PEDIATRICS Vol. 107 No. 5 May 2001, pp. 1158-1164
SPECIAL ARTICLE:
Ethics and Immunization Policy: Promoting Dialogue to Sustain
Consensus
and
, §, 
From the * Child Health Institute, University of
Washington, Seattle, Washington; the
Department of Pediatrics,
University of Washington School of Medicine, Seattle, Washington; the
§ Department of Epidemiology, University of Washington School of Public
Health and Community Medicine, Seattle, Washington; and the
Children's Hospital and Regional Medical Center, Seattle,
Washington.
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ABSTRACT |
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The societal consensus that has supported the United States' universal childhood immunization programs for the past 50 years shows signs of eroding. This article proposes a systematic approach to evaluate immunization policy options. Through a unifying framework that combines epidemiologic, economic, and ethical concerns, this approach promotes a clearer understanding of underlying issues and inherent tradeoffs between alternative policies. Such a systematic examination of policy options could facilitate the public dialogue necessary to continually recreate a broad consensus on immunization practices and enable us to choose policies most in accord with our fundamental values.
Key words: immunization, public health, ethics, equity, justice, autonomy, health care policy, multi-attribute decision analysis.
When Benjamin Franklin recalled, in the pages of his
autobiography,1 the death of his 4-year-old son in 1736 from smallpox, he rued his decision to forego inoculation for young
Francis. Years earlier, when Boston was being ravaged by the 1721 smallpox epidemic that killed hundreds, Franklin and his older brother
had lambasted the Reverend Cotton Mather and Dr Zabiel Boyleston for
advocating the "mischievous" practice of variolation; but decades
later the still-aggrieved father reversed his previous position and
counseled parents to pursue this "safer" course of
immunization.1,2
Franklin's inner dialogue of pro and con regarding
inoculation symbolizes an enduring societal debate that has embroiled
immunization programs. Edward Jenner's development of "scientific"
vaccination in the 1790s culminated in an 1867 British law mandating
smallpox immunization, yet by 1869 organized political opposition had
arisen and persisted unchecked (with children unimmunized) for
decades.3 Louis Pasteur's immunization in 1885 of the boy
Joseph Meister against rabies created an ethical uproar that turned
riotous.4 Recent concerns about the safety of whole-cell
pertussis vaccines led to a disruption or cessation of national
pertussis immunization programs and a resurgence of epidemic disease in
the United Kingdom, Japan, Sweden, and West Germany.5
Sustained by the media, such turmoil roils while vaccination, acknowledged to be one of the most beneficial public health
interventions ever, continues to prevent epidemics.6
Against this historical backdrop, 3 recent trends have made decisions
regarding immunization policies even more complicated. First, the broad
cultural consensus that has enabled the United States' universal
childhood immunization programs of the past 50 years shows signs of
eroding. With most parents and many grandparents no longer personally
acquainted with the morbidity and mortality of vaccine-preventable
diseases, many families have shifted their focus of concern to alleged
vaccine reactions. Adverse events that occur in temporal association
with immunization are presumed to be causally related, leading some to
oppose mandatory immunization. Indeed, 15 state legislatures in 1999 considered bills to reduce or eliminate school entry immunization
requirements (J. C. Dolins, personal communication, September 29, 1999).
Second, this questioning of mandated immunization occurs just as
advances in molecular biology and immunology promise to introduce an
array of novel vaccines. In the coming decade new immunizations will
present many challenging policy and funding decisions for national
committees that formulate immunization recommendations and determine
federal entitlements, state legislatures that enact immunization laws
and allocate some immunization program funds, and both public and
private health plans that decide on coverage and payment or financing
policies.
