Journal of Studies on Alcohol,
Sept 1998 v59 n5 p533(11)
Prenatal alcohol exposure and family history of
alcoholism in the etiology of adolescent alcohol
problems. John S. Baer; Helen M. Barr; Fred L.
Bookstein; Paul D. Sampson; Ann P. Streissguth.
Abstract: A study was conducted to examine
adolescent drinking problems originating from prenatal alcohol
exposure and family history of alcoholism. A group of 439
parents reported information about family history and problems
of alcohol with their adolescent offspring. The 14-year old
adolescents also reported information about the frequency and
quantity of their alcohol consumption. The study found that
prenatal alcohol exposure is predictive of adolescent alcohol
use.
Author's Abstract: COPYRIGHT 1998 Alcohol Research
Documentation, Inc.
Objective: To examine the relative importance of prenatal
alcohol exposure and family history of alcoholism for the
prediction of adolescent alcohol problems. Method: In 1974-75,
a populationbased, longitudinal prospective study of alcohol
and pregnancy began with self-report of alcohol use by
pregnant women. In a 14-year followup, 439 parents provided
information on the family history of alcohol problems for
these adolescent offspring. The 14-year-old adolescents
provided information on the frequency and quantity of their
own alcohol consumption within the past month, on the
consequences of their drinking over the past 3 years, and on
their age at first intoxication. Additional covariates were
assessed prenatally and at follow-up. Results: Prenatal
alcohol exposure was more predictive of adolescent alcohol use
and its negative consequences than was family history of
alcohol problems. Prenatal exposure retained a significant
predictive effect even after adjustment for family history and
other prenatal and environmental covariates. By contrast, the
nominally significant correlation of family history with
adolescent drinking is weaker after adjustment for prenatal
alcohol exposure and disappears entirely after adjustment for
other relevant covariates. We observed no evidence for an
interactive effect of fetal exposure and family history in
predicting adolescent alcohol use. Conclusions: Fetal alcohol
exposure is a risk factor for adolescent alcohol involvement
and alcohol-related problems and may account for variance in
prediction of problems otherwise attributed to family history
of alcoholism. Studies of alcoholism etiology and family
history need to include consideration of even modest levels of
fetal alcohol exposure. (J. Stud. Alcohol 59: 533-543, 1998)
Full Text: COPYRIGHT 1998 Alcohol Research
Documentation, Inc.
LONG-TERM NEGATIVE consequences of prenatal alcohol
exposure have been demonstrated both in experimental studies
of laboratory animals and in longitudinal studies of humans.
Fetal alcohol effects include growth deficiency, attention
problems, memory problems, and deficits in information
processing (Streissguth et al., 1996). To date, however, fetal
alcohol exposure has not generally been implicated in the
etiology of alcoholism. Here we provide data from our 14-year
longitudinal study pertaining to the relative roles of fetal
alcohol exposure and family history of alcoholism in the
prediction of adolescent alcohol problems.
The etiology and development of alcohol problems have
received considerable attention for many years. Several
reviews have concluded that children of alcoholics (COAs) are
3 to 4 times more likely to suffer from alcoholism than are
children of nonalcoholics (nonCOAs). Evidence in support of
this contention is based on a higher concordance for
alcoholism among monozygotic twins than among dizygotic twins
(e.g., McGue et al., 1992), and higher rates of alcohol
problems among adopted-out COAs compared to nonCOAs (e.g.
Cloninger et al., 1981). There is a large literature devoted
to explaining multiple pathways (Babor et al., 1992) and
multiple mechanisms of genetic risk of alcoholism, including
factors such as sociopathy, impulsivity, neuropsychological
performance and alcohol sensitivity (Schuckit and Smith, 1996;
Sher, 1991; Zucker et al., 1995).
To our knowledge, however, no study of the heritability of
alcohol problems has benefited from a study design that
provides the data necessary to distinguish the effects of
family history from the direct teratogenic effect of maternal
prenatal alcohol use. The issue of prenatal alcohol exposure
was noted by Cloninger et al. (1981) in their cross-fostering
study. They stated that "strictly, the congenital
predisposition of the adoptees includes not only genetic
contributions from the biological parents but also the
influence of maternal intrauterine environment" (p. 863; see
also Bohman et al., 1981). Yet cross-fostering studies for
alcoholism outcomes have not measured maternal drinking during
pregnancy. Some do not acknowledge this potential confounding
variable (e.g., Goodwin et al., 1973, 1977). Although the
drinking of biological fathers contributes much to statistical
prediction of problems in biological offspring in
cross-fostering studies (e.g., Cloninger et al., 1981), such
analyses do not account for assortative mating within parents.
In fact, assortative mating has been documented with respect
to alcohol use patterns (Hall et al., 1983). Ruling out
maternal "alcoholic" behavior in cross-fostering analyses does
not control for lower level drinking during pregnancy that can
have deleterious effects on the adjustment of children
(Carmichael Olson et al., 1997; Day, 1995; Goldschmidt et al.,
1996).
Fetal alcohol exposure may also present a confound within
twin studies. In twin studies, of course, maternal drinking is
held constant and assortative mating is not an issue. Yet
fetal alcohol exposure may interact with genetic
susceptibility and thus account for differential rates of
concordance of observed problems among twins. In one study,
where the effects of teratogens were examined with respect to
both monozygotic and dizygotic twins, higher concordance for
fetal alcohol effects were observed among monozygotic twins
(5/5) than were observed for dizygotic twins (7/11)
(Streissguth and Dehaene, 1993).
