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5
Best Practices in Prevention,
Screening, Diagnosis, and Treatment
of Substance Use Disorders
T
his chapter reviews best practices for prevention, screening, diag-
nosis, and treatment of substance use disorders (SUDs). The review
that follows in Chapter 6 compares current military policies and pro-
grams pertaining to SUDs with best practices as described in the scientific
literature outlined here.
PREVENTION
Prevention is a key strategy for addressing substance use problems.
As a first step in delaying the onset and progression of substance abuse,
effective prevention has the potential to minimize the need for diagnosis,
treatment, and management of SUDs and reduce the enormous social and
economic costs of alcohol and other drug dependence. The 2011 National
Drug Control Strategy identifies the military as an important population for
the receipt of substance abuse prevention services (ONDCP, 2011b). The
strategy gives priority to three objectives pertaining directly to SUD preven-
tion within the military: community-based efforts (both on and off base);
efforts with youth (i.e., military dependents); and prevention of prescription
drug abuse, a growing problem in the military as well as in the general U.S.
population (ONDCP, 2011b).
The major goals of prevention are to prevent or delay the onset of
substance use and to delay the progression of use from experimental to
regular use and dependence. The Institute of Medicine (IOM) has identified
three major types of prevention activities: universal, selective, and indicated
(IOM, 1994a; NRC and IOM, 2009). In the present context, universal pre-
97
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98 SUBSTANCE USE DISORDERS IN THE U.S. ARMED FORCES
vention focuses on the general population or population subgroups that are
not currently at high risk for SUDs. Selective prevention targets individuals
and groups at greater risk of developing SUD-related problems. Finally,
indicated prevention focuses on those who are already in the early stages of
problematic substance use. Each type of prevention is integral to a robust
and comprehensive prevention strategy.
Risk and Protective Factors for SUDs
Effective prevention programs are intended to diminish risk factors
and promote protective factors for substance use. Risk factors can be
divided into three categories: individual, social, and environmental. Exam-
ples include a genetic predisposition to SUD, low self-confidence, low
self- fficacy, poor decision-making skills, negative peer influences, and per-
e
missive attitudes toward substance use by parents and the community,
among others (Lowinson, 2005; NRC and IOM, 2000). Protective factors
include, for example, having emotionally supportive parents with open
communication styles who are aware of their children’s potential for sub-
stance use, a strong family orientation, religion/spirituality, involvement in
organized school activities, and a strong sense of connection to teachers and
school. The National Institute on Drug Abuse’s (NIDA’s) (2009b) Preven-
tion Research Review Work Group advocates the use of a biopsychosocial
approach to identifying risk and protective factors, which involves assessing
context (e.g., school, workplace, military) and stage of development (e.g.,
early childhood, adolescence, young adulthood) (see also NRC and IOM,
2009, and Robertson et al., 2003). This section reviews evidence on risk
and protective factors for SUDs by domain (i.e., individual, social, environ-
mental) and developmental stage (i.e., childhood, adolescence, adulthood).
Risk Factors
Most individual risk factors are identified in children and adolescents
(e.g., childhood maltreatment/abuse) (Horwitz et al., 2001; Hussey et al.,
2006; Mayes and Suchman, 2006; NRC and IOM, 2009; Sternberg et
al., 2006; Trickett et al., 2011). Some individual risk factors, however
(e.g., intimate partner violence, including physical, sexual, or emotional
abuse and/or coercion and degradation) (Campbell, 2002), apply more
specifically to adults. While genetic susceptibility to SUD is not modifiable,
recent research on executive cognitive function and arousal mechanisms in
the prefrontal cortex portions of the brain suggests that sensation seeking
can be controlled and redirected by pharmacotherapeutic agents (Kalivas
and Volkow, 2005). There is also evidence that prevention activities can
ameliorate genetic risk (Brody et al., 2009). Social (or group) risk factors
include family risk factors (e.g., modeled family drug use behavior, family
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BEST PRACTICES 99
management practices, family conflict, weak family bonding) (Kumpfer
et al., 2003), as well as peer risk factors (e.g., peers who use substances
increase risk by modeling and normalizing substance use) (Hawkins et al.,
1992). Peer pressure may be especially strong among military members and
their families because of the formal military structure that requires mutual
support for effective functioning. Environmental risk factors include the
availability of low-cost and easily accessible substances (e.g., discounted
alcohol on military bases).
