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                  <text>&lt;p style="margin-top: -1em; line-height: 1.2em;"&gt;The Alvin L. Young Collection on Agent Orange comprises 120 linear feet and spans the late 1800s to 2005; however, the bulk of the coverage is from the 1960s to the 1980s and there are many undated items. The collection was donated to Special Collections of the National Agricultural Library in 1985 by Dr. Alvin L. Young (1942- ). Dr. Young developed the collection as he conducted extensive research on the military defoliant Agent Orange. The collection is in good condition and includes letters, memoranda, books, reports, press releases, journal and newspaper clippings, field logs and notebooks, newsletters, maps, booklets and pamphlets, photographs, memorabilia, and audiotapes of an interview with Dr. Young.&lt;/p&gt;&#13;
&lt;p&gt;For more about this collection, &lt;a href="/exhibits/speccoll/exhibits/show/alvin-l--young-collection-on-a"&gt;view the Agent Orange Exhibit.&lt;/a&gt;&lt;/p&gt;</text>
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01708

Author

LeVois, Maurice E.

Corporate Author
RBPOrt/ArtlClB TltlO Typescript: [Update on study protocol], September 20,
1982

Journal/Book Title
Year

000

°

Month/Day
Color

a

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3

Descriptor Notes

Monday, June 11, 2001

Page 1709 of 1793

�1. On 5 March 1982, the AOWG Science Panel approved a 4
December 1981 DOD/AAQTF conceg&lt;t. _jaaper on cohort selection.
Scecifically, what the Science Panel approved was the
genera1 jprinicj, ple

of selecting battalion, and then

company size, military units for exposrue analysis,
assigning the company A/O exposure score to each member of
that company.

If an individual was reported absent on a

day when his company received an exposure, that
individual's exposure score would be reduced accordingly.
This is a departure from the approach suggested by UCLA, in
which individual subjects were to be drawn at random and
exposure scores developed for each subject individually.

2.

On 5 March 1982, the Science Panel states:

"The

Science Panel will oversee this cohort selection process."
The 4 December 1981 DOD/AAOTF concept gaper was clearly not
a scientifically rigorous methodological protocol.

AOWG

approval of that document should not have been construed as
a signal to proceed with the actual selection of subjects
without first developing a step-by-step protocol with the
assistance of the Science Panel and othe qualified
scientists.

3.

On 10 June 1982, the VA submitted to the AOWG Science '

Panel a memorandum (attached) concerning AAOTF cohort
selection activities. That memo alerted members of the

�Science Panel to the fact that inappropriate and unapproved
decisions concerning cohort composition, exposure criteria,
and selection methods had been made independently by
DOD/AAOTF.

It was the VA's belief that, if the AAOTF

proceeded to select subjects as they proposed, their
efforts would produce unusable cohorts and no useful data
on the feasibility of conducting the larger study.

4. Between 4 December 1981 and 10 June 1982, meetings were
held on the topics of Agent Orange exposure and cohort
selelction and some important progress occured.
°It was generally agreed that a third cohort, roughly
comparable to the two Vietnam cohorts could be assembled,
if that were called for by the final study design.
°A general AAOTP cohort data automation contract was
developed by AAOTF.

It should be noted that general

functional capabilities, not specific data elements, were
approved by the VA.
°A Ranch Hand mission time/distance exposure matrix was
developed.
"Methods of equating the different modes of exposure were
proposed.

Work on this problem continues.

"The AAOTF proceeded with work on an augmented "services"
herbicide application record.

This work also continues.

The AAOTF was never asked by the AOWG or the VA to halt
work on the documentation of herbicide use in Vietnam.
This informiWon is essential to any cohort selelction
process.

�°On 8 April 1982, a letter was sent from VA Administrator
Nimmo to Secretary Weinberger addressing the need for the
support and cooperation of both agencies in this research
effort, (attached)
*J
°0n 8 April 1982, a memo was sent by Secretary Scheiker to
A

Secretary Weinberger, (attached) That memo recommended
that DOD assume responsibility for cohort selection in
support of the VA study.
"On 26 April 1982, Secretary Weinberger issued a tasking
memo to the Secretaries of Army, Navy and Air Force
authorizing full DOD support of this effort, (attached)

"The AOWG Science Panel created a subcommittee to 1. develop
an acceptable Agent Orange exposure index 2. develop a
cohort selection protocol for the AAOTF.
°On 8 September 1982, the Chairman of the Science Panel
forwarded to DOD a draft protocol for cohort selection for
DOD approval.

5.

The AOWG and the VA can not provide the kind of

continuous scientific supervision which is required for
proper cohort selection.

It has become clear that this

important, complex and costly effort cannot be adequately
supervised by a physiologist.

The AAOTF should obtain the

assistance of a qualified epidemiologist and/or
biostatistician before proceeding with their cohort
selection pilot work.

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&lt;p&gt;For more about this collection, &lt;a href="/exhibits/speccoll/exhibits/show/alvin-l--young-collection-on-a"&gt;view the Agent Orange Exhibit.&lt;/a&gt;&lt;/p&gt;</text>
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AUthOP

Berger, Beverly

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Report/Article Title Typescript: Agent Orange

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DBSCriptOD NotOS

update on on-going Agent Orange studies

Tuesday, May 15, 2001

Page 1454 of 1514

�C:\WRITE\WORDPERF\BERGER28,JUL
AGENT ORANGE
The AOWG was established in 1981 and is the overall coordinator,
clearinghouse, and evaluator of the Federal research effort on
health issues surrounding the use of Agent Orange (AO) during the
Vietnam conflict. During FY'88 several important AO related
events have taken place. The Science Panel of the AOWG issued a
AO Status Report which was widely circulated and simultaneously
implemented the Status Report as a "Living Document" residing on
a VAX 780 DEC computer at the National Center for Toxicological
Research. The status of any AO related project may be updated at
any time via an electronic mail facility.
The CDC's major effort on "The Vietnam Veterans Experience Study"
was completed. One of the most revealing item from that study
was that what was stated during the telephone interview was not
always confirmed through the medical examination! {see item 1 and
4 below}. CDC summarized the study as follows: [1] Vietnam
veterans were more likely to report health problems, yet few
differences were detected on examination; [2] Vietnam veterans
were found more likely to have hearing loss and certain
deficiencies in semen quality; [3] Vietnam veterans were more
likely to have psychological problems; and [4] Vietnam veterans
reported more birth defects in their children, yet birth defect
rates were not elevated based on objective evidence.
The Air Force report on the second examination of the Ranch Hand
personnel was released in November, 1987 (Air Force Health Study:
An Epidemiologic Investigation of Health Effects in Air Force
Personnel Following Exposure to Herbicides). This study was
received with many accolades; it also negated many of the
positive findings of the earlier 1984 examination.
Unfortunately, a report of the 1984 findings by Dr. Richard A.
Albanese entitled "United States Air Force Personnel and Exposure
to Herbicide Orange" wasn't released until the Spring of 1988.
Some individuals still do not understand that this is a much
delayed release of the 1984 data and that the 1987 Ranch Hand
reports negates most of the Albanese findings; several times it
has been obvious that the 1988 Albanese report has been taken as
the more current data base rather than the 1987 Ranch Hand
report. This mistake is most unfortunate!
The CDC's AO Exposure Study was cancelled after a great deal of
time and effort had been expended in attempting to identify an
exposed cohort. After rejecting all attempts at identifying a
study population based on Vietnam military records alone due to
valid scientific limitations, the CDC attempted to use a
state-of-the-art GC/MS analytical technique that they had
developed to measure the TCDD serum levels. The Validation Study
found the following: (1) no association between TCDD serum levels
and ANY indirect estimate of Agent Orange exposure in Vietnam;
and [2] the median TCDD serum levels were 3.8 ppt in the Vietnam

�veteran group (range of &lt; 1 to 45 ppt) and 3.8 ppt in non-Vietnam
veterans (range of &lt; 1 to 15 ppt). However, the same CDC
laboratory found the mean serum dioxin level in Ranch Hander's
participating in the Air Force Health Study to be 49.4 ppt (range
of 3.2 to 313 ppt) with a control group mean of 5.2 ppt (range of
2.0 to 21.3 ppt). Analyzing samples of stored serum from many
Ranch Handers obtained over 5 years ago and comparing them with
current serum samples from the same individual for TCDD levels, a
serum TCDD half-life was able to be calculated of approximately 7
years. This half-life information coupled with the low TCDD
serum levels found in the CDC Validation study provided the
necessary information to conclude that an AO exposed Vietnam
cohort could not be identified even using state-of-the-art
techniques and that the AO Exposure Study could not be validly
conducted.