Fetal alcohol exposure is of special concern because it is
a possible explanation for some of the conduct problems and
neuropsychological risk factors associated with family history
of alcoholism. Pihl and Bruce, (1995), for example, conclude
that at least a subgroup of COAs demonstrate deficits in
verbal skills, abstract thinking, goal-directed planning,
attention processes, visuospatial abilities, and learning and
memory. Such differences are typically attributed to genetic
processes. Yet findings vary considerably from study to study,
and effect sizes tend to be small. Several authors have
offered methodological critiques of this literature, raising
concerns about operational definitions and sampling (Bates and
Pandina, 1992). Fetal alcohol exposure has been addressed
occasionally in neuropsychological studies of COAs, typically
by ruling out subjects based on maternal alcoholism. In a
recent meta-analysis, Pollock and Earleywine (1977) compared
neuropsychological studies that did or did not rule out
subjects based on maternal alcoholism and found no moderating
effects. Yet these studies suffer from limitations similar to
those found in genetic studies. Hesselbrock et al. (1991)
noted the potential confound of fetal exposure for
neuropsychological performance, and further suggested that
ruling out maternal alcoholism does not control for
assortative mating or low level doses of alcohol during
pregnancy. Similar issues can be raised with respect to many
psychophysiological and electrophysiological studies of COAs
as well (see Hill et al., 1995, for a noteworthy exception).
Exposure to alcohol during pregnancy has been associated
not only with fetal alcohol syndrome (FAS), characterized by
growth deficiency, a pattern of facial dysmorphology and
central nervous system (CNS) dysfunction, but also with more
subtle cognitive and learning disabilities (Streissguth et
al., 1996). That CNS dysfunction in humans can result from
quite moderate doses of alcohol is not surprising, as
experimental studies of prenatal alcohol effects using animal
models demonstrate CNS effects at lower and more variable
alcohol doses than those required to produce physical effects
(Bonthius et al., 1996; Goodlett and West, 1992). In large
longitudinal studies (Day and Richardson, 1991; Jacobson et
al., 1993; Larroque et al., 1995), including our own (Sampson
et al., 1989), prenatal alcohol exposure, even at quite
moderate levels, has been associated with IQ decrements,
attention and memory problems and neurobehavioral deficits
during the first years of life (Streissguth et al., 1993),
between 7 and 14 years of age (Streissguth et al., 1994) and
at the age of 14 (Carmichael Olson et al., 1997). It is quite
likely, therefore, that fetal alcohol exposure can lead to
cognitive deficits that might otherwise be associated with
family history of alcoholism and be implicated in risk models
of alcohol involvement (Sher, 1991; Zucker, 1994). Also,
although we are not aware of data directly pertaining to
humans, several animal models have demonstrated changes in
alcohol sensitivity in adults as a result of fetal alcohol
exposure (Becker et al., 1995; Fulginiti et al., 1989; Taylor
et al., 1981).
In this article we use data from a 14-year follow-up of
single-bom children from the Seattle Longitudinal Study on
Alcohol and Pregnancy. Interviews of 439 parents provided
information on the adolescent's family history of alcohol
problems and on the parent's perception of the adolescent's
drinking. Independently, 14-year-old adolescents provided
information on their own drinking habits and associated
problems and their perception of their parent's drinking. In
1974-75, this population-based, longitudinal prospective study
began with detailed prenatal interviews of the mothers
regarding their pregnancy health habits including alcohol use
(a measure of fetal exposure, or dose). We examine the
relationships between fetal alcohol exposure and family
history of alcohol problems in predicting drinking rate and
problems in adolescence using a multivariate methodology. In
our longitudinal design we are able to control for several
aspects of the postnatal environment that might contribute to
the prediction of adolescent alcohol problems.
Method
In 1974-75, 1,529 pregnant women who were receiving
prenatal care at either of two hospitals that together
represented the demographic characteristics of the Seattle
area were interviewed during their fifth month of pregnancy
regarding general demographic characteristics, and pregnancy
health habits, including nutrition, smoking, alcohol and
caffeine use, and use of prescription and nonprescription
medications. Families were chosen for longitudinal follow-up
using a strategy that included as many of the heaviest
drinkers as possible while also reflecting a continuum of
prenatal alcohol use. Cigarette use was stratified across
alcohol as measured by an a priori alcohol scale. For greater
detail regarding study design and methodology, strengths and
weaknesses, see Streissguth et al. (1993).
As part of the 14-year follow-up conducted in 1989-90, 464
participating families were seen at the University of
Washington Medical School. This represents 82% success of
follow-up since birth with no differential loss of adolescents
born to mothers using alcohol more heavily during pregnancy.
Only 10 of the 14-year-olds were no longer living with either
biological parent. Subjects described here are the 439
families with complete data from the three relevant data sets:
adolescent alcohol use (from adolescent and parent in
1989-90), family history of alcohol problems (from parent
report in 1989-90) and prenatal alcohol exposure history (from
biological mother report during pregnancy in 197475). Mothers,
who were primarily white (90%), averaged ([+ or -] SD) 26.5 [+
or -] 4.6 years of age, were married (89%) and had graduated
from high school (90%) at the time of this pregnancy. At
examination roughly 14 years later, the adolescents ranged in
age from 13 years 11 months to 15 years 8 months (mean age--14
years 5 months); 53% male. For more details on the 14-year
cohort characteristics and details of the 14-year testing
battery, see Streissguth et al. (1994).
