Philip Morris
New Data Note Series - 20 Severity of Dependence: Data From the Dsm-IV Field Trials
Fields
- Author
- Cacciola, J.
- Cottler, L.B.
- Woody, G.E.
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- ABST, ABSTRACT
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- Nida
- John + Catherine D Macarthur Foundation
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- Request
- Stmn/R1-036
- Stmn/R1-072
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- Addiction
- Philadelphia Va Medical Center
- Wa Univ School of Medicine St Louis Mo
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,4ddtctwn (1993) 88, 1573-1579
NEW DATA NOTE SERIES-20
Severity of dependence: data from the
DSM-IV field trials
GEORGE E. WOODY,' LINDA B. COTTLERZ & JOHN CACCIOLA1
'Department of Psychiatry, Washington University School of Medicine, 4940 Children's Place,
St Louis, MO 63110 & ZSubstance Abuse Treatment Unit, Philadelphia VA Medical Center,
39th and Woodland Ave S, Philadelphia, PA 19104, USA
The Data Notes Series is edited by Dr Bridget Grant, Chief of Biometry of the
National Institute on Alcohol Abuse and Alcoholism.
Abstract
Tiu concept of a dependence syndrome with graded levels of severity was originally derirxd fiom work
with
alcoholics. The applicability and clinical utility of the dependence syrtdmrne across a wider range
of substances
was examined as part of the DSM-IV feld trials. When using a criterioh count method to astess
set.writy,
it was found that persons cluster at diffennt sevniry levelr according to the drug on which they are
dependent.
Across all drug classes, severiry correlated reasonably well with measures of quantity and frequency
of use and
with associated problems. Tlu relationship between severity ratings and outcome was not tested,
however data
from other studies indicate that severity is only one of many factors that can :nfluence outcome.
Introduction
The concept that dependence exists in gnded
levels of severity was part of the original descrip-
tion of the alcohol dependence syndrome,
known as the ADS (Edwards & Gross, 1976;
Edwards, Arif & Hodgson, 1981; Edwards,
1986). The ADS has been found to have internal
consistency and external validity, and alcohol-
specific instruments have been developed to
measure its elements (Stockwell er a1, 1979;
Hodgson, Stockwell & Ranldn, 1978; Skinner,
1981; Skinner & Allen, 1982; Hesselbrock,
Babor & Hesselbrock, 1983; Davidson, Bunting
& Raistrick, 1989).
Tbis work .vaa supported by a Srant from the Jotm and
Catherine D. MacArthur Foundation; by NIMH Grant MH
47200-03; and by NIDA Grma DA-05186, DA-05593, and
DA-05585.
Some of the studies that have examined the
validity of the ADS have related severity of de-
pendence to potential external validators such as
quantity and frequency of use, or alcohol-related
physical, psychiatric, and social problems
(Drummond, 1990). Others have examined
severity as it relates to outcome, and some have
found that it is a reasonably good predictor
(Orford, Oppenheimer & Edwards, 1976; Hodg-
son, Rankin & Stockwell, 1979; Skinner, 1981;
Polich, Armor & Braiker, 1981; Hesselbrock a
aL, 1983; Babor, Cooney & Lauerman, 1987).
Related studies have been done with nicotine
dependence (Breslau, Kilbey & Andreski, 1991).
With few exceptions (Doherty & Webb, 1989)
studies that have examined the relationships
between dependence severity, alcohol con-
sumption, associated problems, and outcome
1573
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1574 George E. Zoodv et al.
have not focused on the three DSM-III-R sever-
irv levels (mild, moderate and severe). Rather,
they have usually examined the two ends of the
severity connnuum by comparing subjects with
severe vs. mild/moderate dependence (Hodgson
et al., 1979). In addition these studies have typi-
cally used substance-specific rating scales such as
the Seventy of Alcohol Dependence Scale
(SADQ) or the Faegerstrom (for nicotine),
rather than counts of DSM or ICD diagnostic
criteria.