There are several risk factors associated specifically with military ser-
vice. Examples include service-related injuries (Baker et al., 2009; Larson et
al., 2012), trauma, and demands related to active duty (e.g., carrying heavy
equipment; witnessing and experiencing traumatic events during deploy-
ment; being separated from family members; experiencing occupational
stress and boredom when serving in isolated sites; and being the object of
discriminatory treatment and, in some cases, acts of violence based on gen-
der, race/ethnicity, or sexual orientation). Military service in general often
involves exposure to stressful and traumatic events (Seal et al., 2009), and
numerous studies have documented high rates of service-related mental
health symptoms among military personnel, which are known to intensify
the risk for substance use problems (Edlund et al., 2007; Foran et al.,
2011a,b; Jakupcak et al., 2010).
The United States’ current conflicts are distinguishable from those
of the past by the increased length and number of deployments and the
types of injuries (Tanielian et al., 2008). A recent review of substance use
problems and risk factors among veterans of Operation Enduring Free-
dom, Operation Iraqi Freedom, and Operation New Dawn concluded that
“military personnel and combat veterans have higher rates of unhealthy
substance use than their age peers in the general population” (Larson et al.,
2012, p. 21). The review found evidence of a positive relationship between
deployment and smoking initiation and recidivism, heavy drinking, and
possibly prescription drug misuse. Stress-related consequences of military
service-specific conditions, such as acute stress symptoms, psychological
and marital problems, and use of medication for combat stress may mani-
fest immediately, or symptoms may be delayed, as suggested by higher rates
of such problems among those with more deployments than among those
with fewer (MHAT, 2006). Multiple studies have shown that deployment
and combat exposure are associated with unhealthy alcohol use (Jacobson
et al., 2008; Shen et al., 2012; Spera and Franklin, 2010; Wilk at al., 2010).
Another IOM study currently under way is examining the physical and
mental health readjustment needs of veterans of these conflicts, and should
offer additional evidence on the associated types and levels of risk.1
1 For more information, see the study website at http://www.iom.edu/Activities/Veterans/
MilPersReadjustNeeds.aspx.
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100 SUBSTANCE USE DISORDERS IN THE U.S. ARMED FORCES
Certain features of military culture (e.g., drinking norms) can contrib-
ute to the initiation of problem drinking and related consequences among
military personnel. For example, there may be pressure to drink excessively
to prove one’s toughness, perform a rite of passage, fit into a new group
culture, or cope with trauma. Boredom on military bases and in deployment
settings, with few recreational activities available, was highlighted as a con-
tributor to problem drinking in presentations to the committee and during
visits to military bases. Concern about family finances also is associated
with problem drinking among military personnel (Foran et al., 2011a,b).
Military-relevant environmental risk factors include the ready availability
of alcohol on or near bases, often at reduced prices. This latter contribut-
ing factor can be effectively addressed through environmental prevention
strategies, which are discussed in detail below. Finally, the strong warrior
ethos in the military may be considered a risk factor for not seeking help
when treatment for SUDs or other mental health problems is needed. While
both male and female members of the military are at risk for substance use
as a result of military-specific stressors, men (particularly those aged 25 and
younger) are at greater risk of developing drug use disorders, while women
are at greater risk of developing depression (Seal et al., 2009).
Compared with military service-specific risk factors among military
personnel, there is a paucity of research identifying risk factors for SUDs
among their spouses and children (Mansfield and Engel, 2011). Deploy-
ments, however, have a number of effects on the spouses and children of
service members that may put them at risk for SUDs. Studies have shown
that deployments can impact children’s behavior and academic perfor-
mance, spouses’ stress levels, and child maltreatment rates (Chandra, 2011;
Chartrand et al., 2008; Gibbs et al., 2007; Lester et al., 2010). Whether
such stressors associated with military service by parents or spouses are risk
factors for SUDs and other mental health problems in their dependents is
not yet well documented.
