use has also been
Recent research has suggested that elderly individuals have
demonstrated to impair driving-related skills, even at low
unique drinking patterns and alcohol-related consequences,
levels of consumption, and it may lead to other injuries
social issues, and treatment needs.44 Because of this, early
such as falls.46 Of particular importance to the elderly is the
identification and secondary prevention of alcohol prob-
potential interaction between alcohol and both prescribed
lems in late life are likely to require elder-specific ap-
and OTC medications, especially psychoactive medications
proaches. Older adults present challenges in applying brief
such as benzodiazepines, barbiturates, and antidepressants.
intervention strategies for reducing alcohol consumption.
Alcohol is also known to interfere with the metabolism of
Because drinking guidelines are lower for older adults and
medications such as digoxin and warfarin.47-49 The risk of
because of historical and cultural factors that lead to
breast cancer has been shown to increase by approximately
feelings of disgrace, older adult problem drinkers find it
50% in women who consume three to nine drinks per
particularly difficult to identify their own risky drinking. In
week compared with women who drink fewer than three
addition, chronic medical conditions may make it more
drinks per week.50
difficult for clinicians to recognize the role of alcohol in
decreased functioning and quality of life. These issues Although the impact of excessive alcohol use on
present barriers to conducting effective brief interventions activities of daily living (ADLs) is not fully understood,
for this vulnerable population. several studies have demonstrated a relationship between
alcohol use and functional abilities, especially among older
There is a paucity of research on the treatment
subjects. In a recent study by Ensrud and colleagues,51 a
outcomes and on the unique needs of older adults who
former history of alcohol use had an odds ratio of 2.2:1 in
meet criteria for alcohol abuse/dependence. Because
predicting impairment in ADLs among older women.
traditional residential alcoholism treatment programs
Alcohol use was more strongly correlated with impairment
provide services to very few older individuals, sample sizes
than was smoking, age, use of anxiolytics, stroke, or lower
for treatment outcome studies have often been inadequate.
grip strength. In contrast to this finding, several authors
The development of elder-specific alcoholism treatment
have demonstrated that among older community-dwelling
programs in recent years may facilitate studies of this
persons, moderate alcohol use is associated with fewer
special population’s needs.44
falls, greater mobility and improved physical functioning
Lifetime Patterns of Drinking when compared with a group of non-drinkers.52-55 These
Clinical models of alcoholism and recovery were tradition- studies did not include many heavy drinkers or subjects
ally thought to follow a natural progression from early signs with alcohol abuse disorders. Together, these studies
and symptoms through end-stage disease. When patients suggest that alcohol consumption in older persons may
“hit bottom,” they either died or began the long road to exhibit a protective effect in moderate doses similar to the
recovery (“Jellinek curve”). protective effect on cardiovascular morbidity. On the other
hand, more excessive use has a detrimental effect.56
Most older individuals with alcohol problems do not fit
this model. The clinical course of SUD across the life span An important aspect to alcohol-related functional
is often marked by periods of abstinence or low-risk use. impairment is the reversibility of this impairment. Joseph
The patterns in consumption for persons with problematic and colleagues57 found that a recent history of alcohol
use include the following: early-onset problem drinking abuse predicted discharge from a Veterans Administration
marked by heavy use throughout most of adulthood; (VA) nursing home care unit. In a similar study of veteran
cyclical heavy drinking; and late-onset problem drinking. nursing home residents by Oslin and colleagues,58 the
Late-onset problem drinkers often begin drinking because prevalence of a history of alcohol abuse was 29%, with 9%
of stressors in later life (e.g., retirement, death of spouse, of the residents drinking within 1 year of admission. The
diminished physical capacity). Although original clinical most interesting finding from this study was the degree of
estimates of late-onset problems, which were based on improvement in performing ADLs among residents who had
treatment-seeking individuals, indicated that about one- recently or formerly been abusing alcohol. Improvements

110 B A R R Y, B L O W, A N D O S L I N
in ADLs have a tremendous impact upon caregiver burden, and colleagues63 found that a prior history of alcohol abuse
and this study suggests that alcohol abuse is a potentially predicted a more severe and chronic course for depression.
common source of reversible disability among institutional- The relationship between alcohol use and dementing
ized elderly men. Residents with a recent history of alcohol illnesses such as Alzheimer’s disease is complex. Alcohol-
abuse improved an average of 2.2 points (1.3 points in the related dementia may be difficult to differentiate from
formerly abusing group) in the degree of assistance Alzheimer’s disease. Determining whether alcohol use,
required for completing ADLs. This degree of improvement especially heavy use, influences Alzheimer’s disease
was demonstrated in a time period of nearly 18 months. requires autopsy studies that can establish neuropathologic
Among nursing home patients, this may translate into a diagnoses of Alzheimer’s disease. Although the rates of
decrease in staff time necessary to care for the patient. alcohol-related dementia in late life differ according to
Among patients at home or in other clinical settings, this diagnostic criteria used and the nature of the population
improvement may translate into a decrease in caregiver studied, there is a consensus that alcohol contributes
burden. Reduced disability may not only improve quality of significantly to the acquired cognitive deficits of late life.
life but also reduce the economic burden to the patient and Among subjects over the age of 55 evaluated in the
society for providing care to disabled older persons. The Epidemiological Catchment Area (ECA) study, the preva-
improvement in function among the residents who have lence of a lifetime history of alcohol abuse or dependence
recently been drinking may be secondary to improvement was 1.5 times greater among persons with mild to severe
associated with forced abstinence. However, the improve- cognitive impairment compared with those with no
ment in the formerly abusing group is less likely to be cognitive impairment.64 Rains and Ditzler65 showed that, of
related to abstinence. This improvement possibly demon- 383 patients presenting for assessment of dementia, 9%
strates prolonged benefits from a decrease in abusive consumed alcohol regularly. Similarly, there is a high rate of
drinking. dementia in alcohol-dependent or alcohol-abusing popula-
Epidemiologic studies have clearly demonstrated that tions. Finlayson and colleagues59 found that 49 of 216
comorbidity between alcohol use and other psychiatric (23%) elderly patients presenting for alcohol treatment had
symptoms is common in younger age groups. Less is dementia associated with alcoholism. In a study of older
known about comorbidity between alcohol use and veterans presenting for alcohol treatment, Blow and
psychiatric illness in later life. A few studies do indicate associates25 found 9% of the 60-69 age group (n = 3,986) and
that dual diagnosis with alcoholism is important among the 18.4% of those over 70 (n = 543) had comorbid dementia.
elderly. Among 216 elderly persons presenting for alcohol Sleep disorders and disturbances are another group of
treatment, Finlayson and associates59 found that 25% had comorbid disorders associated with excessive alcohol use.
an organic brain syndrome (dementia, delirium, amnestic Alcohol causes well-established changes in sleep patterns
syndrome), 12% had an affective disorder, and 3% had a such as decreased sleep latency, decreased stage IV sleep,
personality disorder. In a similar study, Blow and col- and precipitation or aggravation of sleep apnea.66 There are
leagues25 reviewed the diagnoses of 3,986 VA patients also age-associated changes in sleep patterns, including
(aged 60 to 69) presenting for alcohol treatment. The most increased REM episodes, a decrease in REM length, a
common comorbid psychiatric disorder was an affective decrease in stage III and IV sleep, and increased awaken-
disorder, found in 21% of the patients. Of these patients, ings. Age-associated changes in sleep can be worsened by
43% had major depression. Blazer and Williams60 studied alcohol use and depression. Moeller and colleagues67
997 community-dwelling older adults of whom only 4.5% demonstrated in younger subjects that alcohol and depres-
had a history of alcohol abuse. However, of these subjects sion had additive effects upon sleep disturbances when
almost half had a comorbid diagnosis of depression or occurring together. Furthermore, sleep disturbances
dysthymia. The Liverpool Longitudinal Study found a fivefold (especially insomnia) have been implicated as a potential
increase in psychiatric illness among elderly men who had etiologic factor in the development of late-life alcohol
a lifetime history of five or more years of heavy drinking. 61 problems or in precipitation of a relapse.68 This hypothesis
Comorbid depressive symptoms are not only common is supported by Wagman and colleagues,66 who demon-
in late life but are also an important factor in the course strated that abstinent alcoholics did not sleep well because
and prognosis of psychiatric disorders. Depressed alcoholics of insomnia, frequent awakenings, and REM fragmentation.
have been shown to have a more complicated clinical When these subjects ingested alcohol, however, sleep
course of depression with an increased risk of suicide and periodicity normalized and REM sleep was temporarily
more social dysfunction than nondepressed alcoholics.62,63 suppressed, suggesting that alcohol could be used to self-
Moreover, the former were shown to seek treatment more medicate for sleep disturbances. Patients commonly report
often. Relapse rates for those who were alcohol-dependent, that they drink alcohol to help with sleep problems. Sleep
however, did not appear to be influenced by the presence quality and sleep disorders have not been fully examined as
of depression. Alcohol use prior to late life has also been factors associated with initiating or maintaining alcohol use
shown to influence treatment of late-life depression. Cook in later life.

S U D I N O L D E R A D U LT S 111
Health Benefits of Alcohol Use spectrum of prevention, intervention, and specialized
There remains conflicting evidence regarding the positive treatment options needs to be available for this increasingly
and negative aspects of alcohol consumption. Confounding complex population.
the need to target levels of alcohol use that are often
considered moderate but above guidelines (i.e., no more
than one drink per day) is the potential benefit of moderate Critical Issues, Obstacles, and Challenges
alcohol consumption, especially with regard to cardiovascu-
lar disease.56, 69 Alcohol in moderate amounts may improve
Screening and Detection of Alcohol Problems in
self-esteem or provide relaxation. Alcohol is often con- Older Adults
sumed socially and may help to reduce stress, at least To practice prevention and early intervention with older
temporarily.70 A recent study of moderate and heavy adults, clinicians need to screen for alcohol use (frequency
drinking among older adults found that the greater number and quantity), drinking consequences, and alcohol/
of drinks consumed per day, the poorer the psychosocial medication interaction problems. Screening can be done as
functioning reported by the subject.71 The frequency of part of routine mental and physical health care and
drinking was not related to psychosocial well-being, updated annually, before the older adult begins taking any
suggesting that binge drinking was a more significant factor. new medications, or in response to problems that may be
There is growing evidence that, among otherwise healthy alcohol- or medication-related. Clinicians can obtain more
adults, especially middle-aged adults, moderate alcohol use accurate histories by asking questions about the recent
may reduce cardiovascular disease, may reduce the risk of past; embedding the alcohol-use questions in the context of
some dementing illnesses, and may have benefits in other health behaviors (e.g., exercise, weight, smoking);
reducing cancer risk.72-79 Little research in these areas, and paying attention to nonverbal cues that suggest the
however, has been conducted with older adults. patient is minimizing use (e.g., blushing, turning away,
fidgeting, looking at the floor, changing his or her breathing
With the mixed results regarding the detrimental
pattern). The “brown bag approach,” where the clinician
effects and potential benefits of alcohol use, clinicians may
asks the patient to bring all of his or her medications, OTC
be uncertain whether they should recommend no change
preparations, and herbal medications in a brown paper bag
in consumption or a reduction in consumption for older
to the next appointment, is often recommended. This
adults who do not meet criteria for abuse or dependence.
provides an opportunity for the provider to determine what
This confusion regarding the best course of action can lead
the patient is taking and how these medications, herbal
to recognition of at-risk drinking levels without providing
products, and other substances may interact with each
any recommendations regarding use. Conigliaro and
other and with alcohol.
colleagues80 surveyed patients in all age groups identified as
“problem drinkers” who recently had a primary care visit. Screening may be done by verbal interview, by paper-
The majority of the patients remembered having a discus- and-pencil questionnaire, or by computerized question-
sion with their doctor about drinking, but only half naire. All three methods have equivalent reliability and
remembered being advised to reduce consumption. For validity.82,83 Any positive responses can lead to further
older adults, who are more susceptible to both the physi- questions about consequences. To successfully incorporate
ological and the psychosocial effects of substance abuse, alcohol and other drug screening into clinical practice with
erring on the side of caution with nonconfrontational older adults, it should be simple and consistent with other
messages and follow-up is generally the most practical and screening procedures already in place.42
effective approach. Before asking any screening questions, the following
conditions are needed: (1) the interviewer needs to be
Significance
empathetic and nonthreatening; (2) the purpose of the
One of the priority goals of Healthy People 2010 guide-
questions should be clearly related to the patient’s health
lines81 is to increase to at least 75% the proportion of
status; (3) the patient should be alcohol-free at the time of
primary care providers who screen for SUD and provide
the screening; (4) the information provided by the patient
counseling and referral as necessary. Specialty care provid-
must be kept confidential; and (5) the questions need to be
ers have the same need to understand issues of SUD in
easy to understand. In some settings (e.g., waiting rooms),
older adults. They need to know how to screen, intervene,
screening instruments are given as self-report question-
and refer in their particular settings. One of the challenges
naires, with instructions for patients to discuss the meaning
is meeting this goal within the context of a managed care
of the results with their health care providers.
environment, where providers are expected to deliver
quality medical care for a wide variety of health problems The following interview guidelines can be used. For
within greater time constraints. As managed health care patients requiring emergency treatment and for those who
gains prominence, short, effective techniques to address are temporarily impaired, it is best to wait until their
substance use issues in a growing population of older adults condition has stabilized and they have become accustomed
become imperative. Furthermore, a comprehensive to the setting where the interview will take place. Signs of

112 B A R R Y, B L O W, A N D O S L I N
alcohol or drug intoxication should be noted. Patients who but are sometimes embedded along with CAGE-like items
have alcohol on their breath or appear intoxicated give about exercise, smoking, and weight.86 Like most of the
unreliable responses; in such a case, consideration should screening instruments reviewed, the sensitivity and
be given to conducting the interview at a later time. If this specificity of the CAGE vary from 60% to 95% and 40% to
is not possible, findings and conditions of the interview 95%, respectively.87,88
should be noted in the medical record. If the alcohol The CAGE has not been well validated with at-risk
questions are embedded in a longer health interview, a drinkers, women, older adults, and non-Caucasian ethnic
transitional statement is needed to move into the alcohol- groups. Older adults may not screen positive on the CAGE
related questions. The best way to introduce alcohol while still having problems with alcohol use. For example,
questions is to give the patient a general idea of the content they may not report they have been annoyed by others
of the questions, their purpose, and the need for accurate who spoke to them about their drinking because their
answers.84 This statement should be followed by a descrip- family may not know and they may not have close contact
tion of the types of alcoholic beverages typically consumed. with friends. In addition, very few older adults need an
If necessary, clinicians may include a description of “eye-opener” upon rising in the morning. They may
beverages that may not be considered alcoholic (e.g., cider, consume alcohol at a level they used when younger and
low-alcohol beer). Determinations of consumption are not believe they need to cut down. On the other hand,
based on “standard drinks.” A standard drink is 12 ounces older women may be likely to say they feel guilty about
of beer, 4 ounces of wine, or 1 1⁄2 ounces (a shot) of liquor drinking, even when they use very little alcohol. Follow-up
(e.g., vodka, gin, whiskey). questions are always needed for positive screens on these
Screening for alcohol-related problems is not always questions to determine what prompted each positive
standardized, and not all standardized instruments have response.
good reliability and validity with older adults. The follow- The Alcohol Use Disorders Identification Test is well
ing section covers four widely used screening instruments. validated in adults under 65 in primary care settings89-91 and
In addition to quantity and frequency questions to ascertain has had initial validation in a study of older adults.28 The
use, the Michigan Alcoholism Screening Test-Geriatric AUDIT comprises two sections: a 10-item scale with
Version (MAST-G) and the shortened version (the SMAST- alcohol-related information for the previous year only, and a
G), the CAGE, and the Alcohol Use Disorders Identification clinical screening procedure that includes a trauma history
Test (AUDIT) are often used with older adults. The MAST- and a clinical examination. The questionnaire is introduced
G and SMAST-G were developed specifically for older by a section explaining to the respondent that questions
adults. about alcohol use in the previous year only are included.
The Michigan Alcoholism Screening Instrument— The questionnaire is often used as a screen without the
Geriatric Version was developed at the University of clinical examination. The recommended cut-off score for
Michigan as an elderly alcoholism screening instrument for the AUDIT has been 8, but Blow and colleagues28 found a
use with the elderly in a variety of settings.26 Psychometric Cronbach’s alpha reliability of 0.95, sensitivity of 0.83, and
properties of this instrument are superior to those of other a specificity of 0.91 in a sample of older adults with a cut-
screening tests for the identification of elderly persons with off score of 7.
alcohol abuse/dependence. The MAST-G was the first
major elder-specific alcoholism screening measure to be Broad-Based Assessment of Substance Use Problems
developed with items unique to older problem drinkers. It Clinicians can follow up the brief questions about con-
is a 24-item scale with a sensitivity of 94.9%, specificity of sumption and consequences, such as those in the MAST-G,
77.8%, positive predictive value of 89.4%, and negative AUDIT, and CAGE, with a few more in-depth questions
predictive value of 88.6%. Similar values were found after about consequences, health risks, and social and family
excluding those subjects who did not currently drink. The issues. In addition, information obtained in the “brown bag
Short Michigan Alcoholism Screening Test-Geriatric approach” regarding medication and herbal use can assist
Version is a validated shortened form of the MAST-G that in making any diagnoses and brief intervention or treat-
contains 10 items.28 ment plans.
The CAGE questionnaire is the most widely used To assess dependence, questions should be asked
alcohol screening test in clinical practice.85 It contains four about alcohol- or drug-related problems, a history of failed
items regarding alcohol use: felt they should Cut down, felt attempts to stop or cut back, and withdrawal symptoms
Annoyed that people criticized their drinking, felt Guilty such as tremors. Clinicians should refer any patient thought
about their drinking, and had a drink upon awakening in to be dependent for a diagnostic evaluation and possible
the morning to get rid of a hangover (an “Eye-opener”). In specialized alcohol treatment, with an emphasis on
the primary care setting, one positive response is consid- treatment targeted to older adults. Medication assessments
ered a positive screen and indicates that further assessment include questions about prescriptions, particularly antide-
may be warranted. CAGE alcohol items can be asked alone pressants, benzodiazepines, and codeine, as well as about

S U D I N O L D E R A D U LT S 113
OTC medications and herbal remedies. If there is evidence strategies for treating problem drinkers, especially those
of prescription drug problems, the patient should be with mild-to-moderate alcohol problems who are at risk for
referred to a specialist for a diagnostic assessment and developing more severe problems.32,96,97
possible specialized treatment. Brief intervention studies have been conducted in a
For older adults with positive screens, assessments are wide range of health care settings, ranging from hospitals
needed to confirm the problem, characterize its dimen- and primary health care locations12,96,98-100 to mental health
sions, and develop individualized treatment plans. For clinics.101 Individuals recruited from such settings are likely
purposes of insurance or other funding resources, the to have some contact with a health care professional over
assessment should follow criteria in the DSM-IV42 or other the course of study participation and therefore have
relevant criteria, with the recognition that these criteria potential alcohol-related professional assistance available.
may not apply directly to planning older adults’ treatment. Nonetheless, many or most of these patients would not be
The unqualified application of such criteria is problematic identified as having an “alcohol problem” by their health
in older adult populations because the symptoms of other care provider and therefore would not ordinarily receive
medical diseases and psychiatric disorders overlap to a any alcohol-specific intervention. Finally, even if identified
considerable extent with substance use-related disorders and referred, heavy drinkers are least likely to seek formal
(see Table 2). alcoholism treatment.32 A major drawback of many brief
intervention studies, regardless of patients’ ages, is the lack
Substance Abuse Assessment Instruments of generalizability to minority populations because of the
Validated substance abuse assessment instruments can be underrepresentation of minorities in these trials.
of great help to clinicians, because they provide a struc- A number of large, randomized, controlled trials of
tured approach to the assessment process as well as a brief alcohol interventions with younger adults have found
checklist of items that should be evaluated with each older significant differences between treatment and control
adult receiving a substance abuse assessment. Specialized conditions (i.e., time by condition effects). The largest of
assessments are generally conducted by substance abuse the primary care trials was the Trial for Early Alcohol
treatment program personnel or trained mental and Treatment (Project TrEAT), the first randomized clinical
physical health care providers. Structured assessment trial in the United States to test the effectiveness of brief
interviews “possess (at least potentially) the desired physician advice with problem drinkers between the ages
qualities of quantifiability, reliability, validity, standardiza- of 18 and 64 in community-based primary care settings.99
tion, and recordability.”92 The study was conducted in 17 community-based primary
Despite problems with criteria used to assess older adults care practices in 10 counties in southern Wisconsin. The
for SUD, two structured assessment instruments are 64 physicians participating in this trial were family physi-
recommended:34 the Structured Clinical Interview for cians and internists. Patients were asked to complete a 5-
DSM-III-R (SCID)93 and the Diagnostic Interview Schedule minute screening questionnaire, the Health Screening
(DIS) for DSM-IV. The SCID is a multimodule assessment Survey (HSS). The HSS, validated in two treatment samples
that covers disorders of substance use, psychosis, mood, and one primary care sample,86 was based on a scale
anxiety, somatoform, eating, adjustment, and personality. It developed by Wallace and colleagues100 for a large clinical
takes a trained clinician approximately 30 minutes to trial in England. Out of 17,695 patients screened with the
administer the 35 SCID questions that probe for alcohol HSS, 1,705 patients participated in a face-to-face assess-
abuse or dependence. The DIS was originally developed by ment; 482 males and 292 females reported drinking above
Robins and colleagues94 with DSM-III criteria and has been the limits set for the trial and were randomized into a
updated as DSM criteria have evolved. The DIS is a highly control (n = 382) or intervention (n = 392) group.
structured interview that does not require clinical judg- Subjects enrolled in Project TrEAT were followed for
ment and can be used by nonclinicians. The DIS assesses an initial 12-month follow-up phase, with longer-term
both current and past symptoms and is available in a follow-up projected to 60 months. Follow-up procedures
computerized version. It has been translated into a number included telephone interviews, yearly medical record
of languages, including Spanish and Chinese. audits, and reviews of legal records and cost data. Outcome
variables of interest included changes in alcohol use,
Brief Alcohol Interventions with Older Adults reductions in health care utilization, improvements in
Low-intensity, brief interventions have been suggested as health status, improved social functioning, and reductions
being cost-effective and practical techniques that can be in long-term health care costs. The follow-up rate at 12
used as an initial approach to at-risk and problem drinkers months was 92%. At the time of the 12-month follow-up,
in primary care settings.95 Over the last two decades, there there was a significant reduction in 7-day alcohol use,
has been an increasing interest in conducting controlled episodes of binge drinking, and frequency of excessive
clinical trials to evaluate the effectiveness of early identifi- drinking. The relative differences in alcohol use between
cation and secondary prevention using brief intervention the groups at 12 months were 17% in the male sample and

114 B A R R Y, B L O W, A N D O S L I N
34% in the female sample. A twofold significant decrease in adults using advice protocols in primary care settings.
inpatient hospital days was noted in the intervention group These studies showed that older adults can be engaged in
compared with the control group. brief intervention protocols, the protocols are acceptable in
Among other new studies in this area, brief alcohol this population, and there is a substantial reduction in
randomized intervention trials have mostly been extended drinking among the at-risk drinkers receiving the interven-
to emergency departments with injured patients84,102 and tions compared with a control group.
nursing personnel103 with positive results. There have also The first study, Project GOAL: Guiding Older Adult
been naturalistic studies of brief intervention educational Lifestyles,114 was a randomized, controlled clinical trial
strategies for training students and practitioners in medical conducted in Wisconsin with 24 community-based primary
settings.104,105 care practices (43 practitioners) in 10 counties. Of the
In general, the results of brief intervention studies do 6,073 patients screened for problem drinking, 105 males
support the recommendations of the expert committee and 53 females met inclusion criteria and were randomized
report32 and the NIAAA,106 which state that early identifica- into a control (n = 71) or intervention (n = 87) group. One
tion and screening and brief interventions are effective and hundred forty-six subjects participated in the 12-month
should be routine practice in primary and other health care follow-up procedures. The intervention consisted of two
settings to detect patients with hazardous or harmful 10- to 15-minute physician-delivered counseling visits that
patterns of alcohol use. Early identification and secondary included advice, education, and contracting using a
prevention of alcohol problems directed in straightforward, scripted workbook. No significant differences were found
nontechnical terms at an audience likely to be motivated to between groups at baseline on alcohol use, age, socioeco-
change could have broad positive public health implica- nomic status, smoking status, rates of depression or
tions. It appears that brief interventions with one or a few anxiety, frequency of conduct disorders, lifetime drug use,
sessions have the potential for reaching the largest number or health care utilization. At baseline, both groups con-
and broadest spectrum of individuals from diverse settings.99 sumed an average of 15 to 16 drinks per week. At 12-
month follow-up, the intervention group drank significantly
Effectiveness of Brief Alcohol Interventions with less than the control group (p < 0.001).
Older At-Risk Drinkers
The second study, the Health Profile Project, is larger
Until recently, little attention had been given to brief
and elder-specific. It is being finalized in primary care
intervention research in older adults. The spectrum of
settings in southeast Michigan.115 The elder-specific
alcohol interventions for older adults ranges from preven-
intervention contains both brief advice and discussion by a
tion and education for persons who are abstinent or low-
psychologist or a social worker, as used in the World Health
risk drinkers, to minimal advice or brief structured inter-
Organization (WHO) studies, and motivational interview-
ventions for at-risk or problem drinkers, to formal alcohol-
ing techniques, including feedback.111 A total of 452
ism treatment for drinkers who meet criteria for abuse or
subjects were randomized in this trial, with over 26% being
dependence.34 Formalized treatment is generally used with
African American. Follow-up rates of 92% were obtained at
persons who meet criteria for alcohol abuse or dependence
the 12-month follow-up. Blow and colleagues found
and cannot discontinue drinking with a brief intervention
preliminary results similar to those of Fleming’s group12 in
protocol. Nonetheless, preintervention strategies are also
terms of 7-day alcohol use and binge drinking at 12-month
appropriate for this high-problem population.
follow-up. These randomized, controlled clinical trials extend
Studies of brief interventions for alcohol problems the positive results of trials with younger at-risk drinkers to
have employed various approaches to change drinking even more vulnerable populations of older adults.
behaviors. Strategies have ranged from relatively unstruc-
tured counseling and feedback to more formal structured Brief Alcohol Intervention Goals
therapy,98,99,107,108 and have relied heavily on concepts and Drinking goals of the brief treatment intervention are
techniques from the behavioral self-control training (BSCT) flexible, allowing the individual, with guidance from the
literature.109-112 A number of brief alcohol intervention clinician, to choose drinking in moderation or abstinence.
studies have been conducted in primary care settings with The goal of brief counseling is to motivate problem drinkers
younger adults,98,99,107,108 with primarily positive results. to change their behaviors, not to label themselves. Studies
Both brief interventions and brief therapies have been of brief interventions have avoided labeling of individuals
shown to be effective in a range of clinical settings.43 Brief as “alcoholic” or “suffering from alcoholism.” Babor and
alcohol interventions have particular usefulness with older colleagues116 point out that the use of such terms may be
adults.34,99,113 inappropriate for at-risk drinkers.
To date, there have been two brief alcohol interven- Brief alcohol interventions can be conducted using
tion trials with older adults. Fleming and colleagues114 and guidelines and steps42 adapted from work by Wallace,
Blow and colleagues115 conducted randomized clinical brief Cutler, and Haines,100 Fleming and colleagues,99 and Blow
intervention trials to reduce hazardous drinking in older and associates.115 The brief alcohol intervention is designed

S U D I N O L D E R A D U LT S 115
for use in busy clinical settings. Auxiliary issues included in use (e.g., at-risk use, problem use, abuse or dependence)
the brief alcohol intervention for older adults vary, accord- provides both clinicians and researchers with flexible
ing to individual patient issues and the time available for guidelines for identifying individuals at risk for alcohol
the intervention. Brief alcohol screening and intervention problems who may not meet criteria for alcohol depen-
techniques can be particularly useful with older adults who dence.
are at-risk and problem drinkers.
Brief Alcohol Intervention Components with Older
Importance of Assessing Predictors of Change Adults
Several brief intervention studies have attempted to A brief semistructured intervention can be conducted after
identify factors or moderators that result in differential identification of at-risk or problem drinkers through
treatment response by varying patient characteristics or by screening techniques. The content of the intervention
conducting subgroup analyses. This may be of particular needs to be elder-specific and include the following steps:
importance with older adults, who present somewhat 1. Identification of future goals for health, activities,
different patterns of use and problems when compared hobbies, relationships, and financial stability.
with younger adults. One significant limitation of most
2. Customized feedback on screening questions related to
brief intervention studies has been that relatively minimal
drinking patterns and other health habits (may include
subject assessments have been conducted; nonetheless,
smoking, nutrition, tobacco use, etc.).
exploration of predictors of improvement has been
attempted in a limited fashion. Individual differences 3. Discussion of types of older drinkers in the population,
generally have not been shown to predict differential where the patient’s drinking pattern fits into popula-
response to brief interventions, suggesting that brief tion norms for his or her age group, and definitions of
interventions may be applicable to a wide range of indi- “standard” drinks.
viduals from many cultures.96,116 More minimalist interven- 4. Pros and cons of drinking. This is particularly impor-
tions, however, place greater emphasis on patient resource- tant because the practitioner needs to understand the
fulness and initiative. Some patients may require the role of alcohol in the context of the older patient’s life,
compensation of social influence or support in the form of a including coping with loss and loneliness.
home visit by a health care professional. Attention to the
5. Consequences of heavier drinking. Some older patients
role of such patient characteristics is important not only for
may experience problems in physical, psychological, or
identifying limits on the effectiveness of minimalist
social functioning even though they are drinking
interventions but also for illuminating the mechanisms and
below cut-off levels.
processes that would allow these treatments to be refined
and improved. 6. Reasons to cut down or quit drinking. Maintaining
independence, physical health, and mental capacity
There appears to be an important relationship between
can be key motivators in this age group.
the identification of an individual’s drinking problem and
readiness to change. Research on stages of change, initially 7. Sensible drinking limits and strategies for cutting down
applied to smoking-cessation studies, has demonstrated that or quitting. Strategies that are useful in this age group
smokers enrolled in treatment trials can be classified as include developing social opportunities that do not
falling into one of five stages: precontemplation, contempla- involve alcohol, getting reacquainted with hobbies and
tion, ready for action, action, and maintenance.117 This interests from earlier in life, and pursuing volunteer
categorization has proven useful in predicting those most activities.
likely to succeed in quitting smoking and in targeting 8. Drinking agreement. Agreed-upon drinking limits that
specific kinds of interventions to smokers at different are signed by the patient and the practitioner are
stages.117-119 The stages-of-change model is useful in alcohol particularly effective in changing drinking patterns.
brief interventions to highlight the importance of motivat- 9. Coping with risky situations. Social isolation, boredom,
ing patients to change drinking behavior. and negative family interactions can present special
Brief Intervention Characteristics and Strategies problems in this age group.
Studies of brief interventions for alcohol problems have 10. Summary of the session.
employed various approaches to change drinking behaviors. Brief intervention protocols often use a workbook
Strategies have ranged from relatively unstructured containing these 10 steps. Workbooks contain opportuni-
counseling and feedback to more formal structured ties for both patient and practitioner to discuss sections on
therapy,98,107,108 and have relied heavily on concepts and drinking cues, reasons for drinking, reasons to cut down or
techniques from the BSCT literature.109,110,112 quit, a drinking agreement in the form of a prescription,
Drinking goals of the brief treatment intervention have and drinking diary cards for self-monitoring. Providers are
been flexible, allowing the individual to choose drinking in trained to administer the intervention protocol through
moderation or abstinence. Categorizing patterns of alcohol role-playing and general skill training techniques in

116 B A R R Y, B L O W, A N D O S L I N
educational programs. The approach to patients is drawal or need longer treatment for withdrawal symptoms.121
nonconfrontational and generally follows motivational Highlighted by the potential for life-threatening
interviewing principles as described Miller and Rollnick.111 complications, all clinicians caring for patients who abuse
Screening as an Intervention substances need to have a fundamental understanding of
An issue often raised in brief intervention research is the withdrawal symptoms and the potential complications. All
effect of screening questions on drinking behavior. Data clinicians should demonstrate knowledge of the most
from brief intervention studies suggest that as many as 25% common withdrawal symptoms and the anticipated time
of patients with at-risk or problem drinking patterns at course of the symptoms. In addition, all clinicians should
initial screening lowered their consumption to below cut- be able to complete a standardized assessment of with-
off levels(in progress) #250}” prior to the intervention.120 drawal such as the Clinical Institute’s Withdrawal from
Flynn and colleagues84 examined a group of older primary Alcohol (CIWA).122,123 Clinicians in settings where with-
care at-risk drinkers who spontaneously changed their drawal management or treatment is available need also to
drinking behaviors prior to a brief alcohol intervention. The be competent in providing detoxification management.
study included adults over the age of 55 who originally This includes the use of benzodiazepines for the manage-
screened positive for at-risk drinking but, when reassessed ment of alcohol withdrawal.
within 1 month following screening, reported alcohol
consumption below these criteria. These subjects were Formal Substance Abuse Treatment Outcomes for
then recontacted approximately 6 months after the second Older Adults
assessment. One hundred fifty-seven men and 78 women Although alcoholism is a significant and growing health
with a mean age of 67.4 years (SD = 7.29) completed all problem in the United States,124 there have been few
three phases of this data collection. A total of 83% reported systematic studies of formal alcoholism treatment outcome
safe levels of drinking 6 months after original screening; for older adults.44 The study of treatment outcomes for
13% reported drinking at hazardous levels at 6 months. older adults who meet criteria for alcohol abuse or depen-
Participants who reported two or more binge episodes dence has become a critical issue because of their unique
(defined as four or more drinks) in the past 3 months at the needs for targeted treatment intervention. Because
final follow-up had significantly more fatigue and less traditional residential alcoholism treatment programs
energy than those who reported no binge occasions in the generally provide services to few older adults, sample size
6-month interval. The majority of the participants who issues have been a barrier to studying treatment outcomes
originally drank at hazardous levels but changed their for elderly alcoholics in most settings. The development of
drinking spontaneously to stay within the guidelines elder-specific alcoholism treatment programs in recent
maintained those gains for at least 6 months. This points years has provided sufficiently large numbers of older
out the importance of systematically screening older adults alcoholics to facilitate studies of this special population.44 A
for alcohol use in primary care settings. Recommendations remaining limitation with this population is the lack of
include screening yearly and after major life events (e.g., longitudinal studies of treatment outcomes.
retirement, death of spouse, change in living situation). Previous research on elderly alcoholism treatment can
be divided into two broad categories— treatment compliance
Detoxification and Withdrawal studies and prospective studies of treatment outcomes.
Alcohol withdrawal symptoms commonly occur in patients
who stop drinking or markedly cut down their drinking Treatment Compliance Studies
after regular heavy use. Alcohol withdrawal symptoms can Most treatment outcome research on older adults with
range from mild and almost unnoticeable to severe and life- SUD has focused on compliance with treatment program
threatening. The classical set of symptoms associated with expectations, in particular the patient’s fulfillment of
alcohol withdrawal includes autonomic hyperactivity prescribed treatment activities and goals, including
(increased pulse rate, increased blood pressure, increased drinking behavior.44 Results from compliance studies have
temperature), restlessness, disturbed sleep, anxiety, nausea, shown that age-specific programming improved treatment
and tremor. More severe withdrawal can be manifested by completion and resulted in higher rates of attendance at
auditory, visual, or tactile hallucinations; delirium; seizures; group meetings compared with mixed-age treatment.125,127
and coma. Other substances of abuse such as benzodiaz- In addition, older adults with SUD were significantly more
epines, opioids, and cocaine have distinct withdrawal likely to complete treatment than were younger pa-
symptoms that are also potentially life-threatening. Elderly tients.30,126 Atkinson and colleagues127 found that the
patients have been shown to have a longer duration of proportion of older male alcoholics completing treatment
withdrawal symptoms than younger persons, and withdrawal was twice that of younger men.
has the potential for complicating other medical and Age of onset of alcohol problems has been a major
psychiatric illnesses. There is no evidence, however, to focus of research for treatment compliance studies in the
suggest that older patients are more prone to alcohol with- elderly. In a study by Schonfeld and Dupree128 using a

S U D I N O L D E R A D U LT S 117
matched-pairs, post hoc design, rates of completion of 6- Sample sizes tend to be too small to provide definitive
month day treatment for 23 male and female alcoholics age results. An exception is a study of 137 male veterans (age
55 and older whose problem drinking began before age 50 45 to 59 years, n = 64; age 60 to 69 years, n = 62; age 70
(early onset) were compared with 23 other alcoholics who years and older, n = 11) with alcohol problems who were
began problem drinking after age 50 (late onset). Those randomly assigned after detoxification to age-specific
classified as late-onset problem drinkers were significantly treatment or standard mixed-age treatment.131 Outcomes
more likely to complete treatment; however, in a subse- showed that elder-specific program patients were 2.9 times
quent report including the larger sample of 148 from more likely at 6 months, and 2.1 times more likely at 1
which these patients were selected, there was no differ- year, to report abstinence compared with mixed-age group
ence in completion rate based on age of onset.128 patients. Treatment groups could not be compared at
In another study of 132 male alcoholic veterans 60 baseline because baseline alcohol consumption and alcohol
years of age and older, the sample was divided into the severity data were not included in the study.
following subgroups: early onset (age 40 and younger; n = Limitations of Treatment Outcome Research
50), midlife onset (41 to 59; n = 62), and late onset (age While the examination of factors related to completion of
60 and older; n = 20).129 Age of onset was related to programming is important for the identification of charac-
program completion and to weekly meeting attendance, teristics of patients who are more likely to remain in
with the late-onset subgroup showing the best compliance. treatment, existing studies have an inherent selectivity bias
However, a subsequent analysis of 128 men, age 55 and and provide no information on treatment drop-outs or on
over, in alcoholism treatment found that drinking relapses short- or long-term treatment outcomes. Other issues with
during treatment were unrelated to age of onset.127 sampling may also limit the generalizability of previous
Furthermore, onset age did not contribute significantly to studies. For example, the majority of reports on alcoholism
variance in program completion but was related to meeting treatment outcome for older adults have included only
attendance rate.127 Studies on the effect of age of onset on male subjects. Furthermore, age cut-offs for inclusion in
treatment compliance have yielded mixed results. studies have varied widely, and have included nonelderly
In a study of treatment matching, Rice and col- individuals in the “older” category, with several studies
leagues130 compared drinking outcomes for randomly including individuals as young as age 45. In addition to
assigned male and female alcoholics 3 months after these issues, the majority of studies have utilized relatively
beginning one of three mixed-age outpatient treatment unstructured techniques for assessing alcohol-related
protocols scheduled to last for 4 months. The sample symptoms and consequences of drinking behavior. Finally,
included 42 individuals age 50 years and older, 134 the manner in which outcomes have been assessed has
patients who were 30 to 49 years old, and 53 patients who been narrow in focus. Most studies have dichotomized
were 18 to 29 years old. There were no main effects of age treatment outcome (abstention versus relapse) based solely
or treatment condition on treatment compliance. There on the basis of drinking behavior. Given evidence from
were significant age by group effects by treatment protocol numerous studies that heavy or binge drinking is more
effects. For older patients, the number of days abstinent strongly related to alcohol consequences than is moderate
was greatest and the number of heavy drinking days fewest alcohol consumption,36,132,133 it is possible that there are
among those treated in an individual-focused rather than a important differences in outcome for nonabstinent indi-
group condition. This study suggests that elderly alcoholics viduals, depending on whether their reuse of alcohol
may respond better to individual-focused interventions following treatment involves binge drinking. For these
than to traditional mixed-age, group-oriented treatment. reasons, researchers have suggested that nonabstinent
Major limitations remain in the treatment compliance drinking outcomes be categorized along dimensions such
literature, including a lack of drinking outcome data, failure as whether drinkers ever drink to the point of intoxica-
to report on treatment drop-outs, and variations in defini- tion.134 Furthermore, most studies have not addressed
tions of treatment completion. Few carefully controlled, other relevant domains that may be positively affected by
prospective treatment outcome studies including suffi- treatment, such as physical and mental health status, and
ciently large numbers of older subjects who meet criteria psychological distress.
for alcohol dependence have been conducted to address The development and testing of elder-specific treat-
the methodological limitations of prior work. ment programs, as well as further assessment of outcomes
for older adults in treatment programs that include younger
Prospective Studies of Treatment Outcomes
and older adults,34 need to be further addressed. As the
Few prospective treatment outcome studies have been U.S. population ages, new challenges in the treatment of
reported in the literature, in part because of the complexity SUD can be anticipated.
of studying older adults in treatment and also because of
difficulties in following them after completion of treatment.

118 B A R R Y, B L O W, A N D O S L I N
Settings for Screening, Intervention, and perspective, there has been no centralized voice or
authority to maintain and implement a core set of recom-
Treatment mendations focused on late-life substance use. Despite the
A limited number of public health strategies are available to lack of a coordinated effort, there are organizations (both
identify and intervene with older adults who are at-risk or Federal and guild) that have recognized the need for and
problem drinkers, because many older adults are retired have implemented similar recommendations in their
and some are isolated or have mobility problems. There are respective guidelines or regulatory requirements. These
a number of venues in which to detect persons at risk for organizations include the American Medical Association,
SUD and provide brief alcohol interventions, including the American Board of Psychiatry and Neurology, the
primary care clinics, specialty care settings involving the American Psychiatric Association, the Center for Substance
emergency department, home health care, elder housing, Abuse Prevention, the American Academy of Addiction
and senior center programs.113 Professionals in these areas Psychiatry, the Department of Veterans Affairs, and the
have a unique opportunity to identify and help older adults American Society of Addiction Medicine. While there are
who drink at risky levels. similarities in the documents produced, many of these
The range or scope of prevention and intervention statements are outdated and there are some conflicting
strategies for older adults—prevention and education for recommendations between the guidelines. For instance,
persons who are abstinent or low-risk drinkers; minimal the focus of many of the documents from subspecialty
advice, structured brief intervention protocols; and organizations is on persons who meet criteria for alcohol
formalized treatment for older persons with alcohol abuse dependence, with a strong endorsement of specialty
and dependence—provides the tools for health care provider care. Such a position ignores issues of prevention
providers to work with older adults across a spectrum of and hazardous or problematic drinking as well as the role
drinking patterns. A report by the Institute of Medicine92 of primary care providers and nonaddiction health providers.
found that most alcohol-related problems occur in Separate from the clinician-level recommendations
nondependent drinkers. that are outlined below is the need for interdisciplinary
Brief intervention protocols can be incorporated into policy-level leadership in developing educational programs
routine practice by nurses, counselors, psychologists, social for substance use that span all age groups and all levels of
workers, physicians, and other professionals. Screening and providers. All too often, clinical issues such as late-life
brief intervention protocols can be inexpensive and less substance use problems serve more to highlight administra-
costly than a single emergency department visit for an tive and policy differences and the lack of cooperation that
alcohol-related injury. can divide the fields of geriatrics, mental health, and
addictions than to foster a coordinated effort to address the
Providers of care require training and systems in which problem. From an administrative policy perspective, greater
screening, brief interventions, and referral for the treatment cooperation between these organizations and agencies
of alcohol problems are essential clinical activities. Work- should be advocated, as should the possible development of
shops that focus on skills training activities are most useful. a leadership resource panel that could be called upon by
To effectively implement alcohol screening and brief various organizations, training programs, and Federal and
intervention strategies for older adults in clinical practice, local agencies to assist in the development and implemen-
systematized protocols that provide easy service delivery tation of recommendations. A recent example of an effort
will be required. From both a public health standpoint and to bring together an interdisciplinary resource panel was
a clinical perspective, there is a critical need to implement the support for the development of the TIP focused on late-
effective intervention strategies with older drinkers who life substance abuse.34
are at risk for more serious health, social, and emotional
problems. An exciting aspect to implementing training recom-
mendations is the expanding range of tools available to train
and educate potential patients, providers, and administrators.
Vision for the Future In addition to traditional methods of published articles, book
The final section of this paper presents a list of recommen- chapters, and lectures, there is the opportunity to use
dations. While the recommendations are clear and rela- interactive video or telemedicine approaches, Internet
tively straightforward, incorporating them into existing applications, video and voice teleconferencing, and computer-
educational programs will be difficult. The difficulties lie in based applications as educational tools. Few of these tools
the diversity of providers who are affected as well as the have been used specifically for education about late-life
diversity of medical specialties affected. From a policy substance use, but that is likely to change in the near future.

S U D I N O L D E R A D U LT S 119
 Recommendations
The core competencies to address the growing need for training of health care professionals in
working with older adults regarding at-risk and problem substance use include the following
broad categories: recognition and assessment; initial management and referral; specialized
management; acute treatment and rehabilitation; faculty development; accreditation; and
certification and recertification.

Recognition and Assessment

1. All clinicians should be knowledgeable in assessing the quantity and fre-

quency of alcohol and other drug use among older patients. This includes
knowledge about standard drinks.
Rationale. Approximately 8% to 15% of older adults are at-risk drinkers or drink at relatively
low levels that compromise cognitive or medical conditions.24 Additionally, some older adults
also use prescription and OTC medications that may have a negative impact on their physical
and mental health. Clinicians who work with older adults need to systematically address alcohol
and medication/drug use as part of routine care. Very few clinicians are trained in alcohol and
medication/drug screening techniques that are most effective with older adults.
This core competency includes the following: (1) increased training and knowledge of current
and future health professionals about alcohol and medication/drug screening techniques to
determine frequency and quantity of use; and (2) increased screening of older adults for prob-
lems related to substance use in clinical settings

2. All current and future health care providers should be knowledgeable about
the recommended upper limits of moderate drinking for all age groups.
Rationale. The NIAAA guidelines for alcohol consumption are not generally part of preclinical
curricula or clinical training (internship, residency, practica, continuing medical education
[CME], or continuing education [CE]).120 There has been even less training focused on issues of
alcohol consumption and drinking guidelines for older adults. To determine whether older adults
are at risk for problems related to alcohol use and whether they use medications or drugs that
may interact with alcohol, up-to-date guidelines and research evidence should be included in
training.
Knowledge regarding the recommended upper limits for alcohol consumption includes (1)
increased training and knowledge about alcohol, medication, and drug guidelines; and increased
use of guidelines in screening older adults for problems of substance use in clinical settings

3. All current and future health care providers working with older adults
should have comprehensive knowledge of the physical, emotional, and
social problems associated with alcohol use and abuse, misuse of medica-
tions, and alcohol/medication interactions among older patients.
Rationale. Older adults may present with complex signs and symptoms of physical, cognitive,
mental health, or social problems. It is important to determine whether any of these problems
are related to or exacerbated by alcohol or by misuse of medications or illicit drugs. These are
differential diagnoses that are important in determining treatment plans but are often missed
because clinicians may have limited training and experience dealing with substance abuse in
older adulthood.

120 B A R R Y, B L O W, A N D O S L I N
 Expected Outcomes. Increased professional knowledge about physical, emotional, and social
problems associated with substance abuse in older patients. Increased recognition and detection
of substance abuse problems in older adults presenting with physical and mental health problems.

Initial Management and Referral

4. All current and future health care providers should be trained to provide
structured and targeted brief advice and interventions to assist older adults
in cutting down or eliminating alcohol use. Advice and brief interventions
can be delivered as part of early detection programs in clinical settings.
Rationale. Approximately 15% of older adults may be at-risk drinkers or drink at lower levels
that can still compromise their cognitive or medical conditions. Brief alcohol interventions have
been proven to be effective with older adults. They require short, concentrated training that
includes motivational interviewing and structured materials to assist in the interventions.
Materials are available nationally through the NIAAA and through CSAT in the TIPs series.
Training can be made available to professionals who work with older adults through preclinical
and clinical education programs, CE credits, and other workshop opportunities. These are
needed because, in a changing health care delivery system, brief, effective methods of dealing
with alcohol problems will be both clinically effective and cost-effective. Few preclinical and
clinical programs include techniques of brief alcohol intervention.
Expected Outcomes. Increased training and knowledge about brief alcohol advice and
intervention techniques targeting older adults. Increased use of brief advice methods by
providers who work with older adults. Better prevention and early intervention programs
should lead to longer-term health care cost savings.

Specialized Management

5. All current and future health care professionals providing detoxification

treatments to older adults should be knowledgeable about common medi-
cal and psychiatric conditions that complicate or are complicated by alco-
hol withdrawal. All clinics or health care systems that provide detoxifica-
tion services should make adequate provisions for serving older adults who
have acute and chronic medical conditions.
Rationale. Because older adults metabolize alcohol and medications differently than younger
individuals do, and because of increased vulnerabilities to the negative consequences of acute
withdrawal in the elderly, health care professionals need comprehensive knowledge of guide-
lines for managing alcohol detoxification in older adults. The dangers of alcohol detoxification
for elderly individuals are exacerbated by previous withdrawal episodes. The combination of
complex chronic medical conditions and the use of multiple medications by older adults who
are at risk for withdrawal requires protocols on alcohol withdrawal in the array of clinical
settings commonly providing detoxification services. A number of medical centers have devel-
oped withdrawal regimens, including the appropriate use of benzodiazepines, for use with
younger adults. Recently published empirical studies have resulted in practice guidelines for
managing alcohol detoxification and withdrawal for older adults that should be incorporated
into detoxification services.
Specific core competencies for working with withdrawal in older adults include the manage-
ment of chronic medical conditions common in late life; management of patients with mild to
moderate dementia; and knowledge regarding the increased potential for adverse medication
effects or the potential for drug interactions when using benzodiazepines with other psychoac-
tive medications.

S U D I N O L D E R A D U LT S 121
 Expected Outcomes. Increased training and knowledge on alcohol withdrawal in older
adults. Increased appropriate use of medications for the management of withdrawal. Improved
outcomes for older heavy drinkers experiencing withdrawal symptoms. Increased use of best
practice guidelines for alcohol withdrawal and improved medical management of older adults in
settings that provide detoxification services.

Acute Treatment and Rehabilitation

6. All current and future specialty care providers (geriatricians, addiction

specialists, geriatric mental health providers) should be trained in skills
required for the initial management and treatment of older adult patients
with at-risk use, problem use, or substance abuse/dependence.
Rationale. The training of addiction specialists has focused primarily on issues related to
younger adults. Geriatricians and geriatric mental health providers generally have received little
training on substance abuse issues. Providers in both specialties need cross-training to meet the
growing needs of older adults with substance abuse problems. Because of the range of older
patients in need of substance abuse services, providers who have training in geriatric care or
addiction specialties need to develop skills in the initial management of older adults with
substance use problems. Needed knowledge and skills include motivational approaches, least-
intensive treatment options, initiation of withdrawal protocols, treatment engagement tech-
niques, and treatment objectives and approaches.
Expected Outcomes. Improved outcomes for older adults with substance use problems in
specialty settings. Increased use of best practice guidelines for the initial management of
substance use problems in older adults in specialty settings.

7. All current and future specialty care providers (addiction specialists and
geriatric mental health providers) should be trained in the skills for psy-
chosocial and pharmacological interventions demonstrated to be efficacious
in the treatment of older adults with substance use problems.
Rationale. There is empirical evidence that psychosocial and pharmacological interventions
have efficacy for a range of substance use problems in older adults. Specialty geriatric providers
often receive little training in pharmacological substance use interventions. Addiction specialists
may not receive training in early psychosocial intervention techniques. Both groups need
training in these issues in order to work effectively with the growing number of older adults
with substance use problems.
Expected Outcomes. Improved outcomes for older adults with substance use problems in
specialty settings. Increased use of best practice guidelines for substance use problems in older
adults treated in specialty settings.

Faculty Development

8. To ensure adequate training in the skills necessary for screening, interven-

tions, and treatment of SUD in older adults, resources should be provided
on Federal, State, and university levels to develop and train faculty mentors
who will be responsible for disseminating knowledge to current and future
health care professionals. A critical mass of trained faculty mentors is
essential for changing norms and for providing sufficient role models in
this complex area.

122 B A R R Y, B L O W, A N D O S L I N
 Rationale. There is empirical evidence that the use of faculty mentors generates opinion
leaders critical to influencing current and future generations of health care providers. Current
health care providers generally do not receive training in substance use problems in older adults.
With the rapid expansion of the older adult population in the U.S. in the coming decades, it will
be essential to develop an infrastructure in training institutions for addressing SUD.
Expected Outcomes. Increased numbers of health care providers and students to improve
outcomes for older adults with substance use problems. Increased required and elective
curricula in professional schools regarding substance use problems of older adults.

Accreditation

9. Accreditation standards should be designed to ensure compliance with

guidelines for providing access to quality health care, including screening,
interventions, and treatment of SUD in older adults.
Rationale. Although accreditation is voluntary in most health care settings, this mechanism of
review for clinics, hospitals, and pharmacies provides quality management oversight for those
agencies that participate in this process. Accreditation also provides reassurance to patients and
families that facilities are meeting basic standards of care.
Expected Outcomes. Increased identification of older adults with at-risk drinking and alcohol
problems and a higher quality of care for older adults.

Certification and Recertification

10. Certification for health professionals in all disciplines caring for older
adults should include proficiencies in screening, interventions, and
treatment of SUD in older adults.
Rationale. Certification examinations and recommended proficiencies are often used as
guidelines for curriculum development and CE programs. These proficiencies often ensure that
recommendations for education and faculty development are carried forward and are not
arbitrarily implemented.
Expected Outcomes. Certification and recertification will benefit the field by increasing the
number of adequately trained health professionals and increasing adherence to CE and mainte-
nance of clinical skills.

Recommendations for Education and Training

In order the meet the need for professional development, the following recommendations are
made for each of the areas covered in the core competencies section above.
Recommendations in these areas can assist in the development of educational and certification
programs that would enhance prevention and treatment efforts with older adults who are at risk
for or are currently experiencing substance use problems. These recommendations are focused
on core competencies that individual clinicians should possess, and on faculty development,
accreditation, and certification and recertification.

S U D I N O L D E R A D U LT S 123
 Recognition and Assessment

11. To ensure that clinicians are knowledgeable in assessing the quantity and
frequency of alcohol and other drug use among older adult patients, key
recommendations include (1) increasing preclinical and clinical training
regarding the available alcohol screening instruments, methods of deter-
mining other medication and drug use (including OTC medications and
herbal agents), techniques for conducting screening, and techniques to
incorporate structured screening for alcohol, medications, and illicit
drugs into standard clinical practice; and (2) increasing the use of ques-
tions on substance use screening in preclinical and clinical training
evaluations and tests.
Responsible Agents. The American Medical Association (AMA), American Society of
Addiction Medicine (ASAM) American Psychiatric Association, American Psychological Associa-
tion, medical schools, curriculum committees of other health professional schools (social work,
pharmacy, dentistry, and public health, as well as departments of psychology).

12. To ensure that all current and future health care providers are knowl-
edgeable about the recommended upper limits of moderate drinking for
all age groups, the recommended action involves developing preclinical
and clinical training content regarding alcohol use guidelines for all age
groups, with specific reference to national consensus guidelines for
alcohol use, misuse of prescription and nonprescription drugs, and
alcohol–medication interactions common to people in later life.
Responsible Agents. AMA, ASAM, American Psychiatric Association, American Psychologi-
cal Association, medical schools, curriculum committees of other health professional schools
(social work, pharmacy, dentistry, and public health, as well as departments of psychology).

13. Training should be provided to ensure that all current and future health
care providers working with older adults have a comprehensive knowl-
edge of the physical, emotional, and social problems associated with
alcohol use and abuse, misuse of medications, and alcohol–medication
interactions among older patients.
Recommended Actions. Incorporate preclinical and clinical training regarding the physical,
emotional, and social problems associated with substance use and abuse (including alcohol,
prescription and nonprescription medications, and illicit drugs) among aging patients. Provide
funding for any additional training under the control of the professional programs incorporating
the training (medical schools, residencies, other health professional school programs). Develop
programming that includes case studies, clinical practice opportunities, and didactic materials on
best practices to ensure that clinicians are comfortable making differential diagnoses regarding
the role of substance use in presenting physical and mental health problems.

124 B A R R Y, B L O W, A N D O S L I N
 Initial Management and Referral

14. Educational programs for current and future health care providers should
include training in how to conduct structured and targeted brief advice
and interventions that will assist older adults in cutting down or eliminat-
ing alcohol use. Advice and brief interventions can be delivered as part of
early-detection programs in clinical settings.
Recommended Actions. Develop alcohol intervention training materials for clinicians who
work in a variety of mental and physical health care settings with older adults.
Responsible Agents. AMA, ASAM, American Psychiatric Association, American Psychological
Association, medical schools, curriculum committees of other health professional schools (social
work, pharmacy, dentistry, and public health, as well as departments of psychology).

Specialized Management

15. Training for current and future health care professionals providing detoxi-
fication treatments to older adults should provide a knowledge base about
common medical and psychiatric conditions that complicate or are com-
plicated by alcohol withdrawal. All clinics or health care systems that
provide detoxification services should make available adequate provisions
for serving older adults who have acute or chronic medical conditions.
Recommended Actions. Disseminate preclinical and clinical training materials to providers
on best practices for identifying older individuals who are at risk for alcohol withdrawal.
Disseminate training materials on clinical management algorithms for the inpatient or outpatient
medical detoxification of older heavy drinkers, including assessment of withdrawal severity,
recommendations on prescribing short-acting benzodiazepines, and monitoring progress through
the withdrawal phase. Establish detoxification guidelines and medical management guidelines
for use with older adults in settings providing detoxification services.
Responsible Agents. AMA, ASAM, American Psychiatric Association, American Psychological
Association, medical schools, curriculum committees of other health professional schools (social
work, pharmacy, dentistry, and public health, as well as departments of psychology).

Acute Treatment and Rehabilitation

16. In order to ensure that current and future specialty care providers (geri-
atricians, addiction specialists, geriatric mental health providers) are
trained in skills required for the initial management and treatment of
older adult patients with at-risk use, problem use, or substance abuse/
dependence, training will be imperative.
Recommended Actions. Incorporate training materials for specialty providers on best
practices for the initial management of substance use problems in older adults, including
motivational enhancement approaches, detoxification, and treatment engagement, into the
clinical postgraduate curriculum. Incorporate clinical training on stabilizing and resolving
medical and psychiatric comorbidities.
Responsible Agents. AMA, ASAM, American Psychiatric Association, American Psychological
Association, medical schools, curriculum committees of other health professional schools (social
work, pharmacy, dentistry, and public health, as well as departments of psychology).

S U D I N O L D E R A D U LT S 125
 17. Training is needed so that all current and future addiction specialists and
geriatric mental health providers will be prepared to provide psychoso-
cial and pharmacological interventions that have been demonstrated to
be efficacious in the treatment of older adults with SUD.
Recommended Actions. Incorporate clinical postgraduate training materials for specialty
providers on best practices for psychosocial interventions, including brief intervention tech-
niques, cognitive behavioral approaches, group- and individual-based approaches, medical/
psychiatric and pharmacological approaches, and aftercare. Incorporate training in treatment
objectives that are optimally effective for the older person with a SUD. Incorporate training in
consensus best practices for treatment of substance abuse problems in older adults.
Responsible Agents. AMA, ASAM, American Psychiatric Association, American Psychologi-
cal Association, medical schools, curriculum committees of other health professional schools
(social work, pharmacy, dentistry, and public health, as well as departments of psychology.
The above recommendations stem from research that demonstrates the efficacy of treatment
and the reduction in morbidity and mortality associated with reductions in alcohol and drug use
among older adults. The focus of the recommendations is educational. Implementation of these
recommendations should follow the educational structure currently in place for the variety of
providers affected by these recommendations. The traditional methods of education include the
formal training received in graduate and postgraduate work, the voluntary or required need for
CE, and voluntary and informal educational formats such as readings, tutorials, and seminars. A
parallel process of certification and accreditation exists in some of the fields of medical educa-
tion that can be used to gauge the effectiveness of the recommendations and education pro-
grams.

Faculty Development

18. To ensure adequate training in the skills necessary for screening, inter-
ventions, and treatment of SUD in older adults, resources should be
provided on Federal, State, and university levels to develop and train
faculty mentors who will be responsible for disseminating knowledge to
current and future health care professionals. A critical mass of trained
faculty mentors is essential for changing norms and for providing suffi-
cient role models in this complex area.
Recommended Actions. Increase funding for faculty development programs focused on SUD
in older adults. Provide state-of-the-art curricula for faculty fellows and leaders focused on SUD
in the elderly. Enhance the training for preclinical and clinical trainees through the use of
targeted curricula and training in best practices with older adults who have substance abuse
problems.
Responsible Agents. NIAAA, Health Resources and Services Administration, Agency for
Health Care Quality, AMA, ASAM, American Psychiatric Association, American Psychological
Association, medical schools, curriculum committees of other health professional schools (social
work, pharmacy, dentistry, and public health, as well as departments of psychology.

Accreditation

19. The purpose of accreditation is to ensure compliance with guidelines for

providing access to quality health care, including screening, interven-
tions, and treatment of SUD in older adults.

126 B A R R Y, B L O W, A N D O S L I N
 Recommended Actions. Incorporate standards of care for managing late-life alcohol prob-
lems in the review process for accreditation. Require a standard of care for screening and
identifying elderly at-risk drinkers.
Responsible Agents. Agencies such as the Joint Commission on Accreditation of Healthcare
Organizations and the Accreditation Association for Ambulatory Health Care.

Certification and Recertification

20. To ensure that certification for health professionals in all disciplines

caring for older adults includes proficiencies in screening, interventions,
and treatment of SUD in older adults, the following actions are necessary.
Recommended Actions. Ensure that specialty and subspecialty board exams include content
focused on late life addictions. Ensure that the content of licensing examinations for non-
physician providers includes material focused on late-life addictions.
Responsible Agents. Accreditation Council for Graduate Medical Education, American Board
of Psychiatry and Neurology, American Board of Family Practice, American Board of Internal
Medicine, American Board of Nursing. State licensing boards for nursing, social work, counsel-
ing, pharmacy, and dentistry.

S U D I N O L D E R A D U LT S 127
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 CHAPTER 6

Substance Use Disorders in Children and

Adolescents and the Impact on Children in
Families Affected by Substance Use
HOOVER ADGER, JR., MD, MPH
MICHELLE K. LEFF, MD

Introduction
Primary care practitioners and other health professionals encounter large numbers of children
and adolescents who have alcohol and other drug-related problems. Primary care practitioners
and other health professionals are in an ideal position to identify substance use disorders (SUD)
and related problems in the children, adolescents, and families that they care for and should be
able to provide preventive guidance, education, and intervention. Primary care practitioners are
in a unique position to screen for SUD not only in children and adolescents but also in their
parents and other family members. They also should be able to identify children who are
affected by the alcohol or drug use of a parent or other primary caretaker. While it is easiest to
identify SUD and related problems in children, adolescents, and families who are most severely
affected, the challenge is to identify affected individuals early in their involvement and to
intervene in a timely and effective manner. Appreciating the magnitude of the problem, the
nature and impact of SUD on individuals and families, and the role of the health care profes-
sional in the prevention, intervention, and treatment of SUD are vital.
The purpose of this paper is to describe the clinical implications of SUD on children and
adolescents and to recommend an action plan to educate and train health professionals to
screen effectively for SUD in the families they treat. If health professionals were taught the skills
to screen and identify SUD in children, adolescents, and their families, there would be a
significant impact on the public health of the Nation.

Issues Unique to Children and Adolescents: respective grade levels reported some use in the preceding
Scope of the Problem month. Of concern, one out of every 20 (5.8 %) 12th-grade
students reported using marijuana on a daily basis. While
A number of surveys have described alcohol, tobacco, and
the numbers are disturbing, the trend has indicated
other drug use in the adolescent population. Although such
decreasing levels of use for the fourth year in a row.
surveys likely underestimate the true magnitude of alcohol,
tobacco, and other drug use, they provide useful informa- Although there has been a decrease in the reported
tion about drug-use patterns and trends. Results of the prevalence of use of most illicit drugs and a trend toward
recent Monitoring the Future Study1 indicate that almost decreasing tobacco use among adolescents, there has been
one out of every two adolescents has tried an illicit drug relatively little change in the reported use of alcohol, the
before finishing high school, and one out of four has used most common drug of abuse. A substantial number of 8th-
an illicit drug other than marijuana. Marijuana is the most through 12th-grade students report drinking alcohol, and
widely used illicit drug by far, with 20.4% of 8th graders, many report that they have gotten drunk at least once. Of
40% of 10th graders, and 49% of 12th graders in 2001 even greater concern, 13.2% of 8th graders, 24.9% of 10th
reporting some use in their lifetime. Respectively, 19.5%, graders, and 29.7% of 12th-grade students report having
37.2%, and 41.4% of 8th-, 10th-, and 12th-grade students had five or more drinks within the past 2 weeks and 1.9%
reported some use of an illicit drug in the preceding year, of 10th grade students and 3.6% of 12th-grade students
and 11.7%, 22.7%, and 25.7% of students at the same were daily drinkers.

133
 According to the National Household Survey on Drug in alcohol and other drug use often engage in other risk-
Abuse (NHSDA), an estimated 9.7 million young people taking behaviors. There is a correlation between alcohol
between the ages of 12 and 20 were drinkers in 2000; of and other drug use and sexual activity, including initiation
these, 6.6 million were binge drinkers and 2.1 million for some adolescents. Responsible decision making
were heavy drinkers.2 There have been no statistically regarding condom use, partner selection, sexual mo-
significant changes in these rates of drinking over the past nogamy, and situational abstinence becomes diminished
decade. The NHSDA data also indicate that in 2000, as in under the influence of alcohol and other drugs.10 For
past years, the level of alcohol use was strongly associated instance, most date rapes involve alcohol use by one or
with the use of illicit drugs. Across all ages, 29.5% of heavy both partners.
drinkers, 17.8% of binge drinkers, and 5.5% of drinkers
had used illicit drugs during the past 30 days.
Buried in the recent good news of decreasing use
Comorbid Psychiatric and SUD in Adolescents
among high school students is the worrisome observation There is a high rate of psychiatric disorders and SUD
that age at first use is decreasing for many of America’s comorbidity.11-13 In general, patients with comorbid
youth. According to the NHSDA, the rising incidence in psychiatric and SUD have a much more difficult recovery
the 1990s seems to have been fueled primarily by the and do less well in treatment.14,15
increasing rate of new use among youth age 12 to 17. The There are two models for this comorbidity, and
earlier an adolescent begins to drink or use other drugs, the individual adolescents will manifest a unique interplay
greater the likelihood of later substance use problems.3 In between them. Some adolescents have pre-existing
addition, there is an inclination among today’s youth to psychiatric disorders and are more likely to turn to sub-
simultaneously use more than one drug. stance use as “self-medication” or as a symptom of “devi-
ance.” Other adolescents may initiate substance use and
develop secondary psychiatric symptoms because of the
Impact on Health Status effects of the substances themselves.16 The psychiatric
Alcohol and other drug use is a major factor in the deterio- disorders most often linked with SUD include conduct
ration of the health status of adolescents and young adults. disorder,17,18 attention deficit hyperactivity disorder
According to a recent Youth Risk Behavior Surveillance (ADHD),19,20 mood disorders,21,22 and anxiety disorders.23-25
System Summary, 16.9% of high school students reported Conduct disorder (characterized by behaviors such as
driving a motor vehicle after drinking, and 36.6% reported fighting, lying, stealing, cruelty to animals, showing no
riding in a car with a driver who had been drinking one or remorse) ranges from 40% to 70% in adolescents with
more times during the month prior to the survey.4 This is SUD. Conduct disorder and substance abuse appear to be
particularly significant because accidents are the leading interactive, i.e., adolescents with both have more severe
cause of death among young people. According to a 1998 psychopathology. Conduct disorder is often a poor prognos-
Centers for Disease Control and Prevention (CDC) report, tic indicator of substance abuse recovery, and substance
2,210 of 6,163 (35.6%) motor vehicle fatalities among 15- abuse often leads to more antisocial behavior (i.e., fighting,
to 20-year-olds were associated with the use of alcohol.5 stealing, unstable occupational and social functioning).26,27
Alcohol and drug use are also implicated in other types of Although ADHD (characterized by easy distractibility,
fatal accidents, homicides, and suicides among young impulsivity, hyperactivity, and inattention) is thought to be
people. a risk factor for the development of SUD,28-31 some argue
Alcohol and other drugs are also associated with non- that it is only when ADHD is comorbid with conduct
lethal health risks and problems. Almost one-fourth of high disorder that this diagnosis becomes a significant risk
school students report using alcohol or another drug at the factor.32 Whatever the risk factor, children with comorbid
time of last sexual intercourse, and substance use is ADHD, conduct disorder, and SUD have a poor prognosis.14,15
associated with high-risk sexual behaviors such as failure to Both the adult and adolescent research literature
use contraception.6-8 This is especially troubling considering indicate that mood disorders (such as major depressive
the recent epidemic of human immunodeficiency virus disorder, bipolar disorder, and chronic dysthymic disorder)
(HIV) and other sexually transmitted diseases in the United and anxiety disorders (such as generalized anxiety disorder
States. and panic disorder) are often comorbid with SUD. Persons
Another major concern is the impact of substance use with these psychiatric illnesses may turn to substances to
on the cognitive and psychosocial development of young self-medicate their psychiatric distress. Once an adolescent
people. Substance use, abuse, and dependence contribute has developed a SUD, it is often difficult to tease out the
significantly to mental health disorders, the leading cause mood and anxiety symptoms as being primary (i.e., existing
of chronic disabilities in adolescents, affecting an estimated prior to the substance abuse) or secondary (i.e., as a result
634,000 adolescents.9 Moreover, adolescents who engage of the substance abuse and concomitant stressors). These
adolescents are also at increased risk for suicide.33

134 ADGER AND LEFF

 It is clear that the comorbidity of substance abuse and and general medical systems. They also have higher rates of
psychiatric disorders is a serious problem, and that recovery injury, poisoning, admissions for mental disorders and
from both is much harder than recovery from one disorder. substance abuse, and general hospital admissions; longer
If substance abuse is identified and treated in its early lengths of stay; and higher total health care costs.37 The
stages, the possibility of recovery improves tremendously. effects of prenatal exposure to alcohol are well-known, and
Therefore, it is imperative that efforts be made to identify the term “fetal alcohol syndrome” (FAS) is generally
substance abuse among youth, and that resources be applied to those children who have been exposed and
allocated for the intervention and treatment of adolescent display a certain constellation of symptoms (growth
substance abuse. retardation, central nervous system involvement to include
behavioral and/or intellectual impairment, and characteris-
tic facies [short palpebral fissures, thin upper lip, and
Relevance to Child and Adolescent Clinical elongated, flattened midface and philtrum]).38 For a more
Practice complete review of FAS, refer to Streissguth et al.39 and a
recent report by the Institute of Medicine.40
The broad scope of alcohol, tobacco, and other drug use in
the adolescent population translates into the reality that Children of an alcoholic parent are at higher risk for
primary health care practitioners frequently see adolescents learning disabilities. It is unclear whether these disabilities
who are either contemplating or are already experimenting are due to a language disorder or to problems with
with use of substances. Not uncommonly, primary care abstraction, problem solving, and self-regulation—pointing
practitioners see adolescents who are past the point of to possible deficits in the prefrontal cortex.41 Some have
contemplation or experimentation and are harmfully shown that parental alcoholism is associated with increased
involved. Occasionally, they see adolescents who are risk for offspring ADHD, conduct disorder, or overanxious
dependent on various substances. disorder.42 These offspring have been shown to have more
diagnosable psychiatric disorders (i.e., depression, ADHD,
Moreover, another large group may be affected not
conduct disorder) and lower reading and math achieve-
because of their own use but because of problem use in a
ment scores, which were also associated with psychopa-
parent, family member, or other primary caretaker. An
thology.43
estimated 28.6 million Americans are children of an
alcoholic parent, and nearly 11 million of these young Children of substance-abusing parents are at risk for
people are under the age of I8 years.34 Many of these neglect, especially if the mother has psychological symp-
children are exposed to family environments that lack toms—narcissistic, paranoid, histrionic, or borderline
consistency, stability, or emotional support. Some of these personality disorder.44 There have been several studies
children have been traumatized by accidental injury, verbal looking at children prenatally exposed to illicit substances,
abuse, or physical abuse resulting from parental drinking or and it appears that these children are at risk as well.
drug use. Poor communication, neglect, violence, permis- Sinclair,45 in a study of Head Start children, concluded that
siveness, undersocialization, and initiation of their own use prenatal drug exposure was a predictor of later special
and abuse of alcohol and other drugs are common in education placement in kindergarten (53% versus 29% for
children of substance-abusing parents. The dilemma is how nonexposed children). Lester et al.46 analyzed data from
to address these challenging situations. eight longitudinal studies of school-age children exposed to
cocaine and found that up to 80,550 children had subtle
deficits in IQ and language development. These authors
Children of Substance-Abusing Parents project that special education will cost at least $352 million
What is the effect of having a substance-abusing parent? per year nationwide. These are costs attributable only to
The literature is generally divided into children of alcohol- new cases each year and do not include the accumulating
ics and children of parents who abuse other substances. In costs and burdens associated with annual additions. Studies
both groups, it is clear that these children often are raised of children of substance-abusing parents (but who were not
in a chaotic family environment, do not receive the necessarily prenatally exposed to illicit drugs) have revealed
necessary attention or monitoring, and are at higher risk for that these children appear to have more behavior disorders,
school failure, psychiatric problems, and development of anxiety disorders, poorer competency scores, and higher
substance use problems themselves.11,35 scores on both internalizing and externalizing subscales of
the Child Behavior Checklist than control groups of
The familial effects of SUD are well documented, and children.47,48
particularly so for alcoholism. Grant36 estimates that
approximately one-fourth of all children in the United Other studies question whether the increased psychiat-
States under the age of 18 years are exposed to familial ric problems seen in these children are due to the parental
alcohol abuse or alcohol dependence. The Children of substance abuse or due to the comorbid psychiatric disorders
Alcoholics Foundation (1990) reported that children of an in these substance-abusing parents.49 For example, there
alcoholic parent are overrepresented in the mental health may be a link between both parental substance abuse and

SUD IN CHILDREN AND ADOLESCENTS 135

antisocial personality disorder (a frequent comorbid Existing Guidelines for Child and
psychiatric disorder) and offspring conduct disorder50 or a
link between both parental substance abuse and major Adolescent Care
depression and offspring conduct disorder.51 Several sets of guidelines have been published in recent
Finally, the children of substance-abusing parents are years regarding routine screening and preventive health
at extreme risk to abuse substances themselves. First, there care for children and adolescents. The Maternal and Child
is a genetic predisposition for the development of SUD; Health Bureau (MCHB) Bright Futures Guidelines were
second, these children often receive inadequate parental published in 1994 “to respond to the current and emerging
supervision, which in and of itself is a risk factor for the preventive and health promotion needs of infants, children,
initiation of substance abuse.52,53 and adolescents.”57 Each of Bright Futures’ three age-based
sections on adolescents (early, middle, and late) includes
Thus, there is an extreme urgency to train health care specific screening questions and suggestions for anticipatory
professionals to recognize SUD in the families they treat— guidance regarding the use of alcohol and other drugs.
not only in the children or adolescents who are the
identified patient but also in the important family members. The American Medical Association Guidelines for
Adolescent Preventive Services (GAPS) also include
guidelines for yearly tobacco, alcohol, and drug screening
Role of Health Professionals in Screening, and anticipatory guidance for adolescent patients.58 The
GAPS handbook includes a detailed management sche-
Intervention, and Referral matic for substance abuse screening, assessment, problem
Health professionals who provide care to children and identification, and treatment strategies.59 In a recent policy
adolescents can play an important role in the identification statement, the American Academy of Pediatrics (AAP)
and management of SUD. Their understanding of family Committee on Substance Abuse recommended that all
dynamics and their close, long-standing relationship pediatricians “be able to evaluate the nature and extent of
facilitate this role with the family. Information about family tobacco, alcohol, and other drug use among their patients
alcohol and other drug use should be obtained as part of …[and] to offer appropriate counseling about the risks of
routine history taking and when there are indications of substance abuse and to make an assessment as to whether
family dysfunction, child behavioral or emotional problems, additional counseling and referral may be needed.”60
school difficulties, or recurring episodes of apparent
Adherence to these guidelines, however, is quite low.
accidental trauma, or in situations where there are
According to the AAP’s 1997 member survey, only 45% of
recurrent or multiple vague somatic complaints by the
pediatricians routinely ask their adolescent patients about
child or adolescent. In many instances, family problems
alcohol or drug use, and only 5.2% screen for substance
with alcohol or drug use are not blatant, and their identifi-
abuse by means of a written questionnaire.61 A more recent
cation requires a deliberate and skilled screening effort.
study of preventive services in a group-model health
One study has shown that fewer than half of pediatri- maintenance organization found that physicians reported
cians ask about problems with alcohol when taking a screening only 41% of their adolescent patients for use of
family history.54 More family medicine practitioners than alcohol and drugs, and only 21% for drinking and driving.62
pediatricians asked about problems with alcohol, suggesting
that training and practice orientation may be important.
The likelihood of asking about problems with alcohol did Core Competencies for Addressing Children
not appear to be influenced by the pediatrician’s self-report and Adolescents in Families Affected by SUD
of knowledge about alcoholism but rather by whether the
pediatrician had a personal family history of problems with National leaders from pediatrics, family medicine, nursing,
alcohol.54 In a similar study focusing on recognition of social work, and adolescent health professional organiza-
family substance abuse among hospitalized children, tions collaborated in the development of a consensus
attending physicians identified only 5% of families subse- document, Core Competencies for Involvement of Health
quently determined to have alcoholic parents.55 Thirty- Care Providers in the Care of Children and Adolescents in
three percent of pediatric faculty reported feeling little or Families Affected by Substance Abuse (see Table 1).63 The
no responsibility for substance abuse referrals of their development of this document was a critical step in
patients’ family members. In contrast, Graham and attempting to clarify the pivotal role of the primary health
colleagues56 found that patients wanted their physicians to care professional in addressing the needs of children in
ask about family alcohol problems and felt that the families affected by SUD. It outlines a proposed model of
physician could help them and the abusing family member practice and delineates the desired knowledge and skills of
deal with their problems. It is easy to infer from these health professionals in this area. The document attempts to
findings that patients look to their primary care providers recognize and account for individual differences among
for help and guidance. health providers. Further, it recognizes that although
primary health professionals may be responsible for

136 ADGER AND LEFF

identifying the problem, they should not be expected to Table 1. Core Competencies for Health Care
manage it by themselves. Accordingly, three distinct levels Providers in the Care of Children and Adolescents
of care are articulated that allow for flexibility of individu- in Families Affected by Substance Abuse
als to choose their role and degree or level of involve-
ment. At the same time, a baseline or minimal level Level I
(Level I) of competence is established that all health For all health professionals with clinical responsibility for
professionals should strive to achieve. For health profes- the care of children and adolescents:
sionals who desire competence at a higher level (Levels II 1. Be aware of the medical, psychiatric, and behavioral syndromes
and III), a different and more advanced set of knowledge and symptoms with which children and adolescents in families
and skills is required. with substance abuse present.
2. Be aware of the potential benefit to both the child and the
Critical Issues and Challenges family of timely and early intervention.
3. Be familiar with community resources available for children
There are several critical issues involved in the identifica- and adolescents in families with substance abuse.
tion of children and adolescents affected by SUD. The first
4. As part of the general health assessment of children and
issues revolve around education. Many practitioners lack adolescents, include appropriate screening for family history or
current skills training, many fail to view SUD as a family current use of alcohol and other drugs.
issue, and many primary care providers are not linked 5. Based on screening results, determine family resource needs
with specialists who treat adolescents, adults, or families and services currently being provided, so that an appropriate
with SUD. In addition, some practitioners fear alienating level of care and follow-up can be recommended.
their patients and patients’ families by asking about 6. Be able to communicate an appropriate level of concern and
alcohol and other drug use. Hence, there is a need for offer information, support, and follow-up.
practitioners to learn to ask appropriate screening
questions in a sensitive, caring, and empathic manner and Level II
to respond to the needs of patients and their families. In addition to Level I competencies, health care providers
A second group of issues involves the practical accepting responsibility for prevention, assessment,
obstacles practitioners face in their daily work. The intervention, and coordination of care of children and
amount of time for office visits has decreased slightly adolescents in families with substance abuse should:
because of the financial pressure to see as many patients 1. Apprise the child and family of the nature of alcohol and other
as quickly as possible. There is no reimbursement for drug abuse and dependence and its impact on all family members
and strategies for achieving optimal health and recovery.
practitioners to screen for substance abuse, there is a lack
of a referral network for children and adolescents with 2. Recognize and treat, or refer, all associated health problems.
substance abuse-related problems, and there are inad- 3. Evaluate resources—physical health, economic, interpersonal,
equate treatment options for substance-abusing adoles- and social—to the degree necessary to formulate an initial
management plan.
cents. To address this group of obstacles would require a
commitment to change the reimbursement structure 4. Determine the need for involving family members and
significant other persons in the initial management plan.
within the medical profession both for primary care and
specialty substance abuse treatment. 5. Develop a long-term management plan in consideration of the
above standards and with the child or adolescent’s
A third group of critical issues involves the current
participation.
scientific knowledge in the field of adolescent substance
abuse and children of substance-abusing parents. There is Level III
little in the literature to guide the treatment of young In addition to Level I and II competencies, the health care
children of alcoholics or children of substance abusing provider with additional training who accepts responsibility
parents.64 In addition, there are few scientifically validated for long-term treatment of children and adolescents in
screening approaches for children, adolescents, and their families with substance abuse should:
families.65-67 Treatment of SUD in adolescents has only 1. Acquire knowledge, by training and experience, in the medical
recently become a focus of rigorously scientific scrutiny. and behavioral treatment of children in families affected by
More research in these areas, as well as the translation of substance abuse.
this research into clinical practice, should be a focus for 2. Continually monitor the child or adolescent’s health needs.
the scientific community. 3. Be knowledgeable about the proper use of consultations.
4. Throughout the course of health care treatment, continually
Overcoming Barriers to Addressing SUD monitor and treat, or refer for care, any psychiatric or
behavioral disturbances.
The underrecognition of SUD among children and 5. Be available to the child or adolescent and the family, as
adolescents and the failure to provide targeted services to needed, for ongoing care and support.
the children of substance-abusing parents are deeply

SUD IN CHILDREN AND ADOLESCENTS 137

engrained in our history and attitudes.68 A diagnosis of a addiction.56 In many respects, a shift in the cultural
SUD is still associated with shame and rejection and is paradigm of health care must occur, which enhances the
therefore avoided by children, families, and health care value and importance of behavioral and family health
providers. Barriers to intervention with patients and or within child and adolescent health care. The leaders of
their families include unfamiliarity with effective methods professional societies and government agencies who help
for detection, assessment, and early intervention with establish best-practices guidelines also must give priority to
families; time constraints; lack of financial incentives; lack this paradigm shift. The old concept that nothing can be
of adequate training; and lack of support from other done for a substance-abusing parent until he or she “hits
professionals. Although health professions training in bottom” has been replaced by successful techniques for
communication skills, family systems theory, behavioral earlier intervention. The idea that attainment of abstinence
interventions, and related issues is improving, many by the parent is sufficient to reverse the family’s problems,
clinicians still express the concern that they lack knowl- and the notion that nothing can be done to help the child
edge and skills in this area. Furthermore, many health as long as the parent continues to drink or use drugs, are
professionals still believe that asking such questions may be two common misconceptions among health care providers
perceived as intrusive and will alienate families. Unless that need to be avoided.
health professionals can demonstrate a nonjudgmental
attitude, a genuine willingness to help, and a feeling of
hopefulness, only the most advanced cases will be de- Summary and Vision for the Future
tected. Primary care practitioners and other generalist health
Health care professionals commonly note a lack of professionals encounter large numbers of children, adoles-
adequate skills for interviewing families and adolescents, cents, and families who have alcohol and other drug-
providing effective interventions for behavioral health related problems. In this paper, we have attempted to
problems, and handling denial by family members. The address some of the issues that are unique to children and
most common reason cited by health care professionals for adolescents. Many of the challenges facing primary health
not discussing sensitive topics such as parental substance professionals to identify SUD in children, adolescents, and
abuse is a lack of time. Having a clear sense of the goals, their families were outlined. It is apparent that more
methods, and structure of a screening interview may resources need to be identified and committed to this
relieve the sense of time constraint. Involving staff in an important health problem. If health professionals were
officewide screening program or using patient or parental taught the skills to screen and identify SUD in children,
written questionnaires that include substance use screening adolescents and their families, there would be a significant
questions may also be useful. A recent guide for health impact on the public health of the Nation.
professionals developed by the National Association for It is clear that the comorbidity of substance abuse and
Children of Alcoholics and the Center for Substance Abuse psychiatric disorders is a serious problem and that patients
Prevention attempts to do just this.69 with SUD and other psychiatric disorders have a much
The attitudes and beliefs of the health care professional more difficult recovery and do less well in treatment.
can also be a barrier. Some providers feel that mental However, if substance abuse is identified and treated in its
health or addiction treatment professionals should handle early stages, the probability of recovery improves tremen-
SUD. Many health care professionals avoid looking for dously. Therefore, it is imperative that efforts be made to
behavioral or substance abuse problems because they are identify substance abuse among youth and that resources
uncertain about how to handle the problem once uncov- be allocated for the intervention and treatment of adoles-
ered. They rationalize that there is no way to help the cent substance abuse.
patient or family, anyway. Some health care professionals Substance abuse in families has a deleterious impact
have attempted to address SUD or other family problems in not only on the affected adult but also on the children in
the past and experienced discomfort, anger, or resentment these families. Children of substance-abusing parents are at
toward them and, as a result, are reluctant to try again. risk for a number of adverse health outcomes. These
Overcoming these barriers requires continuing children could benefit from a variety of supportive inter-
education in the necessary knowledge, skills, and attitudes ventions. Unfortunately, the majority of these children are
outlined in the accompanying guidelines. Such education not even recognized by their health professional. Health
must begin during undergraduate health professions professionals who provide care to children and adolescents
training and should be reinforced by role modeling among can play an important role in the identification and
health professions faculty as well as practicing providers. management of SUD, but many lack in the needed
A recent study found that resident physicians record more knowledge and skills. There is an extreme urgency to train
information about alcohol and drug use if their faculty health care professionals to recognize, intervene, and treat
preceptors have themselves received training about SUD. Primary health care professionals must be educated

138 ADGER AND LEFF

about and learn the skills needed to enable them to screen Finally, we need to continue to narrow the gap
for SUD in children, adolescents, and their families. In between research and practice. While there is an emerging
addition, they need to learn how to intervene in a sensi- body of literature that is specific to children and adoles-
tive, caring, supportive, and empathic manner. cents, there needs to be a specific focus on research to
In order to enhance the role of primary health develop valid and reliable screening tools that are specific
professionals in the care of children and adolescents and to this population. There needs to be a continued focus on
families affected by SUD, current barriers that limit their prevention and treatment programs and approaches that
involvement need to be removed. The lack of reimburse- work for children and adolescents and on the development
ment and time constraints are two powerful barriers that of resources for patients and families that are needed to
need serious attention. Other important barriers include support intervention efforts of practitioners. It is important
suboptimal early intervention and treatment resources. that we define the extent to which children benefit from
Unless these barriers are eliminated, children and adoles- early intervention and determine which treatment strate-
cents will remain at risk. gies are needed to optimize their well-being.