Prepared for:
Dr. Beverly Berger
Office of Science Technology Policy
New Executive Office Building
Room 5005
Washington, D.C. 20500
FTS 395-3902

�</text>
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&lt;p&gt;For more about this collection, &lt;a href="/exhibits/speccoll/exhibits/show/alvin-l--young-collection-on-a"&gt;view the Agent Orange Exhibit.&lt;/a&gt;&lt;/p&gt;</text>
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01430

Author
Corporate Author
RODOrt/ArtiClO Titlfl Typescript: Agent Orange Project Update Summary,
December 4,1986

Journal/Book Title
Year

000

°

Month/Day
Color
Number of ImaDos
DOSCrlptOD Notes

D

11

Lists

ongoing health studies and projects from various
agencies.

Tuesday, May 15, 2001

Page 1430 of 1514

�AGENT ORANGE PROJECT UPDATE SUMMARY
December 4, 1986

Information was taken from two sources:
The Domestic Policy Council » Agent Orange Working Group*
Status Report, October » 1985
Collection of Research Projects on Dioxins* Number 160, A
report of the NATO/CCNS pilot study on International
Information Exchange on Dioxins, Spring 1986. (obtained
from Dr. Donald Barnes* EPA)

Total number of projects identified = 245
Number listed as Complete =
Number listed as Ongoing

87

= 158

Source Informations AO Status Report =
NATO Report

=

47

both reports

=

4

Number of projects by Agency:
Total

Complete

Ongoing

CDC

11

a

9

DHHS

3

1

2.

DoD

22

7

15

EPA

68

25

43

NCI

7

a

5

NIEHS

83

40

43

NIOSH

8

2

6

USDA

8

5

3

35

3

32

VA

�Agent Orange Project List (AQ1)
11/27/86

ACC.
NO.

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
25
37
38
39
40
41
42
43
44
45
46
47
48
49
50

CDC
CDC
CDC
CDC
CDC
CDC
CDC
CDC
CDC
CDC
CDC
DHHS
DHH5
DHHS
DoO
DoD
DoO
DoD
DoO
DoD
DoD
DoD
DoO
DoD
OoO
DoD
DoD
DoD
DoD
DoD
DoD
DoD
OoD
DoD
DoD
DoD
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA

Conent

Title

Agency

Agent Orange Study
Birth defects and iilitary service in Vietnam study

Published Aug 1984

Oevelopient of lab lethods for TCDD analysis of huian adipose tissues and bio
Epideiiologic study of ground troops exposed lu &lt;ujent orange during the Vietn
Measurement of 2,3,7,8-TCDD in adipose tissue in populations in Hissouri

National dioxin study
Selected cancers study
Study for body burden for dioxin in the general population
Study of the distribution of 2,3,7,8-TCDD and related compounds in the huian
Synthesis of polychlorinated dibenzo-p-dioxins and polychlorinated dibenzofur
Vietnam Experience Study
Detailed current literature reviews with published reports on the state of sc
Measurement of TCOD levels in adipose tissue froi potentially exposed persons
Reproductive outcomes in persons possibly exposed to 2,3,7,8 RDP
2,3,7,8-TCDD induced iuunosuppression
? Dioxin workers

API Sarcota Study
Air Force Ranch Hand Study
Air Force soil tapping and groundwater survey at herbicide orange sites
Anted Forces Institute of Pathology Agent Orange registry of Vietnai veteran

CDC selected cancers
Degradation of chlorinated xenobiotic compounds by anaerobes
Dioxin plan for monitoring Johnston Atoll
Environmental cheiistry of herbicide Orange

AO 85 - NATO - Daniel HcGee, C

NATO - Larry Needhai, CDC, Atl
NATO - Larry Needhai, CDC, Atl
NATO - Larry Needhai, CDC, Atl
NATO - Larry L. Needhai, CDC
Why both completed and ongoing
_
ES8
ESG

NATO - Ken Uade, EGtG Inc, Ida
ES8
NATO - Lt Rhodes, Tyndall AFB,
NATO - Linda Anderson, CDC, At
NATO - Capt Stoddart, Tyndall

Environmental cheiistry of herbicide orange and TCOD
Epideiiologic investigation of health effects in Air Force personnel followin
Fate of TCOD, 2,4-0 and 2,4,5-T at selected locations contaiinated with herbi
Herbicide Orange -1U- treatment and environiental lonitoring
Herbicide Orange soil tapping and groundwater survey
Mechanism of cellular teibrane effects of TCDD
Residual levels of 2,3,7,8-TCDD near herbicide Orange storage and loading are
Services herbs tapes
Site deionstration of full-scale rotary kiln incinerator (transportable)
Site demonstrations: environmental restoration technologies
VA chloracne
VA Soft Tissue Sarcota
Analysis of background levels of TCOD in the US environment
Analysis of environmental samples for PCDDs and PCDFs
Analytical lethods development of monoclonal antibodies
Assess of PCS transformer /cap fires
Assessment of exposure to TCDD from contaminated media
Assessment of methods used for analysis of human adipose tissue
Assessment of PCS transformer/capacitor fires
Bacterial decomposition of TCDD

Baseline in 1983
NATO - HQ AFESC/RDV, Tyndali A
NATO - Haj Toi Doane, Brooks A
NATO - Lt Rhodes, Tyndall AFB,
NATO.- Capt Stoddart, Tyndall
ESS
NATO - Capt Terry Stoddart, Ty
NATO - Capt Stoddart, Tyndall
ESG
Environiental Support Group

NATO - Paul des Rosiers, EPA,

Beef fat phase II
Behavior of TCDD in blood
Bioavailability of TCDD from contaiinated soils
Unavailability to aniials
Biodeg and carbon adsorption of TCDD
Causal structure activity methods applied to the assessient of the toxicity o

NATO - Huhae! Gallo, U New Jt
NATO - P. Politzer, U New Orle

�EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPa
EPA
EPA
EFA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
EPA
NCI
NCI
NCI
NCI

Clearance of TCDD from dose organists
Development of lass spectrometric and fourier transform infrared spectroscopi

Dioxin bioavailability - food chain
Dioxin photolysis: Soil surfaces
Embryotoxicity and pharmacokinetics fo dioxin in Harmosets and monkeys

Evaluation municipal waste combustors

NATO- Wayne Sovocool, EPA, La
NATO - Phillip Cook, EPA, Dulu
NATO - Glenn Miller, U Nevada,
NATO - Diether Neubert, Berlin
1st table ongoing; 2nd table c

Evaluation of combustion sources

Evaluation of large scale combustion sources

1st table ongoing; 2nd table c
Evaluation of TCOD destruction technologies
Evaluation of the EPA mobile incineration system for dioxin-contaminated liqu NATO - Frank Freestone, EPA, E
Evaluation of the white rot fungus, Phanerochaete chrososporium, for biodegra NATO - Pat Sferra, EPA, Cincin
Exposure assessment methods for 2,3,7,8-TCDD and other dioxins
NATO - John Schaum, EPA, Uashi
Feasibility of utilizing mines as respositories for dioxin-contaminated soils NATO - Pat Esposito, PEI Assoc
Field test of KOH/PE6 reagent to destroy 2,3,7,8-TCDD at a military site
NATO - Charles Rogers, EPA, Ci
Half-life of chemicals in soil
NATO - Charles Nauman, EPA, Ua
Health assessment of PCDFs
Health assessment of PCOOs
Herbicide Orange incinerator studies
NATO - Capt Stoddart, Tyndall
In-situ stabilization techniques for dioxiin-contaminated soils
NATO.- Don Sanning, EPA, Cinci
Invest, of in situ stabil. technology
Investigation of bioavailability to fresh water fish of TCDDs in fly ash
2nd table indicated study to b
LA crayfish/catfish study
Methods analys. envir. of TCDD by (lass Spect.
Methods for assessing exposure to dioxin related compounds other than 2,3,7,8 NATO - Les Ungers, PEI Assoc.,
Microb. dissia. of 2,3,7,8-TCDD
Mississippi catfish study
Movement of TCDD in the environment
Annual reports ; Nebraska stud
National pesticide monitoring project of human adipose tissue
Northwest human milk study