Prenatal alcohol exposure (fetal dose)
Prenatal alcohol was assessed during midpregnancy by
self-report of the biological mother in a confidential
quantityfrequency-variability interview (Mulford and Miller,
1960) conducted in her own home. Table 1 defines the alcohol
scores and presents data on levels of drinking among drinkers
only. Of these mothers 20% abstained from alcohol during both
gestational periods assessed; 324 (74%) drank in the early
part of pregnancy before they knew they were pregnant; 342
(78%) reported drinking during pregnancy. The mothers'
drinking prior to pregnancy recognition averaged about 11
drinks per week, during midpregnancy about four drinks a week.
Prior to pregnancy recognition 39% reported at least one heavy
drinking episode (defined as at least five drinks), but during
midpregnancy only 24% reported drinking five or more drinks on
one occasion. The drinking patterns of mothers in this cohort
range from total abstinence to very heavy drinking, but are
mostly in the moderate or social range. Only three of these
439 mothers reported any lifetime history of problems due to
alcohol such as marriage break-up, being hospitalized, losing
a job or getting arrested due to drinking behavior.
TABLE 1. Alcohol scores and descriptive statistics (N =
439). Data pertain to drinkers only Alcohol scores Mean ([+ or -] SD)
Average ounces of absolute alcohol per day
Prior to pregnancy recognition (AAP) 0.80 [+ or -] 1.78
During midpregnancy (AAD) 0.32 [+ or -] 0.60
5 drinks or more on any occasion
Prior to pregnancy recognition 0.39 [+ or -] 0.49
([is greater than or equal to] 5DRINKSP)
During midpregnancy 0.24 [+ or -] 0.43
([is greater than or equal to] 5DRINKSD)
Average drinks per occasion
Prior to pregnancy recognition (ADOCCP) 2.48 [+ or -] 1.45
During midpregnancy (ADOCCD) 2.19 [+ or -] 1.16
Max. drinks reported on any occasion
Prior to pregnancy recognition (MAXP) 4.00 [+ or -] 2.56
During midpregnancy (MAXD) 3.61 [+ or -] 2.60
Monthly occasions of drinking
Prior to pregnancy recognition (MOCCP) 16.76 [+ or -] 22.70
During midpregnancy (MOCCD) 8.00 [+ or -] 11.13
Quantity-Frequency-Variability Index
Prior to pregnancy recognition (QFVP) 3.51 [+ or -] 1.03
During midpregnancy (QFVD) 3.02 [+ or -] 0.93
Ordered Exposure Code
combines timing, dose, pattern (ORDEXC) 2.78 [+ or -] 1.22
Alcohol scores Min. Med. Max.
Average ounces of absolute alcohol per day
Prior to pregnancy recognition (AAP) 0.01 0.39 25.76(a)
During midpregnancy (AAD) 0.01 0.16 8.55
5 drinks or more on any occasion
Prior to pregnancy recognition 0 0 1.00
([is greater than or equal to] 5DRINKSP)
During midpregnancy 0 0 1.00
([is greater than or equal to] 5DRINKSD)
Average drinks per occasion
Prior to pregnancy recognition (ADOCCP) 1.5 2.2 13.0
During midpregnancy (ADOCCD) 1.5 1.7 13.0
Max. drinks reported on any occasion
Prior to pregnancy recognition (MAXP) 1.5 3.5 13.0
During midpregnancy (MAXD) 1.5 3.5 13.0
Monthly occasions of drinking
Prior to pregnancy recognition (MOCCP) 0.3 9.0 240.0
During midpregnancy (MOCCD) 0.3 4.8 105.3
Quantity-Frequency-Variability Index
Prior to pregnancy recognition (QFVP) 2.0 3.0 5.0
During midpregnancy (QFVD) 2.0 3.0 5.0
Ordered Exposure Code
combines timing, dose, pattern (ORDEXC) 1.0 3.0 4.0
Notes: AA (average oz of absolute alcohol per day) is a
continuous variable; AA = 1.00 means an average of two drinks
per day of wine, beer, spirits, or any combination. P (n =
324) refers to the month or so prior to pregnancy or pregnancy
recognition; D (n = 342) refers to drinking during
midpregnancy, assessed at the fifth month of pregnancy. [is
greater than or equal to] 5DRINKS is a dichotomous variable
representing whether or not five or more drinks were reported
on at least one occasion. This score combines the VV = 5, VV =
8 and VV = 11 of Cahalan et al., 1969. ADOCC represents the
average number of drinks reported per drinking occasion. MAX
is the maximum number of drinks reported for any drinking
occasion. MOCC is the number of occasions per month in which
drinking is reported. QFV is a categorical score (quantity,
frequency, variability) summarizing three dimensions of
drinking from Cahalan et al., 1969. The order has been
reversed for consistency with the other drinking scales, so
that 5 corresponds to the heaviest drinking. ORDEXC is an a
priori code (ordered exposure code) developed at the outset of
this study to describe the presumed risk to the fetus of
different drinking patterns, in order to enroll women in the
follow-up study: 4 is highest presumed risk (n = 351).