Though developed from work with alcoholics
and later applied to nicotine, the Edwards con-
cepts were generalized and applied to all
substances in DSM-III-R and ICD-9. Even at
the time DSM-III-R was published, very little
work had been done to examine how well the
ADS and the DSM-III-R criteria for severity
applied to this wider range of substances.
Subsequently, more work has been done in
these areas including efforts to develop and test
an instrument to measure the severity of opiate
dependence. This instrument is modeled after
the SADQ and given the related title: Severity of
Opiate Dependence Questionnaire (SODQ).
Preliminary results suggest that severity of opiate
dependence may behave differently than severity
of alcohol dependence, as all items on the
SODQ were found to load on two factors: with-
drawal symptoms, both physical and affective;
and withdrawal relief (Phillips er al., 1987). In
another study, (Babor et al., 1987) the SADQ
and SODQ were used to measure severity of
dependence in treated alcoholics and opiate ad-
dicts and it was found that severity predicted
outcome in alcoholics but not in opiate addicts.
Kosten and colleagues (1987) examined the ap-
plicabiliry of the ADS to a wide range of drugs
including opiates, cocaine, alcohol, hallucino-
gens, sedatives, marijuana, cocaine and other
stimulants. They found that the severity concept
appeared to be more applicable to some sub-
stances than to others.
A study that was done as part of the DSM-IV
field trials (Cacciola & Woody, 1993) used a
secondary analysis of data from two treatment
outcome studies to examine severity among pa-
tients seeking treatment for cocaine problems.
The Diagnostic Interview Schedule (DIS) had
been used in each study, and items from it were
selected to approximate DSM-III-R dependence
criteria and to then construct three severity
groupings based on criterion counts. Patients
were also divided into low, mid, and high levels
of cocaine use, and into low, mid, and high levels
of cocaine-associated problems. All groups were
then compared at intake, and at one and three
month followup.
Dependence seventy was found to correlate
with frequency and quantity of use and with
cocaine-associated problems at intake, but the
differences were clearly detectable only at the
extremes. This finding resembled that of (Hodg-
son et al., 1979) who also found only two
clearly-identifiable severity levels among alco-
holics. Unlike many of the studies with alcohol
and nicotine, severity of dependence at intake
did not predict outcome. In fact, there was some
evidence that patients with severe dependence
had better outcomes than those with mild or
moderate dependence. This latter finding was
not seen, however, in persons with antisocial
personality disorder (ASPD). These patients
were generally more severe than those without
ASPD, and higher dependence severity was asso-
ciated with poorer outcome within this
subgroup.
Though these studies had methodological lim-
itations, when taken together they suggest that
severity varies in its ability to predict outcome as
a function of: (1) the drug under study; (2) the
method used for rating it (i.e. drug-specific mea-
sures vs a DSM symptom count); and (3) the
nature and extent of associated problems (psy-
chiatric, family/social, medical, etc.). These
relationships may be complex, as pointed out by
Hasin, Grant & Endicott (1988) and by the work
of Cloninger, Sigvardsson & Bohman (1988).
Though the relationship between severity and
outcome is not always detectable, these and
other studies have usually found that severity of
dependence is well-correlated with severity of
substance use and severity of associated prob-
lems (Skinner, 1981; Drummond, 1990). Thus
it appears that severity of dependence is a useful
way of describing a patient's status at a given
point in time, even though severity may not
always be a major determinant of outcome.