SUD IN CHILDREN AND ADOLESCENTS 139

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of Medicine Report. Washington, DC: National Academy Press; 58. Elster A, Kunzites N. AMA Guidelines for Adolescent Preven-
1996. tive Services (GAPS). Baltimore, Md.: Williams & Wilkins; 1994
41. Tarter RE, Kabene M, Escallier EA, Laird SB, Jacob T. Tempera- 59. Livener P, Elster A. AMA Guidelines for Adolescent Preventive
ment deviation and risk for alcoholism. Alcohol Clin Exp Res. Services (GAPS): Clinical Evaluation and Management Hand-
1990;14(3): 380-82. book. Chicago, Ill.: American Medical Association; 1995.
42. Kuperman S, Scholosser S, Lindral J, Reich W. Relationship of 60. American Academy of Pediatrics. Tobacco, alcohol, and other
child psychopathology to parental alcoholism and antisocial drugs: The role of the pediatrician in prevention and manage-
personality disorder. J Am Acad Child Adolesc Psychiatry. ment of substance abuse. Pediatrics. 1998;101:125-128.
1999;38:686-692.
61. American Academy of Pediatrics. Periodic Survey of Fellows
43. Hill SY, Lower L, Locke J, Snidman N, Kagan J. Behavioral inhi- #31: Practices and Attitudes Toward Adolescent Drug Screen-
bition in children from families at high risk for developing alco- ing. Elk Grove Village, III.: American Academy of Pediatrics;
holism. J Am Acad Child Adolesc Psychiatry. 1999;38:410-417. 1997.
44. Howard J, Beckwith L. Issues in subject recruitment and reten- 62. Halpern-Felser B, Ozer E, Millstein S, et al. Preventive services
tion with pregnant and parenting substance-abusing women. in a health maintenance organization. Arch Pediatr Adolesc
NIDA Res Monogr Series. 1996;166:68-86. Med. 2000;154:173-179.
45. Sinclair E. Head Start children at risk: Relationship of prenatal 63. Adger H Jr, Macdonald DI, Wenger S. Core competencies for
drug exposure of special needs and subsequent special educa- involvement of health care providers in the care of children
tion kindergarten placement. Behav Disorders. 1998;23(2):125- and adolescents in families affected by substance abuse. Pediat-
133. rics. 1999;103(5, pt 2):1083-1084
46. Lester BM, LaGasse LL, Seifer R. Cocaine exposure and chil- 64. Weinberg NZ, Glantz MD. Child psychopathology risk factors
dren: The meaning of subtle effects. Science. 1998; for drug abuse: overview. J Clin Child Psychol. 1999;28(3):
282(5389):633-634. 290-297.
47. Wilens, TE, Biederman J, Kiely K, Bredin E, Spencer TJ. Pilot 65. Winters K. Screening and Assessing Adolescents for Substance
study of behavioral and emotional disturbances in the high-risk Use Disorders: Treatment Improvement Protocol (TIP) Series.
children of parents with opioid dependence. J Am Acad Child Vol 31. Rockville, Md.: Department of Health and Human Ser-
Adolesc Psychiatry. 1995;34(6):779-85. vices; 1999. Publication (SMA) 99-3282.
48. Stanger C, Higgins ST, Bickel WK, Elk R, Grabowski J, Schmitz 66. Werner MJ, Joffe AJ, Graham AV. Screening, early identifica-
J, Amass L, Kirby KC, Seracini AM. Behavioral and emotional tion, and office-based intervention for children and youth liv-
problems among children of cocaine- and opiate-dependent ing in substance-abusing families. Pediatrics. 1999;103(5, pt
parents. J Am Acad Child Adolesc Psychiatry. 1999;38:421- 2);1099-1111.
428.
67. Knight JR. The role of the primary provider in preventing and
49. Clark DB, Pollock N, Bukstein OG, Mezzich AC, Bromberger treating alcohol problems in adolescents. Ambulatory Pediat-
JT, Donovan JE. Gender and comorbid psychopathology in ado- rics. 2001;1:150-161.
lescents with alcohol dependence. J Am Acad Child Adolesc
Psychiatry. 1997;36:1195-1203. 68. Macdonald DI, Blume SB. Children of Alcoholics. Am J Dis
Child. 1986;140:750-754.
50. Merikangas KR, Stolar M, Stevens DE, Goulet J, Preisig MA,
Fenton B, Zhang H, O’Malley SS, Rounsaville BJ. Familial trans- 69. Adger H, Blondell R, Cooney J, Finch J, Gramham, AV,
mission of substance use disorders. Arch Gen Psychiatry. Macdonald DI, et al.. Helping Children and Adolescents in
1998;55:973-979. Families Affected by Substance Use: A Guide for Health Pro-
fessionals. Bethesda, Md.: National Association for Children of
51. Nunes EV, Weissman MM, Goldstein RB, McAvay G, Seracini Alcoholics and Center for Substance Abuse Prevention; 2002.
AM, Verdeli H, Wickramaratne PJ. Psychopathology in children
of parents with opiate dependence and/or major depression. J
Am Acad Child Adolesc Psychiatry. 1998;37:1142-1151.

SUD IN CHILDREN AND ADOLESCENTS 141

 CHAPTER 7

Recognizing and Treating Dual Diagnosis

in General Health Care Settings:
Core Competencies and How to Achieve Them
KATHLEEN T. BRADY, MD, PHD

Introduction
Psychiatric symptoms and psychiatric disorders are common among individuals with substance
use disorders (SUD). “Dual diagnosis” is a term that refers to patients who have both a psychiat-
ric and a SUD. Dual diagnosis can be difficult to assess because substances of abuse can cause
psychiatric symptoms that are time-limited but indistinguishable from those seen in many
psychiatric disorders. In fact, substance withdrawal or acute intoxication can mimic almost any
psychiatric disorder. On the other hand, psychiatric disorders are commonly seen in individuals
with SUD, and treating the psychiatric illness can improve the substance-related illness. In
general, patients with a dual diagnosis are more difficult to treat than patients who have only
one disorder because the former require an integrated approach that addresses both problems.
Both psychiatric disorders and SUD are commonly found in primary care settings. About
20% of primary care outpatients have a current psychiatric disorder, and 20% to 25% have a
substance use disorder.1 SUD are more common in individuals with psychiatric disorders than in
the general population, and psychiatric disorders are common in individuals with SUD. One
epidemiologic survey indicates that 45% of individuals with an alcohol use disorder and 72% of
individuals with a drug use disorder meet criteria for another psychiatric disorder.2
The most common psychiatric disorders associated with SUD are mood and anxiety
disorders, attention deficit disorder, and antisocial personality disorder. It is also important to
note that addiction to more than one substance is common among substance users. Nearly 35%
of cocaine-dependent individuals are estimated to be alcohol-dependent.3 Recognition of these
comorbidities is an important issue for appropriate treatment.
Sometimes both the substance abuse and the psychiatric problems are hidden, and the
patient may present with somatic complaints or sleep disturbance. In other instances, either the
psychiatric illness or the SUD may be the focus of treatment. Establishing a concurrent psychiat-
ric diagnosis among active substance abusers can be difficult, but it is of critical importance for
appropriate treatment planning.
There is little formal training in dual diagnosis for health care providers of any discipline
with the exception of psychiatry. Training and general competencies in substance abuse are yet
to be established and accepted by most of the disciplines in the health care field. This effort to
standardize and systematize the knowledge base and competencies for health care professionals
in the assessment and treatment of substance use disorders provides the ideal forum to begin
the process of including dual diagnosis in the consideration of SUD. The addition of this level of
sophistication in training and clinical care initiatives can provide an important component to
clinical care and improve patient outcomes.
This article emphasizes the need for psychiatric screening of all substance abusers and
suggests general strategies for establishing a psychiatric diagnosis. Specific treatment strategies
are discussed and basic competencies suggested.

143
Diagnostic Issues remain on methadone for years. Generally, psychiatric
symptoms and disorders are often evaluated, diagnosed,
The relationship between psychiatric symptoms and and treated after the individual has reached a stable dosage
substance use is complex. Psychiatric symptoms in the of methadone rather than requiring withdrawal of the
context of substance use may be caused by the biologic agent for diagnostic purposes. This principle may also apply
effects of alcohol or other drugs, the psychosocial conse- to individuals who require chronic treatment with other
quences of addiction, underlying personality traits, or the agents (e.g., benzodiazepines or other sedative-hypnotic/
presence of a coexisting psychiatric disorder(s). If the anxiolytics) that can produce psychiatric sequelae.
symptoms of depression, anxiety, psychosis, or mania are
secondary to withdrawal, intoxication, or chronic use, they
Screening and Assessing Psychiatric Disorders
tend to be transient and remit with abstinence.
The most common psychiatric disorders seen in individuals
In establishing the presence of a coexisting psychiatric with SUD in a primary care setting are affective and
disorder in an individual with active substance use, the anxiety disorders, attention deficit disorder, and personality
clinical recommendation is to delay establishing a diagnosis disorders. Pattern recognition of these common mental
until an individual has had 2 to 4 weeks of abstinence. This health problems is important. Depression and anxiety
is often difficult to accomplish, particularly as inpatient symptoms commonly occur together and are often masked
hospitalizations are becoming less frequent and shorter. by somatic symptoms or medical illness. Clinicians should
The length of abstinence necessary for diagnosis will vary have a high index of suspicion for affective or anxiety
between psychiatric diagnoses under consideration and disorders when a patient complains of unexplained vague
differ by substance of abuse. A lengthy period of abstinence physical symptoms or sleep disturbance, does not respond
is more important in the diagnosis of some disorders than to usual treatments, admits to substance use, or has a
of others. In general, those disorders that have the most family history of psychiatric disorders or SUD.
symptom overlap in withdrawal states (i.e., depression,
dysthymia, generalized anxiety disorder) require the There are several psychiatric screening questionnaires
longest periods of abstinence for accurate diagnosis. On the available to help the non-psychiatrist screen for psychiatric
other hand, disorders with key symptoms that are not disorders. These include the Primary Care Evaluation of
mimicked by withdrawal states (obsessive-compulsive Mental Disorders (PRIME-MD), the Symptom-Driven
disorder, social or specific phobias) can be diagnosed with Diagnostic System for Primary Care (SDDS-PC), and the
greater confidence after shorter periods of abstinence. Diagnostic and Statistical Manual of Mental Disorders,
Some psychiatric disorders can be mimicked by acute Fourth Edition—Primary Care Version (DSM-IV-PC), Table
intoxication with certain substances (compulsive behaviors 1.4-6 The DSM-IV-PC is an excellent resource for informa-
and cocaine use), but a provisional diagnosis can be made tion concerning psychiatric disorders for non-psychiatrists.
once the acute intoxication has passed. In many cases, It includes discussions of epidemiology, primary care
individuals unwilling to go to inpatient care are unable to presentation, differential diagnosis, and common associated
attain 2 to 4 weeks of abstinence as outpatients. In such conditions, as well as assessment algorithms with step-by-
cases, a provisional diagnosis can often be made after step instructions for diagnosis.
shorter than optimal periods of abstinence, as long as the Alternatively, screening tools specifically targeting
clinician continues to monitor for patient safety and depression and anxiety can be helpful in measuring severity
changes in severity and number of symptoms during or frequency of symptoms. Commonly used instruments
increasing periods of abstinence. include the Beck Depression Inventory (BDI), the Hamilton
The substance abused also affects the assessment of Depression Scale (HAM-D), the Hamilton Anxiety Scale
dual diagnosis. The drug-free period necessary for diagnos- (HAM-A), and the Zung Self-Rating Depression Scale.7-10
tic purposes varies considerably, depending on the half-life The HAM-D and HAM-A are administered by clinicians,
of the agent involved. The length of acute and protracted and the BDI and Zung are self-administered questionnaires.
abstinence associated with specific drugs is generally a
direct function of the half-life of the agent. Agents with Substance Abuse Screening
long half-lives require longer periods of abstinence before a Substance use screening tools appropriate for use in
psychiatric diagnosis can be made. In the case of stimu- primary care settings are described elsewhere in this
lants, the half-life of cocaine is less than 1 hour and that of volume and are not reviewed in detail in this chapter. It is
d-amphetamine is approximately 10–15 hours. For of critical importance, however, that individuals treated for
benzodiazepines, the half-life of diazepam is approximately psychiatric disorders also be screened and carefully
48–72 hours; that of alprazolam is approximately 8–12 assessed for SUD. This is of particular importance because
hours. For opiates, the half-life of heroin is approximately it is likely that the threshold for damaging use of substances
2–3 hours, and that of methadone is approximately 15–40 is lower for individuals with psychiatric disorders than for
hours. Individuals on methadone maintenance present a other individuals. Individuals with psychiatric disorders are
special case for psychiatric diagnosis, because they may also at greater risk for developing abuse and dependence

144 BRADY
Table 1: General Psychiatric Screening Questionnaires
Questionnaire Disorders Screened Test Characteristics

SDDS-PC Alcohol dependence, drug dependence, A 26-item, self-administered screen with

major depression/suicide, anxiety disorders diagnostic module for confirmation
PRIME-MD Mood disorders, anxiety disorders, somatoform, Can be completed in 10 minutes
bulimia, alcohol dependence
DSM-IV-PC All Excellent reference; the “gold standard”

than are individuals in the general population who may Buspirone treatment can improve retention in treatment
abuse substances without developing harmful and long- and decrease alcohol use in anxious alcoholics.19 Finally,
lasting sequelae. Aggressive assessment and treatment of several studies suggest that treatment with some of the
substance use in individuals with psychiatric disorders can newer antipsychotic agents, such as clozapine and
prevent the worsening of both the psychiatric disorder and olanzapine, can decrease substance use in schizophrenic
the SUD. patients who also have a SUD.20
Screening for SUD can be aided with tools such as the There are several considerations in choosing specific
CAGE, the Michigan Alcoholism Screening Test (MAST), medications. In general, medications that cause physical
the Alcohol Use Disorders Identification Test (AUDIT), and dependence, especially benzodiazepines, barbiturates, and
the Drug Abuse Screening Test (DAST).11-14 A clinical stimulants, should be avoided. Exceptions to this rule
interview that includes questions about quantity and include the use of sedatives during detoxification and the
frequency of use in an empathic, nonjudgmental manner is acute management of anxiety syndromes while other
still probably the best diagnostic tool. In the initial evalua- medications begin to take effect. For example, the dually
tions of psychiatric or substance abuse problems, there is diagnosed patient with panic disorder and agoraphobia may
much to be gained from contacting a family member, benefit from short-term benzodiazepines during the 2-week
significant other, or friend. Current and lifetime history of period before an antidepressant becomes effective.
symptoms and problems can be elaborated on, including a Clinicians prescribing for dually diagnosed patients
family history of addictions and psychiatric disorders. should also be aware of any toxic interactions between
Family or friends can provide invaluable information in substances of abuse and specific psychotropic medications.
establishing a diagnosis, evaluating the patient’s environ- For instance, disulfiram inhibits dopamine-beta-hydroxylase
ment and support system, initiating treatment, and and may, therefore, exacerbate psychosis in individuals
establishing a treatment alliance. with schizophrenia. Finally, because dually diagnosed
patients may be susceptible to inadvertent or intentional
overdose, the safety profile of the agent should be kept in
Treatment Strategies and Principles mind. The newer antidepressant and anxiolytic agents have
The treatment plan for an individual with a dual diagnosis a more favorable therapeutic window than do the tricyclic
should consider biologic, psychological, and social interven- and monoamine oxidase inhibitor antidepressant agents
tions that target both the specific psychiatric disorder and the (see Table 2).
SUD. The overall treatment plan should include a consider-
While certain agents should be avoided in individuals
ation of both medication and psychosocial interventions.
with SUD, others may provide the added benefit of treating
both the substance use and the psychiatric disorder. An
General Pharmacotherapy Considerations example of this is the use of bupropion in treating a
The appropriate use of medications is becoming increas- depressed individual who wants to quit cigarette use. The
ingly important as data accumulate to suggest that medica- selective serotonin reuptake inhibitors have been shown in
tion treatment of a psychiatric disorder may improve the animal studies, as well as in some clinical studies, to
substance-related outcomes for dually diagnosed individu- decrease alcohol consumption.21 The safety profile of these
als. The use of antidepressant medications in depressed agents, combined with the possibility that they may
alcoholic patients improved both the symptoms of depres- decrease alcohol consumption, makes them a logical choice
sion and the alcohol-related outcomes.15-17 In another study, in many dually diagnosed patients with affective or anxiety
treatment with a mood-stabilizing agent, carbamazepine, disorders.
was associated with decreased cocaine use in a group of
patients with bipolar disorder and cocaine dependence.18

PAT I E N T S W I T H D U A L D I A G N O S I S 145
Table 2: Psychotropic Drugs and Substances of Abuse
Therapeutic Agent Potential Risk/Interactions in Substance Users

Antidepressants Tricyclic antidepressants Alcohol use may induce metabolism, decrease levels.
Additive cardiotoxicity with stimulants.
Monoamine oxidase inhibitors Tyramine present in alcoholic beverages may produce pressor response—
hypertensive crisis.
Potentiation of sympathomimetic effects of stimulants—
hypertension/hyperpyrexia.
Toxic interaction with meperidine (hypertensive crisis).
Selective serotonin reuptake inhibitors Specific interactions not documented.
May decrease alcohol use.
Bupropion Useful in nicotine dependence.
Mood Stabilizers Lithium Specific interactions not documented.
Valproic acid Liver toxicity.
Carbamazepine Liver toxicity.
Neuroleptic Agents Increased risk for akathisia/dystonia.
Risk for hyperpyrexia in combination with stimulants.
Benzodiazepines Abuse potential.
Stimulants Methylphenidate Abuse potential.
Amphetamine Abuse potential.

Psychosocial Interventions The patient’s acceptance of a problem and willingness

Psychosocial interventions readily implemented in the to engage in treatment are important predictors of clinical
primary care setting include (1) providing education and outcomes. Motivation is an important treatment-matching
support, (2) using motivational enhancement therapy factor. Whether treated in a primary care or psychiatric
(MET), (3) supporting relapse prevention treatment efforts, setting, many patients with an active substance use
and (4) making referrals to 12-step programs and other disorder (including nicotine dependence) have low
support groups. The Fifteen-Minute Hour: Applied motivation to stop using substances. MET helps build the
Psychotherapy for the Primary Care Physician presents an patient’s motivation for change and commitment to change
excellent approach to psychosocial interventions.22 It by encouraging an empathic interviewing style and
emphasizes the importance of communication, assessing strategies such as attempting to elicit self-motivational
psychosocial issues, and implementing specific straightfor- statements, weighing the pros and cons of changing, and
ward strategies to help patients and improve compliance making a change plan.23 MET encourages goal making,
with treatment. including the identification of simple tasks that are attain-
able. The clinician serves as a supportive “coach” who
Patient education about dual diagnosis can reduce the
assesses the patient’s progress and helps the patient stay
likelihood of progression from a substance use or psychiat-
motivated and committed to treatment and recovery from
ric disorder to a dual diagnosis. There are numerous
both disorders. The clinician supplies support, encourage-
opportunities for primary prevention of a secondary
ment, and interest and helps the patient feel competent
disorder, and these prevention strategies can be carried out
and connected. MET has been used successfully with
in clinical settings. For example, psychiatric patients should
dually diagnosed patients to encourage engagement in
be advised about the risks of using substances as a coping
substance abuse treatment.24
technique during periods of stress and loss. Substance
abusers can be given information about better managing Involving family members or close friends in the
and expressing feelings of depression and anxiety and treatment plan is important to initiate abstinence and
about more appropriate methods of handling insomnia and support relapse prevention. This process begins with the
somatic complaints. initial evaluation of the patient. Information concerning the
family’s connection with the patient, their awareness of the

146 BRADY
patient’s problems, and their willingness to be involved in violence). In this regard, it is surprising that assessment and
the treatment is critical in treatment planning. An involved treatment of SUD has not become a more prominent
family can encourage the treatment efforts, mobilize social concept in the training of all health care professionals.
support, and monitor the patient’s progress and compliance Barriers to training in dual diagnosis are identical to those
with medications and subsequent appointments. that interfere with the establishment of core competencies
In addition to the self-help groups such as Alcoholics in SUD, which are well delineated in other chapters in this
Anonymous (AA) and Narcotics Anonymous (NA) for volume. For dual diagnosis, however, there are probably
addictive disorders, a variety of other support groups are some additional impediments. They include the following:
available to the individual with a dual diagnosis (see Table
3). These groups provide outstanding resources and Complexity of Diagnosis and Treatment
support, and they are increasing their commitment to the With the explosion of developments in the scientific and
dually diagnosed. treatment areas, coupled with the expectation that health
care providers develop expertise in many psychosocial
For individuals with a SUD, 12-step programs can be
issues that have profound effects on public health, the
very helpful. There are several unique issues that need to
knowledge base and training expectations in health fields
be considered, however, for dually diagnosed individuals.
have become overwhelming. This places strains on already
Peers at 12-step meetings may have misinformation about
over-burdened curricula. It may be difficult to find time to
mental illness and may minimize the need for medications.
add training not only in SUD but also in the more subtle
Some dually diagnosed individuals report that they do not
and complex area of dual diagnosis. The connection
feel accepted by their peers and have been told to stop
between substance use and many of our most common
taking their psychiatric medications. One important book,
medical and societal problems cannot be overemphasized
The AA Member: Medications and Other Drugs, can help
in making the case for dedicated time for training. The
these individuals educate misinformed peers.25 This book
close connection between psychiatric disorders and SUD is
supports the concept that medication decisions are made
critical in making the case for training in dual diagnosis.
between the patient and a knowledgeable physician, and
The importance of addressing dual diagnosis in order to
that medication can be appropriate and necessary for dually
maximize patient outcomes must be stressed. The fact that
diagnosed individuals. Nonetheless, in practice, individuals
neither substance use nor psychiatric disorders can be
with a psychiatric disorder are often stigmatized and feel
adequately or appropriately treated without knowledge of
isolated. Dual Recovery Anonymous and other types of
the interactions between the two disorders is key. Any
modified 12-step groups were developed to address the
push to overcome the barriers to fuller integration of issues
needs of dually diagnosed individuals.
related to SUD into health care professional training
programs must include dual diagnosis. This coupling of
Barriers to Achieving Core Competencies curricula makes sense in terms of the most efficient and
systematic method for providing training. Appropriate
There are a number of barriers to achieving the core
assessment and treatment of dual diagnosis is a part of the
competencies addressed in the recommendations that
assessment and treatment of SUD and can be best taught
appear at the end of this chapter. Clinicians are increasingly
and understood as such.
expected to develop expertise in areas not previously
thought to be within their domain, such as bioethics,
multicultural diversity, child abuse, domestic violence, and
Health Care Financing
SUD. Of all these issues, SUD are probably the most Another set of barriers to adequate assessment and
prevalent and problematic. SUD also play a major role in treatment of dual diagnosis is related to the funding of
many of the other psychosocial problems troubling the treatment. In an era of shrinking health care resources,
United States today (e.g., child abuse and domestic assessing for both psychiatric disorders and SUD and

Table 3: National Organizations Providing Information on Psychiatric Disorders

National Alliance for the Mentally III (NAMI) 800-950-NAMI

National Foundation for Depressive Illness 800-248-4344
National Depressive and Manic Depressive Association (NDMDA) 800-82N-DMDA
Anxiety Disorders Association of America (ADAA) 301-231-9350
National Mental Health Association (NMHA) 800-969-NMHA
Depression and Related Affective Disorders Association (DRADA) 410-955-4647

PAT I E N T S W I T H D U A L D I A G N O S I S 147
exploring the relationship between the two in an individual Vision for the Future
case take time that is not well compensated. Health care
providers are likely to be reimbursed for the treatment of Ideally, substance abuse training, including training in dual
either a substance use disorder or a psychiatric disorder, but diagnosis, should become a mandated and critical part of
not both, in spite of the substantial data supporting the fact the training program for all health care professions. This
that integrated treatment provides the best treatment training should be conducted in a multidisciplinary fashion
outcomes.26 The other irony in the current health care in order to model the screening, assessment, and treatment
financing system is that it has been clearly demonstrated of individuals with dual diagnosis in real world practice
that substance use worsens the course and prognosis for settings. Competency in basic skills would be mandatory
schizophrenia, bipolar disorder, personality disorder, and a for licensure.
host of other psychiatric disorders, making hospitalization, Health care financing, both public and private, should
emergency room visits, and use of other costly health care adequately reimburse for appropriate screening, assess-
resources far more common in comorbid populations.27,28 ment, and treatment. If this change were made, it is likely
Despite this, the reimbursement system is not designed to that there would be an increase in treatment programs, as
encourage the assessment and treatment of both disorders. well as an increase in the number of professionals with
In general, reimbursement is based on the “primary” expertise and interest in treating patients with dual
diagnosis, making it financially disadvantageous for the diagnosis.
clinician to assess and treat any aggravating or contributing Even under ideal circumstances, it is likely that there
conditions. While most clinicians try to take the time to do will be a lack of specific expertise to diagnose and manage
what is best for patients, regardless of expected reimburse- complex dual-diagnosis cases in underpopulated rural
ment, these practical issues have an influence on day-to-day areas. A telecommunication network for ongoing consulta-
clinical practice. tion concerning diagnostic and management issues would
Changes in two interrelated areas are of critical be an excellent tool in overcoming this obstacle. This type
importance in improving the detection and treatment of of consultation has been used successfully in other areas of
dual diagnosis and SUD. While there are other barriers to medicine. There is currently a system in place at the
optimizing the treatment of dually diagnosed individuals, Medical University of South Carolina that uses
such as accessibility of treatment and availability of specific videoconferencing technology to provide psychiatric
expertise in certain geographical areas, these would be services to deaf individuals throughout the State by a
likely, in large part, to resolve if training and financial psychiatrist trained in sign language. On-line networks for
barriers were overcome. consultation would also help to maximize the use of
existing expertise in dual diagnosis.

148 BRADY
 Recommendations
Screening and Assessment

1. All clinicians should be knowledgeable in techniques used in the assess-

ment of the quantity and frequency of alcohol and other drug use in indi-
viduals with substance use disorders. They should be aware of the need to
routinely screen individuals with psychiatric disorders and psychiatric
symptoms for any and all alcohol and other drug use and for SUD in par-
ticular.
Rationale. Substances to be included in the screening procedure are tobacco products, alcohol,
prescription medications (sedative-hypnotics and narcotics), and illicit drugs (marijuana,
cocaine, opioids, and amphetamines). Selected screening instruments have been described, but
simple questions concerning use, quantity, and frequency, asked in an empathic and
nonjudgmental manner, may be one of the most effective means of gathering information from
individuals. Since individuals with psychiatric disorders are at risk for the development of SUD,
the threshold for defining substance abuse should be lowered. Additionally, many psychiatric
symptoms and complaints may be a result of substance use (i.e., anxiety and alcohol with-
drawal). Screening for substance use in these cases will determine the appropriate approach to
addressing the symptoms.
Recommended Actions. Increase training regarding available alcohol and drug abuse
screening instruments, methods of determining other medication and drug use, and techniques
for incorporating screening for alcohol and drug use into routine clinical practice.
Responsible Agents. American Medical Association (AMA); American Society of Addiction
Medicine (ASAM), American Psychological Association, American Psychiatric Association,
medical schools, curriculum committees of other health professional schools (social work,
pharmacy, dentistry, public health, and psychology).
Expected Outcomes. The training and knowledge base of current and future health care
professionals concerning alcohol and medication/drug screening techniques, including tech-
niques to determine the frequency and quantity of the use of alcohol and drugs, would be
increased. There would be expanded screening of individuals with psychiatric disorders and
psychiatric complaints for substance use and SUD in clinical settings

2. All clinicians should be knowledgeable in the screening and assessment of

psychiatric complaints and disorders in individuals who use any illicit
substance, are moderate alcohol users, or have a substance use disorder.
Rationale. Depressive disorders and mood instability, anxiety disorders, and attention deficit
disorder are seen more commonly in individuals who use illicit substances, drink heavily, or
have a SUD. These symptoms and disorders are likely to interfere with recovery. Psychiatric
symptoms may also be caused by substance use. Knowledge concerning these symptoms and
the relationship between symptoms and substance use may provide leverage and incentive to
individuals to decrease use or abstain from use entirely. A self-report screening questionnaire,
followed by a targeted assessment, may be the most practical and thorough approach to the
assessment of such individuals.
Recommended Actions. Increase training regarding available psychiatric symptom screening
instruments and techniques, and techniques for incorporating screening for psychiatric symp-
toms and disorders into routine clinical practice.

PAT I E N T S W I T H D U A L D I A G N O S I S 149
 Responsible Agents. AMA, ASAM, American Psychological Association, American Psychiat-
ric Association, medical schools, curriculum committees of other health professional schools
(social work, pharmacy, dentistry, public health, and psychology).
Expected Outcomes. The training and knowledge base of current and future health care
professionals concerning psychiatric screening using standard instruments and interview
techniques would increase. There would be expanded screening of individuals with any
substance use and SUD for psychiatric illness in the clinical setting.

3. All current and future health care professionals should be aware of the
complex relationship between psychiatric symptoms, psychiatric disorders,
and substance use and the issues complicating psychiatric diagnosis in
individuals with substance use disorders.
Rationale. Making a psychiatric diagnosis can be difficult in individuals with SUD. There is the
danger of both overdiagnosis and underdiagnosis. It is important that the clinician be aware of
the major difficulties in diagnosis, the type of symptoms that are most likely to be overlapping,
and the critical issues concerning the timing of diagnosis.
Responsible Agents. AMA, ASAM, American Psychological Association, American Psychiat-
ric Association, medical schools, other committees of health professional schools (social work,
pharmacy, dentistry, public health, and psychology).
Expected Outcomes. There would be increased training and knowledge about the relationship
between psychiatric symptoms, psychiatric disorders, and substance use and abuse. Recognition
of the overlap between psychiatric disorders and SUD in the clinical setting would grow.

Initial Management and Referral

4. All current and future health care providers should be trained to provide
structured and targeted brief advice and intervention to assist patients with
psychiatric symptoms and disorders in cutting down or eliminating alcohol
and drug use. Advice and brief intervention may be part of early-detection
programs in clinical settings.
Rationale. For individuals with psychiatric symptoms or disorders, any alcohol consumption or
drug use may worsen their psychiatric presentation. Brief intervention may be important in
helping some at-risk individuals decrease use in the early stages of illness before costly, special-
ized treatment interventions become necessary. Brief alcohol interventions have been proven to
be effective. Training can be made available to professionals through preclinical and education
programs, continuing education (CE) credits, and other workshop opportunities. In a changing
health care delivery system, brief, effective methods of dealing with substance use problems will
be both clinically effective and cost-effective.
Recommended Actions. Develop preclinical and clinical brief intervention training materials
for clinicians working in a variety of mental and physical health care settings. Both didactic and
clinical training materials should be developed. Train clinicians in conducting brief interven-
tions. Such training should become an integral part of training programs for future professionals.
For those in active practice, make CE credits available for participation in workshops.
Responsible Agents. AMA, ASAM, American Psychological Association, American Psychiat-
ric Association, medical schools, curriculum committees of other health professional schools
(social work, pharmacy, dentistry, public health, and psychology).
Expected Outcomes. There would be increased training and knowledge about brief interven-
tions targeting alcohol and drug use, as well as greater use of brief interventions by providers for
patients with psychiatric symptoms and disorders and problematic alcohol or drug use.

150 BRADY
 5. All current and future health care professionals should be knowledgeable
about specific issues or problems concerning pharmacotherapy of dually
diagnosed patients.
Rationale. While some clinicians may not want to undertake the treatment of dually diagnosed
individuals, all clinicians should be aware of specific issues regarding the pharmacotherapy of
dually diagnosed patients. Specifically, clinicians should be familiar with medications that are
relatively contraindicated in individuals with SUD as well as medications that may provide some
preferential benefit to dually diagnosed individuals.
Recommended Actions. Develop preclinical and clinical training materials concerning
psychopharmacologic management of patients with particular attention to special considerations
in the substance abuse population. Integrate training on psychopharmacologic interventions in
substance abuse patients into the training programs for all professionals in the primary care and
mental health fields.
Responsible Agents. AMA, ASAM, American Psychological Association, American Psychiat-
ric Association, medical schools, curriculum committees of other health professional schools
(social work, pharmacy, dentistry, public health, and psychology).
Expected Outcomes. Training and knowledge about the appropriate use of psychopharmaco-
logic agents in individuals with SUD would increase.

6. All current and future health care professionals should be knowledgeable

concerning the appropriate resources in their community for consultation,
assessment, and treatment of dually diagnosed individuals.
Rationale. Health care providers should be able to consult with addiction specialists and refer
patients to alcohol and drug treatment programs, dual diagnosis treatment programs, and self-
help groups. The treatment of individuals with SUD, and in particular those with dual diagnosis,
requires multidisciplinary collaboration and consultation. Providers should be aware of local and
regional resources for consultation and referral.
Recommended Actions. Professional organizations and medical centers should develop and
keep current a list of individuals and facilities with expertise in the treatment of SUD in general
and dual diagnosis in particular.
Responsible Agents. AMA, ASAM, American Psychological Association, American Psychiat-
ric Association, medical schools, curriculum committees of other health professional schools
(social work, pharmacy, dentistry, public health, and psychology).
Expected Outcomes. There will be more frequent and appropriate referrals of dual-diagnosis
patients for specialized assessment and treatment.

Specialized Management

7. All current and future health care professionals providing detoxification

treatments should be knowledgeable about common psychiatric conditions
that complicate or are complicated by alcohol withdrawal. All clinics or
health care systems that provide detoxification services should make
adequate provisions for assessing and serving dually diagnosed patients.
Rationale. Certain psychiatric symptoms and disorders are exacerbated during withdrawal
from alcohol and other drugs. Considering the prevalence of comorbidity, knowledge concern-
ing appropriate assessment and treatment of these symptoms is critical for any professional
involved in detoxification treatment.

PAT I E N T S W I T H D U A L D I A G N O S I S 151
 Recommended Actions. Develop preclinical and clinical training materials on psychiatric
complications of alcohol or drug withdrawal and treatment protocols.
Responsible Agents. AMA, ASAM, American Psychological Association, American Psychiat-
ric Association, medical schools, curriculum committees of other health professional schools
(social work, pharmacy, dentistry, public health, and psychology), and regional and local medical
centers.
Expected Outcomes. Training and knowledge concerning the management of psychiatric
symptoms/disorders during alcohol or drug withdrawal would increase.

8. All current and future specialty care providers (addiction specialists,

addiction psychiatrists, and general psychiatrists) should be trained in
skills required for the initial management and treatment of patients with
psychiatric disorders or psychiatric symptoms and substance abuse or
dependence.
Rationale. Addiction specialists often receive too little training in psychiatric diagnosis and in
the overlap between psychiatric symptoms and substance use and withdrawal. Similarly,
psychiatric training often does not provide sufficient information concerning detection, diagno-
sis, and treatment of SUD. Both groups need cross-training in this area to be able to effectively
deal with dually diagnosed patients and substance-using patients with psychiatric complaints.
Recommended Actions. Incorporate clinical postgraduate training materials for specialty
providers on best practices for psychosocial interventions, including brief intervention tech-
niques, cognitive behavioral approaches, group- and individual-based approaches, medical/
psychiatric and pharmacological approaches, and aftercare.
Responsible Agents. AMA, ASAM, American Psychological Association, American Psychiat-
ric Association, medical schools, health professional schools (social work, pharmacy, dentistry,
public health, and psychology), regional and local medical centers.
Expected Outcomes. There would be increased training and knowledge for psychiatric and
addiction providers in pharmacological and psychosocial approaches to SUD. Outcomes for
psychiatric patients with SUD in specialty settings and for substance-using patients with
psychiatric disorders in specialty settings would increase.

These recommendations are educational in nature and their implementation will require
changes in the educational structure. Formal training programs at the graduate and postgraduate
levels must be supplemented with substance abuse and dual diagnosis modules and information.
Increased faculty training will be essential. For those who have completed their training,
information on these topics must be integrated into CE programs. For fields with certification
and accreditation programs, these programs can be used to emphasize the need for increased
knowledge and training in these areas and to measure the effectiveness of recommendations
and targeted educational programs.

Faculty Development

9. To ensure adequate training in the skills necessary for screening, interven-

tion, and treatment of substance use disorders in patients with psychiatric
disorders and the treatment of psychiatric symptoms in persons with
substance use disorders, resources should be provided on Federal, State,
and university levels to develop and train faculty mentors who will be
responsible for disseminating knowledge to current and future health care

152 BRADY
 professionals. A critical mass of trained faculty mentors is essential for
changing norms and for providing sufficient role models in this complex
area.
Rationale. There is empirical evidence that the use of faculty mentors generates opinion leaders
critical to influencing current and future generations of health care providers. Current health
care providers generally do not receive training in the complex area of dual diagnosis. It will be
essential to develop an infrastructure in training institutions capable of addressing these issues.
Recommended Actions. Increase funding for faculty development programs focusing on
SUD in psychiatric patients. Provide state-of-the-art curricula for faculty, fellows, and leaders
focused on SUD in psychiatric patients. Enhance the professional training for preclinical and
clinical trainees through the use of targeted curricula and training in best practices for psychiat-
ric patients who have SUD.
Responsible Agents. Health Resources and Services Administration /Bureau of Health
Professions (HRSA/BHPr), Agency for Health Care Quality (AHCQ), AMA, ASAM, American
Psychological Association, American Psychiatric Association, medical schools, curriculum
committees of other health professional schools (social work, pharmacy, dentistry, public health,
and psychology).
Expected Outcomes. Increased numbers of faculty mentors would be trained and motivated
to teach and mentor other health care providers and students in the treatment of dually
diagnosed individuals. There would be more required and elective curricula in professional
schools addressing individuals with comorbid substance use and psychiatric disorders.

10. Certification for health professionals in all disciplines caring for individu-
als with psychiatric disorders or SUD should include proficiencies in
screening, intervention, and treatment of individuals with comorbidity.
Rationale. Certification examinations and recommended proficiencies are often used as
guidelines for curriculum development and CE programs. As such, these proficiencies can
ensure that recommendation for education and faculty development are carried forward and are
not arbitrarily implemented.
Recommended Actions. Ensure that specialty and subspecialty board examinations include
content focused on comorbidity. Ensure that the content of licensing examinations for non-
physician providers includes material focused on comorbidity.
Responsible Agents. Accreditation Council for Graduate Medical Education, American Board
of Psychiatry and Neurology, American Board of Family Practice, American Board of Internal
Medicine, American Nurses Association, National Council of State Boards of Nursing, State
licensing boards for nursing, social work, counseling, dentistry, and psychology.
Expected Outcomes. The number of health professionals adequately trained in the assess-
ment and treatment of comorbidity would rise. Adherence with continuing education and
maintenance of clinical skills in the assessment and treatment of comorbidity would increase.

Conclusion
The comorbidity of psychiatric disorders and SUD is common and has a substantial impact on
the course of illness and treatment outcome. There have been exciting discoveries and improve-
ments in the treatment of dually diagnosed patients. It will be important to integrate informa-
tion concerning the assessment and treatment of these individuals into the training curricula
addressing SUD. It will also be critical to improve reimbursement for screening, assessment,
and treatment of dual diagnosis in order to optimize the use of a valuable and growing body of
evidence concerning optimal treatment for these individuals.

PAT I E N T S W I T H D U A L D I A G N O S I S 153
References
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12. Selzer ML. The Michigan Alcoholism Screening Test: the quest 26. Ries RK, Comtois KA. Illness severity and treatment services
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154 BRADY
 CHAPTER 8

Impairment Issues for Health Care Professionals:

Review and Recommendations
MARTHA E. BROWN, MD
ALISON M. TRINKOFF, RN, SCD, FAAN
ARDEN G. CHRISTEN, DDS, MSD, MA
ERNEST J. DOLE, PHARMD, FASHP, BCPS, CDE

Introduction
Substance abuse problems in the workforce, particularly among health care professionals, have
historically been ignored. However, substance abuse is one of the most pressing problems facing
health care professionals and the patients they treat. It adversely affects public health, safety,
and economic productivity. Alcohol and other drug problems often go unrecognized and thus
untreated, resulting in many deaths and illnesses. The National Institute of Mental Health
Epidemiologic Catchment Area program data on psychiatric and substance use epidemiology in
populations estimated that the lifetime prevalence of alcohol disorders in the United States is
23.8% for men and 4.7% for women.1 The overall lifetime prevalence of drug abuse and
dependency has been estimated at 6.2%.2 Schoenborn3 reports that 43% of U.S. adults have
been exposed to alcoholism because of having grown up with, marrying, or having a blood
relative affected by the disease.
If the rate of substance use disorders (SUD) among health professionals even approaches
that among the general population, professionals are at high risk; indeed, their risk may be even
greater because of the pressures under which they work and the fact that many of them are
exposed to drugs, including controlled substances, as part of their practice. Therefore, they need
to know how vulnerable they are to developing SUD and related problems. Buxton4 describes
“pharmacological optimism” as the confidence health professionals have in the ability of
medications to solve problems and relieve pain. That, combined with a sense of mastery in
administering substances and a familiarity with drugs, may lead a professional to feel that he or
she can use substances without harmful consequences.5 Professionals need to be prepared for
this reality so that they can recognize the signs of chemical dependency in colleagues or
themselves and intervene when necessary.6-8

Factors That Predispose Health Care compound these problems by creating a false sense of
immunity to impairment. Although the research is sparse in
Professionals to Alcohol and Drug Use many of these areas, the most consistent predictive factor
Several factors may predispose health care professionals to may be a family history of substance abuse—a factor that is
the use of alcohol and drugs. The unifying factor across all not unique to health care professionals.9,13
the health professions is easy access to drugs, which may Certain other features of health care work may
include prescribing or dispensing controlled substances. promote the likelihood of impairment or problem substance
Psychodynamic issues that predispose professionals to use. The “24/7” nature of many health care facilities,
impairment include a family history of substance abuse, coupled with staffing shortages and financial pressures, has
coming from a “dysfunctional” family, narcissistic personal- led to situations in which hours are increasing and collegial
ity characteristics or avoidance of intimacy with suppres- support is decreasing.14,15 Adverse scheduling itself has been
sion of feelings, stress in any aspect of life, abuse or associated with increased substance use. Trinkoff and
mistreatment during training, and unrealistic expectations Storr16 examined the relation of a nurse’s work schedule
of one’s career.9-12 Lack of substance abuse education can characteristics (i.e., shift rotation, weekends on, shift

155
length longer than 8 hours, and overtime) to substance use. who had ever used benzodiazepines and 23.1% of those
In general, the more adverse the nurse’s schedule charac- who had ever used an opiate (other than heroin) began
teristics, the greater the likelihood of substance use. using the drugs during their residencies. Self-treatment was
one of the reasons for use given by 75% of the respondents
who had used benzodiazepines and 51.6% of the respon-
Prevalence of SUD in Health Care dents who had used opiates.
Professionals
Several major studies have examined the prevalence of
Nurses
substance abuse and dependence in the general population; Studies using representative samples have found overall
however, studies of the prevalence among health care substance use rates in nurses to be comparable to those in
professionals are far more limited. Abuse of controlled the general population, despite earlier anecdotal work that
drugs is higher for health professionals than for the general suggested that nurses had much higher rates.24-27 Estimates
population, although use of illicit drugs and smoking may of problem use in nurses range from 6% to 8%.28,29 The
be lower. Prevalence data for physicians, nurses, dentists, Nurses Worklife and Health Study, an anonymous survey of
and pharmacists are summarized in the following para- substance use in 4,438 U.S. registered nurses (response
graphs. State-of-the-art information is more available for rate 78%), reported overall use rates similar to those of the
physicians, nurses, dentists, and pharmacists than for general population; however, nurses had elevated rates of
members of other health disciplines; therefore, only these prescription drug use compared with data from the
four professions will be presented. National Household Survey on Drug Abuse.30
Nurses with easier workplace access to controlled
Physicians substances reported more prescription drug misuse in the
The prevalence of alcohol and other drug problems in past year than did nurses without such access.31 Three
physicians has long been debated, and some have esti- workplace access dimensions were measured (availability,
mated that it is 30 to 100 times higher than that of the frequency of administration, workplace controls). When
general population. Brewster17 indicated that despite these were summed as an index, nurses with easy access
difficulties in interpreting the data, the prevalence of on all dimensions were more likely to have misused
problems among physicians may be no higher than it is in prescription-type drugs than were nurses without such
the general population. Subsequent empirical studies access. Similarly, an anonymous survey of drug use among
support this contention. Vaillant18 did a prospective study certified registered nurse anesthetists found that 10% of
over a 20-year period that showed that 45 physicians took respondents reported misuse of controlled drugs used in
more tranquilizers, sedatives, and stimulants than did 90 their practices.32 Pharmacological optimism may also
matched controls, but no differences were found in the use contribute to nurses’ beliefs that substance use is an
of alcohol or cigarettes. McAuliffe19 reported that 59% of acceptable way to address a problem or painful circum-
physicians and 78% of medical students had used psychoac- stance. Chemically dependent nurses in Missouri reported
tive drugs in their lives. In the prior year, 25% of physicians using substances to address physical and emotional pain.33
had abused prescription drugs and 10% had used drugs Other differences in substance use across nursing
recreationally, while 10% of physicians had current regular specialties have been noted, including higher past-year use
drug use and 3% had histories of dependence. Hughes and rates in emergency and psychiatric nurses.30 Plant34 and
colleagues20 surveyed 9,600 U.S. physicians in a study that Collins and colleagues 35 also found higher-than-average
had a 59% response rate. They found that physicians were rates of smoking in psychiatric nurses, and Collins and
more likely to use alcohol and to self-treat with prescription coworkers found significantly higher cocaine use in critical
medications (minor opiates and benzodiazepines) and less care nurses than in those in other specialties. Oncology
likely to use tobacco and illicit substances than was the nurses were more likely to drink alcohol (more than five
general population. Among physicians in treatment, drinks per occasion), as were nurses whose specialty was
anesthesiologists, psychiatrists, and family practitioners are administration.30 Nurses in specialties least likely to report
overrepresented.12,21,22 past-year substance use were those in pediatrics, women’s
Hughes and colleagues23 surveyed 3,000 resident health, and school and occupational health. Similar
physicians to determine the patterns of substance abuse patterns have been found among physicians, with higher
among medical residents. A total of 1,785 residents rates in psychiatrists and emergency medicine physicians,
received the survey, and the response rate was 60%. The suggesting that there may be etiologic factors in common
use of psychoactive substances in this group was generally among substance-using health care professionals.36
lower than it was among individuals in similar age groups
in the general population, although residents did have Dentists
higher rates of alcohol and benzodiazepine use than their In the 1980s and 1990s, 14% to 16% of dental students
age peers of the same gender. In addition, 31.4% of those and practicing dentists were reported to be at risk for

156 B R O W N , T R I N K O F F, C H R I S T E N , A N D D O L E
developing a SUD.37-40 In 1989, Oberg,41 using a conserva- Identification of Substance Abuse Problems
tive figure of 10%, estimated that 18,000 dentists were
chemically addicted. Kittelson42,43 is of the opinion that 5% The stigma of having a SUD and the limited substance
of practicing dentists are actively abusing chemical sub- abuse awareness in many health professionals can inhibit
stances and that 13% of these professionals have experi- early identification of substance-abusing professionals. In
enced a long-term problem with substance abuse. In a addition to lack of knowledge, attitudinal and organiza-
1997 American Dental Association (ADA) survey, 4% of tional barriers limit the likelihood of identifying and
participating dentists admitted that they had some kind of diagnosing problems. Faculty and students may serve as
drug problem and 20% were found to be at risk for enablers of impairment, be unaware that the affected
alcoholism or other drug dependency.37 person is displaying signs of impairment, or deny the
symptoms they see in a colleague.
Kittleson43 has stated that, according to anecdotal
evidence from Gropper and staff from the Talbott-Marsh Detection of SUD in the professional is often delayed
Recovery Campus, certain characteristics are common in by the ability of health professionals to protect their job
recovering dentists. For example, affected dentists were performance at the expense of every other area of their
likely to be dissatisfied with their career choice. They lives.51 Studies suggest that job performance is the last area
struggled with certain aspects of professional practice and of a professional’s life that is affected by their addiction,
resultant low professional esteem, including isolation and coming after family, community, health, and financial
fear of causing pain, coupled with ready access to sub- difficulties.52,53 Signs and symptoms of impairment in
stances.44 According to Gropper,44 dentists appear to be professionals include behaviors related to drug seeking,
particularly vulnerable to substance abuse when they are coming to work on days off, volunteering for overtime,
compulsive and perfectionist in their behavior, have a high making rounds at unusual times, and coming to work
need to be in control while simultaneously feeling very out while on vacation. The impairment may not be detected
of control, and use an avoidant style in managing interper- because such behaviors may be interpreted as evidence of
sonal relationships. Others have written about stresses and dedication to the job. Other disturbances in work behavior
hazards within dentistry that may support the development that can stem from impairment include self-medication;
of an addictive disorder, echoing the findings of those mood swings or other inappropriate behavior; unexplained
treating recovering dentists.45-47 These include the social absences; changes in dress, attitude, behavior, or profes-
and professional isolation of solo practice and perceived sional demeanor; complaints by office staff or patients (e.g.,
demands by patients for perfection, availability, and canceling appointments without obvious conflicts, changes
empathy. in handwriting, “broken beeper syndrome”); giving
unusual or inappropriate orders especially over the phone
at night; excessive consultations; changes in ordering and
Pharmacists
prescribing of mood-altering drugs; heavy drinking at staff
It is believed that pharmacists have substance use patterns functions; unexplained gaps in employment or frequent job
similar to those of physicians, although at a slightly lower changes; social isolation or avoidance of peers; and alcohol
prevalence.48 McAuliffe and colleagues49 surveyed 510 on the breath at work.54,55 Problems in other domains, such
randomly selected pharmacists and 470 pharmacy students as family conflict or separation and driving-while-intoxi-
in 1987. They found that 46% of the pharmacists and 62% cated charges, may accompany impairment.
of the students had used a controlled substance without a
prescription, with 19% of the pharmacists and 14% of the Despite the signs, an impaired professional may avoid
students using within the past year. detection because of his or her knowledge; the plausible
rationalizations he or she can provide if questioned;
Gallegos50 studied 2,015 professionals assessed by the possession of nonspecific job performance expectations;
Medical Association of Georgia’s Impaired Physician tenure status, especially in academic settings; “godlike”
program between 1975 and 1987. He found that nurses perceptions by others of the health care professional; and
and pharmacists were more likely than physicians or strong defensive denial.48,54,56 Those who recognize or
dentists to be addicted to more than one drug, although suspect impairment in a colleague or supervisor also may
nurses reported being addicted to substances from more encounter difficulties. These stem from persistent denial
than one drug class less often than did other health care and enabling behaviors by others and punitive attitudes,
professionals. Both pharmacists and nurses were less likely including threats of reprisal or legal difficulties, toward
to be abusing alcohol exclusively than were physicians and those who report their suspicions. Many hospital staff are
dentists. Pharmacists were less likely to use parenteral reluctant to get involved in any situation involving another
drugs and more likely to use stimulants than were the professional for fear that they will be perceived as “ratting
other health care professionals. Pharmacists also were out” or harming the career of colleagues. A lack of policies
found to use sedative and narcotic drugs frequently. or resources that support taking appropriate action can
discourage the individual who detects impairment from
intervening.

PROFESSIONALS IMPAIRED BY SUD 157

 Earlier identification and diagnosis of substance abuse programs, State boards, and similar groups recommend
symptoms are critical in order to combat professional specific treatment providers or facilities for the assessment.
impairment. Extensive education about the nature, causes, Few studies indicate what type of treatment setting (e.g.,
and prevention of substance abuse problems is required outpatient versus inpatient or residential), or what length
throughout the entire health care community in order to of treatment is most effective. Likewise, there are no data
develop effective programs.7 This will allow colleagues and to indicate whether specialized treatment programs for
family members to more quickly recognize that, when professionals are more effective than programs that treat
symptoms such as those just described are exhibited, a anyone.
professional may be developing a SUD. Treatment involves several components, including
detoxification if necessary; primary treatment where
patients learn about the disease and how it affects them;
Intervention and Treatment and aftercare and monitoring. Treatment may include
Chemically dependent professionals unfortunately do not penetrating the denial, education about the disease, helping
readily recognize their own impairments and often have a the patient connect with his or her feelings, identification
large amount of denial about what is happening in their of core issues, development of nonchemical coping skills,
lives. Denial (both the deliberate, conscious deception and family participation, developing relapse prevention strate-
the unconscious defense mechanism) is an almost universal gies, and involvement with self-help groups.7,51 Primary
characteristic of the disease of addiction.51 Guilt and shame treatment options include outpatient treatment, intensive
over past behaviors prevent health professionals from outpatient treatment, partial hospitalization, inpatient, and
admitting their problems, seeing the difficulties addiction residential programs.
has caused in their lives, and voluntarily seeking help. An
Treatment is very effective, particularly for profession-
intervention is often necessary when a professional is
als. Morse and colleagues58 compared data on 185 middle-
unaware of his or her addiction or unable to recognize the
class patients and 73 physicians similarly treated for
seriousness of addiction-related problems as a result of
substance abuse in an inpatient program. Eighty-three
denial.51,57
percent of the physicians, compared with 62% of the
An intervention is a procedure that is used to get the nonphysicians, had favorable outcomes. These researchers
professional to a comprehensive evaluation of the problem. concluded that close monitoring may account, in part, for
It is best carried out by a team of individuals significant to the better prognosis for physicians. Shore59 reported on 63
the professional who are knowledgeable about addiction addicted or impaired physicians who had been put on
and are able to be nonpunitive, objective, and caring. The probation with the Oregon Board of Medical Examiners.
intervention leader should carefully and quickly plan the After 8 years, 59% were still on probation and 75% were
intervention process, including setting goals for the rated as stable and improved. There was a significant
intervention and expediting the prompt referral for an difference in recovery rates between the monitored
assessment, treatment, or both.51 substance-abusing physicians and the unmonitored
Barriers to the intervention, as well as the motivations substance-abusing physicians (96% versus 64%, respec-
of the participating individuals, should be explored before tively). Random urine drug screening was believed to
the intervention is begun. Policies and procedures of the correlate with a positive outcome for the physician.
institution need to be reviewed in cases where an interven- Professional and peer referral and advocacy programs
tion is taking place in a hospital or medical center setting. have been developed by many local and State professional
The participants in the intervention should rehearse societies,12,60-64 based on the control they have over
together before they attempt the intervention. This will professional licensure. A variety of programs exist for
allow them to better anticipate the professional’s reaction physicians, dentists, psychologists, nurses, pharmacists,
and plan how they will handle anger directed at them or a counselors, and social workers, as well as for students of
refusal by the professional to go for assessment, treatment, these disciplines. These programs are often staffed by
or both. A plan of action concerning where, when, and volunteers (including recovering peers) at the local level.
how an assessment will be done, along with travel arrange- Staffing, funding, organization, and functioning vary greatly
ments, should be in place before the intervention begins. across professions. Within a particular profession, these
The intervention team should encourage the professional to factors also vary greatly across States.
go immediately for the assessment, since the anger, guilt,
The professional impairment network for physicians is
and shame that the professional is feeling may be over-
the most highly developed among the health professions. It
whelming and can lead to suicide.
uses models of therapeutic intervention and treatment to
A comprehensive assessment will determine whether guide its activities. In 1995, the Federation of State
the professional has a problem, the extent of the problem, Medical Boards (FSMB) adopted a national policy based on
and the type of treatment that may be effective. Many the Report of the Ad Hoc Committee on Physician Impair-
hospitals, physician health programs, impaired nursing ment.65 The document sets forth optimal treatment goals

158 B R O W N , T R I N K O F F, C H R I S T E N , A N D D O L E
and definitions of impairment. It includes descriptions of tion for health professionals should be used to develop
model treatment and relapse-management programs, as policy and formulate positions on nurses’ substance use
well as criteria for referral, evaluation, assessment, treat- treatment and intervention.
ment, and follow-up. Physician health programs (PHP) For dentists, the ADA House of Delegates adopted
address impairment in all 50 States, although not all Resolution 89H in 1984, directing the Council on Dental
function at the same level (several exist more on paper Practice (CDP) to establish the Advisory Committee on
than in actuality). Reporting requirements vary; some Chemical Dependency Issues (ACCDI). This body, a
States require reporting of impairment or relapses, while clearinghouse on substance abuse programs for dentists,
others serve only as advocates for voluntary participants. was also charged with suggesting intervention strategies
The strictly voluntary PHPs offer referrals and resources to and providing consultation and support to State and local
impaired physicians but do not report noncompliant dental societies in implementing impaired dentist pro-
physicians to their State boards. Some State boards require grams.42,44 With this guidance, States had the resources
professionals suspecting impairment to report their needed to establish their own substance abuse treatment
concerns to the State or the PHP, which then investigates programs. Since its formation, the ACCDI (now called the
and intervenes with the physician if impairment is found. Dentist Well-Being Advisory Committee) has worked
PHPs typically attempt to persuade the physician to effectively to educate the profession regarding dentist
seek treatment voluntarily. If this is unsuccessful, or if a impairment. For example, it offers a National Conference
physician relapses, they may take disciplinary action by on Chemical Dependency in the Dental Profession every
reporting the physician to the State board. After a physician other year. Since 1989, the CDP has published a compre-
has been reported, the PHP continues to act as an advo- hensive directory of chemical dependency services for
cate, seeking treatment for the physician and promoting an dentists that lists hotlines and contact persons.70 Most
eventual return to work. In the past 10 years, the Federa- States, through the dental society or the dental licensing
tion of State Physician Health Programs (FSPHP) has been authority, offer impaired dentists structured opportunities
developed and organized. Members include full- and part- to participate in primary treatment and monitoring
time State PHP medical directors. FSPHP has strived to programs.
develop a close relationship with the American Medical In 1982, the American Pharmaceutical Association
Association (AMA) and with State medical boards and to (APhA) officially recognized that substance abuse was a
provide a forum for exchange of information and for problem for pharmacists.49 The APhA House of Delegates
promotion of early intervention for impaired physicians. committed to support the establishment of programs for
In contrast to impaired physicians, for whom every impaired pharmacists and pharmacy students. A support
State provides some type of assistance, some States (less group for impaired pharmacists, International Pharmacists
than 10) use a punitive model of jail, employment termina- Anonymous (IPA), was organized in 1987.
tions, or both for addicted nurses. The remaining States
employ some type of “alternative-to-discipline” program.66
These alternative programs may be provided through State Education on Impairment for Health Care
nursing associations or boards of nursing. As punitive Professionals
interventions contradict research on drug use treatment,
Because of health professionals’ vulnerability to impair-
many nurses are advocating a shift to a treatment/peer
ment, information about the causes, risk factors, symptoms,
assistance model. Yocom66 compared the outcomes in
and treatment options for substance abuse needs to be
nurses who had participated in punitive versus alternative
developed further and to be taught to all professionals.
programs and found little difference in the rates of recov-
Professionals have an indispensable role in the prevention of
ery. Haack and Yocum67 examined longitudinal employ-
substance abuse, both in themselves and in their patients,
ment and relapse outcomes for disciplined nurses from
yet they often lack the education or insight to intervene.
States using a traditional punitive approach versus States
using an alternative-to-discipline diversion approach. They Brown71 conducted a survey at one medical school to
found that the alternative-to-discipline sample had more investigate the need for substance abuse prevention. A 72%
nurses with active licenses, fewer nurses with criminal response rate was obtained from one medical class. Of the
convictions, and more nurses employed in nursing 6 99 respondents, 25% had a possible current or previously
months after disciplinary action with no differences in treated SUYD as suggested by responses to a standard
relapses. Finke68 found that 64% of impaired nurses screening questionnaire and more than half believed they
completed a peer assistance program successfully. Given had family members with SUD. The students had exagger-
that treatment outcomes for physician alternative-to- ated perceptions of their classmates’ permissiveness toward
discipline programs have been reported to be successful,69 substance use. Moreover, the study revealed that many
this should be the model for the nursing profession. State- students would not seek assistance of a professional health
of-the-art knowledge of successful treatment and interven- committee for classmates impaired by SUD.

PROFESSIONALS IMPAIRED BY SUD 159

 Lack of substance abuse education compromises In 1988 the Pharmacology and Therapeutics Section of
physicians’ ability to recognize and treat substance abuse in the American Association of Dental Schools (AADS)
patients. Specific required substance abuse components are developed curriculum guidelines for instruction related to
offered by only 8% of U.S. medical schools.72 In 1998, the SUD.78,79 The guidelines recommend that the curriculum
Physician Leadership on National Drug Policy conducted a cover three categories of drugs with high abuse potential.77
national survey on policies related to drug problems and These include noncontrolled substances such as alcohol,
medical students’ perceptions about drug treatment.73 nicotine, caffeine, nitrous oxide, inhalants, and solvents;
Surveys were sent to a random sample of 15 medical controlled substances; and commonly used illegal drugs.
schools in 14 States; 1,256 students responded. Fifty-six Data on implementation of these guidelines have not been
percent of the students reported receiving little training on compiled.
substance abuse issues in medical school, and 20% Pharmacists can play an important role in substance
reported receiving no training. As a result of this training abuse training by participating in the education of other
gap, physicians may be addressing and treating health health professionals and patients concerning pharmacology,
problems caused by substance abuse without recognizing toxicology, and drug–drug interactions, as well as sub-
and treating the underlying addiction. stance abuse and dependence. Unfortunately, the psychoso-
Nurses also need to be taught the signs and symptoms cial and treatment aspects of substance abuse are generally
of impairment.74 They need to be provided with guidelines not strong programs in many colleges of pharmacy.80
and a clear process for reporting potentially impaired Baldwin81 reported that substance abuse education
colleagues in a discreet and nonthreatening way.75 This was lacking in all pharmacy programs. In response to this,
should increase the likelihood that substance use problems the American Association of Colleges of Pharmacy Sub-
are detected early and dealt with appropriately, although stance Abuse Education and Assistance Special Interest
the problem is compounded by the existence of punitive Group prepared curriculum guidelines. A study by Gra-
interventions for nurses that lead them to avoid confront- ham82 on continuing education (CE) for pharmacists on
ing impairment when it is suspected. Prompt recognition substance abuse prevention revealed a lack of agreement
and reporting also minimize the danger to patients and between faculty and practicing pharmacists regarding the
coworkers that an impaired nurse can pose.76 Data indicate prioritizing of content and educational methods.
that the likelihood of successful treatment outcomes is higher
when intervention occurs earlier in the addiction process.77

160 B R O W N , T R I N K O F F, C H R I S T E N , A N D D O L E
 Recommendations
General Recommendations
Recognizing that prevention, education, and intervention should begin in the academic environ-
ment where health care professionals are trained, medical centers and schools of the health
professions are beginning to develop programs to address issues of substance abuse impairment
and education.83,84 Despite these initial efforts, the development of educational programs and
prevention and intervention policies has not kept pace with the need. Furthermore, the research
base to support the development of such programs is minimal. Such research is vital to the
development of effective programs.
Research is also needed in the following broad areas:
Extent and Correlates of Impairment Among Health Professionals. Brewster17
estimates the prevalence of alcohol and other drug problems among physicians has often been
made without firm empirical support. For those who treat professionals impaired by substance
abuse, a firm evidence base from which to intervene, in order to maintain the health of the
workforce and to protect patients, is needed. As this evidence base develops, it needs to be
incorporated into curricula and CE programs.
Studies have consistently shown that health care professionals use more prescription drugs
than do members of the general population, although the overall prevalence of substance abuse
in these occupational groups appears to be similar to that in the general population and the use
of illicit drugs by health professionals may be lower.85 More work is needed to examine the
impact of early detection and to identify correlates of early substance use in health professionals.
Interdisciplinary studies of risk factors could identify factors common to different professions and
lead to more global intervention strategies. Such research will be essential, especially given the
overlap of higher-use specialties from nursing to medicine and the level of access to substances
among health care workers.86 Concomitantly, profession-specific epidemiologic research should
identify high-risk subgroups and specific risks for or triggers of substance use that can be used by
groups that address impairment within the health professions.
Furthermore, early recognition and intervention for impaired students are needed to
promote entry of healthy professionals into the workforce.88,89 Longitudinal correlates of sub-
stance use in professionals should be researched to identify risky and problem behaviors and to
define work environments that promote or unwittingly facilitate substance use among employ-
ees. Among the areas that should be explored is the stress of professionals both in the workplace
and in their personal lives. The identification of health care work cultures and environments that
promote and facilitate substance use would provide insights that could lead to design of support-
ive work environments that incorporate health and wellness-based initiatives.90,91
Limitations of substance use surveys include self-reported data that tend to underestimate
prevalence92 and cross-sectional data collection that does not allow for conclusive temporal
sequencing. Future research should incorporate longitudinal designs that would establish
temporality among risk factors for substance use. This would also facilitate examination of the
development of substance use into problem use and work impairment. Research studies that
include multiple disciplines would make it possible to distinguish among risk factors that are
common to impaired health professionals as a whole versus those that are unique to each
profession. This could assist with the design of effective interventions that could be implemented
at the facility level in settings where multiple disciplines are employed.
Policies Concerning Controlled Substances in Health Care Settings. Because access is
a potent occupational risk factor for pharmacists as well as all other health professionals, health
facilities need to examine and tighten the distribution and storage of controlled substances to
minimize the risk of diversion or impairment of professionals.87 Careful evaluation of the abuse
potential of newly available controlled substances among health professionals is essential.
Independent groups that have no financial interest in the substance under study should conduct
such research.

PROFESSIONALS IMPAIRED BY SUD 161

 Discipline-Specific Recommendations
Physicians. A literature review by Femino and Nirenberg69 demonstrated that the majority of
substance-abusing physicians can be successfully treated and returned to practice. Many studies
show a treatment success rate of greater than 80% in the physician population.61,93,94 Studies
need to be conducted to delineate what factors are important in the prevention, recognition,
and treatment of substance abuse in physicians. From this, successful treatment models can be
expanded to include other health professions. Factors such as family history, severity of the
disorder, and the stresses of working in a health care setting have not been adequately studied
in relation to substance use. The relative effectiveness of treatment modalities, such as outpa-
tient versus inpatient, 12-step groups versus other types of aftercare, short-term versus long-
term monitoring, and group versus individual counseling, needs to be evaluated. There are not
enough evidence-based data to delineate how a particular treatment should be chosen for a
particular professional.
Nurses. The punitive nature of treatment for impaired nurses promotes the stigma of nurses’
substance use. This serves to drive the problem underground.95 It also makes studying the
problem more difficult, because it limits participation in and support for such studies. Research
is needed to identify policy mechanisms that promote early identification of impaired nurses and
encourage swift intervention. The effectiveness of specific components of intervention programs
for nurses and other health professionals needs to be evaluated in order to refine and improve
existing initiatives. New policies should incorporate the results of empirical research. Successful
programs should be replicated and expanded to new venues.
More nurses are being exposed to adverse scheduling as a result of decreased staffing,
increased workloads, diminished time off, and similar trends.96,97 The promotion and mainte-
nance of a healthy nursing workforce will be increasingly difficult as job redesign becomes
associated with increased physical and psychological demands on nurses. Nurses in high-strain
jobs are more likely to use drugs than are those in low-strain jobs.98 Further research is needed
to examine the impact of health care changes on nurses’ health and well-being.
Dentists. About 25% of all dental patients are tobacco users, and 10% have additional prob-
lems related to SUD. To combat these problems, all dental and dental auxiliary students should
receive substance abuse education during preclinical and clinical training. Clinical competencies
in substance abuse education should be developed, implemented, and evaluated as part of the
standard dental curriculum. A task force of dental educators and clinicians should be convened
to determine clinical substance abuse competencies for faculty, practicing dentists, and dental
auxiliaries. The standards should be based on the American Dental Education Association
Curricular Guidelines for Education in Substance Abuse, Alcoholism, and Other Chemical
Dependencies.78
Pharmacists. Pharmacists can participate in interdisciplinary teams that are treating persons
with SUD. One-third of colleges of pharmacy state that they participate in extracurricular
programs related to substance abuse. These programs include community drug abuse presenta-
tions, involvement in State pharmacist recovery networks, and participation at national meet-
ings on substance abuse.81 Critical challenges to pharmacists include education of pharmacy
faculty and students about the pathophysiology, pharmacology, and toxicology of alcohol and
other drugs; incorporating substance abuse issues into an already-overloaded curriculum;
increasing the number of pharmacy professionals conducting research in substance abuse; and
developing and funding residencies and fellowships in alcohol and other drugs.

Conclusion
Much remains to be done to position health care professionals optimally to recognize and treat
impairment in themselves and others. By focusing on education, policy initiatives, and research,
we can test and promote interventions to reduce the consequences of substance abuse not only
in health professionals but also in the general population.

162 B R O W N , T R I N K O F F, C H R I S T E N , A N D D O L E
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90. Lehman WEK, Farabee DJ, Holcom ML, Simpson DD. Predic- 98. Storr CL, Trinkoff AM, Anthony JC. Job strain and non-medical
tion of substance use in the workplace: unique contributions of drug use. Drug Alcohol Depend. 1999;55:45-51.
personal background and work environment variables. J Drug
Issues. 1995;25:253-274.

PROFESSIONALS IMPAIRED BY SUD 165

PART II
Discipline-Specific Recommendations
for Faculty Development
Chapter 1. The Role of Allied Health Professionals in
Substance Abuse Education
Chapter 2. Dental Education in the Prevention and
Treatment of Substance Use Disorders
Chapter 3. The Physician’s Role in Caring for Patients
with Substance Use Disorders: Implications for
Medical Education and Training
Chapter 4. The Role of Midwives in Caring for
Women with Substance Use Disorders: Implications
for Training
Chapter 5. Substance Abuse Education for Nurse
Practitioners in Primary Care
Chapter 6. Nursing Education in the Prevention and
Treatment of Substance Use Disorders
Chapter 7. Recommendations for Implementing
Effective Substance Abuse Education in Pharmacy
Practice
Chapter 8. Improving Physician Assistant Education
and Practice in Substance Use Disorders and Policy
Recommendations on Substance Abuse Education for
Physician Assistants
Chapter 9. Educating Psychologists about Substance
Abuse
Chapter 10. Incorporating Substance Abuse Preven-
tion into Public Health Curricula
Chapter 11. Educating Social Workers to Work with
Individuals Affected by Substance Use Disorders
 CHAPTER 1

The Role of Allied Health Professionals in

Substance Abuse Education
JOHN A. BONAGURO, PHD
ERNIE NALETTE, EDD, PT
MARY LEE SEIBERT, EDD

Introduction
Alcohol and substance abuse are significant risk factors for various health and social problems
and affect virtually every health care professional and health care institution. Early detection of
substance use disorders (SUD) can reduce long-term health care costs.1 Most individuals with
these disorders do not come in contact with specialized substance abuse treatment profession-
als, because they seek care in general health care settings.2 Individuals in the general population
are just as likely to go to nonspecialized health and social service agencies for SUD as they are to
seek services from specialized programs.3 The relative risk of being a problem drinker or user of
multiple substances is greatly elevated for individuals in welfare and criminal justice popula-
tions.1 There is a need for allied health professionals to implement screening, prevention,
intervention, and referral programs for individuals with SUD who are treated in general health
care settings as well as in nonspecialized settings such as social service and welfare agencies.
SUD are major factors in many medical, public health, social, and safety issues. Substance
abuse contributes to diseases of the liver, pancreas, and digestive tract; depending on the drug of
choice, the respiratory, nervous, and cardiovascular systems may also be affected. High rates of
comorbidity with other psychiatric diagnoses, such as schizophrenia and bipolar disorders, are
associated with substance abuse.4,5
Allied health professionals provide health care services in various settings that individuals
with SUD utilize. Often SUD are unrecognized and do not become apparent until a pattern of
abuse begins to appear and interfere with completion of treatment plans for other medical
conditions. Screening for SUD is important by professionals in nonspecialized substance abuse
treatment settings. Since allied health professionals provide services that require multiple visits,
they are in a position to observe patients over time and establish relationships with them. The
allied health practitioner may notice intoxication, mood swings, behavioral outbursts, memory
loss, and inconsistencies in following treatment protocols or exercises. Thus, it is important for
allied health professionals to address within treatment plans the influence of substance abuse on
the physical and mental rehabilitation process, recognize SUD, and intervene.
Allied health professionals must play an important role in the prevention of substance
abuse. Highly specialized professionals often focus on a single aspect of their patients and run
the risk of losing sight of the whole person.6 The health care provider treating a condition often
does not recognize or address the issue of substance abuse. There is a need for a more holistic
approach and a movement away from one-condition, one-treatment thinking. Health profession-
als need to examine predisposing factors of substance abuse as part of regular screening and
assessment procedures.