Protective Factors
Compared with risk factors, less research has been conducted to iden-
tify factors that protect against the development of SUDs. Protective factors
that may mediate or moderate the effects of risk exposure include resiliency,
attachment, positive temperament, support (either through the family or
from an external support system), and religiosity (Hawkins et al., 1992;
NRC and IOM, 2000). In children, resiliency refers to the ability to thrive
and exhibit positive health behaviors despite exposure to adverse living
conditions (e.g., extreme poverty, crime, drugs, and abuse) (NRC and IOM,
2000; Rutter, 2006). The extent to which adult military members can be
resilient to the effects of risk factors for SUDs and adverse conditions (e.g.,
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BEST PRACTICES 101
war-related life-threatening situations) is not well understood. There is
some evidence that resiliency operates through other mechanisms, includ-
ing religiosity, family support, peer bonding, and parenthood (NRC and
IOM, 2009). Positive temperament may enable an individual to reframe or
reinterpret otherwise highly threatening situations in order to cope (e.g.,
functioning under fire). Finally, while lack of executive cognitive function
(ECF) has been found to be a predictor of substance use and SUDs (Blume
and Marlatt, 2009), it is not yet known whether the reverse is true (i.e.,
whether high levels of ECF can protect against the development of SUDs).
Since ECF consists of a host of skills required for military members to func-
tion in the armed services—including working memory, deliberate planning,
decision making, emotional regulation, and behavioral impulse control
skills—it may operate indirectly as a protective factor against the develop-
ment of SUDs by enhancing the ability to thrive, cope, and minimize stress.
Evidence-Based Programs and Practices
Prevention activities that reduce the incidence of one problem behavior
tend to reduce other problem behaviors (Karoly et al., 1998). The initial
investments in these types of interventions generally are repaid in both sav-
ings to government and benefits to society, including gains in adult employ-
ment and resulting tax revenues, as well as reductions in criminal activity
and associated cost savings for arrests, judicial proceedings, probation,
and incarceration (Karoly et al., 2001). Evidence-based SUD prevention
programming (1) addresses the appropriate risk and protective factors for
the population in question, (2) employs approaches with demonstrated
effectiveness, (3) takes place at the appropriate time chronologically and
developmentally, (4) makes use of proper settings and domains for delivery,
and (5) manages programs effectively (ONDCP, 2001). These core elements
served as the basis for the committee’s assessment of the adequacy, appro-
priateness, and likely effectiveness of prevention programs in the various
branches of the U.S. military; broader nonprogrammatic environmental
prevention strategies are discussed later in this section.
Address Risk and Protective Factors
As outlined above, effective prevention programs address the risk and
protective factors relevant both to the problem or issue at hand and the
population(s) to be reached. Military dependents require a different set of
prevention strategies from those appropriate for active duty service mem-
bers, for instance. Demographic (e.g., age, race) and sociocultural (e.g.,
ethnicity) considerations are critical in designing effective prevention activi-
ties. Several sources (NIDA, 2009a; NRC and IOM, 2009; Robertson et al.,
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102 SUBSTANCE USE DISORDERS IN THE U.S. ARMED FORCES
2003) provide solid frameworks for identifying risk and protective factors
as a component of the design and adoption of evidence-based programs.
Employ Effective Approaches
The National Registry of Evidence-based Programs and Practices
(NREPP) lists SUD prevention programs determined to be evidence-based
according to their readiness for dissemination and the quality of their evalu-
ation research—specifically measurement reliability and validity; fidelity of
implementation; appropriateness of analysis; and the handling of attrition,
missing data, and confounding variables (SAMHSA, 2012). Programs that
focus only on increasing knowledge or changing attitudes have had few
effects on substance use behaviors compared with programs that focus
on resistance and social/life skill building (Botvin et al., 1995). Evidence-
based prevention programs often include skills particularly relevant to mili-
tary members and their families, such as resisting peer pressure, avoiding
high-risk situations, identifying and bonding with individuals who provide
social support and a nonuse norm, and practicing emotional regulation and
impulse control.