Third, for the past 2 decades the health care community has improved
the methods used to evaluate medical technology and make policy
decisions. Cost-effectiveness studies have weighed cost against some
measure of benefit, effectiveness, or usefulness in improving
health.7-15 Such analyses, however, have not formally
considered ethical concerns, such as protecting individual rights or
providing an equitable distribution of health care benefits. Because of
this limitation, cost-effectiveness analyses, while necessary for
policy decisions, are neither sufficient nor complete, because they
currently do not address differences in values and perspectives that
polarize our society.16-18
These 3 trends will make immunization policy decisions more numerous
and complex. Because the powers granted to public health authorities
are based on the public's trust, and in democratic societies this
trust is founded on broad participation in formulating policy, health
care decision-makers may well feel mounting pressure to
include the diverse perspectives not only of physicians and immunization experts, but also of parent groups, politicians, special-interest advocates, economists and, perhaps, ethicists.
How can any decision-making process accommodate such a wide variety of
concerns? Ben Franklin, no stranger to complex decisions, once proposed
to a friend a simple method of "moral or prudential algebra" to
sort through a host of competing objectives, weighing various pros and
cons, to reach a good decision (B. Franklin, letter to J. Priestly,
September 19, 1772). The science of decision-making has
subsequently refined Franklin's method greatly, but the essential value of an explicit systematic approach remains: to protect against using unexamined biases, rather than one's best knowledge and deepest
convictions, to make important decisions.19-22
In this article we propose a systematic approach to evaluate
immunization policy options. Our model combines epidemiologic, economic, and ethical concerns into a unified analytic framework, thereby helping us to understand better the tradeoffs between alternative policies, and assisting us to choose a course of action that most accords with our fundamental values. We believe that such a
systematic method of deliberation would foster a more explicit and
morally relevant dialogue about diverse policy considerations than do
current US policy debates and analysis.23
To illustrate our approach, imagine that we are public health
officials on a distant island where the children are plagued by an
endemic infection As physicians with responsibility for formulating public health policy,
we must choose an immunization strategy. Stung by criticism that our
previous decisions paid little heed to ethical concerns, we wish to
consider several issues, including equal access to the immunization for
all children, fair sharing of the benefits and risks of immunization,
and due respect for those families who refuse to have their children
vaccinated. How might we proceed?
The merits of particular immunization strategies can be clarified
if we start by considering 3 broad domains of concerns (Table
1). First are the consequences of the
disease: How much harm does it cause individual children and adults?
How much does society fear these harms? Does the disease pose a
substantial epidemic risk through person-to-person transmission? How
much does the care of the acutely ill or subsequently disabled child
cost the health care system directly as well as the family and society indirectly?
TABLE 1
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A SCENARIO OF THE PROBLEM
Franklin Fever. Few children escape
infection from this highly contagious virus. Most often the disease
causes only a week of fever, cough, and an itchy red rash, but for
~1% it results in a prolonged course of encephalitis, and ~5% of
these children either die or suffer brain damage with long-term
disability, generating substantial social costs. Through the
collaborative efforts of the island's academic and industrial research
communities a safe and effective Franklin Fever vaccine is now
available and an expert medical committee has recommended universal
immunization of the island's children, noting that the cost of
immunization would be roughly comparable to total direct medical and
indirect societal costs of caring for afflicted children.
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I. CONSIDERING THE PROBLEM
Policy Considerations for Immunization Programs
Second are vaccine considerations: How effectively does it prevent disease, both through individual and community (herd) immunity? What adverse events does the vaccine cause, how often, and how severe? Do particular immunization strategies pose other possible adverse consequences, such as altering the epidemiology of the disease and postponing infection into adult life? Might the vaccine eventually eradicate the disease, nationally or globally? Is the price of the vaccine, the costs of its administration and program implementation compatible with our valuation of other health care goods and services?
These considerations of disease, therapy, and certain aspects of cost
constitute the standard focus for cost-effectiveness analysis. As
public health authorities, though, we must also weigh important ethical
considerations.24-27 Personal liberty
particularly the
freedom to refuse medical intervention
may conflict with the right of
vulnerable children to be protected from harm. This conflict requires
authorities to strike a balance when specifying the degree of coercion
the state should exercise to enforce a specific immunization policy.
Achieving such balance is difficult when members of society value
immunization programs quite differently.