169
Core Values and Paradigms of Allied Health Table 1. Physical Therapy Practice Settings, Listed
in Order of the Most Common Occurrence22
Professionals
The term “allied health” was coined in the 1960s by the 1. Outpatient clinic or offices
Federal Government to describe professions other than 2. Health system hospital-based outpatient
medicine, dentistry, optometry, veterinary medicine,
podiatry, pharmacy, and osteopathy. For many years, allied 3. Hospitals
health professions were the professions labeled “other 4. Homes
than.” Rather than list all the disciplines included, people 5. Academic institutions
used the term as an exclusionary classification to represent
6. Skilled nursing, extended care, or subacute facilities
everyone else. These participants in the delivery of health
care were grouped according to what they were not, rather 7. Schools
than what they were. The rubric of allied health includes 8. Rehabilitation facilities
all health technologists, therapists, assistants, and others
9. Industrial, workplace, or other occupational environ-
who are prepared through postsecondary education
ment
programs, recognized by specialized accrediting agencies,
and require some type of certification or licensure by States 10. Fitness centers and sports training facilities
or national credentialing bodies to practice in their fields.
The allied health professions include more than 200
disciplines and represent up to 60 percent of the health professionals. Thus, costs of these procedures have been
care workforce.7 Recently, the Association of Schools of decreased, or at least maintained at a lower level than
Allied Health Professions (ASAPH) estimated a total of 2.3 would have been the case if all of these procedures were
million individuals in the various allied health workforce carried out by physicians and other lead health care
professions.8 providers.
While allied health represents a disparate group of Depending on the specific discipline, allied health
workers linked only by what they are not, these workers education may include postsecondary certificates, associate
can be classified to a general degree by whether they work degrees, bachelor’s degrees, master’s degrees, and doctoral
directly with patients or behind the scenes with physical degrees for entry into practice. Usually the word “profes-
elements or data derived from patients undergoing sional” is reserved for graduates of baccalaureate and
diagnosis or treatment. For the purposes of this chapter, higher degree programs. The words “technologist,”
only those allied health professions working directly with “technician,” and “entry-level assistant” have often been
patient assessment, as defined by the Bureau of Labor used for allied health workers who have not needed to
Statistics (BLS), will be considered. Representative profes- earn a baccalaureate degree in order to enter the
sions in this category include dietitians and nutritionists, workforce. While this remains true for some technician
occupational therapists, physical therapists, respiratory positions, other positions do require an entry-level bacca-
therapists, speech–language pathologists and audiologists, laureate degree. Whatever the degree level for career entry,
and therapeutic recreation specialists. Members of each of health-related curricula are generally limited to course
these disciplines come into direct contact with patients for work related to practice in the disciplines with the addition
a variety of diagnostic and treatment procedures. of associated areas of content related to practice and patient
management. Specialized accrediting agencies regulate
Most, if not all, of the allied health professions evolved
curricular content closely, and colleges and universities are
from the need for physicians and other primary health
challenged even to include the liberal arts and science
providers to have “helpers” to deliver care under their
requirements mandated by regional and State higher
supervision, referral, and guidance. Over time, many of the
education agencies. Education about substance abuse is not
allied health disciplines have become independent or at
considered an essential component of professional educa-
least quasi-independent of direct physician supervision. For
tion by most allied health accrediting bodies.
example, physical therapists in 34 States provide direct
patient access to physical therapy services without the need
for physician prescription or referral. In current health care Broad Description of Work Settings of Allied
delivery paradigms, allied health professionals see patients
(some of these professions prefer the term “clients”) Health Professionals
independently of the primary health care provider. This Work settings for allied health professionals include acute
evolution has occurred because of increasing pressures on care settings (hospitals), nursing homes, private practices,
providers, such as physicians and dentists, to focus their clinics, ambulatory health centers, schools, patients’
interactions with patients on their highly specialized skills homes, retirement complexes with varying levels of care
and refer more routine and less critical treatments and from independent to assisted living, camps for individuals
diagnostic procedures to specially trained allied health with disabilities and terminal conditions, hospices, urgent

170 BONAGURO, NALETTE, AND SEIBERT

Table 2: Professional Preparation in Selected Allied Health Professions
Allied Health Number of
Profession Programs Accreditation Body Workforce

Dietitians and nutritionists 543 Commission on Accreditation for Dietetics Education 54,000
of the American Dietetic Association
Occupational therapists 173 Accreditation Council for Occupational Therapy Education 73,000
of the American Occupational Therapy Association
Physical therapists 198 Commission on Accreditation in Physical Therapy 120,000
Education of the American Physical Therapy Association
Respiratory therapists 461 Commission on Accreditation of Allied Health Education Programs 111,000
Speech-language pathologists 390 Council of Academic Accreditation of the American
and audiologists Speech-Language-Hearing Association 105,000
Therapeutic recreation 150 Council on Accreditation of the National Recreation and Park 39,000
specialists Association, American Association for Leisure and Recreation

care centers, mobile units, and anywhere patients need Brief descriptions of the allied health disciplines
care (Table 1). Some settings afford the most up-to-date involved in screening and assessment of health problems
technology; some have only the most rudimentary conve- are presented in the following paragraphs.
niences. The important aspect of the setting is that it is any
place where allied health professionals come into contact Dietitians and Nutritionists
with patients and have the opportunity to observe, The BLS reports that there were 54,000 dietitians and
examine, question, and interpret what they find. Knowing nutritionists in the workforce in 1998.9 Dietitians and
how to function effectively in the variety of settings in nutritionists plan food and nutrition programs and supervise
which any one allied health professional might be expected the preparation and serving of meals. They help prevent
to practice is a significant challenge for their educational and treat illnesses by promoting healthy eating habits,
programs. assessing and evaluating clients’ diets, and recommending
The Bureau of Labor Statistics (BLS)9 reports that in diet modifications for individuals with diseases such as
the United States there are approximately 477,000 allied diabetes, hypertension, cardiovascular conditions, and obesity.
health professionals in six disciplines involved in the Dietitians work most often in two areas: clinical
assessment and treatment of various health conditions and settings and the community. Clinical dietitians assess
distributed across all components of the health care system patients’ nutritional needs, develop and implement nutri-
(see Table 2). Given the diffuse distribution of allied health tion programs, and evaluate and report the results. They
professionals within the health care system, it is reasonable often work in hospitals and nursing homes, and work
to expect that allied health professionals routinely come collaboratively with doctors and other health care profes-
into contact with patients for whom SUD are potential risk sionals to coordinate medical and nutritional needs.
factors. The literature indicates a significant number of Community dietitians provide individual or group counsel-
patients within allied health practice environments have ing on nutritional practices designed to prevent disease and
illnesses associated with alcoholism. For example, hospitals promote good health. The work settings for community
are the most common practice settings for physical dietitians include public health clinics, home health
therapists. Twenty-two percent of all hospitalized patients agencies, and health maintenance organizations.
have illnesses related to alcoholism.10 In the same practice
The Commission on Accreditation for Dietetics
setting, physical therapists are routinely involved on
Education (CADE), is the American Dietetic Association’s
interdisciplinary teams that begin the rehabilitation process
accrediting agency for education programs preparing
with patients who have spinal cord or traumatic brain
students for careers as registered dietitians (RD). Accred-
injuries. Furthermore, it is estimated that 79 percent of
ited/approved programs include
these traumas are associated with alcohol or drug use11
Under these circumstances, it is in the patient’s best ■ Bachelor’s and graduate-level coordinated programs in
interest to have SUD identified early and, when indicated, dietetics;
for the patient to be offered intervention. ■ Bachelor’s and graduate-level didactic programs in
dietetics;

A L L I E D H E A LT H P R O F E S S I O N S 171
■ Postbachelor’s dietetic internships; and have independent, productive, and satisfying lives. Occupa-
■ Postbachelor’s preprofessional practice programs. tional therapy is based on the belief that purposeful activity
(occupation), including its interpersonal and environmental
The Didactic Program in Dietetics (DPD) is a term components, may be used to prevent and mediate dysfunc-
used by CADE to describe the program accredited/ tion and to elicit maximum adaptation or change in
approved under the Standards of Education as meeting function that promotes survival and self-actualization.13
academic requirements leading to at least a bachelor’s
degree. Graduates of CADE-accredited/approved programs Occupational therapists may work exclusively with
who are verified by the program director may apply for individuals in a particular age group, or with particular
dietetic internships or preprofessional practice programs to disabilities. For example, in schools they evaluate children’s
establish eligibility for active membership in the American abilities, recommend and provide therapy, modify class-
Dietetic Association or to write the registration examina- room equipment, and help children participate as fully as
tion for dietitians. possible in school programs and activities. Occupational
therapy is also beneficial to the elderly population. Thera-
The Accreditation Manual for Dietetics Education pists help senior citizens lead more productive, active, and
Programs12 identifies specific knowledge and skills as well independent lives through a variety of methods, including
as core competencies for dietetics professionals. Dietitian the use of adaptive equipment, home modifications, driver
competencies into which concepts related to treatment of safety and transportation alternatives for elderly persons,
individuals with SUD should be integrated include the and lifestyle redesign.
following:
Occupational therapists in mental health settings treat
■ Supervise screening of patients for nutritional risk. individuals who are mentally ill, mentally retarded, or
■ Supervise counseling, education, or other interventions emotionally disturbed. To treat these problems, therapists
in health promotion/disease prevention for patients choose activities that help people learn to cope with daily
needing medical nutrition therapy for uncomplicated life and resume their desired roles in the community.
instances of common conditions (e.g., hypertension, Therapists also assist individuals in making environmental
obesity, diabetes, diverticular disease). adaptations and provide family and caregiver education.
■ Assess nutritional status of patients with complex Activities include time management skills, budgeting,
medical conditions (e.g., renal disease, multisystem shopping, homemaking, and use of public transportation.
disease, organ failure, trauma). They may also work with individuals who have with SUD,
depression, eating disorders, or stress-related disorders.
■ Design and implement nutrition care plans as indicated
Regardless of treatment setting, occupational therapists
by the patent’s health status.
need to be sensitive to substance use and abuse in their
■ Supervise design of menus as indicated by the patient’s clients and their families and should be able to explore how
health status. SUD affects individual and family functioning.14
■ Manage monitoring of patients’ food or nutrient intake. Occupational therapists use standardized and
■ Supervise documentation of nutrition assessment and nonstandardized screening tools to determine the need for
interventions. occupational therapy intervention. These include, but are
■ Interpret and incorporate new scientific knowledge into not limited to, specified screening assessments, skilled
practice. observation, checklists, histories, interviews with the
client/family/significant others, and consultations with
■ Develop and measure outcome for food and nutrition other professionals. Because occupational therapists utilize
services and practice. a holistic assessment approach, they are ideally suited to
■ Refer patients to other dietetics professionals or address within treatment plans the influence of substance
disciplines when a situation is beyond one’s level or abuse on the physical or mental rehabilitation process.15,16
area of competence. Occupational therapy programs are accredited by the
Accreditation Council for Occupational Therapy (ACOTE)
Occupational Therapists of the American Occupational Therapy Association
Occupational therapists help people improve their ability to (AOTA). There are 173 programs accredited, with 88
perform tasks in their daily living and working environ- offering bachelor’s degrees, 11 postbachelor’s degrees, 53
ments. They work with individuals who have conditions entry-level master’s degrees, 19 combined bachelor’s and
that are mentally, physically, developmentally, or emotion- master’s degrees, and 2 entry-level doctoral programs.
ally disabling. They also help them to develop, recover, or Institutions of higher education have until January 1, 2007,
maintain daily living and work skills. Occupational to initiate post-baccalaureate degree programs in occupa-
therapists not only help clients improve basic motor tional therapy, according to ACOTE, which worked in
functions and reasoning abilities but also compensate for conjunction with AOTA’s entry-level study committee to
permanent loss of function. Their goal is to help clients decide on a reasonable timeline. In 1999, the AOTA

172 BONAGURO, NALETTE, AND SEIBERT

Representative Assembly passed a resolution that calls for a pists must have the competencies to work with such
postbaccalaureate entry-level requirement for professional patients.
occupational therapy practice. The resolution does not Therapists examine patients’ medical histories, then
affect baccalaureate-level practitioners who are already test and measure their strength, range of motion, balance
certified. and coordination, posture, muscle performance, respira-
AOTA’s accreditation standards into which concepts tion, and motor function. They also determine patients’
related to SUD should be integrated include the following: ability to be independent and reintegrate into the commu-
■ Select appropriate assessment tools based on client nity or workplace after injury or illness. Next, they develop
need, contextual factors, and psychometric properties of treatment plans describing a treatment strategy, the
tests. purpose, and the anticipated outcome. As treatment
continues, physical therapists document progress, conduct
■ Use appropriate procedures and protocols, including periodic examinations, and modify treatments when
standardized formats, when administering assessments. necessary. Such documentation is used to track the
■ Understand and appreciate the importance of coopera- patient’s progress and to identify areas requiring more or
tion with the occupational therapy assistant as a data less attention.
gatherer and contributor to the screening and evalua- Physical therapists often work as part of interdiscipli-
tion process. nary teams and collaborate with other health professionals,
■ Consider factors that might bias assessment results, including physicians, psychologists, dentists, nurses,
such as culture, disability status, and situational educators, social workers, occupational therapists, speech-
variables related to the individual and context. language pathologists, and audiologists.
■ Identify when it is appropriate to refer clients to
specialists, internal and external to the profession, for Respiratory Therapists
additional evaluation. Respiratory therapists evaluate, treat, and care for patients
■ Document occupational therapy services to ensure with breathing disorders. To evaluate patients, these
accountability of service provision and to meet stan- therapists test the capacity of the lungs and analyze oxygen
dards for reimbursement for services. Documentation and carbon dioxide concentration. Respiratory therapists
must effectively communicate the need and rationale treat all types of patients, ranging from premature infants
for occupational therapy services. whose lungs are not fully developed to elderly people
whose lungs are diseased. These workers provide tempo-
Physical Therapists rary relief to patients with chronic asthma or emphysema
and emergency care for patients who have suffered heart
There were approximately 120,000 physical therapists in
failure or a stroke or are victims of drowning or shock.
the health care workforce in 1998. Physical therapists
provide services that help restore function, improve Respiratory therapists regularly check on patients and
mobility, relieve pain, and prevent or limit permanent equipment. If the patient appears to be having difficulty,
physical disabilities of patients suffering from injuries or they change the ventilator setting according to the doctor’s
disease. They restore, maintain, and promote overall fitness order or check equipment for mechanical problems. In
and health. Their patients include accident victims and home care, therapists teach patients and their families to
individuals with disabling conditions such as low back use ventilators and other life support systems. Additionally,
pain, arthritis, heart disease, fractures, head injuries, and they visit several times a month to inspect and clean
cerebral palsy. Physical therapists work with clients over equipment, ensure its proper use, and make emergency
extended periods of time and can play a significant role in visits if equipment problems arise.
screening, assessment, brief intervention, and referral for Since respiratory therapists are in constant contact
SUD. with patients and their families, they play a critical role in
The guiding principles of the American Physical screening and assessment for SUD. They observe progress
Therapy Association (APTA) Code17 seek to foster the ideal toward treatment goals and can determine whether
that physical therapists are trustworthy in their practice substance use, if any, is adversely affecting their progress.
with patients. In the context of the Code, “trustworthy” The Commission on Accreditation of Allied Health
means that patients are able to trust that their therapist will Education Programs (CAAHEP) accredits programs in
not harm them, will be helpful in resolving their problems respiratory care education, upon the recommendation of
and will work in their best interest. Therefore, the outcome the Committee on Accreditation for Respiratory Care
is intended to be of benefit to the patients served by (CoARC). The scope of practice for respiratory therapy
physical therapists. Also, it logically follows from the Code related to screening and assessment where core competen-
that, if physical therapists are expected to come into cies about SUD could be integrated into the professional
contact with patients who are at risk for SUD, the thera- preparation includes the following:

A L L I E D H E A LT H P R O F E S S I O N S 173
■ Acquiring and evaluating clinical data; and intervention for communication disorders that include
■ Assessing the cardiopulmonary status of patients; speech problems such as voice fluency, speech sound
production or swallowing difficulties, and deficits in
■ Utilizing data to assess the appropriateness of prescribed language and cognition. Prevention of communication
respiratory care; disorders and enhancement of communicative functioning
■ Establishing therapeutic goals for patients with cardiop- are also within their scope of practice. They counsel
ulmonary disease; individuals with these disorders, as well as their families,
■ Participating in the development and modification of caregivers, and other service providers, about the disorders
respiratory care plans; and their management. Speech-language pathologists
select, prescribe, and provide services supporting the
■ Case management of patients with cardiopulmonary
effective use of augmentative and assistive devices or other
and related diseases;
technology necessary for communicative functioning.
■ Providing patient, family, and community education;
Speech-language pathologists provide services in
■ Promoting cardiopulmonary wellness, disease preven- settings that are deemed appropriate, including, but not
tion, and disease management; and limited to, health care, educational, community, vocational,
■ Promoting evidence-based medicine, research, and and home settings. As primary care providers of communi-
clinical practice guidelines.18 cation treatment and other services, speech-language
Respiratory therapists are prepared at the two-year pathologists are autonomous professionals, that is, their
associate degree level and in four-year bachelor’s degree services need not be prescribed by another. In most cases,
programs. According to CoARC, there are 327 registered however, speech-language pathologists work collaboratively
respiratory therapy and 134 certified respiratory therapy with other professionals, individuals with disabilities, and
programs. Educational programs in respiratory therapy are their family members. Similarly, it is recognized that related
offered in various settings, including hospitals, medical fields and professions may have some knowledge, skills,
schools, colleges and universities, trade schools, vocational- and experience that could be applied to some areas within
technical institutes, and the armed forces. Approximately this scope of practice.
86,000 respiratory therapists are currently employed in the The practice of speech-language pathology and
United States. audiology where concepts related to SUD should be
The American Association for Respiratory Care integrated includes the following:
(AARC) is a professional organization for respiratory care ■ Providing screening, identification, assessment,
practitioners. AARC has more than 35,000 members diagnosis, treatment, and intervention;
nationwide who provide direct patient care in hospital ■ Providing consultation and counseling, and making
settings and home care and educational services and referrals when appropriate;
training, or who are involved in management of respiratory ■ Training and supporting family members and other
and cardiopulmonary services. The association offers an
communication partners of individuals with speech,
array of continuing education programs for respiratory
voice, language, hearing, communication, and swallow-
therapists that fulfill continuing education requirements as
ing disabilities;
specified by the 44 States that regulate the profession.
■ Developing and establishing effective augmentative and
The National Board for Respiratory Care, Inc. (NBRC)
alternative communication techniques and strategies,
is a voluntary health certifying board that was created in
including selecting, prescribing, and dispensing aids and
1960 to evaluate the professional competence of respira-
devices and training individuals, their families, and
tory therapists. The main purpose of the NBRC is to
other communication partners in their use; and
provide voluntary credentialing examinations for practitio-
ners of respiratory therapy and pulmonary function ■ Measuring outcomes of treatment and conducting
technology. It also establishes professional standards, issues continuous evaluation of the effectiveness of practices
certificates, and prepares a directory of credentialed and programs to improve and maintain quality of
individuals. services.
Speech-language pathologists develop individualized
Speech-Language Pathology and Audiology plans of care tailored to each patient’s needs. For individu-
Speech-language pathologists serve individuals, families, als with little or no speech capability, speech-language
groups, and the general public through their involvement pathologists may select augmentative or assistive communi-
in a broad range of professional activities. They work to cation devices or procedures, including automated devices
prevent communication disorders, including speech, voice, or sign language, and teach their use. They teach these
language, fluency, communication, swallowing, and related individuals how to make sounds, improve their voices, or
disabilities. They screen, evaluate, and provide treatment increase their language skills to communicate more

174 BONAGURO, NALETTE, AND SEIBERT

effectively. Speech-language pathologists help patients Therapeutic Recreation Specialists
develop, or recover, reliable communication skills so According to the BLS, in 1998 there were approximately
patients can fulfill their educational, vocational, and social 39,000 therapeutic recreation specialists in the U.S.9
roles. Most speech-language pathologists provide direct Employment of recreational therapists is expected to “grow
clinical services to individuals with communication faster than the average” for all occupations through the
disorders. In speech and language clinics, they may year 2008 because of anticipated expansion in long- term
independently develop and carry out treatment programs. care, physical and psychiatric rehabilitation, and services
In medical facilities, they may work with physicians, social for people with disabilities.
workers, psychologists, and other therapists to develop and
The American Therapeutic Recreation Association
execute treatment plans. Speech-language pathologists in
defines therapeutic recreation as “the provision of treat-
schools develop individual or group programs, counsel
ment services and the provision of recreation services to
parents, and may assist teachers with classroom activities.
persons with illnesses or disabling conditions.” The primary
Speech-language pathologists keep records on the purposes of treatment services, which are often referred to
initial evaluation, progress, and discharge of clients. This as “recreational therapy,” are to restore, remediate, or
helps pinpoint problems, tracks client progress, and justifies rehabilitate in order to improve functioning and indepen-
the cost of treatment. They counsel individuals and their dence as well as reduce or eliminate the effects of illness or
families concerning communication disorders and how to disability. Therapeutic recreation is provided by profession-
cope with the stress and misunderstanding that often als who are trained and certified to provide therapeutic
accompany them. They also work with family members to recreation. Therapeutic recreation specialists use a variety
recognize and change behavior patterns that impede of techniques to treat or maintain the physical, mental, and
communication and treatment and show them communica- emotional well-being of clients.
tion-enhancing techniques to use at home.
Therapeutic recreation specialists assess social and
Audiologists work with people who have hearing, personality needs, treat self-defeating behaviors, develop
balance, and related problems. They use audiometers, communication, self-control, and trusting relationships, and
computers, and other testing devices to measure the enhance independent functioning, support networks, and
loudness at which a person begins to hear sounds, the physical well-being. Assessment of clients is based on
ability to distinguish between sounds, and the nature and information from standardized assessments, observations,
extent of hearing loss. Audiologists interpret these results medical records, medical staff, family, and clients them-
and may coordinate them with medical, educational, and selves. Treatment plans and interventions are developed
psychological information to make a diagnosis and deter- that address clients’ needs and interests. Therapeutic
mine a course of treatment. recreation specialists observe and document patients’
Audiologists provide direct clinical services to individu- participation, reactions, and progress toward meeting
als with hearing or balance disorders. In audiology (hear- treatment goals.
ing) clinics, they may independently develop and carry out The outcomes of therapeutic recreation promote an
treatment programs. Audiologists, in a variety of settings, alcohol- and drug-free lifestyle, as well as relapse preven-
work as members of interdisciplinary professional teams in tion. Recreational therapists help individuals reduce
planning and implementing service delivery for children depression, stress, and anxiety. Therapeutic recreation
and adults, from birth to old age. Similar to speech- specialists also help individuals recover basic motor
language pathologists, audiologists keep records on the functioning and reasoning abilities, build confidence, and
initial evaluation, progress, and discharge of clients. These socialize effectively to enable greater independence, as well
records help pinpoint problems, track client progress, and as to reduce or eliminate the effects of illness or disability.
justify the cost of treatment when applying for reimburse-
Therapeutic recreation specialists work in a variety of
ment.
health care settings such as hospitals and rehabilitation
The BLS reports that there are 105,000 speech- centers. They treat and rehabilitate individuals with specific
language pathology and audiology professionals in the U.S. health conditions, usually in collaboration with physicians,
workforce.9 Graduate-level preparation is considered the nurses, psychologists, social workers, and physical and
entry point for practice in speech pathology and audiology. occupational therapists. In long-term care facilities and
Of the States that regulate licensing of speech pathologists residential facilities, recreational therapists use leisure
or audiologists, almost all require a master’s degree or activities—especially structured group programs—to
equivalent.9 These individuals are prepared in 390 college improve and maintain general health and well-being. They
and university programs, of which 235 offer graduate may also treat clients and provide interventions to prevent
programs in speech-language pathology and 115 offer further medical problems and secondary complications
graduate programs in audiology. related to illness and disabilities.
Therapeutic recreation specialists may also work in
park and recreation departments, special education

A L L I E D H E A LT H P R O F E S S I O N S 175
programs for school districts, or programs for older adults development of skills to provide care. Allied health profession-
and people with disabilities. Included in the latter group als involved in screening, assessment, and treatment also
are programs and facilities such as assisted living, adult day need to understand their role in the prevention of SUD
service centers, and substance abuse rehabilitation centers. including screening and assessment, how to communicate
In these programs, therapists use interventions to develop with their patients about SUD, and the referral process. Of
specific skills while providing opportunities for exercise, the allied health professions described in this chapter, only
mental stimulation, creativity, and fun. physical therapy has significant professional training in
Accreditation standards for professional preparation of addressing SUD within the profession.
therapeutic recreation specialists include, but are not
limited to, the following broad areas:
Physical Therapy
■ Conducting an individualized assessment to collect
Physical therapists, like other health care workers, are at
systematic, comprehensive, and accurate data necessary
risk for SUD. A sign that the physical therapy profession is
to determine a course of action and subsequent
in the process of recognizing this professional problem
individualized treatment plan;
came from the State of Kansas in 1988. Following the
■ Planning and developing for each client an individual- enactment of that State’s mandatory reporting law, which
ized treatment plan that identifies goals, objectives and requires that impaired providers be reported to the
treatment intervention strategies; licensing board, the Kansas chapter of the APTA created its
■ Implementing the individualized treatment plan using own program to assist physical therapists in need of
appropriate intervention strategies to restore, remediate, assistance due to SUD. By 1991 the program was fully
or rehabilitate in order to improve functioning and functional and began accepting referrals.20 At a national
independence as well as reduce or eliminate the effects level, the APTA developed a Task Force on Substance
of illness or disability. Implementation of the treatment Abuse whose first focus was education. Jane Walter, Ed.D.,
plan by the therapeutic recreation specialist is consis- PT, led the task force and developed an educational module
tent with the overall patient/client treatment program; on alcoholism and drug abuse.21
■ Systematically evaluating the client’s response to the To describe curriculum development in SUD in
individualized treatment plan. The treatment plan is physical therapy, a document analysis was used to identify
revised based upon changes in the interventions, the existing or potential role of physical therapists in
diagnosis, and patient/client responses; and intervening with patients who have these disorders. The
■ Developing a discharge plan in collaboration with the analysis used the Guide to Physical Therapist Practice22
patient/client, family, and other treatment team (“the Guide”) as the document that most comprehensively
members in order to continue as appropriate. describes the practice of physical therapists. The next step
was to review key educational documents. The Normative
Model of Physical Therapist Professional Education—
Historical Profile of Work in Substance Abuse Version 2000 and the Commission for the Accreditation of
Physical Therapy Education (CAPTE) Criteria23,24 were
and Educating Allied Health Professionals in selected for this purpose. The Normative Model is a
Substance Use Disorders voluntary standard for professional consensus regarding the
Substance abuse education in allied health professions is purpose, scope, and content of professional education, and
not well researched. There have been several descriptive the CAPTE Criteria are used to assess physical therapy
surveys in medicine, dentistry, and nursing about the education programs for purposes of accreditation.
curricula in SUD; however, there is little research within
allied health fields. For example, a 1994 survey was The Guide to Physical Therapist Practice
conducted of 115 medical residency, nursing, occupational The purpose of the Guide22 is to describe generally
and physical therapy, social work, teacher-preparation, and accepted physical therapist practice, to standardize
chemical dependency counselor-training programs to assess terminology, and to delineate preferred practice patterns.
the status of education and training of these professionals The Guide’s scope of physical therapist practice includes
about chemical dependency, especially in regard to five components: (1) provision of service to patients/
substance abuse during pregnancy. The survey was mailed clients; (2) interacting and practicing in collaboration with
to only eight occupational and physical therapy programs.19 a variety of professionals; (3) providing prevention and
Very little attention has been given to substance abuse wellness services; (4) consulting, educating, and engaging
education in allied health professional training programs. in critical inquiry and administration; and (5) directing and
supervising physical therapy services. Within this broad
Traditionally, substance abuse education in allied
scope of practice definition, there exist a number of
health focused on general biomedical concepts and
opportunities to develop a physical therapy role in screen-
pharmacology. There was very little emphasis on the
ing for SUD.

176 BONAGURO, NALETTE, AND SEIBERT

 For example, screening for SUD could be included Client Management Form includes two substance use
within item 3, a prevention and wellness service. Given disorder-related questions as part of the patient history
the distribution of SUD within the general population, it under social/health habits. The questions are “How many
would be reasonable to presume the presence of individu- days per week do you drink beer, wine, or other alcoholic
als with SUD in a population within a prevention and beverages, on average?” and “If one beer, one glass of
wellness service. A stated purpose of these prevention and wine, or one cocktail equals one drink, how many drinks
wellness services includes “stimulating the public to engage do you have, on an average day?”
in healthy behaviors.”22 In order for the physical therapist This document uses the same development method as
to stimulate healthy behaviors, information is needed the Guide, that is, expert consensus. The expert members
regarding the patient’s current behaviors. For the physical of the panel are expected to have knowledge of the
therapist to meet the purpose of the prevention and pertinent literature. The published document, however,
wellness services, screening for SUD needs to be a compo- does not include references. Therefore, assessing the
nent of these services. Therefore, for physical therapists validity and reliability of these questions is not feasible. In
who choose to practice in a prevention and wellness addition, the document does not offer guidance on what
service, competence in screening patients for SUD should the practitioner should do if he or she gets a positive
be a requirement. response to the screening questions. Most physical thera-
Item 1 of the Guide’s scope of practice, Provision of pists who screen patients for SUD are generalists who do
Services to Patients/Clients, provides a more comprehen- not have significant knowledge regarding the screening
sive opportunity for SUD screening than the above example questions or the appropriate response to positive patient
does. The elements of patient/client management include responses. It is reasonable to expect that the screening
five elements: (1) examination; (2) evaluation; (3) diagno- questions in the Patient/Client Management form will not
sis; (4) prognosis; and (5) intervention in a manner to result in appropriate identification of patients at risk for
optimize outcomes. An examination is required for all SUD.
patients and is the first step in planning a patient-specific The Problem Knowledge Coupler (PKC)25 is a
intervention. The requirement for evaluation is found in computerized screening tool that supports the screening
various documents, including the Code of Ethics, many questions on SUD with literature and provides practitioner
State practice acts, and Medicare regulations. The examina- guidance for actions based on the patient’s response to the
tion includes taking a history, reviewing systems, and screening questions. The PKC includes a series of screening
carrying out tests and measures. A purpose for history questions on SUD drawn from the existing literature. If the
taking is “identifying health-risk factors, health restoration patient provides positive responses to these questions, the
and prevention needs, and coexisting health problems that patient and practitioner are offered management guidance
may have implications for intervention.”22 SUD are clearly and pertinent literature citations. Given that the physical
health-risk factors, and patients should be screened for therapist screeners we hope to involve in this process will
these disorders by physical therapists. usually have limited knowledge regarding SUD, the
History taking also serves the purpose of identifying guidance provided by the PKC model will be necessary.
factors that have implications for “interventions carried out
by physical therapists.”22 It is a moral imperative for Educational Documents
physical therapists to have a defined level of competency in APTA documents identify a role for physical therapists as
screening for SUD. For example, suppose that a physical screeners for SUD. The analysis now turns to the education
therapist is treating a patient who is a professional painter system to identify how the physical therapists of the future
who routinely works on a ladder several stories above the can be trained as SUD screeners. The two key documents
ground. The patient was injured from a fall off a ladder reviewed to assess physical therapist education were the
while on the job. The physical therapist’s intervention Normative Model and the CAPTE criteria.
includes the intent of helping the patient return to work,
The purpose of the Normative Model is, in part, to
but he/she does not screen the patient for SUD. The
“provide a consensus-based mechanism for existing,
patient returns to work and is again injured, more seriously
developing, and future professional education programs…”
this time. It turns out the patient has a substance use
(page 3). This consensus model includes an expectation
disorder. Was the therapist’s intervention in the patient’s
that patient screening be included in educational models,
best interest? Did the therapist miss an opportunity to help
more specifically that “[t]he graduate identifies individuals
the patient with a more pervasive problem? Again, it seems
who have risk factors that indicate the need for a primary
clear that physical therapists have a responsibility to be
prevention program, performs screening to direct further
competent and screen for SUD.
examination, knows referral sources, knows the incidence,
There is evidence of SUD awareness within the prevalence, and natural history of conditions commonly
physical therapy practice arena. As an extension of the seen by a physical therapist and uses this information in the
Guide, the recently published Physical Therapist Patient/ development of community-based screening programs”

A L L I E D H E A LT H P R O F E S S I O N S 177
(page 67). The Normative Model clearly provides a role for health professionals. Moreover, there is no infrastructure to
the physical therapist student to screen patients with SUD.23 support allied health faculty development in SUD and a
CAPTE’s accreditation criteria further support the role lack of rewards/incentives for faculty participation in
for screening patients with SUD as shown by the following educating allied health professionals about SUD. Clearly,
three items listed under two criteria: the lack of resources for SUD in allied health fields is a
major barrier.
■ Screening: Item 3.8.3.15. “Determine the need for
further examination or consultation by a physical Lack of a Central Voice for the Allied Health
therapist or for referral to another health care profes-
sional” (page 31).
Professions
There are a number of organizations representing the
■ Prevention and Wellness: Item 3.8.3.33. “Iden-
varied interests in the field of allied health. One is ASAHP;
tify and assess the health needs of individuals, groups,
two others are the National Network of Health Career
and communities, including screening, prevention and
Programs in Two-Year Colleges (NN2), and the Health
wellness programs that are appropriate to physical
Professions Network (HPN). Both of these are networks
therapy”; and Item 3.8.3.34. “Promote optimal health
created to exchange ideas and provide a voice for their
by providing information on wellness, disease, impair-
member entities.
ment, functional limitations, disability, and health risks
related to age, gender, culture and lifestyles” (page 34).
Both these documents include criteria that clearly ASAHP is a national professional association for
support the appropriateness of the role physical therapists administrators, educators, and others who are
can play in screening patients for SUD. concerned with critical issues affecting allied health
education. Since its incorporation in 1967, ASAHP
has served as a forum that links leaders in allied
Critical Issues, Obstacles, and Challenges health education with policy makers in State and
There are several critical issues, obstacles, and challenges Federal Government, business, and industry in an
that came to the forefront in reviewing literature concern- effort to affect relevant and appropriate changes in
ing substance abuse education and allied health profes- health care policy. There are more than 100
sions. Each of these is described below. institutional members representing schools of
allied health.
Time Constraints NN2 represents academic professionals who teach
Allied health curricula are commonly being lengthened and health careers in two-year colleges. It is dedicated to
educational levels for entry increased (e.g., BS to MS for promoting and encouraging innovation, collabora-
entry) because there is little time to include all content tion, and communication among two-year colleges
deemed essential by professional accrediting bodies. sponsoring health career programs; expressing and
Professional programs have not adequately addressed the advocating the interests of health career programs
inclusion of SUD core competencies in the curriculum. in two-year colleges; and participating in the
Even with their extended (higher-level) degrees, education development and implementation of policies and
on substance use has not been a priority. programs to address National Network concerns.

Funding HPN is a network of allied health professional

Lack of funding and administrative support are the most associations, societies, and organizations. Each
critical issues in the integration of SUD core competencies individual society or association is composed of
for the allied health professions. Funding for faculty individuals of a specific allied health background
development of allied health professionals in substance who are in clinical practice. There are over 40
abuse is non-existent. The Bureau of Health Professions professional organizations affiliated with HPN. In
(BHPr) of the Health Resources and Services Administra- addition, each allied health discipline has its own
tion (HRSA) is the central funding agency for allied health professional organization and each its separate
support and development. The BHPr supports various accreditation agencies. Given the diverse nature
disciplines including allied health, chiropractic, dentistry, and variety of practice in the allied health
geriatrics, health administration, medicine, nursing, professions, it is difficult to arrive at a consensus
physician assistants, and public health. In 1999 the budget on educational issues and priorities.
for allied health project grants was $5.3 million, which is
only 1.2% of the entire $441.4-million budget for the
BHPr.26 Given the limited number of faculty with expertise Direct Patient Access Laws
and interest in SUD, no allied health project grants have Patient access to physical therapists’ services without
been awarded in substance abuse education for allied referral means the removal of the physician referral

178 BONAGURO, NALETTE, AND SEIBERT

mandated by State law to access physical therapists’ ment of interdisciplinary care approaches. The application
services. Thirty-four States have granted consumers the of this triad provides an effective guiding framework for
freedom to seek physical therapy treatment without a curriculum development in the allied health professions.
referral. Referral is required by State law to initiate
treatment by a licensed physical therapist in 16 States.
Critical Core Competencies in Substance
Education of Allied Health Generalists Abuse Education for Allied Health
Allied health generalists practice in any one of many
diverse settings, such as rural health areas, and come in
Professionals
contact with patients who are at risk for SUD. Yet, most There is no consensus on the core competencies to be
have little or no training in screening, assessment, and taught on SUD in the allied health professions. Of the
interventions for SUD. Patients in these settings expect selected allied health professions discussed in this chapter,
allied health practitioners to assist them in meeting their none has adequately addressed SUD competencies. The six
needs with regard to SUD. allied health professions described in this chapter have
commonalities related to the general practices of screening,
Most allied health professional preparation programs
assessment, and referral. The suggested core competencies
do not train students for the role of screening and assess
in substance abuse education for allied health professionals
patients for SUD. Given the general nature and function of
include the following:
allied health professions in screening and assessment,
educational programs for allied health professions to screen ■ Recognize SUD and administer and select valid
patients for SUD need to be easy to administer and assessment instruments to screen for SUD in a manner
indications for referral need to be simple to determine. that is sensitive to age, gender, and culture.
Rural practice may pose particular challenges for allied ■ Interpret the substance use assessment and, when
health professionals. For example, in rural settings physical appropriate, make a referral for further work-up.
therapists may require a higher level of competency and ■ Understand the importance of self-awareness about
may need to accept a higher level of responsibility in substance use in one’s personal and professional life.
screening patients for SUD because of the limited number ■ Be aware of local resources for the treatment of patients
of the health care team members. with SUD.
The training needs of allied health professionals in ■ Be able to assess the patient’s readiness for change and
substance abuse education have not been adequately to conduct brief interventions.
studied. Allied health professionals are in continuous
contact with patients affected by SUD and these individuals
■ Utilize techniques for effectively communicating
can benefit from a professional with knowledge and skills substance abuse information to individuals and their
in this area. family members.
■ Assist clients in accessing the local resources on
Lack of Research substance abuse issues (i.e., identify the needs of the
Lack of research about the role of allied health professionals individual and the family that cannot be met and assist
in SUD is among the key barriers to progress in this area. in using community support systems and available
Of the six disciplines presented in this chapter and repre- resources).
senting 477,000 professionals, there are no studies on ■ Demonstrate an understanding of the influence of SUD
curriculum content or educational methodologies related to on specific interventions employed by allied health
SUD, impaired professionals, or the continuing education professionals.
needs of professionals on SUD. There is a very limited ■ Appreciate the value of interdisciplinary team clinical
knowledge base about the role of allied health professionals evaluations for individuals with SUD.
in addressing SUD.
■ Modify interventions based on factors related to SUD.
The delivery of appropriate services to individuals
with SUD becomes more difficult at a time of increasingly
■ Provide ethical protections in the area of patient
constrained resources. The application of health behavior confidentiality and autonomy.
change models to SUD emphasizes a patient-centered
approach, which shifts the responsibility to individuals
rather than the system. The choices related to health care
Vision for the Future
are more logical because of the consideration of the Allied health curricula should emphasize a triad of under-
individual’s unique substance abuse risk and protective standing and knowledge of SUD, clinical experiences in
factors. A triad of theory, experience, and skills stresses the working with patients affected by SUD, and specific skills
importance of patient empowerment, communication related to screening, assessment, intervention, and referral.
between patient and health care provider, and the develop- Clinical experiences provide students with practical

A L L I E D H E A LT H P R O F E S S I O N S 179
experience and provide an opportunity to apply theory to 2. All allied health professional preparation programs will
practice. Substance abuse curricula within allied health educate and train their students in the critical core
professions should focus on opportunities for students to competencies (that is, the necessary knowledge, skills,
practice assessment for SUD and effective communication and attitudes) to effectively recognize and screen all
with individuals and family members under the supervision patients for SUD and refer them to appropriate treat-
of experienced professionals. ment facilities.
Health care accrediting bodies such as the Joint 3. All allied health professionals will have access to
Commission on the Accreditation of Healthcare Organiza- continuing education programs to develop and maintain
tions and the Commission on Accreditation of Rehabilita- critical core competencies in substance abuse educa-
tion Facilities encourage the utilization of health care teams tion.
to facilitate optimal client outcomes and cost-effective 4. All patient interventions will be supported by computer-
treatments. These accrediting bodies also require that ized tools that allow interface with the current litera-
clients and their families be actively involved in the ture and a database will evolve that allows cost-effective
treatment process. The Pew Health Commission on monitoring of program effectiveness.
Competencies and Change Strategies for Practitioners in
the Year 200527 has also recommended that allied health 5. Comprehensive education and practice survey data,
professions establish interdisciplinary community-based including information about impaired professionals, will
clinics staffed by interdisciplinary teams. be available to allow targeted planning to support
improved service to patients with SUD.
An analysis of the standards for allied health profes-
sionals suggests that the vision for the future should 6. Web-based educational modules will be available to
include the following: allied health professionals for increasing access to
educational and training opportunities about critical
1. All allied health practicing professionals will recognize core competencies in substance abuse education.
signs of SUD and routinely and effectively screen all
patients for SUD and refer them to appropriate treat- 7. Educational models are needed to integrate core
ment facilities. competencies within interdisciplinary team concepts as
part of professional preparation in allied health fields.

180 BONAGURO, NALETTE, AND SEIBERT

 Recommendations
Allied health professional organizations and accrediting groups should form an interdisciplinary
collaboration to accomplish the following tasks.

1. Identify and reach a consensus on core competencies. A set of common

core competencies for substance abuse education in allied health curricula
should be identified and accepted by professional organizations in dietetics
and nutrition, occupational therapy, physical therapy, respiratory therapy,
speech-language pathology and audiology, and therapeutic recreation.
Rationale. Because the primary role of each of these professions is not substance use education,
yet each has the opportunity in practice settings to observe and assess patients/clients for substance
abuse, a common set of core competencies should serve for all of these allied health disciplines.
Recommended Actions. Each of the professional organizations should assess its potential for
including substance use education in entry-level curricula. Once that has been determined, a
national forum composed of representatives of each of the six allied health disciplines and
substance use education specialists should be convened to achieve consensus on core competen-
cies for inclusion in entry level curricula in all six allied health disciplines.
Responsible Agents. HRSA, ASAHP, NN2, HPN, CADE, AOTA, APTA, NTRS, ATRA,
CoARC, AARC, NBRC, CAAHEP, and ASHA.
Expected Outcomes. Core competencies will be agreed upon and accepted by the accredit-
ing bodies of the six allied health disciplines. The “consensus competencies” will be published
in the journals of the professions as well as in other appropriate professional publications.

2. Support and conduct longitudinal assessments to validate the core compe-

tencies and their effectiveness in preparing allied health professionals to
assess and refer patients/clients with substance use problems. Funds
should be made available to validate core competencies.
Rationale. After a consensus is reached on core competencies, they need to be validated in
clinical settings. While consensus is a reasonable approach to identify potential competencies for
substance use education in allied health curricula, evidence-based research is needed to validate
that the agreed upon competencies are appropriate and effective in achieving their goals.
Recommended Actions. Studies will be funded and conducted that validate the core
consensus competencies or recommend their revision.
Responsible Agents. HRSA, ASAHP, NN2, HPN.
Expected Outcomes. Uniformity in SUD core competencies.

3. Integrate uniform competencies in substance use education into allied

health curricula.
Rationale. Uniform competencies have been identified and validated. This is the point of
implementation.
Recommended Actions. Educational materials that conform to the core competencies should
be prepared that can be adapted for use by allied health faculty in their teaching.
Responsible Agents. HRSA, ASAHP, NN2, NPN.

A L L I E D H E A LT H P R O F E S S I O N S 181
 Expected Outcomes. A repeated-measures design should be used to monitor changes and
integration of core competencies into curricula. Accrediting bodies should include substance use
education in standards or guidelines for curriculum in achieving accreditation of the professional
programs.

4. Provide training in the core competencies of substance abuse education and

the use of effective teaching methodologies such as case studies for the deliv-
ery of instruction about substance abuse to allied health professions faculty.
Rationale. There are insufficient numbers of faculty in allied health with expertise in SUD. Teach-
ing methodologies have been primarily didactic and information oriented. Allied health professions
need to be trained in the core competencies of substance abuse education.
Recommended Actions. Increase funding for faculty development and mentoring in allied health.
Promote AMERSA in allied health organizations. Establish innovative collaborations for faculty
development among professional organizations such as ASAHP, NN2, HPN, American Dietetic
Association (ADA), AOTA, APTA, ASHA, NTRS, and ATRA.
Responsible Agents. HRSA, AMERSA, AARC, ASAHP, NN2, HPN, NTRS, ATRA.
Expected Outcomes. Allied health faculty will be trained in the core competencies of substance
abuse education and will also learn useful teaching methodologies to educate their students in the
basic skills to intervene effectively with patients affected by SUD.

5. Provide continuing education programs for allied health faculty.

Rationale. Allied health professionals are required to earn continuing education credits to maintain
licensure or certifications in their fields.
Recommended Actions. Develop and implement coordinated continuing education programs for
allied health professions in substance abuse education, and offer such programs at national and State
professional meetings through self-paced modules and distance learning.
Responsible Agents. ASAHP, NN2, HPN, ADA, AOTA, APTA, ASHA, NTRS, ATRA, AARC.
Expected Outcomes. Increased educational opportunities for allied health professionals in SUD.

6. Help ensure that allied health professionals need to understand the extent of
substance use disorders within their own profession.
Rationale. The professional preparation of allied health professionals should include an awareness
of the effects of substance abuse in their own professional field. Studies about impaired professionals
have been completed in medicine, nursing, pharmacy, and social work. Although there are more
than 200 allied health professions, very little is known about impaired allied health professionals. A
study in radiological technology reported that approximately 3% to 4% of technologists are affected
by SUD.28 Wittman29 reported a 33% prevalence of parental alcoholism of occupational and physical
therapy students and a significantly higher percentage of allied health students than nonallied health
students who are children of alcoholics.
Recommended Actions. Studies on the prevalence of SUD and the use of alcohol and other drugs
by allied health professionals should be conducted. The results should be disseminated to schools of
allied health and included within professional preparation programs.
Responsible Agents. ASAHP, NN2, NPN, AOTA, APTA, ASHA, AARC, allied health faculty and
task forces in allied health professional organizations.
Expected Outcomes. Prevention and early recognition of SUD in allied health professionals.

182 BONAGURO, NALETTE, AND SEIBERT

References
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 CHAPTER 2

Dental Education in the Prevention and

Treatment of Substance Use Disorders
ARDEN G. CHRISTEN, DDS, MSD, MA
JOAN A. CHRISTEN, BGS, MS

Introduction
The purpose of this chapter is to inform dentists about substance use disorders (SUD) that are
relevant to their professional practice. The chapter explains emerging core values and paradigms
of the dental team; describes current work settings and the nature of dental education and
private practices, reviews the past involvement of oral health care providers in identifying,
analyzing, and dealing with SUD; educates oral health care professionals at various levels
concerning SUD; covers challenges that may occur when dealing with SUD; proposes a
statement of core knowledge and skill competencies for dental personnel that will intersect with
those of other health professionals; presents a vision for the future; and sets goals that deal with
substance use awareness and education for dentists and their patients.

Core Values and Paradigms of the Dental Team In the future, dentistry will focus more intensely on
prevention—teaching people how to take better care of
The core values of dentistry are undergoing a period of their teeth and mouth. The emphasis will shift to improv-
profound change and transition. The goal of the dental ing the quality of life, both for dental health care personnel
team is to provide optimal care of the oral cavity for all and for their patients. Dentists will increasingly offer care
clients.1 According to Carlisle,2 the monopoly of dentistry that is aimed to prevent tooth loss. Oral health care
as a profession is ending because of a higher ratio of providers will be trained to use newer educational meth-
dentists to the population, increased productivity, a ods, such as problem-based learning (PBL) and to under-
declining dental disease rate, a proliferation of delivery stand basic disease processes. Tomorrow’s practitioners will
systems, and an increasing number of governmental and have a greater working knowledge of molecular biology,
private agencies that are attempting to manage and computer and information technologies (dental
regulate dental care. Also, the recent increase in the informatics), data transfer, and general and oral health care
number of women in the profession is having a humanizing maintenance. In years to come, dental professionals will
effect on dental practice. have an increasing need to develop well-honed communi-
This new model of dental health care has emerged cation and business skills.
from a growing emphasis on disease prevention. As Because dentists work with people of all ages and
Carlisle2 states: socioeconomic groups, they need to develop effective
This new model was based on the establishment of a interpersonal skills. Their work requires creativity and the
helping relationship between the dentist and the ability to make quick and accurate decisions. These
patient. The intent of this relationship was to create a attributes will be increasingly sharpened in training
facilitative, caring and healing environment in which programs for future practitioners.
the patient, dentist and team members would learn, In the new millennium, what implications does this
grow, change and heal. Many believe that this model paradigm shift have for dentists? Carlisle2 suggests that the
will be a pace-setter for all of the health care profes- integration of the human dimensions in health care will
sions in the coming years. Its focus on the patient, its help dentists move from
respect for the patient’s autonomy and its drive toward
health and wholeness provide an environment and ■ Competition to cooperation among colleagues;
level of care that is very rewarding for the patients and ■ An orientation on money and technology to an
for the dentists that have built their practices around emphasis on service and healing;
this model. ■ The mechanistic to the humanistic approach;

185
■ Complexity in doctors’ lives to simplicity; approximately 92 patients per week. In 1997, there were
■ The reductionistic to the holistic viewpoint; about 17,720 practicing female dentists. Although they
represent 12.8% of the total professional population,
■ Burnout to enjoyment; women account for 26.2% of all new graduates.7 Because
■ Being a dispassionate expert to becoming a caring women are often the gatekeepers for family health, their
collaborator; presence in the dental profession has a positive, humaniz-
■ Hiding behind a facade to being genuine; and ing effect on patient care, especially as related to preven-
tion. Because the number of women in dentistry has
■ Professional dissatisfaction to enjoyment.
recently increased, they are on average, younger than male
dentists.7 In 1997, 33% of female active private practitio-
Current Work Environments and the Nature of ners were under age 35, as compared with 10% of their
male counterparts. It appears that females are bringing
Dental Education/Private Practice different career patterns and work profiles to a profession
Dental team members work in a range of settings, includ- that was once male dominated.
ing group or specialty practice, schools, government or How do individuals select a dentist? Seventy-one
community clinics, and dental insurance and supply percent of those who seek dental care rely on recommen-
companies. Dentists perform a variety of services, including dations of friends or relatives. Another 13% primarily
public education directed to prevent tooth decay and consider close access to a dentist’s office, and 6% depend
periodontal disease, detection of diseases (e.g., oral cancer), on telephone directories.
cosmetic improvement; and treatment of oral problems
(e.g., misaligned teeth and jaws). Some dentists perform The public demand for dental treatment has remained
surgery to correct facial deformities caused by accidents or strong. A typical dental patient makes about 3.8 visits a
birth defects.1 year. In 1996, 56.2% of these individuals were females;
21.9% were children, 14 years and under; 58.9% were
Dentistry offers nine specialties: endodontics (root between the ages of 15 and 64; and 19.3% were over age
canal therapy), oral and maxillofacial surgery, oral pathol- 65. Currently, 63.1% of these persons have dental insur-
ogy, orthodontics, pediatric dentistry, periodontics, prosth- ance. About 60.8% of U.S. adults who are 25 years and
odontics, public health dentistry, and oral and maxillofacial older have visited a dentist during the past year. Persons
radiology. who are African American, Hispanic, less educated (less
Although dentists represent only about 2.3% of all than 12 years of schooling), and below the poverty level
health care providers, dentistry is a highly visible and have fewer dental visits per year.
respected profession in the United States. In 1998, there Over the next several decades, the per capita demand
were an estimated 142,432 active private practice den- for restorative and surgical dental care will slowly decline.
tists,3 as compared with 663,900 private practice physi- Today’s oldest generation (age 65 and beyond) often wear
cians.4 (An “active private practitioner” is one whose full dentures and thus do not need restorative dental care,
primary or secondary occupation is private practice, full- or although they should still see the dentist for routine
part-time. A “new dentist” is one who graduated from examinations. By 2030 and beyond, the population will
dental school less than 10 years ago.) Thus, there are need far less intensive dental treatment than is currently
currently about 1,916 persons for each private practice provided.8 In the past 20 years, there has been a steady
dentist in our country. The number of dentists per 1,000 decline in dental decay, for both children and adults.
U.S. residents peaked in the early 1990s, but now is Americans born since 1975 have significantly better oral
declining.3 It is projected that the number of dental health than do those who preceded them.8 Additionally,
practitioners per 1,000 U.S. residents will continue to decline adults between the ages of 25 and 44 have fewer dental
over the next 20 years, primarily because of retirement and caries and missing teeth than do their older cohorts. U.S.
the fact that several dental schools have closed. children whose permanent teeth were examined between
Dentists operate from an estimated 111,204 offices,5 1988 and 1994 had slightly more than one-half the dental
and 67% are in solo practice.6 In 1997, 81% were general decay seen in those of equal age who were examined in a
dentists and 19% were specialists. Approximately 2,549 1979–1980 national survey.8
dentists serve in the military services. Licensed dental The latest data show that dentists currently spend a
practitioners supervise approximately 107,000 registered higher percentage of their office hours treating patients
dental hygienists and 231,000 office assistants.4 than they did in the past. This has expanded their profes-
The average general dentist in solo practice employs sional effectiveness and increased their net incomes.3 In
four staff members. The dental specialist employs five staff 1995, private practice general dentists earned an average
members. General dental practitioners have an individual take-home wage of $134,590.5 The average hourly wage of
caseload of approximately 1,000 patients and treat an a dental hygienist in 1995 was $25.20, and that of a
estimated 75 individuals per week; dental specialists treat chairside assistant was $11.70.

186 CHRISTEN AND CHRISTEN

 Most dentists receive reimbursement from patients program. The shortage of faculty is further compounded by
and/or private insurers on a fee-for-service basis. In 1997, recent changes in dental education (i.e., replacing lectures
Americans spent $57 billion dollars for dental care.9 This with seminars and other labor-intensive, active learning
figure has been increasing by about $3 billion a year. Today, strategies designed to develop critical thinking and prob-
96% of the dollars spent on dental care come from the lem-solving skills).12
private sector (i.e., out of pocket or commercial insur-
ance).9
Even with the rapid growth of preferred provider
Historical Background of Substance Use
organization (PPO) enrollment, managed care does not Disorders in Dentistry
have a significant impact on the dentist’s income. Dentists
traditionally avoid managed care (capitation) programs such Definitions
as PPOs. Although private dental insurance was rare in the To gain insight into SUD (SUD), one must explore the
early 1970s, its availability grew steadily between the mid- overall meaning, parameters. and complexities of chemical
1970s and the early 1990s, when it leveled off. In 1996, addiction. The criteria identified in the Diagnostic and
private health coverage accounted for 48.7% of total dental Statistical Manual of Mental Disorders, Fourth Edition
expenditures.5 Public assistance programs such as Medicaid (DSM-IV), published by the American Psychiatric Associa-
cover only a small percentage of dental expenditures tion, are the standard for diagnosis of substance abuse.13,14
(4.39% in 1996). DSM-IV defines addiction as “a disease process character-
ized by the continued use of a specific psychoactive
Dental informatics, an exciting and innovative field,
substance despite physical, psychological or social harm.”14
uses information technology to improve processes and
Leshner15 has called addiction “a brain disease for which
outcomes in dental practice, education, and research. By
the social contexts in which it has both developed and is
1997, 79.5% of all dental practices had been computerized
expressed are critically important.”
and 25% had Internet access.10 In many ways, however,
the dental profession is still a very “unconnected” profes- Substance abuse has also been defined as the self-
sion. Nearly 70% of all dentists are in solo practice, and administration of a drug in a manner that deviates from its
many lack easy access to colleagues and educational accepted medical indication.16 The term includes experi-
resources such as libraries. However, the availability of mental and recreational drug use (abuse) and chemical
computer software has enabled the paperless patient record addiction. In addiction, a drug is compulsively taken
to emerge in some dental offices. The American Dental without any medical indication, despite adverse physical,
Association (ADA) Standards Committee for Dental personal, and social consequences. For the purposes of this
Informatics is helping the profession lay the groundwork chapter, the acronym “SUD” is used to refer to what may
that will determine the future use of computing technolo- elsewhere be called “substance use disorders,” “substance
gies in dentistry.10 A cadre of experts in dental informatics abuse,” “drug abuse,” or “chemical addiction.”
is needed to direct this effort. Health problems associated with substance abuse
Roughly 4,000 new students enter U.S. dental schools affect an increasing number of Americans. In this country,
each year. Since 1986, six schools of dentistry have closed, more than 10.5 million adolescents and adults are drug- or
while only one has opened.3 About 3,378 faculty members alcohol-dependent, and another 50 to 60 million Ameri-
work in the these schools.11 In 1995, 3,897 students cans are addicted to tobacco products.17,18
earned degrees from 53 dental schools.4 Of these, 36.4%
were women (compared with 22% in 1986–1987). The Early Efforts at Substance Abuse Education in Dental
number of dental school graduates is projected to increase School and Practice
to 5,414 by 2020. The recent graduate’s average indebted- Until the late 1970s, dental faculty members presented
ness has increased from $26,600 in 1982 to $75,748 in SUD information to students for one primary purpose: to
1996.3,12 U.S. dental school enrollment has decreased by relate drug use to the process and outcome of dental care.
9.4% in the last decade, from 18,673 in the 1986–1987 Today’s dentists have a much broader perspective. During
academic year to 16,926 in the 1997–1998 school year.7 the complex course of dental diagnosis, treatment plan-
Within today’s 4,926-hour curriculum, the traditional ning, case management, and prognosis, the addition of
emphasis has slightly shifted. The program now consists of substance abuse consequences also needs to be considered.
20% basic and behavioral sciences, 14% preclinical In earlier years, few oral health/substance abuse issues
technique, and 66% clinical sciences.12 had been scientifically addressed. Outside the field of
Dental schools are facing a critical shortage of clinical pharmacology, little was known about the interactions
faculty members. To operate effectively, dental institutions between substance abuse and the oral cavity. Dentally
need 200 full-time faculty members.12 To arrive at such a related continuing education (CE) courses dealing with
faculty, 5% of every dental school graduating class would substance abuse were largely unavailable.
have to complete a 3- to 5-year postgraduate dental

DENTISTRY 187
 By the late 1970s, dental patients suffering from the In the mid-1950s, when the medical profession began
disease of alcoholism had become more routinely identified to deal with drug-dependency issues, some investigators
by the practicing dentist. In 1978, about one in five male reported that SUD were more prevalent among physicians
dental patients and one in ten female patients were known than among the overall population.23 In 1975, the Ameri-
to have this disease.19 Excessive drinking in men between can Medical Association held a national meeting to address
the ages of 18 and 25 often resulted in accidents that this problem, and to suggest solutions.
caused injuries to the mouth, head, and neck (craniofacial In 1979, the House of Delegates of the ADA adopted
trauma). Moreover, the healing professions became more Resolution 21H, which authorized the Council on Dental
aware of alcoholism’s systemic effects that had dental Practice (CDP) to act as a clearinghouse and national
implications: malnutrition (vitamin deficiencies); neurologic information source for substance abuse programs for dental
disorders; stomach, intestine, pancreas, and liver ailments; professionals.25
cardiovascular disease; changes in fluid and electrolyte
balance; fetal alcohol syndrome; altered pulmonary In the 1980s and 1990s, 14%–16% percent of both
function; alcohol and drug interactions; and problems in dental students and practicing dentists, as compared with
the blood-producing system.19 Also, it was discovered that 8%–12% of the general population, were reported to be at
persons with alcoholism experienced more difficulties risk for SUD.11,23-25 In 1989, Oberg,26 using a conservative
directly related to the oral cavity, including alterations in figure of 10%, estimated that 18,000 (of 180,000 U.S.
salivary glands, a greater incidence of oral cancer and dentists) were chemically addicted. Kittelson27 is of the
periodontal disease, and impaired wound healing. They opinion that 5% of practicing dentists are actively abusing
also showed decreased effectiveness of local and general chemical substances and that 13% of these professionals
anesthesia in dentistry. have experienced a long-term problem with substance
abuse.
By the 1990s, 30% of all dental patients were sus-
pected of having a SUD.20 Guidelines for dental practitio- Dentists appear to be especially vulnerable to sub-
ners that identified the signs and symptoms of clinical stance abuse because they work in a demanding, stressful
addiction began to appear. Additionally, psychological profession, are frequently isolated from their peers, are
insights were gained: denial, shame, guilt, and fear of legal typically compulsive and perfectionistic in their behavior,
consequences became recognized as strong adversaries to and can access drugs readily.20 Robert Holman Coombs, in
recovery. Often, a combination of these emotions pre- his book Drug-Impaired Professionals, refers to “pedestal
vented patients from admitting their drug problem to professionals” to make the point that dentists and other
caregivers. high-accountability professionals are likely to be seen (and
to see themselves) as set apart from the general popula-
Common complications encountered in the patient tion.28 The reality, however, is that dentists are human
with a substance use disorder that have a deleterious effect beings first and dentists second. Addiction is a human
on the delivery of dental health care include20 disease, and some individuals who have it are dentists.13
■ Tolerance and cross-tolerance to commonly prescribed The National Council on Alcoholism has estimated
analgesics, narcotics, and sedatives; that the percentage of individuals with alcoholism among
■ Synergistic and antagonistic drug interactions; all health professionals is 1.5 times higher than it is among
■ Withdrawal, with potential major medical complica- the general population.23 It is however, generally accepted
tions, including convulsions; that one of ten dentists who uses alcohol has a drinking
problem. In considering these findings, leaders within the
■ Agitation, psychosis, and paranoia; and profession are clearly obligated to take action.
■ HIV infection and other diseases associated with In 1984, the ADA House of Delegates adopted
intravenous drug use. Resolution 89H, which directed the CDP to establish the
Advisory Committee on Chemical Dependency Issues
Impaired Dentists (ACCDI).27 This body, an information clearinghouse on
substance abuse programs for dentists, was charged to
As members of a respected health care community, all oral suggest intervention strategies and provide consultation
health team members need to expand their understanding and support to State and local dental societies in imple-
of the complex substance abuse process.21 As they learn to menting impaired dentists programs.13,26 With these
identify addictive patterns and more thoroughly understand parameters, the smaller groups became more prepared to
the dynamics of chemical dependency, they will become establish their own substance abuse treatment programs.
better equipped to help patients, colleagues, office staff, Since its formation, the ACCDI (now called the Dentist
family members—and perhaps even themselves.22 Health Well-Being Advisory Committee) has continued to effec-
care professionals are definitely vulnerable to substance tively perform its assigned tasks. Resolution 50H, adopted
abuse. in 1984, directed the CDP to conduct one-day national

188 CHRISTEN AND CHRISTEN

workshops on SUD. The First National Conference on and a list of organizations that can help individuals deal
Chemical Dependency in the Dental Profession was held with the physical and psychological problems related to
on July 24, 1985.26 Subsequently, every few years, confer- chemical dependency. Most States have a legislated
ences dealing with wellness and substance abuse issues are procedure that addresses the substance abuse problems of
held at ADA headquarters in Chicago. The ADA’s 8th health care professionals. Dentists who abuse drugs may
National Institute on Dentist Well-Being: Professional face suspension or license revocation. In turn, these legal
Challenge and Obligations, held in August 1999, was a 2 actions can compound the already dire consequences of
1/2-day event, sponsored by the CDP.29 While this meeting addictive disorders.13,31,32
focused on substance abuse, it also introduced other issues, In 1992, the ADA designed a financial assistance
including sexual addiction, depression, family issues, living program for dentists who are dependent on alcohol, nitrous
with HIV, eliminating self-defeating behaviors, and smoking oxide, or controlled substances. Eligibility for the program,
cessation. which is administered by the Endowment and Assistance
In 1986, the ADA House of Delegates adopted Fund, Inc., is determined on an individual basis. Those
Resolution 64H, the ADA Policy Statement on Chemical selected for assistance must agree to complete treatment
Dependency, which reads as follows:2 (as prescribed by a physician) and to comply with aftercare
1. The ADA recognizes that chemical dependency is a instructions. Up to 10 loans can be awarded annually.
disease entity that affects all of society.
Ethical Considerations
2. The ADA is committed to assist the chemically depen-
In a 1994 Gallup poll that rated the honesty and trustwor-
dent member of the dental family toward recovery from
thiness of U.S. professionals, pharmacists, the clergy, and
the disease by education, information, and referral. The
dentists received the highest scores: 61%, 54%, and 51%,
establishment of constituent and component society
respectively. A 1996 survey in Consumer Reports showed
chemical dependency programs is essential to this
that 96% of the public have confidence in the technical
effort.
competence of their dentists.33 The Gallup Organization’s
3. The ADA encourages those institutions responsible for 1999 Honesty and Ethics public opinion poll revealed that,
dental education to allocate adequate curriculum on among 45 occupations or professions, dentistry ranked
substance use, misuse, and addiction. ninth.33
4. In meeting the needs of the public and the profession, The dental profession holds a position of public trust.34
the ADA also encourages liaison between constituent In return, the profession declares that its members will
society chemical dependency committees and their adhere to the American Dental Association Principles of
State boards of registration. Ethics and Code of Professional Conduct (ADA Code).
5. The ADA recognizes the need for research in the area There is little equivocation on the matter of the dentist’s
of chemical dependency in dentistry. personal impairment, as Code 2.D. demonstrates:34
The University of Utah School on Alcoholism and It is unethical for a dentist to practice while abusing
Other Drug Dependencies in Salt Lake City is the second controlled substances, alcohol or other chemical
oldest U.S. summer school of its type.26 More than 1,000 agents which impair the ability to practice. All dentists
persons enroll in this one-week annual program. The have an ethical obligation to urge chemically impaired
school is divided into 16 professional entities, including the colleagues to seek treatment. Dentists, with first-hand
Dental Section, which was added in 1988. Since then, 30 knowledge that a colleague is practicing dentistry
to 40 oral health care providers and educators have when so impaired, have an ethical responsibility to
attended every meeting. Some dental colleagues believe report such evidence to the professional assistance
that this section can serve as a primary training resource for committee of a dental society.
dental professionals who are seeking basic or advanced In addition, each State has declared that its licensed
education in chemical dependency. dentists are legally forbidden to practice if they are chemi-
Since 1989, ADA’s CDP has published a directory of cally impaired.
chemical dependency services for dentists, listing hotlines,
contact persons, addresses, and telephone numbers.30 Most Help for Chemically Dependent Dentists
States, either through the dental society or the dental Dentists are especially vulnerable to chemical addiction
licensing authority, offer dentists structured opportunities because they can easily obtain drugs; are typically in a solo
to participate in primary treatment, continuing care, group practice where their colleagues cannot judge their behav-
support, and professional guidance via recovery-based ior; and generally represent the highest demographic risk
monitoring programs. group (Caucasian males).11 Addiction is often a self-
Regularly updated, the Directory of Dentist Well-Being medicating attempt to ward off depression. Dentists, who
Programs provides contact information for dental schools tend to be perfectionists, can easily become depressed.

DENTISTRY 189
Many practitioners drive themselves relentlessly as they history of substance abuse.35 Many dentists who develop a
strive to operate an effective business, juggle professional SUD admit that their problem began in dental school.25
and domestic demands, soothe patients’ feelings, and In 1986, the American Student Dental Association
perform flawless dentistry. Confronted with this impossible (ASDA) House of Delegates adopted a resolution that both
package of goals, they may turn to drugs for relief.32 recognized substance abuse as a disease and made a
Specific behavior patterns that tend to occur among commitment to help addicted classmates seek treatment
substance-abusing dentists include (1) social isolation and and work toward recovery. This document contains a
withdrawal from previously attended activities; (2) strong educational component.26
deterioration in personal hygiene and appearance; (3) In spring 1988, the Pharmacology and Therapeutics
disruption of appointment schedules; (4) unexplained, Section of the American Association of Dental Schools
frequent absences from the practice; (5) signs of with- (AADS) developed curricular guidelines for instruction
drawal such as lethargy, irritability, or tremors; and (6) related to SUD.36, 37 The group worked on this project in
excessive ordering of prescription drugs.11,23 The staff, conjunction with the Advisory Committee on Chemical
family, and friends of a dentist who is suffering from a SUD Dependency, a subgroup of the CDP. A number of dental
may recognize that he or she is engaging in some or all of schools are using the core content outline of these prin-
these behaviors, but may choose to ignore the obvious. ciples in teaching the dynamics of SUD. They specifically
Coworkers may also ignore the problem, out of loyalty or state:36
fear of losing their jobs. Family members and friends who
have suspicions may ignore them for a variety of reasons. The dental practitioner must not only have an
These protective responses become a major barrier to awareness of the disease, but must also be able to
recovery. Another recovery obstruction is denial, which is identify chemically compromised patients, provide
often demonstrated both by the substance user and by appropriate care for these individuals, and minimize
some or all of these close associates. the potential for relapse of recovering patients… The
goal of these curriculum guidelines is to enhance
Substance abuse is a treatable condition once it is student and dental practitioner understanding of the
recognized and acknowledged.22 In a 1997 ADA survey, etiology, prevention, and recovery process related to
4% of participating dentists admitted that they had some substance abuse, alcoholism, and chemical depen-
kind of drug problem, and 20% were found to be at risk for dency so that they may help themselves, ‘at risk’
alcoholism or other chemical dependencies.11 patients, families, and fellow colleagues.
Many persons with a SUD need inpatient treatment to The guidelines recommend that the dental curriculum
successfully withdraw from their dependency. Throughout cover three categories of drugs with high abuse potential:
the U.S., some dentally oriented intervention programs, (1) noncontrolled substances (alcohol, nicotine [smoked
both inpatient and outpatient, have been established.11,32 and smokeless tobacco]), caffeine, nitrous oxide, inhalants
The 12-step recovery program of Alcoholics Anonymous and solvents; (2) controlled substances (opioids, central
(AA) has also had impressive results.22 Social support nervous system [CNS] depressants and stimulants), and (3)
systems that operate within AA, Narcotics Anonymous, Al- commonly used illegal drugs (e.g., hallucinogens,
Anon, Adult Children of Alcoholics, and International psychedelics, heroin, cannabinoids).
Doctors of Alcoholics Anonymous can contribute signifi-
cantly to recovery.22,23 Medical/dental doctoral support
groups, found within the Caduceus Clubs, are available in Critical Issues, Obstacles, and Challenges in
many communities, with the goal of helping colleagues
with substance abuse disorders.22 Long-term recovery is
Dealing with SUD
most likely when former, ineffective thought patterns are For dentists, the primary contributor to SUD is easy access
modified, healthy substitutes are adopted, and positive to drugs. Dentists work in a virtual “candy store” of
social supports replace old, dysfunctional ones. substances that are potentially addicting. As Hulsman38
has stated:
Within the educational construct of each health
Educating Dental Students About SUD discipline, the study of pharmacology and its effects
Dental students have many stressors: the highly competi- are known to the professionals who administer
tive and achievement-oriented environment of academia medications to alleviate their patients’ mental and/or
and the resulting isolation; economic concerns; and long physical pain. They observe the drug’s effectiveness,
hours of study, lab, and clinical work.25 Additionally, the which reinforces their attitude towards the drugs as an
dynamics and dysfunctions within their individual family effective means of treatment. Drugs are often pre-
systems can cause pressure. Some evidence shows that scribed to relieve symptoms, not treat causes. The
more than 35% of all dental students (compared with 10% initial use of self-medication is characterized by the
of the general population) come from families with a belief that medications are an acceptable way to alter

190 CHRISTEN AND CHRISTEN

 feelings or to fix a situation, to feel better or to prevent providers should possess. Level II competencies apply to
the uneasiness of one’s own feelings. “Heal thyself”’ health care providers who accept responsibility for preven-
has taken on a new and dangerous meaning. tion, assessment, intervention, and care coordination of
A significant number of dental professionals and students those with SUD. Level III competencies are provided by
continue to deny or minimize the seriousness of substance those who have received additional training and who
abuse within their ranks. Their reactions may range from a accept responsibility for long-term treatment of individuals
total failure to recognize the problem to a “conspiracy of with SUD.
silence,” where it is known but never openly addressed.25,38 To care for patients with SUD, Adger and colleagues45
These responses may be motivated by a range of have suggested that all primary health professionals should
emotions, including fear (i.e., the user may fear exposure 1. Be aware of the medical, psychiatric, and behavioral
and the consequent rejection, shame, notoriety, and syndromes and their diagnostic criteria and terminology
discipline or the impaired dentist’s staff may fear losing which are commonly used in describing various
their jobs or being rejected by coworkers if they address the substance abuse disorders (pathophysiology).
problem); loyalty (i.e., colleagues and staff feel protective of 2. Realize the epidemiologic magnitude of the problem
their fellow professionals); and confusion and uncertainty (the extent of its occurrence in general or special
(i.e., while both substance abusers and their colleagues population groups and all contributing elements).
may want intervention to occur, they lack the insight and
direction needed to initiate it). 3. Understand the risk factors associated with SUD
(genetics, socioeconomic status, educational levels, and
Most dental schools do not have substance use environmental influences).
treatment programs. Thus, a dental student with a sub-
stance use disorder who needs structured, empathic help 4. Recognize the pharmacological and behavioral effects of
has few means of receiving it. commonly abused substances.

Dental students carry a heavy load of course require- 5. Make referrals to accessible treatment facilities whose
ments, and it is difficult to add another subject to the strategies are established on research-based interven-
curriculum. Additionally, most faculty members are tions.
unprepared to teach classes on SUD. These programs need 6. Understand legal and ethical issues relating to SUD and
to be designed both to help those students who are affected how they may vary among different cultures.
by SUD and to prepare the entire student body for profes-
sional service in this area. Students and dentists who are Competencies/Skills: Level I Requirements
being counseled and treated for SUD need to be supported 1. Use screening and other scientifically based procedures
in the most confidential manner. Within both groups, early to detect SUD as early as possible. Ensure that health
detection and referral for evaluation and intervention are examinations include an in-depth history of substance
paramount. use disorders.
2. Assess the nature and severity of the disorder.
Development of Core Knowledge and Skill 3. Deal with the disorder in a discreet and timely manner,
showing concern and empathy and offering insight,
Competencies support, and follow-up.
In recent years, national dental educational certifying
4. Before referring patients to specific resources (e.g.,
agencies (i.e., licensing boards) have proposed clinical
prevention information, brief intervention, or referral to
competencies for the new dental practitioner.39-42 This
treatment), consider their individual needs. Customize
requirement for the licensure of each new dentist is met by
each situation to fit individual needs.
the successful demonstration of an assigned clinical
procedure. It is assumed that those who satisfactorily 5. Periodically monitor and evaluate each patient’s
perform this task possess the fundamental knowledge and progress to determine a future plan of action. (e.g., re-
skills that are essential to the dental professional.43 These referral, re-intervention, or supportive follow-up).
qualifications are useful in creating a basic dental school
curriculum and requirements for accreditation. Teaching Methods: Problem-Based and Competency-
In North America, the dental profession must develop Based Curricular Changes
and employ similar competencies in SUD. This vital subject The future wave of dental education will be characterized
and related competency levels and accreditation should be by PBL driven by clinical competencies. In PBL42
added to the dental curriculum. …the students cope with the elements of the problem
Clinically oriented substance use competencies and before they learn the facts, concepts, or principles that
skills have been divided into three levels.44,45 Level I relate to it. It is the problem that stimulates and
competencies are those that all primary health care focuses their learning. Students may bring varying

DENTISTRY 191
 amounts of prior knowledge to the problem, depend- microbiology-pathology; and dental anatomy and occlusion.
ing on their backgrounds, but the teacher does not Part II, taken during the senior year of dental school, is
‘prepare’ them for the problem through reading a comprehensive, 1 1/2-day examination that covers the
assignments or lectures. clinical dental sciences. Approximately one-fifth of this test
Traditionally, dental education has been based on case includes items based on patient cases. Few questions
study formats (i.e., students analyze a clinical case after address the SUD of dental patients. In the future, a greater
they have acquired information through traditional means effort should be expended to fill this void.
[lecture, demonstration, reading assignments]). Students Until recently, national board examinations were
who participate only in these traditional methods of offered on only two dates per year, and at specific sites
education cannot easily perceive how their basic science (usually dental schools). In 1999, this situation was
courses are relevant to clinical practice and, as a result, rectified. Part II can now be taken “on demand” at
they have difficulty integrating the two.39-42 The PBL format professional testing facilities throughout the nation.47
encourages students to engage in lifelong learning. It Presently, two-thirds of all States grant the applicant a
requires them to use scientific methods to develop critical dental license after determining that he/she has met the
thinking skills and accurate clinical judgment. PBL exer- essential requirements and previously passed a clinical
cises, carried out in small groups that include a faculty licensure examination, and has 3 to 5 years of practice
tutor, deal with simulated professional/ethical problems. To experience. Only barbers, cosmetologists, hearing-aid
address these issues and stimulate a continual desire for providers, optometrists, and dentists still use human
learning, students are taught how to effectively use the subjects in licensure examinations. There is strong profes-
electronic media as well as traditional libraries.39 This sional disagreement concerning the validity, reliability, and
milieu creates a fertile environment where professionalism, outcome inconsistencies of this exam and the ethical
ethics, and interpersonal skills can be practiced and problems of using live patients.47
developed. The PBL environment enables each participant
to shift from passive learning to active involvement.41 Prescription Drug Abuse or Theft by the General
In the 1950s, the PBL/competencies model was first Public Involving Dentists
introduced in the medical program at Case Western Because dentists are legally authorized to prescribe
Reserve University. During the following decade, narcotics and controlled drugs for therapeutic use, they
McMaster University in Canada followed suit. Since that may be approached by drug-seeking individuals who
time, it has become an integral part of many medical school pretend to be in need of medication to ease their oral
programs. It is only during the last 10 years that this pain.48 In their attempt to obtain these pharmaceutical
innovative approach has begun to penetrate dental drugs, which are intended for their personal use or for
education. diversion to the black market, they typically call for dental
Although the PBL/competencies system is highly treatment late at night or on weekends.27,48,49 They may
effective, it is still underutilized within dental education. also claim that they are “just passing through” and have
However, many dental schools are now considering the misplaced or forgotten their prescriptions, which, they
inclusion of a PBL format in their current curriculum, and claim, were issued by their regular dentist. Typically, they
three dental institutions (Indiana University, Harvard ask for a prescription by name and can become aggressive
University, and the University of Southern California) are or manipulative if the dentist denies their request.
regularly using this system of learning. Illegal drug schemes began in the early 1970s, when
the supply of street heroin became nearly exhausted. This
shortage forced persons with drug addictions and drug
Other Issues of Importance to Dentistry traffickers to seek an alternate source of opiates and other
Because of the unique nature of dental education and mood-altering drugs. Dentists became a vulnerable target
practice, a variety of other issues relating to SUD are for drug-seeking con artists. Since this era, the diversion of
discussed in the following section. legitimate drug products to the illegal market has become a
$25-billion industry, with prescription medications (espe-
National Board Dental Examination Questions cially controlled substances) accounting for one-third of all
The purpose of the National Board of Dental Examiners is illegal street sales.49 It is estimated that 15% of all legiti-
to help State dentistry boards determine the qualifications mate prescriptions will become illegally diverted. Usually,
of dentists and dental hygienists who seek licensure to this diversion is staged through forgery, verbal misrepresen-
practice professionally.46,47 tation, and multiple doctoring. Drugs commonly sought for
Part I, usually taken after completing 2 years of dental illegal reasons include codeine, Darvon, Demerol, Dilaudid,
school, consists of four examinations on the basic biomedi- Empracet 30, Fiorinal, Hycodan, Hycomine, Leritine,
cal sciences: anatomic sciences, biochemistry-physiology; Lorcet, Lortab, methadone, Novahistex, Percocet,
Percodan, Ritalin, Tussionex, Tylenol 3, Tylenol 4, Vicodin,

192 CHRISTEN AND CHRISTEN

and Vicodin ES.48,49 Those who illegally obtain these drugs or damaged prostheses. With or without liver cirrhosis,
and sell them on the black market gain a high rate of these afflicted persons often exhibit chronic asymptomatic
financial return and incur a minimal risk of arrest and swelling of the parotid glands. This parotitis, usually
prosecution. bilingual but sometimes unilateral, causes a gradual
Dentists must carefully guard their prescription pads increase of swelling that may involve the submandibular
and report any losses or thefts to the pharmacy, their glands. The short- and long-term effects of tobacco use on
licensing body, and the police. Controlled drugs (including salivary flow rates are not clear. The salivary composition is
narcotics) that are kept in the office must be stored in normal except for an elevated level of amylase.
locked cabinets, out of sight and away from patient areas. Frequently, persons who are addicted to alcohol
For routine treatment, prescription drugs should be exhibit clinical signs of poor oral hygiene. These individuals
dispensed in small quantities. A 2- to 3-day supply is may have acute dental pain, a thickly coated tongue, heavy
adequate for most dental needs.27 dental plaque, materia alba, and calculus deposits. They
While recent graduates and new practitioners are the also tend to have more missing teeth (often three times
most susceptible to this deceit, no dentists are immune. more than nonalcoholics in the same age group). Compara-
They should never prescribe on demand or automatically tively, they experience more destructive forms of periodon-
accept the patient’s self-diagnosis. Additionally, they should tal disease and a greater incidence of head and neck cancer
not prescribe medication to friends or family members who and leukoplakia (pre-cancer) than other individuals.55
may request this favor. Proper clinical assessment and Epidemiologic and clinical studies suggest a synergistic,
documentation are necessary components of script issuing. cocarcinogenic cause/effect relationship between alcohol
Dentists cannot legally prescribe a narcotic for an unautho- and tobacco use. Poor postoperative wound healing is
rized, non-dental condition. Dentists should immediately another common problem in patients with alcoholism.
notify the authorities if they are asked to engage in any Alcohol, in a dose-related manner, interferes with the
questionable or illegal activities.27 proper formation and deposition of collagen.

Other Drugs
Oral Health of Substance Abusers Many serious health problems are associated with long-
term drug abuse. They include viral hepatitis (particularly
Tobacco B, C, and D), a high risk of HIV infection, endocarditis
The use of smoked and smokeless tobacco has profound caused by infection from intravascular infection, tuberculo-
deleterious effects in and around the oral cavity.35,50-53 One sis, sexually transmitted diseases, pulmonary conditions,
or more of the following tobacco-related conditions, and renal failure.16,56,57 Liver damage is common. Most
ranging from mild to life-threatening, typically develop in persons who abuse drugs are malnourished and
varying degrees of severity: halitosis, hairy tongue, dental immunocompromised.
calculus, periodontal disease, premature tooth loss, acute
Persons addicted to drugs such as cocaine and heroin
necrotizing ulcerative gingivitis, abrasion, discoloration of
typically neglect their dental health. As a result, they
teeth and restorative materials, tissue changes, delayed
frequently develop a high dental caries rate and severe
wound healing, sinusitis, leukoplakia, and oral or laryngeal
periodontal disease.16,56-60 Recovering persons who are on a
cancer.
methadone treatment program can experience rampant
dental decay if the methadone syrup is not sugar-free.16 In
Alcohol general, the prevalence of decayed and missing teeth is
Nearly three-fourths of all Americans regularly consume high among drug addicts, and they receive fewer dental
alcohol. One study has revealed that 40% of all medical/ restorations than do other individuals.61 Persons who abuse
surgical patients suffer from various clinical effects of drugs, particularly those who use parenteral drugs, are
alcohol use.54 Often, certain cause/effect maladies of inclined to crave refined carbohydrates, which they
persons who abuse alcohol are overlooked or misdiagnosed characteristically consume while ingesting their chosen
by the dentists who treat them. When treating their chemical.60 Cocaine-induced anorexia is characterized by
patients, dental professionals need to be on the alert for excessive weight loss and malnutrition. These conditions
actual or potential alcohol-related conditions. When such a are directly associated with oral manifestations, such as
problem is identified in the dental office, it needs immedi- angular cheilitis (raw fissures located at the corner of the
ate attention. These health emergencies include accident- mouth), necrotic tongue lesions, laryngeal mucosal burns,
related craniofacial trauma, which requires surgery, and palatal ulcers, candidiasis infection, and glossodynia
depressed gag and cough reflexes. During dental treatment, (burning tongue). Necrotic tongue lesions tend to be more
depressed reflex responses can increase the likelihood of severe in those who smoke crack cocaine. Additionally,
aspirating dental instruments and foreign bodies and cause some persons who are addicted to cocaine practice intense
airways to be obstructed by blood, vomitus, broken teeth, bruxism (teeth grinding). This action, which produces

DENTISTRY 193
extreme tooth wear, results in flat cuspal inclines on both Pain Control
the bicuspid and molar teeth. Cocaine use combined with Health professionals who treat persons with SUD often fail
chronic alcohol ingestion can cause severe dental complica- to provide adequate pain control treatment.63 Patients with
tions, including a dry mouth (xerostomia), advanced a history of substance abuse are likely to need larger doses
periodontal disease, bruxism effects, and a bilateral of analgesics than are those without such a history.27
swelling of the parotid glands that results in a “chipmunk” Because the action of psychoactive drugs on the brain
appearance. When patients recover from their opioid drug masks bodily pain signals, drug withdrawal often precipi-
addiction, they become much more aware of their dental tates a severe pain reaction.54 Virtually all pain medications
pain, which was previously masked by the drug usage. except the nonsteroidal anti-inflammatory drugs (NSAIDs)
Heroin addicts can sustain burn scars on their face and are potentially addictive. When a person in recovery needs
body when they lose control of a lighted cigarette during a analgesia, NSAIDS are the primary choice. A dentist–
drug-intoxicated state.57 A pallorous oral cavity or icteric physician consultation is a necessary component of the
sclera (typically caused by active hepatitis and evidenced by treatment plan. A number of drugs (narcotics [opioids],
needle tracks on the arms or other parts of the body) are sedatives, minor and major tranquilizers, all antihistamines,
also effects of heroin use. In addition, chronic marijuana decongestants, antidepressants, CNS stimulants, and
users have tendencies to experience xerostomia, and a anesthetic gases, including nitrous oxide) can compromise
relatively high incidence of both dental caries and periodon- the sobriety of a recovering person.62 If a dental patient
tal disease.60 Because substance abusers also tend to be heavy with current or remitted SUD requires any of these
tobacco users, they face a second risk: the tobacco-related medications, a physician with expertise in addictions
ill-effects of tissue changes (e.g., leukoplakia).50 should be consulted.