(a) The next highest AAP score was 9.14 oz.
Adolescent alcohol use
As part of a 4-hour confidential evaluation, adolescents
were given two short questionnaires pertaining to alcohol. The
Lifestyle Choices Survey (LCS) includes five questions of
adolescents' quantity and frequency of alcohol use, age of
first feeling drunk, number of days during the past year that
they drank enough to feel drunk and whether they had ever had
treatment for alcohol problems (based on Grube and Morgan,
1986). A 13-item alcohol problems scale (Baer and Carney,
1993), a short version of the Rutgers Alcohol Problem Index
(RAPI-A) (White and Labouvie, 1989), reflects how often during
the past 3 years the adolescent experienced specific social
and personal difficulties related to drinking and behaviors
indicative of dependence symptoms.
Data on adolescent alcohol use and problems were obtained
from adolescent self-report (for the adolescent' s "ever
consuming alcohol," parental reports were used as
confirmation). Figure 1 presents the six adolescent alcohol
scores analyzed as dependent variables for this report.
Alcohol was consumed at some time by 252 (ALCINDC, 57%) of the
adolescents and during the past month by 111 (AMOCC, 25%);
beer, 64 (15%); wine, 38 (9%); wine cooler, 57 (13%); and
spirits, 39 (9%); numbers are not additive due to the use of
multiple beverage types by some subjects. As estimated number
of drinks in the past month and number of drinking occasions
are highly correlated (r = .96) only the latter (AMOCC) are
used for these analyses. Two adolescents report consuming
alcohol at least every other day on average. The usual number
of drinks consumed when drinking (not just in the past month)
is one to two drinks, but 53/252 (21%) of these young
adolescents who have ever had a drink usually have three or
more drinks on an occasion (USDOCC), and 137 (31%) of
14-year-olds have at some time felt intoxicated from alcohol.
[Figure 1 ILLUSTRATION OMITTED]
The 13 RAPI-A questions yield a summary score for
"negative" consequences due to drinking (RAPIASUM) which is
calculated as the simple sum of the 0-4 point frequency codes
from the 13 questions. Of the 439 adolescents, 112 (26%) have
already experienced at least one consequence of drinking (44%
of the 252 who have had a drink). The most frequently reported
consequences include "neglected responsibilities" (15%) and
"had a bad time" (14%). In addition, three of these
consequences (tolerance, perceived problems with alcohol, and
perceived dependence) were combined in a binary indicator
(ALCDEPND) reflecting the endorsement of at least one
criterion for alcohol dependence consistent with DSM-IV
(American Psychiatric Association, 1994).
Several other measures of adolescent alcohol use were
observed at frequencies too low to use for analyses. Only six
of the 14-year-old adolescents had already undergone alcohol
counseling/treatment programs; only seven parents said that
they were concerned about their adolescent's alcohol use; and
no parent requested intervention by our staff in response to
adolescent drinking.
Family history of alcohol problems
Family history of alcohol problems was assessed with the
Family Tree Questionnaire for Assessing Family History of
Drinking/Drug Abuse Problems (FAMTREE/CONSEQ) (Mann et al.,
1985). Almost all (93%) of the informants were biological
mothers. We assessed history of drinking problems among
first-degree and second-degree relatives of the adolescent.
The determination of alcohol problems for each relative was
based on nine questions that defined five dimensions (social
and marital problems, employment, arrests, physical symptoms,
and treatment) of alcohol problems. Any family member coded
positive for two or more of these five dimensions was
considered positive for family history of alcohol problems.
Summary scores for family units have been computed in many
different ways in the literature. We selected six different
ways of using our ratings of first- and second-degree
relatives to compute binary indicators of family history of
alcohol problems (see Table 2, column a). In order not to
confound the definition of family history with the measures of
maternal alcohol consumption, the same six indicators were
computed excluding consideration of the biological mother
(Table 2, column b). As is evident in the table, the number of
families identified as positive for history of alcohol
problems is almost the same whether or not maternal alcohol
problems are included in the definition. Analyses herein use
only the six indicators that exclude consideration of the
biological mother (Table 2, column b). Sixty biological
fathers and 23 mothers are identified as having alcohol
problems for a total of 73/439 (17%) families (for ten
families, both the mother and father have alcohol problems).
Of the 23 families with mothers identified as having alcohol
problems, only three have no other first- or seconddegree
relative with a problem.
TABLE 2. Indicators of family history of alcohol problems
in first- and second-degree relatives Variable % Yes % Yes
(each is code: 0: no, 1 = yes) (a) (b)
1st/2nd-degree relative has alcohol problem
(CPA12) 56 55
Someone in the family of origin has an alcohol
problem (CPAfo) 40 38
Maternal 1st/2nd degree relative has alcohol
problem (CPAmat12) 38 36
Paternal 1st/2nd degree relative has alcohol
problem (CPApat12) 34 30
1st-degree relative has alcohol problem (CPA1) 18 15
Mother and/or father has an alcohol problem
(CPApar) 17 14
Notes: A positive score on any of the indicators above
results from one or more members of the target group having a
positive score on the Consequences of Problem Alcohol use
scale (CPA). Column (a) shows the percent of adolescents with
a positive family history of problems with alcohol by the
definitions as stated. Column (b) differs from column
(a) by the exclusion of mother's alcoholism from the
calculation. For CPApat12, the restriction is to "males only"
on the paternal side of the family. These are the scores used
in subsequent analysis (e.g., Figure 3, Table 4).