Equally important considerations involve matters of liberty and
justice. Ideally the benefits of immunization
namely, protection from
disease
should be equitably distributed across the population. For
instance, in the United States we believe that no child should fail to benefit from a universally recommended immunization program because of limited access to care, poverty, or discrimination attributable to race or ethnicity. Ideally there should be a fair distribution of the burdens of immunization. No segment of society should be placed at heightened risk of suffering a vaccine-related adverse event or falling ill because of vaccine failure, nor
disproportionately bear the costs of disease care, adverse event care,
or the care provided though the immunization program as a whole. This
concern for fair burden-sharing typically is posed as the question of `free riders': should any child (or their family) be allowed to take
advantage of a common good (in this case, community immunity against a
disease) and potentially put that collective good at risk, even if at
an individual level this course might make sense, albeit from a selfish
perspective?28,29 At the same time, Americans who prize
individual liberty bristle or rebel whenever any authority encroaches
on personal freedom, such as occurs not only with laws requiring
immunization but also statutes enforcing the use of bicycle and
motorcycle helmets or automobile passenger restraints.
For childhood immunization programs and safety-promoting policies, these deeper themes of liberty and justice play out through the duties that our society entrusts to parents to promote the health and safety of their children and assigns to governmental and other agencies to safeguard the welfare of children. Acrimony often erupts when parental and societal views about these duties differ, or when parents disagree with the course of action mandated by the policy. A mandatory policy with high immunization rates, to cite a well-worn example, would protect those vulnerable children for whom immunization is contraindicated or simply fails to elicit protective immunity, but would do so by placing many individual children at a minute yet measurable risk of severe adverse vaccine events. As troubling, though less strident, is the common problem of an immunization program failing to distribute benefits equitably because of unequal access to vaccination. An optimal immunization policy process strives to minimize both the contentious conflicts and these quieter pervasive problems.
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II. SPECIFYING THE OBJECTIVES |
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Having outlined and organized our concerns, we can now focus our thinking by transforming these concerns into the following 7 objectives for our immunization policy:
- Minimize the deleterious consequences of the disease.
- Minimize the deleterious consequences of the vaccine.
- Optimize personal liberty to choose or refuse vaccination.
- Maximize the just distribution of benefits and burdens across society.
- Promote the duty of families to protect their child.
- Promote the long-term duty of society to protect all children, now and in the future.
- Use limited health care resources prudently.
Are these the only or the `right' objectives? Certainly other worthy objectives exist. Identifying the objectives that matter most is the first of several steps required to make any policy decision. Each of these steps requires some value judgments, either explicitly or implicitly. Making these value-laden choices explicit has the virtue of facilitating debate. For example, the set of key objectives tackled by cost-effectiveness analysis typically includes only the minimization of deleterious disease and vaccine-related consequences and the prudent use of health care resources: these are not merely the most important considerations, they are the only ones. Given the incompleteness of current cost-benefit analyses, our diverse society might be well-served by debating the degree to which our final decision should be influenced by cost-benefit information to the exclusion of all other concerns.
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III. ENVISIONING ALTERNATIVES |
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With a clearer sense of what we are seeking to accomplish with our
immunization policy, we now should develop a fuller list of alternative
policies. To simplify our discussion, we will consider a single
characteristic of the policy
the force with which vaccination will be
promoted
and envision in some detail 3 alternatives: immunization with
the new Franklin Fever vaccine will either be mandatory, recommended,
or elective. The mandatory system of immunization would require that
all children be vaccinated against Franklin Fever on entering school;
failing to do so either unwittingly or though conscious refusal would
result in the unvaccinated child being excluded from school during
outbreaks (which is the prevailing practice in the United
States for enforcement of other mandatory immunizations).30 The recommended strategy would strongly
encourage immunization, using public education and expert advice as the
chief persuasive means of raising immunization rates. The elective
policy would likewise use public education to inform parents, but make
clear that the choice to immunize or not is completely at the parents' discretion.