Not all prevention programs have been evaluated with all popula-
tions or in all settings. Often, prevention providers opt to adopt promising
programs or approaches. Sometimes this process involves implementing
programs effective in one population but not evaluated in another (e.g.,
adapting a program evaluated with college students for use in a military
population). At other times, the process involves working with a program
that is theory based, although not yet formally evaluated. Among the more
prominent theories represented in evidence-based prevention efforts are
social learning/cognitive theory (Bandura, 1977), attitudinal theory (Ajzen
and Fishbein, 1980), and social network theory (Valente, 2010). Accord-
ing to the principles of participant modeling and social learning theory,
program implementers must be perceived as credible role models to whom
military members can relate. Use of slightly older peer leaders to assist
program implementers enhances program participation and effects (Perry
et al., 1986). The most effective program delivery is sequenced as the pro-
vision of general principles of the program, modeling of prevention skills,
role playing or rehearsal of skills, and extended practice in real-life settings.
Take Place at the Appropriate Time
Skill development programs need to be age appropriate. Prevention
programs for early childhood, for instance, should focus on parental man-
agement of children, parent-child communication, and basic health behav-
ior (e.g., nutrition, sleep, and health care) (NRC and IOM, 2000; Shonkoff
et al., 2012). Elementary school programs typically focus on building
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BEST PRACTICES 103
socioemotional competence and preventing conduct problems. Adolescent
programs should focus on reducing risk factors and increasing protective
factors, including training in resisting peer pressure, positive adult support
seeking, nonuse social norms, and nonuse leisure time activities (Hansen
and Graham, 1991; Wills and Vaughan, 1989). Training for adults (i.e.,
spouses and military members in the emerging adulthood period) should
focus on brief motivational interviewing; coping skills; social support; and
skills in positive parent-child communication, rule setting, and monitoring.
In addition to developmental considerations, chronology is important as
well; the most successful prevention efforts are reinforced over time in a
variety of settings.
Make Use of Appropriate Settings
“Appropriate” settings are based on the nature of the problem/issue
being addressed and the characteristics of the population being served. The
setting for program delivery can be, for example, the school, the home, a
religious institution, or the workplace.
Manage Programs Effectively
The most effective prevention programs provide standardized training
and manualized protocols, along with specific and measurable prevention
skills and goals (Mihalik et al., 2004). Standardization helps minimize pro-
gram “drift” and dilution, whereas use of a general outline, procedures, or
processes is not effective in changing substance use behavior (Mihalik et al.,
2004)—a point that is particularly relevant given the strong empirical link
between program effectiveness and implementation fidelity. Well-trained
providers and consistent monitoring and program evaluation are also inte-
gral components of an evidence-based prevention strategy.
Included within this principle as well is alignment of program values
and institutional values. Program buy-in, implementation, participation,
and maintenance relate to whether SUD prevention is perceived to enhance
military functioning and promote individual warrior fitness. Important
factors include (1) an environment supportive of the delivery of preven-
tion programs (in terms of allocation of time and availability of qualified
implementers), (2) social environmental norms consistent with nonuse, (3)
supportive (versus punitive) policies that link directly and clearly to preven-
tion programs, and (4) reinforcement of nonuse behaviors and practices.
Environmental Strategies
Beyond prevention programs and efforts aimed at impacting individual
behavior, the military is uniquely positioned to implement more overarching
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104 SUBSTANCE USE DISORDERS IN THE U.S. ARMED FORCES
systems-level, or environmental, prevention strategies that affect the com-
munity at large. Environmental prevention strategies are directed at com-
munity norms and policy regulations. This section describes best practices
in environmental prevention efforts for SUDs applicable in military settings.
Alcohol
A number of strategies based on sound theory and with proven effec-
tiveness exist to control alcohol use and related problems at the popula-
tion level. These strategies are “environmental” because they work by
decreasing the availability or appeal of alcohol or illicit drugs (including
prescription drugs) in the community rather than attempting to change
individual behavior. These strategies lead to decreases in consumption and
minimization or prevention of alcohol-related problems. Several reviews
of these policies are available in the scientific literature (e.g., Babor et al.,
2010a,b; Saltz et al., 2010; Wagenaar et al., 2009; WHO, 2009), some of
which are addressed specifically to policy makers, including those in charge
of developing and implementing health policies in the U.S. armed forces.