Covariates
Covariates were assessed at various points in time.
Prenatal covariates included basic demographic characteristics
such as mother's age, education, SES and parity, and
information on her pregnancy use of alcohol, cigarettes, drugs
and medicines (concurrent information about prenatal fetal
exposures). Stratification for smoking across alcohol
categories in the selection of the follow-up cohort from the
prenatal interview sample helped to minimize the correlation
of alcohol with nicotine.
At the 14-year study, the parent interview asked about
other major household changes believed to indicate stress
(family changes in residence, foster care, divorces, deaths in
the family) and whether the adolescent has lived his or her
whole life with cigarette smokers. The adolescent
questionnaires and interview contained information about
contemporaneous alcohol use in the household (we coded the
maximum frequency of alcohol use reported for any parent
figure), the Rosenberg Self-Esteem Inventory (SEI) (Rosenberg,
1965) and summary scores from the Parenting Style Survey (PSS)
(Sameroff et al., 1990).
[Figure 2 ILLUSTRATION OMITTED]
Statistical analysis
Simple and partial correlations were used to assess the
strength of the relationships of prenatal alcohol exposure (13
measures) and family history (6 dichotomous measures) to
adolescent alcohol use (6 measures).
We carried out one primary composite analysis of all six
adolescent alcohol measures and two other analyses of the
measures of consequences of adolescent drinking from the
RAPI-A: RAPIASUM and ALCDEPND. Our primary analysis involves
three composite latent variable (LV) scores representing the
prenatal alcohol exposure/dose measures, the family history
indicators and the adolescent alcohol use measures. These are
computed by the Partial Least Squares (PLS) method explained
in detail and demonstrated in a number of our previous
publications (Bookstein et al., 1996; Sampson et al., 1989;
Streissguth et al., 1993). In these articles we explain why
the alcohol exposure LV score should be computed as a linear
combination of nonlinearly transformed individual exposure
measures (Table 1), with coefficients proportional to the
correlations of the transformed exposure measures, with an
adolescent alcohol use latent variable that is similarly
defined in terms of its components. We refer to these
coefficients as saliences. In this analysis we utilize the
modestly nonlinear transformations of the 13 prenatal exposure
measures computed in the comprehensive analyses of data from
birth through 7 years reported in our earlier monograph
(Streissguth et al., 1993, Figure 4.1).
The family history latent variable score is computed from
its individual indicators (Table 2) in the same way with
respect to an adolescent alcohol use latent variable. That is,
the saliences (coefficients) of the family history LV are
proportional to the correlations of the individual family
history indicators with the adolescent alcohol LV. The
adolescent alcohol LV is nearly the same (r = .99) regardless
of whether the saliences defining it as a linear combination
of the six measures of adolescent alcohol consumption and
consequences are computed with respect to the family history
LV or the prenatal alcohol LV. Subsequent regression analyses
use the adolescent alcohol LV computed with respect to
prenatal alcohol.
Regression analyses are used to assess the strength of the
relationships of the prenatal alcohol LV and the family
history LV with the adolescent alcohol LV and with the two
consequence variables, RAPIASUM and ALCDEPND. The analyses
describe the extent to which other predictors suggested in the
literature and available within our database may alter the
interpretation of the basic findings. The potential covariates
were prenatal demographic characteristics and cigarette use
(six variables), adolescent age and sex, parents' postnatal
alcohol and cigarette use (two variables) other postnatal
environmental descriptors (12 variables) and adolescent
attributes of self-esteem and receipt of special programming
in school in response to learning problems. We note that the
postnatal environmental descriptors and adolescent self-esteem
and learning difficulties may be directly or indirectly
influenced by maternal prenatal alcohol consumption or family
history. Thus, one must consider carefully the interpretation
of conventional multiple regression analyses adjusting for
these as covariates.
This study was designed to assess effects of prenatal
alcohol exposure. There will be no attempt to launch a study
of general predictors of adolescent drinking (a task
undertaken by many earlier studies designed for that purpose).
Many of these covariates are highly correlated with one
another. They will be used here mainly to assess stability of
findings regarding the relationship of prenatal alcohol
exposure and family history to adolescent drinking and its
consequences.
Results
Figure 2 presents the simple and partial correlations of
four of the adolescent alcohol-related outcomes with fetal
dose measures. For each prenatal dose/adolescent alcohol
combination, the solid diamond indicates the simple
(unadjusted) correlation, and the nearby dots are the partial
correlations deriving from adjustment for each of the six
family history indicators. (Relationships are of a strength
somewhat greater than that which we have commonly observed
across neurobehavioral adolescent outcome measurements
[Streissguth et al., 1993].) Three of the four outcome
measures in Figure 2 (USDOCC, RAPIASUM, AGEINTOX) as well as
ALCINDC and ALCDEPND all correlate near 0.2 with alcohol
measures, peaking at a correlation of 0.28 between USDOCC and
maximum drinks per drinking occasion prior to recognition of
pregnancy, MAXP. Overall average alcohol exposure (as
represented by AAP and AAD) does not correlate with adolescent
drinking as highly as do ADOCC, MAX and [is greater than or
equal to] 5DRINKS scores of prenatal alcohol exposure. As
shown in Figure 2, adjustment for any measure of family
history of alcohol problems only slightly attenuates these
relationships.