The DSM-IV Field trial for substance use
disorders provided a unique opportunity to ex-
tend this work to other drug classes because it
used a standardized instrument to evaluate per-
sons with a wide range of patterns of use. The
methods used in the field trials have been de-
scribed elsewhere (Cottler, 1993) and will only
be summarized here. Approximately 1100 sub-

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Sevenr} oi dependenue 1575
Table 1. Sez,entv of nerotn dependence b}numoer of crsurea and dose/tiequenc~ compos:rr scores
Dose/frequencv(composite score
Low
(0-32 percentile) Intermediate
;33-66 percentile) High
(67-100 percentile)
Total
Cnterion count n= 45 n=-12 n= 39 = 126
0-2 (No dependence) 16 (36%) 3 (7%) 4 ( 10°'0 l 23 ! 18° o;
3-4 (Mild) 2 (4%) 4 (9%) 5 (13%) 11 (9%)
5-6 (Moderate) 5 (11%) 4 (9%) 2 (5%) 11 (9%)
7-9 (Severe) 22 (49%) 31 (74%) 28 (72%) 81 (64%)
Table 2. Scvertry of opuzu dependence by number of crireria and doseJfrequnuy composue scores
Dose/frequency/composite score
Criterion count Low
(0-32 percentile)
n = 26 Intermediate
(33-66 percentile)
n = 25 High
(67-100 percentile)
n = 24
Total
n= 75
0-2 (No dependence) 5 (19%) 5 (50%) 3 (13%) 13 (17%)
3-4 (Mild) 1 (4%) 2(81%) 3 (13%) 6 (8%)
5-6 (Moderate) 4 (15%) 2 (8%) 2 (8%) 8 (11%)
7-9 (Severe) 16 (61%) 16 (64%) 16 (67%) 48 (64%)
jects were interviewed using a modified version
of the Composite International Diagnosric Inter-
view-Substance Abuse Module, known as the
CIDI-SAM (Robins et aL, 1988, 1989). Those
selected for study were persons who had used
alcohol, nicotine or illicit drugs on at least six
occasions. The ratio of treatment to non-treat-
ment subjects was approximately 65/35. Most
subjects were recruited from five sites in the US:
Burlington, Vermont; Denver, Colorado;
Philadelphia, Pennsylvania; San Diego, Califor-
nia; and St Louis, Missouri.
The data obtained permitted an examination
of severity groupings according to counts of de-
pendence criteria across drug classes. It was then
possible to relate severity to independent valida-
tors such as quantify and frequency of use, and
substance-associated problems. Those chosen
for presentation here are quantity/frequency of
drug use.
Methods
Items 1,2,3,4,5,6,7,9, and 11 from the DSM-IV
Options Book (1991) were used to assess depen-
dence. These items are similar to those in
DSM-III-R and are the criteria that the DSM-IV
Substance Use Disorders Work Group was using
during the Spring of 1992 to assess dependence
(later modifications were made for the final
version of DSM-IV). Severity of dependence on
the seven most commonly used substances was
examined. These substances were: heroin, opi-
ates, cocaine, amphetamines, alcohol, cannabis,
and nicotine. Heroin and opiates were examined
separately though they are similar pharmacologi-
cally. The rationale was that heroin is usually
associated with illicit use whereas opiates are
typically obtained by prescription. Data on other
substances such as sedatives, hallucinogens,
phencyclidine, and inhalants was available, but
the sample sizes were too small to use for these
analyses.
A composite score measuring the intensity and
frequency of use was developed for each drug
using data from the CIDI-SAM. The specific
formulas used for calculating the composite
scores will not be described here, but they can be
obtained on request from the first author. Scores
reflecting severity of drug use were calculated for
all subjects who had used each drug six or more
times on a lifetime basis. The scores were
divided into thirds, with the lowest third
representing 'mild' levels of drug use, etc.
Severity ratings were then developed accord-
ing to a count of dependence criterion items.
There were four groupings: 0-2 criteria = no de-
pendence; 3-4 criteria = mild dependence; 5-6
criteria = moderate dependence; and 7-9 crite-
ria = severe dependence. These groupings were

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2576 George E. T'oodv er al.
Table 3. Seventy of coca:ne dependence oy number of crnrersa and dos%frequency composite scores
Dosdfrequency/composue score
Criterion count
Low Intermediate High
(0-32 percentzle) (33-66 percentile) (67-100 percentile) Total
n= 110 n=102 n=105 n=317
0-2 (No dependence) 32 (29%) 7 (7%) 6 (6%) 45 (14%)
3-4 (Mild) 16 (15%) 11 (11%) 5 (5%) 32 (10%)
5-6 (Moderate) 22 (20%) 21 (21%) 17 (16%) 60 (19%)
7-9 (Severe) 40 (36%) 63 (62%) 77 (73%) 180 (57°/.)