In the alcohol field, Babor and colleagues (2010a) discuss seven policy
approaches, four of which are environmental and can be used by the U.S.
armed forces to address alcohol consumption and related problems among
military personnel. (An additional approach discussed by these authors—
advertising regulation—affects military personnel but cannot be changed
by the military.)
The first of these four pertinent approaches is controlling affordability
through pricing and taxation. The evidence in this area clearly indicates
that higher prices lead to a decrease in alcohol consumption (Chisholm et
al., 2004; Wagenaar et al., 2009).
The second approach is restricting the availability of alcohol available
for purchase (Chaloupka et al., 2002; Stockwell and Gruenewald, 2004).
Consistent enforcement of the legal drinking age is a key strategy that falls
under this approach and is highly effective in reducing alcohol consumption
in this age group (Wagenaar and Toomey, 2002).
The third environmental prevention approach involves altering the con-
text in which alcohol is consumed. Best practices in this area entail “server
intervention” strategies, or training bar staff and liquor and convenience
store employees in responsible beverage service (e.g., requiring age identifica-
tion, recognizing potential problems, and exercising increased responsibility
in selling alcohol and serving alcoholic beverages) and in the management
and prevention of aggressive and/or problematic patrons, who may or may
not be intoxicated (Babor et al., 2010a; Graham, 2000; raham and Homel,
G
2008; Graham et al., 2005). Dram shop liability laws—the U.S. laws that
hold bar owners responsible for injuries caused to a third party by someone
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BEST PRACTICES 105
who was sold or served alcohol when intoxicated—are also effective in
modifying drinking contexts (Rammohan et al., 2011).
The fourth approach is directed at preventing impaired driving. While
policies reflecting this approach were developed to respond to drinking
and driving, many of them can also be used to prevent driving under the
influence of other drugs, including prescription drugs. Drinking and driv-
ing countermeasures are among the most effective population-level control
policies in the alcohol field. Enforcement of these policies contributed to a
decrease in alcohol-related traffic fatalities from a high of 59.5 percent of
all traffic fatalities in 1982 to 32 percent in 2009 (National Highway Traf-
fic Safety Administration, 2009). Sobriety checkpoints and random breath
testing are two of the most effective policies in this area. Their effective-
ness, however, is associated with the frequency of their implementation and
consistency in advertising (i.e., alerting drivers in the community to the
existence—although not the location—of checkpoints and random breath
testing). Also relevant for the military is enforcement of blood alcohol
content (BAC) limits and administrative license suspension. There is some
evidence that the lower the BAC limit, the more effective it can be, although
BAC limits lower than .02 are difficult to enforce (Babor et al., 2010a).
Two rigorous evaluations of these types of environmental initiatives found
significant reductions in alcohol-related traffic accidents, assaults involving
alcohol, amount or quantity of drinking, and driving while intoxicated
in intervention compared with control communities (Holder et al., 2000;
Treno et al., 2007). Appendix I summarizes policy-relevant strategies dis-
cussed by Babor and colleagues (2010a) for the prevention of alcohol-
related problems by category and strength of evidentiary support.
Other Drugs
Use of illicit drugs and abuse of prescription drugs continue to be a
major public health problem in the United States. Prescription drug abuse,
one of the major concerns that prompted this study, is a vexing problem
among military personnel. As in the alcohol field, there are environmental,
population-level approaches that can be useful in the prevention of drug
use and abuse. Babor and colleagues (2010b) discuss various approaches,
one of which is pertinent to the U.S. military to address concerns related
to prescription drug abuse. This approach is what Babor and colleagues
(2010b) call “prescription regimes,” which involve controlling the safety,
storage, and distribution of prescription drugs to prevent or minimize their
diversion to the black market for illicit use and abuse. Some of these mea-
sures entail tight regulation of prescription dispensation and control and
over-the- ounter sales, physician education, and enforcement of prescrip-
c
tion regulations.