Figure 3 displays correlations of adolescent alcohol use
outcomes with family history measures. Relationships generally
are lower than those with prenatal exposure except in the case
of first intoxication for which they reach approximately the
same level, 0.19 (Figure 3). The partial correlations (dots
below diamonds) display attenuation by adjusting for fetal
exposure.
[Figure 3 ILLUSTRATION OMITTED]
Partial least squares (PLS) and regression analyses
The PLS analysis results in a linear combination of alcohol
exposure scores that correlates 0.27 with a linear combination
of the adolescent drinking variables (Table 3). The saliences
for these two latent variables are derived from the 13 x 6
correlation matrix between alcohol exposure and adolescent
alcohol, as explained in Streissguth et al. (1993). The
elements of (four columns of) this correlation matrix are
represented by the diamonds in Figure 2; 98% of the sum of
squared correlations is "explained by" these two latent
variables. (For further discussion and interpretation of this
summary statistic, see Streissguth et al., 1993). The prenatal
alcohol LV is a combination of the 13 individual measures
weighted toward episodic drinking, with slightly greater
weight on the prepregnancy recognition measures. The
adolescent alcohol LV correlating with this prenatal alcohol
LV gives the greatest weight to drinks per occasion (USDOCC),
relatively little weight for the average monthly occasions
measure (AMOCC), and intermediate weight to the other four
scores. TABLE 3. Summary of PLS analysis of 13 measures of prenatal
alcohol exposure measures and six measures of adolescent alcohol
use and consequences
Prenatal alcohol saliences Adolescent alcohol saliences
ORDEXC 0.25 ALCINDC 0.33
AAP 0.15 AMOCC 0.28
AAD 0.12 USDOCC 0.54
MOCCP 0.16 AGEINTOX 0.40
MOCCD 0.15 RAPIASUM 0.46
ADOCCP 0.36 ALCDEPND 0.40
ADOCCD 0.34
MAXP 0.37
MAXD 0.34
[is greater than or
equal to] 5DRINKSP 0.30
[is greater than or
equal to] 5DRINKSD 0.30
QFVP 0.31
QFVD 0.31
Prenatal alcohol-adolescent alcohol LV correlation = 0.27
Notes: Acronyms for alcohol scores are explained in Table
1. Acronyms for the adolescent alcohol use and consequences
scores are explained in Figure 1.
The family history LV computed in the same way correlates
0.18 with a similar adolescent drinking latent variable (Table
4). The major difference between the definitions of the two
adolescent drinking latent variables is in lower saliences for
AMOCC and RAPIASUM in the analysis with respect to family
history. However, as these adolescent LV scores correlate
0.99, we use only the adolescent alcohol LV score computed
with respect to prenatal alcohol exposure in the regression
analyses to be described next. TABLE 4. Summary of PLS analysis of six indicators of family
history of alcohol problems and six measures of adolescent
alcohol use and consequences.
Family history saliences Adolescent alcohol saliences
CPA 12 0.41 ALCINDC 0.46
CPAfo 0.33 AMOCC 0.12
CPAmat 12 0.21 USDOCC 0.47
CPApat 12 0.41 AGEINTOX 0.56
CPA1 0.52 RAPIASUM 0.28
CPApar 0.49 ALCDEPND 0.40
Family history-adolescent alcohol LV correlations = 0.18
Notes: Acronyms for family history scores are explained in
Table 2. Acronyms for adolescent alcohol scores are explained
in Figure 1.
A regression model combining the prenatal alcohol and
family history LVs for prediction of the adolescent alcohol LV
(Table 5, Model 1) shows that prenatal alcohol exposure
retains a greater effect after adjustment for family history
(t = 5.30, partial r = 0.25) than does family history after
adjusting for alcohol exposure (t = 2.36, partial r = 0.11).
Thus, prenatal exposure accounts for prediction otherwise
attributed to family history. The reverse, that family history
accounts for prenatal effects, is not evident. The family
history and prenatal alcohol LV scores are correlated 0.23.