Oregon monkey study
Performance of RCRA Method 8280 for the analysis of dibenzodioxins and dibenz
Pharmacokinetics of 2,3,7,8-TCDD in monkeys
Photochemistry
Plant uptake and metabolism of polychlorinated dibenzodioxin isomers
Plant uptake of dioxin
Potential for 2,3,7,8-TCDD transport in soils using both static and dynamic s
Preparation of dioxin analytical reference standards for lab analysis of huma
Quality assur. support
Region I deer and elk study
Report of assessment of a field investigation of six-year spontaneous abortio
Risk assessment approach for 2,3,7,8-TCDD and other dioxins
Round robin survey-methods dioxin analysis in adipose
Shallow mines as repositories for dioxin-contaminated soils
Short-term bioassays for polychlorinated dibenzo-p-dioxins
Sorption/desorption characteristics of 2,3,7,8-TCDD in contaminated soils
TCDD vapor-phase photolysis
Uptake of 2,3,7,8-tetrachlorodibenzo-p-dioxin by dairy cows
Uptake of dioxins by plants and large animals
Uptake of dioxins by fish
UV photolysis/alkali polyethylene glycolates for the chemical detoxification
UV photolysis/KPE6 chemical destruction of chlorinated dioxins and dibenzofur
Vapor pressure and partitioning behavior of 2,3,7,8-substituted dioxins and f
Wisconsin monkey study
yorkshop report on bioavailability
Case control study of lymphoaa and soft tissue sarcoma
Case-control study of soft tissue sarcomas and lymphomas and their relationsh
Control study of lymphoma and soft tissue sarcoma
Lung cancer - structural pest control workers

NATO - John Ballard, Lockheed
NATO - Margaret Chu, EPA, Uash
NATO
NATO
NATO
NATO

-

Johne Coates, Midwest R
Craig HcFarlane, EPA, C
Richard Walters, U Mary
Edward J. Kantor, EPA,

Published
NATO - Charles Ris, EPA, Uashi
NATO
NATO
NATO
NATO
NATO

- Janet Houthoofd, EPA, C
- Richard Phillips, EPA,
- Michael Roulier, EPA, C
- John Schaum, EPA, Uashi
- D.H. Jones, Texas AIM

NATO - Charles Rogers, EPA, Ci
NATO - R.L. Peterson, 6alson R
NATO - Gregory Kew, EPA, Uashi

�109
110
111
112
113
114
115
116
117
118
119
120
121
122
124
125
126
127
128
129
130
131
132
133
134
135
136
137
138
139
140
141
142
143
144
145
146
147
148
149
150
151
152
153
154
155
156
157
158
159
160
161
162
163
164
165

NCI
NCI
NCI
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS

NCI pesticide workers
Study of lortality aiong pesticide applicators frot Florida
Study of soft tissue sarcotas and non-Hodgkins lytphota in thirteen counties
1,2,4,6,8,9-Hexachlorodibenzofuran disposition
2,3,7,8-TCDD disposistion in rats, lice, and guinea pigs
2,3,7,8-tetrachlorodibenzofuran disposition in rats, tice, guinea pigs
2,4,5-T : Salionella
2,4,5-T cytogenetics
2,4,5-T Drosophilia
2,4,5-T N-butyl ester: salionella
2,4-0 : Salionella
2,4-0 cytogenetics
2,4-0 ditethylatine salt: Salionella
2,4-D Drosophilia
2,4-0 N-butyl esters salionella
2,7-Dichlorodibenzo-p-dioxin: salionella
Alter, of cell-surface leibrane for DI Toxkity
Arachidonate products in dioxin and PCB toxicity
Atonic mission spectroscopy for dioxin trace analysis
Bioassay of a lixture of 1,2,3,6,7,8- ? and a tixture of 1,2,3,6,7,8-hexachlo
Bioassay of octachlorodibenzo-p-dioxin
Bioassay of tetrachloro-dibenzo-p-dioxin
Bioavailability of TCDD (rat) denial and oral
Carcinogenesis bioassay of 2,3,7,8-tetrachlorodibenzo-p-dioxin in Sviss Uebst
Carcinogenesis boassay of 2,3,7,8-tetrachlorodibenzo-p-dioxin in Qsborne-Hend
Cotparative species evaluation of cheiical disposition and letabolisi of 2,3,
Control of gene expression by dioxin
DED-UEEO,LV-69: Salmonella
Oi-Epith cell interaction, lechanisi and assay
Dibenzofuran: cytogenetics
Dibenzofuran: Salionella
Dioxin - atoiic emission spectroietry for dioxin trace analysis (detection)
Oioxin - toxic halogenated wastes: in vitro bioassay developient .
Dioxin chlorinated dibenzo-p-dioxins; lechanisis of toxicity
Dioxin environmental pollutants and toxicology of the liver
Dioxin environnental health sciences center grant clinical studies
Oioxin lechanisi(s) for toxicity of chlorinated dibenxodioxins (toxicology)
Dioxin tolecular toxicology of TCDD
Dioxin NHR study
Dioxin xenobiotic induction of pleiotropic responses in liver
Disposition of TCDD fetal distribution in nice
Effects of Agent Orange components on lale fertility and reproduction
Effects on intestinal cells
Effects on intestinal cells UNC-CU grad student
Effects on nutrient assiiilation
Environiental health science center grant
Establishient and laintenance of an international register of persons exposed
Hexacholor dibenzo dioxin disposition
laiunosuppression by in utero exposure
Implications of low level exposure of dioxins
Intl res/exposure to phenaxy acid herbicides
Lipid assimilation NRSA
Lipid assiiilation NRSA
Matrix effect and sub parts-per-billion quantitative analysis of TCDD by lass
Mechanist of iuunosuppression
Mechanists of dioxin toxicity
Mechanists of toxicity of the chlorinated-p-dioxins

Publication in press
Disposition studies cotpleted
Disposition studies cotpleted

Is the title wrong of what?

Uhat is NRSA ?
What is NRSA?

1st Table ongoing; 2nd table c

�166
167
168
169
170
171
172
173
174
175
176
177
178
173
180
181
182
183
184
185
186
187
188
189
190
191
192
193
194
195
196
197
199
199
200
201
202
203
204
205
206
207
208
209
210
211
212
213
214
215
216
217
218
219
220
221
222

NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIEHS
NIOSH
NIOSH
NIOSH
NIOSH
NIOSH
NIOSH
NIOSH
NIOSH
USDA
USDA
USDA
USDA
USDA
USDA
USDA
USDA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA

! Membrane / LP receptor NRSA
! Membrane / LP receptor NRSA .
! Methods for the measurement of dioxins and furans in human adipose tissue

Uhat is NRSA?

! Molecular basis of dioxin toxicity

Theoretical biochemical study
1st table ongoing; 2nd table c

!
I
!
I

Molecular modeling of dioxin binding proteins
Molecular, biochemical actions of chlorinated-p-dioxins
Mutagenicity studies of TCDD, 2,4-0, 2,4,5-T and esters of 2,4-D and 2,4,5-T
Neurotoxicity of 2,4-0 in rodents
Occupational &amp; environmental health center grant
! Occupational and environmental health center grant (toxicology)

Pentachlor &amp; Dioxin contam. in PCP
Pest, i Trans, across bil. lip. mem.
Pesticides and transport across bilayer lipid membranes (toxicology)
Pre-dioxin in PCP biochemistry, effect, and toxicity
Quantitative analysis of TCDD by mass spectroscopy
Research toward understanding the molecular level mechanisms of toxicity of T
Role of TCDD receptor in tumor promotion

How can it be marked complete

Structure-toxicity relationships

Would like to see this report!

Studies of the chemical disposition and metabolism of octachlorodibenzodioxin
Synthesis of 6 chlorodibenzo-p-dioxins
Synthesis of selected chlorinated dibenzo-p-dioxins and related compounds as
TCDD effects on steroid hormone synthesis
Teratogenicity of TCDD - Cleft palata induction (mice)
Theoretical modeling of dioxin receptor
Toxic actions of tetrachloroazobenzene dioxins
Toxic and anorectic effects of TCDD
Toxic his wst in vitro bioassay development
Toxicant Ceres Endocrine Heme Biosynthesis
Xenobiotic induction of pleiotropic responses in liver
Health hazard evaluation and technical assistance involving PCBs, dioxins, et
Investigation of leukemia cluster in Madison County, Kentucky allegedly assoc
NIOSH dioxin registry and cohort mortality study
NIOSH dioxin registry, morbidity and reproductive outcome study .
NIOSH industrial morabidity study
NJ/Missouri plant worker and worker's spouse reproductive outcom'e study
Soft tissue sarcoma investigation
Study of persistent health effects in chemical herbicide workers and in commu
A case control study of the relationship between exposure to 2,4-D and sponta
Biological and economic assessment of 2,4,5-T and Si hex
Exposure measurements of mixers, loaders and applicators of 2.4-0 on wheat
Exposure of forest workers to ground applications of 2,4-D
Photolysis of 2,4,5-T
Survey of phenoxy herbicide use by agricultural commodity
Survey of phenoxy herbicide literature
TCDD residue monitoring in deer
A review of the soft tissue sarcoma cases in patient treatment file for Vietn
AFIP case control study of soft tissue sarcoma
Agent Orange register review
Behavioral toxicity of an Agent Orange component 2,4-D
Case control study of lymohoma
Chronic effects of herbicide exposure on testicular function in Vietnam veter
Cohort mortality study of Vietnam veterans
Effect of TCDD on lipid metabolism
Effects of 2,3,7,3-tetradiiorodibenzodioxins on hepatobiliary function in ani
Effects of Agent Orange on sleep
Effects of low dose TCDD on nammalian chromosomes and liver cells
Fat tissue analysis for 2,3,7,8-TCDD (San Antonio)

NATO - Jay Bainbridge, NIOSH,
Published NTIS 1984
AQ 85 - 1st table completed it

Published Scan J Uork Environ
NATO - Marie Haring Sweeney, N
1st table has project ongoing;

Annual bibliographies publish*
Report in preparation
AO 85 -&gt; 1st table end date of
Perhaps completed in 1984?