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106 SUBSTANCE USE DISORDERS IN THE U.S. ARMED FORCES
In the context of the increasing incidence of prescription drug problems
in both the military and civilian sectors, the Office of National Drug Con-
trol Policy’s (ONDCP’s) four major strategies also provide best practices in
environmental prevention that correspond with the prescription regimes of
Babor et al. (2010b) (ONDCP, 2012). The first strategy is education. While
ONDCP’s 2011 Prescription Drug Abuse Prevention Plan focuses on par-
ent, child, and patient education (ONDCP, 2011a), also critical is provider
education regarding responsible prescribing practices and alternative pain
medications with lower dependence potential. The second strategy is moni-
toring, which involves the implementation of prescription drug monitoring
programs. In the military setting specifically, it is critically important that
monitoring systems be capable of sharing data across branches and with
state monitoring programs to prevent the practice of “doctor shopping.”
The third strategy in ONDCP’s prevention plan is disposal, which entails
“convenient and environmentally responsible prescription drug disposal
programs to help decrease the supply of unused prescription drugs in
the home” (ONDCP, 2012, p. 1). Finally, proper enforcement of policies
and laws is necessary to ensure consistent implementation and maximum
effectiveness.
Summary
In conclusion, SUD prevention in the military is a complex issue.
Changing attitudes about acceptable alcohol and other drug use is cen-
tral to changing drinking and drug using behavior. Intensive antismoking
campaigns of the past several decades—entailing a combination of higher
prices (through taxation) (Chaloupka et al., 2012); restrictions on where
use is permitted; and above all, changed social norms about smoking—
have resulted in major reductions in smoking initiation and tobacco use.
Structural measures can impact alcohol use problems, illicit drug use, and
prescription drug problems. Environmental strategies for these problems,
as discussed above, are available and effective. Partnerships within the
larger communities in which military bases are located are also integral
to a solid environmental prevention strategy (e.g., Spoth et al., 2011). The
military has a unique opportunity to communicate consistent messages
about drinking (clearly the most prevalent substance use problem in the
military, about which great ambivalence persists at the highest levels),
illicit drug use, and nonmedical use of prescription drugs, as well as to
control the environmental factors that drive both heavy drinking and
prescription drug misuse through such measures as restricting availability,
increasing cost, and limiting permitted times and locations for the use of
legal drugs.
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BEST PRACTICES 107
SCREENING, DIAGNOSIS, AND TREATMENT
While the prevention of SUDs is the foundation of any good strategy
for addressing the problem, a comprehensive strategy must also include
evidence-based screening mechanisms to identify at-risk and existing users,
validated diagnostic instruments with which to obtain accurate diagnoses,
and empirically supported treatment approaches for effective rehabilitation.
Screening
As discussed previously, selective and indicated prevention each involve
the identification of particular target groups (e.g., high-risk individuals),
which is frequently accomplished through screening. Screening can detect
both health problems and risk factors, the latter of which is particularly
useful for these groups. As a strategy for universal prevention, screening
must be linked to effective subsequent interventions. False-positive and
false-negative cases each carry undesirable consequences (e.g., unnecessary
anxiety and medical expenditure for the former, missed opportunities for
intervention for the latter), and effort should therefore be made to minimize
error.
Awareness of the limitations of screening has led the public health sec-
tor to develop a series of parameters to guide screening activities (Gray,
2001; Wilson and Jungner, 1968), including guidelines to identify the popu-
lations that should be screened and the diseases that should be screened
for, performance standards for screening tests, and guidance on how per-
formance should be assessed. Because screening for disease can be costly,
inconvenient, and not always reliable, guidelines for effective screening
identify situations in which screening is advantageous and will promote and
protect health in the population. Classic criteria for evaluating screening
programs emphasize the need for screening to focus on important health
problems, link to diagnosis and treatment, have acceptable screening pro-
cedures, attend to costs, and be a continuous activity (Wilson and Jungner,
1968). The United Kingdom’s National Screening Committee added three
additional criteria to be considered (Muir Gray, 2004): potential harm
caused by screening, the strength of the evidence with which to evaluate
success, and the opportunity costs associated with screening.
Disease Characteristics
Screening should focus on serious health problems that are highly
prevalent in the target population. Preclinical symptoms or behaviors also
should be highly prevalent in the population, and this preclinical phase
should be long and clearly detectable. Treatment should exist, and should
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