Table 4. Severuy of asrepiutamrrse dependence by number of crueria and dosdfrequnrcy composue scores
Dose/frequency/composite score
Criterion count Low
(0-32 percentile)
n = 94 Intermediate
(33-66 percentile)
n=94 High
(67-100 percentile)
n=93
Total
n=281
0-2 (No dependence) 79 (84%) 51 (54%) 29 (31%) 159 (57%)
3-4 (Mild) 12 (13%) 26 (28%) 12 (13%) 50 (18%)
5-6 (Moderate) 3 (3%) 5 (5'/.) 23 (25%) 31 (11%)
7-9 (Severe) 0 (0%) 12 (13'/.) 29 (31%) 41 (15%)
then cross tabulated with ratings for the intensity
of drug use. The data are seen in Tables 1-7.
Results
Three general findings emerged, as seen in
Tables 1-7. First, a large proportion of persons
with high levels of drug use met criteria for
dependence; low levels of use were usually asso-
ciated with not meeting criteria for dependence.
This finding was seen in all drug classes includ-
ing heroin; it was weakest for cannabis. However
there were exceptions; some persons with high
levels of drug use did not meet dependence
criteria and vice versa.
Second, the proportion of persons having
mild, moderate or severe dependence among
those who met dependence criteria differed
across drug classes. Two-thirds or more of those
who met dependence criteria for heroin, opiates,
or cocaine had seven or more dependence crite-
ria and thus were labeled as high severity.
Persons meeting dependence criteria for alcohol
were equally distributed between low/moderate,
and high severity. In contrast, two thirds of those
who met dependence criteria for amphetamines,
cannabis or nicotine were found in the low/mod-
erate severity range.
Third, the proportion of those who had used 6
or more times and did not meet dependence
criteria varied greatly across drug classes (Table
8). Only 13.3% of those who had used tobacco,
14.2% of those using cocaine, 17.3% of those
using opiates and 18.3% of those using heroin
did not meet dependence criteria. In contnst,
46.7% of those who had used alcohol, 56.5% of
those using amphetamines and 58.7% of those
using cannabis did not meet dependence criteria.
Stated another way, roughly 80-90% of those
who had used the former three substances met
dependence criteria, while only 45-6A% of those
using the latter three had become dependent.
Discussion
These findings are generally consistent with the
concept of abuse liability. Heroin, opiates, and
cocaine are considered to have a high abuse
liability (the Drug Enforcement Administration
classifies them as Schedule I or II drugs). Over
80% of those who used these drugs six or more
times met criteria for dependence, and two
thirds or more of those who met dependence
criteria had severe dependence. Thus, persons
who use heroin, opiates or cocaine six or more
times were at considerable risk for becoming
dependent, and if they become dependent they
were likely to have severe dependence.
In contrast, amphetamines, alcohol and can-
nabis were much less likely to be associated with
,

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Sezenn, of dependence 1577
Table 5. Sevenn of alcohol dependence by number of cnrena and dosdfsequencv composite scores
Dose/frdquency/composue score
Critenon count Low
(0-32 percentile)
n = 285 Intermediate
(33-66 percentile)
n=286 High
(67-100 perentile)
n=295
Total
n=866
0-2 (No dependence) 250 (88°io) 129 (45%) 25 (8°/o) 404 (47"0)
3-4 (Mild) 22 (8%) 64 (22%) 34 (12%) 120 (14%)
5-6 (Moderate) 9 (3%) 43 (15%) 55 (19%) 107 (12%)
7-9 (Severe) 4 (1%) 50 (17%) 181 (61%) 235 (27%)
Table 6. Severery of cannabu dependenu -by numb" of criuria and doseJfrequencv composue scons
Dose/frequency/composite score
Criterion count Low
(0-32 percentile)
n = 152 Intermediate
(33-66 percentile)
n=145 High
(67-100 percentile)
n=136
Total
n=433
0-2 (No dependence) 129 (85%) 77 (53%) 48 (35%) 254 (59%)
3-4 (Mild) 16 (11%) 31 (21%) 33 (24%) 80 (18%)
5-6 (Moderate) 3 (2%) 20 (14%) 32 (23%) 55 (13%)
7-9 (Severe) 4 (3%) 17 (12%) 23 (17%) 44 (1(r%)
dependence. Among those who had become de-
pendent on these drugs, one half to two thirds
had low/moderate severity. The relatively low
dependence severity that was seen among those
using amphetamines is somewhat at odds with
clinical experience, where amphetamines are
considered to have a relatively higb. abuse liabil-
ity (greater than alcohol but less than cocaine
and heroin). However, this finding also demon-
strates the usefulness of collecting information in
a systematic way using a diagnostic instrament
that does not allow for preconceived ideas to
influence the results.