Perhaps completed in 1993?
End in 86 or 89?
End in 86 or 89?
End in 86 or 89?

�223
224
225
226
227
228
229
230
231
232
233
234
235
236
237
238
239
240
241
242
243
244
245

VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA

Fat tissue analysis for 2,'3,7,8-TCDD (Dallas)
Fetale veteran survey
Mechanist of porphyria caused by TCDD and related cheiicals
Mechanist of TCDD absorption and toxicity on lipid and lipoprotein tetabolist
Mechanists of dioxin induced toxicity using the chloracne aodel - Phase II

Mechanists of dioxin induced toxicity using the chloracne todel - Phase I

End in 86 or 89?
End in 86 or 89?
End in 86 or 89 ?
Publication in press
End in 86 or 89?

Hetabolist of the herbicides present in Agent Qrange and Agent White
Monographs
Neurotuscular toxicity of Agent Orange
End in 86 or 89?
PTF/Vietnat; service indicator
Retrospective study of dioxins and furans in adipose tissue of Vietnat era ve AO 85 -&gt; 1st table pending to
Review of literature on herbicides, including phenoxy herbicides and associat Published in 1981; annual upda
Review of soft tissue
Sarcota study in patient treattent file, Agent Orange registry exatinations
Survey of patient treattent file for Vietnat veteran in-patient care
Initial 1983 survey
TCDD exposed rhesus tonkeys: effects on behavior and stress hortones
End in 86 or 89?
TCDD in body fat of Vietnat veterans and other ten
Published
Uptake and tetabolist studies and phamacology and toxicology
Urinary 6-hydroxy cortisol: physiological and phartacologk studies (includin Perhaps cotpleted in 1982?
VA patient treatment file uview
VA/EPA adipose tissue study
Vietnat veteran identical twin studies
Under review by OTA I AOUS - W
Vietnat veteran tortality studies
AO 85 -&gt; 1st table end date of

�CABINET COUNCIL ON DOMESTIC POLICY
AGENT ORANGE WORKING GROUP
FEDERALLY SPONSORED HUMAN STUDIES RELATED TO AGENT ORANGE

TYPE OF STUDY

AGENCY

STUDY TITIE

Mortality

Morbidity Cancer

Reproduct Jon Analytical

STATUS

Completed

Estimated
Ongoing Completion Date

DEPARTMENT OF HEALTH AND
HUMAN SERVICES

Published NTIS
1984

NIOSli Investigation of
Leukemia Cluster in
Madison County, Kentucky
Allegedly Associated with
Pentachlorophenol Treated
Aimun it ion Boxes
NIOSli Dioxin Registry

X

NIOSli Soft Tissue
Investigation

X

NIOSH NJ/Missouri plant
worker and worker's spouse
reproductive outcome study
Reproductive outcomes in
persons possibly exposed
to 2,3,7,8 RDP
Measurement of TCDD levels
in udipoue tissue from potentially exposed persons in
Missouri.

Published
Scan. J. Work
EnvIron Health
1985

X

(begins
1985)

�TAIil.K I:

The K I even M a j o r Kp idemi ol ogi ca 1 S t u d i e s of t l . S . V i e t n a m V e t e r a n s , Agent Orange'am) TCHIJ
exposure, dii.l V i e t n a m K x p e i i eiu-'c- C u r r e n t l y Ongoing or Completed i it L i t e U n i t e d S t a l e s ( C o n t i n u e d ) .
Responsible *
Federal Aqency

Ti t ic

Tyj&gt;e of Study

Total Study
E£?CiJi3

Complet ion

Vietnam Experience
E p i d e m i o l o g i c Study

Centers for Disease
Control, A t l a n t a
Oeorgi a

Matched Cohort Morbidity Study o f V i e t n a m
and non-Vietnam Veterans

12,000

1987

VA/AFIP Soft Tissue
Sarcoma Study

Veterans A d m i n i s t r a t i o n
Agent Orange Projects
Office, W a s h i n g t o n , D.C.

Case-Control Study of
Soft Tissue Sarcoma

250 cases
750 controls

Late

Nlo:;il n i o x i n Kcrjiutry

N a t i o n a l I n s t i t u t e for
Occupational Safety and
Health, C i n c i n n a t i . Ohio

M o r t a l i t y Study of
Workers at 12 Production Sites Where D i o x i n
C o n t a i n i n g Products
Were M a n u f a c t u r e d

6.0OO

1986

NIOSII I n d i i B t r i a l
M o r b i d i ty Study

N a t i o n a l I n s t i t u t e for
Occupational Safety and
Health, C i n c i n n a t i , Ohio

M o r b i d i t y Study of
Workers at 2 Production
Sites Where D i o x i n
Containing Products
Were Manufactured
and a Comparison
Group

600

1988

NCI Kansas Soft
Tissue Sarcoma Study

N a t i o n a l Cancer I n s t i t u t e ,
IJethesda, M a r y l a n d

Case-Control of Soft
T i s s u e Sarcoma

1OO cases
3()O controls

1986

1986

�*ALTH MO rtUMN SBVICES/WEHS LAS/LITERATURE STUDIES

TYPE OF STUDY

STUDY EFFORT

Aim smmneaH. ANALYTICAL LITERATURE

•

STATUS

cwtira CUMINS

STUDY

TQTAc I
1991-97

rji?. 3F TCDO CLFT. PAL.
Mfl!£?QSITOF TWO FTL.
[J| OIST. IN DICE

10.000

"E-9IOX. IN PCP
.. £F.. 4 TOI

1990-1992
I

4. OF 3 CHLflR
OlSaZO-MHOl

/

I

199M89i

"44,000

1992

4«C. EH. SPCT, FSR
I'OISIIM TR. ANLYS.

172.000

61.000

!99!-!«SS

i:0.000

l°90
l-JLs i? TOO *£•:•?•

(I

0

I

ijgj»i5S3

i'X'.'JOO

I

1995-1-97

««6.000

J

1993-1997

:00)
:.'0

I

«ORfl

1994-1"!

lIO.OOO

CTIC £?F--:TS
OF TCCD9
/

&gt;* «
'SisAHlilS OF

2F riT-ACHLQRO-i)I8ENZOtoao

aP-8I3l!.1

j

. OF TC2D
"iBtflASSjrt".
r

4

&lt;C HLS «ST IN

TntCReTICAL iflLS OF
REEPT3R
OF T3HCITY

1983-1*34

::.yoo

1
H
I

�- 131 -

FORMAT FOR CCMS PILOT PROJECT ON INTERNATIONAL INFORMATION EXCHANGE
ON OIOXINS AND RELATED COMPOUNDS
WORKING GROUP: A

COUNTRY OF ORIGIN: USA

TITLE OF PROJECT OR ACTIVITY: VA/AFIP Soft Tissue Sarcoma Study
NAME AND ADDRESS OF PRINCIPAL INVESTIGATOR:
(INCLUDING TELEPHONE NUMBER)
(202)-576-0366
NAME AND ADDRESS OF SUPPORTING AGENCY:
(INCLUDING TELEPHONE NUMBER)

Han K. Kang, Dr. P. H.
Veterans Administration
Office of Environmental Epidemiology
AFIP
Washington, D.C. 20306-6000

^

Washington, D.C. 20420

(202)-389-3432 or 3886

Veterans Administration
Agent Orange Projects Office (10X2)
810 Vermont Avenue, N.W.

?