Treatment Planning Nitrous Oxide in Dentistry

Nitrous oxide is an excellent adjunct for treating pain and
Persons with SUD, who spend the greatest share of their anxiety. It is routinely administered by 30,000 dentists to
money on drugs, may have no financial reserve for dental 4.5 million patients annually.64 According to the ADA, in
or medical care.16,62 For them, both prevention and 1994, 56% of general dental practitioners and 46% of
treatment are rare.16 The dental management of patients dental specialists used this gas.65 Nitrous oxide also has the
who abuse drugs creates specific problems when they seek potential for being abused, and documented cases of
treatment only for pain relief, which typically requires nitrous oxide addiction have been linked to its recreational
tooth extraction.6,56,61 These individuals are at high risk for use by dentists and dental students. The adverse effects of
developing infectious disease, dental pathology, and a wide nitrous oxide use include transient hypoxia, nausea,
range of medical complications.17 In addition, as compared claustrophobia, certain sexual responses, and psychedelic
with a control group, they react less effectively to a local (visual) phenomenon. Spontaneous abortion and birth
anesthetic. Postoperative pain control is a significant defects have been reported among female dental office
problem. personnel who have retained even trace amounts of this
Current modes of substance abuse treatment vary drug in their bodies. Although nitrous oxide is not a
according to the type of drug being abused. Some recovery controlled substance, it has caused serious neurologic
centers use a basic program modeled on long-term experi- symptoms and even death among dentists who adminis-
ence with persons with alcoholism.16,18,32 This plan typically tered it to themselves.65 This drug has only one regulation:
involves participation in a structured, 3- to 5-week hospital some individual States require that dentists become
program, followed by long-term outpatient aftercare.63 For certified to administer it in an approved manner.64 For
financial reasons, however, many of these programs no practices in which dentists use nitrous oxide, 53% reported
longer still exist. having a formal employee education program for nitrous
Those who have successfully completed an intensive oxide, and 63.7% of the practices periodically test their
substance abuse treatment program may become extremely delivery equipment for leaks to reduce the risk of nitrous
cautious about taking any type of medication.63 Fearing oxide exposure.65
relapse, they may resist any treatment that includes a
legitimate, prescribed drug intake. Therefore, their
necessary prescriptions may go unfilled. Extreme caution
Tobacco-Cessation Treatment for Dental
must be taken in prescribing anxiolytic agents: some Patients
experts report incidences where the use of mind-altering During the past 30 years, the U.S. dental profession has
prescription drugs has actually triggered a relapse. Dentists increasingly embraced tobacco cessation issues as a special
are advised to consult with a psychiatrist or an experienced area of interest and involvement.51 Currently, only 5%-8%
physician before they treat addicted patients with pharma- of dentists smoke cigarettes.
cologic adjuncts.17

194 CHRISTEN AND CHRISTEN

 The first Surgeon General’s Report to address the Between 1984 and 1991, nine studies reported that
systemic hazards of tobacco use was issued in 1964.66 dentally oriented smoking-cessation programs that use
During the same year, the House of Delegates of the ADA51 nicotine replacement therapy (NRT) can be instrumental in
resolved that helping smokers to quit.52,66-68 These investigations demon-
…members be encouraged to inform their patients of strate that team programs produce significantly higher
the health hazards of the use of tobacco and, especially success rates than do individual efforts. Presently, dentists
with young people, warn against acquiring the habit of throughout the nation are being instructed on how to use
cigarette smoking. FDA-approved smoking-cessation medications. These
training sessions are sponsored by the NCI, individual
Although the initial resolution did not suggest that tobacco- dental schools, and specific dental organizations such as
cessation strategies be used in the dental office, it did serve the Academy of General Dentistry.
an important function by confronting the issue. Today, the
ADA prohibits smoking during its meetings and confer- In 1986, NCI mandated an intensive, coordinated, 15-
ences and encourages its constituents to follow suit. year antitobacco campaign that involved public agencies
Approximately 50 other dental organizations that have and professional health organizations, including those
adopted policies and resolutions concerning tobacco use representing dentistry.66 The first NCI effort, the Commu-
have also acknowledged the need to endorse and imple- nity Intervention Trial for Smoking Cessation (COMMIT),
ment smoking-cessation programs. Since the early 1970s, was designed to reach 2 million Canadian and U.S. citizens
the ADA has produced and distributed increasing amounts in 22 communities between late 1989 and 1993. An
of tobacco-cessation materials, including wall plaques, additional 90 million people in 17 States were targeted to
posters, pamphlets, no-smoking signs, package libraries, participate in the seven-year American Stop Smoking
audio- and videocassettes, and slide sets. Intervention Study (ASSIST), which followed COMMIT.52
These two community-based events utilized the leadership
In 1970, several articles in the Journal of the Ameri- skills of practicing physicians and dentists and their office
can Dental Association (JADA) explained how tobacco team members, all of whom were trained as smoking-
smoking adversely affects the oral cavity. Christen and cessation change agents. This educational approach used
colleagues50,51 proposed guidelines for developing dental NRT in conjunction with behavioral strategies and the NCI-
office-based smoking-cessation activities. During the late designed “5A’s” concept for brief intervention: ASK patients
1970s and early 1980s, JADA continued to publish papers about smoking or smokeless tobacco usage; ADVISE
dealing with tobacco education and smoking cessation. At tobacco-using patients to quit; ASSESS the patient’s
the time, however, dentists and other oral health care willingness to quit; ASSIST those interested individuals in
professionals did not realize that they would have a future quitting; and ARRANGE for supportive follow-
role in the prevention and treatment of this serious health up.51,52,66,68,75,76
problem. Although many dentists had undoubtedly
observed the oral ill effects experienced by their smoking The 1986, U.S. Surgeon General’s Report on smoke-
patients, they may have hesitated either to mention the less tobacco stimulated a great deal of concern and interest
correlation or to advocate quitting. Traditionally, this had among dentists and hygienists. Since 1987, an eight-step,
not been their responsibility, and they may have feared dental office-based tobacco-cessation plan has been
rejection by their patients, concluding that their interest regularly presented to Indiana University dental hygiene
would be perceived as being intrusive and judgmental. and undergraduate dental students.66 A 51-page handbook,
Recent research has shown that today’s patients expect oral A Smoking Cessation Program for the Dental Office, now
health professionals to inquire about their tobacco usage.52 in its fourth edition, focuses on specific principles that are
emphasized in the Mayo Clinic model.51 Designed for
In the early 1980s, dentistry became involved in dentists and dental auxiliaries, this approach utilizes the
testing nicotine-containing gum as a smoking-cessation skills of hygienists and other office employees. Because
aid.66 When patients began to inquire about obtaining hygienists are specifically trained to provide patient
nicotine-gum prescriptions, many dentists believed that it education and preventive services, they generally coordi-
was illegal for them to prescribe this pharmaceutical agent. nate these activities.51,52,63,69-70 However, dental assistants or
By the mid-1990s, however, these prescribing issues were even receptionists can be instructed to perform selected
resolved. tasks. A number of hygienist and/or assistant programs
In the mid-1980s, two dental schools (Indiana now include tobacco education and cessation in their
University and the University of Kentucky), the National curricula.35 Excellent materials are available for this
Cancer Institute (NCI), and other health-oriented groups purpose. The 1999 Continuing Education Catalog of the
began to encourage and train oral health team members to American Dental Assistants Association lists several
become active in tobacco education, control, and cessation. correspondence courses that address SUD. They include
In the past 10 years, the dental community has developed #9805, The Importance of Pharmacology in Dental Care;
an expanding interest and involvement in tobacco-cessation #9304, Nitrous Oxide; and #9011, Understanding Nico-
issues. tine Addiction.71

DENTISTRY 195
 In April 1989, the First National Dental Symposium on who received dental treatment in the previous year said
Smoking Cessation: Helping Dental Patients to Quit they had been advised to quit smoking by their dentist. By
Smoking, was held at the ADA headquarters in Chicago, contrast, more than one-half of smokers who had seen a
Illinois. This 1-day program was cosponsored by the physician in the year preceding the survey reported that
Indiana University School of Dentistry, the ADA, and the they had been advised to quit. Therefore, dentists appear to
AADS. The 150 attendees (private practitioners and be considerably less willing and/or able to address and deal
representatives from each U.S. dental school) included with this vital health issue than are physicians. Even more
individuals who were currently active in this arena and puzzling is that each physician generally spends 11 to 14
those who showed interest in it. In January 1990, a JADA minutes with a patient, whereas the dentist typically has
supplement summarizing the conference proceedings was 30- to 90-minute appointments. Less than 18% of current
mailed to each ADA member.72 snuff or chewing tobacco users reported that they had ever
In mid-1989, the National Dental Tobacco-Free received quitting advice from a physician or dentist. Others
Steering Committee (NDTFSC) was established under the have shown that dentists regularly offered smoking-
auspices of the NCI. The purpose of this group was to cessation advice to their more highly educated smokers but
involve the dental profession in activities that promote a neglected to approach those who had a high school
tobacco-free society. This group continues to (1) assess education or less. This finding is particularly troubling
recent cessation-oriented intervention strategies and because smoking is steadily increasing among people who
activities; (2) define opportunities for dental involvement in do not pursue an education beyond high school. It is hoped
these assessed areas; and (3) promote cooperation and that these revelations will serve as a call to action for the
collaboration between dental groups and other professional dental profession.73
and public interest groups which operate at community,
State, national, and global levels. A coalition consisting of
16 major dental organizations participates in 2-day meet-
Continuing Education Efforts in Tobacco
ings held every nine months at the National Institutes of Cessation
Health Conference Center in Bethesda, Maryland. Reports Although few national programs are available for medical
of these meetings are widely distributed and used as a and dental practitioners, several tobacco-related, university-
resource for individuals and groups who promote the based, continuing education-related courses have been
development of a tobacco-free society. Between 1989 and designed for these health care professionals.51,67,74 The
late 1999, this group met 16 times. Indiana University Workshop on State-of-the-Art Smoking-
In 1991, the Healthy People 2000 Objective 3.16 was Cessation Interventions is sponsored by the Indiana
launched. Its objective was to “increase to at least 75 University School of Medicine, Division of Continuing
percent the proportion of primary care and oral health care Education, and the Indiana University Nicotine Depen-
providers who routinely advise cessation and provide dence Program This program, team-taught by a dentist,
assistance and follow-up for all of their tobacco-using pulmonologist, and respiratory therapist, includes lectures,
patients.”73 However, this goal is far from being realized. case presentations, and hands-on skill building. Participants
These federally mandated goals are continually updated are instructed on how to assess, diagnose, and develop
and revised. treatment plans and optimally deliver effective tobacco-
Several North American dental schools have estab- cessation interventions. This course, accepted by the
lished highly structured, individual, outpatient smoking- Indiana State Board of Dental Examiners, is worth 12.5
cessation treatment programs that utilize NRT. Those that continuing education (CE) credit hours. Medical CE credit
use this plan include Indiana University (since 1992), the is also available.
University of Minnesota (since 1997), the University of The Mayo Clinic Nicotine Dependence Seminar:
Tennessee (since 1999), the University of Mississippi (since Counselor Training and Program Development is typically
1999), and the University of Alberta (2000). Other dental held in mid-May, in Rochester, Minnesota. Presented as a
school programs activated in the 1990s are in operation at 3-day course, the Mayo model focuses on counseling skills,
the University of Missouri-Kansas City, the University of pharmacologic therapy, and relapse prevention. This is only
Michigan, Oregon Health Sciences University, and the a partial list; other training programs are available.
University of Washington.69 Approximately a dozen dental In 1996, the Agency for Health Care Policy and
schools in North America include this subject in their Research issued Guideline Number 18, entitled Smoking
curricula. Cessation.75 It includes an exhaustive review of the world
Over the last decade, the dental profession has made literature and detailed, state-of-the-art smoking-cessation
significant progress in treating nicotine- dependent pa- information for all health providers who intend to provide
tients.52 However, the task has just begun. In 1996, Tomar intervention and treatment. An expanded second edition
and colleagues61 found that less than one-fourth of smokers was released in 2000 by the U.S. Public Health Service.76

196 CHRISTEN AND CHRISTEN

Current Developments in Tobacco-Cessation Vision for the Future
Treatment In recent years, some strides have been made in strength-
ening the education and training of oral health care
While dental office intervention efforts have proved to be
providers in SUD, but a great deal more needs to be
effective in reducing the patient’s tobacco use, little
accomplished. Increasingly, recent dental graduates have
emphasis has been placed on the delivery of direct tobacco-
been receiving state-of-the-art information in this area.
cessation counseling. This void is largely due to the
Most dentists in North America, however, do not realize
dentist’s lack of education and experience in this arena.
the extent of this problem. They are unaware that effective
Only a few dental schools strongly emphasize tobacco-
treatment of SUD does exist, and that they can have a
control issues. Others, which may have marginally
prominent role in helping individuals obtain such care.
included prevention and cessation in their curriculum,
tended to present these issues in a manner that is neither To achieve this goal for all dental practitioners, dental
comprehensive nor consistent. schools must increase their training in this area, and the
core knowledge and skill competencies described in this
However, in late 1999, Barker and Williams69 reported
chapter must be integrated into the required curriculum for
that 11 U.S. dental schools and 65 dental hygiene pro-
all dental personnel. Only then will dental professionals be
grams have included formal clinical tobacco-cessation
prepared to fulfill their ethical obligation to help affected
activities in their curricula. Although 53% of dental schools
individuals and families both within and outside of the
do not yet have this type of program, 21% stated that they
dental profession and to ensure that society provides them
were developing such a plan.
with the essential resources, services, and opportunities.
A significant anti-tobacco opportunity has recently
In the opinion of the authors, the dental profession’s
surfaced. In October 1999, during the annual meeting of
projected vision in its role to help those individuals affected
the ADA in Honolulu, this organization passed Resolution
by SUD includes the following points:
24H, which urges6
1. All oral health providers in the United States will
…that state tobacco settlement funds be targeted
receive formal substance use education in state-of-the-art
toward improving health and reducing the morbidity
knowledge and clinical kills. They will learn to identify,
and mortality of tobacco-related diseases. …that state
intervene, and/or refer individuals who have SUD.
settlement funds to be used to increase funding to
Dental personnel will become more knowledgeable and
dental programs in order to improve access for
confident in working with patients with SUD and help
underserved populations.
reduce the negative stereotypes of this population.
…that a portion of state tobacco settlement funds be
2. Dental schools will educate and train a greater number
targeted toward tobacco control programs. …that the
of dental faculty who will work within their individual
Association continue to assist constituent dental
systems to educate students at all academic levels about
societies in forming strategies that promote the use of
SUD.
state tobacco settlement funds accordant with
Association policy. 3. SUD core content material will be incorporated into
national dental hygiene boards and regional and State
licensure board examinations for dentists.
4. All dental personnel impaired by SUD will be able to
obtain help without being stigmatized or losing licensure.
5. Oral health care providers, regardless of their geo-
graphic location, will have ready access to CE courses
in SUD. This equal opportunity will be achieved via
computer-assisted electronic technologies for those in
remote locations.

DENTISTRY 197
 Recommendations
Predoctoral Dental and Allied Dental Education/Training in Substance Use
Disorders

1. All graduate and undergraduate dental students and dental auxiliary stu-
dents should receive substance use disorder education by means of a
formal curriculum.
Rationale. About 25% of all dental patients are tobacco users, and 10% have additional
problems related to SUD. The abuse of all drugs can deleteriously affect both the prognosis and
outcome of dental treatment. Additionally, 10% of practicing dentists are themselves substance
abusers, and preventive drug education for dental and dental auxiliary students is minimal or
nonexistent. By increasing individual awareness and teaching dental students to acquire the
necessary knowledge and clinical skills to effectively intervene with patients affected by SUD,
dental educators will enhance the lives and careers of these future dentists.
Recommended Actions. Establish a solid base of curricular requirements in the field of SUD
during preclinical and clinical training. This action should enable students to more effectively
diagnose and intervene with dental patients who abuse drugs, and it will act as a preventive
measure in their personal lives. Increase and refine test materials that evaluate substance abuse
knowledge and intervention skills.
Responsible Agents. American Dental Education Association (ADEA), ADA’s accreditation
body, and individual dental school curriculum committees.
Expected Outcomes. Within 3 years, dental students will significantly increase their knowl-
edge and clinical skills in substance abuse as measured by test scores on Part II of the national
board examinations, and as evidenced by the scores they receive on the regional/State boards
following graduation. Within 5 years, a required curriculum in substance abuse education will
be part of all dental school programs.

2. Clinical competencies in substance abuse education will be developed,

implemented, and evaluated as part of the standard dental curriculum.
Rationale. Dental schools have consistently endeavored to teach their students professional
skills, historical and current knowledge, sound judgment, and ethical values. When teaching
about substance abuse disorders, dental faculty must address the following considerations: What
diagnostic and intervention skills should new dental graduates possess? What learning experi-
ences will help students acquire these competencies? What background information and current
scientific knowledge are needed to understand substance abuse and deliver effective treatment?
Generally, substance abuse education in dental school is isolated, fragmented, and incomplete.
Although the ADEA’s curriculum guidelines in substance abuse education for dental educators
are valid, no consensus has been reached concerning the specific clinical competencies that
should be required for substance abuse faculty and academicians. It is difficult to mandate a
specific level of education and training for these educators because they will be teaching such a
wide variety of students (dental assistants, hygienists, undergraduates, and graduates).
Other questions arise: Should the competencies required of a new dentist be less demanding
than those required of the established dental professional? What competencies should be geared
specifically to dental specialists, general practitioners, recent graduates, graduate students, and
dental auxiliaries?

198 CHRISTEN AND CHRISTEN

 Because student learning capacities differ, what type of evaluation system will effectively assess
each individual’s level of mastery? At least 50% of U.S. dental schools have developed compe-
tency lists that help determine the content of their educational programs and their requirements
for accreditation. Substance abuse education is rarely included in such documents. Most dental
institutions need to include substance abuse in their curricula and establish competency levels
and accreditation requirements for this subject.
Recommended Actions. A task force of dental educators and clinicians will convene to
determine clinical substance abuse competencies for clinical faculty, academicians, practicing
dentists, and dental auxiliaries. The standards will be based on the ADEA’s Curricular Guide-
lines for Education in Substance Abuse, Alcoholism, and Other Chemical Dependencies and on
other authoritative sources.
Responsible Agents. The ADA, in partnership with the ADEA, the Academy of General
Dentistry, selected dental school faculty members, public health dentistry, the American Student
Dental Association (ASDA); government agencies (e.g., the National Institute on Drug Abuse,
the NDTFSC sponsored by the NCI; addictionologists, pharmacologists, and dental school
faculty members involved in substance abuse education.
Expected Outcomes. A consensus document that outlines the clinical substance abuse
competencies required for each type of provider will be produced. This report, to be developed
within 5 years, will address various stages of expertise, learning issues, educational strategies,
and evaluation methods.

3. Dental school faculties will accelerate curricular improvements in sub-

stance abuse education by incorporating the principles of problem-based
learning, which are already taught in some dental schools. Both faculty and
students will pursue extensive education in this arena.
Rationale. In recent years, dental educators have become increasingly committed to programs
that help their students develop lifelong learning skills, e.g., critical appraisal, analytical prob-
lem-solving, clear communication, and ongoing learning. Inclusion of PBL courses in the dental
school curriculum has been shown to motivate students to develop positive attitudes toward a
lifelong pursuit of learning.
Although PBL and competency-based curricula are in limited use, these new educational models
are expected to become the wave of the future. The use of these strategies represents a marked
improvement over the more traditional learning methods of lecture and textbook memorization,
objective testing, and performance of required clinical procedures.
A few dental schools already include substance abuse issues in their PBL cases. This approach
however, cannot work unless dental school faculty members change both their perspectives and
their modes of teaching. With few exceptions, today’s faculty members have been trained in the
classical didactic approach rather than in the use of the PBL strategies.
Recommended Actions. An ongoing substance use disorder special interest group consisting
of dental educators will be established. Group members, who will convene at the annual
meeting of the ADEA, will be committed to make PBL/competency-based curricular changes
and to develop effective substance abuse strategies. These efforts will include the delivery of
substance abuse topics appropriate to the dental curriculum at all levels. This special interest
group will also be responsible for incorporating questions on substance abuse for regional/State
licensure board examinations.
Responsible Agents. The ADEA, the ADA, American Dental Hygiene Association (ADHA),
American Dental Assistants Association (ADAA), American Association of Dental Examiners,
and individual faculty members who have interest and expertise in this arena.

DENTISTRY 199
 Expected Outcomes. This agents listed above will develop and share a written collection of
substance abuse situations that students are likely to encounter in practice. These scenarios
will be incorporated into the individual PBL processes that have been established at their home
institutions. The written segments will be completed within 2 years. During year 2, this
committee will present a special interest group program relating to substance abuse at the
ADEA’s annual meeting. By the end of year 3, a report will be submitted for publication in the
Journal of Dental Education, giving detailed information on the progress made.

4. Substance use disorder core content material for oral health care students
will be incorporated into national dental hygiene boards and regional/
State licensure board examinations.
Rationale. Unless students are presented with and tested for course content relating to
substance abuse, they will not fully appreciate its value. Training in substance abuse interven-
tion should become an integral part of the dental student’s and dental hygienist’s professional
preparation. Students should receive basic core content material that is focused on the existing
ADEA curricular guidelines for substance abuse.
Recommended Actions. In teaching students, faculty members must stress the importance
of understanding and effectively treating substance abuse problems. They must also enable
their students to develop a range of clinical competencies in this area. Substance abuse content
must be increased on national board examinations and periodically updated. Drug abuse
content presented in regional/State licensure examinations must also be expanded and
regularly evaluated for revision.
Responsible Agents. The ADEA, the ADA’s Council on Access, Prevention and
Interprofessional Relations, the ADA’s Joint Commission on National Dental Examinations,
ADHA, NDTFSC, public health dentists, AADE, and selected individual dental faculty mem-
bers. A special interest group of dental educators, meeting at the ADEA annual meeting, will
design test questions to be included in regional/State licensure board examinations.
Expected Outcomes. Students will be given advance information on substance abuse issues
and informed that this topic will be covered in their licensing examinations. Each national
board licensure examination will incorporate substance abuse test items in its next revision.
These items will assess the levels of substance abuse knowledge and clinical competency that
each student has achieved. Within the next 3 years, all regional/State licensure examinations
will include this type of substance abuse content.

5. Computer-assisted electronic technologies will be used to develop

dentally oriented educational materials relating to substance use disor-
ders. These teaching aids will be available to dental professionals via
advanced communication methods.
Rationale. A significant number of oral health team members who practice in remote
locations do not have the technological resources (Internet/World Wide Web) that would
allow them access to the latest technical dental information. In contrast, many mainstream
dental offices are computerized and thus able to participate in distance learning. Interdiscipli-
nary substance abuse experts will soon develop educational materials designed for electronic
delivery (computer-assisted instruction). Their target participants will include dentists in urban,
rural, and frontier geographic areas. At a later time, more sophisticated, long-distance technol-
ogy (e.g., teleconferencing, interactive video, library database access systems, interactive and
multimedia programming) will be available, and materials relating to SUD could be communi-
cated via these means. Adequate funding will be required to develop and implement these
programs.

200 CHRISTEN AND CHRISTEN

 Recommended Actions. Private foundations, government agencies, and professional and
educational organizations will provide funding to develop and deliver these educational
packages. Academic faculty and professional health care workers will apply for these funds.
Responsible Agents. The ADA’s Well-Being Program for Dentists, the ADA Standards
Committee for Dental Informatics, the Health Resources and Services Administration Bureau of
Health Professions (HRSA/BHPr), the Learning Center for Interactive Technology of the
Education Technology Branch of the Lister Hill National Center for Biomedical Communication,
United States Academy of Computerized Dentistry, university dental informatics department
faculty.
Expected Outcomes. Within 3 years, private foundations, professional organizations and
government agencies will sponsor three program development projects. Within 5 years, two
special grant and scholarship programs, financed by Government agencies, will enable faculty
members to develop interdisciplinary substance abuse educational materials.

Enhanced Faculty Training and Involvement

6. All dental schools should designate and train one or more faculty members
to serve as interdisciplinary substance use disorder educators.
Rationale. Substance abuse issues and intervention skills cannot be effectively taught to dental
students unless an interdisciplinary health care approach is used. By training one or more dental
professionals to learn about and teach this approach, the academic institution will encourage a
network of interested faculty to offer administrative support and participate in the ongoing
development of interdisciplinary activities.
Action Required. Each dental school will designate one or more individuals to assume
leadership in teaching interdisciplinary substance abuse education. The dental school will
provide administrative support for this effort. The BHPr will provide support, as will private
foundations. These groups will help to develop and offer recommendations to dental schools
concerning the development of faculty leadership in interdisciplinary substance abuse educa-
tion.
Responsible Agents. Deans, departmental chairs, and administrators of dental schools, the
ADEA, the ADA’s Well-Being Program for Dentists, HRSA/BHPr, in partnership with interested
foundations (e.g., the Pew Foundation, Hartford Foundation).
Expected Outcomes. Within 2 years, a partnership between the HRSA/BHPr and various
types of foundations will develop and disseminate detailed recommendations. Within 3 years, a
minimum of five dental schools will choose certain faculty members to form an interdisciplinary
education plan.

Intersection/Cooperation of Disciplines

7. To strengthen the cause, the tobacco education/control faction of dentistry

will join with substance use disorder-oriented health care providers. This
partnership will enable the two groups to discuss and develop cooperative
ventures. These groups will join the health care providers responsible for
teaching substance abuse education.
Rationale. Tobacco addiction should be acknowledged as a form of substance abuse. In fact,
other forms of drug abuse and tobacco addictions commonly coexist, and their effects potentiate
each other. Over the past 10 years, a number of dental educators have developed effective
tobacco (smoked and smokeless) education and research programs. In dentistry, however,

DENTISTRY 201
 substance abuse education has lagged behind tobacco-cessation efforts. These two action plans
should be brought together under a cooperative umbrella. Each field has much to offer the
dental profession, and both programs will be ultimately strengthened by joining forces.
Recommended Actions. Within dentistry, tobacco-cessation advocates and substance abuse
education groups should meet regularly to exchange ideas and plan cooperative ventures.
Responsible Agents. The NCI’s National Dental Tobacco-Free Steering Committee, the
ADEA’s Tobacco-Free Initiatives Special Interest Group, the ADA’s Dentist Well-Being Program
within the CDP, and dental school faculty who specialize in tobacco issues.
Expected Outcomes. A team approach will be established. Communication barriers between
various addiction treatment disciplines will be greatly reduced. Health care providers who work
with a specific type of drug abuser will meet with their cohorts who work with individuals
specializing in other types of SUD. These professionals will share their knowledge and develop
cooperative action plans.

Expanded Programs for Clinical Practitioners

8. The number of CE programs in substance abuse education for oral health

care providers should be increased, and their availability should be widely
publicized.
Rationale. In North America, relatively few substance abuse CE courses are available for the
office-based dentist, and many general dentists receive no information about organized pro-
grams on this topic. The establishment of a CE clearinghouse will alleviate this problem.
Additionally, more substance abuse CE programs for dentists and auxiliaries need to be estab-
lished. A number of States require that dentists accrue a specific number of credits to maintain
licensure. Earning these credits in substance abuse training would enable dentists to meet this
requirement while becoming better prepared to intervene with substance-abusing patients.
Recommended Actions. Expand the number of CE programs in substance abuse education
for oral health care providers. Develop a Webs site that lists all CE programs on substance abuse
education, including their dates and locations. If CE is mandated for maintaining State licensure,
give optimal credit for the successful completion of CE courses.
Responsible Agents. The ADA, working with dental school faculty, the ADEA’s Tobacco-Free
Initiatives Special Interest Group, State boards of dental examiners, self-help recovery groups
(such as Alcoholics Anonymous), and the National Dental Tobacco-Free Steering Committee.
Expected Outcomes. Within 5 years, CE courses on substance abuse education will be
increased by 15%. Web site hits will steadily increase each year. Private practice dentists and
dental auxiliaries will become significantly more involved in substance abuse intervention.

9. Dentists will become increasingly aware of their personal vulnerability to

substance use disorders, and those who do become addicted will more
readily seek intervention and treatment.
Rationale. Dentists are not immune to SUD. In fact, they are especially vulnerable because
they work in a demanding, stressful profession; they are often isolated from their peers; and
they tend to be compulsive and perfectionist in their behavior. Because dental professionals are
relatively affluent and have easy access to prescription drugs, they are also at a higher risk for
drug abuse.

202 CHRISTEN AND CHRISTEN

 Recommended Actions. Dentists need to be aware of their vulnerability to substance abuse
and to the deleterious effects that addiction can have on their physical and emotional health,
family relationships, professional lives, and community standing. When dealing with their own
substance abuse, dentists must acknowledge that if they enter treatment, they will most
probably recover and if they experience a temporary return to drug use (a “slip”) they are not in
full-blown relapse and can view this temporary setback as a learning experience. They must
develop a strong support system, both during treatment and aftercare. This network includes
family, friends, employers, professional groups, and structured organizations (e.g., AA and NA,
and AlAnon for family members). Additionally, the National Institute on Dentist Well-Being,
which holds biannual meetings in Chicago, and the University of Utah School on Alcoholism
and Other Chemical Dependencies, which meets annually in June, deal with the substance
abuse problems of dentists.
Responsible Agents. The ADA’s Council on Dental Practice, ADA Web sites (http://
www.ada-org), University of Utah School on Alcoholism and Other Chemical Dependencies,
State and national dental journals and publications, dental society wellness programs, and dental
educators.
Expected Outcomes. Professional awareness concerning the dentist’s vulnerability to SUD
will be increased and perpetuated by information distributed through dental publications, the
electronic media, and other sources. Many dentists with SUD will become more willing to
openly acknowledge their problem and engage in timely and effective treatment.

10. All dental staff members must know basic information about substance
use disorders because dental patients are usually team-treated. By having
this knowledge, these team members will more readily recognize SUD
that might occur within the dental family.
Rationale. The dental profession is team oriented. Each active dentist has four to five employ-
ees (i.e., dental hygienists, chairside assistants, receptionists, and secretaries). These staff
members can be taught to recognize signs and symptoms exhibited by those who are suffering
from SUD. Their new awareness will enable them to identify patients, colleagues, and health
professionals with SUD.
Because a close working relationship develops among office personnel, they may share their
impressions and opinions concerning a leader with SUD. Because this dentist for whom they
work will usually try to hide the addiction, many difficulties within the office can result. The
resulting chaos can even cause the practice to fail.
Recommended Actions. The dental staff must understand that persons with SUD within the
dental practice system can cause serious professional, interpersonal, and personal problems. Staff
members should receive balanced, state-of-the-art information about the prevention, recogni-
tion, and treatment of substance abuse. Current data on this topic should regularly appear in
dental auxiliary publications (e.g., RDH, The Dental Assistant, Journal of Dental Hygiene) and
textbooks. Staff members should be informed about substance abuse courses and be encouraged
to take them.
Responsible Agents. ADHA, ADAA, ADA, ADEA.
Expected Outcomes. An increasing number of dental professionals will acknowledge that
substance abuse may occur not only in patients but also within the dental family. To address this
problem, the profession will periodically distribute information through dental publications, the
electronic media, and other sources. Dentists and staff members will develop ways to present a
unified front as they identify and deal with substance abuse within the dental practice system.

DENTISTRY 203
 11. A portion of State tobacco settlement funds should be targeted to inte-
grate tobacco intervention education into dental school curricula, and to
provide CE tobacco-cessation courses for practicing dentists. These CE
programs should include improved access to substance abuse treatment
for underserved populations, children, teens, and women.
Rationale. Oral health care providers must take immediate action to reduce the morbidity and
mortality of tobacco-related diseases. Scientific evidence verifies that oral health care providers
can be effective in reducing tobacco use among their patients. Tobacco counseling, however, is
grossly underutilized within dental practice. To provide effective tobacco-cessation services,
dentists need to become well prepared to facilitate tobacco-cessation programs. Office-based
dental education in this arena is inadequate or nonexistent in most dental schools and among
private practitioners. Funds received from individual State settlements with tobacco companies
could finance health profession education in both tobacco cessation and prevention. For
example, Mississippi has already allocated tobacco settlement funds that are now being used by
dental educators in that State for tobacco-cessation programs in that location.
Recommended Actions. Constituent State dental societies of the ADA and dental school
educators should formulate strategies that promote the use of State tobacco settlement funds for
tobacco education and control. Dental tobacco-control programs should be designed to help
targeted groups, e.g., underserved populations, children, adolescents , and women. Planning
committees should confer with dental researchers/ clinicians in Mississippi who have success-
fully obtained and used funds for these purposes.
Responsible Agents. ADA, ADEA, Partnership for a Healthy Mississippi, dental school faculty
involved in tobacco issues, attorney generals and State legislators, American Society for Addic-
tion Medicine, and the Society for Research on Nicotine and Tobacco.
Expected Outcomes. Within 5 years, 10% of dental societies and educators will formulate
strategies to tap into State tobacco settlement funds. They will use this money for tobacco
education and control among underserved population groups. Tobacco control education for
dental students and members of constituent dental societies will increase by 25%.

204 CHRISTEN AND CHRISTEN

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 CHAPTER 3

The Physician’s Role in Caring for

Patients with Substance Use Disorders:
Implications for Medical Education and Training
DAVID A. FIELLIN, MD
RICHARD BUTLER, DO
GAIL D’ONOFRIO, MD
RICHARD L. BROWN, MD, MPH
PATRICK G. O’CONNOR, MD, MPH

Introduction
Alcohol and other drug abuse is a major preventable public health problem. Drug abuse is
responsible for more than 25,000 deaths annually and $100 billion in total annual economic
costs in the United States.1 Alcohol use in the United States is estimated to be responsible for
100,000 deaths annually and a health care cost of $185 billion. Patients with alcohol problems
consume more than 15% of the national health care budget, with 39% of these costs represent-
ing morbidity costs from secondary health and social effects. Recent surveys indicate that
roughly 40 million Americans drink in excess of recommended amounts, and approximately
70% of adults visit a physician once every 2 years. Therefore, physicians are well positioned to
play a critical role in the recognition and treatment of patients with substance use disorders
(SUD). This paper outlines the rationale for greater physician involvement in recognizing and
treating patients with SUD, describes current barriers to education in this field, and describes
the successes of prior faculty development programs. In addition, it proposes a mechanism for
developing core clinical competencies for all physicians that are appropriate to the level of
clinical contact and training in caring for patients with these disorders.

Core Values and Paradigms of Physicians 1966, came during a time of discoveries regarding the
genetic, physiologic, and behavioral factors involved in the
Physicians’ core values include the restoration of health, etiology, natural history, and treatment of these disorders.7
patient comfort, and quality of life whenever possible. This biomedical “legitimacy,” running counter to the
These values are congruent with the diagnosis and popular misconception that these disorders stem from
treatment of patients with SUD. Although many physicians weakness of the will,8,9 provided support for the expansion
are well equipped to treat the medical and psychiatric of physicians’ efforts on behalf of patients with SUD. The
complications of substance abuse, most are not prepared to disease model, particularly the recognition that, for many
treat substance abuse as a primary disorder. Despite the patients, SUD are chronic diseases with periods of remis-
high prevalence of SUD in the general population2 and its sion and relapse,10 has provided a basis for physicians to
increased prevalence in medical settings,3 most physicians modify the natural history of these disorders and to
receive limited training in the science of addiction. This intervene at stages ranging from at-risk use to abuse and
lack of training frequently results in missed opportunities dependence using standard medical approaches such as
for care. prevention, pharmacotherapy, and counseling. There has
The biomedical model, a central paradigm for physi- been recent attention paid to incorporating evidence-based
cians, states that disease is the result of perturbations in medicine into treatment for patients with SUD.11-15 This
anatomy or physiology and stems from a combination of will help ensure that patients continue to benefit from care
genetic, behavioral, and biologic phenomena. The recogni- by well-trained physicians. One potential limitation of the
tion that SUD fit the criteria for the disease model,4,5 given traditional medical paradigm and approach to disease is its
validity by the American Medical Association6 (AMA) in emphasis on organ-based pathology and the cure of acute

207
diseases.4 This paradigm may not adequately guide and hospital-based settings to the comprehensive medical
physicians in the management and care of patients with care of patients in substance abuse treatment centers.
chronic diseases such as SUD. Treatment of SUD will more Resources available for the diagnosis and treatment of
likely benefit from longitudinal patient and physician patients with SUD vary across medical settings and depend
relationships and a mix of medical and psychosocial on the clinical expertise and experience of the practicing
interventions.4 physician. However, given the prevalence of SUD and their
adverse impact on comorbid medical conditions, all
physicians should strive to screen patients at risk, apply
Broad Description of Physician Work Settings diagnostic criteria to patients who screen positive, and
Practicing physicians in the United States must have provide brief interventions where indicated. Patients with
obtained either an M.D. (doctor of medicine or allopathic more complicated problems should be referred specialty
physician) or a D.O. (doctor of osteopathy) degree. treatment resources.
Physicians with an M.D. degree represent approximately
Finally, physicians in nonclinical settings such as
93.5% of the current physician workforce, with osteopathic
academics, administration, public health, government,
physicians representing just over 6.5% of the Nation’s
business, and community service can also play a significant
physicians. Physicians can be broadly classified as general-
role in improving the care provided to patients with SUD.
ists or specialists. Generalist physicians provide primary and
longitudinal care to patients in the fields of pediatrics,
internal medicine, obstetrics/gynecology, and family Historical Profile of Work in Substance Abuse
medicine; in the case of emergency medicine, primary care
is provided in the emergent setting. In contrast, specialist and Educating Health Professionals in SUD
physicians typically provide care focused either by organ by Physicians
system (e.g., gastroenterology, cardiology) or technical
Early physician involvement in the care of patients with
expertise (e.g., interventional radiology, plastic surgery).
SUD focused primarily on the adverse medical complica-
Both generalist and specialist physicians have frequent
tions of alcohol and other substances and tended to have
contact with patients who have SUD.16-18
limited effectiveness because it was not based on a
Generalist and specialty medical care is delivered in a recognition of the disease process. More recent involve-
variety of clinical settings. The majority of patient care is ment by physicians in the treatment of patients with these
rendered in outpatient settings such as private offices, disorders has paralleled societal tolerances to the problems
clinics, community health centers, urgent care centers, of addiction.9 Physicians in the late 19th and early 20th
surgical centers, and emergency departments. A much centuries used medicinal compounds that often included
smaller percentage of patient care is delivered in hospital high concentrations of alcohol, opium, codeine, heroin,
settings; however, because of the intensity of services and cocaine. Heroin was used for the treatment for cough,
provided in the hospital, care provided in that setting and cocaine was used for allergy symptoms.9 At the turn of
consumes a disproportionate share of health care dollars. the 20th century, physicians providing maintenance
Individuals with SUD are disproportionately high consum- treatment for patients with opioid dependence were halted
ers of hospital-based services, which makes hospitals a by the Harrison Act of 1914 and a Federal legislative policy
particularly important setting for offering substance abuse against maintenance that accompanied Prohibition in
screening, intervention, and referral services. 1919.9
An increasing number of physicians are acquiring Later 20th-century physician efforts in the treatment of
specialty training in addiction medicine. Both allopathic SUD include, among others, research on the natural history
and osteopathic physicians can obtain advanced training in and mechanism of the alcohol withdrawal syndrome,20 the
addiction medicine through psychiatry fellowship programs demonstration of the effectiveness of methadone mainte-
sponsored by the American Board of Psychiatry and nance for opioid dependence,22 and the recognition of the
Neurology.19 Physicians may also pursue advanced certifica- adverse effects of alcohol on fetal development.23 Physi-
tion in the diagnosis and management of SUD through the cians have also been involved in developing and imple-
American Society of Addiction Medicine. In addition, menting effective psychosocial treatments for SUD,
the American Osteopathic Association (AOA) offers including motivational techniques, cognitive behavioral
certificates of added qualifications in addiction medicine therapy, contingency management, and self-help group
through the American College of Osteopathic Family facilitation.24 Key elements of these psychosocial interven-
Practice, the American College of Osteopathic Internists, tions have been identified and used successfully by
and the American College of Osteopathic Neurology and physicians during brief interventions with patients who
Psychiatrists. Physicians with advanced training and have SUD.15,25 Recent advances in understanding the
certification in addiction medicine may provide a variety of neurochemical basis of SUD have allowed physicians to use
clinical services ranging from consultations in outpatient pharmacologic interventions such as disulfiram, naltrexone,

208 FIELLIN, BUTLER, D’ONOFRIO, BROWN, AND O’CONNOR

and acamprosate for alcohol dependence.7,26-31 Pharmaco- provided grants to 14 medical schools supporting 69
therapies that have been successfully used by physicians for faculty fellows in pediatrics (26%), internal medicine
detoxification and relapse prevention of opioid dependence (22%), psychiatry (19%), family medicine (14%), and
include methadone, buprenorphine, levo alpha acetyl obstetrics/gynecology (9%). A recent evaluation of this
methadol (LAAM), naltrexone, clonidine, and program found that it produced significant increases over
lofexidine.22,32-37 the 6-year period in faculty activity in SUD as measured by
Enhanced efforts to train physicians in the care of faculty time, publications, grants, and course work.41 For
patients with SUD resulted from the increase in substance instance, faculty fellows with substance abuse-related
abuse during the 1960s and continued progress in under- grants increased from 8% at Year 1 to 26% at Year 5.
standing the biomedical basis of these disorders. One of the Similarly, the percentage of FDP project directors who were
earliest meetings on the deficiencies in the traditional awarded new substance abuse-related grants increased
medical school curriculum and the need for better profes- from 15% during Year 1 to 55% at Year 5.41
sional training was sponsored by the National Council on Another recent model of successful faculty develop-
Alcoholism in 1970.1 Early efforts by the AMA and the ment is represented by Project SAEFP (Substance Abuse
Medical Society on Alcoholism were directed toward Education for Family Physicians) in which 165 faculty
increasing physician education about SUD.4 Later, Federal participated in a 5-day course using learner-centered
funding for the Career Teacher Program in the Addictions teaching techniques. An evaluation of this program
provided faculty support to 59 medical schools and revealed a two- to three-fold increase in substance abuse
represented a successful effort to increase the number of teaching activities by faculty with residents and medical
academic physicians who could teach other physicians students 12 months after the completion of the course.38
about SUD.38 One result of this program was the creation In summary, FDPs designed to bring about substantive
in the National Institute on Alcohol Abuse and Alcoholism increases in the number of faculty who are trained to provide
(NIAAA) and the National Institute on Drug Abuse (NIDA) clinical teaching in the area of SUD have repeatedly demon-
of offices to administer efforts to improve alcohol and drug strated success in achieving these goals. Faculty partici-
abuse education for health professionals.1 In addition, two pants have increased their teaching; maintained continued
prominent research societies, the Research Society on scholarly work, including manuscripts and presentations at
Alcoholism and the Committee on Problems of Drug national meetings; and secured grant funding to continue
Dependence, have provided a national and international research and education in the field of SUD.
forum for sharing current research findings.
A landmark conference held at the Ninth Annual
Meeting of the Association for Medical Education and Critical Issues, Obstacles, and Challenges
Research in Substance Abuse (AMERSA) in 1985 addressed There is evidence that physicians are not adequately
the issues of the minimal alcohol and drug abuse knowl- trained in the recognition and treatment of SUD. In a
edge and skills for physicians. The conferees concluded survey of 1,082 physicians on their screening practices
that information on SUD should be routinely integrated regarding illicit drug use, 68% reported that they regularly
with preclinical course work and repeated during subse- ask new outpatients about drug use. For diagnosed illicit
quent years.1 drug abuse, 55% reported that they routinely offer formal
Concurrent with these early programs were efforts to treatment referral, but 15% reported that they do not
provide resources and faculty development, including intervene.2 In a similar survey about alcohol problems, 88%
Project CORK4 and Project ADEPT39 and efforts by of 853 respondent physicians indicated that they usually or
members of the Society of General Internal Medicine and always ask new outpatients about alcohol use. When
the Society of Teachers of Family Medicine, the Ambula- evaluating patients who drink, 82% routinely offered
tory Pediatric Association, the American Psychiatric intervention to problem drinkers,3 but only 13% used
Association, the American College of Emergency Physi- formal alcohol screening tools. A recent survey of emer-
cians, and the American College of Obstetricians and gency medicine residency directors revealed that only 25%
Gynecologists.40 Seven-year follow-up of one of these provide education on specific screening questionnaires and
programs demonstrated ongoing success in promoting only 36% teach the NIAAA quantity and frequency
publications, presentations at national meetings, and guidelines for at-risk drinking.4
clinical teaching by the fellowship participants.40
More recently, Federal support for faculty development
Undergraduate Medical Education
in substance abuse education and training has come United States medical schools receive accreditation through
through the Federal Medicine Grants Program and the the Liaison Committee for Medical Education (LCME)
Faculty Development Program (FDP), established in 1989 (M.D. degree) or the Council on Predoctoral Education of
by the Center for Substance Abuse Prevention (CSAP), the AOA (D.O. degree). These entities set curricular
NIAAA, and NIDA. Between 1989 and 1995, the FDP standards for the education that leads to eligibility for

MEDICINE 209
physician licensure. Most of the first 2 years of medical While separate courses and clerkships on SUD can be
education takes place in classrooms and laboratories, as considered, a disseminated teaching model for training on
students learn basic medical sciences, in general and then SUD may also be appropriate. In this model, the basic
by organ system. Students also learn basic communication science of addiction might be taught with other neuro-
skills and how to take a patient history and perform a physiology courses; the pharmacology of addictive sub-
physical examination in the first 2 years. Most schools stances would be taught in pharmacology; history-taking
require some clinical experience in the first 2 years, most of skills around SUD could be taught with other history-taking
which is observational. Most of the latter 2 years of skills; intervention would be taught in a primary care
medical education takes place in clinical settings. Here rotation; and specialty-based addiction treatment would be
students learn to apply basic science knowledge and covered in psychiatry. While different models for integrat-
clinical skills in caring for patients under the direct ing training in SUD can be envisioned, it is not clear which
supervision of faculty and residents. is the most effective.
Medical students may be exposed to substance abuse
education in a variety of settings. During the first 2 years of Graduate Medical Education
medical school, substance abuse topics may be integrated The American College of Graduate Medical Education
into standard course work or taught as separate courses in (ACGME) oversees the training of 98,220 postgraduate
addiction medicine. During the final 2 years of medical (resident) physicians and the accreditation of 7,731
school, students on required and elective clinical clerkship residency training programs in 99 specialty and subspe-
rotations may experience specific substance abuse services. cialty areas Although several professional organizations
More commonly, however, educators formally or informally have called for a greater integration of substance abuse
integrate substance abuse goals and objectives into clinical education into allopathic and osteopathic residency training
rotations such as internal medicine, family medicine, programs, the impact of these recommendations has been
neurology, and psychiatry. variable. For example, although the ACGME was repre-
sented in the development of the Policy Report of the
Dedicated training in SUD is rarely offered in medical
Physician Consortium on Substance Abuse Education,
schools. In 1981, a national survey of allopathic medical
substantive changes in Residency Review Committee
schools found that while 40% offered elective courses in
(RRC) standards, requiring expanded integration of
substance abuse, fewer than 1% provided required
substance abuse curriculum into residency programs, never
courses.4,42 A survey of 98 medical schools in 1986 with an
occurred (John Gienapp, personal communication). A
85% overall response rate revealed that the proportion of
similar lack of impact was seen in osteopathic residency
departments that offered a curriculum unit in substance
training standards (Eugene Oliveri, personal communica-
abuse was 41/89 (46%) for internal medicine, 52/78
tion). Recent data indicate that there are RRC program
(67%) for family medicine, and 82/84 (98%) for psychia-
requirements regarding substance abuse education in only
try,43 with just more than half (53%) of these offering
5 of the 99 specialty training programs (anesthesiology,
clinical experiences. A 1998-1999 LCME survey found that
family practice, internal medicine, obstetrics/gynecology,
of the 125 accredited U.S. medical schools, training in
and psychiatry).45
substance abuse was provided as part of a larger required
course in 119 (95%), Only 10 (8%) had a separate required A survey conducted in 1988 with a 74% response rate
course, and 45 (36%) offered an elective course on this revealed that the proportion of departments that offered a
topic.44 The American Association of Colleges of Osteo- curriculum unit in substance abuse was 93/232 (40%) for
pathic Medicine (AACOM) surveyed colleges of osteo- internal medicine, 195/288 (68%) for family medicine,
pathic medicine to evaluate curricular offerings during the 38/139 (27%) for pediatrics, and 153/169 (91%) for
1998-1999 academic year. All colleges reported offering psychiatry.43 A recent national survey was conducted to
substance abuse content in their curricula. On average, 4% determine the extent of substance abuse training in
of the curriculum time was reported as dedicated to residency programs. This survey of 1,831 allopathic and
substance abuse (Douglas Wood, personal communication). osteopathic residency program directors in emergency
In 1998, the American Osteopathic Academy of Addiction medicine, family medicine, internal medicine, pediatrics,
Medicine surveyed 17 osteopathic schools to determine the psychiatry, and obstetrics/gynecology found that the
curricular offerings in substance abuse. Only 3 of 11 percentage of programs requiring substance abuse training
schools that responded reported offering separate courses ranged from 32% (pediatrics) to 95% (psychiatry), yielding
in addiction medicine during the first 2 years of medical a combined average of 65%. The median number of
school (Anthony Dekker, personal communication). None curricular hours ranged from 3 to 12. The traditional grand
of the schools required a clinical clerkship rotation in rounds lecture was the most common curricular format
substance abuse during Years 3 and 4; however, most used to teach substance abuse topics; only family medicine
offered elective rotations for interested students. Data are (55%) and psychiatry (75%) reported that a majority of
not available on the percentage of osteopathic students their programs required clinical rotations in substance
electing substance abuse rotations.

210 FIELLIN, BUTLER, D’ONOFRIO, BROWN, AND O’CONNOR

abuse. While physician training should be geared toward a difficulties encountered by children and adolescents who
broad range of skills, including screening, intervention, have parents with SUD and acquire competencies in
referral, and follow-up care, it would be desirable that screening and intervention for these situations. In a like
some proportion of substance abuse training be performed fashion, specialists in obstetrics/gynecology and family
in specialized settings in order to exposed trainees to this medicine should be able to address substance-related issues
type of care. A separate survey has revealed that fewer than in pregnancy and should acquire competencies in identifi-
10% of the faculty who teach substance abuse topics cation, intervening, and referral for these patients. Finally,
perform clinical work in alcohol and drug treatment physicians serve a wide variety of patients with diversity in
programs, and that teaching is infrequently performed in gender, socioeconomic status, and aspects of culture, and
these settings.46 these physicians must be culturally competent in communi-
In summary, there is wide variation in the provision of cation with these patients, families, and communities.
training on SUD in residency training, with most programs
providing minimal training. In addition, there is a heavy
reliance on lectures and little clinical contact with treat-
Vision for the Future
ment professionals in treatment programs. The implication Significant efforts must be made to increase the level of
of these findings is that this training is less likely to have a physician education in substance abuse to make it propor-
significant impact on resident’s development of the tionate to the clinical and economic impact of SUD. The
necessary clinical knowledge, skills, and attitudes. Finally, framework for these efforts is outlined in the following
recent surveys report that the most commonly cited factors section.
limiting further integration of substance abuse training into
residency programs include a perceived lack of time, Funding Priorities
faculty expertise, identified training sites, and institutional Despite the success of prior FDPs in producing faculty who
support.46,47 are capable of generating significant grants, publications,
and course work,41 the large gaps in undergraduate,
graduate, and postgraduate medical education45 demon-
Core Competencies for Physicians strate that increased efforts are needed. Future efforts to
The critical core competencies for physicians, obtained improve physician education in SUD will need significant
during medical school and residency training, include a programmatic and financial support to build on successful
firm understanding of the basic biomedical sciences (e.g., programs and extend these efforts to a greater number of
molecular biology, genetics, anatomy, physiology, pharma- providers and patients.
cology, pathology) and the clinical sciences (e.g., patient
interviewing, physical diagnosis, diagnostic reasoning, Faculty Development
clinical epidemiology, and psychosocial counseling tech- Broadening the infrastructure of faculty who are trained in
niques). All of these competencies have direct application the sciences of diagnosis, treatment, and teaching about
to the care of patients with SUD. SUD should be a major priority for future efforts in this
Efforts have been made at all levels of medical field. Federally supported FDPs for physicians in all
education to teach competencies needed to care for disciplines of medicine that use unique funding mecha-
patients with substance abuse problems presenting in a nisms such as student loan repayment and salary support
variety of clinical settings. These efforts have been effective could ensure that physician trainers are available to
in demonstrating the medical basis of SUD and creating a educate medical students, residents, and practicing
clinical paradigm similar to that for other chronic diseases. physicians in the importance of developing the core
The depth of these curricular initiatives, however, varies by competencies for recognition and treatment of SUD.
clinical discipline and academic institution. Support is
needed for efforts to more fully integrate effective curricula Research Grant Support
on SUD into the mainstream of undergraduate, graduate, Increased grant support for research designed to foster
and continuing medical education (CME) across the physicians’ competencies in SUD will not only stimulate
disciplines. research in the field but also provide needed support to
The competencies listed in this chapter are intended to faculty with critical research agendas. Examples of poten-
apply to a variety of disciplines in medicine and will need tial research agendas for these faculty include determining
to be tailored to specific practice situations and patient the appropriate health care profession to perform a brief
populations. For instance, for pediatric and family physi- intervention, determining the critical components of brief
cians emphasis should be placed on competencies pertain- interventions, exploring the need to adapt screening and
ing to substance use in adolescents and on the need for brief intervention strategies to special populations, and
competence in screening, intervention, and referral. In determining the most effective teaching strategies for
addition, these physicians will need to consider the training clinicians in screening and brief interventions. The
opportunities to compete for research grants in these areas

MEDICINE 211
will help stimulate faculty interest, promote career develop- Centers of Excellence
ment for faculty interested in this field, create new and National Centers of Excellence are needed to serve as
useful knowledge, and add legitimacy to the field. Success- model programs that are focused on developing, dissemi-
ful grantees will also serve as role models or mentors for nating, and implementing methods of research, clinical
junior faculty members. care, and education in SUD. These centers can participate
in a network to develop and implement a standard
Institutional Support curriculum for undergraduate, graduate, and postgraduate
Institutional support for faculty working in the field of SUD medical education. Current federally supported initiatives
can be developed via funding mechanisms that are with national infrastructures, such as the Area Health
designed to foster development of curriculum or research Education Centers supported by the Health Resources and
efforts. Funds that are targeted toward programs that cut Services Administration, the Addiction Technology Transfer
across disciplines (e.g., medicine, social work, nursing) will Centers supported by the Center for Substance Abuse
foster development of collaborative research and training Treatment, and the Clinical Trials Network supported by
efforts and help engender institutional support. NIDA, can provide a framework upon which to build these
proposed centers.

212 FIELLIN, BUTLER, D’ONOFRIO, BROWN, AND O’CONNOR

 Recommendations
Core Competencies in Substance Abuse Education for Physicians
The following competencies are presented as three levels of involvement in the care of patients
with SUD. All physicians with clinical contact should strive to provide Level I competence.
Level II competence should be sought by all physicians coordinating care for patients with SUD
(e.g., primary care and generalist physicians). Level III competence should be sought by all
physicians providing specialty services to patients with SUD. Table 1 lists the competencies for
each level.

Table 1. Critical Core Competencies in Substance Abuse Education for Physicians

Level I: All physicians with clinical contact should:

1. Be able to perform age, gender, and culturally appropriate substance abuse screening.
2. Be able to provide brief interventions to patients with SUD.
3. Be able to use effective methods of counseling patients to help prevent SUD
4. Be able to refer patients with SUD to treatment settings that provide pharmacotherapy for relapse
prevention.
5. Recognize and treat or refer comorbid medical and psychiatric conditions in patients with SUD.
6. Be able to refer patients with SUD to appropriate treatment and supportive services.
7. Be aware of the ethical and legal issues around physician impairment from SUD and of resources for
referring potential impaired colleagues, including employee assistance programs, hospital-based
committees, State physician health programs, and licensure boards.
8. Identify the legal and ethical issues involved in the care of patients with SUD.
Level II: All physicians coordinating care for patients with SUD in addition should:
1. Use effective methods to assess patients with SUD.
2. Provide pharmacologic withdrawal to patients with SUD.
Level III: All physicians providing specialty services to patients with SUD in addition should:
1. Provide pharmacotherapy for relapse prevention in patients with SUD.
2. Provide, or refer for psychosocial counseling for relapse prevention in patients with SUD.

Recommendations for Level I Competencies

All physicians with clinical contact should have Level 1 competencies.

Level I, Competency 1
Physicians should be able to perform age, gender, and culturally appropriate substance abuse
screening.

1. Physicians’ training curricula and licensing examinations at all levels

should be modified to include content on the use of effective methods of
screening patients for SUD. A curriculum in screening for SUD should be
required and integrated into the standard curricula of all medical schools
and residency training programs. As a requirement for graduation, medical
students should demonstrate competency in screening, intervention, and
referral for SUD (consistent with Competencies I-2 and I-4 below). Licens-
ing examinations should include content and questions relevant to appro-
priate screening strategies for patients with SUD. Increased curricular

MEDICINE 213
 content on screening for SUD should be available through CME programs.
The development, dissemination, and maintenance of these curricula
should be coordinated by a lead Federal agency with input from all appro-
priate Federal agencies and professional societies.
Rationale. Screening involves identifying patients with unrecognized SUD.12 Screening for
diseases is warranted if the following conditions are met: the disease has a significant prevalence
and consequences; effective and acceptable treatments are available; early identification and
treatment are preferable; and there are effective screening instruments available that are easy to
administer. There is strong research evidence to support the fact that SUD meet all of these
criteria; therefore, screening for SUD is indicated although not often implemented.
Recommended Actions. Training in screening for SUD should include attention to the
rationale, utility, operating characteristics, and use of various methods including the importance
of raising the topic and the appropriate role of formal screening instruments (e.g., CAGE,
AUDIT), quantity-frequency questions, and biological markers (e.g., MCV, AST, ALT, carbohy-
drate-deficient transferrin).12, 48-54
Responsible Agents. LCME, RRC of the ACGME, AMA, AOA, United States Medical
Licensure Examination (USMLE), and American Board of Medical Specialties (ABMS).

Level I, Competency 2
Physicians should be able to provide brief interventions to patients with SUD.

2. A required curriculum in brief treatment interventions for individuals with

SUD should be integrated into the standard curricula of all medical schools
and residency training programs. This curriculum should outline the
components of brief interventions that have demonstrated effectiveness.
As a requirement for graduation, medical students should demonstrate
competency in brief intervention for patients with SUD. Licensing examina-
tions should include content and questions relevant to appropriate treat-
ment strategies for individuals with SUD. Increased curricular content
should be available through CME programs. The development, dissemina-
tion, and maintenance of these curricula should be coordinated by a lead
Federal agency with input from all appropriate Federal agencies and
professional societies.
Rationale. There is evidence that brief interventions can reduce alcohol consumption to below
hazardous levels for patients with hazardous and harmful drinking.31,55 The incorporation of
substance abuse services into settings will allow for a direct expansion of the capacity of the
health care system and will help increase access to care for a wide range of patients.56,57
Recommended Actions. Training in SUD should devote attention to the effectiveness of
office-based interventions for SUD, including the role of brief interventions in patients with
alcohol problems.
Responsible Agents. LCME, RRC of the ACGME, AMA, AOA, USMLE, and ABMS.

Level I, Competency 3
Physicians should use effective methods of counseling patients to help prevent SUD.

3. A required curriculum in counseling to help prevent the development and

progression of SUD should be integrated into the standard curricula of all
medical schools and residency training programs. This should include
information on community prevention of SUD. Licensing examinations

214 FIELLIN, BUTLER, D’ONOFRIO, BROWN, AND O’CONNOR

 should include content and questions relevant to appropriate prevention of
SUD. Increased curricular content should be available through CME. The
development, dissemination, and maintenance of this curriculum should be
coordinated by a lead Federal agency with input from all appropriate
Federal agencies and professional societies.
Rationale. Prevention of harm from the use of psychoactive substances can help decrease the
impact of SUD on the individual and society.58,59 For instance, decreasing alcohol consumption
among pregnant women can have a significant impact on the incidence of the fetal alcohol
syndrome.23 In addition, recent efforts at early recognition and treatment from hazardous and
harmful drinking are aimed at decreasing progression to more severe alcohol problems that are
traditionally less amenable to treatment.55 While the risk factors for SUD, including specific
genetic markers, are still being elucidated, and the determinants of progression from substance
use to abuse and subsequent dependence are under evaluation, early recognition and intervention
by physicians can be effective in decreasing progression from less severe to more severe SUD.
Recommended Actions. Training in SUD should devote specific attention to the effectiveness
of counseling patients to help prevent the development or progression of SUD using formal
counseling and brief interventions.
Responsible Agents. LCME, RRC of the ACGME, AMA, AOA, USMLE, and ABMS.

Level I, Competency 4
Physicians should be able to refer patients with SUD to treatment settings that provide pharma-
cotherapy for relapse prevention.

4. A required curriculum in the available pharmacotherapy for SUD should be

integrated into the standard curricula of all medical schools and residency
training programs. Licensing examinations should include content and
questions relevant to appropriate prevention of SUD. Increased curricular
content should be available through CME. The development, dissemina-
tion, and maintenance of this curriculum should be coordinated by a lead
Federal agency with input from all appropriate Federal agencies and
professional societies.
Rationale. Recent research has highlighted the role of neurochemistry in the etiology and
maintenance of SUD. For instance, there is evidence for involvement of the dopamine, GABA,
serotonin, and opioid systems in alcohol use disorders, and chronic exposure to narcotics is
known to create fundamental changes in receptors and intracellular messaging in patients with
opioid dependence.7,60-62 These insights have created new pharmacologic therapies such as
naltrexone, acamprosate, and buprenorphine that are aimed at preventing relapse.26,28,31,63
Recommended Actions. Training in SUD should devote attention to the effectiveness of
pharmacotherapy to help prevent relapse in abstinent patients with SUD.
Responsible Agents. LCME, RRC of the ACGME, AMA, AOA, USMLE, and ABMS.

Level I, Competency 5
Physicians should recognize and treat or refer comorbid medical and psychiatric conditions in
patients with SUD.

5. A required curriculum in the medical and psychiatric comorbidities of SUD

should be integrated into the standard curricula of all medical schools and
residency training programs. Increased curricular content should be avail-
able through CME. The development, dissemination, and maintenance of

MEDICINE 215
 this curriculum should be coordinated by a lead Federal agency with input
from all appropriate Federal agencies and professional societies.
Rationale. Population surveys have revealed high rates of comorbid medical and psychiatric
disorders in patients with SUD. For instance, the Epidemiological Catchment Area and the
National Comorbidity Study surveys have found a 29% to 37% prevalence of comorbid psychiat-
ric disorder in patients with alcohol problems.2,64 In addition, abused substances and the route
used to administer (e.g., injection) these substances are associated with significant comorbid
medical conditions such as hepatitis B and C, endocarditis, human immunodeficiency virus
infection and AIDS, tuberculosis, and cirrhosis.65,66
Recommended Actions. Training in SUD should devote attention to the recognition,
treatment, or referral of comorbid medical and psychiatric conditions in patients with SUD.
Responsible Agents. LCME, RRC of the ACGME, AMA, AOA, USMLE, and ABMS.

Level I, Competency 6
Physicians should be able to refer patients with SUD to appropriate treatment and supportive
services.

6. A required curriculum in the process of evaluation and referral of patients

with SUD should be integrated into the standard curricula of all medical
schools and residency training programs. As a requirement for graduation,
medical students should demonstrate competency in referral for patients
with SUD. Licensing examinations should include content and questions
relevant to the appropriate referral of patients with SUD. Increased curricu-
lar content should be available through CME. The development, dissemina-
tion, and maintenance of this curriculum should be coordinated by a lead
Federal agency with input from all appropriate Federal agencies and
professional societies.
Rationale. Multicenter randomized clinical trials such as Project MATCH and data from the
Drug Abuse Treatment Outcome Study have demonstrated the efficacy of a variety of treatment
services for patients with SUD.67-69 In addition, successful referrals to treatment require an
accurate assessment of a patient’s diagnosis and an understanding of the treatment process.
Recommended Actions. Training in SUD should devote attention to the effectiveness of
appropriate referral of patients to substance use services, including formal treatment programs.
Responsible Agents. LCME, RRC of the ACGME, AMA, AOA, USMLE, and ABMS.

Level I, Competency 7
Physicians should be aware of the ethical and legal issues around physician impairment from
SUD and of resources for referring potential impaired colleagues, including employee assistance
programs, hospital-based committees, State physician health programs, and licensure boards.

7. Physicians’ training curricula and licensing examinations at all levels

should be modified to include content on the recognition and referral for
treatment of physicians and health professionals impaired by SUD. A
required curriculum in the recognition and referral of physicians and other
health professionals impaired by SUD should be integrated in the standard
curricula of all medical schools and residency training programs. Licensing
examinations should include content and questions relevant to the recogni-
tion and referral of physicians and other health professionals with SUD.
Increased curricular content should be available through CME programs.

216 FIELLIN, BUTLER, D’ONOFRIO, BROWN, AND O’CONNOR

 The development, dissemination, and maintenance of this curriculum
should be coordinated by a lead Federal agency with input from all appro-
priate Federal agencies and professional societies.
Rationale. Unrecognized and untreated physicians and other health professionals impaired by
substance use can constitute a major threat to patient safety and the integrity of the medical
profession.70 Successful programs have been developed to assist physicians and other health
professionals who have been recognized and referred to treatment.38,71 The RRC has recognized
the importance of these practices and specified institutional requirements for policies that cover
physician impairment, and in one instance (i.e., internal medicine), there is a specialty require-
ment.45
Recommended Actions. Training in SUD should devote attention to the effectiveness of
recognition and referral of impaired physicians and other health professionals with SUD.
Responsible Agents. LCME, RRC of the ACGME, AMA, AOA, USMLE, and ABMS.

Level I, Competency 8
Physicians should identify the legal and ethical issues involved in the care of patients with SUD.

8. A required curriculum in the ethical and legal complications of SUD should

be integrated into the standard curricula of all medical schools and resi-
dency training programs. Licensing examinations should include content
and questions relevant to the ethical and legal complications of SUD.
Increased curricular content should be available through CME programs.
The development, dissemination, and maintenance of this curriculum
should be coordinated by a lead Federal agency with input from all appro-
priate Federal agencies and professional societies.
Rationale. SUD are frequently associated with legal complications stemming from use (e.g.,
driving under the influence) or impaired judgment. Ethical considerations, such as patient
confidentiality, are important aspects of caring for patients with SUD.
Recommended Actions. Training in SUD should devote attention to the legal and ethical
issues in caring for patients with SUD.
Responsible Agents. LCME, RRC of the ACGME, AMA, AOA, USMLE, and ABMS.

Recommendations for Level II Competencies

All physicians coordinating care for patients with SUD (e.g., primary care and generalist
physicians) should have Level I and Level II competencies.

Level II, Competency 1

Physicians should use effective methods to assess patients with SUD.

1. A curriculum in the assessment of patients with SUD should be integrated

into the curricula of all medical schools and appropriate residency training
programs. Licensing examinations in the appropriate disciplines should
include content and questions relevant to methods to assess patients with
SUD. Increased curricular content should be available through CME pro-
grams. The development, dissemination, and maintenance of this curricu-
lum should be coordinated by a lead Federal agency with input from all
appropriate Federal agencies and professional societies.

MEDICINE 217
 Rationale. Assessment involves identifying the realms of a patient’s life affected by SUD.
Criteria exist for the diagnosis of substance dependence syndromes72 and instruments are
available to assess the severity of SUD, such as the Addiction Severity Index,73 which evaluates
the spectrum of areas affected by SUD (e.g., medical, psychosocial, legal, and family domains).
Assessment of these domains is necessary to understand the full impact of SUD on the indi-
vidual.
Recommended Actions. Training in SUD should include attention to the medical, psycho-
logical, family, legal, and employment complications attributed to SUD.
Responsible Agents. LCME, RRC of the ACGME, AMA, AOA, USMLE, and ABMS.

Level II, Competency 2

Physicians should provide pharmacologic withdrawal to patients with SUD.

2. A curriculum in the pharmacologic withdrawal of patients with SUD should

be integrated into the curricula of all medical schools and appropriate
residency training programs. Licensing examinations in appropriate disci-
plines should include content and questions relevant to methods to provide
withdrawal to patients with SUD. Increased curricular content should be
available through CME programs. The development, dissemination, and
maintenance of this curriculum should be coordinated by a lead Federal
agency with input from all appropriate Federal agencies and professional
societies.
Rationale. Recent clinical trials have provided empirical evidence for efficient and effective
care of patients requiring detoxification services in office-based settings.13,74 In addition, the use
of symptom-triggered, instead of fixed, doses of benzodiazepines has been shown to reduce
length of stay and cost for patients treated for alcohol withdrawal.13,75 In opioid-dependent
patients, updated regimens and new medications have extended the utility of these services in
inpatient and outpatient settings.32,63,76,77
Recommended Actions. Training in SUD should include attention to the role and logistics of
detoxification for patients with SUD.
Responsible Agents. LCME, RRC of the ACGME, AMA, AOA, USMLE, and ABMS.

Recommendations for Level III Competencies

Level III competence should be sought by all physicians providing specialty services to patients
with SUD.

Level III, Competency 1

Physicians should provide pharmacotherapy for relapse prevention in patients with SUD.

1. A curriculum in pharmacotherapy to help prevent relapse in abstinent

patients with SUD should be integrated into the curricula of all medical
schools and appropriate residency training programs. Licensing examina-
tions in appropriate disciplines should include content and questions
relevant to pharmacotherapy for relapse prevention in abstinent patients
with SUD. Increased curricular content should be available through CME
programs. The development, dissemination, and maintenance of this
curriculum should be coordinated by a lead Federal agency with input from
all appropriate Federal agencies and professional societies.

218 FIELLIN, BUTLER, D’ONOFRIO, BROWN, AND O’CONNOR

 Rationale. Effective new therapies are available for patients with alcohol problems.26,28,31,63
Methadone maintenance has demonstrated efficacy in decreasing illicit drug use, HIV transmis-
sion, and criminal activity.63 In addition, office-based pharmacologic treatments have been
shown to be effective for opioid-dependent patients previously stabilized at narcotic treatment
programs78-80 and for those actively using drugs.33,76,77
Recommended Actions. Training in SUD should include information on the effectiveness of
pharmacotherapies to help prevent relapse in abstinent patients with SUD.
Responsible Agents. LCME, RRC of the ACGME, AMA, AOA, USMLE, and ABMS.

Level III, Competency 2

Physicians should provide, or refer for, psychosocial counseling for relapse prevention in patients
with SUD.

2. A curriculum in psychosocial therapies to help prevent relapse in abstinent

patients with SUD should be integrated into the curricula of all medical
schools and appropriate residency training programs. Licensing examina-
tions in appropriate disciplines should include content and questions
relevant to psychosocial therapy for relapse prevention in abstinent pa-
tients with SUD. Increased curricular content should be available through
CME programs. The development, dissemination, and maintenance of this
curriculum should be coordinated by a lead Federal agency with input from
all appropriate Federal agencies and professional societies.
Rationale. Effective new psychosocial therapies are available for patients with SUD.24,31,55,68,69
Recommended Actions. Training in SUD should include information on the effectiveness of
psychosocial therapies to help prevent relapse in abstinent patients with SUD.
Responsible Agents. LCME, RRC of the ACGME, AMA, AOA, USMLE, ABMS, and appro-
priate Federal agencies.

MEDICINE 219
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222 FIELLIN, BUTLER, D’ONOFRIO, BROWN, AND O’CONNOR

 CHAPTER 4

The Role of Midwives in Caring for Women with

Substance Use Disorders: Implications for Training
PAT PALUZZI, CNM, DRPH
NICOLE DEGGINS, CNM, MSN
ELLEN HUTCHINS, SCD
PATRICIA BURKHARDT, CNM, DRPH

Introduction
Midwives have a long history of providing care for women during childbirth. Currently, 95% of
the world’s babies are delivered by midwives.1 In the United States, midwives have evolved
from the original lay midwife, who emigrated with her ethnic community and attended home
births, to the certified nurse-midwives and certified midwives (hereafter referred to as “mid-
wives”) of today, who provide a full scope of services to women in all sectors of society in a
variety of settings. According to the American College of Nurse-Midwives (ACNM), the
professional organization for midwives in the United States, the standard for the practice of
midwifery is “the independent management of women’s health care, focusing particularly on
pregnancy, childbirth, the postpartum period, care of the newborn, and the family planning and
gynecological needs of women.” 2 Midwives practice within a health care system that provides
consultation, collaborative management, or referral as indicated by the health status of the
client. Midwives practice in accord with the Standards of Nurse-Midwifery, as defined by the
ACNM.2
The first nurse-midwifery service in the U.S. provided care for the women of Appalachia.
Myra Breckenridge, founder of the service, demonstrated the effectiveness of midwifery to
vulnerable populations by documenting a rapid decline in infant and maternal mortality.
Midwives of today serve vulnerable populations in disproportionate amounts, which increases
the likelihood that they will encounter substance use disorders (SUD) among the women in
their care.
The past two decades have seen a significant increase in SUD among childbearing women,
whit various adverse effects on the pregnant woman and her newborn. Midwives are in an
advantageous position to recognize and intervene with women who have SUD along the life
span, but primarily during the particularly vulnerable time of pregnancy. Because of this unique
opportunity, midwives should be knowledgeable about SUD and possess the necessary skills to
intervene effectively with women affected by these disorders. This chapter describes the need to
define basic substance abuse education for midwives, as well as the policy efforts required by
the ACNM and others to mandate clinical guidelines for such training.

Core Values and Paradigms of Midwifery Care requirements of the jurisdiction in which the practice
occurs. Standard II describes midwifery care as that which
Eight standards of care established by the ACNM define supports individual rights and self-determination, within
who can provide care and how it should be delivered. boundaries of safety, through practice in accordance with
These standards describe the core values of midwifery. the philosophy and code of ethics defined by the ACNM. It
Standard I states that midwifery care is provided by provides complete information on the scope of services
qualified practitioners, who are certified by an ACNM- provided by midwives and promotes the involvement of
approved certifying agency; demonstrate evidence of support staff in practice settings. The remaining six standards
continuing competency; and comply with the legal describe more specifically how care should be provided,

223
such as in a safe environment, within a system that provides Table 1: Practice Settings of Midwives by Primary
collaboration and referral, with proper documentation, and Employer4
within established programs for quality assessment.
1993 1994
The mission, philosophy, and code of ethics, defined
Current Employer (n = 3,306) (n = 3,670)
for the profession by the ACNM Board of Directors and
approved by its membership, further define the core values
Hospital 28.8% 30%
of midwives. Providing full disclosure, supporting indi-
vidual rights and self-determination, promoting involve- Physician 20.6% 21.7%
ment of support persons, and the belief in pregnancy and
childbirth as normal processes are the hallmarks of Educational institution 9.6% 9.6%
midwifery care. While individual midwives may provide Health maintenance
care differently, depending on both the midwife and the
setting, the belief that pregnancy and childbirth are normal organization 8.7% 8.4%
processes is fundamental. From this perspective, midwives Private midwifery practice 7.4% 7.3%
generally approach care from a stance of overseeing rather
than directing. Midwives generally offer a great deal of Government/military 4.9% 4.6%
education to their patients, assist them in making decisions
Health department 3.4% 3.1%
rather than tell them what to do, and support those choices
as long as they are safe for both mother and baby. The Freestanding birth center 2.9% 2.9%
belief in the normalcy of pregnancy and birth has allowed
midwives to offer this type of interactive care to women of Outside of the midwifery
varying socioeconomic status and educational levels, both Profession 1.8% 2.2%
in and out of the hospital.
Missionary/volunteer 1.4% 1.4%
Midwifery care has evolved over time. Early midwives
provided care in the home or hospital-based public clinics, Birth center 1.1% 1.3%
focusing almost exclusively on childbirth. Today’s midwives
practice in and out of the hospital, in private and public Other 8.4% 9.1%
practice. They provide care to women throughout the life
span, with an increased emphasis on gynecology and family
The practice settings of midwives have evolved over
planning. Throughout the history of midwifery, midwives
time. The earliest midwives often worked in the public
have provided care to the essentially healthy woman.
health sector, in health department or hospital-based
There has been, as well, a continuation of care to vulner-
clinics. In the late 1970s, private practice midwifery
able populations, many of whom are at increased risk for
emerged, which served a more educated and higher
adverse outcomes, such as low birthweight and preterm
socioeconomic class of women. During this same period,
babies. Just as Breckenridge demonstrated that midwifery
there was a movement away from women giving birth at
care can positively affect infant and maternal mortality
home to women having their children in hospitals and out-
rates, subsequent studies have demonstrated continued
of-hospital “birthing” centers.
efficacy in providing care to vulnerable populations.3
More than 8,000 midwives have received certification
through the ACNM, of whom 7,000 are current members
Practice Settings and 1,000 are students. The ACNM estimates that 7,000
Scupholme et al. 3 found that 99% of surveyed midwives midwives are currently practicing. The ACNM annual
cared for women from vulnerable groups. Women were membership survey asks its registered members about their
defined as being vulnerable if they were “poor, adolescent, practice settings and primary job duties.4 Midwives work in
part of a minority ethnic group, of immigrant status, or a variety of practice settings throughout the U.S. Practice
living in medically under-served areas.” They found that settings by primary employer include hospitals, health
midwives serving women in inner-city and rural areas maintenance organizations (HMOs), educational institu-
frequently provided care to women with more than one of tions, government/military hospitals and clinics, physician
these characteristics. Over 50% of the women served by practices, hospital birth centers, freestanding birth centers,
midwives reside in designated underserved areas in both health departments, missionary volunteer sites, and private
rural and urban settings.3 While drug abuse occurs among midwifery practices. According to the latest published data
all women, providing care to vulnerable populations most from the ACNM annual membership survey (1993–1994),
likely increases midwives’ exposure to SUD and the effects approximately one-third of midwives were employed by
of these disorders on pregnancy and the neonate. hospitals and 21% by physicians. Less than 8% of respon-
dents reported primary employment in a private midwifery

224 PALUZZI, DEGGINS, HUTCHINS, AND BURKHARDT

practice. Table 1 lists the practice settings of midwives by programs address the issue as it relates to pregnancy and
primary employer.4 the newborn. Several other programs include SUD in a
In addition to the various midwifery practice settings, beginning unit on basic assessment or well-woman care.
patient population profiles and midwives’ scopes of practice One program further enhances thinking on this topic
vary. A midwife sees approximately 140 clients per month, through participation in an annual campus-wide event
offering care that focuses on pregnancy, well-woman related to SUD, and another includes a discussion on the
gynecology, nutrition counseling, mental wellness, and importance of keeping providers healthy. The remaining six
primary care. A majority of clients seen by midwives are in (29%) programs integrate information regarding SUD into
their childbearing years; however, midwifery practices more than three courses. The majority of these six pro-
include women through the entire life span from adoles- grams include content in general assessment, well-woman,
cence to postmenopause.5 antepartum, intrapartum, and postpartum units. One
program addresses the issue in every teaching module,
According to the ACNM 1993–1994 membership including teratogens and drug use in the pharmacology
survey, 71% of practicing midwives list clinical midwifery unit, the relationship between substance use and sexually
with births as their primary job.4 More than 90% of transmitted infections in the family planning unit, a section
practicing midwives who responded to the ACNM survey on the woman with an addictive disorder, and a section on
reported that most of the births they attended were in psychiatric, psychological, and societal issues.
hospitals. In 1994, there was an increase in respondents
reporting that they attended births in birth centers (21%), Midwives are obligated to obtain continuing education
while the percentage attending home births decreased from units (CEUs) to maintain their certification. For those
6.9% in 1991 to 4.9% in 1994.4 Although the practice midwives who are dually licensed as nurses, there is
settings of midwifery care have evolved to a more main- generally a CEU requirement for nursing licensure as well.
stream model, the core values that determine how care is The ACNM currently provides two venues for CEUs for its
provided have remained constant. membership, a peer-reviewed professional journal and an
annual meeting. The Journal of Midwifery and Women’s
Health (JMWH), formerly known as the Journal of Nurse-
History of Midwifery Education in SUD Midwifery, is available to all ACNM members. JMWH
There are currently 45 ACNM-accredited midwifery periodically offers CEUs through a home study module.
education programs. Forty are graduate- level programs These modules are dedicated to a single issue such as
that offer a master’s degree in nursing or public health, and domestic violence or primary care. Since 1990, there have
five are postsecondary programs. Regardless of the level of been four articles on the topic of prenatal substance use in
education available in the programs, the clinical content is JMWH. There has not been, however, a home study journal
standardized by midwifery’s core competencies. on this topic (personal communication with Mary Ann
Shah, editor, JMWH, April 2000).
These core competencies, established by the ACNM,
address substance use as part of the knowledge base The annual ACNM meeting is primarily focused on
needed to provide care for childbearing women. Specifi- business and education and is open to all ACNM members
cally, the competencies state that the midwife must for a fee. Presentations offering CEUs at the annual
“understand the health risks for the childbearing woman as meeting vary in format and length. The May 2000 meeting
they relate to substance, alcohol, and tobacco use.” included a session entitled “Substance Abuse During
Although there is no specific mention of substance use as it Pregnancy: An Update.” Additionally, midwives may
relates to the neonate, midwives are expected to know the receive CEUs through other nursing-based workshops, if
effects of maternal risk factors on the newborn. Presum- preapproved by the ACNM, and at any event offering
ably, use of alcohol, illicit substances, and tobacco would continuing medical education units.
be among these risk factors. As is the nature of the ACNM Currently, no formal subspecialty education or training
core competencies, the statement is general and merely in SUD is available to midwives. Such training would
defines the minimal standard. require additional support for educational programs, which
The 42 ACNM-accredited midwifery education are typically minimally staffed. Lack of support for faculty
programs in existence in 1999 were surveyed regarding development in the area of SUD has inhibited progress in
content on SUD. Of those 42 programs, 21 (50%) re- this area of midwifery education.
sponded. All of the respondents were graduate-level
programs; together, they represented 57% of all graduate Critical Issues, Obstacles, and Challenges
programs. The results demonstrated broad variance in how
SUD are addressed across the educational programs. Three Inconsistent Knowledge Base and Practice
(14%) of the programs address SUD only once, as they There are many competing demands for the education of
relate to pregnancy and childbirth. Twelve (57%) programs midwives today. Most recently, primary care has been seen
address SUD in two or three curricular areas. All these as one of the most crucial areas for change in midwifery

MIDWIFERY 225
curriculum and practice, competing with demands for a the woman in both the legal and medical communities
broadened focus on psychosocial and behavioral issues must be underscored. This is a complicated issue. Consider-
such as SUD or intimate partner violence. It could be able discussion and a well-thought-out plan are essential
argued that primary care includes assessment for substance before a policy of universal screening can be implemented
abuse and partner violence, but the reality is that attention in any clinical setting.
to these issues is generally brief in both the educational and The increase in substance use by pregnant women,
clinical settings. and particularly the rise in cocaine use, have brought
From 1994 to 1998, the ACNM participated in a increased attention and debate to the issue of drug use
national Domestic Violence Education Project (DVEP), during pregnancy. The debate centers largely on two issues:
funded by the Maternal and Child Health Bureau of the (1) medicalization versus criminalization of substance use,
Department of Health and Human Services (MCHB/ and (2) the rights of the fetus versus those of the mother.6
DHHS). The DVEP included the resources to educate As the debate rages on, more and more legislation is being
educators on the issue of partner violence, to provide introduced, and in some cases adopted, regarding sub-
continued support and materials, and to influence policy stance use during pregnancy. State legislation ranges from
and the core competencies. The same support was offered mandated reporting of maternal drug use to involuntary
to practicing midwives. The need for similar support for commitment for pregnant substance users to increased
training in SUD is critical. access for treatment.6
Without a similar level of attention and support, along
with the policy changes needed to ensure application, Effects of Drug Use During Pregnancy
midwifery education programs will remain inconsistent in Maternal substance use is a multifaceted problem often
the level of knowledge and practice concerning SUD. The resulting in physiological, psychological, and social conse-
current core competency on SUD is vague and refers only quences for the substance-using woman and her children.
to the needs of the pregnant woman, thus not reflecting The substance-using woman may demonstrate an impaired
the true nature of addiction and abuse, which affect ability to take care of herself before, during, and after
women at all stages of life. Thus, a critical issue is the lack delivery. Drug use during pregnancy may not only result in
of support needed to change the standard of education and adverse effects on the woman’s health but may also
practice for midwives on the issue of SUD. The inconsis- contribute to the birth of an infant with a variety of drug-
tency in education and practice in this area leads to other related health problems, including developmental delay,
critical issues related to screening and documentation. low birthweight, or premature delivery.7 The effects of
alcohol use during pregnancy have long been known and
Issues Related to Screening and Documentation may result in fetal alcohol syndrome, a constellation of
During the last 10 years, more than 200 pregnant or physical and mental impairments.8,9 Additionally, because
postpartum women in the U.S. have been arrested and of the harmful environments in which these women may
charged with a crime for using a substance thought to be live, their children may be at risk for neglect.10
harmful to their child. Charges have included the delivery Current national reports estimate that 5.5% of all
of drugs to minors, child abuse and neglect, assault, and pregnant women use an illicit drug during pregnancy.11 The
homicide.6 According to the American Civil Liberties National Health and Pregnancy Survey, the largest and
Union, women who have been pursued by Federal and most nationally representative survey to date, estimates
State prosecutors for using illicit drugs are mainly low- that 18.8% of pregnant women used alcohol at some time
income women served by public hospitals; many are during their pregnancy and 20.4% smoked cigarettes.11
women of color. Knowing the legal ramifications of Obtaining an accurate estimate of the prevalence of
substance use during pregnancy is paramount to the prenatal substance use is difficult for a variety of reasons,
development of policy regarding screening and documenta- including a lack of consistency among studies as to what
tion for SUD. substances are included in rates of substance abuse. Some
Which pregnant women to screen for SUD when to studies include only illicit substances, while others include
screen them are topics of ongoing debate. Because sub- tobacco and alcohol. Although it is difficult to estimate the
stance use during pregnancy affects both the mother and prevalence of prenatal substance use, rates do appear to be
her unborn baby, and may occur among all women, there of concern. Research has not elicited a reliable set of risk
are proponents of universal screening. Such a policy has factors for SUD. Multiple surveys have demonstrated use
potential legal ramifications. However, without a policy of among all populations of women, particularly when alcohol
universal screening and because of common perceptions, and tobacco are included.
poor women and women of color are screened dispropor- Research has demonstrated that even without inter-
tionately, leaving them at greater risk for social and legal vention, the use of cigarettes, alcohol, and illicit substances
ramifications.6 If universal screening is to be promoted, the slightly decreases during the prenatal period. This decrease
importance of documenting in a manner that advocates for may not be statistically significant, but it is notable that

226 PALUZZI, DEGGINS, HUTCHINS, AND BURKHARDT

even without intervention pregnant women will make To ensure that midwives enhance the treatment/
some attempt to limit these destructive behaviors.12,13 The recovery process, they need to understand the relationship
1992 National Pregnancy and Health Survey found that the between SUD and other medical and psychiatric disorders.
rate of use for all substances starts declining 3 months prior Finally, midwives should understand the cultural context of
to pregnancy and continues to decline throughout the substance use as well as the impact of gender, culture,
pregnancy 11 Studies have shown that intervening with class, and ethnicity on intervention and treatment.
pregnant substance-abusing women decreases or eliminates There is debate regarding the criminalization versus
drug use during pregnancy.14 medicalization of women with SUD. Because of the
potentially punitive repercussions from documentation of
drug use during pregnancy, it is imperative that midwives
Core Competencies in Substance Abuse know the legal statutes in their States. Additionally,
Education for Midwives midwives should be aware of the ethical issues of informed
Midwives care for women during pregnancy, a time when consent, confidentiality, and patient rights and of the rules
they are both vulnerable to drug use and receptive to and regulations governing controlled substances.
decreasing it. For this reason, it is imperative that all Finally, because substance use affects all of us, it is
midwives receive thorough, consistent, and accurate important that midwives understand the implications of
information regarding SUD. health professional impairment, including the identifica-
The ACNM core competencies address SUD in a general tion, management, reporting, recovery, and resources
statement with the mandate to “apply midwifery knowledge available for impaired health professionals.
during the antepartum period for the assessment of the health
risk including the use of substances during pregnancy.” Skills Competencies
There is no specific information regarding content, and the To be most effective, a knowledge base must correlate to a
ACNM has no established policy on the provision of care to specific skill set. All midwives should be able to recognize
women with SUD at other times during the life cycle. At the signs and symptoms of SUD, screen effectively for
this time, the ACNM has neither a position statement nor substances use disorders in the client and family, and
clinical guidelines regarding SUD. Although there are no intervene in a culturally sensitive manner to provide
specifics regarding the clinical care of women with SUD, prevention and motivational enhancement to help the
the core competencies mandated by the ACNM can serve client move toward a healthier lifestyle or to refer her for
as a general guide to establish more specific practice further evaluation and treatment.
guidelines related to this topic. Consistency in education and the provision of care will
The following critical competencies more specifically be enhanced when the ACNM either adapts the current
define the minimal knowledge and skills that are needed by core competencies to reflect this content or develops
all health care providers who intervene with women who clinical guidelines with specific recommendations regarding
have SUD and that are recommended for consideration by skills and knowledge. The ACNM would then address
the ACNM. some of the issues previously highlighted, such as inconsis-
tent screening for SUD.
Knowledge Competencies
All midwives should have general knowledge about
substance use, including common definitions and diagnos-
Vision for the Future
tic criteria of SUD, the epidemiology of substance use, and Midwives offer care in a manner that advocates for the
the relationship of SUD to the functioning of the family. woman and her family. They often engage in a holistic
Midwives should be aware of prevention strategies, including approach to health, acknowledging the role of psychosocial
risk, protective, and sociocultural factors and their implica- and behavioral issues on health and well-being. Because of
tions at the individual, family, and community levels. their continued exposure to vulnerable populations and
because they believe in a woman’s right to help determine
Midwives need a basic knowledge of the acute and her care, midwives are in a unique position to provide a
chronic effects of alcohol and other drugs, especially as comprehensive approach to substance use at any time
they relate to the pregnancy and neonate. A basic under- throughout the life span, and most significantly during
standing of the pharmacology and behavioral effects of pregnancy. With the proper training, midwives could
commonly used drugs would assist the midwife in making identify more women at risk for SUD, offer an appropriate
appropriate assessments of women with SUD. Although the response based on sound clinical evidence, and offer
management of women with SUD may not be within primary prevention for all women receiving their care.
midwives’ purview, midwives must understand treatment Because midwives provide care to women across the life
approaches, including outcomes, effectiveness, and costs, span, primary prevention to adolescents would be an
as well as behavioral change and motivational enhance- essential component of care.
ment therapies.