There is no statistical evidence of an interaction effect
expressed as the product of these two latent variable scores
(t = 1.00). TABLE 5. Three regression analyses of the adolescent alcohol
LV score on the prenatal alcohol LV, family history LV score
and covariates
Model 1 Model 2
Coefficients Value t value Value t value
Prenatal alcohol LV 0.16 5.30 0.13 4.29
Family history LV 0.11 2.36 0.04 0.36
Parity (log) -0.36 -2.13
Prenatal nicotine (log) -0.21 -3.20
Age at the exam -1.76 -4.13
PS S "control"
PSS "effectiveness"
Self-esteem
[R.sup.2] = .083 [R.sup.2]=. 149
Model 3
Coefficients Value t value
Prenatal alcohol LV 0.10 3.34
Family history LV 0.03 0.55
Parity (log) -0.27 -1.70
Prenatal nicotine (log) -0.20 -3.16
Age at the exam -1.50 -3.71
PS S "control" -0.08 -3.99
PSS "effectiveness" -0.19 -4.25
Self-esteem 0.66 3.37
[R.sup.2] = .241
Our data generally support findings of other researchers
who report that factors such as alcohol and cigarette use in
the home, parenting style, religion, learning problems, poor
relationship with parents and poor self-esteem are related to
adolescent drinking (Baer et al., in press). We see
significant correlations between these factors and adolescent
alcohol outcomes in this sample. However, we reiterate that
some of these "postnatal covariates" are themselves probably a
result of prenatal exposure and are thus not appropriate to
consider as covariates for the purpose of adjustment in an
analysis of the significance of prenatal exposure effects. A
second regression (Table 5, Model 2) shows that alcohol
exposure retains its nominal significance after further
adjustment for age of the adolescent at the time of the
14-year interview, parity and maternal smoking (prenatal
nicotine), but family history does not. Adolescent gender did
not enter the model, indicating no gender effects on
adolescent drinking. When other postnatal environmental
measures are considered (Table 5, Model 3), including measures
of parenting style (PSS), current parental drinking,
indicators of stressful household changes and an adolescent
self-esteem score (SEI), the significant association of
adolescent drinking with prenatal alcohol exposure, but not
family history, remains. Table 5, Model 3, presents a summary
of one of many nearly comparable regression models suggested
by the exhaustive search of an "all subsets" regression
procedure (Seber, 1977). We explicitly forced the family
history LV score into the regression as it would not otherwise
have been selected. The adolescent assessment of current
parental drinking is likewise insignificant when forced into
the regression. Even though it is correlated 0.26 with the
alcohol LV score, adjustment for current parental drinking
does not greatly affect the estimated effect of prenatal
alcohol exposure.
Two measures of parenting style, "control" and
"effectiveness," are the strongest correlates of adolescent
drinking behavior, both marginally and in this multiple
regression model. (Both lack of "control" and lack of
"effectiveness" are associated with high levels of adolescent
drinking and problems.) As noted previously, measures such as
these and the similarly significant adolescent self-esteem
score may themselves be reflections of the effects of prenatal
alcohol exposure or family history of alcohol problems. In
view of this, the stability and significance of the prenatal
alcohol LV term across the regressions reported in Table 5 are
perhaps even more convincing. That is, fetal alcohol exposure
continues to contribute an apparently unique prediction
(unaccounted for by other variables) to adolescent drinking
behavior. We note also that, in this final analysis, maternal
smoking (log nicotine) correlated almost as strongly with the
outcome as does prenatal alcohol exposure.
Analysis of the RAPIASUM score for consequences of drinking
results in a very similar regression model with a similarly
significant alcohol LV effect (t = 2.99) and insignificant
contribution from the family history LV. There are some
differences in the most relevant postnatal covariates. (The
"effectiveness" parenting style measure correlates highly with
consequences while the "control" measure correlates mainly
with the drinking rate measures, not consequences.) Logistic
regression analysis of the binary indicator of alcohol
dependency (ALCDEPND) points to similar conclusions (although
with slightly lower estimated effects of the alcohol LV: t =
2.7 prior to adjusting for the postnatal factors, t = 2.14
after postnatal adjustment).
Discussion
The current study addresses a potential overlap and
confound between alcohol-related factors that have previously
been studied separately: fetal alcohol effects and family
history of alcoholism. It specifically addresses whether fetal
alcohol exposure is predictive of adolescent alcohol problems.
Our data not only indicate that fetal alcohol exposure is
related to adolescent alcohol use and related problems but
also suggest that fetal alcohol exposure can account for
effects that might otherwise be attributed to family history
of alcohol problems. The predictive relationship of prenatal
alcohol exposure for adolescent alcohol problems held even
when several aspects of the postnatal environment were
statistically adjusted for by linear regression. Consistent
with previous research, family history of alcohol problems was
associated with adolescent alcohol involvement. Yet this
relationship was not as strong as the relationship with
prenatal alcohol and was substantially lessened by adjustment
for fetal alcohol exposure in statistical models. In our data
there was no evidence that fetal alcohol exposure and family
history of alcohol problems interacted in the prediction of
adolescent alcohol use or related problems, nor did family
history account for variance attributed to fetal exposure.
The multivariate PLS analyses that define the scores we
have used for prenatal alcohol exposure, family history of
alcohol problems and adolescent drinking and consequences are
based on the premise that it is not possible to measure a
single variable for each of these three domains that suffices
for understanding the predictive relationships among them. We
look instead for appropriately weighted combinations of the
observable variables in each of these domains, with weights or
saliences that reflect the importance of each variable in the
cross-block predictions and that are derived from the simple
cross-correlations illustrated in Figures 2 and 3. Consistent
with previous analyses for prediction of other adolescent
outcomes, the pattern of saliences on the prenatal alcohol
measures (Table 3) points to the episodic drinking measures
(particularly average drinks per occasion, ADOCC, and maximum
drinks on an occasion, MAX) as most predictive of adolescent
drinking and problems. These prenatal measures correlate
substantially with all of the adolescent drinking and
consequence measures, with the exception of the adolescent
monthly occasions score, AMOCC (Figure 2; Table 3). We
analyzed adolescent drinking rates, associated problems and a
subset of dependence symptoms separately in order to evaluate
possible specific prediction effects. Our data, however,
suggested that fetal exposure is predictive of each of these
adolescent outcomes at roughly equivalent salience.