Tobacco is a particularly interesting case. Over
80% of those who had used tobacco 6 or more
times met dependence criteria, yet among those
who were dependent 78% had mild or moderate
dependence severity. It thus appears that to-
bacco readily produces dependence (perhaps
more so than most other substances), yet it does
not progress to severe levels of dependence as
readily as cocaine, heroin and most other drugs.
Though it easily causes compulsive use, toler-
ance, and withdrawal, tobacco may be less likely
to get 'out of control' and progress to severe
dependence than most other substances.
Alternatively, it is possible that some persons
with severe tobacco dependence are not well-
identified by the DSM criteria or by their
operationalization in the CIDI-SAM. The crite-
ria were derived from work with alcohol and they
may be less applicable to drugs that produce less
adverse psychological symptoms. For example,
tobacco has few or no sedative properties, espe-
cially when compared to alcohol and narcotics;
tobacco differs from cocaine and amphetamines
Table 7. Seturuy of robacca depaidsres by ntanber of csiterra and doulJnquency coneposits uorsr
Doteffrequency/composite score
Criterion couat Low
(0-32 perceatile)
n= 243 Intermediate
(33-66 percentile)
n= 222 High
(67-100 percentile)
n= 180
Total
n= 645
0-2 (No dependence) 45 (18%) 34 (14'/.) 9 (5%) 86 (13%)
3-4 (Mild) 69 (28%) 67 (30%) 39 (22%) 175 (27%)
5-6 (Moderate) 82 (34%) 86 (39°/.) 91 (51%) 259 (40%)
7-9 (Severe) 47 (19%) 37 (1T/.) 41 (23%) 125 (2(r)

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1578 George E. W'ooav et al.
Table 8. Percent oi those rcreny srx or more times who dud not
meet depenaence critena
Tobacco 13.3%
Cocaine 14.2%
Opiates 17.3%
Heroin 18.3%
Alcohol -16.7%
Amphetamines 56.5°!0
Cannabis 58.7%
by its relative lack of stimulant properties and its
inability to produce paranoid states and the other
severe organic mental syndromes that are associ-
ated with dependence on these drugs.
Taken together, these findings suggest at least
one reason that might account for variability in
the relationship between severity and outcome
across drug classes. Namely, that severity is less
likely to exert an important influence on out-
come if its range is restricted. Persons with
dependence on heroin, other opiates, and co-
caine have a restricted range-most are severe.
Thus, it is not surprising that factors such as
psychiatric symptoms (McLellan et aL, 1983;
Rounsaville ct aL, 1986; Woody & McLellan,
1984) or andsocial petsonaliry disorder (Hessel-
brock, Hesselbrock & Workman-Daniels, 1986;
Woody et aL, 1985) will emerge as more impor-
tant predictors of outcome than severity of
dependence.
Whether or not severity predicts outcome it
probably serves as a reasonably good descriptor
of patient status a given point in time. When
measured by either an item count or a drug-
specific scale, most studies, and the data pre-
sented here in Tables 1-7, show that severity of
dependence relates fairly well to measures of
drug consumption. Other data, mentioned here
but not reviewed in detail, have shown that
severiry also relates to the presence of associated
problems; persons with higher levels of depen-
dence usually have more associated problems.
Severity assessments may thus be useful in
traatment planning. For example, patients
with low dependence severity may be better
candidates for outpatient or less intensive
therapies than persons with high severity. Since
severity of dependence is usually correlates
with associated problems, it may also indicate
which patients need a wide range of services
and which will progress with only drug-focused
treatment.
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