Deciding whether the immunization policy will promote the vaccine as mandated, strongly recommended, or entirely elective is linked to other policy decisions: under each program enforcement scenario, who will pay for the vaccine: a central payer, multiple payers, or self-payment by families? Will a special fund defray costs to families unable to pay? Who will pay for vaccine-related adverse events, or for disease care among the voluntarily unimmunized? If the mandatory policy is chosen, will `philosophical' exemptions be granted under special circumstances? If so, exactly what circumstances?31 Beyond exclusion from school (or even preschool child care), might this mandatory policy be enforced through restriction of welfare benefits to those families receiving public assistance, as some regions of the United States currently are doing?32 Alternatively, if the recommended or elective policies were selected, could immunization rates be increased through the effective use of financial incentives for providers33-35 or even parents? Would policy initiatives that enhanced access and reduced barriers to obtaining health care, or facilitated voluntary compliance with these recommended or elective vaccination guidelines suffice to raise immunization rates to desired levels?36
The point of tracing out these interconnected considerations is this: as we proceed in our evaluation of these policy options, we may uncover issues that warrant our returning to this step of envisioning alternatives, developing new options, or refining and enhancing existing ones. This capacity to learn and improve our options in a reiterative manner is critical, because the quality of our ultimate decision is limited by the best alternative we create.
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IV. LINKING ALTERNATIVE POLICIES TO OUTCOMES |
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Next, we need to assess how the 3 policy alternatives would meet, or fail to meet, our stated objectives. We can do this by gauging the impact of each immunization policy option on 5 classes of outcomes: health outcomes for individuals and the population, ethical outcomes for individuals and the community, and total net costs to society. Arraying these outcomes into a flow diagram (Fig 1) helps us to see how they are interrelated, with process-oriented ethical outcomes occurring before health-related outcomes, and the collective outcomes resulting from the aggregation of individual outcomes. For example, if under an elective enforcement policy quite a few children were left unimmunized because of financial reasons, the program would not only have failed these children ethically; it also, by allowing them to remain susceptible to disease, would have failed to distribute benefits equitably, and would have raised to some degree the risk of epidemic disease. Conversely, a mandatory immunization policy that coerced certain children to be immunized might lower their individual risk of disease and share more fairly the burdens of maintaining a protective level of herd immunity, but violate their family's autonomy and place these children at some risk of experiencing an adverse event. These health and ethical outcomes, in turn, determine much of the health care and administrative cost outcomes of alternative immunization policies. (The price of the vaccine also determines the costs, but lies beyond the scope of this article.)
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For many of these outcomes, surprisingly little data exist on which to
build evidence-based answers. Considering this series of process and
health-oriented outcomes, however, draws our attention to how our
decision would be better informed if we had reasonable estimates of how
the rates of immunization were likely to differ among mandatory,
recommended, and elective immunization strategies, and how the marginal
differences in coverage rates would translate into beneficial and
harmful outcomes. Let us illustrate this point by returning to our
Franklin Fever scenario. Suppose we estimated that an immunization
program promoted by recommendation would result in 80% of eligible
children vaccinated, whereas a mandatory program would achieve 95%
coverage. Immunizing this additional 15% of children, we might further
estimate, would diminish the annual number of cases of Franklin Fever
by 100 000, but compel immunization on 500 000 unwilling
participants. We would then be able to ask
under these
hypothetical assumptions
whether our society should choose to
immunize 5 children whose families are opposed to immunization to
prevent a case of disease. Such information would advance our thinking
beyond simply stating qualitatively how the programs differ, enabling
us to measure the amount by which they differ
a move that will help us
substantially when we come subsequently to examine tradeoffs.