8 83

STARTING DATE V /

IDENTIFYING NUMBER:

COMPLETION DATE:

6 30 8f

/

/

GOAL/RATIONALE/SCOPE To determine the relationship of Vietnam service, probable Agent
Orange exposure and other factors to the risk of developing soft tissue sarcoma. The study
is being conducted in two phases. Phase I will'investigate whether service in Vietnam
during 1965-71 increased the risk of developing STS. The histopathology and anatomic site
of STS will be compared among Vietnam veterans. Phase II will investigate other host and
environmental risk factors for the development of STS.. Information on environmental risk
factors will be obtained by interviews and individual analysis.
ESTIMATED RESOURCES (IN UNITED STATES DOLLARS TO NEAREST $1,000,)

FUNDING

* 182,000

1887

1966

1968

YEAR

* 73,000

»

MAJOR OUTPUTS: (e.g.. technical reports, other publications, patents)

A technical report will be prepared and a manuscript will be submitted to a scientific
journal for publication.

tf other countries are interested, would it be possible to augment your present project?
I

I YES I X

I NO

Do you have access to a computer network?
Network Name

NIH DCRT

r

Host Name

YES

NO
User Name

�AGENT ORANGE PROJECT UPDATE
AGENCY: VA

DATE: Dec 4, 1986

TITLE: VA/AFIP Soft Tissue Sarcoma Study
PRINCIPAL INVESTIGATOR:

Han K. Kang, PhD

DIVISION/DEPARTMENT:
ADDRESS:

Office of Environmental Epidemiology
AFIP, Veterans Administration

TELEPHONE NUMBER:

Washington, D.C. 20306-6000
202/576-0366

PROJECT IDENTIFICATION NUMBER:
TEST CHEMICAL:

OBJECTIVE: To determine the relationship of Vietnam service,
probable Agent Orange exposure and other factors to the risk of
developing soft tissue sarcoma.
EXECUTIVE SUMMARY:

APPROACH: The study is being conducted in two phases. Phase I
will investigate whether service in Vietnam during 1965-71
increased the risk of developing STS. The histopathology and
anatomic site of STS w i l l be compared among Vietnam veterans.
Phase II will investigate other host and environmental risk
factors for the development of STS. Information on environmental
risk factors will be obtained by interviews and individual
analysis.
FINDINGS/STATUS:
SIGNIFICANCE:
PUBLICATIONS:
START DATE: July 1983

COMPLETION DATE: July 1986

LEVEL OF EFFORT (Total Project)
TO DATE:

PROJECTED TO COMPLETE PROJECT:

FTEs:
FUNDING: $ 255,000

$0

SOURCE OF FUNDING: Veterans Administration, Washington

�</text>
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&lt;p&gt;For more about this collection, &lt;a href="/exhibits/speccoll/exhibits/show/alvin-l--young-collection-on-a"&gt;view the Agent Orange Exhibit.&lt;/a&gt;&lt;/p&gt;</text>
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°1498

Author

Gough, Michael

Corporate Author
Report/Article TltlO Typescript: Chapter 9: The Political Assessment: A
Congressional View

Journal/Book Title
000

Year

°

Month/Day
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n

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Tnis

Tuesday, May 15, 2001

manuscript is a draft version of a chapter or section
from the following book: Agent Orange and its
Associated Dioxin: Assessment of a Controversy.
Young, A. L. and G. M. Reggiani, eds. New York:
Elsevier, 1988. This book is available in the NAL
collection, call no.: RA1242 T44 A3.

Page 1498 of 1514

�CHAPTER 9
"THE IMPORTANCE OF AGENT ORANGE AND DIOXIN WAS
ACKNOWLEDGED WHEN THE HIGHEST LEVELS OF GOVERNMENT BECAME
INVOLVED,"
THE POLITICAL ASSESSMENT:

A CONGRESSIONAL VIEW

MICHAEL GOUGII

In December, 1979, Congress passed and President Carter
signed Public Law 96-151, which instructed the Veterans Administration to carry out a study of possible long-term health
effects resulting from exposure to dioxin-containing herbicides
in Vietnam.
This was not the first time that Congress had considered
Agent Orange. Almost a decade earlier, in 1970, Senator
Philip Hart; of Michigan held hearings about the possibility
that spraying with Agent Orange was causing birth defects in
Vietnam and that the use of the same herbicides could be harmful for the population of the United States. In response to
those hearings, the Department of Health reduced the use of
2,4,5-T in the United States and the Department of Defense
stopped Agent Orange spray missions in Vietnam.
The law that was passed in 1979 mandating the Agent Orange
study resulted from veterans testifying before Congress that
Agent Orange had caused cancer, birth defects, and other health
effects. It directed the Veterans Administration to study
ground troops who had served in Vietnam to see if any long-term
health effects in veterans or their families could be related
to the use of Agent Orange. To prod the Veterans Administration
along, Congress said that the protocol for the study had to be
designed within 180 days or the Congress had to be told the
reason why.

9: 1

�The OTA (Office of Technology Assessment), which is a
technical support office of. Congress, was directed by law to
review and approve the plans for the Veterans Administration
study and to monitor the conduct of the resulting study. The
bulk of my presentation is about OTA's role, but before going
into that, I will discuss other major events in the Agent Orange
issue.
Some results are now available from the Ranch Hand
study, the mortality and morbidity study of the Air Force
personnel who flew the spray missions in Vietnam, which was
well underway in 1979. The Air Force had responded early to
Congressional inquiries and realized that they had an occupational
health problem. They moved ahead on their own without the
intense prodding Congress put on the Veterans Administration
for the ground troop study. George Lathrop has dismissed
those studies.
Also in December, 1979, President Carter established the
Agent Orange Working Group (AOWG), composed of Executive
Branch agencies with programs that touched on possible effects
on health of dioxin, Agent Orange, and herbicides. In February,
1980, the Office of Technology Assessment was invited to sit
with the Agent Orange Working Group as an observer, and it
became an active participant in this group. In August, 1981,
President Reagan placed the Agent Orange Working Group into
the Cabinet Council on Human Resources, elevating and enlarging the scope of the work group.
The Agent Orange Working Group has had profound effects
on Executive Branch efforts to try to better understand dioxin
and Agent Orange. Among the several studies coordinated by
the Agent Orange Working Group (ten major epidemiological
studies scheduled for completion by 1990 and five ongoing
health surveillance projects), one is complete. It is the
9: 2

�Birth Defects Study carried out by the Center for Disease
Control. This study has two conclusions: the tfirst conclusion was that there is no association between service in
Vietnam and birth defects. The second conclusion was th,a,t
there may be an association between opportunities for exposure,
to Agent Orange and a handful of birth defects, As soon a,s the
results of that study were released, at least one bill was
written in the Senate which was to provide compensation to all
veterans who had fathered children with spina bifida, a. colleC"
tion of tumors,and cleft lip with or without cleft palate,
That legislation never left the Senator's office. The
people who had clone the study at the Center for Disease Control, i.e., Dave Hricson and his colleagues, came to Congress.
They talked to congressional staff in great detail about the
structure of the study, its strengths and limits, and how to
draw conclusions from its results. They also went to the
American Legion, the Disabled American Veterans, the Vietnam
Veterans of American, and other veterans organizations, where
they explained the study and convinced those veterans that the
connections that had been shown, although theoretically valid,
woulcl not make a great deal of sense biologically. This was
a great achievement for solid scientific exposition and
convincing people not to be afraid and consequently do something foolish.
Some scientists still argue about the meaning of those
possible connections between exposure to Agent Orange and
birth defects. The Birth Defects Study, like many of the other
Agent Orange studies, was clone for political reasons. Politically, it has been examined and tried. The Congress looked at
the conclusions and decided no harm had been associated with
Agent Orange. So the CDC Birth Defects Study, from the point
of view of politics, is over. The Congress will not reopen it.
9: 3

�It is Interesting to note in this context that in the
Agent Orange lawsuit which was settled in the District Court
of New York in May, 1985, Judge Weinstein also considered the
CDC Birth Defects Study. He reached the same conclusion as
Congress, deciding that the study results were not sufficient
to sustain any association between Agent Orange and birth
defects. Thus, in the judicial system also, the CDC Birth
Defects Study has been weighed and found not to be convincing
in demonstrating any association between Agent Orange exposure
and b i. r th de f e c t s .
These are events which are very important. It should be
kept in mind that here we are not dealing with a purely scientific issue but with very sensitive and complicated political
and social issues. The scientific conclusions, therefore,
\vhile they are very important to us to understand whether or
not: d.i.oxin and Agent Orange cause disease, still are less
important to society than the decisions that are made in the
courtrooms and in the Congressional Hearing Rooms.
To come back to OTA, Congress wrote OTA into the Agent
Orange study because of disagreement between the Senate and
House Committees on Veterans' Affairs. Sensitive to veterans'
complaints that the Veterans Administration was indifferent
to their claims of harm from Agent Orange, the Senate wanted
the study to be carried out by some other agency. The House
Committee, on the other hand, had more faith in the Veterans
Administration and acted to preserve Veterans Administration's
responsibilities for research on veterans' health. The two
committees compromised, giving responsibility for the study
to the Veterans Administration and mandating that the Office
of Technology Assessment make periodic reports to the
committee, keeping Congress informed about progress or lack
o f i t.