MIDWIFERY 227
 Midwives could also be an important part of a larger ■ Help ensure a level of knowledge and clinical compe-
clinical team that responds to drug use during pregnancy. tence that allows all practicing midwives to practice
Through proper assessment and thoughtful documentation, either individually or as part of a team;
midwives could be the first responders for many women ■ Offer comprehensive, consistent, and nonjudgmental
who are dealing with substance use during pregnancy. care for women;
Midwives could offer appropriate, immediate, and
nonjudgmental counseling and referral for women with
■ Guarantee the existence of a comprehensive set of core
SUD while continuing to provide prenatal care. This model competencies and clinical guidelines that establishes a
would allow the woman to acknowledge her substance use standard of care for all women coming to midwives; and
disorder and seek appropriate care for the disorder while ■ Create a pool of midwife-researchers who would
maintaining a relationship with her provider that could contribute to the unique aspect of midwives in SUD.
enhance her response to treatment. This vision requires support for an endeavor similar in
The ideal vision for the midwife’s role in SUD includes goals and objectives to that conceived for the DVEP. Such a
the development of a pool of midwife-educators as experts project would greatly improve the standard of basic educa-
in SUD who would tion, continued training, and policy that determines clinical
■ Train their students as well as offer support for other care provided to all women as it relates to SUD. This effort
educational programs; could ultimately lead to more women being assessed for SUD
as well as an increase in primary prevention.

228 PALUZZI, DEGGINS, HUTCHINS, AND BURKHARDT

 Recommendations
The following recommendations are put forth for consideration by the ACNM, potential funding
agencies, midwife-educators, and practicing midwives. If adopted, these recommendations
would move the profession of midwifery toward a more comprehensive and consistent approach
to caring for women with SUD. The advantage of such an approach to the issue is that all
women presenting to midwives for care will be offered the same level of support to learn about
SUD, disclose their own issues with SUD, and receive proper treatment. This would be done in
a manner that advocates for the woman and her family in both the medical and legal communi-
ties and avoids discriminatory care and repercussions.

Substance Abuse Education for Midwives

1. A more thorough assessment of substance abuse education for midwives is

needed.
Rationale. The current status of education and practice among midwives is not fully known. A
national assessment of midwife-educators and clinicians could help further determine the state
of midwifery education and care for women with SUD. A national assessment would illustrate
the needs of educators and clinicians to approach SUD in a more comprehensive, consistent,
and clinically sound manner. The results of the survey would then determine how to address
the gaps in substance abuse education for midwives.
Recommended Actions. The recommended assessment should include extensive conversa-
tions with educators regarding basic educational needs, a determination of evidence-based best
practices, and a critical review of the current social and legal ramifications.
Responsible Agents. The ACNM could identify the resources to conduct and analyze such a
survey but would require external support to do so. Federal agencies such as the MCHB or the
Health Resources and Services Administration (HRSA) could support such an activity.
Expected Outcomes. The assessment survey would identify the gaps in substance abuse
education. An ACNM committee would then be appointed to address the curriculum changes
needed to integrate knowledge and skill competencies in substance abuse in the standard
midwifery educational curriculum.

2. Midwife-educators need more extensive training in SUD in order to inte-

grate appropriate knowledge and skills competencies consistently through-
out their curriculum
Rationale. To effectively train student midwives, the educators themselves must be adequately
prepared.
Recommended Actions. Training could be offered through a training-of-trainers model with
ongoing technical support. This model provides the educators with topic content and sugges-
tions for training their students. Continued technical assistance would enable the educators to
integrate the material into both the didactic and clinical settings.
Responsible Agents. ACNM, with support from agencies such as MCHB and HRSA.
Expected Outcomes. If all educators had the same educational experience, the likelihood of
consistency in education across programs and of producing midwives who are prepared to
adhere to a standard of care would increase.

MIDWIFERY 229
 3. Continuing education programs on SUD should be readily available for
practicing clinicians.
Rationale. Midwives in clinical practice should be offered continuing education based on the
core knowledge and skills necessary to intervene effectively with women who have SUD.
Recommended Actions. This training should be readily available and comprehensive, such
as a home-study journal. The home-study journal is free to all of the ACNM members; a small
fee is charged for obtaining CEUs.
Responsible Agents. The JMWH and ACNM contributing authors.
Expected Outcomes. The home-study journal would afford all ACNM members the opportu-
nity to learn current and comprehensive information on SUD, thus allowing midwives to
strengthen their knowledge and skills in this area as well as obtain CEUs.

4. The ACNM’s annual meeting should offer one CE program on the topic
of SUD.
Rationale. The annual meeting is an important opportunity for the ACNM to endorse,
organize, and offer CEUs on SUD. By sponsoring an annual program on SUD, the ACNM would
underscore the importance of this topic and assist its members in obtaining the necessary
training in this area.
Recommended Actions. The Program Committee and Research Committee of the ACNM
should work together to ensure that pertinent and current information regarding SUD is offered
routinely at ACNM annual meetings.
Responsible Agents. ACNM Program Committee and ACNM members.
Expected Outcomes. ACNM members would have an opportunity to receive state-of-the-art
substance abuse education.

Policy on SUD

5. The core competencies should be amended to reflect the reality of SUD

across the life span.
Rationale. The current core competencies reflect the need for knowledge regarding substance
use only during pregnancy. While the prenatal period is recognized as an opportunity to offer
assessment and treatment for the issue, SUD occur across the life span. Substance use during
pregnancy could possibly be avoided if it were identified earlier. Additionally, assessing for SUD
provides the opportunity for primary prevention. Finally, midwives are providers of women’s
health care across the life span, not just during the prenatal period. The current core competen-
cies do not reflect the comprehensive nature of midwifery care.
Recommended Actions. The ACNM should work with the ACNM Certification Council
(ACC) to amend the core competencies as suggested.
Responsible Agents. ACNM, ACC, and ACNM members.
Expected Outcomes. With an expanded set of core competencies, the standard of care
would be more comprehensive and consistent, thus enhancing care to women.

230 PALUZZI, DEGGINS, HUTCHINS, AND BURKHARDT

 6. The ACNM should adopt policy in the form of a position statement and a
set of clinical guidelines regarding the role of midwives and their treatment
of women with SUD that would further establish a standard of care for all
women presenting with these disorders.
Rationale. Position statements and clinical guidelines are two mechanisms used by the ACNM
to promote a standard of care among its constituents. Such documents can further elucidate,
beyond the core competencies, the approach to care for women with SUD. Recommendations
regarding content of care and attention to research can be a part of these policy statements, thus
promoting the issue in a comprehensive manner.
Recommended Actions. The ACNM should establish an ad hoc committee of its constituents
and board members to create a position statement and clinical guidelines on SUD for approval
by the ACNM membership.
Responsible Agents. ACNM Board of Directors, with the aid of an ad hoc committee of
select ACNM members.
Expected Outcomes. A position statement and a set of clinical guidelines on the role of
midwives and their treatment of women with SUD would further articulate ACNM’s educa-
tional and clinical requirements for the profession. This would promote the establishment of a
standard of care among midwives.

Committee on Psychosocial and Behavioral Health Issues

7. A formal committee on psychosocial and behavioral health issues in

women’s care should be appointed by the ACNM Board of Directors to
address key topics such as SUD and violence against women.
Rationale. ACNM’s Board of Directors utilizes a committee structure to call attention to
specific topics. Permanent committees, such as education, accreditation, and standards and
practices, reflect the ongoing nature of those activities within the ACNM. Ad hoc committees
tend to be topic specific and address a particular set of goals and activities. The Ad Hoc Commit-
tee on Violence against Women, for example, was developed to effect policy change for the
DVEP and has continued to address additional forms of violence against women, including
female genital circumcision, as well as to remain a support for providers and to represent the
ACNM in related activities.
Recommended Actions. In recognition of the ongoing psychosocial and behavioral health
needs of women presenting for care, a permanent committee that would address SUD, violence
against women, and other mental health issues should be established by the ACNM’s Board of
Directors.
Responsible Agents. ACNM Board of Directors and ACNM members.
Expected Outcomes. This committee would be composed of experts in the various topics
who could advise both the Board of Directors and the ACNM membership on the issues and
offer ACNM representation at appropriate venues.

Interdisciplinary Collaboration

8. Midwives should become part of multidisciplinary teams in their clinical

and academic settings.

MIDWIFERY 231
 Rationale. If midwife-educators and clinicians become part of multidisciplinary teams in
addressing the issue of substance abuse, particularly during pregnancy, they are more likely to
adequately assess women and respond appropriately to their needs. When any professional
attempts to address such an expansive issue alone, he or she may feel inadequate to the task.
This may manifest itself as a barrier to adequate assessment or as professional “burnout.”
Recommended Actions. Midwives should work with other professionals in their clinical
settings toward the establishment of interdisciplinary teams focused on SUD
Responsible Agents. ACNM educators and clinicians, as well as other members of the
clinical team.
Expected Outcomes. Multidisciplinary teams would offer comprehensive and consistent care
for women with SUD.

Legislation and Universal Screening

9. The ACNM should follow legislation closely and advise its constituents
about local legislative initiatives, recommend universal screening where it
is legally acceptable, and thus end discriminatory screening
Rationale. Because of the potential for discriminatory practices in screening, documentation,
and repercussions for substance use during pregnancy, practicing midwives should be fully
cognizant of current legislation in their geographic areas. The ACNM and its members should
advocate for women in this arena to ensure that safe and responsible practices, both medical
and legal, are in place for pregnant women and their unborn babies.
Recommended Actions. The ACNM must continue to support the work of the legislative
liaison in the area of SUD and provide ongoing information to its constituents. The Committee
on Psychosocial and Behavioral Health Issues could offer assistance with informing constituents
regarding local policies.
Responsible Agents. ACNM legislative liaison and ACNM members.
Expected Outcomes. Women would be appropriately screened, treated, and referred for
treatment of SUD without fear of recrimination.

Research

10. The ACNM should promote the development of a pool of midwife-

researchers on the topic of SUD.
Rationale. Research in SUD from a midwifery perspective would contribute to the body of
knowledge for all providers as well as assist midwives specifically in the care of women with
SUD.
Recommended Actions. The ACNM Research Committee could establish SUD as a priority
area for research among its members. The ACNM could work with funders to establish support
for midwife-researchers interested in pursuing this topic.
Responsible Agents. ACNM Research Committee, ACNM, MCHB, HRSA, ACNM members,
and other funding agencies.
Expected Outcomes. The establishment of a pool of researchers among midwives would
enhance midwives’ interests in SUD and potentially improve the care of women and their
families.

232 PALUZZI, DEGGINS, HUTCHINS, AND BURKHARDT

References
1. Reedy NJ. History of nurse-midwifery in the United States. In: 8. Pritchard J, Macdonald P. Williams Obstetrics. 16th ed. New
Varney H, ed. Varney’s Midwifery. 3rd ed. Boston, Mass.: York: Appleton-Century-Crofts; 1980.
Blackwell Scientific Publications; 1980. 9. Jones K. Effects of chemical and environmental agents. In:
2. American College of Nurse Midwives. Standards for the Prac- Creasy R, Resnick R, eds. Maternal-Fetal Medicine: Principles
tice of Nurse Midwifery. Washington, DC: American College and Practice. 2nd ed. Philadelphia: WB Saunders; 1989:180-
of Nurse Midwives; August 1993. 192.
3. Scupholme A, DeJoseph J, Strobino DM, Paine LL. Nurse-mid- 10. Emmelkamp PM. Drug addiction and parenting rearing style: a
wifery care to vulnerable populations phase I: demographic controlled study. Intl J Addict. 1988;23:207-216.
characteristics of the national CNM sample. J Nurs Midwifery. 11. National Institutes of Health. National Pregnancy and Health
1992;37:341-347. Survey: Drug Use among Women Delivering Livebirths: 1992.
4. Walsh LV, Boggess JH. Findings of the American College of NIH publication 96-3819. Washington, DC: National Institute
Nurse-Midwives annual membership surveys, 1993 and 1994. on Drug Abuse; 1996.
J Nurs Midwifery. 1996;41:230-235. 12. Hutchins E. Drug use during pregnancy. J Drug Issues.
5. Kraus N. Practice profile of members of the American College 1997;27(3):463-485.
of Nurse Midwives findings of a direct mail survey. J Nurs Mid- 13. Howell EM, Heiser N, Harrington M. A review of recent find-
wifery. 1997;42:355-363. ings on substance abuse treatment for pregnant women. J Subst
6. American College of Nurse Midwives. Strategies for Influenc- Abuse Treat. 1999;16:195-219.
ing State Policy. A Tip Sheet for ACNM State Legislative Con- 14. Svikis D, Golden A, Huggins G, et al. Cost-effectiveness of treat-
tacts. Number 35. Washington, DC: American College of Nurse ment for drug-abusing pregnant women. Drug Alcohol Depend.
Midwives; February 2000. 1997;45:105-113.
7. Hutchins E, DiPietro J. Psychosocial risk factors associated with
cocaine use during pregnancy: a case-control study. Obstet
Gynecol. 1997;90(1):142-147.

MIDWIFERY 233
 CHAPTER 5

Substance Abuse Education for

Nurse Practitioners in Primary Care
ELIAS VASQUEZ, PHD, NNP, FAAN
MARIE EILEEN ONIEAL, MMHS, RN, CPNP

Introduction
The term “advanced-practice nurse” includes nurse practitioners (NPs), certified nurse-mid-
wives, nurse anesthetists, and clinical nurse specialists. NPs are registered nurses with advanced
education (i.e., a master’s degree in advanced nursing practice) and the clinical competency
necessary for providing health and medical care. They are primary care providers in a variety of
specialty areas, such as acute care, adult, emergency, family, gerontology, mental health,
occupational health, pediatric, school health, and women’s health. NPs practice in acute,
ambulatory, and long-term care settings. The role of NPs within the family court continues to
develop and take shape.
NPs practice autonomously and in collaboration with other health care professionals to
diagnose, treat, and manage patients. NPs order, conduct, and interpret diagnostic testing;
prescribe pharmacologic and nonpharmacologic therapies; and teach and counsel individuals,
families, and groups about health promotion and disease prevention. In addition to providing
direct patient services, NPs serve as educators, health researchers, interdisciplinary consultants,
and patient advocates. NPs also serve as leaders in legislative and professional activities to
promote professional advancement and health-related social policies.
NPs concentrate on the “whole person.” In providing care, they include the psychosocial
aspects of the patient. They are adept at and successful in helping patients better care for
themselves and to recognize the effects of poor health as well as the links between health, diet,
exercise and stress. Additionally, they assess and recognize patients’ knowledge levels before
encouraging self-care or independent learning.1
Characteristics that distinguish NPs from nurses who are not prepared at the advanced-
practice level include the ability to manage patients with a greater depth and breadth of
knowledge, skills and competency; engage in critical thinking/reasoning and decision making
related to complex patient problems; practice with greater autonomy; and exercise a higher
degree of independent judgment. NPs practice in a variety of settings, providing direct care to
individuals, families, and communities by working independently or in interdisciplinary
collaborative practice groups.2 Therefore, NPs are in an optimal position to screen, recognize,
diagnose, and treat substance use disorders (SUD).
NPs are primary care providers who practice in ambulatory, acute, and long-term care
settings. They provide health care services according to their practice specialty. NPs practice
autonomously and in collaboration with health care professionals and other individuals to
diagnose, treat, and manage the patient’s health problems. They order, conduct, and interpret
diagnostic and laboratory tests and prescribe pharmacologic agents and nonpharmacologic
therapies. They also serve as health care researchers, interdisciplinary consultants, and patient
advocates. In addition to diagnosing and managing acute and chronic illnesses, NPs emphasize
health promotion and disease prevention. Teaching and counseling individuals, families, and
groups are a major part of NP practice.2,3

235
Historical Profile of Graduate Education for Consumers demand health care services that are
personalized and incorporate health promotion education
Nurse Practitioners and curative care. These are areas in which NPs excel.
The first formal program for NP education was established Many NPs provide care to the disenfranchised, to the
in 1965. It was designed and implemented by Loretta Ford under- and uninsured. Were it not for those NPs who
and Henry Silver at the University of Colorado Medical continue to provide high-quality care to these most
Center. The goal of that program was to prepare pediatric vulnerable populations, many of this country’s citizens
nurses to assess and provide comprehensive health care for would be without even the most basic care. The more than
children, including emergency care and referral where 65,000 nurse practitioners can provide these services
appropriate.4 In subsequent years, more programs were within the cost constraints the health care system faces.
developed to prepare NPs in other disciplines, fueled by the
1977 Medicare amendment that allowed NPs to provide
primary care independently in underserved rural areas. Historical Profile of Nurse Practitioners in
There are 323 institutions with NP programs, having a Substance Abuse Education
total of 792 specialty tracks.5
The nursing profession’s receptivity is increasing for
Entry-level preparation for NP practice is a master’s culturally competent, gender- and age-sensitive, and cost-
degree. NP education provides theoretical knowledge in effective prevention and intervention/treatment programs
addition to clinical, technical, and ethical learning experi- for individuals affected by SUD. There is minimal formal
ences for the delivery of care and role development in training for NPs caring for clients with SUD. Traditional
advanced nursing practice. The development of profes- nursing programs do not always incorporate material on
sional and clinical expertise to provide comprehensive SUD in their standard curricula. Therefore, nursing faculty
primary care is the foundation of master’s programs must take the lead to identify and teach core competencies
preparing NPs.5 in substance abuse education to all NP students.
Following their formal education, NPs maintain a life- In 1983, a national survey was designed and imple-
long commitment to learning and professional development mented to determine the extent to which nursing schools
in the form of continuing education programs and skill- were meeting the needs of the nursing profession for
building seminars. This assures society that NPs acquire information on alcohol and other drug abuse.10 This survey
and maintain the theoretical knowledge and clinical skills focused on undergraduate education. The survey had the
appropriate for their scope of practice. following objectives:
■ To identify the clinical areas used for instruction on
Core Values and Paradigms Specific to Nurse alcohol and other drug abuse;

Practitioners ■ To determine the total number of required hours of

instruction devoted to alcohol and other drug abuse;
The health care system today is complex and continuously
advancing its technology. The NP brings the distinctiveness
■ To identify specific areas of information and skills
of nursing skill to the primary care setting. Knowledge in included in required curricula on alcohol and other
providing and coordinating patient care and identifying drug abuse; and
referral needs set the NP apart from other primary care ■ To identify the opportunities offered for elective courses
providers. The NP is the central provider in communicating on alcohol and other drug abuse.
information, providing care, and advocating for the patient The response rate to the survey was low (32% of
and the family. The NP is the single provider able to merge 1,053 schools of nursing). Therefore, the authors cautioned
the disciplines of medicine and nursing and demonstrates about generalizing the findings to all nursing schools. All of
that combination in a manner that is beneficial to patients the responding schools reported requiring at least some
and families. instruction in alcoholism or other drug abuse. To permit
The current focus in health care is how to contain comparisons across nursing schools with similar curriculum
costs while maintaining quality and access. For the objectives, the respondents were grouped into three
multitudes of people without insurance, cost containment categories based on whether the primary focus of the
is more a matter of affordability. Research conducted by the instruction was alcohol abuse or other drug abuse or both.
Office of Technology Assessment (OTA) in 1986 docu- The majority of the responding institutions (57%) reported
mented NPs’ effectiveness in delivering high-quality, cost- offering material on both alcohol and other drug abuse.
effective primary care.6 Multiple studies conducted in Twenty-eight percent provided material specific to alcohol-
subsequent years further supported the findings of the ism, and 20% provided material specific to other drugs.
OTA.7,8 The long-term nursing implications of NP practice A more recent study11 found that undergraduate
on patient adherence to therapy, total cost of care, and curricula typically offered 1 to 5 hours of required instruc-
reduced hospitalizations have been well documented.8,9 tion over 3 to 4 years of study. The content taught was

236 VA S Q U E Z A N D O N I E A L
primarily definition/description of the phenomena sur- tion within the community, particularly with high-risk,
rounding substance abuse disorders and the health underserved populations; and (9) methods for supporting
consequences of substance abuse. Students enrolling in rehabilitation. NNSA13 did not provide a recommendation
graduate programs (nurse practitioner education) had for content in SUD for NP specialties. During this time, the
minimal knowledge of and clinical experience in SUD. role of the NP in primary care was beginning to emerge.
These two studies clearly documented an urgent need to The basic NP education concentrates on primary health
develop a course or courses in SUD that could be incorpo- care. It provides little or no emphasis on evaluating and
rated at the graduate level. Moreover, nursing faculty treating clients with SUD.
continue to acknowledge and report that NPs, if adequately In 1997, the National Institute on Drug Abuse (NIDA)
trained, can make important contributions to the assess- and the National Institute on Alcohol Abuse and Alcohol-
ment and referral of individuals with SUD at the primary ism (NIAAA)15,16 supported the development of a model
care level. curriculum in substance abuse education for nursing. The
It was in the early 1990s that the urgency of substance New York University Division of Nursing prepared an
abuse education in schools of nursing was recognized and extensive and well-developed set of materials appropriate
addressed. Clients with SUD continued to be a major for use in nursing and other health care professional
health and social problem in America. It was well-known programs. This project was under the leadership of
that nurses were the largest segment of health care Madeline A. Naegle, Ph.D. A comprehensive substance
providers, yet nurses reported that their educational abuse education curriculum for both baccalaureate- and
experiences offered little to prepare them to care for clients master’s-level nursing education was developed. The
with SUD. According to Murphy,11 nurses commonly master’s-level modules cover nursing intervention in client
encountered clients with actual or potential SUD, but they populations, advanced practice in addictions nursing,
reported that they were not prepared to assess and alcohol and drug research, and management of impaired
intervene effectively. Moreover, during this period, no texts practice.
or compilations of readings offered a comprehensive Substance Abuse Education in Nursing, Volume III, is
graduate-level nursing foundation in addictive behav- particularly suited to the master’s-degree level.17,18 It covers
iors.11,12 the following topics:
Given the unmet need for substance abuse education ■ Group modalities in the care of clients with drug and
in schools of nursing, the National Nurses Society on alcohol problems
Addictions (NNSA) and the American Nurses Association
(ANA) defined the practice of addictions nursing as a
■ Patterns of addiction in the family
“specialized area of practice that used theories of biological, ■ Nursing strategies with alcohol and drug problems in
behavioral, and social sciences, as well as theories and the family
principles of nursing practice in the diagnosis and treat- ■ Research perspectives on alcohol and drug problems
ment of clients with SUD.”13 The nurse specialist studied ■ The role of the nurse on the interdisciplinary treatment
and completed a supervised practice at the graduate
team
(master’s or doctoral) level in a defined area of knowledge
and practice in a selected clinical area of nursing.13,14 This ■ Impaired professional practice
defined area included SUD. ■ Management issues
Nursing education in SUD was developed to educate ■ Perspective on drug and alcohol problems
the graduate nurse specialist or nurse practitioner. (In the ■ Nursing strategies with the client with alcohol and drug
early 1990s, “nurse specialist” was the term most often problems
used; today, the terms “nurse practitioner” and “nurse
specialist” are used interchangeably to include all ad- This volume presents the module description,
vanced-practice nurses.) The graduate curriculum in instructor’s guide, learner objectives, recommended
addictions nursing included the following knowledge and teaching strategies, and sample assignments and recom-
skill domains: (1) treatment modalities useful in the care of mended readings.18 It is an excellent model for integrating
clients with addiction; (2) patterns of addiction and content on SUD in graduate nursing curricula.
responses to addiction in family; (3) research perspectives Naegle18 recommends that all master’s degree or
on addictions problems and issues; (4) role of the nurse certified advanced-practice nurses possess the following
specialist on the interdisciplinary treatment team; (5) competencies:
management issues in dealing with impaired professional ■ Apply selected research-based interventions with
practice; (6) advanced pathology of addictive disorders; individuals, families, and groups for the prevention and
(7) management of addicted clients with dual disorders detection of addictive behaviors;
(for those nurses who were also seeking to be specialists in
mental health nursing); (8) strategies for primary preven-
■ Analyze pathophysiological and psychosocial processes
and consider the etiology of addiction;

NURSE PRACTITIONERS 237

■ Develop, apply, and evaluate research-based nursing Sheehan concluded that nurses should support the
interventions that are appropriate for individuals and development of a wide range of services related to SUD at
their families affected by alcohol or other drug abuse or the local and national levels. By virtue of their important
addiction; place within the community, nurses should be involved in
■ Identify appropriate strategies to assess and measure social change and should lobby for improved conditions
human responses to the abuse of, and addiction to, within their communities. Nurses must take the lead and
alcohol and other drugs; play a key role as skilled professionals and responsible
practitioners in mobilizing the community against sub-
■ Engage in interdisciplinary assessment, treatment, and stance abuse. More important, plans should be developed
evaluation of persons with acute and chronic addictive and implemented in all academic settings to educate all
conditions; and nurses in the area of substance abuse.
■ Influence the development and implementation of Sheehan made no specific recommendations for NPs.
health care policy as it relates to alcohol and other drug The NP role has become an integral part of primary care in
use. America. To this end, the NP role and its development in
This list of competencies was recommended in the the past century demands a redesign of the NP curriculum
1990s. It is difficult to ascertain the extent of implementa- in order to educate NPs as primary health care providers.
tion of this model curriculum in substance abuse education We need to develop, implement, and evaluate substance
for nursing and the recommended competencies for abuse curricula specifically designed for NPs who need to
master’s prepared nurses.19-21 A new and updated curricu- strengthen their knowledge and clinical skills in caring for
lum guide is needed to address the issues that encompass clients with these disorders. In the future, new roles will
SUD and the role of the role of the NP in primary care. emerge with a focus on substance use disorders and will be
In 1992, Sheehan22 described how nurses could recognized by all health care providers. One such role,
respond to the pandemic of substance abuse. This author currently being developed, is that of the NP working in
asserted that because of their close contact with the family-centered interventions in a family drug court.
community, nurses were vital in caring for individuals with During the past decade, nursing educators continued
SUD and in preventing addiction. Nurses should not to express their difficulties in keeping current with the
assume that only “specialist” nurses can deal with the latest health care issues and treatment of individuals with
effects of this problem. Nurses of all specialties come in SUD. This is a significant need for educating the next
contact with patients and family members dealing with generation of NPs. Critical issues were identified and
SUD. Sheehan22 recommended the following required substance abuse education for the nursing profession was
components for nurses (both specialist and generalist) who disseminated in various nursing journals.12,22-25 Nursing
deliver effective care, prevention, and education in the area leaders and educators discussed the need for substance
of substance abuse: abuse education in health studies curriculum, with a focus
■ Provider of Care: To care for those affected by substance on a core curriculum for graduate addictions nursing.12,13,26
abuse (role of the nonspecialist is limited to assessment, In 1992, the American Association of Colleges of
referral, and follow-up). Nursing developed a position statement for addressing
■ Counselor/Therapist: To focus on the needs of individu- nursing education’s agenda for the 21st century. The
als and their families and colleagues. position statement was based on the Federal report Healthy
People 2000, which recommended that faculty in schools
■ Educator/Resource Person: To teach and provide
of nursing re-examine the mission of education, research,
information on substance abuse to community groups,
and services for their particular institutions. Nursing leaders
schools, families, and individuals, as well as to nurses
in the education and practice arenas must work together to
and other professional/nonprofessional groups.
differentiate the roles and responsibilities of nurses in
■ Advocate: To lobby for change and improved care. practice. Graduate preparation (the M.S.N. degree) is the
■ Promoter of Health: To campaign for policy and entry level of advanced nursing practice. It may focus on
legislation to reduce the demand for abused drugs. primary health care, case management, specialization,
■ Researcher: To determine the most effective methods of education, or administration across health care settings.26
helping, caring, and preventing drug dependency. Addressing the need to revisit nursing curricula as
■ Supervisor/Leader: To guide nursing staff, nonprofes- related to SUD, Marcus and colleagues27 presented an
sionals, and students working with clients affected by educational model focusing on nursing competence with
SUD. substance-abusing clients. Their driving force in developing
this model was the critical need for nurses and nursing
■ Consultant: To be available to nurses and other faculty to be competent and to recognize and care for
professionals in this specialty area. clients with SUD. They proposed that developing faculty
expertise and enhancing nursing curricula would help

238 VA S Q U E Z A N D O N I E A L
develop important strategies for improving future practice. NP clinical competencies in substance abuse education
This, in return, would enhance nursing’s overall contribu- have been identified.29 These suggested competencies help
tion in the area of substance abuse. Moreover, carefully NPs assess and screen clients for SUD. Assessment and
planned collaborative links between education and practice screening include the health history, use of substance abuse
settings were critical to create a learning environment that screening instruments, physical examination, and labora-
fostered confident, responsible nursing practice. tory data. Identification of the signs and symptoms,
The preparation of the entry-level advanced profes- including behavioral characteristics of patients with SUD,
sional nurse now requires a greater orientation to commu- can lead to early detection, referral, treatment, and
nity-based primary health care and more emphasis on management of comorbidities that complicate many health
health promotion, maintenance, and cost-effective, problems.30,31
coordinated care that responds to the needs of increasing NPs use this information to develop their clinical
ethnic, minority, and underserved populations in all knowledge and expertise specific to SUD, when providing
settings. In terms of curricula, the processes and outcomes primary care. As NPs become more knowledgeable and
should be emphasized, coupled with the curricular content skilled in recognizing clients with SUD, they can encourage
in preparing nurses for meaningful roles in future health patients to address their addictive behaviors and avoid the
care systems. One example of this content would be in consequences of substance abuse. NPs are in an optimal
health promotion and the prevention of SUD. Including position to identify and assess individuals with SUD.31-33
substance abuse issues in the nursing curriculum would NPs can be advocates for ongoing comprehensive care for
promote the development of healthy lifestyles and the individuals with SUD. Moreover, NPs can play a major role
future health of the American people. in the efforts to eliminate disparities in health outcomes for
Another example in advanced-practice nursing the American people.
education is an NP program with a combined focus on In summary, NPs in primary care can expect a
psychiatric/mental health issues and addictions. This significant number of their patients to have SUD. Visits to
program is funded by Health Resources and Services primary care clinicians provide unparalleled opportunities
Administration/Division of Nursing and the Texas Com- to intervene with substance abuse problems at a relatively
mission on Alcohol and Drug Abuse (conversation with early stage. Office or clinic visits also give clinicians an
Principal Investigator M. T. Marcus, Ph.D., July 1999). The opportunity to discuss substance abuse prevention with
purpose of this program is to identify and assemble a patients and, in many cases, prevent problems from
faculty team with broad-based expertise in the area of developing.33 Therefore, all NPs must have appropriate
substance abuse and to design and implement a compre- knowledge and skills to effectively intervene with clients
hensive curriculum to prepare nurses for advanced practice affected by SUD.32-35
in psychiatric/mental health nursing with a focus on NPs provide primary health care in a variety of
addictions. The advanced- practice role in addictions settings. The NP has an opportunity to address substance
nursing is a developing concept growing out of identified abuse issues with his or her clients. State-of-the-art pro-
client needs, particularly within the public sector, the grams, such as the one cited are supported by HRSA and
courts, and the criminal justice system. the Texas Commission on Alcohol and Drug Abuse, are
The Treatment Improvement Protocols (TIPs) were needed to train NPs in substance abuse education so that
developed as “best practice” guidelines for the treatment of they may effectively intervene with clients who have these
individuals with SUD. These protocols are provided as a disorders.
service of the Substance Abuse and Mental Health Service
Administration’s Center for Substance Abuse Treatment
(SAMHSA/CSAT). CSAT’s Office of Evaluation, Scientific Faculty Development in Substance Abuse
Analysis and Synthesis drew on the experience and Education
knowledge of clinical research and administrative experts
NIAAA and NIDA have a long history of funding schools of
to produce the TIPs, which have been distributed to
nursing, medicine, and social work to enhance the
institutions and individuals across the country. These
development of faculty and health care curricula in
guidelines were developed by consensus panels of clini-
substance abuse education. These projects were part of a
cians, researchers, and educators who work in substance
national initiative to ensure that health care professionals
abuse prevention and treatment. The protocols are based
have basic knowledge and skills in screening, assessment,
partly on research evidence and partly on panel members’
and intervention, and appropriate use of referral systems for
clinical experience. TIPs offer an algorithm that follows a
clients with SUD.37 For example, a school of nursing
patient with SUD who presents in a primary care setting.
receiving these funds could create a faculty development
The algorithm serves as a guide or road map through
project to (1) develop a cadre of nursing faculty, representa-
screening, brief assessment, brief intervention, assessment,
tive of diverse clinical specialties, with the expertise
referral, specialized treatment, and follow-up care.28
necessary to deliver comprehensive services to prevent

NURSE PRACTITIONERS 239

substance use/abuse and to impart those skills to students In terms of educational issues, accreditation and
and other health care professionals; (2) establish collabora- certification examinations should contain questions on
tive links with community-based professionals to develop, SUD and develop a criterion for national accreditation of
implement, and evaluate culturally competent, age- and nurse practitioners programs. Other concerns include (1)
gender- sensitive prevention programs; and (3) disseminate lack of faculty development grants and other learning
empirically based instructional and prevention materials opportunities specific to training in SUD; (2) limits on
that could be used by others.36 Since NIAAA and NIDA faculty time and required content in NP programs (in order
were moved from the Alcohol, Drug and Mental Health to meet the criteria to sit for national certification); (3) lack
Administration (ADAMHA) to the National Institutes of of collaboration among the health care professions; and,
Health (NIH), however, funding for health professionals most important, (4) lack of interdisciplinary team training
training comes not from these organizations but from and building (clinical/research).
SAMHSA and the Health Resources and Services Adminis-
tration Bureau of Health Professions (HRSA/BHPr).
Core Competencies in Substance Abuse
Marcus37 describes a successful interdisciplinary team
model for developing faculty to deliver substance abuse Education
prevention programs in community-based organizations. NPs lack formal education and clinical experience in caring
The model was developed and implemented with a 3-year for clients with SUD. NPs must take the lead in primary
grant from SAMHSA’s Center for Substance Abuse Preven- and community health care with emphasis on SUD
tion (SAMHSA/CSAP). It combines faculty development, prevention and intervention. Both didactic and clinical
student involvement, community participation, and experiences should be developed to provide state-of-the-art
implementation of preventive interventions. One of its major instruction of substance abuse education. This education
goals is to improve nursing competence in substance abuse. should be provided to all NP specialties (e.g., neonatology,
This was accomplished by selecting five faculty fellows pediatrics, women’s health, obstetrics/gynecology, family/
who would establish collaborative links to the community adult, and gerontology). Moreover, awareness of cultural
and focus on the need for culturally sensitive alcohol, factors associated with SUD is critical to understanding
tobacco, and other drug abuse and abuse prevention. comprehensive prevention and treatment.
As a result of this effort, the development of under- It is critical to establish core competencies in sub-
graduate and graduate curricula specific to prevention stance abuse education. These competencies will help set
information was enhanced, and there was an increase in the standard of care for clients with SUD. Visits to primary
the number of substance abuse educational materials, as care clinicians provide unparalleled opportunities to
fellows generated manuals, workbooks, and other publica- intervene with clients who have these disorders. Office or
tions. Schools of nursing were seen as major resources in clinic visits also give clinicians an opportunity to discuss
designing prevention/intervention strategies in the local substance abuse prevention with patients and in many
communities. Marcus concluded that the success of the cases, prevent problems from developing.35 NP education
model hinges on true collaboration. The individuals should include knowledge, attitudes, and skills necessary to
identified in the community must participate as full intervene effectively with clients affected by SUD.
partners in all activities (i.e., attending educational sessions Several experts in the field of substance abuse have
and coauthoring presentations). Community associates are recommended the following core competencies for all
valued for their contributions to the academic enterprise health care providers:28,30,31 At minimum, every primary
and for teaching students. Faculty, in turn, gain an in-depth care provider should screen all patients using the CAGE
understanding of community needs. Students benefit from questions or other screens that are more appropriate for
such collaborations and, ultimately, the health professions particular populations. This should be part of the history-
are better prepared to implement prevention strategies. taking, physical examination, and laboratory data informa-
tion-gathering process. NPs are educated that they will be
life-long learners and that keeping up with the literature
Critical Issues, Obstacles, and Challenges will provide them the information needed to screen
Health care providers continue to have negative attitudes patients for SUD.33,34
toward individuals with SUD. This is further complicated
Minimal training needed by NPs to effectively inter-
by the inadequate training of NPs in substance abuse
vene with clients who have SUD include the following
education. Other issues that challenge NP practice are
knowledge and skill domains:
third-party reimbursement for NP services rendered,
including the screening, identification, and treatment of
Knowledge Competencies
individuals with SUD; regulation of practice; and prescrip-
tive authority. Therefore, resources are needed to help General Concepts
support the NP role within the health care system when ■ Common or standard definitions and diagnostic criteria
dealing with individuals with SUD. for SUD

240 VA S Q U E Z A N D O N I E A L
■ Epidemiology of SUD Vision for the Future
■ Relationship of SUD to the functioning of the family and Nursing faculty must continue to develop expertise in
community the area of SUD, which is essential for the education of
■ Risk and protective factors (for individuals and families) future NPs. Major curricular changes will be necessary to
give strength to the profession and prepare NPs to meet the
Prevention
challenges of current practice.2 Nursing leaders and faculty
■ Universal, selected, and indicated prevention strategies will continue to support and promote the development of
and their application at the individual, family, and substance use disorder curricula in NP education. This will
community levels give NPs the knowledge and skills necessary to identify and
■ Risk and protective factors, including familial and screen individuals with SUD. Another example for NP
sociocultural influences education is the development of continuing education
programs at the local, State, and national levels that will be
Alcohol and Other Drug Effects
critical to support and enhance training in the area of SUD.
■ Acute and chronic effects and health impact of sub-
Moreover, this would help further define and develop the
stance use
role of the NP in prevention, intervention, and treatment of
■ Pharmacology and behavioral effects of commonly individuals with these disorders.
abused substances
We strive to achieve new goals and excellence in
Evaluation and Management practice. Change is inevitable. Pursuit of excellence,
■ Treatment approaches, including outcomes, effective- especially in times of budget constraints, requires courage,
ness, and costs motivation, passion, fortitude, creativity, commitment,
energy, visionary thinking, and leadership. NPs must
■ Behavioral change, motivational enhancement, and
exercise their growing power to deliberately choose and
relapse-prevention strategies
create their collective futures.2,38 One example of creativity
■ Relationship and interaction of SUD and other medical is the NP’s (psychiatric/mental health and pediatric)
and psychiatric disorders (dual diagnosis) involvement in the court system. Court-involved families
■ Cultural context of substance use and impact of gender, are at high risk for health problems and fragmented health
culture, and ethnicity on intervention and treatment care. The NP’s participation in family court will help
eliminate disparities in health for court-involved families.
Legal and Ethical Aspects Resources are needed to support and enhance this role as
■ Informed consent, confidentiality, and protecting NPs direct their attention to the primary health care issues
clients’ rights affecting these families.
■ Rules and regulations governing controlled substances Laws and regulations for licensure and certification are
Health Professional Impairment needed to ensure that NPs provide quality health care,
■ Identification, management, reporting, and recovery for
including the identification of SUD.2 Content on SUD
NPs should be routinely included in proficiency examination/
certification for all NPs.
■ Resources available for impaired NPs
NPs must take the lead to seek Federal support to train
Skill Competencies NPs in substance abuse education. NPs must continue to
All NPs should be able to develop policies that increase resources for health care
providers and clients when addressing substance use
■ Recognize early signs and symptoms of SUD; disorder. Federal, State, and local initiatives should be
■ Screen effectively for SUD in the client or family; and coordinated to support nursing research in the area of SUD.
■ Intervene in a culturally sensitive and competent
manner to provide prevention, motivational enhance-
ment to assist the patient in moving toward a healthier
lifestyle, or referral for further evaluation or treatment.

NURSE PRACTITIONERS 241

 Recommendations
Education

1. Convene a conference to establish recommended training pertaining to

substance use disorders for primary care nurse practitioners. NPs of all
specialties should be taught core competencies in substance abuse educa-
tion to intervene effectively with clients affected by substance use disor-
ders. The nursing profession should take the lead in convening such a
meeting, which may be similar to the conference held in 1994 by the Macy
Foundation and chaired by David Lewis for the purpose of recommending
training about alcohol and substance abuse for primary care physicians.
Rationale. NPs are educated to provide comprehensive primary care. This education usually
does not include the knowledge needed to identify and treat individuals with SUD. Core
competencies are the foundation for all NPs to screen all individuals for SUD. Basic NP educa-
tion should include core competencies to screen for SUD.
Recommended Actions. Establish and incorporate core competencies in substance abuse
education for graduate nursing programs. Develop interdisciplinary educational experiences for
NPs and other health care providers. Establish collaborative links between academia and
community to focus on the critical need for sensitivity to cultural diversity when addressing
substance abuse prevention/intervention with all clients and their families.
Responsible Agents. Schools or colleges of nursing in collaboration with State boards of
nursing, nursing faculty and clinical preceptors, International Nurses Society on Addictions,
American Nurses Association, National League for Nursing, State boards of nursing, nursing
leaders in SUD, American Academy of Nursing-Expert Panel, American Academy of Nurse
Practitioners, Association for Medical Education and Research in Substance Abuse (AMERSA).
Expected Outcomes. NP programs will have integrated content on SUD into their teaching
curriculum. NPs will have the basic knowledge and skills to screen clients for SUD. NPs
representative of diverse cultures and clinical specialties will have the necessary skills to deliver
comprehensive services to prevent substance abuse and to provide intervention for populations
at risk for this disorder.

Faculty Development

2. Develop a cadre of nursing faculty with the expertise necessary to teach

and practice comprehensive health care to individuals with substance use
disorders.
Rationale. Nursing faculty have not been adequately trained to care for and prepare future
providers to care for clients with SUD. Nursing faculty should be given the opportunity to gain
the competence needed to address SUD by participating in development programs designed to
strengthen their knowledge and clinical skills in substance abuse education. Nursing faculty
must take the lead to develop adequate educational curriculum and credentials to prepare NPs
in this area.
Recommended Actions. Increase funding for nursing and interdisciplinary faculty develop-
ment programs in substance abuse education. This will improve the expertise and teaching skills
in nursing and clinical practice as it relates to SUD. Identify mentors to support and encourage
novice teams to obtain funding to establish faculty development programs at their respective
teaching institutions.

242 VA S Q U E Z A N D O N I E A L
 Responsible Agents. Schools or colleges of nursing, nursing faculty and community agencies
that provide services to individuals with SUD, substance use disorder leaders (multidisciplinary),
community agencies, International Nurses Society on Addictions, SAMHSA/CSAP, nursing
leaders in SUD, American Academy of Nursing-Expert Panel, AMERSA.
Expected Outcomes. NP faculty throughout the nation will develop expertise in substance
abuse education. Curriculum development in substance abuse education will be integrated into
all NP programs (clinical and didactic).

Professional Development

3. Require all NPs in private practice to obtain the knowledge and skills
needed to identify, treat, and refer individuals with substance use disorders
in the primary care setting.
Rationale. There is a great need to develop, implement, and evaluate professional education
programs to increase NPs’ knowledge, skills, and attitudes about SUD.
Recommended Actions. Provide educational programs for NPs to support their continued
lifelong learning specific to SUD. Offer continuing education programs for NPs in the core
competencies of substance abuse education. Establish mandatory requirements for all NPs to
obtain a minimum number of continuing education units (CEUs) in substance abuse education
every year. Offer CEUs at local, State, and national NP conferences specific to SUD.
Responsible Agents. Schools or colleges of nursing, nursing faculty and community agencies
that provide services to individuals with SUD, substance use disorder leaders (multidisciplinary);
American Nurses Association; specific nurse practitioner organizations such as the American
Academy of Nurse Practitioners, American College of Nurse Practitioners, National Certification
Board for Pediatric Nurse Practitioners and Nurses, National Organization of Nurse Practitioner
Faculties; the Association of Women’s Health, Obstetric and Neonatal Nurses, National Associa-
tion of Neonatal Nurses, AMERSA.
Expected Outcomes. Core competencies in substance abuse education will be established for
all NPs. Multiple opportunities will be available for NPs to obtain education in the core compe-
tencies or continuing education programs offered nationwide. All NPs will be competent to care
for clients with SUD.

Specialty Training

4. Develop resources to further develop and expand training for advance

practice nurses to care for court-involved children and parents with sub-
stance use disorders.
Rationale. One million cases of child abuse and neglect are filed each year in the United
States. Of these, 60% to 90% are attributed to a parent with a substance use disorder. Most
children from these families are placed in foster care. They represent one of the most at-risk
populations in America. Because of the 1997 Adoption and Safe Families Act, the fate of these
families will be decided within 12 to 13 months. In order to reunify, the parents must become
abstinent. This goal necessitates access to substance abuse, mental health, and primary care
treatment services. Advanced-practice nurses are uniquely qualified to provide and facilitate
access to these critical services.
Recommended Actions. Schools of nursing will create comprehensive master’s-degree
programs that teach the required knowledge and skill base to deliver primary care, as well as
motivational interviewing, relapse prevention, and family strengthening for court-involved
parents. Schools of nursing will expand the development of master’s programs in addictions/

NURSE PRACTITIONERS 243

 mental health nursing that prepare practitioners to address the complex needs of adults with a
dual diagnosis or a history of sexual abuse and family violence. Schools of nursing will develop
master’s programs that prepare advanced-practice pediatric nurse practitioners of identify and
treat developmental delays associated with prenatal drug exposure and child neglect.
Responsible Agents. HRSA/BHPr Division of Nursing, SAMHSA/CSAT, Office of National
Drug Control Policy, American Academy of Nurse Practitioners.
Expected Outcomes. The number of NPs trained to care for court-involved children and
their parents will be increased. Leaders/experts in the area of addictions/mental health nursing
will be developed. The role of NP within the criminal justice system, specifically the family court,
will be expanded.

Accreditation

5. Develop standards that NP programs must observe in order to obtain

national accreditation.
Rationale. Implementation of this recommendation will ensure that NP programs teach the
minimal core competencies to identify and treat individuals with SUD.
Actions Required. Agents granting accreditation to school of nursing programs should make
content in substance abuse education a requirement in NP graduate curricula/education.
Responsible Agents. State boards of nursing, National League for Nursing, American Nurses
Association, national organizations of NPs.
Expected Outcomes. Graduate programs will include content in substance abuse education
for their didactic and clinical experiences. NP students will become competent to care for
clients with SUD.

Certification

6. The national certification examination for NPs should contain items cover-
ing the knowledge and skills (core competencies) needs to identify indi-
viduals with substance use disorders.
Rationale. Implementation of this recommendation will help create a standard of care for NPs
providing health care to individuals with SUD and criteria to evaluate NP programs preparing
NPs in all specialties to sit for certification.
Actions Required. Complete the current revisions of the national certification examination
and ensure that the revised examination includes SUD. Make SUD curricula required in all NP
programs. Develop a curriculum that will prepare NP faculty and students as substance use
disorder generalists in clinical practice. Recruit faculty with substance use disorder expertise
from diverse cultural groups to demonstrate NP faculty commitment to foster cultural compe-
tence in teaching, practice, and research in the area of substance abuse.
Responsible Agents. Schools and colleges of nursing in collaboration with State boards of
nursing, American Academy of Nurse Practitioners, American College of Nurse Practitioners,
HRSA/BHPr, American Association of Nurses, National Organization of Nurse Practitioner
Faculties, American Nurses Credentialing Center, American Association of Colleges of Nursing.
Expected Outcomes. Standards of care and requirements for certification will support and
ensure that all nursing graduate programs address and teach SUD in their didactic and clinical
experiences and curricula.

244 VA S Q U E Z A N D O N I E A L
 Research

7. NPs must participate in collaborative practices with other health care

professionals and contribute to the development of research in the area of
substance use disorder prevention and intervention.
Rationale. The NP brings the distinctiveness of nursing knowledge and skill to the primary
care setting. Many NPs provide primary care to the disenfranchised and to under- or noninsured
patients. These opportunities make the NP a valuable player in the discovery of best practices in
primary care.
Recommended Actions. Seek and obtain Federal funding for substance use disorder research
(e.g., relapse prevention, brief treatment intervention, screening in primary care clinics).
Identify substance use disorder leaders and mentors for collaborative interdisciplinary research.
Make substance use disorder research a priority in health care funding.
Responsible Agents. Schools and colleges of nursing and substance use disorder nursing
leaders, American Academy of Nurse Practitioners, American College of Nurse Practitioners,
National Institutes of Health, AMERSA, SAMHSA/CSAT, National Organization of Nurse
Practitioner Faculties.
Expected Outcomes. The number of nurse researchers in the area of SUD will increase.
There will be increased interdisciplinary substance use disorder research as well as more
research that documents the importance of screening, intervention, and follow-up services in
the primary care area. The cost of care for individuals with SUD will be documented.

Reimbursement

8. The reimbursement for services provided to individuals with substance use

disorders should include properly prepared NPs. The expansion of NP
reimbursement should include substance use disorder screening, treat-
ment, and referral.
Rationale. Reimbursement for services has become increasingly important to employers of
NPs.38 Therefore, NPs must be reimbursed for all services provided, including the screening,
identification, and treatment of SUD.
Recommended Actions. NP clinical best practices must include the screening, treatment,
and referral of SUD.
Responsible Agents. Health maintenance organizations, insurance companies, Federal and
State government, Center for Medicare and Medicaid Services, consumers.
Expected Outcomes. Individuals with SUD will receive high-quality, cost-effective care. NPs
will obtain third-party reimbursement for services rendered to individuals with SUD. Substance
use disorder screening will be a standard of care that is driven by the need to provide compre-
hensive health care, not reimbursement issues. All organizations providing health insurance,
both public and private, will provide coverage for SUD.

NURSE PRACTITIONERS 245

References
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246 VA S Q U E Z A N D O N I E A L
 CHAPTER 6

Nursing Education in the Prevention

and Treatment of SUD
MADELINE A. NAEGLE, RN, PHD, FAAN
.

Introduction
While the abuse of alcohol was noted early on in Nightingale’ s writing on nursing care during
the Crimean War, it was not until the 1950s that nursing textbooks included content about
alcoholism and recommended nursing care of the late-stage sequelae of alcohol addiction.
A 1977 book by Estes and Heinemann was a primer for early nursing education on alcoholism.
In the last 50 years, education on abuse and addiction to alcohol and other drugs for practicing
nurses and nursing students has increased as a function of Federal support, actions by the
American Nurses Association (ANA), and the work of specialty nursing organizations and nurse
educators and clinicians who have contributed to the research and education literature. This
chapter describes efforts directed toward increasing the knowledge and skills of nurses at
associate, baccalaureate, and graduate- degree levels of practice and identifying values and core
competencies that have emerged as central to the delivery of high-quality nursing care to
individuals affected by substance use disorders (SUD) and their families.

Core Values and Paradigms practice standards within that framework. One aspect of
maintaining this contract is the development and oversight
Similar to other professions, nursing can be said to be of education in three domains:
owned by society in the sense that “a profession acquires
recognition, relevance, and even meaning in terms of its 1. Undergraduate nursing education for generalist
relationship to that society.”1 People seek nursing services practice;
in matters of health and illness. They seek information and 2. Continuing education programs in nursing for practic-
use nursing care to resolve health problems and manage ing professionals; and
health-promoting behaviors. Nurses help people identify 3. Graduate nursing education in the specialty of addiction
both short- and long- term health goals and advocate for and related specialties (e.g., psychiatric-mental health,
people dealing with obstacles to health care access.2 rehabilitation nursing).
Nursing is defined as the “diagnosis and treatment of
human responses to actual or potential health problems.”3 Updating knowledge and skills through continuing
This requires that nurses attend to a full range of human education, as well as through formal educational programs,
experiences without restriction to a problem-focused is essential to the competent practice of nurses at all levels.
orientation; integrate objective data with knowledge gained During the last decade, advances in the study of SUD have
from the patient’s subjective experience; apply scientific generated both scientific and clinical knowledge from
knowledge to the processes of diagnosis and treatment; and which to develop a nursing knowledge base. In addressing
provide a caring relationship that facilitates health and the need for nurses to develop expertise in relation to the
healing.4 Such basic premises (including the premise that prevention and treatment of SUD, the American Nurses
humans have the inherent capacity for change and Association in 1983 recommended that addictions nursing
actualization toward health) make the profession well be considered a specialty.5 In 1987, a coalition of the ANA,
suited to promote health in relation to SUD. Patterns of the Drug and Alcohol Nurses Association (DANA), and the
SUD result in biopsychosocial and spiritual changes that National Nurses Society on Addictions (NNSA) identified
may evolve into dysfunctional or disease states. central philosophical beliefs and described nursing strate-
gies and nursing roles in The Care of Clients with Addic-
The ANA and its collaborating associations recognize tions: Dimensions of Nursing Practice.5 This document
the nursing profession’s responsibility for maintaining, defined a structure for nursing interventions and laid the
strengthening, and articulating the professional contract groundwork for the development of standards for care
between nursing and society, and the association develops provision, including expectations for continuing education

247
on health problems related to SUD. To promote and Nurses practicing as generalists, that is, those prepared
support competent, high-quality nursing practice and with diplomas or associate or baccalaureate degrees, and
provide for the evaluation of nursing performance by nurses prepared at the graduate level as clinical specialists
patient outcome, these three organizations developed and nurse practitioners have the potential for significant
standards of addictions nursing practice in 1988.6 roles in the prevention, detection, and treatment of
patients with SUD and their families. It is well known that
the majority of individuals with significant SUD never
Descriptions of Work Settings receive treatment. Nurses, however, care for these patients
The large numbers of nurses employed in a wide range of in a variety of medical, surgical, emergency, occupational
settings underscore the potential for change in trends of health, and home care settings. If the prevalence of such
delivering health education and treatment to individuals disorders is to decrease, it is essential that nurse generalists
with SUD. As the largest group of health professionals, be able to identify patients and families with SUD, perform
nurses have the greatest sustained contact with the public. screening and early intervention, and refer them to
When appropriately educated, nurses have enormous appropriate providers. The specialty of addictions nursing is
potential to increase public access to services for SUD. As practiced independently by psychiatric-mental health and
of 1996, there were 2,115,815 million registered profes- addictions certified nurses. They practice in acute care
sional nurses in the United States. They were largely settings treating a range of SUD, in rehabilitation programs
employed in hospitals (60%). The remainder were em- for mentally ill persons with SUD, or in long-term treat-
ployed in nursing homes and extended care facilities (8%), ment facilities for SUD. A small number practice in
community/public health (13%), student health services therapeutic communities. The continuum of substance use,
(3%), occupational health (1%), ambulatory care (8%), or from use to dependence, and the range of settings in which
other settings (3%). Ninety percent of nurses were practic- nurses encounter persons in need of prevention and
ing at generalist levels, having attained diplomas or treatment parallel a continuum of educational needs for
associate or baccalaureate degrees.7 Data from surveys of nursing generalists and specialists.
nurses practicing in general medical settings8 and in the
specialty of psychiatric-mental health nursing indicate an
imbalance in education and clinical knowledge levels in the Historical Profile of Work in Substance Abuse
detection and treatment of SUD when compared with Education
educational content in other areas.9 With changes in health
Nursing education initiatives that focused on the care of
care delivery, advanced-practice nurses are assuming
patients with substance use disorders began in 1975 with
greater responsibility as primary providers of health care.
the organization of a nursing subgroup within the National
They function as primary care providers, case managers,
Council on Alcoholism. Participation in continuing medical
nurse psychotherapists, and nurse educators.
education programs prompted the group to identify the
As of 1999, there were 62,500 nurses certified as need for nurses to be better educated about treatment of
advanced-practice nurses in the United States. Of those for these disorders. Other specialty nursing organizations with
whom employment settings are known, approximately the primary goal of education have emerged since then,
7,800 (12%) are also prepared as nurse practitioners (NPs). including the National Consortium of Chemical Depen-
Among NPs, 11,520 (15%) work in general and specialty dency Nurses (NCCDN) and the California Association of
hospitals where a high prevalence of individuals with Nurses in Substance Abuse (CANSA). DANA, founded in
undiagnosed SUD are treated; 9,500 (15%) are employed 1979, merged with the NNSA early in the 1990s; CANSA
in home health; 1,046 (0.6%) work in nursing homes; has since merged with them as well. These combined
12,577 (19.5%) are educators; and 26.6% are nurses groups are now known as the International Nurses Society
employed in the specialty of psychiatric-mental health on Addictions (IntNSA).
nursing at the advanced-practice level.10 Psychiatric-mental
The Federal Government published two of the first
health nursing has traditionally incorporated education on
educational resources for nurses. A reference book for
SUD, although the specialty of addictions nursing includes
community health nurses on alcoholism prevalence and
nurses from all levels of preparation and who are members
detection, published in 1978,13 and an Alcohol Abuse
of various organizations. In regard to education on SUD,
Curriculum Guide for Nurse Practitioner Faculty was
psychiatric nurses who are members of the American
published in 1984.14
Psychiatric Nurses Association (APNA) self-reported that only
2% to 3% of them were members of addictions specialty These activities actually preceded research by nurse
organizations or possessed expert knowledge in this area of educators on the existence of and need for curricular
nursing practice.11 This observation suggests that little has content on SUD in schools of nursing. A 1987 survey of
changed since 1986, when 1,576 surveyed psychiatric nurses 1,035 diploma, associate, and baccalaureate programs of
reported that they had received negligible academic and nursing (36% response rate) by Hoffman and Heinemann15
clinical preparation for practice with clients who have SUD.12 revealed that undergraduate curricula offered an average of

248 NAEGLE
1 to 5 hours of instruction on SUD, usually combined with Polypharmacy and the Older Adult (1990),21 Opposition to
other content over the course of the 2- to 4-year curricu- Prosecution of Pregnant Women for Drug Abuse (1991),22
lum. Course content was primarily descriptive and and Abuse of Prescription Drugs (1991).23
included definitions and terms, with little emphasis on
assessment and intervention. Content and clinical experi-
ences were concentrated in the psychiatric nursing courses Continuing Education
and were not appropriately linked to nursing care along the Continuing education in nursing is considered a requisite
life span in courses such as maternal-infant nursing and to professional role performance and is so stated in the
medical-surgical nursing.15 A second survey of psychiatric- ANA Code for Nurses (Code of Ethics). Continuing
mental health nursing programs conducted in 1987 by education is currently mandated by State law for identified
Murphy and Hoeffer16 found that little content on SUD was topics, such as child abuse, infectious disease, and acquired
incorporated in the curriculum and that few programs immune deficiency syndrome (AIDS). During the 1980s
offered or considered developing a subspecialty in SUD. and early 1990s, continuing education occurred with
The amount of content on SUD was often insufficient and regularity on the effects of SUD on health and job perfor-
inconsistently taught, considering the scope of the problem mance and impaired nursing practice. These events were
in both the mental health and general health care sectors. often supported by faculty development programs (FDPs),
These findings underscored the need for changes in nursing employers, and nursing organizations. Several federally
education about SUD. funded FDPs developed community-based education for
Another indicator of the need to incorporate additional practicing nurses and the public, as well as programs
knowledge and skills into the curriculum was the lack of within their institutions.24-26 These initiatives raised the
knowledge among student nurses about substance use/ level of education of practicing nurses on substance use
abuse and its implications for their own substance use as issues and established links with community-based
well as for the provision of care to others. The work of organizations, which are rich resources for student
Haack et al.,17 Engs,18 and others indicated that nursing placement and the development of academic/community
students learn little about drugs of abuse, assessment, and linkages. Outcomes included greater facility among nurses
treatment of SUD, and underscored the need for health for counseling clients, making referrals, and integrating
professionals to be cognizant of their own vulnerabilities. new approaches to SUD in practice.
Restructuring of the health care delivery system has
had serious negative effects on resources for continuing
Educational Needs for Content on Substance education. Budget cutbacks have eliminated monies and
Use Disorders release time to attend conferences, and nursing depart-
ments have closed staff development programs. Specialty
Nursing education on SUD was catalyzed in the early
nursing organizations and State nurses’ associations are the
1980s by the growing visibility of nurses with problems
major sources of continuing education credits. Current
related to substance use who were practicing while
trends suggest new directions in continuing education for
cognitively and emotionally impaired. The national
nurses on substance use issues, including greater emphasis
importance of this problem prompted specialty nursing
on competency-based learning, increased research and
organizations and the ANA to address the inadequate level
greater acceptance of nicotine as a drug of dependence,
of nursing knowledge about SUD. The ANA convened
expansion of primary care roles to include care of addic-
representatives of specialty nursing organizations and State
tions and mental health problems, and greater options for
nurses’ associations to begin to document the “impaired
technologically assisted learning in the forms of distance
practice” issue and to develop policies to both protect the
learning, interactive computer programs, and online
public and promote rehabilitative opportunities for nurses.19
courses.
An ANA position statement (1982), supported by specialty
nursing organizations, defined the professional norm that
practitioners safeguard the public from practice by profes-
sionals impaired by substance use as well as supported the
Faculty Development
need for treatment, rehabilitation, and return to work for FDPs were established in 1989 by the Office of Substance
the nurse with these disorders.20 Subsequently, attention to Abuse Prevention (now the Center for Substance Abuse
the problem of impaired practice highlighted the lack of Prevention, or CSAP), the National Institute on Alcohol
formal organizational positions on the roles of nurses in Abuse and Alcoholism (NIAAA), and the National Institute
addressing SUD in the general public and emphasized the on Drug Abuse (NIDA). Eleven of these projects were
need to develop standards of nursing practice for problems ultimately supported by the Substance Abuse and Mental
related to the care of patients with SUD. Several policy Health Services Administration (SAMHSA). The programs
statements related to the care of patients with SUD were focused on the development of research, teaching, and
issued by the ANA during this period; they included clinical practice skills of academically based faculty derived
from an expanded substance use disorder knowledge base

NURSING 249
and including early prevention, screening and assessment, educational programs and guidelines, policy, and research
case management, and referral of patients with such in the area of SUD since the early 1970s. The ANA long
disorders.27 Grant funding supported the participation of maintained a liaison to the NIAAA and worked closely in
nursing faculty in teaching and training activities designed the early 1980s with the American Medical Association on
to deepen the faculty member’s knowledge base and education on SUD, as well as on issues related to impaired
expand his/her skill repertoire. The outcomes of these professional practice. In addition, nurses have consistently
projects were the development of training materials, contributed to the Center for Substance Abuse Prevention’s
independently initiated faculty research, and numerous (CSAP) Treatment Improvement Protocols (TIPs) and
publications. FDPs continued until 1995, when an Technical Assistance Publications (TAPs).
additional focus on building institution/community The two most recent and most successful interdiscipli-
linkages for the prevention of SUD was added. Examples of nary projects in which nurses have participated are the
these projects include Project SAEL,28 A Training Manual federally funded Addiction Training Centers, now known
for Nurses Using Brief Intervention for Alcohol Problems,29 as Addiction Technology Transfer Centers (ATTCs), and the
and Tools for Teaching Professional Impairment.30 CSAP-sponsored FDPs. The Addiction Training Center
Marcus28 identified the following eight critical ele- initiative began in 1993 with CSAT funding to 11 regional
ments for a successful FDP in substance abuse education: centers. Single State Agencies (SSAs) or institutions were
(1) a nucleus of faculty committed to change; (2) adoption funded to collaborate with colleges, universities, publicly
of an organizing framework; (3) selection of group and funded treatment providers, and government agencies in
individual experiences to facilitate faculty development; (4) the State to produce, increase, and improve curricula used
exposure to educational opportunities for ancillary faculty; to train professionals to better meet the needs of individu-
(5) involvement of professionals in the community to als with SUD. Criteria for funding stipulated that physi-
support and facilitate change; (6) dedicated space to house cians, nurses, social workers, and counselors participate in
new curriculum and provide project visibility; (7) design curriculum development, training, and evaluation of
and implementation of an evaluation plan; and (8) creation educational efforts. All funded training centers had nursing
of links to local, State, and national organizations working participants and provided an excellent forum for learning
toward desired change. The model curriculum projects and interdisciplinary collaboration. Subsequent rounds of
required the development of a plan for ongoing faculty funding have mandated different configurations with a shift
development within the funded institution. Project Nursing to ATTCs, which focus on the dissemination of research to
Education in Alcohol and Drug Abuse (NEADA) at the practice modalities and regional training and curricula
University of Connecticut proposed a model of faculty dissemination. The most recent organizational model for
development based on attitudinal change, skills training, these interdisciplinary projects is the tristate ATTC, which
and consensus building achieved through the processes of coordinates educational efforts within State regions. It is
establishing a working group of interested faculty; survey- described as an innovative program that links programs in
ing students and faculty to assess existing attitudes, SUD treatment with “best practice” and “best research.” A
knowledge, and skills; and organizing faculty workshops on national network of ATTCs provides communication links
concepts and trends.31 The program content was organized between the research community and treatment providers
into modules, including goals, objectives, and outcomes. and has created counselor competencies that can be used
The Ohio State model curriculum identified three educa- as a curriculum design document for core knowledge,
tional levels for faculty and staff development: (1) training skills, and attitudes key to education on substance abuse.
of trainers; (2) special skills education (training to conduct In the changing course of these initiatives, monies have
general awareness sessions and proficiencies in selected been available as stipends for students to attend courses in
areas); and (3) general awareness education (develop substance abuse, as well as for support of continuing
knowledge, attitudes, and skills about self and significant education, faculty development awards, and assessment of
others and professional nursing roles related to SUD in the learning needs by discipline.
health professions).32 These initiatives were recommended The CSAP-funded FDPs have furthered interdiscipli-
to be implemented as short-term learning activities nary collaboration in substance abuse education through
throughout the academic year and evaluated using the promotion of cross-program consultation, assistance
methodologies such as pre- and post-tests, surveys, and with program development and implementation, and the
planning and needs assessment questionnaires. use of the Association for Medical Education and Research
in Substance Abuse (AMERSA) as a forum for dissemina-
tion of faculty research, faculty-student special projects, and
Nursing Involvement in Interdisciplinary innovative approaches to curriculum development. The
Substance Abuse Education size and membership of AMERSA, as well as its commit-
Individual nurses and nursing organizations have worked ment to interdisciplinary work, have facilitated cross-
with other health disciplines in the development of disciplinary sharing of information, educational experi-
ences, and research findings.

250 NAEGLE
 Because many factors contribute to substance use and focused on populations, i.e., child-adolescent, adult
the development of SUD, interventions along the entire health, or psychiatric-mental health nursing. The two
health continuum are necessary. No one discipline is specialty resources that could provide clinical or
competent to perform in all settings and in the care of all academic faculty with this training are the IntNSA and
manifestations of SUD. Consequently, the interdisciplinary psychiatric-mental health nurses. The IntNSA has 800
team is the most effective structure within which to plan, to 900 members, and only about 26.6% of advanced-
implement, and evaluate comprehensive approaches to practice nurses are psychiatric-mental health nurses.10
care. At the same time, health care reform, more stringent Of those who are members of APNA, 2% to 3% indicate
requirements for productivity, and the achievement of adequate knowledge in the management of SUD.11 This
favorable patient outcomes in shorter time periods interact limited pool of “experts” suggests that education about
to restrain the use of interdisciplinary teams and limit the substance use and SUD in various populations and
education of health professional students and practitioners illness states cannot be achieved by specialists alone.
in the skills necessary for successful team function. A key Therefore, substance abuse education must be inte-
step in delineating health professional roles within the team grated into undergraduate and graduate curricula as
is education about overlapping knowledge and skills shared well as into continuing education programs. Self-
by most disciplines and knowledge and skills that are directed learning programs should be encouraged as the
discipline-specific to teaching, patient care, and research in optimal teaching modality to support emerging ad-
the field of substance abuse. Participation in both the vanced-practice roles and evidence-based practice
ATTCs and FDPs can provide significant learning across derived from reviews of research.
disciplines and about the philosophies, education, and 3. A related problem is the limited pool of professional
expertise of members of other disciplines. An excellent nurses generally. While the current estimate of 2.5
model for a team approach to substance abuse education million nurses in the U.S. seems adequate, nursing
for health professionals is the Geriatric Education Center. shortages are projected to occur over the next decade.
These federally funded training centers provide support for Decreased numbers of registered nurses are entering
collaborative networks among and between educational practice as a result of lower enrollments in undergradu-
institutions, care delivery centers, and community-based ate and graduate nursing education.33 The current
organizations. Such collaboration functions to increase population of nurses is aging, and difficult working
knowledge, skills, and discipline-appropriate competencies conditions are contributing to high attrition. Lack of
as well as skills for interdisciplinary teamwork in geriatric financial support for specialty and advanced- practice
nursing, geriatric medicine, social work, and psychology. areas contributes to the low number of nurses seeking
advanced degrees.33 These data suggest that the pool of
nurses to be educated about SUD will not grow
Critical Issues, Challenges, and Obstacles significantly but will continue among many competing
Critical Issues demands in all areas of practice. A critical issue facing
Six critical issues emerge in relation to substance abuse nursing regarding education in these areas will be how
education and achievement of minimum competencies by to increase competencies among practicing nurses and
professional nurses for optimal care of individuals with raise standards of patient care in relation to SUD.
SUD. These issues are derived from overriding concerns 4. The lack of consensus on the priorities most central to
about nursing and nursing education generally. They the advancement of the profession remains a critical
include the following: issue when considering areas for continuing education
1. The changes in nursing education required to build and the development of nursing curricula. While
knowledge and skills related to this area are deterred by substance abuse and its health implications relate to
the lack of knowledge and negative attitudes about more than half of the top-10 U.S. 2010 health indica-
substance use among health professionals.9 While tors,34 acknowledgment of the centrality of these issues
progress has been made in changing attitudes, negative by the profession is not widespread. As in other health
expectations for recovery from SUD persist among the professional schools, fierce competition exists in schools
lay public and health professionals. of nursing for specialty education, as well as for
education on new models of practice, which results in
2. There are insufficient numbers of practicing nurses, an overloaded and sometimes uneven curriculum.
nurse researchers, and nurse educators with sound Negative attitudes about individuals with SUD also
knowledge and skills to teach current students and deter receptivity to learning about these disorders.
practitioners core knowledge and skill competencies in
substance use/abuse education. Nurse educators are 5. Limited training funds and limited access to educational
not equally knowledgeable about all specialty areas and monies for nurses who might pursue psychiatric-mental
are employed to teach in courses that are traditionally health nursing or an addictions subspecialty concentra-
tion at the master’s degree level continue to negatively

NURSING 251
 impact enrollment in appropriate areas. The negative tials in relation to substance abuse and will not hire
aspects of health care reform in the form of decreased nurses in other than generalist positions. This places
capitation and the downsizing of institutions, and limits on the career of advanced-practice nurses,
subsequently, their resources, have decreased job particularly substance abuse specialists, in many States.
benefits for nurses. These changes are evident in the
absence or decrease in tuition reimbursement, de- Obstacles
creased numbers of on-site continuing education The primary obstacles to substance abuse education for
programs, and limited stipends and release time to nurses are as follows:
attend continuing education and formal courses related
1. Stigma and negative attitudes toward individuals with
to certification and other credentialing. These condi-
substance abuse disorders. Nurses and other health
tions pose critical issues for the profession generally and
professionals continue to hold negative stereotypical
have negative ramifications for substance abuse
views of persons with SUD, and these attitudes are
education.
communicated to students and patients and their
6. The need for a broad base of knowledge on prevention families.
and treatment of substance use and related health
2. An insufficient number of nurses and nurse educators
problems among all nurses is the most desirable goal for
knowledgeable about SUD is available to teach practitio-
the profession. Identifying competencies for basic
ners and educators about substance use problems.
practice, promoting competency-based approaches to
achieve them, and evaluating knowledge and skills in
basic credentialing would advance this effort exponen- Early Efforts Toward a Consensus on
tially. Since the majority of SUD occur in other than
mental health populations, nurses practicing in all Competencies
specialties must effectively screen for SUD, offer early The trend toward developing competencies for substance
intervention, and make referrals to facilitate care. abuse education was strengthened in 1989, when 21
nursing organizations were convened in the first of three
Challenges consortia meetings sponsored by the Federal government
The challenges of accomplishing minimal competencies in on substance abuse education that focused on the entire
substance abuse education for nurses include the following: health continuum, from prevention to treatment and
rehabilitation. The outcome of these meetings was the
1. There is a need to create a favorable environment and
National Action Plan for the Education of Registered
supportive responses to interdisciplinary models of
Nurses and Nursing Students about Alcohol and Other
substance abuse education, research, and approaches to
Drug Abuse.35 Within this plan, substance abuse-related
care delivery. Interdisciplinary training is rare in
issues and necessary actions were identified for nursing
educational institutions due to competition for re-
education and nursing practice in the prevention and
sources and other reasons. Mechanisms need to be
treatment of SUD, including the need for the development
established wherein cost responsibilities, allocation of
of strategies for care delivery that recognize ethnic/racial
personnel, and institutional overhead can be equitably
characteristics and treatment needs particular to popula-
distributed.
tions served.
2. The creation of an intradisciplinary coalition in support
Issues in these three domains were specifically
of basic abuse education for all practicing nurses is
addressed by the 1989 and 1990 Consortia of Nursing
essential. Within nursing, different organizational
Organizations, convened by the Department of Health and
entities establish standards for education and practice.
Human Services (DHHS) Division of Nursing. These
Coalitions of these groups are essential for moving
consortia were convened in an effort to implement the U.S.
educational agendas.
Public Heath Service Plan to Reduce the Demand for Illicit
3. The competition for preparation to provide reimburs- Drugs (May 1989). Their recommendations included the
able services is a driving force behind advanced-practice following:
education and credentialing. Increasingly, nurses are
1. Development of a minimum knowledge and skill set
becoming aware of professional and financial autonomy
from which nurses can treat alcohol, tobacco, and other
as essential to professionalism and recognition as
drug problems of abuse and dependence;
professionals. Federal and State legislative changes that
support reimbursement for nursing services will 2. Development of curricular models with teaching
increase nurses’ interest in the substance abuse outcomes that are minimum knowledge and skill sets
specialty. for nursing students at all levels of preparation;
4. Student interest in this subspecialty is presently limited 3. Development of curricular content on the vulnerability
by the few financial incentives for concentration in this of nurses and other health professionals to problems of
area. Many agencies do not recognize nursing creden- abuse and addiction;

252 NAEGLE
4. Inclusion of curricular content and information on 3. Nursing diagnosis and, for NPs, medical diagnosis of
professional and other resources for appropriate referral SUD and techniques;
of clients/families and colleagues in need of interven- 4. Prevention, early intervention, and motivational
tion and treatment for an alcohol/drug related problem; approaches;
5. Development of continuing education opportunities 5. Nursing care of acute- and long- term conditions co-
that provide relevant information on the attitudes/ occurring or subsequent to substance intoxication,
values, knowledge, and skills essential to the delivery of withdrawal, abuse, and/or dependence;
nursing care at standards established for professional
nursing and related professions and regulatory out- 6. Case management, program planning, and implementa-
comes; tion;

6. Initiatives to increase the alcohol and other drug 7. Team leadership, collaboration, and administration; and
knowledge base, clinical skills, and teaching strategies 8. Administration and monitoring of medications and, for
of nursing faculty members teaching core courses in NPs, prescription medications.
basic curricula as well as specialty courses in addictions These efforts established greater professional consensus
and mental health; and provided a framework for the critical core competencies,
7. Integration of all available knowledge on cultural which later evolved from model curricula and standard
sensitivity into curricula, including related research; and development for the specialty of addictions nursing.
8. Evaluation of learning through State board examinations,
development of continuing education, and reevaluation Development of Core Competencies in
of certification examinations.
Educators, clinicians, and nursing organizations have
Substance Abuse Education
increasingly recognized the need to strengthen curricular Steps toward standardized educational approaches emerged
offerings in the area of SUD. In May 1995, the School of when, subsequent to the three consortia meetings, NIAAA,
Nursing of the University of Maryland convened nurse NIDA, and Office for Substance Abuse Prevention (OSAP)
educators and expert clinicians in addictions to consider funded the development of three model curricula for
the specialty of addictions nursing, core competencies, role undergraduate and graduate education related to substance
functions, and directions for the future. A summary of use and related health problems. These programs, the
knowledge and skill requirements identified by this group curricula of two of which were published, incorporated
for the specialist addictions nurse included the following didactic and experiential curricular outcomes that most
points: closely approach the optimal competencies for undergradu-
ate and graduate nursing education in this area. The three
1. Nursing and other theories related to the
funded curricular projects were University of Connecticut
biopsychosocial nature of alcohol, tobacco, and other
(Project NEADA),31,32 the Ohio State University School of
drug abuse and addiction.
Nursing (An Addictions Curriculum for Nurses and Other
2. Theories underlying prevention, intervention, and Helping Professionals), and the Division of Nursing, New
treatment approaches to individuals, families, and York University (Project SAEN).36 These three schools were
groups at risk for, or manifesting, substance-related funded for the development, dissemination, and evaluation
problems. of model curricula. Within all three curricula, education for
3. Theoretical frameworks addressing cultural variability in development of competencies for undergraduates of basic
populations, “special population” status, and interdisci- associate or baccalaureate programs and for graduate
plinary team organizational structure and function. students in all specialties were addressed in learning
4. Basic science knowledge related to the social, psycho- modules. The undergraduate modules addressed the
logical, and biophysical aspects of abuse and addiction. theoretical and practical dimensions for interventions by
nurse generalists with clients who have SUD. Graduate
5. Theories underlying program development and commu- modules addressed particular role functions appropriate to
nity/provider partnerships. nurses in leadership positions, providers of direct care in a
They further identified the need for competencies in range of settings, and theory and intervention related to
clinical skills that included identification, prevention, intervention, treatment, and
1. Use of a range of treatment modalities, including family recovery.
therapy, counseling, cognitive-behavioral therapies,
relapse prevention, psychoeducation, and psychophar- Core Competencies for Generalist Nurse Graduates
macologic treatment; A synthesis of the following competencies could be
2. Assessment for all phases of substance use, using considered minimum for substance use/abuse knowledge
standardized instruments; and skills for undergraduate students:

NURSING 253
1. Education of all clients about the drugs of abuse and 8. Influence the development and implementation of
implications of use for health; health care policy as it relates to alcohol and other drug
2. Awareness of personal attitudes and values about use.36
alcohol and other drug use; The domain of graduate education includes the
3. Assessment of signs and symptoms of abuse and opportunity for study within the specialty of addictions as
dependence, as well as the disease concept; an independent specialty or a subspecialty of psychiatric-
mental health nursing. In 1989, standards for the specialty
4. Screening for SUD and evaluation of their severity; of addictions nursing were developed and published in an
5. Nursing care of acute illness states precipitated by ANA-NNSA book, Standards of Addictions Nursing
alcohol, tobacco, or other drug use; Practice with Selected Diagnoses and Criteria. Core
6. Knowledge of treatment modalities; competencies for addictions nursing practice are detailed in
this volume
7. Health promotion and health maintenance strategies
for the prevention of drug use;
8. Participation in drug-related research through problem Certification and Recertification
identification and data collection; Certification of nurses’ knowledge on prevention, assess-
9. Formulation of nursing diagnoses of states of health ment, and treatment, including nursing care, is indicated
and illness related to substance use and dependence; by the successful completion of one of three national
10. Derivation of nursing strategies from nursing diag- examinations. The American Nurses Credentialing Center’s
noses; (ANCC) examination for the baccalaureate-prepared nurse
specializing in psychiatric mental health and IntSA Society
11. Demonstrated understanding of ethical and legal certification as a Certified Addictions Registered Nurse
issues, including impaired nursing practice; and (CARN) are for nurses prepared at basic education levels;
12. Awareness of one’s personal use of alcohol and drugs, ANCC for the baccalaureate level, and IntSA for diploma,
as well as patterns of use by clients, peers, and associate and baccalaureate levels. The ANCC examination
coworkers. stipulates 1600 supervised clinical hours for 24 of the last
48 months as a requirement for the examination; questions
Core Competencies for Graduate Students in All related to the care of SUD are included with questions on
Specialties psychiatric nursing. The CARN examination requires 4000
All master’s degree-prepared or certified advanced-practice hours of nursing experience within the 5 years prior to
nurses should be able to sitting for the examination. In the fall of 2000, both ANCC
and IntSA introduced new examinations for nurses
1. Apply selected research-based interventions with
prepared at the master’s degree level. In addition to the
individuals, families, and groups for the prevention and
previously offered ANCC Psychiatric-Mental Health
detection of addictive behaviors;
Clinical Nurse Specialist examination, ANCC offers an
2. Analyze pathophysiological and psychosocial processes examination for nurses prepared as psychiatric nurse
and consider the etiology of addictions; practitioners. Both require completion of a master’s or post-
3. Identify appropriate strategies to assess and measure an master’s degree program at an accredited school or
individual’s responses to the abuse of, and addiction to, university and 500 supervised clinical hours while in the
alcohol and other drugs; program or following its completion.37 Required compo-
nents of this preparation are education in medical as well
4. Develop appropriate research-based interventions for
as nursing diagnosis and management, medication prescrib-
the management of clinical responses in individuals and
ing and management, and direct care provision. The IntSA
families to the abuse of and addiction to alcohol and
advanced-practice certification title, Certified Addictions
other drugs;
Registered Nurse-Advanced Practice, is achieved on
5. Apply selected research-based nursing interventions successful completion of an examination for which a
appropriate to the management of clinical problems of master’s degree and 500 supervised direct client contact
abuse and addiction to alcohol and other drugs; hours in advanced practice addictions/psychiatric mental
6. Evaluate the effectiveness of research-based nursing health nursing are required.38 Recertification is available
interventions with individuals and families appropriate from both organizations through continuing education after
to the management of abuse and addiction to alcohol 4 years for CARN certification and after 5 years for ANCC
and other drugs; certification.
7. Engage in interdisciplinary assessment, treatment, and
evaluation of persons with acute and chronic addictive
conditions; and

254 NAEGLE
Vision for the Future National Council Licensure Examination-RN (N-CLEX)
administered to graduates of nursing programs seeking
Optimal outcomes for nursing education on any SUD registered nurse licensure. Another mechanism would be
would be achievement of minimal competencies for all the inclusion of standardized questions in certification
generalist practitioners of nursing and all nurse educators. exams for all primary care nurse practitioners and nurse
This would be greatly facilitated by incorporation of midwives as well as for psychiatric nurse clinical specialists
curriculum components on assessment and treatment of and nurse practitioners and nurses specializing in addic-
SUD in all accredited undergraduate and graduate cur- tions nursing. These efforts would be greatly enhanced by
ricula, an outcome long sought by specialists in this area. interdisciplinary initiatives to educate faculty and nursing
Standard approaches to measurement of knowledge and colleagues. The interdisciplinary model of learning is the
skill competencies would provide outcomes by which to best replication of the realistic pooling of the resources of
evaluate the extent of saturation of such education into the several disciplines that results in maximum patient care
nursing community. The desired evaluative mechanism outcomes.
would be clinical examinations as well as the standardized

NURSING 255
 Recommendations
Core Competencies

1. Obtain a consensus on competencies desired for all nurses at the generalist

and specialist levels in relation to substance use issues and disorders.
Rationale. Competency-based learning is now being incorporated into undergraduate, practi-
tioner, and clinical nurse specialist educational programs. Standard expectations for competen-
cies will articulate better with approaches to learning used across disciplines and can be more
readily linked to desired evidence-based outcomes.
Recommended Actions. Refine and publicize competencies, including those for evidence-
based intervention strategies.
Responsible Agents. Strategic Planning Advisory Committee (SPAC) nursing members, the
AACN, the National Academy of Nurse Practitioners, and the National Academy of Certified
Nurse Midwives (NACNM).
Expected Outcomes. Nursing competencies in the care of SUD occurring in individuals,
families, and communities will be comparable to nursing competencies in the care of other
illnesses and diseases. Competencies should include evidence-based strategies, be measurable,
and be leveled according to educational preparation. Nurse educators will obtain knowledge
sufficient to demonstrate and evaluate student competencies in this area.