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V. ASSIGNING VALUES |
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Ethical analyses of health care programs usually wrestle with how to prioritize large overarching ethical objectives, such as whether securing the greatest good for the greatest number is to be preferred over protecting the rights of all individuals. In our scheme, however, the next step is smaller and more concrete, as we assign values to particular child health and ethical outcomes. Picking several important examples, we need to ask: How do we value differently, if at all, the loss of freedom when a family cannot afford to choose to have their child immunized (as might occur under an elective system) versus the loss of freedom that occurs when an unwilling participant is coerced into being vaccinated (because of a mandatory immunization policy)? Do `natural' illnesses caused by an infectious microbe represent the same loss of value as a precisely equivalent degree of illness caused by a vaccine-related side effect, or is the vaccine-related morbidity somehow more costly? How should we compare the value of a case of disease prevented today from one prevented a generation from now? From a societal perspective, is a dollar in immunization-generated savings that returns to the pocket of a parent of equal value to a dollar that enters an employer's corporate coffer?
Many critics decry ever assigning such values, believing the judgments
required are too subjective and contentious. However, every policy
decision requires us to make such evaluations; the important choice is
whether these evaluations are made implicitly as they are done today or
in a more transparent, explicit manner. Returning to our previous
example, cost-effectiveness analyses give health status and cost full
sway, but largely omit concerns for respecting family decision-making
autonomy and for distributing benefits and burdens fairly. Combining
the private evaluation made by different policymakers into 1 `societal' value is problematic
and in an objective formal sense
perhaps even impossible.37 Nevertheless, every policy
decision ultimately depends not just on information but also on an
underlying structure of values and preferences that guide choices. Even
if a ruckus ensues, we believe that a public debate about such values
and their relative weights should be part of policy formulation to
maintain the robust consensus required to support immunization policy.
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VI. EXAMINING TRADEOFFS |
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We will now examine how the various policy options would or would not accomplish our objectives, constructing a table that arrays the alternatives across our objectives, then considering which alternative best addresses each objective (Table 2). Although judgments as to which options serve the various objects `best' are debatable (and should be the subject of research and public dialogue), our major point is that this kind of table breaks down the much larger decision of `what policy to implement' into more manageable smaller assessments, which highlight pivotal tradeoffs. Each assessment requires both factual information and value judgments. The minimization of disease-related injury versus the minimization of vaccine-related injury is 1 tradeoff dimension that at first glance has similar concerns, namely the minimization of harm. Informing the debate with numbers needed to treat for benefit and for harm might help clarify and thus promote consensus on this particular tradeoff. For each vaccine these considerations would differ, suggesting that a spectrum of policy enforcement strength is warranted, titrating the degree of coerciveness to the particular disease and vaccine-specific tradeoffs.
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Underneath the debate regarding how to minimize various types of harm
lies another tension, though, between promoting the just distribution
of burdens and benefits and the protection of personal liberty
that
is, quite specifically, for those who wish not to be immunized.
Children who are left inadvertently unimmunized because of failure of
poorly organized immunization programs (such as occurs under elective
systems) represent instances of diminished family autonomy, not having
had the chance to choose to immunize their child. Even if we wish not
to call this lost opportunity a loss of freedom, certainly something of
value has been lost. On the other side, compelling families to immunize
their children against their wishes represents a clear loss of personal
freedom. Evaluating these competing issues of justice and freedom, and striking a renewable and hence sustainable consensus, is a task as much
of political dialogue as epidemiology.
These 2 levels of tension
one involving preferred health risks and the
other involving civil liberties
raise the possibility of an additional
`higher-level' tradeoff between these different levels of concern. To
address this tension, we should move beyond debating general
philosophical questions or arguing over which objectives we care most
about, and instead concentrate on how much the differing programs
enhance or compromise each particular objective. Focusing on the
amounts of benefit and harm at stake when choosing between options, we
can make our value judgments more relevant to the policy decision by
titrating a set amount of good against varying amounts of bad. Is a
single case prevented worth 10 immunized unwillingly? Or is the
threshold 100 or even 1000? What if we consider, on the benefit side,
disease prevention through community-wide immunity for
immunocompromised children for whom vaccination may be contraindicated;
does our tolerance toward immunizing children of unwilling families go
up, so that we might tolerate immunizing 5000 children unwillingly to
prevent a case among these vulnerable children? Conversely, if we shift to consider preventing unwilling immunization as a benefit of a
recommended immunization program, how many children are we willing to
see be left unimmunized inadvertently to prevent an instance of
unwilling immunization? Breaking down broad tradeoffs between different
categories of concerns into a comprehensible series of smaller
judgments clarifies our values and facilitates the dialogue about how
to think about and make these complex tradeoffs, promoting a discussion
that is itself a fundamental task for a transparent policy-making
process.