9: 4

�This was an entirely new role for the Office of Technology
Assessment, and its constitutionality has been questioned. The
question arose a month after Congress directed the Veterans
Administration to do the Agent Orange study. At that time,
Congress passed another law directing the National Institute
for Occupational Safety and Health to do a study on dioxinexposed workers, and, again, Congress required that the Office
of Technology Assessment review and approve the protocol and
monitor the conduct of the study.
President Carter vetoed that law on the basis that
giving a congressional branch agency--the Office of Technology
Assessment—veto authority over the execution of an Executive
Branch study was a violation of separation of powers doctrine,
Executive Branch lawyers concluded after examining the case
that the bill was unconstitutional. Legislative Branch lawyers,
however, concluded that it was constitutional. Neither branch
has taken the case to court, and the issue is unresolved.
The veto of the NIOSH bill was successful.
President Carter's veto message also instructed the
Administrator of the Veterans Administration to ignore the
provisions of Public Law 96-151 which directed the Veterans
Administration to submit the study plan to the Office of
Technology Assessment for review. However, Senator Alan
Cranston, at that time Chairman of the Senate Committee on
Veterans' Affairs, wrote the Administrator that ignoring the
provision would not be a wise course. He pointed out that
Congress must provide funds for the Veterans Administration
study and that funding depended, on the Office of Technology
Assessment reviewing and approving the study plan. The Office
of Technology Assessment was part of the process, and it has
played an active role in Agent Orange issues ever since.

9: 5

�OTA assembled an Advisory Board to participate in its
Agent Orange activities. The panel includes academics--epidemiologists and statisticians, a toxicologist, a neurologist,
and a gynecologist. Then there are members who represent
stakeholders. There are three representatives from chemical
companies that made the Agent Orange components: Monsanto,
Dow Chemical, and American Cyanamid. They are neatly balanced
by representatives of the American Legion, the Disabled
American Veterans, and the Vietnam Veterans of America.
Despite the congressional requirement that a protocol
be written in 180 days, the Veterans Administration did not
produce one within that time. The Veterans Administration
was sued by veterans' groups because of some of its procedures.
There was a hearing before the General Accounting Office about
the methods used by the Veterans Administration to contract
for the protocol design. All of these events contributed to
the protocol's being late.
When the Office of Technology Assessment received the
first draft of the protocol, we rejected it as inadequate.
The basic plan of the protocol was to compare morbidity and
mortality rates between two groups of veterans, one which had
been exposed to Agent Orange and one which had not been.
In response to OTA's and others' criticisms, the protocol
was revised. The revision process just dragged along. It
was not until September, 1982, two and a half years after
Congress passed the law, that OTA approved the protocol.
By that time the Agent Orange Working Group Science Panel
had become convinced that it was really impossible to separate
exposed from not- exposed veterans, and they were urging that a
study be done to compare the health of veterans who had gone
to Vietnam with the health of veterans who have not gone to
to Vietnam, A study of that type would at least provide a

9: 6

�clue as to whether or not Vietnam veterans in general were
suffering from ill effects as a result of that experience.
The recommendation placed pressure on the Veterans Administration to do a "Vietnam Experience Study" even though the
Administration was planning an Agent Orange study.
Rather than making a decision between the two studies on
its own, the Veterans Administration asked for another review
of their protocol from the National Academy of Sciences. In
September, 1982, all the delay came to a head because Congress
had exhausted its patience. One hundred and: one representatives from the House of Representatives wrote a letter to the
Veterans Administration requesting that the study be transferred from the Veterans Administration to some other agency.
Dr. Vernon Monk of the Centers for Disease Control, in testifying before the House Veterans' Affairs Committee, said that
the Centers for Disease Control was well placed to do the
study. The Senate Veterans' Affairs Committee reaffirmed its
previously held conviction that the responsibility for the
study should be transferred somewhere else. The result was
that the execution of the study was taken from the Veterans
Administration and given to the Centers for Disease Control.
The Centers for Disease Control finally resolved the controversy about whether to do an Agent Orange Study or a Vietnam
Experience Study: they are doing both.
The CDC studies are the largest, probably the most compjLicated, and the most expensive epidemiology studies ever
conceived. They will cost at least $70 million, involve
interviews of 30,000 veterans, and 10,000 physical examinations to be carried out at the Lovelace Clinic.
The Vietnam Experience Study is relatively straightforward. Looking at the records easily establishes whether
or not a veteran went to Vietnam. The two cohorts can thus
9: 7

�be easily assembled, with the men who went to Vietnam on one
side and those who did not on the other; then their health
can be examined. The Vietnam Experience Study is underway and
on schedule. The same cannot be said about the Agent Orange
Study,because it is much harder to say whether or not a
veteran was exposed to Agent Orange. In January, 1985, the
Centers for Disease Control sent the Office of Technology
Assessment a summary of their efforts to resolve the exposure
problem. At that time the Centers for Disease Control were
able to identify the locations of battalions on the ground
in Vietnam,
A battalion is about 1,000 men, four maneuver companies
and a headquarters company. The battalion that the Centers
for Disease Control provided as an example was spread out along
a line of 40 kilometers. It was not possible to know where
the 1,000 men actually were. Were 990 at the middle of the
line or were they at one end? Were they spread out evenly
along the entire line? No one knows. One way to decide that
a battalion was exposed is to declare that any Agent Orange
spray mission within a fixed distance caused exposure. In
practice, AOWG and CDC have accepted that a spray mission at
a distance of two kilometers'might result in exposure.
Now consider an airplane spraying Agent Orange somewhere
within two kilometers of the battalion spread out on the 40
kilometer line. It is very hard to say who of the battalion
was exposed and who was not. Even assuming that exposure
could be ascertained, it is impossible to know how much
exposure took place.
OTA was very critical of the plans to decide a battalion
was exposed on the basis of such data. This criticism was expressed in periodic reports sent to the congressional committees.

9: 8

�Right: now, I think a majority o£ the OTA Advisory Board
feels that the study on Agent Orange should not go on because
of difficulties in deciding who was exposed and who was not.
The panel has not voted on this issue, and I could be wrong,
in my assessment, but I don't think so, If, after seeing
more details about exposure, OTA decides the study is impossible,
Congress could decide not to do the study. That would involve
an act of courage on the part of the Congress because it has
made a commitment that this study would be done. The Veterans'
Affairs Committees of the Senate and of the House may face the
dilemma, having promised the veterans to do the study, that
they have changed their mind. I used to think that, no matter
what the technical problems, the study would be done. I am
no longer so certain.
Congress has considered, over and over again, providing
compensation to veterans who claim ill effects from Agent
Orange exposure. At one time there was a list of over 20
diseases being considered as compensable. Congress finally
passed a law which provides compensation for chloracne and
porphyria cutanea tarda (PCT), if they occurred within one
year after .leaving Vietnam, Although there are very few
cases of either disease, the law was not a hollow gesture
on the part of the Congress. They wanted to do something
to compensate veterans who had been harmed, but, at the same
time, they wanted to limit compensation to diseases that
might be connected with Agent Orange,
Subsequently, Congress directed the Veterans Administration
to set up a special committee to review claims about diseases
resulting from Agent Orange exposure. That committee will
function only until the studies of the Centers for Disease
Control arc complete, because at that moment we expect to
have the answer to our questions.

9: 9

�Summing up, we can say that Congress is working out the
Agent Orange controversy. In 1979, Congress refused to make
a decision about whether or not Agent Orange had caused health,
effects. Instead, Congress directed the Executive Branch
to gather information for making a decision. By now, some
results have come in. The Air Force's studies on Ranch Hand
personnel provide no convincing evidence that Agent Orange
has affected human health. The Birth Defects Study, performed
by the Centers for Disease Control, also failed to provide
convincing evidence of a connection between Agent Orange and
human effects. Congress has directed the Veterans Administration to compensate two conditions which have been related to
dioxin exposure should they appear in Vietnam veterans. The
judge in the Agent Orange class action stated that the veterans
had failed, to prove their case in court that Agent Orange was
the cause of their illnesses. These points are convincing
many people that, regardless of all the fears about Agent
Orange and the toxicity which might reside in the dioxin
molecule, exposure to Agent Orange, if it occurred, has not
harmed the veterans.
However, that is not yet the end of the Agent Orange
controversy. Intellectually and emotionally the veterans
might accept that they have not been able to prove that their
diseases were caused by Agent Orange, but they can always
contend that no one could prove the contrary.
Probably, Agent Orange will pass away as a political
issue. Some veterans will continue to contend they were
harmed, but the decisions already made in Congress and in
the courtroom will convince many people that no detectable
harm was done. As more study results come in, if the results
continue to show no health effects, they will reinforce the
conclusions already made.

9: 10

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Author

Wilkins, John R.