2. Standardize evidence-based core competencies for the care of clients/

patients, families, groups, and communities for generalist baccalaureate
and master’s-prepared nurses in all specialties.
Rationale. Competencies have been identified, as have nursing diagnoses and nursing out-
comes, to include SUD related to nursing interventions.
Recommended Actions. Core competencies have been identified but have not been univer-
sally accepted by several nursing organizations and educators. Sufficient knowledge and skill
outcomes have been identified but need to be consolidated and refined. All need to be reviewed
for research supporting their effectiveness.
Responsible Agents. American Association of Colleges of Nursing, American Academy of
Nurse Practitioners, American College of Nurse Midwives, and nurse educators.
Expected Outcomes. Expanded inclusion of content on SUD in nursing curricula. Core
competencies for addictions nursing specialties should be standardized and disseminated to all
nursing programs and schools, as well as specialty nursing organizations.

3. Disseminate core competencies and appropriate roles to colleges of nurs-

ing and relevant nursing organizations. Disseminate standards of addictions
nursing to nursing programs and agencies that employ generalist and
specialist nurses in the care of individuals with SUD.
Rationale. Role functions and core competencies have been described by major nursing
organizations. Until these are widely disseminated and implemented, role expectations and job
performance will be inconsistent, resulting in varying levels of quality of patient care. If a
consensus can be achieved on specialty role knowledge and skill bases, the specialty can be

256 NAEGLE
 solidified and patient care outcomes will be more consistent. Educational preparation can then
be more standardized, increasing the effectiveness of nursing interventions. Research on
interventions will be facilitated by these changes.
Recommended Actions. Contact representatives of the NNSA, the ANA, the APNA, and the
NCCDN to explore dissemination of materials and potential action to achieve a consensus.
Responsible Agents. Nursing organizations and addictions specialty nursing organizations.
Expected Outcomes. Greater uniformity in addictions nursing specialty education and
practice.

4. Identify or develop nursing models of prevention and care of patients with

SUD.
Rationale. Current resources for the care of patients with SUD are framed in the medical
model and require modification for nursing approaches. Framing knowledge and skills in
nursing models will facilitate learner and educator readiness to integrate this material into
nursing curricula.39 A curricular model for teaching about nursing and substance use responses
was proposed in 1996 by Marcus and colleagues. It describes a humanistic-behaviorist model
that advocates close links between content and theory provision and “contextual reality,” that
is, the use of realistic settings for practice and learning. Collaborative links to clinical settings
provide opportunities for the learner to experience clinical problems in a variety of settings.25
Recommended Actions. Solicit peer-reviewed journal articles demonstrating how current
substance use/abuse knowledge articulates with nursing theories, as well as basic and other
social sciences. Develop and disseminate specific nursing approaches to patient care.
Resources. Nursing journals that focus on the use and development of nursing theory, as well
as applied research.
Responsible Agents. Nurse educators and specialists in addictions nursing.
Expected Outcomes. Integration of substance use knowledge and skills into all nursing
science courses.

Faculty Development

5. Reexamine and modify faculty development initiatives and seek Federal

institute support to produce a greater impact on professional education.
Rationale. FDPs had some positive outcomes but a limited scope of influence in developing
faculty expertise across the 110 nursing schools throughout America. While fellows were visible
and active in substance abuse education during their fellowships, few have remained visible as
contributors to the nursing literature or have secured major research funding.
Recommended Actions. Reevaluate the faculty development process with the goals of
creating stronger incentives for scope of activity (academic and financial), developing stronger
links between experts practicing in nursing and the faculty fellows through a mentoring process,
and including specialty nursing organizations in AMERSA in an effort to consolidate a critical
mass of practitioners and educators.
Responsible Agents. AMERSA/Health Resources and Services Administration/Bureau of
Health Professions (HRSA/BHPr) project participants, AMERSA, NNSA, and NCCDN; Federal
agencies such as NIDA, NIAAA, HRSA/BHPr.
Expected Outcomes. Greater visibility of educational opportunities within the specialty.

NURSING 257
 Certification and Recertification

6. Revise certification of the clinical specialist with addictions expertise

through the American Nurses Credentialing Center to conform to the new
modular approach to certification currently being developed by ANCC. The
modular approach allows a nurse with a basic specialty certification to
demonstrate knowledge on another body of specialty information, i.e., a
nurse certified in adult health would add the addictions certification by
successfully completing that modular examination.
Rationale. A modular approach would permit more accurate and comprehensive evaluation of
knowledge concentrated in the substance use/abuse field while also allowing nurses with
specialty education other than psychiatric-mental health to become certified in the area of
addictions treatment. An examination to test graduate-level education in the specialty of
addictions nursing has been developed by the NNSA and was implemented for the first time in
2000. Credentialing at the graduate level would create a cadre of experts with designated
competencies and standard didactic and experiential educational experiences. It defines the
individual nurse’s accomplishments and adds prestige as well as national recognition.
Credentialing is now a differentiating factor in the marketplace for other specialties. Supporting
its broader use helps determine the nurse’s eligibility for selected addictions nursing positions,
salary differentials, and definable standards of performance.
Recommended Actions. Representative members of the APNA and the IntSA should work
with the ANCC to disseminate information on credentials available and requirements for
achieving them. These organizations should continue to work with the ANA Governmental
Affairs division to obtain recognition through reimbursement for advanced-practice nurses
providing care to individuals with SUD.
Responsible Agents. Representatives of professional organizations.
Expected Outcomes. Wider recognition by other health professionals, consumers, and third-
party payers of nurses’ knowledge and skills in caring for individuals, families, and groups with
SUD. Delineation of nursing knowledge and skills in relation to SUD at basic and specialist
levels.

Continuing Education

7. Direct continuing education on substance use, abuse, and dependence to

the learning needs of generalist nurses as well as nurses in all specialties.
Rationale. Approximately 80% of persons with SUD are never treated for them yet seek
treatment for co-occurring illnesses or those secondary to SUD.31 The learning experiences on
identification, screening, and early intervention, including motivational interviewing, and
referral have been demonstrated to improve clinical nursing skills.24,26
Recommended Actions. Make current learning resources available to all specialty nursing
organizations and State nurses’ associations.
Responsible Agents. SPAC members; governing boards of State nurses’ associations and of
specialty nursing organizations.
Expected Outcomes. Dissemination of information about available resources communicates
both the expectation and the feasibility of achieving levels of minimum competence among
practicing nurses in the prevention and treatment of SUD. The availability or organized re-
sources facilitates the planning of continuing education offerings.

258 NAEGLE
 8. Develop institution-based, online, and distance learning courses on SUD
content appropriate to undergraduate nursing science course concentra-
tions.
Rationale. Nursing knowledge on the prevention and treatment of SUD will continue to be
concentrated among a small number of nurse educators and clinical experts. Use of online
courses and distance learning allows nurses around the country to access educational experi-
ences, communicate with mentors, and be evaluated for competencies and knowledge.
Recommended Actions. Identify institutions with the personnel and necessary resources to
achieve this goal, supply resources, and disseminate publicity.
Responsible Agents. SPAC; faculty fellows and mentors.
Expected Outcomes. Increased use of learning resources by primary care providers and
nurses employed in generalist settings as well as drug and alcohol treatment facilities.

NURSING 259
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 CHAPTER 7

Recommendations for Implementing Effective

Substance Abuse Education in Pharmacy Practice
ERNEST J. DOLE, PHARMD, PHC, FASHP, BCPS, CDE
ANTHONY TOMMASELLO, PHD

Introduction
The public has long held the pharmaceutical profession in high esteem, and pharmacists are
among the most accessible health care providers.1 The profession of pharmacy has a covenant
with society regarding safe and appropriate medication use. The pharmacist’s knowledge base
encompasses the pharmacology, pharmacokinetics, pharmacodynamics, toxicology, mechanism
of action, adverse effects, and interaction potential of pharmaceutical agents. Pharmacists
integrate that information to improve patient care. Pharmacy has evolved from a profession
based on medication dispensing to one that encompasses direct patient care. This move was
facilitated by a new mission of pharmacy known as “pharmaceutical care.”2,3 Pharmaceutical
care has been defined as “the direct, responsible provision of medication-related care for the
purpose of achieving definite outcomes that improve a patient’s quality of life. The principal
elements of pharmaceutical care are that care is directly provided to the patient, it is provided to
produce definite outcomes, these outcomes are intended to improve the patient’s quality of life,
and the provider (pharmacist) accepts personal responsibility for the outcomes.”4

Broad Description of Pharmacists and of methadone and other agents in the treatment of patients
with opioid dependence. Pharmacists are in a unique
Their Work Settings position to assess and manage the pharmacotherapy of
As of June 30, 1999, there were 331,212 licensed persons with SUD and comorbid conditions; for example,
pharmacists in the United States.5 Of these, 60% worked in they can assist in devising plans for pain management in
a community pharmacy, 23% in a hospital pharmacy, 3% in persons with drug abuse disorders. They are well qualified
manufacturing or wholesale, 2% in teaching or government to consider the implications of medication interactions.
capacities, and 12% in other settings.6 In addition, many This includes interactions between drugs of abuse, agents
pharmacists collaborate with physicians to provide disease used in substance abuse treatment, and other prescription
management in settings such as anticoagulation, asthma, or as well as over-the-counter medications. They are trained to
lipid clinics, as well as other disease management clinics.7 obtain detailed medication histories from patients and to
Consultant pharmacists provide patient services in long- help them adhere to their treatment regimens. As more
term care facilities. therapies are developed to treat SUD, pharmacists are well
Pharmacists possess a unique knowledge base that positioned to bring these new approaches to the front line
provides them with specialized tools to render patient care safely and effectively.
and prevent medication errors. Medication errors in the Pharmacists create and deliver educational programs
United States cost the health care system more than $76 for health professionals and patients about pharmacology,
billion annually.8 Pharmacists are essential in providing a pharmacodynamics, and pharmacokinetics, as well as about
safe medication delivery system.9 For every dollar invested drug toxicity and adverse drug reactions (ADRs) and drug
in clinical pharmacy practice there has been an associated interactions. As part of an interdisciplinary team that is
reduction in drug costs.10 treating individuals with substance abuse disorders,
With respect to substance use disorders (SUD), pharmacists have a unique perspective. They also can
pharmacists are often the health care providers with the utilize their specialized knowledge base to improve the
best knowledge of and insight into the regulatory aspects of pharmaceutical care of hospice, palliative care, or chronic
substance abuse treatment, especially in regard to the use pain patients.

263
Historical Profile of Work in SUD pharmacy students themselves are abusing substances and
the perception that a majority of them believe that they
The Drug Enforcement Administration (DEA) has deter- need a working knowledge of SUD, only 50% of the AACP
mined that pharmacists play a “pivotal role [in the preven- guidelines on substance abuse education have been
tion and education of SUD] because it is the pharmacist implemented in the majority of colleges and schools of
who dispenses the prescription medication to the patient. pharmacy in the United States.14,15
Consequently, patient health and proper drug usage depend
upon concerned and interested professionals [such as Some pharmacy programs are doing a good job in
pharmacists].” The DEA notes that pharmacists have a substance abuse curricular development; however, on a
responsibility for proper medication use.11 nationwide basis, training is not uniform. Some schools
require a comprehensive program; others have an elective
Despite this agency’s recognition of pharmacy’s substance abuse education program. Still others have none
important role in education about and prevention of SUD, at all. Some programs require minimum competencies in
the pharmacist’s ready accessibility as a health care the area of substance abuse; others do not. There have
provider, and the growing recognition of the pharmacist as been few Federal programs to help establish programs for
an essential member of the health care team, pharmacy has the pharmacy profession in substance abuse education.
yet to fully participate in any Federal initiative for faculty or
curricular development in substance abuse education.9,11 Postgraduate training opportunities in substance abuse
Faculty and curricular development in this area have for pharmacists are virtually nonexistent. As of June 30,
proved beneficial in other professions, such as medicine 1999, there were 460 American Society of Health-System
and nursing; pharmacy should follow their lead in bridging Pharmacists (ASHP)-accredited residences; these include
the gap in substance abuse education for practicing both general pharmacy practice and specialty residencies..
pharmacists. There is no Federal mandate regarding the The number of residency graduates for that year was 852
education of the pharmacist in SUD. In addition, no (602 in pharmacy practice residencies and 250 in specialty
systematic, professionwide approach has been undertaken residencies).16 As of 2000, the number of ASHP-accredited
in pharmacy, as has been done in other health care residency training programs was expected to top 480, and
professions, to determine the core competencies in the number of graduates was anticipated to exceed 900.
substance abuse education needed by pharmacists. There is Nine of the 460 ASHP-accredited residencies in 1999 were
no systematic substance abuse education in pharmacy devoted to psychiatry, but not a single residency was
school curricula on the national level; thus, no formal devoted fully to advanced training in the area of substance
training in substance abuse education is universally abuse.16 The American College of Clinical Pharmacy
required for pharmacists. (ACCP) 2000 Directory of Residencies and Fellowships lists
433 pharmacy postgraduate programs, of which 320 are
The absence of educational opportunities applies both residencies, 105 are fellowships, and 8 are combined
at the undergraduate and graduate levels of pharmacy residency and fellowship programs.17 In the ACCP list of
education. There are 82 colleges and schools of pharmacy residencies and fellowships, there is one residency in pain
in the United States. In 1998, they awarded 4,768 management, eight residencies in psychiatry, and five
bachelor of science in pharmacy degrees, 2,632 doctor of fellowships and two residency/fellowships in psychiatry.
pharmacy (Pharm.D.) degrees, 421 master of science in There are no federally funded programs to support ad-
pharmacy degrees, and 411 doctor of philosophy in vanced training of pharmacists in this area.
pharmacy degrees.12 In 1991, the American Association of
Colleges of Pharmacy (AACP) published curricular guide-
lines for pharmacy in substance abuse education.13 Three Critical Issues, Obstacles, and Challenges
years later, a survey of implementation of these recommen-
The major challenges facing the pharmacy profession with
dations revealed that only 50% of the curricular guidelines
respect to expansion of training opportunities in substance
suggested by AACP had been adopted by 82% of the
abuse education are as follows:
responding colleges, and that in 94% of the responding
colleges, only half of those colleges’ substance abuse Complex pathophysiology of substance abuse. The
content in their curricula corresponded to the content pathophysiology of substance abuse is complex and
outlined in the AACP guidelines.14 incompletely understood. The concept of substance abuse
Pharmacy students themselves feel a need for training as a disease is not unanimously accepted by the pharmacy
in substance abuse. In a recently published study, more profession. In order to understand the proper place of a
than 60% of students reported that they believed they medication in a disease state, however, the pathophysiology
would need a working knowledge of SUD in their profes- of that disease must be known.
sional practice.15 Despite the knowledge that some

264 DOLE AND TOMMASELLO

Lack of education of pharmacy faculty and students primary providers who are authorized to bill for the
about pharmacology, pharmacodynamics, pharma- provision of counseling or cognitive services. Relatively
cokinetics, toxicology, ADRs, and drug-drug little income is earned from counseling patients; moreover,
interactions in persons with SUD. The medications such activity may be time-consuming and reduce the
used to treat the disease of substance abuse are complex. amount of time the pharmacist can spend dispensing
The recommended curriculum needed to teach these medication.
subjects to pharmacy students has been incompletely
implemented. No funding mechanisms in the public or Needs assessment of substance abuse education in
private sector have been developed to address this gap in colleges and schools of pharmacy. Too little is known
substance abuse education for pharmacy faculty and their about the pharmacy profession’s training in SUD and
students. pharmacists’ attitudes toward SUD and their skill in
providing services to patients with SUD. A framework
An already-overloaded pharmacy curriculum. As needs to be developed to begin to identify and teach core
schools and colleges of pharmacy move toward the now- competencies in substance abuse education for the
mandated entry-level Pharm.D. degree, they face the profession.
dilemma of teaching more complex material in a more
integrated, multidisciplinary fashion and in a shorter Absence of an infrastructure for substance abuse
amount of time. Because of this, teaching about many education for pharmacy faculty and students.
therapeutic areas has been condensed. Any proposals to Within the AACP there exists a Special Interest Group
include more material on substance abuse in an already- (SIG) on Substance Abuse Education and Assistance.
overloaded curriculum may be met with resistance by Members of this group are primarily in academic settings;
pharmacy faculty. they are not community pharmacists. Given adequate
resources, the SIG could implement a national program of
Bias against individuals with SUD. Few diseases carry residency training and curriculum change. The support
the stigma, prejudice, and misinformation that SUD do. needed would have to be sufficient to attract the attention
Education is the key to overcoming such bias. Implementa- of deans and curriculum committees across the country.
tion of substance abuse education in the pharmacy
curriculum has had limited success. In addition, resources would have to be allocated to
develop an infrastructure to support the curricular and
Lack of pharmacy faculty research in SUD. Research research goals in SUD throughout the profession, not just
is vital to advancing substance abuse education at colleges within the academic environment. When colleges and
and schools of pharmacy. Few members of the pharmacy schools of pharmacy take seriously their mission to educate
profession are currently engaged in such research. and train their students about the social and clinical issues
of SUD, courses will be offered, core content will be
Need for postgraduate training opportunities. An required, and graduates will acquire and be able to exercise
infrastructure to support the initial training and further their knowledge and skill in this area.
development of pharmacy practitioners and researchers in
SUD needs to be created. There are no residency programs Lack of means for information dissemination to
designed to achieve these objectives, and there is only one pharmacy practitioners. An infrastructure for dissemi-
federally funded fellowship for pharmacists in SUD nation of information for academicians exists in the AACP’s
Substance Abuse Education and Assistance SIG; however,
Patient expectations. Pharmacists have long been this system needs to be strengthened. No professionwide
perceived as professionals who dispense medication. infrastructure exists to disseminate information on SUD to
Although pharmacists are required to counsel patients pharmacists in various settings nationwide.
before dispensing any medication, few patients expect their
pharmacists to educate them on SUD.
Pharmacists’ level of confidence in discussing SUD
Core Competencies
with patients. Many pharmacists do not feel confident Given the scope of the substance abuse problem in our
discussing SUD with their patients; in many cases, this is society and the lack of substance abuse education reported
because they lack not only the knowledge but also the by pharmacy faculty and students, a national mandate is
communication tools to do so. There are no national needed to define the core competencies in substance abuse
programs available to train pharmacists in the communica- education for the profession of pharmacy. Federally funded
tion techniques needed to discuss SUD issues with their initiatives are needed to develop core competencies for the
patients. profession and to integrate these competencies into the
standard teaching curricula of all colleges and schools of
Lack of reimbursement. Pharmacies derive most of pharmacy throughout the United States. The following core
their income from dispensing medications. Pharmacists competencies are proposed for the profession of pharmacy:
have only recently been recognized in some States as

PHARMACY 265
Knowledge ■ Assist in the development of pharmacotherapy options
Pharmacists should have a knowledge of for drug detoxification protocols used by health care
providers; and
■ Pharmacology, pharmacokinetics, pharmacodynamics,
toxicology, mechanism of drug action, drug–drug ■ Be aware of the different types of treatment modalities,
interactions, and the adverse reactions between alcohol, their expected outcomes, and their cost-effectiveness.
tobacco, and common drugs of abuse and agents used
in the pharmacotherapy of SUD; and Public Health Awareness
■ The pathophysiology of chemical dependence and the Pharmacists should be able to
theories of addiction, including the biological basis of ■ Participate effectively in public discourse on the
addiction and the social, environmental, and genetic implications of policies related to illicit drugs, substance
risk factors that contribute to its expression. abuse prevention, and the treatment of chemical
dependence; and
Clinical Skills ■ Describe the potential ramifications of changes in the
In the area of assessment, intervention, and referral, illicit drug market on the clinical manifestations and
pharmacists should have the ability to nature of substance abuse and chemical dependence in
■ Assist in the early identification of individuals with SUD the community.
by using standard screening instruments;
Attitudes
■ Develop and deploy culturally sensitive assessments for
individuals with SUD; Pharmacists should be able to
■ Intervene effectively with these patients by using Brief
■ Approach and treat substance abuse and addiction as
Motivational Interviewing (BMI) and other intervention any other chronic disease; and
strategies; ■ Approach and treat substance abuse and addiction
■ Create a list of substance abuse treatment resources in without personal bias and judgment of the patient.
their communities, including the responsible contact
person for each program or provider; Vision for the Future
■ Refer individuals affected by SUD for appropriate Pharmacists should be actively involved in reducing
evaluation and work-up; and substance abuse. They have a unique perspective from which
■ Participate in multidisciplinary efforts to intervene and to counsel patients and other health care providers about
care for clients and colleagues recovering from SUD. alcohol and illicit drugs as well as medications. Given this
position, pharmacists should develop the skills needed to
In the area of treatment, pharmacists should be able to
assume a greater role in substance abuse prevention,
■ Provide recommendations for the appropriate use of education, and treatment in organized health care settings
mood-altering substances in individuals recovering from and in the community. The profession needs to conduct a
SUD to health care providers and the public; critical analysis of the knowledge base of pharmacists in
■ Instruct drug abuse counselors and other health substance abuse education. A comprehensive, systematic
professionals working in drug treatment programs on approach should be undertaken to define the core competen-
the pharmacology, pharmacodynamics, pharmacokinet- cies needed by pharmacists in substance abuse education.
ics, toxicology, adverse drug reactions, drug–drug Once defined, these core competencies need to be incorpo-
interactions, and mechanisms of action of abused rated into the professional education of pharmacy students.
substances and of medications used for to treat SUD; An infrastructure needs to be developed to disseminate
■ Provide information about support group meetings (e.g., the core competencies to pharmacists in all practice environ-
Alcoholics Anonymous, Narcotics Anonymous) ments. Increased resources also should be dedicated to
appropriate to the needs of individuals whose lives are building an infrastructure that will foster the development of
affected by SUD; specialized pharmacy faculty and pharmacy curricular
■ Provide pharmaceutical care to patients treated for SUD; content in substance use disorder-related topics. Pharma-
cists should be made aware of and take advantage of BMI
training programs. Pharmacists should assume a greater
leadership role in conducting research in the field of SUD.

266 DOLE AND TOMMASELLO

 Recommendations
Needs Assessment for Curricular Reform

1. Resources are required to assess substance abuse education in the nation’s

schools and colleges of pharmacy in order to determine the need for
curriculum reform in this area.
Rationale. The only survey on substance abuse education content in colleges and schools of
pharmacy was published in 1994. Since that time, new concepts of the disease process of
substance use have emerged, as have new therapies. A new survey needs to be done to
determine what progress schools and colleges have made implementing curricula in substance
abuse education and what level of training exists in each school.
Recommended Actions. The American Association of Colleges of Pharmacy (AACP), the
American Council on Pharmaceutical Education (ACPE), and Federal government should fund a
national survey of substance abuse education in schools and colleges of pharmacy in the United
States. Funding should be sufficient to conduct the needs assessment, analyze the results, and
disseminate the findings to all 82 schools and colleges of pharmacy. The survey could be
modeled after that conducted by Baldwin and colleagues.14
Responsible Agents. AACP, ACPE, Health Resources and Services Administration/Bureau of
Health Professions (HRSA/BHPr).
Expected Outcomes. The profession will possess current data on the breadth and depth of
substance abuse education in colleges and schools of pharmacy in the United States. These data
would be the basis on which to introduce curriculum reform in substance abuse education for
pharmacy professionals.

Core Competencies in Substance Abuse Education

2. Resources are needed to create a process for developing a consensus on

the core competencies in substance abuse education for the pharmacy
profession.
Rationale. Information on the psychosocial and treatment aspects of substance abuse is not
part of academic programs at many colleges and schools of pharmacy. The addition of these
subjects will enrich the education of pharmacy faculty and students. The colleges can accom-
plish this through their own curriculum committees. With guidance from recommendations set
forth by the AACP, as well as the core competencies suggested in this chapter, substance abuse
education should become a routine component of the education and training of pharmacists.
Recommended Actions. Colleges and schools of pharmacy and the profession of pharmacy
should devote resources to develop a consensus on core competencies in substance abuse
education and decide how best to integrate these competencies into the curriculum of each
college and school of pharmacy in the United States. To accomplish this task, a joint venture
should be launched by pharmacy’s professional organizations, i.e., ASHP, the American Pharma-
ceutical Association (APhA), ACCP, AACP, ACPE, and the National Association of Boards of
Pharmacy (NABP), to survey their members on the core competencies in substance abuse
education for the entire profession.
Responsible Agents. ASHP, APhA, ACCP, AACP, ACPE, NABP, colleges and schools of
pharmacy, and Federal agencies that support substance abuse education for health professionals.

PHARMACY 267
 Expected Outcomes. Within 3 years, schools and colleges of pharmacy will have a list of core
competencies in substance abuse education, as well as a plan for integrating these competencies
into their curricula.

Faculty Development in Substance Abuse Education

3. Resources are needed to train at least two faculty members at every school
or college of pharmacy in substance abuse education. These designated
faculty will be responsible for integrating the core competencies in sub-
stance abuse education into the standard curriculum at each school.
Rationale. Curricular guidelines in substance abuse education by the AACP have not been
implemented on a national basis in colleges and schools of pharmacy, at least in part because of
the lack of faculty members trained in substance abuse education
Recommended Actions. Federal and private funding should be allocated to train pharmacy
faculty members interested in substance abuse education. Identified faculty members should
also be encouraged to participate in national organizations, such as the Association for Medical
Education and Research in Substance Abuse (AMERSA), that promote substance abuse educa-
tion for health professionals.
Responsible Agents. AACP, ACPE, NABP, AMERSA, the pharmaceutical industry.
Expected Outcomes. Two pharmacy faculty members at each of the Nation’s schools and
colleges of pharmacy will be trained in substance abuse education, and will be responsible for
integrating the core competencies in the standard pharmacy curriculum

Infrastructure for Faculty Development in Substance Abuse Education

4. Allocate resources to develop and maintain an infrastructure that will

ensure continued faculty development in substance abuse education.
Rationale. Colleges and schools of pharmacy experience faculty turnover. A mechanism needs
to be designed and implemented to ensure continued faculty development in substance abuse
education. The pharmacy profession should make the education of pharmacy faculty in sub-
stance abuse education a top priority and work to provide educational opportunities for faculty
in this area.
Recommended Actions. Colleges and schools of pharmacy should recruit faculty who can
teach core competencies in substance abuse education and encourage research programs in the
treatment and prevention of SUD.
Responsible Agents. Colleges and schools of pharmacy, AACP (both the Council of Deans
and Faculties and the Substance Abuse Education and Assistance Special Interest Group),
Federal agencies interested in substance abuse education.
Expected Outcomes. Within 5 years, 10%–20% of the pharmacy faculty will have attained
the identified core competencies in substance abuse education.

268 DOLE AND TOMMASELLO

 Continuing Education in Substance Use Disorders for Practicing
Pharmacists

5. Develop continuing education (CE) programs in substance use disorders for

practicing pharmacists.
Rationale. Few disease states carry as much stigma and misunderstanding as SUD. The
majority of pharmacists lack adequate education in SUD. CE programs can provide substance
abuse education to practicing pharmacists. Increasing the number of CE programs in substance
abuse education would provide pharmacists the opportunity to increase their knowledge and
skills and make them better able to intervene with patients affected by these disorders.18 As
more pharmacists become educated on the subject of SUD, the stigma, prejudice, and misunder-
standing that surround substance abuse disorders will decrease.
Recommended Actions. National pharmacy organizations should make CE programs in
substance abuse education a top priority. For-profit CE organizations should increase the number
of CE programs in substance abuse education for practicing pharmacists. Pharmaceutical
companies should recruit more speakers who are able to give industry-sponsored programs that
focus on SUD. State boards of pharmacy should mandate that a certain number of CE units be
obtained in substance abuse education.
Responsible Agents. ASHP, APhA, AACP, ACCP, NABP, pharmaceutical companies, and for-
profit CE organizations.
Expected Outcomes. Within 5 years, 15% of CE content offered to practicing pharmacists
should be devoted to substance abuse education.

Accreditation and Certification

6. An infrastructure is needed to inform accrediting, certifying, and licensing

bodies for the profession of pharmacy of the need for curricular changes in
substance abuse education.
Rationale. Accrediting bodies can drive curricular change by mandating that schools and
colleges of pharmacy include a required amount of substance abuse education material in their
curriculum. Licensing and certifying bodies can drive curricular change by assigning a certain
portion of board examination questions to SUD.
Recommended Actions. Resources should be dedicated to developing an infrastructure for
disseminating information on substance abuse education to the accrediting bodies, ACPE,
AACP, and individual State boards of pharmacy. The infrastructure should include the Substance
Abuse Education and Prevention SIG of AACP, APhA, ASHP, ACCP, NABP, and other profes-
sional pharmacy organizations. The profession’s academic and professional organizations should
use their existing infrastructures to disseminate information on substance abuse education via
print and electronic media. This information should include data from the curricular needs
assessment and a professionwide needs assessment on substance abuse education issues. The
national licensing examination for pharmacists should contain questions on SUD.
Responsible Agents. AACP, ACPE, ASHP, APhA, ACCP, NABP.
Expected Outcomes. Schools and colleges of pharmacy will be motivated to implement
curricular change in SUD and students will acquire the needed knowledge and skills in this area.

PHARMACY 269
 Pharmacists Impaired by Substance Abuse

7. Efforts must be made to assist pharmacists and pharmacy students who are
impaired by substance abuse.
Rationale. It has been estimated that one out of eight pharmacists or pharmacy students will
have a substance use disorder at some time in his or her life.19, 20 It has been reported that 62%
of pharmacy students use controlled substances for nonmedical reasons, 41% of pharmacy
students use controlled substances on a regular basis, 23% of pharmacy students have more
than five drinks per an occasion, and 38% of pharmacy students report a family history of
substance abuse.20 Pharmacy students’ attitudes towards drug abuse may grow more conserva-
tive and repressive as the students move through the curriculum 21 Substance abuse is consid-
ered to be an occupational hazard for health professionals, and accessibility to and knowledge
about drugs appear to be risk factors for substance abuse in health professionals 22 ASHP and
APhA have issued position statements regarding pharmacy’s role and responsibility in educating
and providing assistance to those with SUD and in preventing the development of these
disorders. 23,24 AACP has recently published revised guidelines for policies and procedures for
students and faculty of colleges and schools of pharmacy with SUD.25
Recommended Actions. A mechanism should be in place to assist in the early identification
of individuals in the pharmacy profession with SUD. Additionally, a mechanism needs to be in
place to refer the individuals affected by SUD for appropriate evaluation and treatment. Phar-
macy should participate in multidisciplinary efforts to intervene with and care for individuals
recovering from SUD and support and encourage the recovery of all health professionals affected
by SUD. This may include (1) retaining employees with SUD or being willing to hire them; (2)
participating in monitoring and reporting programs of recovery or disciplinary contracts; (3)
maintaining an environment of supportive recovery; (4) establishing behavioral standards and
norms that discourage the abuse of mood-altering substances, including alcohol, among all
employees; and (5) participating in peer assistance programs.
Responsible Agents. ASHP, APhA, ACCP, AACP, other professional organizations.
Expected Outcomes. By supporting those pharmacists affected by SUD, pharmacy will aid in
their recovery and preserve their contributions to the profession. In addition, those in recovery
could act as models for those in the profession who are still actively abusing substances or who
continue to suffer with untreated chemical dependence.

270 DOLE AND TOMMASELLO

References
1. Gallup News Service. 1997. Honesty and ethics poll: Pharma- 15. Murawski MM, Juergens JP. Analysis of longitudinal pharmacy
cists strengthen their position as the most highly rated occupa- student alcohol and drug use survey data. Am J Pharm Educ.
tion. Gallup Organization Poll Releases. Princeton, NJ; Decem- 2001;65:20-29.
ber 13 16. American Society of Health-Systems Pharmacists. 2000 ASHP
2. Hepler CD, Strand LM. Opportunities and responsibilities in Residency Directory. Bethesda, Md.: ASHP; 1999.
pharmaceutical care. Am J Hosp Pharm. 1990;47:533-543. 17. American College of Clinical Pharmacy: 2000 Directory of Resi-
3. Hepler CD. Pharmacy as a clinical profession. Am J Hosp Pharm. dencies and Fellowships. Kansas City, Mo.: American College
1985;42:1298-1306. of Clinical Pharmacy; 2000.
4. American Society of Health-System Pharmacists. ASHP posi- 18. Graham A, Pfeifer J, Trumble J, et al. A pilot project: continuing
tion statement on pharmaceutical care. Am J Hosp Pharm. education for pharmacists on substance abuse prevention. Subst
1993;50:1720-1723. Abuse. 1999;20:33-43.
5. National Association of Boards of Pharmacy. Survey of Phar- 19. Bissell L, Haberman PW, Williams RL. Pharmacists recovering
macy Law. Park Ridge, Ill.: National Association of Boards of from alcohol and other addictions: an interview study. Am
Pharmacy; 2000: 86-87. Pharm. 1989;29:391-42.
6. National Wholesale Druggists Association. The 1999 NWDA 20. 20. McAuliffe WE, Santangelo SL, Gingras J, et al. Use and
Profile and Healthcare Factbook. Reston, Va.: National Whole- abuse of controlled substances by pharmacists and pharmacy
sale Druggists Association; 1999; 81. students. Am J Hosp Pharm. 1987;44:311-317
7. Carmichael J, O’Connell M, Devine B, et al. Collaborative drug 21. Miederhoff P, Allen DH, McCreary GJ, et al. A study of phar-
therapy management by pharmacists. Pharmacotherapy. macy students’ attitudes towards drug abuse. Am J Pharm Educ.
1997;17:1050-1061. 1977;42:129-131.
8. Johnson JA, Bootman JL. Drug-related morbidity and mortality. 22. Trinkoff A, Stoor CL, Wall MP, et al. Prescription-type drug
A cost of illness model. Arch Intern Med. 1995;155:1949-956. misuse and workplace access among nurses. J Addict Dis.
9. Kohn LT, ed. To Err Is Human: Building a Safer Health System. 1999;18:9-17.
Washington, DC: National Academy Press; 2000. 23. American Pharmaceutical Association. Official Policy of the
10. Bond CA, Raehl C, Franke T. Clinical pharmacy services, phar- American Pharmaceutical Association. Subject: Impaired Phar-
macist staffing, and drug costs in United States hospitals. Phar- macists. Washington, DC: American Pharmaceutical Associa-
macotherapy. 1999;9:1354-1362. tion; 1982.
11. Constantine T. Drug Enforcement Administration Pharmacists 24. American Society of Health-Systems Pharmacists. ASHP state-
Manual. Washington, DC: US Department of Justice; 1995. ment on the pharmacist’s role in substance abuse prevention,
education, and assistance. Am J Health-Syst Pharm.
12. American Pharmaceutical Association. 1998 American Phar- 1998;55:1721-1724.
maceutical Association Profile of Pharmacy Students. Washing-
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tion of Colleges of Pharmacy Guidelines for the development
13. Baldwin JN, Light KE, Stock C, et al. Curricular guidelines for of psychoactive substance use disorder policies for colleges of
pharmacy education: substance abuse and addictive disease. pharmacy. Am J Pharm Educ. 1999;63:28S-34S.
Am J Pharm Educ. 1991;55:311-316.
14. Baldwin JN, Dole EJ, Levine PJ, et al. Survey of pharmacy sub-
stance abuse course content. Am J Pharm Educ. 1994;58:47S-
52S.

PHARMACY 271
 CHAPTER 8

Improving Physician Assistant Education and Practice

in SUD and Policy Recommendations on
Substance Abuse Education for Physician Assistants
CATHERINE R. JUDD, MS, PA-C
RODERICK HOOKER, PHD, PA
PERRI MORGAN, MS, PA-C

Introduction
Physician assistants (PAs) are health care providers licensed to practice medicine with physician
supervision. The scope of a PA’s practice corresponds to that of the supervising physician and
varies according to his or her training, experience, and State law. PAs provide services ranging
from primary care to specialized surgical care. With the supervision of a physician, PAs record
medical histories, perform physical examinations, diagnose and treat illnesses, order and
interpret tests, and initiate referrals. Physician assistants are trained to provide patient educa-
tion, counseling, and preventive interventions on a range of health issues, including acute and
chronic diseases, normal growth and development, and common psychosocial problems.
Depending on their practice setting, PAs may perform clinical tasks such as applying splints and
casts, suturing, and assisting in surgery. In 46 States and the District of Columbia, PAs can write
prescriptions, but laws vary regarding the classes of medications PAs can prescribe. Although the
clinical practice of physician assistants focuses on patient care, many PAs also assume educa-
tional, research, and administrative responsibilities.1
Numerous studies have demonstrated that PAs, practicing as part of a supervising
physician’s team, provide high quality health care. The Office of Technology Assessment of the
U.S. Congress studied health care services provided by PAs and determined that, “Within their
scope of practice, PAs provide health care that is indistinguishable in quality from care provided
by physicians.”2

Practice Settings Results of the 1999 American Academy of Physician

Assistants (AAPA) PA Census Report estimated 41,421 PAs
The PA concept emerged in the mid-1960s in response to a were eligible to practice in the U.S. as of March 1999. PA
physician shortage and a nationwide need for primary care practice encompassed at least 60 specialty fields. More than
providers. Soon after the first PA program started at Duke half of PAs (52%) reported their primary specialty in one of
University in 1965, PAs began to close the service-demand the primary care fields: family/general practice medicine
gap by making health care more available, affordable, and (38%), general internal medicine (9%), general pediatrics
accessible, especially in rural and underserved areas. From (3%), and obstetrics/gynecology (2%). Other areas for PA
1970 to 1980, with the support of federally funded training practice include general surgery/surgical subspecialties
grants, the number of PA programs increased fivefold, from (20%), emergency medicine (10%), and the subspecialties
12 to 56, and by 1992, that number doubled. As of of internal medicine (7%). One hundred nineteen (0.8%) of
October 2000, there were 126 accredited programs. the PAs who responded specialized in psychiatry, and 69
Through 1998, more than 40,000 PAs had been trained, (0.4%) practiced in substance abuse and addiction medicine.5
and the PA workforce is expected to exceed 87,000 by
2010.3 Although the profession has expanded to include Almost half (48%) of PAs work predominantly in solo
specialty practices, PA educational programs continue to or group practices, and the work setting for another 38% is
emphasize primary care and strive to increase primary care a hospital. Most PAs (90%) see outpatients in their primary
services in areas that are medically underserved.4 practice setting, but many (28%) see inpatients as well.

273
Approximately 12% of the respondents to the AAPA survey effects, contraindications, indications, and dosage. Basic
work in some type of federally qualified health center or science instruction in pharmacology is reinforced and
community health facility.5. augmented in clinical training, where the emphasis is on
pharmacology principles and treatment issues. Students
receive, on average, 78 hours of formal classroom instruc-
Core Values and Paradigms tion in pharmacology. Additional pharmacology instruction
occurs in clinical medicine, cardiology, pediatrics, obstet-
The Physician–PA Relationship rics/gynecology, and orthopedics, with the total estimated
PAs practice medicine with supervision by licensed at 308 hours.8
physicians. The first statutes and regulations governing PA
practice and supervision by physicians were enacted nearly For PAs, professional course work in pharmacology is
30 years ago. State regulations and laws have been presented at a level comparable to that offered to medical
modified as the structure and definition of PA and supervis- students. A review of the PA national certifying and
ing physician roles have evolved. Initially, State laws recertification examinations by the National Commission
frequently limited the number of PAs a physician could on Certification of Physician Assistants (NCCPA) indicates
supervise. Some States required a 1:1 ratio; in most, ratio that it is unlikely anyone could pass the exam and become
was 2:1. Connecticut permits one physician to supervise up certified without proficiency in pharmacology, considering
to six PAs. Licensing boards may grant exceptions to the the high percentage of test items dealing with pharmaco-
ratio restrictions in some States. Six States do not specify or therapeutics.8
limit the number of PAs supervised by one physician. In
1998, the American Medical Association (AMA) adopted PA Education
the recommendations of its Council on Medical Service,
which state that “the appropriate ratio of physicians to The content of PA training is adopted in large part from the
physician extenders should be determined by physicians at model of medical education for physicians. Educators of
the practice level, consistent with good medical practice, PAs include physicians, PAs, and basic scientists. The PA
and State law where relevant.”6 The AAPA recommends curriculum is intense yet practical. PA education is highly
that State laws contain no reference to specific ratios of PAs structured and focused, and many in medical education
to supervising physicians. This decision is best left to the regard it as innovative and effective. The typical PA
discretion of the supervising physician, depending on the educational program lasts approximately 111 weeks,
nature of the particular practice and patient population compared with 155 weeks for medical school. The first-
served, the experience of the PA, and the supervisory style year curriculum consists of course work in the basic
of the respective physician or physicians.5 sciences, including anatomy, physiology, biochemistry,
pharmacology, physical diagnosis, pathophysiology,
PAs and Controlled Medications microbiology, clinical laboratory sciences, behavioral
sciences, and medical ethics. In the second year, students
Supervising physicians are permitted by State law to
receive clinical training through a series of clerkships in
delegate prescriptive authority to PAs in 46 States, the
inpatient and outpatient settings. Rotations include family
District of Columbia, and Guam. The four States where
medicine, internal medicine, obstetrics/gynecology,
PAs are not allowed to prescribe medication are Indiana,
pediatrics, general surgery, emergency medicine, and
Ohio, Louisiana, and Mississippi. Of the 46 States permit-
psychiatry. PA students complete, on average, more than
ting prescriptive authority, 38 allow PAs to prescribe
2,000 hours of supervised clinical practice.9
controlled substances. Alabama, Florida, Kentucky,
Michigan, Missouri, New Jersey, Texas, and Virginia do not All accredited PA programs meet the same educational
allow PAs to prescribe controlled substances. When standards, but the sponsoring college or university deter-
supervising physicians can delegate the ability to prescribe mines what credential will be awarded to graduates. Most
controlled medications to PAs, physicians are able to use programs award a bachelor’s degree on completion; others
their time more efficiently with increased cost-effective- offer a certificate of completion or an associate or a master’s
ness.7 A registration category specifically for PAs and nurse degree.5
practitioners (NPs) to prescribe controlled medications has
been designated by the Drug Enforcement Administration
(DEA) in accordance with State laws and regulations.8 Program Accreditation
All accredited PA programs must adhere to a uniform set of
PAs’ Preparation for Prescribing standards. The first standards for PA programs were
PA training programs are required to include instruction in developed in 1971 by a subcommittee of the AMA. The
pharmacology. In most PA training programs, pharmacolo- most recent standards were developed by the Accreditation
gists or clinical pharmacists teach pharmacology. Instruc- Review Commission on Education for the Physician
tion includes pharmacokinetics, drug interactions, adverse Assistant (ARC-PA) under the umbrella of the Commission

274 JUDD, HOOKER, AND MORGAN

on Accreditation of Allied Health Education Programs indicates that they are preapproved and sponsored by
(CAAHEP). Established as a nonprofit agency in 1994, organizations recognized by the Accreditation Council for
CAAHEP accredits programs representing 18 allied health Continuing Medical Education (ACCME). PAs are required
professions. to pass the Physician Assistant National Recertification
In March 2000, the ARC-PA voted to leave CAAHEP Examination (PANRE) every 6 years. The PANRE is
to become a freestanding accrediting agency for the PA designed to evaluate the general knowledge, skills, and
profession. The new agency, the ARC-PA, was incorpo- abilities of PAs, regardless of their employment setting or
rated, effective January 1, 2001. The ARC-PA sponsoring practice specialty.11
organizations are the Association of Physician Assistant
Programs (APAP), the American Academy of Physician
Assistants (AAPA), the American Academy of Family
Continuing Medical Education
Physicians (AAFP), the American College of Surgeons PAs, similar to other health care providers, may obtain
(ACS), the American Academy of Pediatrics (AAP), the CME from multiple sources. Although discipline-specific
American College of Physicians-American Society of sources such as PA conferences and journals are widely
Internal Medicine (ACP-ASIM), and the AMA. used, PAs participate extensively in interdisciplinary CME
programs. PAs may access interdisciplinary substance use
The ARC-PA conducts on-site reviews to determine
disorder (SUD) CME programs offered locally, regionally, or
whether PA programs are in compliance with the standards
nationally by specialty organizations, although there are no
for accreditation. The accreditation standards are the
data available regarding the extent to which they do. The
minimum expectations of quality and content used in
National Clearinghouse for Alcohol and Drug Information,
accredited programs. Revisions and changes to the accredi-
a service of the Federal Substance Abuse and Mental
tation standards are made by the ARC-PA, a process that
Health Services Administration (SAMHSA), maintains a
requires a consensus from the ARC-PA sponsor organiza-
comprehensive list of substance abuse educational pro-
tions. In the past 6 years, the number of accredited PA
grams and conferences.12
programs has more than doubled, from 55 to 123. Be-
tween 1996 and 2000, 56 new PA programs were accred- Discipline-specific sources of CME include professional
ited.9 meetings, Internet programs, and PA journals. Over 50% of
PAs are members of the AAPA, which is a major source of
CME for PAs. The AAPA sponsors an annual CME confer-
Certification ence that 11% of practicing PAs attended in 2000.13 The
The NCCPA certifies PAs. The NCCPA, an independent AAPA provides a list of CME opportunities stratified by
not-for-profit organization established in 1975, consists of State and also offers CME on-line through its Web site
15 sponsoring organizations, including representatives from (http://www.aapa.org). In addition, the AAPA has formed
eight national physician organizations, the American a Clinical and Scientific Affairs Council (CSAC) to enhance
Hospital Association, the Federation of State Medical the clinical knowledge base of the profession. The CSAC
Boards, the Association of American Medical Colleges, the continually reviews and critiques clinical practice informa-
U.S. Departments of Defense and Veterans Affairs, the tion and clinical guidelines that are subsequently dissemi-
AAPA, and the APAP. The NCCPA and its constituents are nated to the profession.14 The CSAC Web page offers a
dedicated to determining that certified PAs meet estab- forum for dissemination of information, such as the
lished standards of knowledge and clinical skills upon entry National Institute on Drug Abuse (NIDA) Consensus
into practice and throughout their careers. NCCPA Statement on Treatment of Substance Abuse Disorders.
certification is the criterion for licensure or registration of Most of the AAPA’s 57 constituent chapters, which include
PAs in 50 States, the District of Columbia, and the U.S. chapters in each State, the District of Columbia, Guam,
territories.10 Veterans Affairs, and the uniformed services, provide
annual or semiannual CME conferences. PA journals, such
To obtain the NCCPA certification, a PA must com- as the Journal of the American Academy of Physician
plete a PA training program accredited by CAAHEP as well Assistants, Physician Assistant, ADVANCE for Physician
as pass the Physician Assistant National Certifying Exami- Assistants, and Clinician Reviews, also offer CME.
nation (PANCE) developed jointly by the National Board of
Medical Examiners and the NCCPA. Certification is a
prerequisite for licensure in every State except Washington. Professional Organizations
Only those passing the examination can use the title
The AAPA, founded in 1968, is a national professional
“Physician Assistant-Certified” (PA-C).
society representing PAs in every area of practice and
To maintain NCCPA certification, PAs must complete promoting the profession to the public. The mission of the
an ongoing 6-year process that involves logging 100 hours AAPA is to promote quality, cost-effective, accessible health
of approved continuing medical education (CME) every 2 care and to promote professional and personal development
years. Fifty of these CME hours must be Category I, which of PAs. The AAPA accomplishes these goals through

PHYSICIAN ASSISTANTS 275

government relations, public education programs, research patients cope with illness and injury, follow prescribed
and data collection, and continuing education activities.4 treatment regimens, and modify their attitudes and
The AAPA includes constituent chapters in each State, the behaviors to more healthful patterns.” Examples of what
District of Columbia, Guam, and Veterans Affairs, and from meets these standards are described in the accreditation
each of the uniformed services. In addition to constituent guidelines and suggest that PAs “should have a functional
chapters, specialty organizations have been formed under understanding of personality development, child develop-
the umbrella of the AAPA, which include the Society of ment, normative responses to stress, psychosomatic
Physician Assistants in Addiction Medicine and the Society manifestations of illness and injury, sexuality, responses to
of Physician Assistants in Psychiatry. death and dying, and behavioral patterns related to the
The APAP is the only national organization represent- maintenance and restoration of health.”17
ing accredited PA education programs. APAP’s mission is to The curriculum for the education and training of PA
assist PA educational programs in the instruction of highly students, which places an emphasis on common disorders
educated PAs in numbers adequate to meet the needs of and primary care, closely parallels that of medical students.
society.15 APAP has identified five specific goals: (1) foster Since patients with SUD are frequently encountered in
faculty development; (2) promote excellence within PA primary care settings, it is reasonable to conclude that PAs
programs; (3) facilitate research and scholarly activities; (4) require training similar to primary care physicians. In 1985
advocate for PA education; and (5) maintain and sustain at the 9th Annual Conference of the Association for
the organization.15 Medical Education and Research in Substance Abuse
Services provided by the APAP include two meetings (AMERSA), “Alcohol, Drugs, and Primary Care Physician
annually, publications and newsletters of interest to Education,” a consensus was reached on minimum
educators, consultation services, faculty development knowledge and skills in substance abuse education for
programs, collection and dissemination of data regarding primary care physicians, family physicians, general inter-
PA education, support for educational research projects, nists, pediatricians, and psychiatrists. Emphasis was placed
and development of quality improvement tools for educa- on early detection and treatment, establishing a therapeutic
tion. In addition, the APAP represents the concerns of PA alliance, routinely obtaining a substance use history, and
educators to regulatory and governmental organizations referring patients and their families to appropriate interven-
that influence PA education, program funding and accredi- tion and treatment programs.18 This meeting was cospon-
tation, PA certification, and related issues. Historically, sored by the National Institute on Alcohol Abuse and
most PA programs have maintained membership in the Alcoholism (NIAAA), NIDA, and the Betty Ford Annenberg
APAP. As of January 2000, all of the 120 accredited Center. In 1990, the AAFP and the Society for Teachers of
programs were members of the APAP. Family Medicine published educational guidelines and
recommendations, identifying the attitudes, knowledge,
and skills family physicians should possess to competently
Historical Profile: PA Practice and Education treat patients with SUD. The guidelines were developed in
response to the realization that although family physicians
in SUD have the opportunity to identify and treat patients with
More than two-thirds of individuals with SUD (SUD) are SUD, they reported their preparation to do so as inad-
seen in primary care or urgent care settings every 6 equate.19
months.16 As mentioned above, more than half (52%) of
The role of PAs in substance abuse treatment has been
PAs practice in one of the primary care fields, and another
previously described. In 1979, NIDA and NIAAA published
10% work in emergency medicine or urgent care settings.
three documents addressing the roles of PAs and NPs. The
Consequently, PAs are in a position to identify and assist
first document was a curriculum guide, “Substance Abuse
patients in need of treatment for SUD.3
Resource and Curriculum Guide for Physician Assistants
To provide services for patients with SUD, PAs must and Nurse Practitioners.”20 In addition to the curriculum
possess the requisite knowledge and skills in assessment, guide, NIDA and NIAAA published “Nurse Practitioners
diagnosis, and treatment. No specific requirements have and Physician Assistants in Substance Abuse Programs,”
been defined for PAs on minimum knowledge and skills in which describes the education, role, utilization, State
substance abuse education. Although CAAHEP includes a regulation, State prescribing statutes, third-party reimburse-
requirement described as “Applied Behavioral Sciences” in ment, and cost-effectiveness of PAs and NPs. With respect
the accreditation standards, the accompanying accredita- to these two health professions, the publication states “it is
tion guidelines, which suggest specific content areas that their expertise in primary care that makes their roles
may satisfy the standard, do not specify SUD as a content appropriate for use by substance abuse programs.” It
area.17 concludes that, “where additional substance abuse training
According to the current standards pertaining to is needed to supplement the primary care expertise of NPs
Applied Behavioral Sciences, students “should be given and PAs, it can be acquired with six to eight weeks of on
instruction in the basic counseling skills necessary to help the job training.”21 The third publication, “Substance Abuse

276 JUDD, HOOKER, AND MORGAN

Services in Primary Care: Nurse Practitioners and Physician development regarding curriculum development and SUD.
Assistants,”22 makes the following statement: Responses were received from 107 programs (92.2%) that
The knowledge and skills which the NP and PA bring reported they provided instruction regarding SUD although
to primary care make them particularly appropriate to the number of hours allocated to SUD varied. In the
recognize and manage substance abuse problems, their aggregate, 65% provide 10 hours or less; 25%, 11–15
etiologic factors and sequelae. For example, they assess hours; and 10%, 16 or more hours. These results were
health status… perform physical examinations. similar to the 1993 survey, reflecting no significant increase
…They are competent to manage acute and chronic in the number of instructional hours.
conditions, order and interpret laboratory procedures, In the majority of programs, curriculum content in the
suture wounds, and prescribe medication within the didactic phase of training continues to emphasize diagnosis
scope of protocols and regulations. They also provide (82%), acute management (85%), medical complications
counseling and health education services. The (72%), and prevention (72%). The percentage of programs
functions which NPs and PAs regularly perform in including instruction regarding assessment tools (i.e.,
primary care settings are precisely those needed to MAST and CAGE) increased from 54% in 1993 to 92% in
recognize and manage substance abuse. Since the 2000. The number of programs, including instruction
majority of NPs and PAs practice in primary care regarding aftercare programs (e.g., AA, Narcotics Anony-
settings, they serve a wide range of clients and are mous), increased from 40% to 50%. Less than half of the
thus in a unique position to recognize and treat clients programs provide instruction regarding SUD in the elderly
who have a problem with substance abuse. In addi- or during pregnancy.
tion, since NPs and PAs are often able to spend more In regard to methods of instruction, all of the programs
time with their clients than are other health profes- except one reported using the traditional lecture style
sionals, they are probably in a better position to format. Of the programs responding, 78% used assigned
encourage those patients with substance abuse readings, 45% used small-group discussion, and 35% used
problems to seek treatment. films and videotapes. In the 2000 survey only 20% of the
A comprehensive evaluation of the didactic and clinical programs used role play, attendance at AA and treatment
training in 59 established PA programs was conducted in groups, or presentations by patients in recovery, compared
1993. It found that although all of the programs included with 40% in 1993. Although the percentage of programs
content on the diagnosis and treatment of SUD, the depth using attendance at AA and treatment group meetings has
and detail of this content varied considerably. In many decreased, respondents indicated that this type of experi-
instances, basic skills such as screening and referral were ence would strengthen their curriculum if it could be
neglected while advanced medical skills were emphasized. added. Additionally, respondents indicated an interest in
A content concern emerged on whether or not what PA using simulated patients, patients in recovery, and health
students were learning about the diagnosis and treatment care providers in recovery to educate students. Although
of SUD was adequate.23 For example, although screening is only seven programs used computer-assisted instruction or
an essential skill, only 54% of the programs taught students CD-ROM, respondents’ comments indicated an interest in
how to use assessment tools such as the Michigan Alcohol- this type of instructional technology and information
ism Screening Test (MAST)24 or the CAGE.25 On the other regarding Web sites containing related information.
hand, although the importance of family dynamics in Clinical training related to SUD occurs primarily in
treatment and recovery is recognized in the field of psychiatry rotations for 81% of the respondents. Clinical
addiction medicine, only half of the programs included experience in SUD was also reported during clinical
material on family systems. Less than half (40%) of the rotations in emergency medicine (70.8%), family medicine
programs reported providing instruction regarding 12-step (64.5%), general medicine (52%), obstetrics-gynecology
treatment programs such as Alcoholics Anonymous (AA) (24%), geriatrics (20%), pediatrics (19%), and general
and family support groups such as Al-Anon and Alateen, surgery (5%). The lack of integration across disciplines and
even though these programs are recognized as providing exposure to SUD may account, in part, for the fact that so
the foundation for successful long-term treatment. While it few PAs (0.4%) practice in substance abuse and addiction
is unlikely a PA in a primary care setting would be required medicine.5 Thirty-five (35%) programs reported having an
to treat acute withdrawal and manage detoxification elective in SUD available for interested students but only 15
without the oversight of a physician, this content was programs reported any students taking it. Those programs
included in the curriculum of 80% of the programs. report only one or two students per year selecting it.
A more recent survey was undertaken in 2000, when Finally, the majority (84%) of respondents expressed
a survey of 116 PA programs was distributed electronically. an interest in and a desire for APAP-sponsored faculty
In addition to questions regarding curriculum content, development workshops addressing topics related to
methods of instruction, and clinical training regarding SUD, curriculum development and methods of instruction
faculty were asked about the need for additional faculty regarding SUD.26

PHYSICIAN ASSISTANTS 277

 The results of the 2000 survey indicate opportunities treatment or recovery programs are used less frequently.
exist to improve PA education and training in the area of Teacher-centered learning may be appropriate for low-level
substance abuse. Instruction regarding SUD needs to be cognitive functions such as learning factual information,
integrated into didactic and clinical curriculum across but higher-level cognition (requiring synthesis, analysis, and
disciplines. Content should be included in didactic and judgment) and positive attitudes are developed best in
clinical instruction in subspecialty areas such as pediatrics, interactive and experiential settings. Learner-centered
ob-gyn, and geriatrics. Opportunities for exposure to teaching strategies would therefore be more effective than
community-based treatment programs and self-help groups traditional lectures in preparing students to address SUD.
need to be increased in the majority of programs. Faculty Availability of appropriate clinical clerkship sites
development programs need to be developed and expanded presents challenges in substance abuse education. Many PA
to enable faculty to improve, integrate, and expand programs rely on clinical training sites located in tertiary
curriculum related to substance abuse. care centers. Students may not be receiving a sufficiently
broad-based experience of the spectrum of SUD in these
settings. Furthermore, students may develop a skewed
Critical Issues and Obstacles in PA Education perception of patients with SUD that reinforces negative
and Practice attitudes toward substance-abusing patients. Most impor-
tant, students may not develop the skills and attitudes
Collaboration required for effective prevention, recognition, and treat-
Issues pertaining to substance use and related disorders are ment of SUD encountered in primary care settings. To gain
complex and frequently not well addressed by a single experience with the spectrum of SUD, students should
discipline’s perspective. Lack of collaboration among health obtain substance abuse training both in primary care
care providers is a major obstacle to integrating interdisci- settings and in referral centers.
plinary substance abuse curricula into training programs.
Faculty Development
Education and Training With the rapid increase of the number of PA programs,
PA education, adopted from the medical education model there has been a corresponding need for PAs who have
for physicians, does not provide physicians or PAs with the primary responsibilities in program development, teaching,
knowledge and skills needed to effectively treat patients and clinical supervision.9 The number of PAs with teaching
with SUD. Education on SUD is not consistently integrated experience who serve as academic and clinical role models
into the PA curriculum, and there is considerable variation is woefully inadequate.3 A shortage of faculty and clinical
among programs regarding content and instructional preceptors with experience in addiction medicine is an
methodology.26 Training and educational experiences obstacle to expanding teaching about SUD. Training of
subsequently influence PA practice, utilization, and service additional faculty and clinical preceptors is needed to
delivery. provide appropriate preclinical instruction and clinical
The time constraints within existing didactic curricula supervision in SUD. Faculty need training on the effective
present a major challenge because most programs face the use of experiential instructional methodologies such as
difficulty of responding to increasing demands on limited simulated patients, role play, interactive videos, review of
time. In most cases, teaching about SUD is included in the videotaped student–patient interviews, discussion, student
psychiatry/mental health courses, with a limited focus on participation in self-help treatment groups, case studies,
detoxification and treatment of overdose. Integrating and clinical demonstrations involving patients. These
content on SUD requires a substantial commitment of learning experiences will provide an opportunity for
training program time and faculty resources, as well as students to develop the skills, competencies, and attitudes
selection of appropriate clinical sites and faculty development. needed for working with patients and families affected by
Although the traditional lecture format is less effective SUD. Faculty development in substance abuse education
than other teaching strategies are, it is still the most can enhance clinical skills and increase confidence in
frequently used teaching method.26 It has long been teaching about substance abuse.29
recognized that learner-centered approaches, where Although substance abuse training has increased in
students are required to actively participate in the learning medical schools30 and PA programs,26 many practicing
process, are more effective. Research on the effectiveness physicians and PAs still require additional training.31 Both
of substance abuse education demonstrates the lecture physicians and PAs serve as preceptors to PA students. The
style method has little effect on changing the learner’s 1999 AAPA census3 indicated that 38% of practicing PAs
negative attitudes and behaviors and is limited in its ability precept PA students and 28% precept students from other
to develop critical-thinking and clinical skills.27, 28 Interac- health-related professions. With increasing numbers of PAs
tive and experiential methods such as role playing, use of actively engaged in teaching, continuing education
simulated patients, and participation in patient self-help programs aimed at improving substance abuse practice
skills among practicing PAs are needed. These programs

278 JUDD, HOOKER, AND MORGAN

will be a step to improving the clinical training of current whether substance abuse education should be required in
and future students. Clinical preceptors with expertise in the PA curriculum is even more problematic. Although the
SUD are needed in family medicine, community medicine, accreditation standards require training programs to
emergency medicine, internal medicine, obstetrics/ prepare students to help patients “modify their attitudes
gynecology, and pediatrics. In summary, extensive faculty and behaviors to more healthful patterns,” this is open to
development activities are required to adequately prepare interpretation by training program directors. The absence of
preclinical and clinical instructors to teach PA students a requirement for curricular modules on SUD presents an
about SUD. obstacle to implementing an integrated, multidisciplinary,
SUD curriculum.
Postgraduate and Fellowship Training
There are no fellowship or postgraduate programs for PAs Certification
in addiction medicine. PAs have not been a specifically The content of the national certifying exam also influences
targeted profession for programs such as the Society of how instructional time is utilized and prioritized.11
General Internal Medicine’s (SGIM) Substance Abuse in Currently, 18 (6%) of the 300 questions on the PANCE are
Medical Education training program. However, the allocated to questions related to “Psychiatric/Behavioral
educational objectives developed for the SGIM program are System.” This area includes content on psychoses, anxiety
applicable to the needs of PAs. The objectives are to help disorders, mood disorders, personality disorders, eating
participants (1) improve their knowledge and clinical skills disorders, SUD, and other behavior/emotional disorders.
in treating patients with SUD; (2) develop approaches to Considering the number of disorders included under this
teaching about substance abuse in different clinical settings; topic, examined by 18 questions, the number specifically
and (3) provide participants with opportunities to develop related to SUD is limited.11 Questions testing knowledge of
continued learning and support in substance abuse.28 The SUD should be included on the PANCE.
SGIM program emphasizes improving the clinical and
teaching skills of individual faculty by employing primarily Research
interactive and experiential activities such as role play, case Data regarding outcomes of substance use disorder
discussions, and use of simulated patients. Participants education are insufficient to guide future curriculum
identified the lack of adequately trained teachers as the development. Outcome measures are needed to assess
most important impediment to teaching about SUD. students’ acquisition of requisite knowledge, skills, and
Following completion of the course, participants demon- attitudes related to substance abuse, minimum competen-
strated more positive attitudes toward patients with these cies regarding substance abuse, and the extent to which
disorders and reported increased confidence in managing competencies are later incorporated into clinical practice.
patients and teaching about substance abuse.28 Participa- PA programs need guidelines by which to evaluate current
tion by PA faculty, preceptors, and practicing PAs in similar curricula, identify areas for improvement, and assess
faculty development programs would facilitate implementa- student performance.
tion of an integrated interdisciplinary model curriculum for
PAs are underutilized in addiction medicine and
PA students. Advanced training programs in addiction
substance use treatment programs. No utilization studies
medicine are not as widely available to PAs as they are to
have analyzed workload, cost, or PA productivity. Utiliza-
physicians, nor is the level of funding available to support
tion research is needed to project workforce needs and to
participation by PA faculty who would benefit from such
clearly document the cost-effectiveness of PAs practicing
training as high as is that for physicians.
addiction medicine.
Most PAs increase and expand their knowledge and
Most PAs have little intention, or for that matter
clinical skills through CME programs and experiences in
incentive, to work in addiction medicine. The AAPA 1999
clinical practice. Specialized professional development
census documents that few PAs specialize in mental health
programs in SUD would enhance the teaching and clinical
or substance abuse practice.3 Further research is needed to
skills of PAs. Of the 17 postgraduate training programs for
explore the basis for low utilization and obstacles to PA
PAs, only 2 are in mental health. Development of an
practice in addiction medicine.
advanced credential, recognizing advanced training or
postgraduate fellowship training (similar to the movement
within nursing and physical therapy) would formalize the
Funding
education of PAs with expertise in addiction medicine. Funding priorities identified by Federal training grant
programs can provide incentives for PA programs to shift
Accreditation curricular emphasis toward areas such as substance abuse.
The most recent announcement from the Bureau of Health
Linked closely with the inadequate numbers of PAs with
Professions PA Training Grant Program gave preference to
experience in addiction medicine is the lack of curricular
projects addressing the needs of special populations,
emphasis on SUD, which is conspicuously absent from the
including patients with SUD. Financial incentives such as
accreditation standards.17 The lack of a consensus as to

PHYSICIAN ASSISTANTS 279

these could encourage PA faculty to make space in the Skill Competencies
standard curriculum for SUD. Since these training grants All PAs should be able to
are awarded to only a few PA programs, their overall
Employ prevention strategies at the individual, family,
impact is small. Many programs are not able to secure
and community levels
additional funds for development, implementation, and
evaluation of substance abuse curricula. Recognize the signs and symptoms of SUD
Screen effectively for SUD
PA Core Competencies in SUD Diagnose SUD
Since substance abuse is ubiquitous in all areas of PA Assess patients for adverse health effects of tobacco,
practice, PAs should be prepared to demonstrate minimum alcohol, and other drug abuse and dependence
competencies related to substance use prevention, detec- Intervene by providing preventive services, motivational
tion, and management. All currently practicing and future enhancement, treatment and referral for patients with SUD
PAs should possess the following core competencies in SUD: Provide supportive and pharmacologic treatment for
nicotine dependence
Knowledge Competencies
Demonstrate cultural competency in their approach to
General Concepts patients of all ages and socioeconomic and cultural
Definitions and diagnostic criteria for SUD backgrounds.
Epidemiology of substance abuse and dependence
Relationship of SUD to family functioning Vision for the Future
Risk and protective factors related to nicotine, alcohol, As front-line providers of primary and specialty health care,
and other drug use PAs should play an important role in providing cost-effective
Acute and chronic health effects of drug abuse and health care in prevention, patient education, detection, and
dependence treatment of patients with SUD and in attaining the goals of
Healthy People 2010.32 In order for PAs to exert their
Prevention
strongest possible impact on substance abuse, resources
Universal, selected, and indicated prevention strategies must be developed and utilized to improve PA education,
and their application to the individual, family, and faculty development, postgraduate education, CME pro-
community grams, and research.
Evaluation and Management In the future, all PA graduates and practicing PAs
Medical evaluation of adverse health effects related to should demonstrate the minimum core competencies in
nicotine, alcohol, and other drug abuse/dependence substance abuse listed below. PAs will thus be able to
Treatment approaches to SUD, including outcome, provide effective preventive and therapeutic substance abuse
efficacy, and cost services to diverse individuals, families, and communities.
To ensure the substance abuse competency of future
Behavior change and motivational enhancement graduates, PA substance abuse education should (1) empha-
strategies size interdisciplinary collaboration; (2) employ innovative
Relationship of SUD to other psychiatric disorders teaching strategies; (3) be integrated throughout PA training
Cultural context of drug use and the impact of gender, programs; (4) emphasize skills in prevention and early
culture, and ethnicity on intervention and treatment detection; (5) incorporate training experiences in a variety of
clinical and community settings; and (6) rely on a broad base
Referral sources and community resources
of highly skilled clinician role models and preceptors.
Legal and Ethical Aspects Students motivated to engage in more comprehensive
Confidentiality and patient rights training experiences should have the opportunity to take
elective preceptorships in addiction medicine.
Regulations governing controlled substances
PAs currently in practice should develop core substance
Impaired Health Professionals abuse competencies through extensive faculty development
Identification, reporting, recovery programs, professional development courses, and CME
Resources available for impaired health professionals programs. In addition, specialized postgraduate training
fellowships can provide PAs who are interested in addiction
medicine with the opportunity to develop expertise in
substance abuse practice. These PAs will then have the
potential to become leaders in substance abuse education,
practice, research, and interdisciplinary collaboration.

280 JUDD, HOOKER, AND MORGAN

 Recommendations
Education and Training

1. PA programs should modify curricula to ensure that students acquire core

competencies required for treating patients with SUD.
Rationale. Traditional PA education has focused on treating the medical and psychiatric
complications related to SUD. If PAs are to attain national prevention goals, curricula addressing
SUD should be modified to emphasize prevention, community health, the early detection of
substance abuse, and appropriate treatment or referral of identified patients.
Recommended Actions. Disseminate recommended core competencies to PA educators.
Present and debate core competencies in substance abuse education at PA educational forums.
Modify PA curricula to address core competencies. Increase emphasis on SUD on the PA
certification and recertification exams.
Responsible Agents. Health Resources and Services Administration (HRSA) Bureau of Health
Professions (BHPr), APAP, PA Faculty Development Institute, and PA program directors, faculty,
and preceptors.
Expected Outcomes. All PA programs will have clearly defined curricula that address core
competencies regarding SUD. PA program surveys will demonstrate increased curricular
emphasis on identified core competencies. PA knowledge regarding core competencies will be
enhanced, as measured by graduate surveys and performance on national certifying examination
items related to SUD.

2. Educational strategies related to SUD should address attitudinal, behav-

ioral, and cognitive change by utilizing learner-centered educational ap-
proaches.
Rationale. Educational activities that actively engage learners are most appropriate for the
development of the advanced skills required for effective practice regarding SUD. Learner-
centered didactic and clinical experiences should be utilized to increase students’ awareness of
their own attitudes and beliefs about patients with SUD and to promote skills in patient
interviewing, prevention, and promoting behavioral change.
Recommended Actions. PA programs must employ a variety of active teaching and learning
strategies regarding SUD. Funding must be made available to support curricular change.
Responsible Agents. HRSA/BHPr, APAP, PA Faculty Development Institute, and PA program
directors, faculty, and preceptors.
Expected Outcomes. Formative and summative evaluation of student attitudes and perfor-
mance will demonstrate a change from baseline. The success of the curricula will be measured
by impact on student attitudes, performance, and choice of specialty and practice related to
SUD.

PHYSICIAN ASSISTANTS 281

 3. PA programs should integrate instruction regarding SUD into didactic and
clinical curricula to prepare PA graduates to effectively identify, intervene,
and treat patients affected by SUD in a variety of clinical and community
settings. Content regarding SUD should be included in preclinical courses,
such as pediatrics, obstetrics/gynecology, family medicine, emergency
medicine, and clinical medicine. Substance use prevention and treatment
strategies should be included in clinical training in internal medicine,
obstetrics-gynecology, pediatrics, family medicine, community medicine,
and emergency medicine.
Rationale. Through repeated exposure to SUD in a variety of didactic, clinical, and community
settings, PA students will learn to integrate strategies regarding identification, intervention,
treatment, and prevention into clinical practice. Educational experiences in a variety of commu-
nity settings will help students develop an understanding of cultural, family, and community
influences on substance abuse. Education regarding SUD has often been limited to psychiatry
and mental health preceptorships. Integration throughout the curriculum will prepare students
to address SUD in internal medicine, family practice, surgery, emergency medicine, surgery,
pediatric, obstetrics-gynecology, and other specialty settings.
Recommended Actions. PA programs must integrate substance abuse education throughout
didactic and clinical training. Cultural competency must be addressed in PA training programs.
PA training programs must include community activities within their training programs. Clinical
preceptors must model appropriate practice regarding treatment of patients with SUD, regard-
less of medical specialty. PA faculty forums must address development of preceptorships in SUD.
Funding must be made available to support curricular change, faculty development, and
preceptor development.
Responsible Agents. HRSA/BHPr, APAP, PA Faculty Development Institute, and PA program
directors, faculty, and preceptors.
Expected Outcomes. PA program surveys will reflect an increase in educational components
that address SUD. PA programs will undertake preceptor development activities related to SUD.

4. PA programs should increase the number and variety of training experi-

ences regarding treatment of SUD occurring in interdisciplinary settings.
Rationale. Interdisciplinary collaboration can broaden the scope and improve the cost-
effectiveness and efficacy of clinical practice and treatment of patients with SUD. Interdiscipli-
nary education will expand the perspective of PA students regarding approaches to substance
abuse practice and prepare them to collaborate with professionals from other disciplines in
clinical practice.
Recommended Actions. PA programs must increase interdisciplinary education. PA program
faculty must demonstrate a model based on collaborative practice for students, as it relates to
treatment of patients with SUD
Responsible Agents. HRSA/BHPr, APAP, PA Faculty Development Institute, and PA program
directors, faculty, and preceptors.
Expected Outcomes. PA program surveys will show an increase in interdisciplinary educa-
tion regarding SUD.

282 JUDD, HOOKER, AND MORGAN

 Faculty Development

5. PAs should be included in faculty development programs similar to those

provided for physicians. Medical education training programs should be
funded and adopted for PA faculty development.
Rationale. Effective faculty development (e.g., Sigma’s Medical Education in Substance Abuse)
in substance abuse education is needed to ensure that faculty, clinical instructors and clinical
preceptors possess the requisite skills, knowledge, and attitudes to teach PA students about
SUD. Clinical preceptors with knowledge and skills regarding SUD are needed to teach students
during clinical clerkships in internal medicine, family medicine, emergency medicine, pediatrics,
geriatrics, obstetrics-gynecology, and community medicine rotations
Recommended Actions. Faculty development programs related to substance abuse education
must be offered in interdisciplinary and discipline-specific settings. PA educator forums must
address related topics such as preceptor development, cultural competence, and interdiscipli-
nary collaboration in SUD. PA programs should collaborate with other medical educators
(physicians, pharmacists, psychologists, social workers, and nurses) to implement interdiscipli-
nary preceptor development activities designed to improve the ability of preceptors to model
appropriate attitudes and behaviors related to the treatment of patients with SUD.
Responsible Agents. AMERSA, APAP, APAP Faculty Development Institute, and PA program
directors.
Expected Outcomes. Faculty development activities in SUD will be conducted at the
semiannual APAP meetings. An ongoing faculty development program focusing on interdiscipli-
nary, experiential and learner-centered curriculum on SUD will ensure at least one faculty
member from each PA program will have the opportunity to participate in a faculty develop-
ment program on substance abuse education. APAP or the Faculty Development Institute will
offer faculty development programs regarding preceptor and preceptor site development. APAP
or the Faculty Development Institute will offer faculty development activities regarding cultural
competency as it relates to substance abuse education. The AAPA Clinical and Scientific Affairs
Council Web page will include reviews of publications and treatment guidelines regarding
treatment of SUD. The AAPA and APAP Web sites will identify hyperlinks to teaching resources
regarding SUD in addition to interdisciplinary conferences available to PA faculty.

Professional Development

6. The number of CME programs and CME hours designed to strengthen

provider knowledge and skills regarding SUD and comorbidities should be
increased. Distance learning technology and online educational should be
used to maximize accessibility.
Rationale. Because of advances in treatment in addiction medicine and past inadequacies in
PA training in SUD, practicing PAs require ongoing CME. PAs should have access both to PA-
specific and to interdisciplinary continuing education opportunities through local and national
conferences, publications, telemedicine and distance learning technologies, and the Internet.
Since more than a third of practicing PAs serve as clinical preceptors for PAs and other health
professional students, CME and professional development activities will enhance faculty
expertise regarding SUD.
Recommended Actions. CME topics on SUD should be included at the annual AAPA
conference. AAPA constituent chapters should include sessions on SUD at State and constituent
chapter CME conferences. AMERSA should publish a list of experts by discipline to provide
lectures at PA and interdisciplinary educational forums. Announcements of interdisciplinary
continuing education conferences should be widely circulated to PAs and published in PA

PHYSICIAN ASSISTANTS 283

 publications listing CME opportunities. Educational material utilizing innovative multimedia,
telemedicine, and distance learning instructional technology should be developed for CME and
serve as a resource for PAs practicing in underserved areas. These programs should provide
Category 1 CME credit and should be referenced through hyperlinks and the Web sites of
AAPA, SAMHSA, and AMERSA.
Responsible Agents. AMERSA, SAMHSA, AAPA, AAPA constituent chapters, Journal of the
Association of Physician Assistants, ADVANCE for Physician Assistants, Physician Assistant,
and Clinician Reviews.
Expected Outcomes. CME presentations on SUD at the annual AAPA meeting will increase.
The AMERSA speakers’ bureau will include PAs and will be distributed to the AAPA and its
constituent chapters. An online CME program in SUD will be available through the AAPA Web
site. SAMHSA will offer CME Category 1 programs through its Web site. PA publications will
include more articles on SUD.

7. Interdisciplinary programs should be provided for postgraduate profes-

sional education in SUD.
Rationale. PAs who specialize in SUD or whose practices include patients with SUD desire and
require additional training. Flexible interdisciplinary programs should be developed to meet
these educational needs.
Recommended Actions. Implement and evaluate interdisciplinary educational programs
regarding SUD that are delivered through distance technologies. Expand training grant opportu-
nities and modify training grant funding criteria where needed for allocation of funds to develop
advanced professional training in SUD for practicing PAs.
Responsible Agents. SAMHSA, AMERSA, and AAPA.
Expected Outcomes. Professional development programs regarding SUD will be offered in
residential and distance learning formats. PAs will participate in professional development
programs regarding SUD. The number of PAs participating in professional development pro-
grams regarding SUD will increase, as well the number of faculty teaching students as mentors
or preceptors.