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VII. MAKING HEALTH CARE POLICY DECISIONS |
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Public health programs involve more than just issues of health. In recent decades the medical literature has reflected a societal emphasis on economic considerations, but public health is also a morally-laden medical venture. Concerns for individual liberty and social equity permeate public health policy, and should be incorporated into mainstream analyses of health care programs. Outcomes research must encompass these moral and political concerns. Worry that special interest groups might manipulate or abuse such considerations is likely well-founded; omitting moral considerations, though, will not protect against such abuses. Instead, leaving moral concerns as `gaps' in our formal analyses of such decisions merely makes the policy-making process less transparent and the abuses harder to spot. Explicitness, a virtue of clearly-stated moral considerations and how they are to be measured, would help to foster constructive debate, which, in turn, may help to sustain the consensus required for effective public health programs.
What is the ideal immunization program? Certainly, no single answer exists. Yet our society still must decide a course of action, choose a vaccination policy, and pursue it. We intended this hypothetical case study to expose more clearly our areas of confusion and genuine disagreement. We believe that this framework, straddling the interface between moral and empirical reasoning, offers several key elements of a minimally sufficient public dialogue regarding vaccine policy. Such a dialogue must involve clinicians, public health authorities, legislators and the public, and must therefore take place not only in the deliberations of national committees but in the scientific and lay press, in the electronic media, and on the Internet. We believe that a broad dialogue is essential to sustain the societal consensus that empowered the immunization initiatives of the past half-century, and that only through such continuing dialogue can we be enabled to take full advantage of new opportunities to enhance public health through immunization in the century ahead.
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ACKNOWLEDGMENTS |
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Dr Feudtner was supported by the Robert Wood Johnson Clinical Scholars Program at the University of Washington and by Grant K08 HS00002 from the Agency for Healthcare Research and Quality.
We thank Noel Weiss, MD, DPH, Maria Silveira, MD, Thomas D. Koepsell, MD, MPH, and the anonymous peer reviewers for their thoughtful critiques, and Nancy Cochran for her assistance with manuscript preparation.
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FOOTNOTES |
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The authors alone are responsible for the facts, opinions, and conclusions expressed herein.
Received for publication Jul 17, 2000; accepted Nov 30, 2000.
Address correspondence to Edgar K. Marcuse, MD, MPH, Children's Hospital and Regional Medical Center, 4800 Sand Point Way NE, CH-03, Seattle, WA 98105. E-mail: emarcu{at}chmc.org
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P. H. Dennehy Rotavirus Vaccines: an Overview Clin. Microbiol. Rev., January 1, 2008; 21(1): 198 - 208. [Abstract] [Full Text] [PDF] |
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B. H. Levi Addressing Parents' Concerns About Childhood Immunizations: A Tutorial for Primary Care Providers Pediatrics, July 1, 2007; 120(1): 18 - 26. [Abstract] [Full Text] [PDF] |
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R. Giffin, K. Stratton, and R. Chalk Childhood Vaccine Finance And Safety Issues Health Aff., September 1, 2004; 23(5): 98 - 111. [Abstract] [Full Text] [PDF] |
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M. A. Rothstein Rethinking the Meaning of Public Health J. Law Med. Ethics, June 1, 2002; 30(2): 144 - 149. [PDF] |
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M. C. Danovaro-Holliday, A. L. Wood, and C. W. LeBaron Rotavirus Vaccine and the News Media, 1987-2001 JAMA, March 20, 2002; 287(11): 1455 - 1462. [Abstract] [Full Text] [PDF] |
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N. A. Halsey and L. Goldman Balancing Risks and Benefits: Primum non nocere Is Too Simplistic Pediatrics, August 1, 2001; 108(2): 466 - 467. [Full Text] |
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