Corporate Author
RepOrt/ArtlClO Title Epidemiologic Approaches to Chemical Hazard
Assessment

JOUmal/BOOk Title

Hazard Assessment of Chemicals: Current Development

Year

1983

Month/Day
Color

a

Number of Images

29

Descrlpton Notes

Thursday, May 03, 2001

Page 1367 of 1403

�Epidemiologic Approaches to
Chemical Hazard Assessment
John R. Wilkins III
Department of Preventive Medicine
The Ohio State University
Columbus, Ohio

Nancy A. Reiches
Comprehensive Cancer Center
The Ohio State University
Columbus, Ohio

I. Introduction
II. Developing Clues to Chemically Related Disease: Descriptive
Approaches
A. Fundamental Epidemiologic Tools
B. Variations of Disease Occurrence in Time
C. Variations in Disease Occurrence from Place to Place . .
III. Testing Etiologic Hypotheses: An Overview of Analytic
Approaches
A. Case-Control Studies
B. Cohort Studies
IV. Crucial Aspects of Environmental Study Design
A. Measurement of Dose
B. Measurement of Response
V. Relating Measures of Dose to Measures of Response
VI. Conclusion
References

I.

133
135
135
141
145
153
154
158
161
161
173
178
180
182

INTRODUCTION

During this century, populations of industrialized nations have experienced dramatic changes in the pattern and relative importance of various
life-threatening illnesses. At one time, diseases such as tuberculosis and
133
HAZARD ASSESSMENT OF CHEMICALS:
Current Developments, Vol. 2

6dt-

Copyright © 1983 by Academic Press, Inc.
All rights of reproduction in any form reserved.
ISBN 0-12-312402-6

�x-r-r

junii iv. yniKins iu ana Nancy A. Ketches

smallpox claimed large numbers of lives, especially in younger age groups.
Now, these and many other conditions of infectious origin are rarely
encountered. The resulting increase in average life expectancy, however,
has resulted in a new set of public health problems. One of these problems,
chemical contamination of the human environment and the assessment
of health risks that may result, is the focus of this article.
Perhaps one of the most difficult questions in contemporary epidemiology
and public health stems from evidence suggesting that most malignant
disease is of environmental, perhaps chemical, origin. This supposition
is particularly significant in the context of public health since cancer is
the second leading cause of death, accounting for approximately one in
every five deaths. Furthermore, mortality from cancer has increased in
recent years, leading to the hypothesis that the spread and diversity of
chemical contamination of the environment may largely account for this
trend.
To the extent that carcinogenic agents are exogenous in nature, there
is potential for intervening in the environmental network and thus preventing
the occurrence of disease. It is this concept that forms the cornerstone
of epidemiologic research. The primary purpose of epidemiologic inquiry
is to estimate quantitatively the effects of those factors that determine
whether disease does or does not occur in human populations. Classic
epidemiologic models, in combination with evidence from laboratory
research, are powerful tools for both generating and testing hypotheses
about the etiologic significance of environmental contaminants. Epidemiologic investigations often result in the institution of preventive or
control strategies—i.e., interventions in the process of disease causation—
even in the absence of knowledge regarding the underlying biologic mechanisms. Consequently, epidemiologic research assumes a central role in
the protection of the public health.
In this article, the major features of the epidemiologic approach to
chemical hazard assessment are discussed. At the outset the fundamental
sources of epidemiologic data and the process of generating testable
hypotheses are described. Next, the methods by which such hypotheses
are tested are considered. In particular, the focus is on the ways in which
measures of dose and measures of response are derived and evaluated
in epidemiologic research. Finally, questions regarding the interpretation
of dose and response measures are addressed.
The epidemiologic approach to disease may be described as proceeding
in two major phases. The first phase, discussed in the following section,
involves the conduct of "descriptive" epidemiologic studies. It is important
to emphasize that the primary purpose of these studies is to generate
hypotheses of cause and effect, a goal achieved primarily by examining

Epidemiologic Approaches to Chemical Hazard Assessment

135

patterns of disease occurrence with respect to time and place. The second
phase, discussed in Section III, involves conducting more rigorous "analytic" studies, studies whose purpose is to test hypotheses previously
set forth.

II.

A.

DEVELOPING CLUES TO CHEMICALLY RELATED
DISEASE: DESCRIPTIVE APPROACHES

Fundamental Epidemiologic Tools

1. Measures of Disease Frequency
In this subsection, measurements of disease occurrence that are fundamental to any epidemiologic investigation are discussed. Subsequently,
the role of these measurements in typical epidemiologic models is
considered.
There are several measurements that reflect various aspects of the
frequency of disease in a population. In general, these can be divided
into two major categories. The first relates to measures of morbidity, or
illness; the second concerns mortality.
One of the most basic concepts with respect to the measurement of
disease occurrence is that of a rate. Most simply, a rate may be defined
as the frequency of a condition in a defined population over a specific
period of time. Clearly, an absolute count of cases, without reference
to a population of known size, precludes direct comparisons between
groups. For example, if it is known only that /i, cases of Disease X
occurred in Community A, and n2 cases in Community B, there is insufficient information to determine in which community the occurrence
of the disease is greater. If, however, the size of the population in which
the cases were detected is also known, the rate at which disease occurs
can be computed, thereby yielding figures that are comparable.
With respect to morbidity, the rate that is usually of most interest is
the incidence rate. This is a direct measure of the probability or risk of
illness. Ideally, incidence rates would be based on prospective surveillance
of a well-defined population in which only those individuals who are at
risk of developing the disease under consideration are included in the
denominator. Although denominators are rarely this precise, they should
not include persons who already have the disease or are not susceptible.
Mortality rates, on the other hand, represent the probability or risk
of death. The number of deaths in a defined group constitutes the numerator
of a mortality rate, while the denominator represents the total number

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Epidemiologic Approaches to Chemical Hazard Assessment
John R. Wilkins III and Nancy A. Reiches

of persons in the defined group, i.e., the number of persons at risk of
dying.
Morbidity and mortality rates may be expressed as either crude, specific,
or adjusted rates. Crude rates can be constructed from a minimal amount
of information; they require knowledge only of the total number of events
(e.g., births, deaths) and the size of the population in which the events
occurred. However, to the extent that the risk of illness or death is not
uniform (equally probable) across all members of a population, specific
rates can provide more useful information. Typically, specific rates are
defined with respect to age, race, sex, or some combination of these
demographic characteristics. The basic formula for a specific rate includes
in the numerator the number of events of interest in a homogeneous
population subgroup, and in the denominator, the number of persons at
risk in that same subgroup. Therefore, an age-specific death rate could
be computed for persons 50-54 years of age; the rate could further be
confined to white male members of the population in this age group.
The general advantage of specific rates, whether for morbidity or mortality, is that they do not obscure potentially significant differences among
population subgroups. Since these rates provide a high degree of detail,
they are very useful for both analytic and health planning activities. This
is particularly true if the condition under consideration exhibits great
variation in occurrence among different age groups. Most chronic diseases,
such as cancer and cardiovascular disease, manifest such a pattern. When
morbidity and mortality rates are, however, used to compare disease
experience in two or more populations, specific rates can present problems.
Age-specific rates are often computed for either 5- or 10-year intervals,
thus yielding as many as 18 rates per population. For many types of
comparisons the task becomes cumbersome and the results difficult to
interpret. Therefore, it is often preferable to compute some type of
summary figure, which usually implies an adjusted rate.
Adjustment is a procedure by which differences in the composition of
groups are removed, so that the difference does not bias the comparisons
of interest. The need for adjustment is illustrated by the difficulties that
can be introduced when only crude rates are used. For example, if
interest centers on a disease such as cancer, an illness occurring more
frequently in older persons, the rationale for adjusting for age is clear.
If Population A has a higher proportion of older individuals than does
Population B, but the risk of dying for persons in any specific age group
is the same, the crude rate will be greater for Population A. This would
lead to a misinterpretation of the risk of dying in each population. What
Hs required is a method of comparing the two groups as if the age distributions were identical. This can be accomplished by the "direct method"