Collaboration

8. PA educators should collaborate with educators from other disciplines to

provide students with substance abuse training and preparation for their
role as members of interdisciplinary health care teams.
Rationale. High-quality and cost-effective substance abuse practice requires interdisciplinary
collaboration among health care providers. With faculty and preceptors serving as models,
students will develop collaborative skills and gain appreciation of the roles of different disci-
plines in addressing substance abuse prevention and treatment. Training as a member of an
interdisciplinary health care team will prepare students to work effectively in interdisciplinary
practice settings.
Recommended Actions. PA programs must collaborate with other disciplines to provide
opportunities for students to learn from a variety of health care providers and with students
from other health-related professions. Continuing and professional educational programs on
substance abuse must incorporate an interdisciplinary treatment team approach. Funding must
be offered to support substance abuse curricular modifications that provide interdisciplinary
experiences.

284 JUDD, HOOKER, AND MORGAN

 Responsible Agents. HRSA/BHPr, APAP, PA Faculty Development Institute, and PA program
directors, faculty, and preceptors and other health professionals educators.
Expected Outcomes. Graduates will demonstrate effective skills in interdisciplinary collabo-
ration. PA programs will increase interdisciplinary substance abuse education. Practicing PAs
will participate in interdisciplinary professional development activities.

Funding

9. Funding to support faculty development, curricular change, interdiscipli-

nary collaboration, and research on SUD should be increased.
Rationale. Improvements in education and training regarding SUD for PAs will require funding
for faculty development, preceptor development, curricular development, and research to measure
the effectiveness of educational initiatives. Federal, State, and private agencies should provide
funding, since few PA programs have budgets sufficient to meet the need for future development.
Recommended Actions. Faculty development programs must be funded to improve sub-
stance abuse knowledge and teaching skills among PA faculty. Funds should be allocated to
support faculty involved in curricular development. Funds should be allocated to support
development of interdisciplinary programs. Research funds are required to assess the effective-
ness of educational initiatives and to identify best practices in substance abuse education.
Responsible Agents. HRSA/BHPr, private funding agencies, APAP, PA Faculty Development
Institute, and PA programs.
Expected Outcomes. Improved substance abuse education, practice, and research.

Research

10. The outcomes of educational activities for PAs and other disciplines
addressing SUD should be assessed.
Rationale. The effectiveness of educational efforts regarding SUD should be analyzed to guide
future planning. Outcome measures must assess not only whether students learn minimum
educational content regarding SUD but also the extent to which minimal competencies regard-
ing SUD are incorporated into clinical practice.
Recommended Actions. Allocate funds to support research on substance abuse education for
health professionals. Develop outcome measures that address both knowledge acquisition and
subsequent practice patterns. Evaluate the effectiveness of education regarding SUD. Dissemi-
nate research results to educators in the health professions.
Responsible Agents. HRSA/BHPr, AMERSA, AAPA, APAP, and other discipline-specific
educational organizations.
Expected Outcomes. Development of appropriate outcome measures for substance abuse
education. Increased effectiveness of education regarding substance use disorders. Development
of interdisciplinary research teams that may conduct future collaborative research.

11. PA workforce requirements and the cost-effectiveness of PAs employed

in specialized treatment programs for SUD should be assessed.
Rationale. Health care workforce requirements for PAs in substance abuse treatment programs
should be identified to guide future planning for appropriate training experiences at the PA

PHYSICIAN ASSISTANTS 285

 program, CME, and specialty professional development levels. It has been demonstrated that
PAs provide high-quality care at relatively low cost. If this can be demonstrated regarding
substance abuse treatment, intervention, prevention, and practice, PAs may be able to expand
their roles in this area. Data that detail the quality and cost-effectiveness of PAs in substance
abuse practice may enable PAs to gain more favorable reimbursement by third-party payers,
improved practice legislation, and employment opportunities in the area of SUD.
Recommended Actions. Funds must be allocated to support research on PA practice with
patients affected by SUD. Research studies should detail the quality, cost-effectiveness, and
workforce requirements for PAs in substance abuse in both general and specialty settings.
Research findings must be disseminated to Federal agencies, third-party payers, and corporations
managing health care.
Responsible Agents. HRSA/BHPr, AAPA, and APAP.
Expected Outcomes. Employment opportunities for PAs will expand in the area of SUD.
Government and third-party payers will provide adequate reimbursement for treatment of
patients with SUD by PAs. States will adopt favorable practice regulations to support PA
substance use disorder practice, including expanded prescribing privileges. The appropriate
amounts and types of training experiences in SUD will be offered to PAs. Workforce needs for
PAs in the area of SUD will be met.

Summary
Barriers to improved substance abuse education for PAs include limited time in curricula, a
shortage of appropriate clinical training sites, insufficient faculty experience and interest
regarding SUD, lack of advanced training opportunities for practicing PAs, and inadequate
funding for innovative program and faculty development.

286 JUDD, HOOKER, AND MORGAN

References
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PHYSICIAN ASSISTANTS 287

 CHAPTER 9

Educating Psychologists about

Substance Abuse
WILLIAM R. MILLER, PHD

Introduction
Psychologists represent a major and highly trained resource in addressing the nation’s health
problems, including substance use disorders (SUD). All States control the practice of psychology
by licensure. The membership of the American Psychological Association (APA) exceeds
155,000. The terminal degree in psychology is a Ph.D. or Psy.D., which is required for licensure
to practice independently as a psychologist. There are 801 graduate training programs accred-
ited by the APA.
Nevertheless, routine training in the recognition, diagnosis, assessment, and treatment of
SUD has been surprisingly slow to emerge within the discipline of psychology. Few training
programs have required courses on SUD, and there has been an informal tradition of psycholo-
gists referring patients with these disorders to specialist treatment programs. The APA in 1996
began offering a Certificate of Proficiency in the Treatment of Alcohol and Other Psychoactive
Substance Use Disorders, and more than 1,000 psychologists hold this certificate. Division 50
(Addictions) of APA, although one of the most recent of the organization’s 55 special interest
divisions, is a quite active one. It currently has around 1,200 members. The older Division 28
(Psychopharmacology) has more than 800 members.
Psychologists bring special expertise to the addiction field because they have been trained
both as scientists and (in the case of clinical and counseling psychologists) as practitioners. This
dual scientist–practitioner training is unique among the health professions, most of which
provide training in a professional school apprenticeship model that does not prepare degree
candidates to generate new knowledge as scientists. The value of a scientist–practitioner
perspective is evident in the substantial impact already made within the addiction field by a
small minority of psychologists who have focused their attention on SUD.1
The primary focus of this paper is the unique contributions of psychologists to the addiction
field and the training needs of psychologists in this content area. The advocacy for psychology
contained in this document is in no way meant to diminish the important contributions of other
disciplines to the field of SUD. Psychologists are accustomed to working in multidisciplinary
teams, benefiting from and complementing the expertise of colleagues.

Core Values and Paradigms of Psychology Psychological intervention is applied behavioral science,
much as medicine is applied chemistry, biology, and physics.
Psychology is the science of behavior. Clinical and counsel-
ing psychologists are trained in the practical application of The dominant paradigm for the training of the clinical
scientific principles of human behavior. The core values of psychologist, known as the “Boulder model,” involves
the discipline of psychology include a commitment to the simultaneous and integrated training as both scientist and
use of evidence-based methods in addressing human and practitioner. Psychologists not only apply but also generate
social problems. scientific knowledge. This is clearly true in the addiction
field, where psychologists generate a majority of funded
Psychologists focus on substance use as a complex
research proposals and publications on the nature, treat-
behavior that is shaped and can be influenced by the same
ment, and prevention of SUD. This scientist–practitioner
psychological processes (e.g., learning, conditioning,
training is unique to the discipline of psychology. Other
cognition, social influence) that affect other behaviors.2,3
major clinical disciplines, including medicine, psychiatry,

289
social work, nursing, and counseling, do not routinely train significantly reduce heavy drinking and related conse-
practitioners as scientists, but operate within a professional quences. A majority of the clinical trials demonstrating this
school apprenticeship model. It must be noted, however, effect and clarifying the critical components of effective
that within psychology a similar professional school model brief intervention have been directed by psychologists. This
of training has evolved over the past 30 years, in parallel literature has important implications for intervention through
with the historical scientist–practitioner model. At first, health and social systems9 and with high-risk populations.10
professional schools offered a Psy.D. rather than Ph.D.
degree, distinguishing the two models of training. More Community Reinforcement Approach
recently, however, professional schools have also begun to The community reinforcement approach (CRA) to treat-
award the Ph.D., creating some confusion regarding the ment of SUD was developed by Nathan Azrin in the late
type of training that psychologists receive. 1960s. It is fundamentally an application of operant
Clinical psychology is only one specialization within (reinforcement) psychology, focusing on the relationships
the much larger discipline of psychology. “Experimental” between the individual and his or her social environment.
psychologists (those not clinically trained) also have made CRA has become one of the most strongly supported
major contributions to the understanding of SUD, within treatment methods for alcohol11 and cocaine dependence,12
specialties including cognitive, developmental, learning and and has yielded excellent results with difficult-to-treat
memory, personality, and social psychology, psychopharma- populations, including the homeless.13 More recently, CRA
cology, and neuroscience. Psychological research has made has been adapted to intervene through concerned family
important advances in areas such as memory,4 drug members when an individual who uses alcohol or other
tolerance,5 drug effects and dependence,3,6 and fetal alcohol drugs refuses to seek treatment, resulting in subsequent
syndrome.7 treatment engagement in two-thirds of cases—substantially
higher than engagement rates with two traditional ap-
proaches.11,14 Therapist resources for the delivery of CRA
Historical Contributions of Psychology to the have been published by NIDA15 and others.16 All of the
Understanding, Treatment, and Prevention principal developers and evaluators of CRA have been
psychologists.
of SUD
Psychology has played a leading role in understanding, Behavioral Self-Control Training
treating, and preventing SUD. This is reflected in the fact Another psychological strategy for treating and preventing
that at the time of this writing, the presidents of all three SUD is to teach behavioral self-management strategies
major scientific societies of the addiction field—the College (BSCT). A large literature supports the efficacy of this
on Problems of Drug Dependence, the Research Society on approach,17 which appears to be particularly useful at
Alcoholism, and the Society for Research on Nicotine and earlier stages in the development of alcohol problems and
Tobacco—are psychologists. Psychologists have always dependence. Highly cost-effective self-change strategies have
been prominently represented on the editorial boards of been developed by psychologists for delivering BSCT,
major scientific journals of the addiction field and among including self-help guidebooks18,19 and computer-based
grantees of the two major Federal funding agencies for interventions20 that require minimal professional consultation.
scientific research on SUD: the National Institute on
Alcohol Abuse and Alcoholism (NIAAA) and the National Social Skills Training
Institute on Drug Abuse (NIDA). Another well-supported treatment and prevention strategy
Psychologists have contributed strongly to current involves the teaching of effective drug-free coping skills,
evidence-based treatment and prevention strategies. particularly social skills. The clinical and outcome literature
Psychosocial approaches are prominent among treatment on this treatment approach has again been produced almost
methods with demonstrated efficacy. A recent review of entirely by psychologists.21,22 A more general widely used
the alcohol treatment outcome literature,8 for example, coping skills approach, known as “relapse prevention,” was
found the 10 most strongly supported treatment methods also developed and evaluated by psychologists.23-26
to include two medications (acamprosate and naltrexone)
and eight psychosocial approaches (behavior contracting, Motivational Enhancement
behavioral marital therapy, behavioral self-control training, In a fundamental sense, addiction is a motivational
brief interventions, community reinforcement approach, problem.2 The short-term motivation to continue substance
motivational enhancement therapy, self-change strategies, use overrides self-regulatory processes that normally protect
and social skills training). against long-term harm. Psychological approaches have
been developed and tested that focus directly on motiva-
Brief Interventions tion for change. Some of these involve the use of overt
An important finding in the alcohol treatment literature is incentives for behavior change.27 Others, such as motiva-
that relatively brief interventions (one or two sessions) can tional interviewing,28 enhance intrinsic motivation for

290 MILLER
change. Clinical trials have provided strong support for the Psychologists have also taken a lead role in research
efficacy of motivation-focused approaches. and interventions for smoking.39 Psychological approaches
such as the transtheoretical model40 have strongly shaped
Behavioral Marital Therapy research and practice, and psychologists constitute a
Many strategies have been suggested for working with majority of NIDA’s grantees studying the prevention and
couples when one or both have a SUD. Of these, the only treatment of nicotine dependence.
approach strongly supported by empirical evidence is Psychology has contributed substantially to formal
behavioral marital/couples therapy (BMT), developed and theoretical and conceptual foundations of the addiction
evaluated primarily by psychologists, including Richard field.41-44 Influential psychological models include
Longabaugh, Barbara McCrady, and Timothy O’Farrell. The transtheoretical,45 self-regulation,46-47 family,48,49 motiva-
inclusion of a spouse or significant other in such treatment tional,50-51 cue reactivity,34 biopsychosocial,43 vulnerability,52
significantly improves outcomes.29 BMT focuses on self-handicapping,53 and relapse theories.25
improving the quality of communication, decreasing
Psychologists have also expanded the understanding of
aversive interactions, and increasing shared positive
special aspects of SUD among women,54,55 youth,56-60 and
reinforcement by the couple.
minorities.61,62 Psychologists have been prominently
involved in cutting-edge issues of the field, such as the
Pharmacotherapy emergent debate on harm-reduction approaches,63 and
Psychologists also have contributed substantially to have contributed substantially to research on the delivery
research on psychopharmacology and have been actively of health services to persons with SUD.64
involved in clinical trials of medications in the treatment of
Finally, assessment and psychometric development are
SUD.30-32 The two most promising pharmacotherapies for
core competencies of the discipline of psychology. Psy-
alcohol dependence, acamprosate and naltrexone, are
chologists have developed and provided psychometric
being tested in an 11-site clinical trial funded by NIAAA.
validation for many of the major assessment instruments
A majority of these trials are headed by a psychologist.
and methods used in the addiction field.65,66 Well-validated
A principal challenge in effective pharmacotherapy, and in
examples include the Alcohol Use Inventory,67 the Addiction
substance abuse treatment more generally, is patient adher-
Severity Index,68 and the timeline follow-back method.69-71
ence, another area where behavioral strategies have been
effectively applied.33 In 2002, New Mexico became the first
State to approve prescribing privileges for psychologists, a Psychologist Work Settings and SUD
trend that is likely to spread rapidly to other States and to
Beyond the scientific contributions of psychologists to the
further enlarge the role of psychologists in pharmacotherapy.
addiction field, clinical and counseling psychologists also
Psychologists also continue to develop and evaluate work in settings where a high percentage of patients
promising and innovative treatment methods for SUD, such present with SUD as part of the clinical picture. Psycholo-
as cue exposure34 and cognitive therapy.35 The develop- gists are often employed in the following settings:
ment and evaluation of new psychosocial treatment
approaches is a core competence of psychologists, who are Mental health systems, where the prevalence of dual
prominently represented among funded investigators in disorders (SUD plus a major mental disorder) is widely
NIDA’s Behavioral Therapy Development Program. recognized. SUD occur at a high rate in combination with
Psychologists also have been influential in the development virtually every major class of problems presenting to mental
of less scientific traditional treatment approaches in the health clinics: affective disorders, anxiety disorders,
addiction field. Dominant among these has been the 12- posttraumatic stress disorder, psychoses, and personality
step treatment philosophy, which based on principles of disorders. Roughly half of patients seen at mental health
Alcoholics Anonymous (AA) and related programs. The centers have a concomitant SUD.72
development of AA itself was influenced by psychologists, Health care systems, where documented high rates of
including William James and Carl Jung, and the translation undiagnosed SUD contribute to, exacerbate, and compro-
of this approach into psychosocial treatment programs has mise the treatment of medical problems. Rates of concomi-
been strongly guided by psychologists.36,37 tant SUD vary across specialty clinics and settings, from
Similarly, psychological approaches are prominent in 20% to more than 50% of patients.9 Psychologists are active
the catalog of scientifically validated treatment methods for in all Veterans Administration health care systems, where
drug dependence. The National Institute on Drug Abuse38 high rates of SUD are found and dual disorders present
recently issued a set of practice guidelines entitled Prin- challenges in treatment.
ciples of Drug Addiction Treatment: A Research-Based
Guide. All the methods listed as “scientifically based Correctional systems, where a majority of offenders
approaches to drug addiction treatment” are psychological committed crimes related to or under the influence of
treatments. alcohol or other drugs. The prevalence of SUD is extremely
high in prison populations (approximately 80%).

PSYCHOLOGY 291
School systems, where there is clear and warranted public efficacious are fundamentally psychological in nature or are
concern about high rates of underage drinking and illicit pharmacotherapies in which behavioral management (e.g.,
drug use. adherence) is a significant challenge. Motivational issues
are central in the etiology and resolutions of SUD. Clinical
Universities, where binge drinking occurs at a high rate skills (e.g., accurate empathy) commonly included in the
and contributes substantially to injuries, conduct problems, training of psychologists have been shown to be important
and academic failure. predictors of favorable treatment outcomes with SUD.
SUD treatment settings also employ psychologists, whose Given all of this and the ubiquitous nature of SUD in
training and ability to address not only SUD but general health and mental health care settings, one might expect
psychological problems is highly useful. that psychologists would be trained routinely to screen for,
Psychologists often hold influential administrative and assess, diagnose, treat, and prevent SUD. In fact, most
supervisory positions within such systems and are posi- psychologists receive very little specific knowledge of or
tioned to influence practice well beyond their own preparation for dealing with SUD during their training. One
individual work with patients. Psychologists are also well survey indicated that 91% of psychologists encounter SUD
prepared to evaluate prevention and treatment programs, in their daily work, but 75% had received no formal
by virtue of their integrated scientist–practitioner training. coursework on the subject, and half had received no
With rapid changes in health care economics, the demand training in SUD even during their internships.74 Instead,
has accelerated for competent program evaluation to psychologists, like other health professionals, have been left
demonstrate the outcomes of services. to refer patients with SUD (if recognized) to specialist
treatment programs.
Miller and Brown73 offer this summary of the situation
with regard to SUD and the discipline of psychology: Unfortunately, specialist treatment services for SUD in
the United States are often run and delivered by profession-
Psychologists should not and realistically cannot avoid
als or paraprofessionals without scientific training and, in
treating substance use disorders. They affect a substan-
some cases, with an antiscientific bias. Consequently, there
tial proportion of the general population, and are
is little or no overlap between the treatment methods used
particularly common among people seen for health
in standard practice and the approaches shown in clinical
and psychological care. Effective treatment of alcohol/
trials to be efficacious in treating SUD.8 If psychologists
drug problems is not a mysterious art. In fact, scientific
have learned little about alcohol and illicit drug problems
evidence is abundant and points to the efficacy of
during their routine training, they have been taught still
therapeutic styles and common treatment approaches
less about how to treat nicotine dependence, the SUD with
that are well within the repertoire of many psycholo-
the highest rates of mortality and morbidity. One-fourth of
gists. The specialist mystique that has surrounded
the U.S. population continues to smoke, and rates of
substance abuse treatment in the United States has
nicotine dependence are considerably higher than average
needlessly dissuaded psychologists from offering
among patients of substance abuse, mental health, and
assessment and effective treatment, and is perhaps
medical facilities.
partly responsible for the limited routine coverage of
this area in the training of psychologists. Psychological Fortunately, this situation is in the process of being
models, assessment, and treatments have much to addressed within psychology. Thirty years ago, the addic-
offer in the care of people with these common tion field was regarded largely as a scientific and profes-
problems which are the source of so much suffering sional Siberia into which few psychologists ventured.
and mortality. Psychologists need at least basic Today, psychologists play a prominent role in addiction
competence to recognize, evaluate, and address theory, research, and practice. It is still, however, a small
addictive behaviors. This is likely to happen only if minority of psychologists who receive adequate training to
such preparation becomes a routine part of the training deal with what is likely to be second only to depression as
of clinical psychologists. the most common disorder that they will encounter
throughout their professional lives.

Psychology Training Initiatives Regarding SUD Several training efforts for psychologists have been
attempted over the years, some of which failed by historical
Psychologists have special expertise in the assessment, accident. NIAAA published a set of curriculum guides for
treatment, and prevention of SUD.73 The use of alcohol and use by faculty in the major health care disciplines. A
other drugs is first and foremost behavior that obeys curriculum guide for psychology faculty was completed by
ordinary principles and processes that are the domain of Sobell and Sobell75 but never released by NIAAA because of
psychology. SUD rarely occur in isolation, but in most cases a political controversy that had erupted around the authors
involve significant psychological and social problems, for at the time.76 A Faculty Development Program (FDP) was
which broad training in psychology is an excellent prepara- initiated to attract and prepare faculty in health professions
tion. The treatment approaches most strongly supported as (medicine, nursing, and social work) to work in the

292 MILLER
addiction field and was expanded to the discipline of organized into 12 Knowledge Categories (A through L),
psychology in 1991. Only one grant was awarded in each of which has a list of associated Knowledge Elements.
psychology, however, before the sponsoring institutes were All 12 categories are represented on each form of the
moved into the National Institutes of Health (NIH). national examination according to the percentages indi-
Direction of the FDP was assumed by the Substance Abuse cated after the title for each category. These percentages
and Mental Health Services Administration (SAMHSA), were established as a result of practice analysis and reflect
which was created to assume most of the training and the relative importance of each category for practice in the
programmatic functions previously administered by NIAAA treatment area as well as the amount of knowledge each
and NIDA. No further psychology applications were category contains. The following summaries were provided
accepted. by the APA College of Professional Psychology:
The APA admitted, in 1993, its 50th official division,
focusing on addictions, and extending beyond the focus of A. Clinical Pharmacology and Clinical Epidemiology
its prior Division 28 on Psychopharmacology. Division 50 of Psychoactive Substances (11%)
replaced a prior longstanding Society of Psychologists in Includes knowledge of classes, preparations, and
Addictive Behavior. Addiction treatment was chosen by routes of administration of psychoactive substances;
APA as the first (and thus far only) area in which to issue a major pharmacologic actions; psychological/behavioral
specialist Certificate of Proficiency through its College of effects; medical and psychosocial consequences of
Professional Psychology. The first study materials and acute and chronic use; trends in availability and use in
certificates were issued in 1996. This relatively new recog- the general population and in defined specific popula-
nition of the importance of SUD is further reflected in the tions such as ethnic minorities, adolescents, elderly,
recent publication by APA of major books in this area.27,77-79 pregnant women, and persons with coexisting Axis I
An excellent foundation for the training of psycholo- or Axis II disorders; pharmacological factors that
gists in SUD already exists. Three scientific societies underlie behavioral and psychological effects of
promote research in alcohol, nicotine, and other drug psychoactive substances; role of user expectation in
problems, and psychologists are prominently involved in all subjective and behavioral effects of use; adverse
three. The APA has in place a specialty certification psychological, behavioral, physiological, interpersonal,
program. Major associations of the discipline of psychology and social effects of psychoactive substance use
have divisions or special interest groups focused on disorders (PSUD).
addictions. Predoctoral and postdoctoral training programs Knowledge Elements
in psychology have been funded by NIAAA and NIDA. 1. Knowledge of classes of psychoactive substances
Progress has been slow, however, in integrating substance and specific substances within those classes,
abuse competencies into the routine training of psychologists. including central nervous system (CNS) stimulants
Once in practice, psychologists quickly recognize their (e.g., cocaine, caffeine, amphetamine, and meth-
need for training in SUD. Although few had received such amphetamine), CNS depressants (e.g., alcohol,
training prior to receipt of their Ph.D., 86% of psychologists benzodiazepines/anxiolytics, barbiturates),
had sought subsequent informal training through work- cannabinoids (e.g., marijuana and hashish), opioids
shops, supervision, and other sources.74 In a practice survey (e.g., heroin, methadone, and prescription narcot-
conducted by APA and the Center for Substance Abuse ics), hallucinogens (e.g., lysergic acid diethylamide
Treatment (CSAT), 62% of psychologists said that they had [LSD], psylocibin, mescaline, and peyote), inhalants
screened clients for SUD, 46% had diagnosed or conducted (e.g., amyl nitrate, butyl nitrate, and nitrous oxides;
a formal assessment of substance abuse, 35% had treated glues, solvents, and other volatile substances),
clients with a primary diagnosis of SUD, 76% had treated nicotine, steroids, etc.
clients diagnosed with SUD as a secondary disorder, and 2. For the most commonly used psychoactive
(tellingly) 80% had referred patients out to specialist substances within each class specified in Element 1
treatment for SUD within the past 12 months.80 (namely, alcohol, marijuana, cocaine, heroin,
benzodiazepines, LSD, inhalants, and nicotine):
Core Competencies Knowledge of preparations, routes of administra-
The discipline of psychology has developed a detailed tion, major pharmacologic actions; psychological/
outline of core competencies with regard to substance behavioral effects, (including craving, drug-seeking
abuse as part of the standards for the Certificate of Profi- behavior, and motivation for use); reinforcing
ciency in the Treatment of Alcohol and Other Psychoactive effects in animals and humans; medical and
Substance Use Disorders. An expert panel was convened psychosocial consequences of acute and chronic
by APA to specify the core knowledge areas to be included use; and most clinically significant drug combina-
in the proficiency examinations. The core knowledge is tions (e.g., cocaine and alcohol; heroin and
cocaine; alcohol and sedative-hypnotics).

PSYCHOLOGY 293
 3. For each of the psychoactive substances listed in Knowledge Elements
Element 2: Knowledge of trends in availability and 1. Knowledge of key findings pertaining to genetic
use in the general population and in defined and other biological risk/vulnerability to PSUD
specific populations such as ethnic and other (e.g., family transmission, brain neurochemical and
minorities, adolescents, the elderly, pregnant other biological susceptibility).
women, and persons with coexisting Axis I or Axis 2. Knowledge of psychosocial risk factors associated
II disorders. with etiology (e.g., family substance use and physical,
4. For each of the psychoactive substances listed in sexual and psychological abuse; early conduct
Element 2: Knowledge of pharmacological factors disorder and temperament traits (e.g., impulsivity);
that underlie behavioral and psychological effects environmental, cultural/social factors including
of psychoactive substances, including tolerance and availability and peer influence; individual psychopa-
cross-tolerance; mechanisms underlying psy- thology; attention and learning deficits; impaired
choactive effects, including drug-induced alter- affect regulation (e.g., self-medication hypothesis);
ations in brain receptor and neurotransmitter impaired behavioral self-regulation.
systems; time course of effects and aftereffects; 3. Knowledge of major psychological perspectives
development of physical dependency, including regarding the etiology of PSUD (e.g., operant and
acute and protracted withdrawal; half-life, metabo- classical conditioning models, social learning,
lism, and excretion; detectability in body fluids psychoanalytic, family systems, cognitive behav-
(urine and blood), including legal definitions of ioral, opponent process).
intoxication; and the most common drug–drug
interactions as they affect each of the preceding. 4. Knowledge of integrative models of etiology of
PSUD (e.g., biopsychosocial, community healing
5. Knowledge of user expectation as it influences models).
subjective and behavioral effects of psychoactive
substances (e.g., placebo effects and context C. Initiation, Progression, and Maintenance of PSUD
effects; balanced placebo research).
(5%)
6. Knowledge of adverse psychological and behavioral Includes knowledge of factors that contribute to the
consequences of excessive/pathological use (both initiation/use of psychoactive substance use; psycho-
acute and chronic, e.g., induced distortions in logical, biological, and social factors associated with
personality, affect, perception, cognition, coping the maintenance and progression of PSUD.
style and defenses, judgment, and other behav-
ioral/cognitive processes). Knowledge Elements
7. Knowledge of adverse physiological consequences 1. Knowledge of factors that contribute to initiation of
of excessive/pathological use (e.g., overdose, psychoactive substance use (e.g., availability,
contribution to human immunodeficiency virus exposure, peer influence, expectancy, and reinforc-
[HIV] and other sexually transmitted diseases ing drug effects).
[STDs], tuberculosis, hepatitis and other liver 2. Knowledge of psychological factors associated with
disease, gastrointestinal [GI] disorders, sexual the maintenance and progression of PSUD (e.g.,
functioning and fertility, fetal alcohol effects and conditioning and reinforcement, cognitive factors,
transient neonatal impairments, brain dysfunction). affective factors, personality, and temperament).
8. Knowledge of adverse interpersonal effects of 3. Knowledge of biological factors associated with the
PSUD (e.g., impact on marriage and family, maintenance and progression of PSUD (e.g.,
workplace colleagues, immediate social contacts; tolerance, physical dependence, metabolic factors,
impact on interpersonal violence and abuse and factors at the neurotransmitter level).
behavior). 4. Knowledge of social factors associated with the
9. Knowledge of adverse social effects of PSUD (e.g., maintenance and progression of PSUD (e.g.,
vocational, legal, and financial impact). familial factors, social/cultural environments that
support substance use, intergenerational PTSDs,
B. Etiology of Psychoactive Substance Use Disorders and societal attitudes and expectations towards
(6%) certain specific populations).
Includes knowledge of genetic and other biological
risk/vulnerability to PSUD; psychological and sociocul- D. Course/Natural History of PSUD (5%)
tural predisposing experiences; psychological, sociocul- Includes knowledge of long-term course of PSUD in
tural, and biological concepts of etiology; and integra- treated and untreated populations; heterogeneity in
tive models. course and the role of problem severity; alternatives to

294 MILLER
 formal treatment and circumstances under which they strategies; timing issues involved with assessment and
are sought and accepted by users; help-seeking and intervention techniques and their implications; collateral
alternatives to formal treatment and circumstances sources of assessment information; physical and sexual
under which they are sought and accepted by users; abuse and other trauma; assessment of the family system
“natural recovery” rates and factors associated with and its relationship to the PSUD of the client; use of
natural recovery. assessment data to select initial level of care, develop
an initial treatment plan, engage the client in treat-
Knowledge Elements
ment, and modify the plan during treatment.
1. Knowledge of long-term course of PSUD in treated
and untreated populations. Knowledge Elements
2. Knowledge of heterogeneity in course of PSUD, 1. Knowledge of screening instruments for individuals
including the role of problem severity. at risk for or experiencing PSUD, regardless of
presenting problem or complaint.
3. Knowledge of alternatives to formal treatment that
promote behavior change, and circumstances 2. Knowledge of types of biological approaches to the
under which substance users will seek out or be assessment of substance use, including measures
receptive to such alternatives. such as blood alcohol content (BAC), urine drug
screens, liver assays, hair analysis, and their proper
4. Knowledge of help-seeking for substance-related use and strengths and weaknesses.
problems, and the factors that promote or deter
help-seeking and motivation for change. 3. Knowledge of psychological approaches to the
assessment of current and past psychoactive
5. Knowledge of “natural recovery” factors associated substance use, including interviewing techniques,
with untreated recovery from PSUD. standardized interviews; standardized psychologi-
cal measures, and their proper use and strengths
E. Prevention, Early Intervention, and Harm and weaknesses.
Reduction (6%) 4. Knowledge of approaches to the assessment of
Includes knowledge of primary (universal) and current and past adverse psychosocial conse-
secondary (targeted) methods of prevention; harm- quences (“abuse”).
reduction methods; techniques of prevention, identifi-
cation, and early intervention and their effectiveness. 5. Knowledge of common cognitive deficits associated
with psychoactive substance use and familiarity
Knowledge Elements with common neuropsychological approaches to
1. Knowledge of methods of prevention of PSUD their assessment. (Note: “Familiarity with” implies
(including educational, skills-based, public health, basic knowledge.)
community, regulatory and supply-side methods; as 6. Knowledge of incidence, screening, and assessment
well as sociocultural, age-related, gender-based, and issues related to physical and sexual abuse and
other variants of these approaches). other traumatic experiences in relation to sub-
2. Knowledge of principles for identification and early stance use.
intervention in health care settings, schools, 7. Knowledge of principles for assessment of degree of
workplaces, the community, and family. physical dependence and need for medically
3. Knowledge of techniques for prevention and early monitored withdrawal treatment.
intervention, and their effectiveness. 8. Knowledge of interviewing strategies to reduce
4. Knowledge of harm-reduction approaches aimed at defensiveness and enhance cooperation and
preventing or reducing high- risk behaviors and motivation.
their negative consequences in the community, in 9. Knowledge of appropriate timing of assessment and
clinical populations, and in users’ significant others intervention techniques (e.g., the limited reliability
(e.g., needle exchange programs, condom distribu- and validity of tests given to persons in withdrawal
tion programs, and community education programs). and early stages of abstinence) and their implica-
tions for assessment.
F. Screening and Assessment of Psychoactive
10. Knowledge of types and uses of collateral sources
Substance Use (11%) of information in the assessment process (e.g.,
Includes screening for persons at risk for or experienc- spouse, employer, teacher).
ing PSUD; approaches to assessment of substance use
11. Knowledge of physical signs and symptoms of use,
and substance dependence, including need for
intoxication, and withdrawal (e.g., needle marks,
detoxification evaluation; principles for assessment of use
pupillary dilation or constriction).
history and current use patterns; effective interviewing

PSYCHOLOGY 295
 12. Knowledge of principles for assessment of the substance abusers; evidence for the effectiveness of
family system and its relationship to the PSUD of treatment methods; substance-specific treatments and
the identified family member. their effectiveness; adjunctive pharmacotherapies;
13. Knowledge of principles for utilization of assess- indications and contraindications for other pharmaco-
ment data to select an initial level of care for a logical agents; familiarity with acupuncture and other
client. alternative treatment approaches.
14. Knowledge of principles for the utilization of Knowledge Elements
assessment data to develop an initial treatment 1. Knowledge of clinical delivery systems, including
plan for a client. treatment settings (e.g. inhospital, nonmedical
15. Knowledge of principles for the utilization of residential, outpatient), treatment services (indi-
assessment data to engage the client in treatment. vidual, group, family therapy) and levels and
modalities of care (e.g., brief interventions,
16. Knowledge of principles for the utilization of
intensive outpatient, partial hospitalization,
ongoing assessment data to modify the treatment
therapeutic communities, and methadone mainte-
plan during treatment.
nance) as related to client placement.
17. Knowledge of alternative levels and approaches
2. Knowledge of major theoretical models of treat-
used by medical professionals for detoxification
ment, including their basic assumptions about
and withdrawal management.
etiology and how people change, strengths and
limitations, and empirical evidence (e.g., psychody-
G. Diagnosis and Comorbidity (9%) namic, behavioral, cognitive, family systems,
Includes DSM-IV criteria for diagnosis of substance- traditional disease, spiritual, 12-step, biomedical,
related and -induced disorders; differentiating and integrated models such as biopsychosocial,
substance-related disorders from other disorders; public health, and therapeutic communities).
comorbidity of substance-related with psychological
3. Knowledge of methods for delivering psychological
and behavioral problems; familiarity with medical
interventions to substance abusers.
conditions that are complicated or exacerbated by
psychoactive substance use. 4. Knowledge of principles for selection and use of
the various psychological therapies (including social
Knowledge Elements skills training, contingency management, motiva-
1. Knowledge of DSM-IV criteria for diagnoses of tional enhancement therapy, aversion therapies,
substance-related and substance-induced disorders, cognitive therapy, community reinforcement
as well as the criteria for the several DSM-IV approach, relapse prevention, stress management,
disorders frequently comorbid with the substance- behavioral self-control training, cue exposure,
related and substance-induced disorders. client-centered therapy, supportive/expressive
2. Knowledge of principles for differentiating therapy, psychodynamically oriented therapy,
substance-related disorders from other Axis I and cognitive-behavioral and structural-systems family
Axis II disorders, and the ability of psychoactive therapy) and 12-step facilitation.
substance use to mimic and/or exacerbate these 5. Knowledge of substance-specific (versus generic)
disorders. treatments (including treatments for nicotine
3. Knowledge of comorbidity (including incidence) of dependence) and their effectiveness.
PSUD with psychological and behavioral problems, 6. Knowledge of the appropriate role of pharmaco-
including Axis I and Axis II disorders. therapies in the overall treatment of addiction and
4. Familiarity with common medical conditions (e.g., evidence regarding their effectiveness; including
diabetes, hypertension) that are complicated or opioid substitution (methadone, levo-alpha-acetyl-
exacerbated by psychoactive substance use, and methadol (LAAM]), opioid antagonists (naltrexone,
indications for referral for appropriate assessment including its use with alcohol dependence),
and/or treatment. (Note: “Familiarity with” implies alcohol-sensitizing medications (disulfiram), and
basic knowledge.) nicotine replacement (e.g., patch, gum).
7. Familiarity with pharmacologic agents that are
H. Treatment I: Models and Approaches (14%) contraindicated for individuals with substance use
Includes knowledge of alternative treatment modali- problems (e.g., long-term use of minor tranquilizers
ties, settings, contexts, and levels of care; major in the treatment of alcohol use), as well as those
models of treatment; principles for selection and use of appropriate in the treatment of concomitant
psychological therapies and 12-step facilitation; psychopathology. (Note: “Familiarity with” implies
methods for delivering psychological interventions to basic knowledge.)

296 MILLER
 8. Knowledge of evidence for the effectiveness of abuser is seeking treatment).
treatment methods (including combined behav- 11. Knowledge of principles for managing the
ioral-pharmacological treatments). interfaces between addiction treatment and the
community (e.g., social service system, legal
I. Treatment II: Planning, Implementing, and system, ethnic/culture-specific institutions such as
Managing Treatment and the Course of Recovery mutual assistance societies, child protective
(16%) services, correctional facilities, vocational rehabili-
Includes knowledge of the phases, courses, or stages of tation, SSI, health care providers, health insurance
recovery and the treatments appropriate to each; companies, employers).
issues pertaining to motivation and readiness to 12. Knowledge of appropriate methods for treating
change; relevant research, theory, and practice criminal offenders (including driving while
pertaining to relapse; issues pertaining to treatment intoxicated and driving under the influence
goals; the course of withdrawal and resources for offenders).
detoxification; therapist behaviors facilitating treat- 13. Knowledge of the community self-help groups and
ment success; approaches for client-treatment match- groups available for significant others of substance
ing; dealing with concomitant diagnosis of substance abusers (e.g., Alcoholics Anonymous, Al-Anon,
use and other psychological problems; dealing with Narcotics Anonymous, Women for Sobriety,
severely mentally ill substance users; adjunctive use of Rational Recovery, nicotine-dependence support
self-help groups; treatment for family members; groups), including the basic philosophy and
treatment interfaces with work site and other aspects structure of each program, clinical procedures to
of the community; treatment of criminal offenders. facilitate involvement of clients and significant
Knowledge Elements others, and empirical evidence for effectiveness.
1. Knowledge of phases/courses/stages of recovery
and change, and the treatment goals, modalities, J. Issues in Specific Populations (6%)
and techniques appropriate to each. Includes knowledge of substance use patterns, risk
2. Knowledge of relevant issues and research related factors, course, concomitant psychological and social
to motivation/readiness to change. functioning, access barriers, and treatments for
children and adolescents, ethnic and cultural minority
3. Knowledge of relevant research, theory, and groups, women and men, gays and lesbians, older
practice on relapse (e.g., rates, temporal patterns, persons, persons with HIV, health care professionals,
varieties, conditions associated with relapse, and and the homeless.
prevention strategies).
Knowledge Elements
4. Knowledge of appropriate and realistic treatment
goals for individuals with PSUD. 1. Knowledge of substance use patterns, risk factors,
course, concomitant psychological and social
5. Knowledge of appropriate resources for detoxifica- functioning, access barriers, and treatments for
tion and the usual course of withdrawal. children and adolescents.
6. Knowledge of therapist behaviors that facilitate or 2. Knowledge of substance use patterns, risk factors,
hinder client engagement and retention in treat- course, concomitant psychological and social
ment (e.g., empathic style, telephone follow-up). functioning, access barriers, and treatments appropri-
7. Knowledge of different approaches for ate for specific ethnic and cultural minority groups.
client-treatment matching (e.g., preference, 3. Knowledge of gender-specific substance use
clinician assignment, cultural competence, patterns, risk factors, course, concomitant psycho-
placement protocols and decision rules). logical and social functioning, access barriers, and
8. Knowledge of methods for the treatment of persons effective treatments (including issues related to
with concomitant diagnoses of a PSUD and other perinatal substance use for women).
psychological problems. 4. Knowledge of substance use patterns, risk factors,
9. Knowledge of issues in the treatment of severely course, concomitant psychological and social
mentally ill individuals who are substance abusers functioning, access barriers, and treatments for
(includes sequencing of treatments, integration of gays and lesbians.
treatment approaches, issues of continuity of care, 5. Knowledge of substance use patterns, risk factors,
attention to social and environmental needs of course, concomitant psychological and social
severely mentally ill individuals). functioning, access barriers, and treatments for
10. Knowledge of effective treatment models for older persons.
family members (whether or not the substance

PSYCHOLOGY 297
 6. Knowledge of special issues related to substance L. Legal and Ethical Issues (5%)
abuse and treatment of persons with HIV. Includes knowledge of laws relevant to substance
abuse treatment (e.g., confidentiality, Americans with
K. Research Knowledge (6%) Disabilities Act [ADA]; application of ethical principles
Includes knowledge of research principles appropriate for psychologists to specific dilemmas of the substance
for evaluating substance abuse treatments; key findings use field.
in the current literature relevant to the effectiveness of
common forms of substance abuse treatment and Knowledge Elements
prevention; knowledge of databases, journals, and 1. Knowledge of Federal laws regulating confidentiality
central information sources for keeping abreast of new and disclosure of information for PSUD, and condi-
developments in the substance use field. tions under which the general laws do not apply.
2. Knowledge of relevant issues and regulations
Knowledge Elements
related to the ADA includes specialized treatment
1. Knowledge of research principles appropriate for programs and practices such as methadone
evaluating substance abuse treatments (including maintenance programs.
appropriate follow-up intervals, outcome domains,
comparison groups, outcome-oriented clinical 3. Knowledge of principles for dealing with dilemmas
record keeping). of contradictory legal and ethical demands that
relate to confidentiality, authorization, treatment
2. Knowledge of key findings in current literature implementation, and other treatment management
pertaining to the effectiveness of common forms of issues (e.g., adolescents’ confidentiality, pregnant
substance abuse prevention and treatment (includ- addicts, reporting of crimes, coerced treatment).
ing overall patterns in reduction in substance use;
improvement in personal and social function;
reduction in public health and public safety Vision for the Future
concerns; and success for gender, age, and ethnic All psychologists will be routinely trained to recognize,
minority populations). assess, diagnose, treat, and prevent SUD. Psychologists
3. Knowledge of databases, journals, and central will regard the treatment of SUD as a natural part of their
information sources useful for keeping abreast of practice, and a larger number of psychologists will choose
new developments in the substance use field (e.g., to specialize in research, prevention, and treatment of
National Clearinghouse on Alcohol and Drug SUD. Psychologists will use state-of-the-art, evidence-based
Information, ETOH (the NIAAA Alcohol and methods in their practice to assess, treat, and prevent SUD.
Alcohol Problems Science Database), DAWN (the
Drug Abuse Warning Network), Journal of
Substance Abuse Treatment, Journal of Consulting
and Clinical Psychology).

298 MILLER
 Recommendations
1. Commission a national survey of psychology training programs, through an
appropriate Federal agency, to study the nature and extent of preparation
of psychologists to address SUD.
Rationale. No reliable information is available on what psychology training programs are
already doing to prepare future psychologists to address SUD. Such a survey would serve as a
baseline measure and would point to the most pressing needs and promising directions. The
survey would be repeated to assess the extent to which desired changes in training have
occurred.
Recommended Actions. Issue a competitive Request for Applications (RFA) to perform the
research, to be reviewed through normal scientific peer review processes within an appropriate
agency of the NIH.
Responsible Agent. NIH.
Expected Outcomes. Within 2 years from the time of award, survey data will be available to
clarify what is already being done within training programs to prepare psychologists to address
SUD.

2. Work with the American Psychological Association to ensure that appropri-

ate substance abuse content is integrated into the mainstream coursework
of all APA-accredited training programs, that elective coursework in addic-
tions is offered, and that clinical and internship training include experience
in treating SUD.
Rationale. Coursework requirements in clinical psychology training programs are already high,
and an attempt to add required specific coursework on SUD is likely to meet with resistance.
Indeed, there could be just as compelling an argument to require specific coursework on other
common forms of psychopathology (e.g., affective disorders, anxiety disorders). A more promis-
ing approach is to ensure and enable the inclusion of SUD in the already-required mainstream
coursework through which psychologists acquire competence in the recognition, diagnosis,
assessment, treatment, and prevention of other disorders. There are also ample opportunities to
gain clinical experience in the treatment of SUD, and these should be incorporated into clinical
training programs and internships.
Recommended Actions. Develop specific SUD modules to be used in common core courses
of psychology curricula, providing up-to-date knowledge in teacher-friendly formats. Find ways
to make these available free of charge to psychology faculty, both in hard copy and electroni-
cally. Target courses would include core coverage of psychopathology, assessment, psychophar-
macology, and psychotherapies. Encourage psychology training programs and internships to
include substance abuse treatment agencies among the supervised practicum placements used
in training. Incorporate SUD competency training among the criteria used by APA during
accreditation site visits of prospective and ongoing training programs. Encourage psychology
training programs and internships to include health and social service systems among their
training settings, with a specific objective of addressing SUD in those settings.
Responsible Agent. APA.
Expected Outcomes. Within 5 years, the APA will have developed standards for the inclu-
sion of SUD content in the standard training of psychologists, and will have published a set of
specific SUD modules as resources for core courses in the graduate training of psychologists.

PSYCHOLOGY 299
 3. Work with the National Institutes of Health to resume a scientifically
focused Faculty Development Program in Psychology, to attract and pre-
pare psychology faculty to work in the addiction field.
Rationale. Accomplishing Recommendation 2 will require an expansion of the number of
psychology faculty with expertise in SUD. The FDP has been quite successful in other disci-
plines as one approach for increasing the supply of faculty with specific interest and expertise in
SUD.
Recommended Actions. Reopen or develop a new FDP in psychology, to prepare faculty in
the scientific and clinical expertise needed to train future psychologists in SUD
Responsible Agents. NIAAA, NIDA.
Expected Outcomes. Within 5 years, one or more RFAs will have been issued inviting
psychology training programs to apply for FDP grants.

4. Work with the National Institutes of Health to provide predoctoral training

grants for psychology programs to attract and train future psychologists to
conduct research on SUD.
Rationale. The predoctoral years are formative in determining the career focus of psycholo-
gists. Current National Research Service Award (NRSA) training in substance abuse is heavily
focused on postdoctoral training, and ample postdoctoral opportunities are thereby available to
psychologists who want to expand their expertise in this area. NIAAA currently funds only three
predoctoral NRSA training programs with a clinical focus, and NIDA has had none. The NIH
priority on patient-oriented research warrants the expansion of predoctoral clinical training
programs in this area.
Recommended Actions. Place high priority on predoctoral-level training to prepare psycholo-
gists for patient-oriented research on SUD.
Responsible Agents. NIDA, NIAAA.
Expected Outcomes. Within 5 years, NIDA and NIAAA will each have solicited and funded
at least three new predoctoral NRSA training programs focused on clinical research in SUD.

5. Work with the American Psychological Association and State licensing

agencies to ensure that psychologists have basic competence in the recog-
nition, assessment, prevention, and treatment of SUD.
Rationale. All psychologists are required to pass a written examination, and most States use a
common national exam. This exam should include knowledge content pertinent to SUD. Given
the frequency of SUD, State licensing boards should also be encouraged to include competency
content from this area in their oral examinations.
Recommended Actions. Dedicate an appropriate proportion of the national psychology
licensure examination to SUD content, and issue appropriate study materials.
Responsible Agent. APA.
Expected Outcomes. Within 5 years, the national examination for psychology licensure will
include an appropriate, specified proportion of items on SUD. Study materials for the licensure
examination will include corresponding SUD content.

300 MILLER
 6. Explore ways for psychologists to be more involved in routine health care
and social service systems to address SUD and psychological problems that
commonly arise and are not addressed in these settings.
Rationale. Most people with SUD never seek professional help from a specialist treatment
program. Most of them do, however, make use of health care and social service systems.
Comorbid SUD can contribute to, exacerbate, and complicate the delivery of effective services
for the problems that bring people to the attention of these systems. Nevertheless, little or
nothing is typically done in health care and social service systems to recognize and address
SUD. The professionals who work in these settings are reluctant to deal with SUD directly.
Psychologists are well prepared to be resources in such settings, but few models exist for such
integrated care.
Recommended Actions. Identify health care and social service agencies in which SUD are
effectively addressed on site, to determine models of integrated service that work. Solicit and
fund, through SAMHSA’s Center for Substance Abuse Prevention (CSAP) and CSAT, specific
initiatives to involve psychologists and other appropriately trained professionals directly in
health care and social service systems to address SUD, and evaluate the feasibility and effective-
ness of various approaches. Solicit and fund, through NIAAA and NIDA, health services
research projects to evaluate models for addressing SUD through health and social service
systems.
Responsible Agents. CSAT, CSAP, NIAAA, and NIDA.
Expected Outcomes. Within 2 years, SAMHSA will have identified and publicly profiled at
least six model programs where SUD are addressed effectively on site through health or social
service systems
Within 5 years, SAMHSA will have solicited and funded at least six specific projects to involve
psychologists and other appropriately trained professionals directly in health care and social
service systems to address SUD and evaluate the feasibility and effectiveness of these ap-
proaches. Within 5 years, NIH will have funded at least six health services research projects to
evaluate models for addressing SUD through health and social service systems.

PSYCHOLOGY 301
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PSYCHOLOGY 303
 CHAPTER 10

Incorporating Substance Abuse Prevention

into Public Health Curricula
CHRISTOPHER L. RINGWALT, DRPH, MSW

Introduction
This chapter presents a definition and an overview of the field of public health, which is perhaps
unique among the health professions in its primary focus on prevention rather than on early
intervention or treatment. A second unique feature of public health is an emphasis on popula-
tion-based strategies to improve the Nation’s overall health status. The history of public health-
related activities concerning substance abuse goes back at least 3,500 years, when regulations
pertaining to the supply and distribution of distilled spirits, particularly to intoxicated individu-
als, appeared in countries of the Middle East. Following the Renaissance, European societies
saw the need to begin to regulate the manufacture and supply of potentially harmful drugs and
toxic substances, especially as new substances such as tobacco and coffee were introduced from
the New World. Concern about the mood-altering and addictive properties of alcohol led to a
variety of reform movements that restricted and taxed the substance. As a profession, public
health emerged in the 18th and 19th centuries, as a means both to improve the living condi-
tions of workers and their families in rapidly urbanizing environments and harness new
scientific knowledge to control such diseases as cholera.
In the early years, many public health practitioners were given authority to control the
spread of disease; for example, “sanitary police” and “health commissioners” could quarantine
infected individuals and otherwise take actions to prevent or curtail epidemics. These profes-
sionals evolved into the uniformed Public Health Service officers of today. Allied health disci-
plines (e.g., pharmacists and nutritionists) were then recruited in public health to fill a burgeon-
ing need for specialists in these areas. In the second half of the 20th century, the reach of public
health into disciplines has extended to lawyers, social workers, psychologists, and sociologists,
many of whom have become involved in some facet of substance use and misuse. For example,
health educators, public health nurses, and maternal and child health practitioners are often
involved in substance use prevention; toxicologists and biochemists may investigate the
chemical composition of both legal (e.g., tobacco) and illegal substances; and health policy
analysts may assess the consequences of laws restricting access to, or use of, legal substances.
In addition to defining public health as a field, this chapter describes how to develop public
health practitioners’ competencies in the prevention of substance use disorders (SUD). Public
health practitioners, especially those in the fields of health education, maternal and child health,
and community health nursing, are increasingly called on to develop, implement, and evaluate
strategies to prevent SUD at the individual, community, and societal levels. Unfortunately,
relatively few schools of public health have instituted curricula that address SUD prevention,
and many practitioners enter this field with a professional public health degree but little
understanding of the core theory, knowledge, and skills essential to effective practice.
The heterogeneity of disciplines to be found within graduate schools of public health
presents a challenge for curricular reform and for efforts to infuse the public health curriculum
with a standard set of core concepts, principles, and methods. Each health-related disease or
condition has its own constituency, and each clamors for a place in an increasingly crowded
curriculum. While schools of public health have adapted to this heterogeneity in many ways,
most require a core curriculum for graduate students that includes (1) a practice-oriented
review of public health techniques (e.g., mass immunization, waste disposal); (2) an understand-
ing of the public health approach to prevention and early intervention; and (3) a grounding in

305
 the quantitative sciences of public health (e.g., biostatistics and epidemiology). By tradition, the
subject matter used to illustrate concepts, principles, and methods of hygiene and public health
has largely been drawn from the domain of infectious diseases; cancer, heart disease, and
tobacco use are more recent entrants into the curriculum. This subject matter has been pre-
sented not only in the form of lectures but also in “laboratory” exercises or problem sets
through which students practice specific techniques and methods.
With respect to training in the prevention of SUD, there is a considerable challenge
associated not only with the heterogeneity of the public health field but also with the diversity
of trainees within public health. It is unlikely that the curriculum will be enlarged to include a
new course on these problems, and even if it were, it is probable that no one set of competencies
could meet the diverse needs of the disciplines represented. More likely is the potential for
subject matter related to substance abuse and its prevention to be introduced by attractively
developed laboratory exercises and problem sets that are integrated into current courses.
Substance abuse is our country’s primary public health problem, and to the extent that its schools
of public health are ignoring the prevention of SUD, they are failing to address their mission.

Core Values and Paradigms of Public Health As discussed by Rosen,6 public health has a long and
rich history that dates back to ancient civilizations such as
There have been many efforts to develop a mission those of India and Egypt, where one may find evidence of
statement for the field of public health. In the celebrated concern for clean water and the sanitary disposal of
Shattuck Report of 1850, public health was described as sewage, as well as of efforts to understand the causes of
seeking to promote “the conditions of perfect health, either disease. A growing awareness of public health issues can
public or personal,”1 a definition that is supported today by also be found in Hippocrates’s efforts to understand the
the World Health Organization.2 Other observers have relationship of health to environmental factors, including
mentioned the role of public health in protecting the public climate, water, and nutrition. The Romans contributed an
from the risks engendered by living together in commu- emphasis on personal hygiene, the sanitary disposal of
nity3 and in promoting social justice.4 The field’s mission sewage, a clean water supply, and the availability of
and purpose are specified by the Institute of Medicine medical care through public hospitals. Indeed, it was the
(IOM)5 as “fulfilling society’s interest in assuring conditions Romans who gave the field of public health its most lasting
in which people can be healthy.” Elsewhere in the IOM epigram, “Salus publica suprema lex.”
report, public health professionals are charged to serve “as
stewards of the basic health needs of entire populations,” Public health has traditionally been concerned with
responsible for “reducing human suffering and enhancing such issues as clean water, effective sewage disposal,
the quality of life.”5 Collectively, public health may be sanitary food and housing, maternal and child health, the
described as a field dedicated to identifying and enhancing, understanding and control of communicable diseases and
through population-based strategies, personal and social the spread of epidemics, and the availability of health care.
conditions in which people can achieve and maintain Within the last two centuries there have been many
health as they live together in community. additions to this list. These include concerns for assessment
and amelioration of environmental hazards such as air
Several other core values deserve mention. Public pollutants and toxic substances, injury control, adolescent
health rests on a strong scientific foundation and, more pregnancy, and cancer and cardiovascular diseases, as well
particularly, on an orientation toward evidence concerning as the study of genetic disorders.
“what befalls the people,” which is the root meaning of
epidemiology. This tradition is reflected both in the careful Another emerging area of focus is behavioral health,
collection and analysis of population-based data sets pertain- which includes mental health and alcohol, tobacco, and
ing to threats to public health and in the field’s support of other drug problems. This is distinct from health behaviors
community-based trials of such prevention strategies as the that affect health status and includes exercise, sexual
polio vaccine. Another core value of public health is balancing practices, sleep habits, and preventive care. Because of the
individual well-being and rights against community good, diversity of health issues that are addressed, schools of
as in the case of quarantines imposed on individuals with public health generally have multiple divisions, including,
infectious diseases, the control of addictive substances, and for example, epidemiology, biostatistics, chronic disease,
regulations concerning toxic automobile emissions. A final and maternal and child health. Within these divisions there
core value of public health is the emphasis on population- is further specialization of faculty. For example, someone in
based strategies that seek to improve the health of groups. a division of epidemiology may focus on cancer epidemiol-
ogy, or someone in a maternal and child health division
may explore issues related to children’s mental health.

306 R I N G WA LT
Table 1. Examples of the Prevention of SUD Using the Public Health Matrix
Agent Host Environment

Universal Limits on alcohol content of beverages School-based drug prevention Taxes on alcohol and tobacco products
sold in convenience stores curricula
Selective Abolition of beer kegs as a mechanism Drug prevention programs Responsible-server training
for distributing alcohol in college towns for runaway youth
Indicated Promotion of alcohol- and tobacco-free Tobacco-cessation programs Revocation of alcohol licenses of bars
homes of youth who have initiated for pregnant teens selling to minors
substance use

In order to have an impact on health and to provide problem use fall within this domain. Tertiary prevention
preventive services at all levels, it is necessary to influence activities target rehabilitation or chronic care and include
policy development and implementation as well as program such activities as relapse prevention.
and institutional administration. For this reason, schools of The concept of primary, secondary, and tertiary
public health have developed programs that address these prevention is being supplanted by a new classification
areas by providing students with core public health system developed by the IOM.8 Under this schema,
knowledge and skills supplemented by course work in activities that target entire populations, such as media
management strategies, finance, health economics, and campaigns and school-based drug prevention curricula, are
health policy. universal in nature. Strategies that address populations that
Public health practice has two principal paradigms. are at risk for a disease or condition, by virtue of some set
The first and older paradigm is the trifurcation of the of characteristics of a group with which they are associated,
determinants of public health problems into host, agent (or are termed selective. Examples of such populations include
vector), and environmental factors. Host factors are those pregnant adolescents and runaway or homeless youth.
that characterize individuals who have, or who are Strategies designed for individuals at high risk for (but not
susceptible to, a health problem or disease; agent factors yet manifesting clinical signs of) disease, such as youth who
are those that describe the principal cause of the disease; are diagnosed with conduct disorders or who affiliate with
and environmental factors are those that increase or drug-abusing peer groups, are indicated in nature.
mitigate risk for disease. In the field of SUD, the host As seen in Table 1, one potentially useful way to
comprises the biogenetic and psychological characteristics conceptualize the public health approach to the prevention
of individuals who are susceptible to abuse or addiction; of SUD is to develop a nine-celled matrix comprising
alcohol, tobacco, or other drugs constitute the agents of agent–host–environment in one dimension and universal–
addiction; and the environment includes SUD-related risk selective–indicated in the other. This matrix also includes
and protective factors in the family, peer, community, an example of strategies that are pertinent to each cell.
cultural, and sociopolitical domains.7 The agent–host–
environment model arose to help explain why individuals
with a similar level of exposure to a disease or other Work Settings
adverse condition differ in their response to it, that is, why There are now an estimated 50,000 public health profes-
some get sick while others do not. Thus, the model may be sionals who are members of the American Public Health
seen as a paradigm of multifactorial disease causation that Association (APHA) and who work in a broad range or
reflects the understanding that a knowledge of disease practice settings. Many of these professionals have received
agents, by itself, does not lead to effective public health training from one of the nation’s 29 accredited professional
practice. schools of public health.
The second paradigm pertains to the concepts of The greatest concentration of activities related to
primary, secondary, and tertiary prevention. Activities public health occurs within the context of State and local
relevant to primary prevention are designed to inhibit the public health departments. Fields of public health practice
initial occurrence or incidence of disease: for example, in these settings are numerous and varied. They include
activities designed to inhibit adolescents’ initial use of maternal and child health, access to care, home health and
alcohol or tobacco. Secondary prevention refers to long-term care, injury prevention, dental health, health
activities that address treatment of a disease shortly after its promotion and planning, family planning, immunization,
detection and early in its course. Strategies designed to disposal of hazardous materials, control of adolescent
ensure that occasional substance use does not progress to

P U B L I C H E A LT H 307
pregnancy and venereal disease, collection of vital statistics, public policy. In addition, the strategic use of newspapers,
laboratory investigations, regulation of the environment, coupled with a series of memorable engravings published
occupational health and safety, inspection and licensing, by the artist Hogarth and aptly titled “Gin Lane,” set the
policy development, epidemiological assessment and stage for subsequent antidrug media campaigns.
surveillance, prevention of SUD, and mental health It is difficult to separate the role of public health from
promotion.9,10 As the IOM5 suggests, there are many other that of social forces in the other policy- and practice-related
settings for public health practice in both the public and initiatives that have occurred over the past 250 years. For
voluntary sectors. Indeed, many professionals in the fields example, neither the temperance movement of the 19th
of medicine and allied health practice public health, century nor the Prohibition Era of the early 20th received
whether they are cognizant of it or not. These include State much support from the public health community. One
and local government staff who attend to policy related to reason may be that both movements were based on a
public health, as well as environmental health, social model that viewed alcoholism as a consequence of
services, and mental health staff, and hospital, nursing, and individual immorality or pathology.7 Only recently has a
other medical personnel who practice preventive and perspective emerged that is congruent with a public health
community medicine.11 Critical public health work is also model, which views alcohol as interacting with and
conducted by staff associated with community-based exacerbating a range of psychological and social problems
nonprofit organizations. and that sees alcohol dependence as widespread and
The evidence base for public health practice comes multicausal.
from a broad range of research strategies and environ- In the area of tobacco control, little was accomplished
ments. Faculty and students at schools of public health may by the field until the publication in the mid-1960s of the
use the community as their research laboratory. In such a first U.S. Surgeon General’s report on smoking. This report,
setting, research may consist of the testing of a new which detailed the adverse consequences of smoking, led
intervention, such as needle-exchange program, or of the to a proliferation of tobacco-cessation programs and to
evaluation of a clinical preventive service that is offered by privately sponsored anti-tobacco media campaigns.12
a neighborhood health clinic. In the laboratory, agents of Subsequent action by the Federal Government led to the
infectious disease and their mechanisms of action may be Health Cigarette Smoking Act of 1969, which banned
identified. Through the use of large, population-based data tobacco advertisements on television. During the latter part
sets, risk factors for disease occurrence are studied and of the 1970s and well into the 1980s, public health efforts
interventions evaluated. Policy analyses explore the impact to control tobacco were largely ineffective, although the
or potential impact of laws and regulations that affect actions of a variety of private advocacy groups resulted in
health- or disease-related morbidity and mortality. Health the banning of tobacco use on domestic airline flights in
services research focuses on systems of delivering preven- 1987. The following decade saw a series of State-level
tion or intervention services. policies designed to regulate smoking in public buildings
and workplaces and to eliminate tobacco vending ma-
chines. Current public health measures to prevent smoking
Historical Profile of Work in the Prevention focus on decreasing sales by retail outlets to underage
of SUD youth, as mandated by the provisions of the Synar amend-
Until quite recently, the prevention of SUD was quite ment. Raising the sales taxes on tobacco products is
ancillary to the field of public health. The standard history another strategy. Other public health efforts are funded by
of the field6 makes no mention of tobacco or drugs and the States’ allotment of funds from settlements by the
discusses efforts to prevent alcohol abuse only in passing— tobacco industry; however, not all States have chosen to
in reference to a campaign in England in the mid-18th use these funds to improve public health.
century. This campaign is nonetheless instructive in that it In regard to preventive education, beginning in the
represents one of the most successful efforts of early social l970s a number of voluntary agencies, including the
reformers to stem an epidemic of alcoholism caused by the American Cancer Society, the American Heart Association,
ready availability of cheap gin. Coordinated social action on and the American Lung Association, played major roles in
the part of the nascent public health community, in the educating the public concerning the dangers of tobacco
form of newspaper articles and editorials and the support of use. The 1970s also saw the beginning of a national effort
local magistrates and physicians, led to a large number of to prevent youths’ first use of tobacco and other substances
petitions that were presented to Parliament. As a conse- through classroom-based curricula. Many of these programs
quence, Parliament passed the Gin Act of 1751, which taught adolescents to recognize and discount media and
established the licensing of spirits and thus established peer inducements to use substances and attempted to teach
controls over their distribution. This experience set a appropriate refusal skills within the social context of their
precedent for social reformers in the field of public health peers.13,14 As the public health community has shown
in developing and organizing a campaign that influenced through a succession of evaluations and meta-analyses,

308 R I N G WA LT
approaches that involve adolescents in interaction with strating its effectiveness relative to its costs, and that
their peers show considerable promise, while traditional relatively few practitioners have found ways to draw on
didactic approaches (e.g., Drug Abuse Resistance Education support within the reimbursement context of managed
[DARE]) have generally failed to demonstrate positive care. Further, the standards of the main accrediting body
results.15 for schools of public health, the Council on Education for
Programming related to the prevention of SUD is now Public Health (CEPH), make no mention of SUD-related
flourishing in other areas. Examples include community- coursework or practice.
and worksite-based efforts, programs that target families, As the field matures and as its knowledge base grows,
and programs (for example, the current anti-drug media demand for SUD preventive practice is likely to increase.
campaign) that target certain States or the nation as a The need for effective prevention practices in school and
whole. Other advocacy groups, such as Mothers Against workplace settings is particularly critical. Today, most
Drunk Driving (MADD), are grassroots efforts that flour- schools of public health seem to have little sense of the
ished during the 1980s. These initiatives are too new to nature and extent of that demand. If mechanisms can be
have accumulated a convincing body of evaluative evi- found and implemented to determine the number of public
dence concerning their effectiveness. There are also health professionals currently practicing in the SUD field
significant public health efforts that address very high-risk and the need for such specialists in the future, schools of
populations, including persons who use addictive drugs public health will be induced to develop courses pertinent
that are illicit for adults and who are also at risk for HIV/ to the field’s core competencies. Before this can happen,
AIDS. Some of these efforts, including needle-exchange however, the field must come to some consensus as to the
programs, focus more on HIV prevention than on sub- nature of those competencies, although it is likely that such
stance abuse prevention. competencies vary across the field’s many disciplines.
Just as the field of prevention of SUD is fairly new in
public health settings, it is taught only sparsely and
inconsistently in the nation’s schools of public health. A
Core Competencies in the Prevention of SUD
questionnaire administered in 1996 to all the accredited Competencies related to the prevention of SUD in the field
schools of public health in the United States and Puerto of public health practice may be divided into two general
Rico16 revealed that only 14 schools offered courses in the areas required for entry-level practice, namely, core
prevention of SUD and that 10 of these offered at least two knowledge and core skills.
such courses during the 1995–1996 academic year. Johns
Hopkins University and the University of Minnesota both Core Knowledge
offered five courses, and the University of California and ■ Definitions, spectrums of, and measures of SUD
Loma Linda University offered four. Survey results also ■ Prevalence and costs of SUD in the population as a
indicated that 6 of the 27 schools offered a discrete track whole and in key at-risk subpopulations
concerning the prevention of SUD as an area of concentra-
■ Comorbidity of SUD with other diseases
tion, a certificate program, or a postdoctoral program.
While these data describe clearly identifiable courses or ■ Risk (mediating) and protective or resiliency (moderat-
programs, there is little information about the inclusion of ing) factors in the etiology of SUD, in the individual,
content concerning SUD prevention in other courses, such family, peer, school, community, and social domains
as injury epidemiology or prevention courses. Moreover, ■ Psychosocial consequences of SUD
there is no information available concerning the extent of ■ Relative effectiveness of prevention strategies targeting
students’ exposure to these courses.
universal and indicated populations in the key domains
specified above
Critical Issues, Obstacles, and Challenges ■ Biogenetic determinants of SUD and their interaction
Much work clearly remains to be done to develop a set of with psychosocial determinants
core competencies in the prevention of SUD that schools of ■ Key theories of individual behavior change, including
public health could integrate into their curricula. Half of social cognitive theory, the health belief model, the
the nation’s schools of public health offer no courses in the theory of reasoned action, and stages of change
prevention of SUD. Given the extraordinary breadth of the ■ Community-based change theory and the dynamics of
missions of schools of public health—to train practitioners social change
in content areas as disparate as biostatistics, epidemiology,
health education, parasitology, and environmental sci-
■ Effective social policies to limit the availability and
ences—it is hardly surprising that the SUD field has accessibility of substances, and the prevention of SUD
received short shrift. Moreover, it is not helpful that the within a broad sociopolitical context
field has experienced considerable difficulties in demon-

P U B L I C H E A LT H 309
■ Effective early intervention strategies in school and and programs in assessing the content and quality of their
workplaces, including student and employee assistance instructional programs. As specified in the CEPH regula-
programs tions, these programs must include five areas of knowledge
■ Confidentiality and informed consent issues in public that constitute the public health field, namely, biostatistics,
health practice epidemiology, environmental health sciences, health
services administration, and social and behavioral sciences.
■ Strategies for incorporating SUD prevention into general Unfortunately, accreditation standards pertaining to
public health practice. instructional curricula are quite general, and CEPH may be
reluctant to specify, as a core requirement, courses related
Core Skills to the prevention of SUD. That is not to say that CEPH is
■ Conducting population- and community-based SUD uninterested in this area; indeed, it sponsored the survey of
needs assessments and identifying resources available to schools of public health alluded to earlier.
meet those needs
Clearly, schools of public health that offer curricula
■ Preventing SUD in group contexts: peer groups, the related to the prevention of SUD, especially those with
family, schools, and the community multiple courses, should be supported and recognized, and
■ Effecting prevention with special populations as defined their curricula should be made widely available, as should
by ethnic or racial background, gender, sexual prefer- the history of how those curricula were developed and
ence, or other cultural characteristics, to ensure the realized. While such an initiative would undoubtedly be
sensitivity of programs targeted to these populations helpful, it is also likely to be insufficient, given that interest
and their evaluations in SUD in these schools is likely to have been generated by
■ Conducting SUD screening of selective and indicated only a few dedicated faculty. It is more reasonable to
populations expect that schools of public health will adopt such
curricula only when they perceive it is in their best
■ Engaging in transdisciplinary collaboration in the SUD interests to do so. If they are not persuaded to do so by
field, including encouraging medical providers to national accrediting bodies, they may be so induced either
conduct brief SUD-related screening and to make by their funders in the public sector or by their students.
referrals to treatment providers of individuals whose
screenings indicate cause for concern. A solution to this issue lies in developing strategies to
create a demand for instruction in substance abuse
prevention on the part of applicants, or potential applicants,
Vision for the Future to the schools of public health. Such instruction has already
been suggested in the mental health field by Duchnowski
If efforts to integrate the prevention and treatment of SUD
and Kutash (Developing Comprehensive Systems for
into the curricula of schools of public health are to bear any
Troubled Youth: Issues in Mental Health, unpublished
fruit, they should consider one of three general approaches.
paper, 1995) and others. If such a demand were created, it
The first, and most direct, approach would be to induce the
is likely that schools of public health would respond
CEPH to include minimum standards concerning education
positively, if only to position themselves to compete for
in the prevention of SUD in their curricula. This education
talented students. One strategy by which to generate such
could be in the form of discrete courses, or it could be
a demand would be to develop, at the State level, licensing
integrated into general curricular offerings (e.g., epidemiol-
requirements for public health practitioners who seek to
ogy, maternal and child health, and health education).
practice prevention within publicly funded contexts or to
Accompanying such an effort would be the dissemination
reward those who possess such licenses with a variety of
of model curricula already in place in the schools of public
incentives, including higher salaries and greater opportuni-
health. The second approach is to generate a demand for
ties for advancement. Unfortunately, the political will to
SUD curricular content among students seeking profes-
implement such requirements appears at present to be
sional education in public health. The third approach is to
lacking. Licensing requirements for public health preven-
increase the number and quality of faculty who are
tion professionals are all but nonexistent in most States,
interested in research and teaching in the SUD prevention
and the APHA has only just begun to explore the notion of
area. The following paragraphs discuss each of these
credentialing the public health workforce.18 However, this
alternatives.
notion constitutes an idea whose time may be approaching,
In the United States, one professional organization, the as the field matures, becomes more sophisticated, and
CEPH, accredits schools of public health.17 CEPH also demands the implementation of prevention strategies that
accredits a number of graduate-level public health pro- have an evidence-based record of effectiveness. Certainly
grams that exist outside of such schools. A current list of this is the case with the newly promulgated “Principles of
accredited schools and programs may be found at CEPH’s Effectiveness” of the Safe and Drug-Free Schools Program
Web site (http://www.ceph.org). CEPH also assists schools that are specified on the U.S. Department of Education’s

310 R I N G WA LT
Web site (www.ed.gov/offices/OESE/SDFS/prinfin). grams.” ASPH operates a distance learning center and
These principles require not only that schools receiving sponsors a number of distance learning modules.
program support adopt strategies based on the criterion The third approach to integrating SUD prevention and
specified above but also that they use mechanisms devel- treatment curricula into schools of public health is to
oped to conduct assessments of substance abuse prevention increase the supply of faculty with an interest in and
needs and that they use the results of those assessments to commitment to research and teaching in this discipline.
plan and improve their programs. To a lesser extent, Excellent SUD-related programs have taken root at the
analogous expectations are growing in the burgeoning University of Minnesota and elsewhere, and are now
numbers of prevention programs targeting adult popula- producing a number of highly talented researchers. With
tions, both in work environments in the private sector and sufficient support, encouragement, and mentoring for
through managed care organizations serving publicly doctoral students and junior faculty, a cadre of professionals
supported programs such as Medicaid.19 A number of with the appropriate credentials for academic careers will
organizations, such as the American College of Mental emerge. However, it seems unlikely that this strategy alone
Health Administrators (ACMHA), are considering the issue will be sufficient to induce the administrators of schools of
of licensure—and its attendant training needs—for all public health to view SUD prevention curricula as central
professional practitioners in the behavioral health field. In to their mission and to create and support pertinent faculty
time, ACMHA may also see the need for licensing the positions.
administrators who manage SUD prevention practitioners.
Given the multi- or transdisciplinary nature of so much
If and when the public health work force becomes work in the field of SUD prevention, it is appropriate to
credentialed, or if employers come to recognize the develop opportunities for education and training that
importance of ensuring a foundation of SUD prevention transcend the discipline of public health. This is particularly
knowledge among public health practitioners in this field, important to the extent that public health practitioners
vehicles will need to be found to provide appropriate work in settings that encompass early intervention,
distance learning. One vehicle for distance learning is the treatment, and relapse prevention, as well as primary
Association of Schools of Public Health (ASPH), the prevention. To that end, and also to enhance the efficiency
national organization that represents the deans, faculty, and of both graduate school education and training offered to
students of the accredited schools of public health. Its practitioners in the field, it is essential that curricula and
mission, as specified in its Web site (www.asph.org/about), learning modules be developed by representatives of
is to provide “a focus and a platform for the enhancement multiple disciplines.
of existing and emerging academic public health pro-

P U B L I C H E A LT H 311
 Recommendations
1. The field of public health needs a greater understanding of the role of
public health practitioners in the field of SUD prevention.
Rationale. Our understanding of the number of trained public health professionals who are
working in the SUD field is inadequate, as is our understanding of the pertinent competencies
required of them.
Recommended Actions. A survey of appropriate APHA members, i.e., those who indicate
that they are primary or secondary members of the Alcohol, Tobacco, and Other Drug (ATOD)
Section, should be undertaken to determine:
■ The number of practitioners who currently engage in practice, policy, or research relevant to
the prevention of SUD;
■ The proportion of their total responsibilities that include activities pertinent to the preven-
tion of SUD;
■ The core competencies that they perceive are related to the prevention of SUD;
■ Which among those competencies they acquired as part of their training in schools of public
health, and those for which they believe their training to be inadequate; and
■ Those competencies that they take advantage of continuing education opportunities to
attain.
Responsible Agents. APHA; private foundations such as the Robert Wood Johnson Founda-
tion (RWJF).
Expected Outcomes. The result of a survey of this nature should be a beginning understand-
ing of the gap between what schools of public health currently provide in the area of curricula
pertaining to the prevention of SUD and what they should be offering.

2. The public health field should develop stronger links to Federal agencies
that include SUD prevention in their missions.
Rationale. There is little communication between the field of public health and Federal
agencies that support the nation’s SUD prevention goals and initiatives.
Recommended Actions. APHA, as well as ASPH, which represents the nation’s graduate
schools of public health, should develop ties with key Federal agencies concerned with the
prevention of SUD. These organizations include the National Cancer Institute (NCI), the
National Institute on Alcohol Abuse and Alcoholism (NIAAA), the National Institute on Drug
Abuse (NIDA), and the Substance Abuse and Mental Health Services Administration’s Center
for Substance Abuse Prevention (SAMHSA/CSAP). The purpose of these linkages would be to
■ Determine the role that professionals trained in public health disciplines currently fill, and
could fill, in fields of practice dominated by professionals in the prevention of SUD;
■ Further elaborate and articulate the core competencies that should be required of public
health professionals who practice in these fields;
■ Document areas in which the lack of coordination between the public health and SUD
prevention fields inhibits the capacity of public health professionals to practice in this field;
and
■ Foster the specification and development of curricula addressing the prevention of SUD
within CEPH’s constituency of schools of public health.

312 R I N G WA LT
 Responsible Agents. APHA, ASPH, National Institute of Mental Health, Indian Health
Service, Centers for Disease Control and Prevention, NIDA, Food and Drug Administration.
Expected Outcomes. The results of such discussions would focus the attention of the field of
public health on the extent, agenda, and needs of the substantial Federal commitment to SUD
prevention.

3. Schools of public health should develop an inventory of current curricular

content taught in the SUD prevention area, as well as mechanisms by
which such schools have infused SUD-related material into general course
offerings.
Rationale. A number of schools of public health have developed sophisticated SUD prevention
curricula. An understanding of the nature of those curricula and how they were developed
would be helpful to other schools that may be considering the creation of such curricula. Also of
importance are what schools of public health consider to be core SUD prevention-related
knowledge and skills and the context in which core material is taught. While only a limited
number of schools will be able to develop specializations in SUD studies, all should be able to
benefit from an understanding of core curricular content and of how to teach strategies that
integrate SUD prevention into other practice arenas.
Recommended Actions. CEPH should conduct a second survey of its constituent graduate
schools to determine
■ Substance-abuse related curricula and courses currently taught in each school, as well as
mechanisms by which SUD content is integrated into general public health courses;
■ Faculty expertise in this area;
■ The level of cooperation, if any, between the schools of public health and other disciplines in
developing and coordinating core or specialized curricula relating to the prevention of SUD;
and
■ Plans to establish such curricula, either within the school or in cooperation with other
graduate programs.
Responsible Agent. CEPH.
Expected Outcomes. The results of this survey will help develop benchmarks for schools of
public health that may now pay only minimal attention to the prevention of SUD and will give
them examples of curricula implemented elsewhere.

4. The field of public health should learn what licensure requirements the
States impose, or intend to impose, on SUD prevention practice.
Rationale. Some States appear to be moving towards requiring licensure for SUD prevention,
early intervention, and treatment practice; others are contemplating such action. Without an
understanding of those requirements, schools of public health cannot adequately prepare their
graduates for practice in this area.
Recommended Actions. APHA should survey State departments of public health to deter-
mine which States, if any, currently have licensing laws pertaining to practice pertinent to the
prevention of SUD. Also specified should be the skills and competencies required, fields of
practice requiring licensing, availability of licensed practitioners, and present and projected need
for such practitioners.
Responsible Agents. APHA, in collaboration with ASPH.
Expected Outcomes. Schools of public health will find the results of this survey useful in
planning for and justifying requests for increases in resources in SUD prevention.

P U B L I C H E A LT H 313
 5. Schools of public health should develop a consensus of core competencies
pertinent to the field of SUD prevention.
Rationale. The core competencies specified in this chapter must be understood and accepted
by the nation’s schools of public health if curricula are to be implemented.
Recommended Actions. An annual or a biennial conference should be organized and
convened by CEPH for faculty of schools of public health. Up to four faculty from each school
should be invited. Eligible faculty would include those who are experienced in teaching,
research, and practice pertinent to SUD prevention, or who are interested in learning more
about the field. The purpose of the conference would be to
■ Present a synthesis of the information gathered through the implementation of Recommen-
dations 1–3 above;
■ Seek a consensus as to the core competencies required of public health practitioners in the
SUD prevention field;
Develop an understanding as to how those competencies may differ across the fields of
practice that constitute public health;
■ Discuss and share specialized and core curricula already developed;
■ Discuss issues pertinent to faculty development; and
■ Develop a plan for creating or enhancing SUD prevention curricula.
Responsible Agents. CEPH or ASPH.
Expected Outcomes. A greater understanding across schools of public health of the impor-
tance of developing and implementing curricula in the area of SUD prevention.

6. Schools of public health should establish links with agencies that practice
SUD prevention in their local communities and States.
Rationale. Graduate school education benefits considerably from supervised student field
placements that provide opportunities for practice and research. Linkages with practice agencies
also provide opportunities for faculty research and practice, as well as for recruiting returning
students into schools of public health. Faculty and student competencies in SUD prevention
would thus both be strengthened. To the extent that students are exposed to professionals in
other health-related professions, they will develop an understanding of collaboration in a
multidisciplinary environment.
Recommended Actions. Schools of public health should identify community-based SUD
prevention resources in the communities they serve, targeting those that employ public health
professionals. These professionals should then be offered the opportunity to serve as field
supervisors. Area Health Education Centers (AHECs) may be able to assist in this regard,
especially in providing for support for student placement in field practica.
Responsible Agents. Schools of public health, AHECs.
Expected Outcomes. Linkages between schools of public health and community-based
organizations that include SUD prevention in their mission will strengthen both faculty and
student competencies in this area and will also serve as a mechanism to recruit SUD practitio-
ners into these schools.

314 R I N G WA LT
 7. Resources are required to develop SUD competencies among faculty
members in schools of public health that currently lack such competencies.
Rationale. Continued support for faculty development is needed within schools of public
health that currently lack SUD competencies. The SUD prevention field must compete with
other fields of public health practice for faculty. Support of this nature will be helpful in persuad-
ing new faculty to explore a field about which they may know relatively little, and to remain in
it once they have begun to develop competence in the area.
Recommended Actions. Such support could come in the following forms: stipends to
support faculty research and practice; short courses for faculty in the fundamentals of SUD
practice; the development and dissemination to faculty of model SUD prevention curricula; and
linking new faculty with those with more experience in a supported, supervised mentoring
relationship.
Responsible Agents. NIDA, NIAAA, NCI, SAMHSA/CSAP, RWJF, Association for Medical
Education and Research in Substance Abuse (AMERSA).
Expected Outcomes. More faculty in schools of public health who are practicing and
conducting research in SUD prevention.

8. Schools of public health should develop collaborative ties with other

entities in their universities that offer curricula or coursework related to
SUD prevention.
Rationale. Some schools of public health may be ill-equipped to develop discrete SUD preven-
tion curricula of their own in the near future because of lack of faculty interest or competence
in this area. However, the academic institutions of which they are a part may have other
schools, departments, or centers that can offer students relevant course work, as well as an
opportunity to develop an understanding of the SUD prevention field from an interdisciplinary
perspective. Because services targeting the prevention of SUD are often delivered in settings that
require close collaboration among professionals with a wide variety of educational backgrounds,
and because the theory and practice of effective prevention cuts across the boundaries of
specific disciplines, it is highly desirable that public health practitioners be trained in an interdis-
ciplinary context.
Recommended Actions. Schools of public health should erode boundaries to effective
collaboration across departments, to capitalize on existing resources within their universities’
departments of biological and social sciences to develop interdisciplinary curricula in the SUD
field and promote these curricula as areas of concentration; and assist departments in which
such curricula are housed in expanding their curricula to include relevant course work in public
health.
Responsible Agents. Schools of public health.
Expected Outcomes. Schools of public health with limited curricula in SUD prevention can
capitalize on additional resources across the universities of which they are a part. Public health
practitioners will have a greater understanding of practitioners operating under a range of
paradigms, which will facilitate interdisciplinary practice.