The saliences of the family history indicators show that it
does matter how family history is coded, as the paternal and
first-degree relative indicators have substantially higher
saliences for adolescent drinking and consequences than do the
other family history indicators (Table 4). This result is
consistent with other published studies that demonstrate
specific statistical prediction of risk factors based on
paternal and multigenerational alcoholism profiles (e.g.,
Harden and Pihl, 1995). Age at first intoxication is clearly
the most salient adolescent outcome with respect to family
history. However, we caution against overinterpretation of
this univariate effect. The higher salience of AGEINTOX in
Table 4 does not result in an appreciably different adolescent
alcohol LV, as the scores derived from Tables 3 and 4
correlate r = .99. The singular association between age of
first intoxication and paternal drinking could be explained by
a variety of social mechanisms.
The implications of these results are manifold. First and
foremost, for research, attention to fetal exposure to alcohol
appears critical for the development of etiological risk
models. As reviewed in the introduction, we know of no study
that has controlled for maternal drinking during pregnancy in
heritability studies of alcoholism. In fact, there is good
reason to assume that assortative mating does occur with
respect to alcohol consumption (Hall et al., 1983): Wives of
alcoholic husbands drink more than women married to
nonalcoholics. In family history studies, maternal alcoholism
is sometimes assessed, typically in an attempt to study
paternal vs maternal genetic influences. Yet fetal exposure
poses a difficult assessment challenge for heritability
studies. Recall that teratogenic effects are manifest
statistically over a range of moderate ("social") rates of
drinking, rates that would be missed by broadband assessment
of maternal drinking as "problematic" or "alcoholic." Based on
extant literature, and the analyses just presented, it appears
that subtle effects of alcohol exposure during pregnancy
should be accounted for in heritability studies.
The data also have implications for etiological models of
alcohol involvement and alcohol-related problems in young
adolescents. Our data, consistent with many studies of
adolescents (see Baer et al., in press, for a review), suggest
that 14-year-olds at higher psychosocial risk (as reflected in
our data by covariates of parenting style and adolescent
self-esteem) have greater involvement with alcohol and more
negative consequences. Our regression analyses controlling for
the psychosocial factors that we measured could account for
family history effects but not for effects based on fetal
exposure to alcohol. Thus, fetal alcohol exposure may have a
specific or unique role in the prediction of adolescent
drinking. While environmental factors clearly contribute to
such risky behaviors of 14-year-olds, the implication of our
research is that individual risk factors commonly attributed
to genetic family history, including difficult temperaments,
impulsivity, conduct disorder and executive functioning (cf.
Zucker, 1994), could arise in part from exposure to alcohol
during pregnancy.
The lack of a unique prediction based on family history was
surprising. While our data suggest that fetal exposure is
important for adolescent adjustment and can account for family
history effects, our data do not suggest that family history
of alcoholism contributes significantly in the prediction of
adolescent outcomes beyond that which can be accounted for by
fetal alcohol exposure and other covariates. Before concluding
that there are no effects of family history, some limitations
should be noted. It is possible that our dependent measures of
drinking rates and problems are not sensitive to family
history effects (although family history has been predictive
of adolescent drinking using similar assessment methodology
for a similar age group; Chassin et al., 1991). Further, our
sample may not represent those at highest risk for familial
alcohol problems. For a study of alcoholism etiology, our
outcome measure, 14-year-olds' drinking, may be limited as
well. We do not know much yet about the role of relatively
early (age 14) adolescent drinking behaviors in predicting
later, adult alcohol problems. In fact, some aspects of
genetic risk, such as a reduced response to alcohol (Schuckit
and Smith, 1996), may not manifest as risk factors until early
or middle adulthood.
Yet some of the known linkages between adolescent and adult
drinking problems tend to be associated with conduct problems
and developing sociopathy (Zucker, 1994). It is quite possible
that fetal exposure is a critical component in a developmental
trajectory toward alcohol problems involving school failure,
association with deviant peers, impulsive behavior and
criminality (Carmichael Olson et al., 1997). Further, the role
of fetal alcohol exposure in generating alcohol sensitivity,
as has been shown in animal models, remains to be studied in
humans.
Acknowledgments
We thank Heather Carmichael Olson, Ph.D., for directing the
14-year data collection and John Anzinger for technical
assistance.
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JOHN S. BAER, PH.D., HELEN M. BARR, M.A., M.S.,([dagger])
FRED L. BOOKSTEIN, PH.D.,([dagger]) PAUL D. SAMPSON, PH.D.,*
and ANN P. STREISSGUTH, PH.D.([dagger])
Department of Psychology, University of Washington School
of Arts and Sciences & Veterans Affairs Puget Sound Health
Care System, Seattle, Washington
Received: October 7, 1997. Revision: December 1, 1997.
(*) This study was supported by National Institute on
Alcohol Abuse and Alcoholism grant AA 01455-01-22 to Ann P.
Streissguth.
([dagger]) Helen M. Barr and Ann P. Streissguth are with
the Department of Psychiatry and Behavioral Sciences,
University of Washington School of Medicine, Seattle, WA. Fred
L. Bookstein is with the Institute of Gerontology, University
of Michigan, Ann Arbor, MI. Paul D. Sampson is with the
Department of Statistics, University of Washington School of
Arts and Sciences, Seattle, WA.
Correspondence should be addressed to Ann P. Streissguth,
Ph.D., Fetal Alcohol and Drug Unit, 180 Nickerson St., Suite
309, Seattle, WA 98109. |