9. Schools of public health should develop a plan to offer continuing educa-

tion in SUD prevention to public health practitioners who are working, or
wish to work, in this field.
Rationale. Implementation of the measures specified above should improve the infrastructure
supportive of education concerning the prevention of SUD in the nation’s schools of public

P U B L I C H E A LT H 315
 health. Those measures are likely to do little to expand or enhance the skills of public health
practitioners who have already received their degrees and are working in settings in which they
are called on to develop and implement SUD prevention strategies.
Recommended Actions. APHA should sponsor the development of SUD prevention continu-
ing education (CE) modules, to be delivered through its recently developed mechanisms for CE.
APHA currently offers CE credits for attendance at sessions at its annual meeting and sponsors
short courses, typically 4 to 8 hours in length, prior to the meeting.
Responsible Agents. APHA, particularly the ATOD Section.
Expected Outcomes. CE credits given for sessions related to SUD prevention at APHA’s
annual meeting; short courses offered prior to the start of the meeting; freestanding modules
offered through videoconferences; regional 2- to 3-day seminars; and Web site applications.

316 R I N G WA LT
References
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 CHAPTER 11

Educating Social Workers to Work with Individuals

Affected by Substance Use Disorders
SHULAMITH LALA ASHENBERG STRAUSSNER, DSW, CAS, CEAP
EVAN SENREICH, CSW, ACSW, CASAC

Introduction
Social workers have worked with individuals with substance use disorders (SUD) and their
families in a multitude of settings since the beginning of the social work profession in the United
States. The theoretical constructs of social work practice, based on systems theory and a
biopsychosocial perspective, make it an ideal discipline for working with individuals affected by
SUD. Yet, despite the theoretical fit and social work’s front-line position in working with
addicted clients, most social workers receive limited or no training in effective assessment and
intervention techniques with these clients. The majority of the estimated 400,000 social
workers in the United States are thus dealing with the numerous consequences of substance
abuse without fully understanding the nature of addiction or having the skills needed to directly
address SUD.
It is imperative that all social workers develop core knowledge and skill competencies in
the treatment and prevention of SUD. In addition, a body of social workers specializing in the
field of SUD needs to be trained by schools of social work and recognized as substance use
disorder experts by the profession through a certification process. Furthermore, since the
treatment of SUD involves the collaboration of many different professional disciplines, it is
recommended that social work training provide greater emphasis on interdisciplinary collaboration.

Core Social Work Paradigms theory and at other times on the side of the environ-
ment as interpreted by sociological and economic
Contemporary theoretical constructs of social work practice theory. …We conclude, therefore, that the central
are highly relevant to the diagnosis and treatment of target of technical social work practice is matching
individuals affected by SUD. The core social work para- something in person and situation—that is, interven-
digms evolved over the past 100 years, and the profession ing by whatever methods and means necessary to help
has increasingly defined its principal focus as the interface people be in a situation where the capabilities are
between the person and his or her environment. Mary sufficiently matched with the demands of the situation
Richmond,1 the mother of American social casework, to make a go of it.
defined it in 1922 as “those processes which develop
personality through adjustments consciously effected, Although different social work theorists give varying
individual by individual, between men and their social emphasis to the individual’s intrapsychic functioning and
environment.” Hamilton2 coined the well-known social relationship to the social environment, these parameters,
work concept, “the person-in-his situation,” in 1951 to encompassed in concepts such as “psychosocial casework”
represent “the threefold configuration consisting of the and “biopsychosocial assessment,” are constant in social
person, situation, and the interaction between them.” In work education and clinical practice. These perspectives
1969, Gordon3 provided a summation of the historical are reflected in the Code of Ethics of the National Associa-
focus of social work that is still relevant today: tion of Social Workers (NASW), which is taught to all social
The central focus of social work traditionally seems to work students: “The primary mission of the social work
have been on the person-in-life- situation complex—a profession is to enhance human well-being and help meet
simultaneous dual focus on persons and environments. the basic human needs of all people, with particular
The focus has been concentrated at some times on the attention to the needs and empowerment of people who
side of the organism as interpreted by psychological are vulnerable, oppressed, and living in poverty. A historic

319
and defining feature of social work is the profession’s focus Family Systems Theory. Social work has always placed
on individual well-being in a social context and the well- great emphasis on the family. One of the major precursors
being of society. Fundamental to social work is attention to to modern social workers were the volunteer “friendly
the environmental forces that create, contribute to, and visitors” of the nineteenth century’s Charity Organization
address problems in living.”4 Societies, who visited and assessed families in need of
Contemporary social work education and clinical financial assistance. Historically, social workers have been
practice include the following theoretical constructs that viewed as the “family experts” in many different settings,
are salient to the diagnosis and treatment of individuals such as mental health programs, child guidance clinics,
with SUD: family agencies, and hospitals. While the individual
“identified patient” was often treated by a psychiatrist or
Ecological Systems Theory. Influenced by biologically psychologist, his or her family members were routinely
based general systems theory and the social ecological seen by a social worker.11
perspective, this paradigm “posits that individuals are The development of family systems theory by numer-
engaged in constant transactions with other human beings ous family therapists in the 1950s and 1960s provided
and with other systems in the environment and that these social workers with a dynamic conceptual framework for
various persons and systems reciprocally influence each their work with families. As with the ecological systems
other.”5 As Compton and Galaway6 have asserted, “the theory described above, family systems theory emerged
person is observed as a part of his/her total life situation; from general systems theory, but it focused on understand-
person and situation are a whole in which each part is ing the current family dynamics, the family of origin
interrelated to all other parts in a complex way through a extending through several generations, and the family in its
complex process in which each element is both cause and environment.12 Central to family systems theory is the
effect.” Thus, substance abuse is viewed not only as an concept that “in family groups, all members influence and
individual’s disorder but also in relation to the person’s are influenced by every other member, creating a system
family and social environment. Consequently, treatment is that has properties of its own and that is governed by a set
seen as necessarily including the various intrapsychic, of implicit rules specifying roles, power structure, forms of
interpersonal, and environmental aspects or subsystems of communication and problem solving. Because each family
the individual affected by a substance use disorder. is a unique system, practitioners must develop a systems
Problem-Solving Model. Perlman,7 in the 1950s, framework or a perceptual set that will enable them to
developed a model of social work intervention based on the analyze and to understand the behavior of individuals in
notion that an individual is constantly problem solving relation to the ongoing operations of the family group.”5
throughout life. Disruptions to this problem-solving Family systems theory is very useful in the assessment
capacity, due to internal or environmental factors, create and treatment of SUD because it recognizes how the
difficulties in life. “Through a real relationship that began family, as an individual’s most significant social group,
as soon as worker and client met, and embodying an exerts a great deal of influence over one’s substance use,
assessment process specifically focused on the problematic and is, in turn, very much influenced by it.13 Well-known
situation and on the client’s motivation, internal capacity, concepts in the field of substance abuse, such as enabling,
and external resources, the goals of casework were (1) to codependency, and being the child of an alcoholic, all
release, energize, and give direction to the client’s motiva- relate to family system dynamics. Furthermore, many
tion; (2) to release and then repeatedly exercise the client’s clinicians working with recovering substance-abusing
mental, emotional, and action capacities for coping with his clients, including relapse-prevention theorists such as
or her problems; (3) to find and make accessible to the Gorski, emphasize the importance of addressing childhood
client the opportunities and resources necessary to the and family-of-origin issues during the later stages of the
solution or mitigation of the problem; and (4) to help recovery process.10
individuals and families cope with whatever they are
currently finding insurmountable in a way that will make Ego Psychology. Evolving out of classical psychoanalytic
maximum use of the conscious efforts, choices, and theory, ego psychology focuses on the various functions of
competencies.” With its emphasis on using the client’s the ego—the part of the human psyche that is viewed as
strengths to enhance motivation, as well as using environ- both mediating internal psychic conflicts and dealing with
mental resources, this is one approach that is obviously the demands of the outside world. Ego psychology thus
well suited for substance abuse treatment. Consistent with views human motivation and behavior as determined not
this approach are elements of contemporary addiction only by an individual’s unconscious drives but also by his or
counseling concepts such as Prochaska and colleagues’ model her attempts to cope with the external environment.
of change,8 Miller and Rollnick’s motivational interviewing,9 Ego psychology has played an important role in
and Gorski’s relapse prevention model.10 The problem-solving modern clinical social work practice and actually fits into
model also emphasizes working with environmental and the more contemporary ecological systems model, giving
social issues, as in the ecological systems model. the latter more depth. Many of the central tenets of current

320 STRAUSSNER AND SENREICH

social work practice, such as working with clients’ neighborhoods where they attempted to improve health,
strengths, and enhancing or empowering their coping housing, employment, and overall living conditions
capacities, are derived from ego psychology. As pointed out through cooperative community effort.18 Social group work
by Goldstein,7 “ego psychology helps to identify individual evolved out of this movement, which used groups to focus
needs and the kind of environmental conditions and on recreational, educational, and social needs of people, as
resources essential to meeting human needs and fostering well as to mobilize them toward political action.
growth.” Thus, ego psychology provides a sophisticated Theories of group therapy proliferated during the
framework for assessment of, and intervention with, 1940s and 1950s, and social workers enhanced their social
individuals affected by SUD by focusing on such dynamics group work tradition with a more sophisticated theoretical
as defense mechanisms, coping capacities, ego strengths, and clinical base, focusing on the stages of group develop-
interpersonal relations, and the availability of environmen- ment, the roles enacted by group members, and the
tal resources to meet the developmental needs of a child. utilization of group process to achieve therapeutic aims.
Indeed, the use of basic concepts in the field of substance Social workers have used group methods in virtually every
abuse treatment such as psychological defenses and coping setting, and group work training is a fundamental part of
mechanisms including “denial,” “projection,” “minimiza- social work education and practice today.
tion,” and “rationalization” are derived from ego psychology.
Currently, group counseling and group activities, as
Crisis Intervention Theory. A crisis is a sudden well as psychoeducational groups, are the treatment of
discontinuity in an existing homeostatic state of function- choice for individuals with SUD. Group therapy provides
ing. The resulting state of disequilibrium overwhelms the peer interaction and peer support, as well as peer confron-
habitual problem-solving capacities of an individual, making tation regarding the adverse consequences of substance
him or her more open to outside intervention.14 This abuse. It also helps address the social isolation and rigid
paradigm is often used in social work and is seen as adaptive defenses of many individuals with SUD.19 More-
applying to individuals, families, groups, communities, and over, the historical importance of self-help 12-step pro-
even nations.15 grams, beginning with Alcoholics Anonymous in 1939,20
According to crisis theory, a crisis is both a danger and and the use of encounter group techniques in the therapeu-
an opportunity for growth. Thus, during crisis intervention tic community movement that began with Synanon in
the social worker has two objectives: (1) to quickly reduce 1958,21 have had a profound impact on the primacy of
the impact of the stressful event; and (2) to utilize the crisis group work in substance abuse treatment. Social work’s
to help those affected to not only solve present problems emphasis on group modalities contributes to contemporary
but also to become emotionally stronger through the use of treatment approaches of SUD.
more effective coping mechanisms.16 Community Organization. Another important contribu-
Crisis theory and crisis intervention techniques offer tion of the Settlement House Movement to the social work
two different approaches for helping individuals affected by profession has been the development of community
SUD. First, through prompt, direct clinical interventions or organizing methodology.5 Knowledge of community
appropriate referrals, social workers try to promote organization is a required component of social work
recovery by helping those who are in a state of crisis due to education, and social workers skilled in community
the negative consequences of SUD. Second, social workers organization have played an important role in the forma-
may purposefully evoke a state of crisis through the tion of community-based substance abuse prevention
utilization of confrontation techniques, such as Johnson’s coalitions.
Family Intervention model,17 or through its adaptation to
work- and school-based programs, such as employee
assistance programs (EAPs) and student assistance pro- Contributions of Social Work to the Treatment
grams (SAPs). It is hoped that the use of such approaches of SUD: A Historical Perspective
with individuals affected by SUD will lead to a state of
The major forerunner of clinical social work in the United
disequilibrium and that the resulting crisis experienced by
States was the Charity Organization Society movement of
the individual will offer an opportunity for change and
the late 19th and early 20th centuries. Charity Organiza-
emotional growth that may not be available otherwise.
tion Societies served as clearinghouses for the different
Social Group Work. Even prior to the development of charities in the community that dispensed relief to the
group therapy as a formal therapeutic method, social needy during that period. The purpose of these societies
workers were helping individuals in group settings. One of was to maintain detailed records of people receiving
the major antecedents of the social work profession was financial aid and to determine who were the “worthy”
the Settlement House Movement of the early 20th century. poor, that is, those who really needed help and would
Settlement house workers, usually women from the upper benefit from it. “Friendly visitors” from the Charity
and middle classes, set up community houses in poor Organization Societies, wealthy volunteers, visited indi-

SOCIAL WORK 321

viduals and families “in need” to assess in a “scientific” alcoholism treatment programs.24 Gladys Price, a social
way the causes of their destitution, and, through encour- worker at the Washingtonian Center for Addictions in
agement and support, tried to relieve the situation. Boston during the 1940s, created the first alcoholism field
These volunteers routinely encountered alcoholism placement for social work students and did pioneering
during their visits. At that time, the moral model of work with wives of alcoholic men.24 At approximately the
alcoholism predominated with its characteristic portrayal of same time, Margaret Cork, a social worker at the Addiction
inebriety as “sinful.” Rather than being given alms, the Research Foundation in Toronto, Canada, established a
poor persons with alcohol addiction were viewed as treatment program for children of alcoholics. Her book,
needing “supervision to help them combat or overcome The Forgotten Children, published in 1969,25 remains a
intemperance, indolence, and improvidence.”22 Although classic in the field.
Richmond, one of the major contributors to the In 1955, the Yale (now Rutgers) Summer School of
professionalization of social work, started out as a member Alcohol Studies began its first formal training seminar for
of the Charity Organization Movement, her work with social workers. The faculty included Gladys Price, Margaret
persons with alcohol addiction made her question the Cork, and Margaret Bailey, a social worker and the author
prevailing moral view. In her ground-breaking book, Social of Alcoholism and Family Casework, a highly regarded
Diagnosis, published in 1917, Richmond23 stated that monograph on working with persons with alcohol addic-
“inebriety is a disease” and portrayed it in a way that is tion and their families.26 Between 1964 and 1968, Bailey,
entirely consistent with the disease model of alcoholism as who worked for the National Council on Alcoholism in
described by Jellinek24 almost half a century later. Based on New York City, directed a highly successful alcoholism
her clinical observations, Richmond stated that (1) the training project that involved three family casework
disease of inebriety differs from “excessive” drinking; (2) agencies under the sponsorship of the Community Council
the diagnosis of this disease should be based on both of Greater New York. She also established the Alcoholism
physical and mental examinations; (3) this diagnosis applies Committee under the auspices of the New York City
to individuals who “are habitually overcome by alcohol and Chapter of NASW. Initiated in 1969 and continuing today,
unable to take it at all without taking it to excess,” i.e., the NASW New York City Chapter Alcoholism Committee
those who cannot drink without losing control; (4) this has sponsored an annual alcoholism institute that has
disease is not curable since those who have it will relapse if become one of the major national providers of training for
they drink again; (5) better success is achieved if “the social workers on alcoholism and, more recently, on other
malady is dealt with when its manifestations first appear,” drugs of abuse. This Committee (recently renamed the
i.e. chances of recovery are better during the early stages; Addictions Committee) has published a number of special
and (6) the inebriate is a “patient” and not a “culprit,” and journals and books on the treatment of alcohol and other
cannot be blamed for his disease. Nonetheless, success in drugs; written a draft of the Alcohol, Tobacco and Other
treatment does “depend upon the patient’s co-operation.”23 Drug Policy Statement that has been adopted by the NASW
Richmond also created a diagnostic questionnaire for as its official policy; and developed a guide on how to
inebriety that assessed current drinking patterns and confront a colleague with a substance abuse problem. It
duration of problems; family history of drinking, drug also provides a hotline for social workers concerned about
problems, and “mental or nervous trouble” going back their own, familial, or a colleague’s use of substances.24
three generations; medical and psychiatric histories; The Hughes Act, passed by the U.S. Congress in 1970,
current social, employment, and family situation; and led to the establishment of the National Institute on
“causal factors” that the included patient’s “own analysis of Alcohol Abuse and Alcoholism (NIAAA) and the National
the cause or causes of his drinking.” This diagnostic Institute on Drug Abuse (NIDA). The act also provided
instrument, formulated almost a century ago, is similar to funding for public and private not-for-profit treatment
those used today.24 Moreover, Richmond viewed social facilities, especially for alcoholics. Numerous social workers
workers as having an “important role to play in gathering were hired and trained as alcoholism counselors and
the pertinent social data,” offering the assistance necessary brought with them their characteristic knowledge base of
to supplement the medical treatment, and “providing the group and family dynamics, and treatment issues pertinent
long period of after-care which is usually necessary.”23 to adolescents.24
Social workers continued to play an important role in The history of drug abuse treatment in the U.S. differs
the treatment of alcoholics and their family members in the from that of alcoholism treatment. Since the passage of the
years following the repeal of Prohibition in 1933 and Harrison Narcotics Act in 1914, the U.S. government has
during World War II and its aftermath. Social workers were held the view that users of illicit drugs are criminals
an integral part of an interdisciplinary team at the Yale Plan deserving incarceration. Approximately 44 narcotics
Clinics in New Haven and Hartford, Connecticut, that maintenance clinics existed across the U.S. from 1919 to
started in 1944. These clinics developed a model of 1923.27 From 1935 until 1971, the Federal government
inpatient treatment that was a precursor to contemporary operated large treatment facilities, often referred to as

322 STRAUSSNER AND SENREICH

“Federal farms,” in Lexington, Kentucky, and Fort Worth, According to the NASW census data of almost 80,000
Texas, which resembled modified prisons.27 In the late NASW members surveyed as of April 30, 2000, the
1950s and early 1960s, the therapeutic community following percentages of social workers are employed in
movement for drug treatment began to develop. the different practice settings: mental health, 40%; child /
Social workers did not appear to play a significant role family welfare, 25%; health, 12%; school, 5%; aging, 4%;
in these drug treatment efforts. During the 1980s, how- criminal justice, 1%; occupational social work/EAP, less
ever, with the escalation of cocaine and polysubstance than 1%; other settings (including substance abuse), 12%.30
abuse and an increase in the number of substance use Straussner and Fewell24 have written that because of the
disorder treatment programs, the philosophies and staffing sheer numbers of social workers throughout the various
patterns of both alcohol and drug treatment programs service systems, social workers are likely to come into
began to converge, with social workers assuming increased contact with more individuals with alcohol and other drug
treatment, programmatic and administrative responsibili- problems and their family members than are members of
ties.28 Currently, social workers play a pivotal role in any other of the helping professions. Social workers are
therapeutic communities and as staff members in metha- likely to encounter clients affected by SUD in the following
done maintenance programs. Furthermore, social workers settings:
are involved in the proliferation of treatment programs for Mental Health System. Approximately one-half of
clients with coexisting psychiatric disorders and SUD, individuals with severe mental illnesses have coexisting
commonly known as programs for the mentally ill chemical SUD.31,32 Psychiatric disorders occur at a rate of 44%
abusers (MICA), which are usually located within the among individuals with alcohol problems and 64% among
psychiatric treatment system. individuals with drug-use disorders.33
Concern regarding the spread of human immunodefi-
ciency virus (HIV) and acquired immune deficiency Child Welfare System. Children of substance-abusing
syndrome (AIDS) among their clients has led many social parents are five times more likely to be physically abused
workers to become active in the growing harm-reduction and nine times more likely to be neglected than other
movement, which aims to minimize the negative individual children.34 Forty to eighty percent of parents with children
and social consequences of substance use through various in the child welfare system have alcohol or other drug
activities, including needle exchange and the distribution problems that interfere with caretaking.35
of condoms. Social workers also are involved in school- and Family Service Agencies. One of six families in the U.S
community- based primary prevention programs and play an is affected by alcohol abuse,36 and many others are also
important role in EAPs providing assessment, referral, and affected by the abuse of illicit and licit drugs. Families with
brief treatment to individuals affected by SUD. SUD are seen in family agencies with a variety of present-
Currently, social workers, with their focus on intrapsy- ing problems.
chic, biological, social, family, environmental, and
Health Care System. A quarter of all deaths each year in
ethnocultural influences on human behavior, are a signifi-
the U.S. are attributed to SUD, and comprehensive
cant presence in substance use disorder treatment pro-
rehabilitation programs report that alcohol-related injuries
grams. It must be emphasized, however, that this history of
account for up to 79% of rehabilitation patients.37 One-fifth
social work’s role in substance abuse treatment does not
of all the patients in health care settings have an alcohol
include social workers’ more pervasive contact with clients
problem.38
affected by SUD in the many non-addiction settings where
the vast majority of social workers have been employed School System. In a 1995 national survey of high school
throughout the twentieth century. seniors, 30% of the students reported having consumed
approximately five or more drinks at least once in the prior
2 weeks, and 48% admitted to the use of an illicit drug at
The Scope of SUD in Social Work Settings least once.39
Over the past 20 years, as substance abuse treatment
programs became increasingly professionalized, social Criminal Justice System. Forty-nine percent of individu-
workers have become a small but influential part of these als incarcerated in State penal facilities were convicted of
treatment programs. A 1991 survey found that social committing crimes that were performed under the influ-
workers constituted only 8.5% of the direct care staff in ence of alcohol or other drugs. Approximately 80% of
substance abuse treatment agencies.29 Although there are individuals in prison have a history of using licit or illicit
no current data on the percentage of social workers in substances.40
substance abuse settings, the majority of social workers Geriatric Services. It is estimated that 10% to 17% of
encounter individuals with SUD as a routine part of their adults over the age of 60 misuse prescription drugs or
work in other fields of service. alcohol.41,42 Researchers estimate that between 12% and

SOCIAL WORK 323

14% of older people hospitalized for any reason have a In the past 30 years, there have been three major
significant problem with alcohol.43 The rates of hospital initiatives involving Federal grants to strengthen the
admissions for the elderly for alcohol-related problems, education of social work students in SUD. First, during the
including falls and hypertension, are similar to those for 1970s, funding from the NIAAA provided training and
heart attacks and may even be greater.44 tuition fellowships to social work students interested in the
field of alcoholism. These grants influenced individual
EAPs. It is estimated that 10% to 23% of all workers use careers and program creation in certain schools, but they
illicit drugs on the job, and that 68% of those who reported did not lead to any consistent curriculum development or
using drugs were employed. The cost of alcohol abuse in an overall incorporation of substance abuse issues into the
the workplace has been estimated to be $86 billion social work field.53
annually, with $71 billion due to lost employment and
reduced productivity and $15 billion due to health costs In 1990, the Faculty Development Program (FDP),
and treatment.45, 46 established by NIAAA, NIDA, and the Office for Substance
Abuse Prevention (OSAP), expanded its previous support
Services for the Homeless. Between 30% and 40% of for schools of medicine and nursing to include funding for
homeless Americans abuse alcohol, and 10%–15% abuse schools of social work. The purpose of the FDP was to
other drugs.47, 48 improve clinical teaching programs in SUD in health
professional schools. The Federal government awarded
Domestic Violence. Alcohol was abused by either the
competitive grants to seven schools of social work between
victim or the perpetrator in over half of all domestic
1990 and 1999 to develop faculty experts in SUD; these
violence incidents.46
experts were then expected to teach other faculty members
Services for the Disabled. Between 15% and 30% of and social work students. The schools of social work that
the 33 to 45 million people with disabilities in the United received these grants felt that the faculty members who
States have SUD.49 were trained were positively influenced by them.53
Another significant Federal initiative of the 1990s was
the social work BSW/MSW Curriculum Enhancement
Social Work Training Initiatives Regarding SUD Project, sponsored by the NASW in cooperation with the
The profession of social work is not working as effectively CSWE and funded by the Center for Substance Abuse
as it could with clients who have SUD. This is attributed to Prevention (CSAP, previously OSAP). The purpose of this
the failure of most schools of social work to provide all project was to develop curriculum modules on alcohol and
students with a basic knowledge of alcohol and other drug other drug problems that could be incorporated into the
abuse issues. Although some graduate schools of social required social work foundation courses by all schools of
work offer a concentration in the treatment of alcohol and social work.52,53 The modules were completed, but their
other drug-abusing individuals and many others offer distribution was uneven. Moreover, they quickly became
valuable elective courses in this area, most students do not dated and their implementation has been very limited.51
take these courses.50 Only a few schools of social work
have postgraduate training programs in SUD; conse-
quently, social workers who wish to specialize in SUD Social Work Values and Treatment of SUD
usually take courses in this area in non–social-work Given the pervasive aspect of SUD in the various settings in
educational settings. which social workers practice, it is imperative that all social
A significant factor accounting for the paucity of workers receive basic training in the assessment, motiva-
substance abuse education in social work schools is that tional enhancement, and referral of clients with SUD.
the Council on Social Work Education (CSWE), the Hepworth and Larsen5 list four “cardinal values of social
national social work educational policy-making body, does work” that intrinsically relate to working with individuals
not mandate substance abuse content in the social work affected by SUD, and demonstrate social work’s unique
curriculum. A lack of faculty interest and expertise in SUD perspective in working with these clients. These values
also has been noted as contributing to this deficiency in state that (1) all human beings deserve access to the
social work education.51 A recent study demonstrates that resources they need to deal with life’s problems and to
when faculty members received specialized training in develop their potentialities; (2) all human beings have
SUD, they incorporated information in their non-addiction intrinsic worth and dignity; (3) the uniqueness and
courses, and consequently, their students learned more individuality of each person are invaluable; and (4) given
about SUD than they otherwise would have.52 Clearly, one appropriate resources, human beings are capable of growth
of the significant ways to increase knowledge and skill and change and should be supported in increasing their
competencies in SUD among social work students is to choices in solving their problems and directing their lives.5
educate more social work faculty about addiction issues. This section describes these values and their implications
for treating clients with SUD.

324 STRAUSSNER AND SENREICH

1. All human beings deserve access to the 2. All human beings have intrinsic worth and
resources they need to deal with life’s problems dignity.
and to develop their potentialities. Social workers are trained to maintain a stance of
Social workers are ethically committed to ensure that “unconditional positive regard, nonpossessive warmth,
all people have access to the resources, services, and acceptance, nonjudgmental attitude, and respect.”5 This
opportunities they require to fulfill their full potential in is particularly important in working with individuals
life. Thus, it is a fundamental value of social work that affected by SUD, who are frequently stigmatized for
all clients, including those affected by SUD, be referred their disorder and associated behaviors. Many of the
for appropriate treatment. issues associated with the abuse of substances, such as
It has been estimated that only 10% to 30% of child abuse and neglect, domestic violence, criminality,
individuals with SUD seek treatment for these disor- prostitution, poor self-care, volatility, manipulation, and
ders.54, 55 It is also estimated that 70% to 90% of lying, arouse strong negative reactions in many treat-
individuals referred for substance abuse treatment do ment professionals, including social workers. Amodeo57
not follow up on that referral.37 Frequently, clients with has noted that powerful and negative countertransfer-
SUD who do not keep their appointments for treatment ence is often generated in social workers who are
are labeled as being “resistant” or “not ready for interacting with individuals with SUD. This is, she says,
recovery.” They are subsequently dropped from partly the result of living in a society that has long
treatment services. Other individuals with SUD do not viewed these persons as morally weak, lacking in self-
even receive a referral for treatment. Social workers, discipline, unwilling to change, and untreatable. The
who staff agencies in many different fields of practice social workers’ attitudes also result, Amodeo proposes,
where substance abusing clients are seen, are in a from their own experience or from a family member’s
primary position to identify an individual’s substance experience with problems with alcohol and other drugs.
use disorder, refer him or her to appropriate treatment, More emphasis needs to be given to maintaining a
and follow up on the referral. It is the social worker’s nonjudgmental stance with individuals who have SUD,
responsibility to be well educated and trained in this a view that is in keeping with the major social work
area, and all social workers should be required to learn value that all human beings have intrinsic worth and
basic assessment and intervention skills for working dignity.
specifically with clients affected by SUD. This value is further compromised in the many
Social workers are also ethically responsible for substance abuse treatment programs that advocate
helping people access resources. Therefore, they need confrontational techniques that can be disrespectful of
to advocate for substance-abusing clients at both the clients. The rationale for this method of treatment is
agency and governmental levels to ensure that these that individuals with SUD are in denial, are manipula-
individuals obtain needed services. For example, tive, and need to be confronted to break their defenses.
whereas most treatment settings utilize the disease Several studies, however, indicate that confrontation
model in working with clients, society often uses the with these clients results in poorer treatment out-
moral model in its legal code. Therefore, individuals comes.57 It is a social worker’s responsibility to ensure
with SUD are viewed as criminals and are often that the client’s dignity is not violated and to question
incarcerated for their addiction, receiving no treatment treatment approaches that do not treat the individual
whatsoever. It is a responsibility of the social work with basic respect. One approach found to be effective
profession to support treatment alternatives to incar- when working with individuals who have SUD is
ceration for nonviolent substance abusers and to offer Miller’s Motivational Enhancement Therapy,9 and it
access to treatment for all individuals with SUD in the should be included in the training of social workers.
criminal justice system. 3. The uniqueness and individuality of each
Moreover, as a result of managed care, the avail- person are invaluable.
ability of inpatient care has been severely restricted, A core value of social work practice is its affirmation of
shifting treatment to outpatient care and non-medical diversity. Oppression, alienation, and stigma due to
residential facilities. As access to inpatient treatment has differences among people are important dynamics that
become more restricted, the use of outpatient substance are often intertwined with SUD. In working with
abuse treatment services has increased.56 Consequently, clients, social workers are consistently trained to be
social workers must have a thorough knowledge of the aware of and sensitive to the client’s ethnicity, race,
substance abuse treatment resources in their area and religion, gender, age, socioeconomic status, sexual
how to obtain the necessary treatment and services for orientation, and disability. In his discussion of social
their clients. They also need to know how to advocate learning theory, Doweiko points out how each culture
for specific services to ensure that systems become views substance use in its own way. Each culture has
more responsive to clients’ needs. guidelines about which substances are appropriate for

SOCIAL WORK 325

 use, what frequency is appropriate, and what sanctions group are often not detected; that cognitive difficulties
are to be applied if the rules are violated.58 There are resulting from substance abuse are frequently misdiag-
different cultural norms regarding treatment, with some nosed as senile dementia; that medical consequences of
ethnocultural groups preferring certain treatment substance abuse are also confused with health problems
modalities over others.59 Some ethnic groups, notably of the elderly; that the emotional consequences of SUD
those of Asian background, may have different physi- among the elderly are often attributed to depression;
ological reactions to the use of substances.59 Franklin60 and that the elderly tend to drink alone and are more
found that African Americans have a 10 times higher likely to be steady drinkers and are therefore less likely
rate of medical complications due to alcoholism than do than are younger persons to be identified as having
Americans of European descent. Research studies also problems. Moreover, physically disabled individuals
have identified significant differences between male and with SUD are frequently not detected or treated,
female alcohol and other drug abusers in the epidemiol- despite the fact that individuals with physical disabilities
ogy, etiology, choice of substances, nature of coexisting are more likely to have SUD than the general popula-
conditions, biophysiological sequelae, psychosocial tion.58 Social workers need to be trained to assess and
profile, course of recovery, and referrals for treatment. address the unique needs of elderly and disabled
Social workers thus need to be sensitive to gender individuals with SUD.
differences as well as to the greater stigma experienced Last, it is important to note that social workers are
by women with SUD.61 often the primary providers of services to children and
Social workers also must be sensitive to societal adolescents, many of whom are children of substance-
homophobia when working with gay men and women. abusing parents. Whether employed in child welfare,
They must have an understanding of the impact of school settings, or family agencies, social workers need
“coming out,” the role of the gay bar in socialization, to be familiar with the impact of SUD on the family 13
issues of body image in gay life, the frequency of sexual and learn the skills to help young people deal with
compulsivity among gay individuals with SUD, and these issues. They also need to learn how to use
knowledge of the impact of HIV.62 When working with appropriate community-based approaches to prevent
lesbian women, social workers must be sensitive to and intervene with young people experimenting with
homophobia, as well as to issues of multiple stigma drugs and alcohol.
resulting from being an addicted female who is homo-
4. Given appropriate resources, human beings are
sexual. Often lesbian women feel out of place and
capable of growth and change and should be
stigmatized in women’s treatment programs (where supported in increasing their choices in solving
there may be no lesbian women) and in treatment their problems and directing their lives.
programs designed for gay people (where most of the Self-determination is one of the hallmarks of social
clients are men).63 work. It can be defined as “the practical recognition of
Individuals who are HIV-positive frequently need the right and need of clients to freedom in making their
social work interventions. It has been estimated that own choices and decisions.”65 Abramson66 notes certain
40% to 50% of injection drug users in many of the situations in which a paternalistic non–self-determina-
world’s largest cities were HIV-positive by the early tion stance may be justifiable. One of them is “when
1990s.56 African-American and Hispanic communities the client is considered mentally incompetent or lacking
have been particularly affected. According to Day,64 in in rationality to the extent of being unable to compre-
1997, AIDS was the leading cause of death among hend the results of decision making.”66 Some people
African Americans between the ages of 25 and 44, and argue that individuals with SUD may be considered
more than 60% of those deaths were injection related. incompetent to make their own decisions. Furthermore,
For Latinos in the same age group, Day continues, AIDS a large percentage of individuals with SUD are legally
was the leading cause of death, with over half of the mandated into treatment, negating their capacity for
deaths related to drug injection, compared with less self-determination. Social workers, by the nature of
than a quarter for whites. Social workers working with their orientation toward self-determination, can be quite
clients with SUD need to acquire the knowledge and effective in working with involuntary clients in a way
necessary skills to deal with the biopsychosocial issues that respects the choices they make.67 Caldwell68 cites
of HIV-positive clients. They must understand harm- several studies to support the fact that the practice skills
reduction concepts and techniques. They also need to that social workers are taught (e.g., the focus on
help the partners of these individuals use safe sex collaboration, self-determination, strengths and empow-
practices and help family members of those who have erment) are effective in engaging clients with problems
died from AIDS address issues of grief and loss. with substance abuse. It is important that in addition to
Doweiko58 notes the high prevalence of SUD a stance of self-determination, social workers under-
among the elderly. He points out that SUD in this age stand the stages of change as delineated by Prochaska
and colleagues8 and learn motivational enhancement

326 STRAUSSNER AND SENREICH

 techniques.9 With the emphasis on self-determination Amodeo and coauthors,71 citing the work of such authors as
and client choice, social workers should carefully match A.K. Cartright, D.M. Gorman, and L. Harrison, states that
clients with SUD to programs that meet their needs, studies reveal that that many social workers have a
thus increasing the likelihood of a successful referral. negative bias toward people with SUD and are pessimistic
For clients who are not ready for abstinence, social about their recovery.50,70-72 Moreover, many do not inter-
workers need to be familiar with the concept of harm vene with clients who have SUD since they feel inadequate
reduction, where the effects of the ongoing addiction in their ability to respond to their needs.50,70-72 However,
can be minimized. This is a particularly vital approach research shows that when social work generalists receive
for clinicians who work outside specialized substance basic training to work with such clients, their feelings of
abuse settings. Social workers, for example, who work efficacy, competence, optimism, and legitimacy increase. As
in child welfare settings or with homeless individuals a result, they are more likely to assess SUD and felt more
may need to continue working with clients who are still effective in their treatment of such clients.50
abusing substances. They need to become more familiar It is therefore imperative that all social workers be
with motivational enhancement techniques while taught basic competencies in dealing with substance abuse
engaging clients in harm reduction. Social workers also issues so that they can work with and motivate clients with
need to endorse methadone treatment and acknowl- SUD to obtain the help they need. This view is supported
edge that it is one of the many approaches whose by the NASW and reflected in a 1997 policy statement
effectiveness has been documented.69 Friedman70 points that strongly supports the expansion of substance use
out that social workers play an increasingly important content in social work education. Specifically, it states that
role in methadone maintenance programs and that “each graduate and undergraduate program should include
social workers’ biopsychosocial perspective and content in that area [substance abuse] as part of the
nonjudgmental stance make the social work profession [required] core curriculum.”68
unique in its ability to help clients in such settings.
The basic knowledge and skill competencies for all social
workers include the following:
Core Knowledge and Skill Competencies in 1. Understanding the disease concept of addiction.
Substance Abuse Education 2. Ability to understand the biopsychosocial ramifications
In discussing the core knowledge and skill competencies of SUD.
needed by social workers to effectively intervene with 3. Ability to identify SUD, particularly in the early stages,
clients affected by SUD, it is necessary to differentiate the by recognizing certain signs and symptoms common to
critical core competencies required by two different groups these disorders.
of social workers. The first group includes the vast majority 4. Ability to make a basic assessment of the severity of
of social workers employed in the numerous nonaddiction SUD by incorporating questions on substance use in all
settings described previously. This group, who will be psychosocial assessments and intake forms, and
referred to as “social work generalists,” needs to be trained becoming familiar with formal assessment instruments
in the basic knowledge and clinical skills for effective such as the CAGE.28
assessment and intervention with individuals who have
SUD and their family members. The second group of social 5. Ability to engage clients to consider seeking help and
workers includes those who either work in substance stopping their use of substances and the ability to
abuse treatment programs or are regarded as substance acquire a basic knowledge of motivational interviewing.
abuse specialists at their non-addiction agencies. An 6. Basic understanding of the defense and coping mecha-
example of the latter would include a substance abuse nisms of individuals with SUD such as denial, minimi-
specialist in a psychiatric program or in an EAP, or a social zation, projection, and rationalization.
worker in the court system whose primary responsibilities 7. Ability to confront clients about their substance abuse
involve substance abuse treatment as an alternative to in a respectful, nonjudgmental way.
incarceration. This second group of social workers will be
8. Knowledge of different types of SUD treatment
referred to as “social work specialists in SUD.” Clearly, the
programs and the ability to match and refer clients to
substance abuse knowledge and skills of this group need to
those programs.
be more extensive and comprehensive.
9. Ability to advocate for clients within substance use
Knowledge and Skills for Social Work Generalists disorder treatment and service systems, as well as to
As indicated previously, social workers receive limited negotiate with insurance companies and managed care
training in SUD in social work school at both the under- organizations.
graduate and graduate levels of education. Much of the 10. Knowledge of 12-step programs, and ability to encour-
existing SUD training is confined to elective courses.50, 51 age clients to use them.

SOCIAL WORK 327

11. Basic understanding of the effects of SUD on the specialist should be required of all social workers in
family system, particularly on significant others and substance use disorder treatment settings. Schools of social
children. work need to develop additional educational programs
12. Some knowledge of substance use prevention strate- designed to educate and train such addiction specialists.
gies, particularly for adolescents and pregnant women. The NASW Task Force on Substance Abuse Specialty
13. Ability to explore and deal with the social worker’s Certification (SASC) recommended in 1999 that the
own feelings, biases, and prejudices toward working following 11 knowledge domains and 10 skill domains be
with clients with SUD. required of social workers to obtain the NASW Specialty
Certificate in ATOD:73
14. Understanding the chronicity of chemical addiction
and the frequency of relapse. Knowledge Domains
15. Understanding the concept of harm reduction for 1. Epidemiology. Social workers are expected to be
clients not ready for abstinence. familiar with the scope and seriousness of SUD in the
United States, using a variety of sources of epidemio-
16. Ability to work with members of other professional
logical information and data, including alcohol con-
disciplines when helping clients with SUD.
sumption and sales data, prevalence, and surveillance
17. Ability to be attuned to issues of racism, sexism, surveys. For each psychoactive substance, social
poverty, homophobia, ageism, and the impact of workers need to have knowledge of the availability and
disabilities when helping clients with SUD. consumption patterns among the general population as
well as among specific subpopulations including ethnic
Knowledge and Skills for Social Work Specialists groups, adolescents, the elderly, pregnant women, and
Social workers on the staff of substance use disorder individuals with coexisting disorders and other disabilities.
treatment programs and those who are substance use 2. Policies and history of SUD in the United States.
disorder specialists in non-addiction agencies require a Social workers need to have knowledge of major
greater level of expertise than that needed by social work historical events and policies that have had an impact
generalists. NASW has recently developed a Specialty on attitudes toward SUD and of how to develop policies
Certification in Alcohol, Tobacco, and Other Drugs (ATOD) and programs to control these disorders.
with specific educational and supervised clinical experience
3. Etiology. Social workers need to have knowledge of
requirements. Before this time, there has never been a
the etiological factors associated with the risk of
certification designed specifically for social workers in this
substance use, abuse, and dependence, as well as of the
field. In fact, many social workers who specialize in
effects of these factors on the course and natural history
substance use disorder treatment have obtained State
of addiction.
certification as substance abuse counselors in order to
demonstrate expertise in the field. These social workers 4. Course and natural history of SUD. Social workers
have thus obtained certification in a discipline with a need to have knowledge of the initiation, progression,
different history, culture, and orientation. In a recent study and results of addictive behaviors to effectively plan
involving many substance use disorder treatment programs intervention strategies and appropriate resources.
in New England, it was shown that social workers em- 5. Screening and assessment. Social workers should
ployed in these programs had significantly higher levels of have knowledge of various assessment instruments and
clinical knowledge and skills than did other addiction protocols for the purpose of evaluating the severity of
treatment providers in these facilities 50 However, these the primary problem, identifying areas of concern
social workers felt that they were undertrained and requisite to the amelioration of the primary problem,
undersupervised in substance use disorder treatment and identifying additional problem areas.
issues, and that they lacked access to appropriate training.
6. Physiology and pharmacology of alcohol,
The majority of respondents (76.9%) reported that addi-
tobacco, and other drugs. Social workers need to
tional training would moderately or greatly increase their
have knowledge of how alcohol, tobacco, and other
effectiveness, and 19.3% moderately or completely
drugs affect the major organ systems of the human
disagreed that they were competent to deliver substance
body (both acute and chronic effects).
abuse treatment services. This study pointed out that
although social workers seemed to demonstrate compe- 7. Treatment. Social workers must have knowledge of
tence in many areas, they needed improvement in sub- appropriate treatment interventions for clients with
stance use disorder assessment skills and in “advanced SUD, and have the ability to apply that knowledge to
clinical techniques” such as specific screening instruments, achieve a beneficial outcome with clients.
brief treatment techniques, motivational interviewing 8. Special populations and health issues. Social
techniques, and manual-guided treatment.50 Therefore, workers need knowledge of how to work effectively
social work certification as a substance use disorder with various special populations (e.g., children,

328 STRAUSSNER AND SENREICH

 adolescents, the elderly, women, gays and lesbians, competence in the knowledge and skill domains cited
persons with HIV/AIDS, the homeless), with specific above—only the documentation of such competencies by a
emphasis on people of color and recent immigrants. supervisor. It is important that knowledge regarding
9. Role of the social worker and effective man- interdisciplinary work and family intervention be required
agement of client treatment. This includes as part of this certification process. Moreover, for the ATOD
knowledge of managed care concepts as well as local Specialty Certificate to be widely respected, it may be
and federal rules and regulations applicable to indi- necessary for social workers to demonstrate their knowl-
viduals with SUD, knowledge of development and edge and skill competencies through a written examina-
utilization of resources, the ability to help clients tion. State certification for drug and alcohol counselors,
negotiate treatment and reimbursement systems, and almost without exception, requires a written examination
knowledge of case management, consultation, and and often has an oral component as well.
referral sources.
10. Legal/ethical issues. Social workers need to have Interdisciplinary Collaboration in the Field
knowledge of substance-related legal and ethical
procedures for upholding the NASW’s Code of Ethics of SUD
in order to ensure client confidentiality and to Effective services for clients with SUD usually require that
maintain compliance with Federal laws on substance several professions work together. Most social workers
use. routinely collaborate with other professionals in diverse
11. Education/prevention. Although the ATOD social service settings, and this is especially true in the field
certification is focused on clinical skills, and not on of SUD. Nonetheless, as the field has become increasingly
prevention, the social work substance use disorder professionalized, there has been a melding of diverse
specialist should be aware of research findings treatment traditions and paradigms, leading, at times, to
regarding successful prevention strategies. These conflicts focusing on professional role delineation and
findings should guide these specialists when providing treatment perspectives.
information to clients and the larger community. Little attention has been paid to interdisciplinary
education in schools of social work, despite the fact that
Skill Domains the CSWE has recently recognized the need for such
1. Screening, intake, and orientation to treatment training. The CSWE recommends that interprofessional
2. Assessment education be integrated early into the “socialization and
3. Crisis intervention educational experience of diverse professionals.” It also
recommends that it be “infused throughout the curricu-
4. Documentation, report, and record keeping lum, instead of becoming a new, marginal discipline with
5. Case management its own restrictive boundaries and, eventually professional
6. Treatment planning barriers.”74 It is the responsibility of both the schools and
professional social work organizations to encourage
7. Counseling
interdisciplinary collaboration, particularly in regard to
8. Client education/advocacy training in SUD.
9. Referral
10. Consultation with other professionals regarding
client treatment and services
Helping Impaired Social Workers
There is limited research about the number of social
To obtain the NASW’s Specialty Certification in ATOD, a workers who are impaired by SUD, their needs, and their
social worker must complete 180 hours of substance use impact on their clients. Social work, like other professions,
disorder education and training across three of the above includes individuals who are affected by the use and abuse
skill clusters. Candidates are also required to have 2 years of substances. Moreover, social work education has
(or 3000 hours) of post-master’s, supervised, paid work provided an important career ladder for many recovering
employment in a substance use disorder treatment setting, substance use disorder counselors who seek wider opportu-
and submit two letters of references, one from a supervisor nities for professional advancement. Some of these individu-
and one from a colleague familiar with their work in SUD.71 als may relapse under pressure, while others are impaired
The currently required knowledge and skill domains because of SUD in family members or significant others.
neither include any training and education in working Studies of SUD among social workers indicate that 6%-7%
within an interdisciplinary team nor sufficiently emphasize abuse alcohol.75,76 Strozier and Evans76 also found that 8%
knowledge on the impact of substance abuse on the family. of a national sample of social workers admitted to abusing
Furthermore, the eligibility criteria for ATOD Specialty minor tranquilizers; 6% used marijuana; 3% sedative/
Certification do not include an examination to demonstrate barbiturates; 2% opiates/narcotics; 2% stimulants/

SOCIAL WORK 329

amphetamines; 2% hallucinogenics; and 2% cocaine. Other fulfill its ethical mission of helping individuals and families
studies have reported that 36% to 39% of social workers achieve their full potential in life and of ensuring that
admitted to having family members with SUD,75-77 and 26% society provides them with the essential resources,
to 44% indicated that they knew of a social work colleague services, and opportunities.
with an alcohol or drug problem.75,76,78 An unpublished The following summarizes the vision for the social work
survey of 44 members of Social Workers Helping Social profession in its attempt to help individuals affected by SUD:
Workers (a self-help group for recovering social workers
established in 1980) indicated that prior to their recovery, 1. All required courses at the undergraduate and graduate
half of them had worked with clients while under the levels will include content on SUD, and all social
influence of a substance.76 Moreover, a random sample workers in the United States will be educated regarding
survey of members of the New York City Chapter of the the basic knowledge and clinical skills for effective,
NASW found that 19% were adult children of alcoholics empirically validated screening interventions with, and
and that they perceived that this factor affected their job referral of, individuals with SUD. Social workers will
performance, in that it made them feel more depressed, become more knowledgeable and confident in working
anxious or angry, and even reluctant to become involved with clients with SUD in many different settings, and
with clients who have SUD.75 the existing negative stereotypes concerning this
population will diminish.
According to the most recent NASW Policy Statement
on the Impaired Professional, “The National Association of 2. Schools of social work will educate and train a greater
Social Workers (NASW) has not given high priority to number of substance use disorder specialists through
impairment within the profession and assistance to the provision of specialized tracks at the master’s level,
impaired colleagues at the national level. When national continuing education courses, and postgraduate
efforts were not forthcoming, individual chapters began to certificate programs.
establish programs to address the impaired professional.”79 3. Schools of social work will receive greater government
A 1994 survey of the NASW chapters found that 12 (29%) funding to train their faculty in SUD and to provide
had a colleague assistance program, and 9 other chapters scholarships for students specializing in alcohol and
planned to start one.80 In 1995, the national office of the other drug studies.
NASW developed “A Chapter Guide on Colleague Assis- 4. All social workers will receive education and training
tance for Impaired Social Workers,” a comprehensive regarding the impact of SUD on family members and
manual that was distributed to all NASW chapters.80 In will be committed to providing family members access
addition, a pamphlet entitled “Helping Social Workers with to necessary treatment and other resources.
Alcohol and Other Drug Problems: Options for Interven-
5. All social workers will receive education and training
tions with Colleagues,” written by members of the New
regarding basic substance use disorder prevention
York City Chapter Addictions Committee, has been widely
strategies, focusing particularly on children of sub-
distributed as a model and is currently available on the
stance-abusing parents on how to develop community-
NASW ATOD Section’s Web site (www.naswdc.org/
wide prevention efforts.
sections/ATOD/helpswers.htm). The Social Work Code of
Ethics also has a section focusing on “Impairment of 6. All social workers helping clients with SUD will respect
Colleagues,” indicating that such impairment needs to be their clients’ rights of self-determination and they will,
addressed directly with the colleague, and if this is not whenever possible, match such clients to their preferred
feasible or does not lead to appropriate action, that action treatment modality, including harm-reduction programs.
“should be taken through appropriate channels established 7. All social workers and social work students impaired
by employers, agencies, NASW, licensing and regulatory by their own substance use disorder, or affected by the
bodies, and other professional organizations.”4 substance use disorder of a loved one, will be able to
obtain appropriate help without being professionally
stigmatized.
Vision for the Future 8. NASW will successfully launch the ATOD Specialty
Although some strides have been made in strengthening Certification program and advocate for its acceptance
the education and training of social workers in SUD, much within and outside the social work profession,
remains to be done. The social work profession needs to minimizing the need for multiple State-based certifica-
realize that effective treatment for SUD does exist, and that tions in this field.
social workers could be pivotal in helping millions of
individuals obtain such treatment. Social work schools 9. Schools of social work will include interdisciplinary
must increase their training in this area, and the core training as part of the basic curriculum, and social
knowledge and skill competencies described in this chapter workers will develop greater awareness and skills in
must be integrated into the required curriculum for all interdisciplinary collaboration when helping individu-
social workers. Only then will the profession be able to als with SUD.

330 STRAUSSNER AND SENREICH

10. Social workers, in collaboration with members of other 11. Other professions and government agencies will
disciplines, will advocate that U.S. government policies understand the social work profession’s unique access
regarding individuals with SUD reflect the complexity to individuals with SUD, and view social work as an
of this issue, resulting in the increased use of treat- invaluable, front-line, resource in working with this
ment as an alternative to incarceration, and in the population and their families. Consequently, social
greater availability of funded treatment for all individu- work leaders will be included in all policy-making
als with SUD and their families. bodies affecting the substance use disorder field.

SOCIAL WORK 331

 Recommendations
1. A national survey, funded by the Federal government, will be undertaken
to determine the nature and scope of education regarding substance use
disorders provided by social work at the undergraduate, master’s and
doctoral levels of training, as well as the post-master’s and continuing
education levels.
Rationale. It is important to have accurate data to advocate effectively for a better education in
SUD. There are no national data regarding the number of schools of social work offering courses
on SUD, whether these courses are required or elective, and the number of students who enroll
in such courses. There is also a lack of data regarding the degree to which substance abuse
knowledge is integrated within the core social work curricula at both the undergraduate and
graduate levels. Moreover, since current doctoral students will become future educators, it is
important to examine how much training in this area is provided to them. In addition, it is
important to identify post-master’s and other continuing education courses in this area and the
number of social workers attending them.
Recommended Actions. A national task force will survey each school of social work to
determine
■ How much substance use disorder information is included in their required core courses;
■ How many schools offer a concentration in SUD;
■ How many elective courses on SUD are offered at the undergraduate, master’s, and doctoral
levels of training;
■ Whether postmaster’s or other continuing education courses are offered in SUD; and
■ How many students are enrolled in each of the above courses.
The task force will also collect data on the extent and nature of continuing education courses
focused on SUD offered by the NASW and other social work professional organizations, such as
the Federation of Clinical Social Workers. These data will be updated every five years.
Responsible Agents. The Health Resources and Services Administration/Bureau of Health
Professions (HRSA/BHPr) and other government funding sources; the CSWE; deans, directors,
and chairs of different areas in schools of social work; the NASW and other professional
organizations.
Expected Outcomes. Within 2 years, comprehensive data on the extent and nature of
education in substance abuse at all levels of social work education will be available. These data
will be updated regularly, and indicators for future training recommendations will be based on
them.

2. Substance abuse content will be integrated into all required courses in

schools of social work.
Rationale. Social workers encounter individuals affected by SUD in every professional setting
in which they work, including child welfare, mental health, health care, criminal justice,
domestic violence, family services, schools, geriatric programs, employment services, and
homeless services. CSWE does not require that substance abuse content be included in the
required courses in schools of social work. The result is that many social workers have little
education and training to prepare them to work with clients with SUD, and many have negative
attitudes, including feelings of helplessness and hopelessness toward such individuals. Studies
show that when social workers are educated in SUD, they work with greater confidence and

332 STRAUSSNER AND SENREICH

 effectiveness. Therefore, social workers must be trained in the critical core, evidence-based
knowledge and skill competencies in substance abuse to intervene effectively with clients
affected by SUD.
Recommended Actions. The CSWE will revise its guidelines and mandate the inclusion of
substance abuse content in the core curriculum. The directors and chairs of different depart-
ments in schools of social work will integrate substance abuse content into appropriate required
courses at the undergraduate, master’s, and doctoral levels of training. Reading lists for each
required course will include literature on SUD. Each school of social work will designate at least
one faculty member to be a substance use disorder specialist and will consult with that person
regarding the integration of substance abuse content in the required courses. Schools of social
work will ensure that students have appropriate supervision regarding work with individuals
with SUD in their field placements at social work agencies. Schools of social work will create
more elective courses pertaining to SUD and encourage students to enroll in them. Special
substance use disorder training seminars for faculty and field instructors will be developed and
offered at each school of social work.
Responsible Agents. The CSWE; deans, directors, and chairs of different departments in
schools of social work; directors of social work doctoral programs; and social work faculty
members designated as substance use disorder specialists.
Expected Outcomes. Within 4 years, all required courses in social work schools will have
some content on SUD. There will be a substantial increase in the number of elective courses on
SUD in schools of social work, or, alternatively, a substantial increase in the amount of sub-
stance abuse content integrated into core courses. Each school of social work will have a
designated faculty member as a substance use disorder specialist. All social work faculty
members and field instructors will be offered training seminars on SUD.

3. More certificate programs and more continuing education courses on

substance use disorders will be offered under social work auspices.
Rationale. Given the limited number of schools of social work that offer certificate programs in
SUD at the master’s and post-master’s levels, most social workers currently employed by
substance use disorder treatment programs receive their training outside the social work
profession. They are not exposed to social work theories and values as they relate to clients with
SUD. Thus, it is important that more certificate programs in SUD be established under social
work professional auspices. Moreover, continuing education courses are needed for social
workers certified in SUD who want to further enhance their skills and remain current with the
latest evidence-based knowledge in the field. Schools of social work also need to offer continu-
ing education courses in SUD at the graduate level of training for social workers who need to
strengthen their basic knowledge of SUD.
Recommended Actions. Schools of social work, in collaboration with social work profes-
sional organizations, will establish a social work certificate program in SUD accessible to social
workers in each community and will offer continuing education courses on SUD to meet both
the basic and advanced substance use disorder knowledge needs of all social work professionals.
Responsible Agents. Deans and directors of social work schools, the NASW and its local
chapters, and other professional associations.
Expected Outcomes. Within 5 years, social work certificate programs in SUD will be
available in every community; and all schools of social work and social work professional
organizations will offer continuing education courses in SUD.

SOCIAL WORK 333

 4. Schools of social work will train their faculty in the critical core knowledge
and clinical skill competencies in substance use disorders and in methods
for teaching these skills.
Rationale. Schools of social work do not educate their students in SUD because they lack
faculty members trained in this area. While this finding is not unique to the social work
profession, there is a critical need to increase the number of social work faculty competent to
teach substance use disorder content who can guide the schools in incorporating such content
into their curricula.
Recommended Actions. Each school of social work will have one or more full-time faculty
members with knowledge and clinical skills in SUD. Each school of social work will designate a
faculty member to be a substance use disorder specialist responsible for the development of
substance abuse curricula. Each school of social work will have regularly scheduled training
seminars for faculty members and field instructors that will be organized by the faculty sub-
stance use disorder specialist with special funding allocated for this purpose. Federal agencies
will once again sponsor Faculty Development Programs in substance abuse education and offer
scholarship grants to master’s- and doctoral-level social work students interested in SUD. Federal
and State agencies will allocate funding for continuing substance use disorder education of
social work faculty and field instructors.
Responsible Agents. Deans, directors, and chairs of different departments in schools of social
work; designated substance use disorder specialists in schools of social work; Substance Abuse
and Mental Health Services Administration; National Institutes of Health; Single State Agencies
and other drug agencies; HRSA/BHPr.
Expected Outcomes. Within 2 years, the Federal government will sponsor social work
faculty development programs in the field of SUD and will offer scholarship grants to master’s-
and doctoral-level social work students interested in SUD. The Federal government and Single
State Agencies will offer funding to schools to provide ongoing training in SUD to their faculties
and field instructors. Within 5 years, schools of social work will hire more full-time faculty
members with knowledge and direct practice skills in SUD; and all social work faculty members
will have enhanced their knowledge and direct practical skills in SUD.

5. The NASW will successfully implement the specialty certification in alco-

hol, tobacco, and other drug (ATOD) abuse and advocate for its acceptance
within and outside the social work profession.
Rationale. Although many professional fields have established certification programs in SUD
during the past two decades, social work has had no such credentialing system. Until recently,
there has been no professionally recognized standard of competency for social workers in the
field of SUD and many social workers have obtained State certifications as alcoholism/drug
abuse counselors–a discipline with a different set of underlying principles and traditions.
The social work profession has an ethical responsibility to monitor its own practitioners working
with individuals with SUD and to make sure they have the necessary knowledge and skill
competencies to work with this population. The Specialty Certification in ATOD, recently
established by the NASW, needs to be recognized, accepted, and utilized by the social work
profession. It also needs to be recognized by national treatment licensing or regulatory bodies,
insurance and managed care companies, and other health care professionals. Moreover, the
NASW should advocate for the recognition of this specialty certification by each State as an
adjunct to a social worker’s license or certification and should accept it in lieu of requirements
for social workers to obtain a State alcoholism/drug abuse counseling certification.
Recommended Actions. NASW will actively advocate for the recognition, acceptance, and
utilization of its Specialty Certification in ATOD among social workers, State boards of registra-

334 STRAUSSNER AND SENREICH

 tion in social work, insurance and managed care companies, national treatment licensing or
regulatory bodies, and other health care professionals. NASW will actively advocate with each
State government to recognize its Specialty Certification in ATOD as evidence of social workers’
competence with individuals affected by SUD and to accept this certification in lieu of State
certifications as an alcoholism/drug abuse counselor. The NASW Credentialing Center will
obtain the needed funding to effectively advocate for the above acceptance of the Specialty
Certification in ATOD. The NASW Credentialing Center and the Task Force on Substance
Abuse Specialty Certification will require knowledge of the impact of SUD on the family and
interdisciplinary training as part of the criteria for obtaining the Specialty Certification in ATOD
and for its recertification. The NASW Credentialing Center and the Task Force on Substance
Abuse Specialty Certification will incorporate a written exam as part of the criteria for obtaining
the Specialty Certification in ATOD.
Responsible Agents. The NASW Credentialing Center and the Task Force on Substance
Abuse Specialty Certification; NASW and its local chapters; directors and supervisors of sub-
stance use disorder treatment programs; the American Society of Addiction Medicine and other
professional substance use disorder organizations; State boards of registration in social work and
the National Association of State Boards of Registration; insurance and managed care compa-
nies; national treatment licensing and regulatory bodies; and State agencies responsible for
certifying individuals as alcoholism/drug abuse professionals.
Expected Outcomes. Within 1 year, the NASW Credentialing Center will begin certifying
social work specialists in SUD. Within 4 years, one-half of all social workers working with
individuals who have SUD will be certified by the NASW. In addition, the requirements of the
specialty certification in ATOD will be revised so that all social workers will need to pass a
written examination to qualify for this designation. Within 5 years, insurance, regulatory bodies
and substance use disorder treatment programs will accept this certification as valid for use in
the field; and State governments will recognize the NASW’s Specialty Certification in ATOD as a
valid demonstration of competence in the field of SUD and as sufficient to meet State requirements.

6. All State licensing or certifying agencies for social work professionals must
ensure that social workers have basic competence in the recognition,
assessment, intervention, and referral of clients with substance use disor-
ders.
Rationale. State licensing or certifying agencies have a responsibility to ensure that profession-
als of all disciplines have a basic level of competence to practice in their fields. Because social
workers need basic competence in the ability to recognize, assess, intervene, and refer clients
with SUD, these government credentialing bodies have a duty to ensure that social workers
have these basic skills. Therefore, all social work licensing and certification examinations must
include questions on SUD, and States should require continuing education in this area for
recertification.
Once social work faculty and students become aware that such knowledge is essential in order
to obtain the professional credential, the social work curriculum will improve its preparation of
students for practice with SUD.
Recommended Actions. Federal agencies and social work professional organizations will
recommend to all State credentialing bodies that credentialing requirements include knowledge
and clinical skills in SUD. In order for social workers to be recertified or relicensed, substance
use disorder knowledge and clinical skills must be updated through mandatory continuing
education. All licensing or certification examinations for social workers will include questions
on SUD.
Responsible Agents. NASW; HRSA/BHPr and other government agencies; licensing or
certification bodies of each State; and testing services used to administer licensing examinations.

SOCIAL WORK 335

 Expected Outcomes. Within 2 years, HRSA/BHPr, in conjunction with NASW and other
social work and government agencies, will make recommendations to all State credentialing
agencies that licensing and certification examinations for social workers must include questions
on SUD, and that all social workers must have 5 hours of continuing education on this topic
each year for recertification. Within 4 years, all licensing or credentialing examinations for social
workers will have 10% of their content focused on SUD, reflecting the proportion of clients with
these problems.

7. Social workers and social work students impaired by their own substance
use disorders, or affected by the substance use disorder of a loved one, will
be able to obtain appropriate help without being professionally stigma-
tized.
Rationale. Social workers and social work students, like other individuals in our society, are
affected by SUD. While some surveys focusing on SUD among social workers, their family
members, and colleagues have been undertaken, there are no national data on social workers
who are identified as having SUD. Given the social stigma attached to individuals with SUD and
the findings that many social workers have negative attitudes toward them, it can be presumed
that many impaired social workers do not receive the help they need, and that even those in
recovery may hide their history of substance use disorder. It is important that this topic be
addressed openly both in schools of social work and in professional social work organizations.
Moreover, since parental SUD have been found to affect social workers’ job performance, help
needs to be offered to social workers who are the children of parents with SUD.
Recommended Actions. A national survey should be undertaken of a representative sample
of social workers to identify current or past impairment due to SUD and assess its impact on
their professional lives. The survey’s findings should be widely distributed in schools of social
work and by social work professional organizations. All NASW chapters will establish, or have
easy access to, a confidential committee to address impaired social workers. Schools of social
work will include discussions of impaired professionals in their practice and ethics courses. All
academic institutions will have Faculty and Student Assistance Programs that will allow them to
obtain help for their own or their family’s substance use disorder. Social work staff in social
service agencies will have access to EAPs that will allow them to obtain help for their own or
their family’s substance use disorder.
Responsible Agents. The national office of NASW and local NASW chapters; deans and
directors of social work schools; chairs of practice areas; the Society of Clinical Social Workers
and other professional social work organizations; administrators of colleges and universities and
of social agencies; and Federal agencies providing funding for the development of student
assistance and EAPs.
Expected Outcomes. Within 3 years, data from the national survey will be made available
and used to trigger discussion on impaired social workers. Within 4 years, all chapters of the
NASW will have a functioning committee that addresses impaired social workers; and all
colleges and universities will have a SAP that will be readily accessible to their students. Within
5 years, all colleges and universities will have an EAP that will be readily accessible to their
faculty; and all social service agencies will have an EAP readily accessible to their staff.

8. Social work schools will include interdisciplinary content in all required

clinical courses, and will establish contacts with other professional schools
in order to create interdisciplinary courses in SUD.
Rationale. Effective substance use disorder treatment entails the use of a comprehensive
biopsychosocial approach that involves cooperation among professionals from a variety of
disciplines. There is, however, currently no emphasis on the teaching of interprofessional

336 STRAUSSNER AND SENREICH

 teamwork in classroom courses in schools of social work. Many students are exposed to other
professional disciplines in their fieldwork experiences, but this interdisciplinary experience does
not receive significant supervisory focus. In order to prepare social workers to work effectively
with individuals affected by SUD, schools of social work must create an emphasis on interdisci-
plinary teamwork in the classroom, in field placements, and at the university level among
different professional schools.
Recommended Actions. Content related to interdisciplinary cooperation will be included in
all appropriate social work courses. There will be no need to create specific courses in this area.
Material in current courses will be enhanced to include interdisciplinary studies. Field instruc-
tors will be encouraged to focus on interdisciplinary cooperation when supervising social work
students at their agencies. Process recordings routinely submitted to field instructors by their
students will include analysis of interdisciplinary issues. Schools of social work will require
students to participate in multidisciplinary meetings in their field agencies. Schools of social
work will advocate within the university system for the creation of interdisciplinary task forces
and centers for the study and practice of SUD. Social work programs in smaller colleges will
reach out to other colleges and universities in their area to create task forces for interdisciplinary
education in SUD. Universities and colleges will have regularly scheduled interdisciplinary
workshops and seminars for students from many professions. Schools of social work will seek
dedicated funding for interdisciplinary education in SUD.
Responsible Agents. CSWE; deans, directors, and chairs of different practice areas in schools
of social work; field work coordinators in schools of social work; directors of agencies where
social work students are placed; presidents and deans of universities and colleges; governing
bodies in universities and colleges; and deans and department heads of other professional
schools.
Expected Outcomes. Within 4 years, all appropriate courses in schools of social work will
include content on interdisciplinary collaboration; and the fieldwork experience of social work
students will include supervision in interdisciplinary teamwork as well as increased exposure to
interdisciplinary meetings. Within 4 years, all universities and colleges with schools of social
work will have regularly scheduled interdisciplinary workshops and seminars on SUD; and half
of all universities and colleges with schools of social work will have task forces or centers for the
study of interdisciplinary education and practice in SUD.

9. Social workers, in collaboration with professionals in other disciplines, will

advocate for access to effective treatment and services for all individuals
with substance use disorders and their families, and for greater develop-
ment of effective community-based prevention programs.
Rationale. Social work practice, with its emphasis on the person in his or her social environ-
ment, its mission of connecting people to necessary resources, its deep respect for all individu-
als, its fundamental sensitivity toward issues of diversity, and its belief in client self-determina-
tion, can make a significant contribution to work with individuals who have SUD. With the
enhanced training and education advocated in this chapter, schools of social work and their
students and alumni will be able to take the lead in ensuring that the agencies and organizations
where they work respond to the needs of individuals affected by SUD, that intake procedures
are constructed to identify such individuals, and that the agency staff has the ability to assess,
motivate and refer these clients to appropriate treatment programs. Social workers should
advocate that all agencies employ some staff members knowledgeable about SUD. Moreover,
social workers, in collaboration with professionals in other disciplines, need to advocate that all
clients wishing to obtain treatment for SUD have ready and affordable access to such facilities.
In addition, it is imperative that social workers advocate for effective substance use disorder
treatment for chemical abusers in the criminal justice system. Tens of thousands of substance-
abusing individuals are incarcerated, but do not receive appropriate treatment and rehabilita-
tion. Successful alternatives to incarceration, such as mandated long-term residential treatment

SOCIAL WORK 337

 and the utilization of special “drug courts,” need to be greatly expanded. More effective
substance use disorder treatment within the prison system itself needs to be established. Since
incarceration is far more costly than is substance use disorder treatment, and these alternatives
to incarceration reduce recidivism, such programs would be cost-effective. Moreover, with the
massive closings of long-term psychiatric hospitals over the last four decades, prisons have
become increasingly filled with inmates with psychiatric illness, many of whom have SUD.
Services for such individuals within the prison system are currently negligible and need to be
expanded. Finally, there is a great need for the development of effective school- and community-
based substance abuse prevention programs.
Recommended Actions. Schools of social work will ensure that all agencies in which their
students become interns offer appropriate professional services to people affected by SUD,
including those involved with the criminal justice system. Schools of social work, through
faculty specialists in SUD, will encourage students and alumni to advocate for access to effective
treatment and services for all individuals affected by SUD. University substance use disorder
interdisciplinary task forces and centers will be mobilized to advocate for access to effective
treatment and services for all individuals affected by SUD.
NASW, through its ATOD Specialty Section, local NASW chapters, and their addictions commit-
tees, will collaborate with other professional disciplines to petition State agencies and other
accrediting bodies to provide accreditation only to those agencies that meet minimum criteria in
serving individuals affected by SUD. NASW, in collaboration with schools of social work and
with other disciplines, will use mass media to publicize the cost-effectiveness of alternatives to
incarceration for individuals with SUD.
NASW, in collaboration with schools of social work and with other disciplines, will advocate for
the establishment of a greater number of effective school- and community-based prevention
programs.
Responsible Agents. Deans, directors, and substance use disorder specialist faculty members
at schools of social work; university substance use disorder interdisciplinary task forces and
centers; the NASW ATOD Section, and local addictions committees; directors and supervisors at
agencies where social work students are placed; alumni of schools of social work; State agencies
that accredit social service agencies and institutions; the criminal justice system; government
officials; community organizations; and the media.
Expected Outcomes. Within 5 years, social workers will be more effective in advocating for
individuals with SUD; all individuals with SUD in the criminal justice system will have access to
appropriate treatment, including, where appropriate, program alternatives to incarceration; all
mentally impaired chemical-abusing inmates will have access to appropriate treatment pro-
grams; and there will be a greater number of effective school- and community-based prevention
programs. Within 7 years, government and private accrediting bodies of social service agencies
and institutions will require minimum standards of competence in the recognition, assessment,
intervention, and referral of individuals with SUD; social service agencies and institutions will
be far more sensitive and responsive toward clients with SUD; and affordable and accessible
substance use disorder treatment facilities with better trained staff will be available for all those
who need them.

338 STRAUSSNER AND SENREICH

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 Appendix A: Acronyms
AIDS acquired immunodeficiency syndrome
A
AMA American Medical Association
AA Alcoholics Anonymous
AMERSA Association for Medical Education and Research
AACOM American Association of Colleges of Osteopathic in Substance Abuse
Medicine
ANA American Nurses Association
AACP American Association of Colleges of Pharmacy
ANCC American Nurses Credentialing Center
AADE American Association of Dental Examiners
AOTA American Occupational Therapy Association
AADS American Association of Dental Schools
AOA American Osteopathic Association
AAFP American Academy of Family Physicians
APA American Psychological Association
AAP American Academy of Pediatrics
APAP Association of Physician Assistant Programs
AAPA American Academy of Physician Assistants
APhA American Pharmaceutical Association
AAPT Adolescent Alcohol Prevention Trial
APHA American Public Health Association
AARC American Association for Respiratory Care
APNA American Psychiatric Nurses Association
ABMS American Board of Medical Specialties
APTA American Physical Therapy Association
ACCDI Advisory Committee on Chemical Dependency
ARC-PA Accreditation Review Commission on Education
Issues [of ADA]; now called the Dentist Well-Being
for the Physician Assistant
Advisory Committee
ASAHP Association of Schools of Allied Health Professions
ACCME Accreditation Council for Continuing Medical
Education ASAM American Society of Addiction Medicine
ACCP American College of Clinical Pharmacy ASDA American Student Dental Association
ACD Academy of Computerized Dentistry ASHP American Society of Health-System Pharmacists
ACGME American College of Graduate Medical Education ASI Addiction Severity Index
ACMHA American College of Mental Health Administrators ASPH Association of Schools of Public Health
ACNM American College of Nurse Midwives ASSIST American Stop Smoking Intervention Study
ACOTE Accreditation Council for Occupational Therapy ATOD alcohol, tobacco, and other drugs
ACP-ASIM American College of Physicians-American ATTC Addiction Technology Transfer Center
Society of Internal Medicine AUDIT Alcohol Use Disorders Inventory Test
ACPE American Council on Pharmaceutical Education
B
ACS American College of Surgeons
ADA American Dental Association BAC blood alcohol content
ADAA American Dental Assistants Association BAL blood alcohol level
ADAMHA Alcohol, Drug and Mental Health Administration BDI Beck Depression Inventory
ADEA American Dental Educational Association BHPr Bureau of Health Professions
ADH aldehyde dehydrogenase BLS Bureau of Labor Statistics
ADHD attention deficit hyperactivity disorder BMI brief motivational interviewing
ADHA American Dental Hygiene Association BMT behavioral marital/couples therapy
ADLs activities of daily living BSCT behavioral self-control training
ADR adverse drug reaction C
AGD Academy of General Dentistry
CA Cocaine Anonymous
AGS American Geriatrics Society
CAAHEP Commission on Accreditation of Allied Health
AHCQ Agency for Health Care Quality Education Programs
AHEC Area Health Education Center CAC Certified Addictions Counselor

341
CADCA Community Anti-Drug Coalitions of America E
CADE Commission on Accreditation for Dietetics Educa-
tion EAP employee assistance program
CAPTE Commission for the Accreditation of Physical ECA epidemiological catchment area
Therapy Education ES effect size
CARF Committee on Addiction Rehabilitation
F
CARN Certified Addictions Registered Nurse
FAS fetal alcohol syndrome
CASA Center for Addiction and Substance Abuse
FAST Families and Schools Together
CAST-6 Children of Alcoholics Screening Test
FBESTs Family-Based, Empirically Supported Treatments
CBT cognitive behavioral therapy
FDA Food and Drug Administration
CDP Council on Dental Practice
FDP Faculty Development Program
CDT carbohydrate-deficient transferrin
FET Family Effectiveness Training
CE continuing education
FSMB Federation of State Medical Boards
CEPH Council on Education for Public Health
FSPHP Federation of State Physician Health Programs
CEU continuing education unit
CIWA Clinical Institute’s Withdrawal from Alcohol G
CME continuing medical education
GABA gamma-aminobutyric acid
CMS Centers for Medicare and Medicaid Services
GAPS Guidelines for Adolescent Preventive Services
CNS central nervous system
GEC Geriatric Education Center
COAs or CODAs children of alcohol- and drug-abusing
GGT gamma-glutamyl transferase
parents
GI gastrointestinal
CoARC Committee on Accreditation for Respiratory Care
GOAL Guiding Older Adult Lifestyles
COMMIT Community Intervention Trial for Smoking
Cessation H
CRA community reinforcement approach
HAM-A Hamilton Anxiety Scale
CSAC Clinical and Scientific Affairs Council [of AAPA]
HAM-D Hamilton Depression Scale
CSAP Center for Substance Abuse Prevention]
HCFA Health Care Financing Administration [now CMS]
CSAT Center for Substance Abuse Treatment
HIV human immunodeficiency virus
CSWE Council on Social Work Education
HMO health maintenance organization
CTC Communities That Care
HPN Health Professions Network
CTP Community Trials Project
HRSA Health Resources and Services Administration
D HSS Health Screening Survey
DANA Drug and Alcohol Nurses Association I
DARE Drug Abuse Resistance Education
ICD International Classification of Diseases
DAST Drug Abuse Screening Test
IMD institution for mental disorders
DEA Drug Enforcement Administration
IntNSA International Nurses Society on Addictions
DIS Diagnostic Interview Schedule
IOM Institute of Medicine
DHHS Department of Health and Human Services
IPA International Pharmacists Anonymous
DPD Didactic Program in Dietetics
DSM-IV Diagnostic and Statistical Manual of Mental J
Disorders, Fourth Edition
JADA Journal of the American Dental Association
DVEP Domestic Violence Education Project
JMWH Journal of Midwifery and Women’s Health
DWI driving while intoxicated

342 APPENDIX A
 NRSA National Research Service Award
L
NRT nicotine replacement therapy
LAAM levo alpha acetyl methadol
NSAID nonsteroidal anti-inflammatory drug
LCME Liaison Committee for Medical Education
LSD lysergic acid diethylamide O
OJJDP Office of Juvenile Justice and Delinquency Preven-
M tion
MADD Mothers Against Drunk Driving ONDCP [White House] Office of National Drug Control
[Project] MAINSTREAM Multi-Agency Initiative on Policy
Substance Abuse Training and Education for America OSAP Office for Substance Abuse Prevention [now CSAP]
MAST Michigan Alcoholism Screening Test OTA Office of Technology Assessment
MAST-G Michigan Alcoholism Screening Test-Geriatric OTC over-the-counter
Version
MCHB/DHHS Maternal and Child Health Bureau of the P
Department of Health and Human Services PA Physician Assistant
MCV mean corpuscular volume PANCE Physician Assistant National Certifying Examina-
MDA minimum drinking age tion
MET motivational enhancement therapy PANRE Physician Assistant National Recertification
MHSA mental health and substance abuse Examination
MICA mentally ill chemical abusers PATHE (also HI PATHE or HIPATHE)
PBL problem-based learning
N PEP Prevention Enhancement Protocol
NA Narcotics Anonymous PET positron emission tomography
NABP National Association of Boards of Pharmacy PHP physician health program
NACNM National Academy of Certified Nurse Midwives PHS Public Health Service
NASW National Association of Social Workers PKC problem knowledge coupler
NBRC National Board for Respiratory Care, Inc. PRIME-MD Primary Care Evaluation of Mental Disorders
NCCDN National Consortium of Chemical Dependency PSUD psychoactive substance use disorders
Nurses
NCCPA National Commission on Certification of Physi- Q
cian Assistants QI quality improvement
NCI National Cancer Institute
NDTFSC National Dental Tobacco-Free Steering Commit- R
tee RAPS4 Rapid Alcohol Problems Screen
NEADA [Project] Nursing Education in Alcohol and Drug RD Registered Dietitian
Abuse
RN Registered Nurse
NHDSA National Household Survey on Substance Abuse
RRC Resident Review Committee
NIAAA National Institute on Alcohol Abuse and Alcohol-
ism RWJF Robert Wood Johnson Foundation

NIDA National Institute on Drug Abuse S

NIH National Institutes of Health
SAAST Self-Administered Alcohol Screening Test
NIMH National Institute of Mental Health
SAEFP Substance Abuse Education for Family Physicians
NN2 National Network of Health Career Programs in Two-
SAP student assistance program
Year Colleges
SASC Substance Abuse Specialty Certification [task force of
NNSA National Nurses Society on Addictions
NASW]
NP Nurse Practitioner
SCID Structured Clinical Interview for DSM-III-R

APPENDIX A 343
SDDS-PC Symptom-Driven Diagnostic System for Primary T
Care
SFP Strengthening Families Program TAP Technical Assistance Publication
SGIM Society of General Internal Medicine THC tetrahydrocannabinol
SIG special interest group TIP Treatment Improvement Protocol
SMAST-G Short Michigan Alcoholism Screening Test- [Project] TrEAT Trial for Early Alcohol Treatment
Geriatric Version
U
SPAC Strategic Planning Advisory Committee
SRNT Society for Research on Nicotine and Tobacco USMLE United States Medical Licensure Examination

SSA single State agency W

STD sexually transmitted disease
WHO World Health Organization
STEP School Transitional Environment Project
SUD substance use disorder

344 APPENDIX A
 Appendix B: Glossary
Alcohol abuse: A maladaptive pattern of alcohol use that leads to clinically significant
impairment or distress, as manifested by one or more of the following occurring within a 12-
month period: recurrent alcohol use resulting in a failure to fulfill major role obligations at work,
school, or home; recurrent alcohol use in physically hazardous situations; recurrent alcohol-
related legal problems; continued alcohol use despite having persistent or recurrent social or
interpersonal problems caused or exacerbated by the effects of alcohol. In the literature on
economic costs, alcohol abuse means any cost-generating aspect of alcohol consumption; this
definition differs from the clinical use of the term, which involves specific diagnostic outcomes.
Alcohol dependence: A maladaptive pattern of alcohol use that leads to clinically significant
impairment or distress, as manifested by three or more of the following occurring at any time in
the same 12-month period: tolerance; withdrawal; often taking alcohol in larger amounts or
over a longer period than was intended; persistent desire or unsuccessful efforts to cut down or
control alcohol use; spending a great deal of time in activities necessary to obtain alcohol or
recover from its effects; giving up or reducing important social, occupational, or recreational
activities because of alcohol use; continued alcohol use despite knowledge of having a persistent
or recurrent physical or psychological problem that is likely to have been caused or exacerbated
by alcohol.
Co-occurring disorders: The simultaneous presence of two or more disorders, such as the
coexistence of a mental health disorder and substance abuse problem.
Drug dependence: A pattern of drug use leading to clinically significant impairment or
distress, as manifested by three or more of the following occurring at any time in the same 12-
month period: tolerance; withdrawal; use in larger amounts or over a longer period of time than
intended; persistent desire or unsuccessful efforts to cut down; spending a great deal of time in
activities necessary to obtain drug(s); giving up or reducing important social, occupational, or
recreational activities; continued use despite knowledge of having a persistent or recurrent
physical or psychological problem.
Indicated preventive interventions: Interventions targeted to reach high-risk individuals
who are identified as having minimal but detectable signs or symptoms foreshadowing sub-
stance abuse or biological or familial markers indicating predisposition for substance abuse, even
though they do not meet DSM-III-R diagnostic levels at the current time.
Selective preventive interventions: Interventions targeted to individuals or a subgroup of
the population whose risk of developing substance abuse is significantly higher than average.
The risk may be imminent, or it may be a lifetime risk. The basis may be biological, psychologi-
cal, or environmental.
Substance abuse: The problematic consumption or illicit use of alcoholic beverages, tobacco
products, and drugs, including misuse of prescription drugs.
Substance use disorder: The spectrum of disorders encompassed in alcohol and/or drug
abuse and dependence that is attributed to problematic consumption or illicit use of alcoholic
beverages, tobacco products, and drugs, including misuse of prescription drugs.
Universal preventive interventions: Interventions targeted to the public or a whole
population group that has not been identified on the basis of individual risk. The intervention is
desirable for everyone in that group. Universal interventions have advantages in terms of cost
and overall effectiveness for large populations.

Modified from US Department of Health and Human Services, National Center for Health Statistics.
Healthy People 2010. Hyattsville, Md.: NCHS; 2000.

345