137

of adjustment. By this method, age-specific rates are weighted not by
the proportion of the population under study in the given age group, but
rather by the proportion of an external standard population in the same
age group. This procedure answers the question: "What would the rate
in the study population be if its age distribution were equivalent to that
of the standard population?" By .adjusting several population rates to
the same standard, direct, unbiased comparisons between groups can be
made.
Although adjustment for age is probably the most common form of
adjustment (or standardization), the same technique can be applied to
remove differences with respect to other characteristics, such as sex or
race. While the procedure is both well accepted and useful in a variety
of analytic settings, it is not without disadvantages. First, it must be
remembered that an adjusted rate is, in one sense, "fictional." That is,
its magnitude depends not only on the "real" death rate in the study
population, but also on the choice of the standard population. Second,
because the adjusted rate is a summary figure,, it may obscure different
trends among subgroups. For example, if only temporal changes in ageadjusted rates are examined, differences across selected age groups with
respect to the rate of change, or even the direction of change, may go
unnoticed.
2. Sources of Morbidity and Mortality Data
This subsection considers some of the major sources of morbidity and
mortality data commonly employed in epidemiologic studies of environmental phenomena. Some of the advantages and disadvantages of these
sources are also discussed.
First, we consider mortality data, a source of information that appears
to be quite straightforward, but in truth is rather complex. The fundamental
resource for mortality data is the death certificate. A standard form for
death certification has been developed by the National Center for Health
Statistics, the agency responsible for the detailed tabulation of all vital
records. The death certificate contains demographic information, such
as the decedent's age, race, sex, place of birth, place of death, place of
usual residence, marital status, and occupation. The medical portion of
the certificate includes data on the immediate and underlying causes of
death and on other significant conditions that may have contributed to
the death. There is also an item indicating whether or not an autopsy
was performed.
There has been a great effort to ensure uniformity in the death certification
process and in the subsequent reporting of death records. In this regard,
the Physician's Handbook on Medical Certification specifies rules for

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John R. Wilkins III and Nancy A. Reiches

recording the cause of death, rules that distinguish between the immediate
cause and the underlying cause (760). The immediate cause of death is
the disease or injury that directly preceded death; the underlying cause,
which is the most important item for epidemiologic studies, is "the
condition that started the sequence of events between normal health and
the immediate cause of death."
Additionally, there are internationally accepted rules for coding the
medical information contained in the death certificate. Numeric codes,
as specified in the International Classification of Diseases (ICD) manuals,
are assigned to each cause on the certificate. The most crucial part of
the coding process is the choice of underlying cause of death, since this
item becomes the officially reported cause. Rules for this section are
outlined in a National Center for Health Statistics publication entitled
"Instructions for Classifying the Underlying Cause of Death, 1979" (767).
However, owing to differences in the way in which physicians complete
the death certificate form, the process of choosing the underlying cause
does involve judgment and is therefore subject to both random and
systematic error.
In addition to outright errors in death certification and coding, there
are some questions inherent in the way mortality data are reported that
bear on their epidemiologic usefulness. One central question involves
the forced choice of a single, underlying cause of death. Published statistics
might lead one to believe that each death is the consequence of just one
disease. However, the majority of death certificates, particularly for older
persons, contain two or more diagnoses. This raises the medical question
of how exact cause of death can be determined in an individual with
multiple, potentially life-threatening infirmities (93). Furthermore, there
is the data-management and statistical problem of tabulating multiple
causes of death, which in practice is seldom done. Although computerization of death records is relatively recent, the coding of cause-ofdeath data into machine-readable form opens up the possibility of routine
tabulations of multiple-cause data (60, 91).
The validity—i.e., the accuracy—of mortality data has been studied
extensively. In this context, questions of validity relate to difficulties in
ascertaining the exact cause of death. This issue is extremely important,
since mortality data are perhaps the primary source of information on
the consequences of illness experiences. For example, in several studies
reported cause of death has been compared with autopsy findings (64,
149) and hospital diagnosis (2). Results of these studies indicate that
complete concordance between clinical diagnosis and stated cause of
death does not exist. Sources of discrepancies have been identified (84),
1
and their effect on subsequently computed mortality statistics estimated

Epidemiologic Approaches to Chemical Hazard Assessment

139

(773). While significant problems with the reliability and validity of death
certificate data have been identified, the utility of this source of information
remains high, assuming that the proper interpretive safeguards are heeded.
Some of these cautions were pointed out in a study that directly compared
the epidemiologic inferences that could be drawn using mortality versus
morbidity data. In this study it was demonstrated that both sources of
data lead to essentially the same conclusions (182).
For examining trends in the occurrence of disease over time or among
selected populations, mortality data are the only resource that satisfies
the criteria of continuity and coverage. As is discussed below, there is
no single source of information on morbidity that is available for an
entire country. In studies of cancer, for example, mortality data have
been employed extensively because such data are assumed to be adequate
surrogates for incidence data. This will be true for any condition for
which the interval between onset of disease and death is reasonably short
and for which the case fatality rate is high. Since mortality data are
comprehensive, it is a reasonably straightforward task to compute death
rates, assuming that appropriate population figures are available. These
rates can then be applied in a variety of analytic models.
Although it is clear that mortality data are not error-free, morbidity
data introduce additional complexities. With the exception of certain
infectious and communicable diseases, incident cases of disease such as
cancer are not reportable to any public health agency. Therefore, only
through specialized programs are incidence data collected. With regard
specifically to cancer cases, there are several data systems that compile
information about individuals with malignant disease. The first such category of data systems is not population based, i.e., not all cases in a
defined or definable population are included. Under these circumstances
it is not possible to compute incidence rates. Despite this limitation,
these systems have provided a substantial portion of our knowledge about
the determinants of cancer. Most of these systems are hospital-based
tumor registries, the purpose of which is to collect a standardized set
of demographic and medical information for each cancer patient treated
at the particular institution (727). However, since patients are not admitted
or referred to hospitals on a random basis, the sample of patients in a
tumor registry is rarely representative of all cancer cases in the community.
Although population-based analyses cannot be done with hospital registry
data, these programs serve several useful research purposes. First, the
health or vital status of patients is monitored over time, thus yielding
data for the computation of survival rates. These are, of course, the
most common endpoints for evaluating the effectiveness of cancer-directed
therapy. Second, registry data allow for studies of specific variables

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Epidemiologic Approaches to Chemical Hazard Assessment

John R. Wilkins III and Nancy A. Reiches

related to prognosis. Third, registries are extremely valuable for locating
subjects for studies of factors related to the occurrence of disease.
An ambitious multiinstitutional tumor registry program has recently
been undertaken in this country. The Centralized Cancer Patient Data
System (CCPDS) is a network of tumor registries at institutions designated
as Comprehensive Cancer Centers by the National Cancer Institute. Data
for all patients treated at these major centers are entered into a common
data base, and follow-up information is obtained annually. Between July
1, 1977 and December 31, 1980, data for 142,079 tumors were registered.
Although these data are not population-based (therefore reflecting the
selection factors intrinsic to referral centers), the value of the CCPDS
lies in the high reliability and validity of the data that are abstracted.
The system has rigid coding categories, a well-defined program of quality
control, frequent training sessions for nonphysician abstractors, and computerized editing of each data item. The data base provides unique opportunities for the study of cancer etiology, particularly with regard to
rare tumors, only a few cases of which may be treated at a single institution
(77).
In addition to tumor registry data, there are some sources of populationbased cancer incidence data in the United States. The largest of these
is the Statistics, Epidemiology, and End Results (SEER) program (234,
235). The purposes of the SEER program include estimating cancer incidence in the U.S., monitoring trends in survival, and identifying etiologic
factors. Each of these can be studied with respect to a variety of demographic and social characteristics of the population. There are 11
geographically defined areas that participate in the program, representing
about 10% of the U.S. population. Although fairly representative of the
entire U.S. population with respect to age, blacks and rural residents
are somewhat underrepresented. This program is an outgrowth of the
End Results program and the National Cancer Surveys (49, 50). Data
are collected for all new malignancies occurring in the study communities.
Cases are identified from hospital charts, pathology reports, radiation
therapy records, death certificates, autopsy reports, tumor registries, and
private laboratories. Complete information about the patient's demographic
characteristics is collected, along with data describing the anatomic site
and histology of the tumor, extent of disease, and first course of therapy.
Active follow-up is maintained for all cases.
Although it has been established that cancer mortality rates are an
acceptable surrogate for incidence rates, programs such as the Third
National Cancer Survey (TNCS) and SEER provide certain information
that cannot be obtained from death records. Most notable in this regard

141

are data on histologic type of the tumor and on stage or extent of disease
at the time of diagnosis. The former is significant because cell type might
be related to etiologic variables. The latter is important because of its
relationship to survival.
B.

Variations of Disease Occurrence in Time

The relation of disease occurrence to time is an important aspect of
any epidemiologic evaluation of chemical hazards. While the occurrence
of disease may be measured in terms of morbidity or mortality, time
itself may be measured in terms of any appropriate dimension (hours,
days, weeks, months, years, etc.). The relation between time and disease
may therefore be viewed from a number of perspectives. In general, this
involves examining fluctuations in disease occurrence that take place
either over relatively short periods of time (e.g., over a number of hours,
days, or weeks) or over relatively longer periods of time (e.g., over a
.number of years or decades). Although the temporal focus of the two
approaches differs, the intent of each view is to gain insight into the
reason or reasons why disease occurrence has fluctuated during the time
period.
7.

Short-Term Fluctuations
When a limited, well-defined, and homogeneous population is subjected
to a single and intense chemical exposure, the effects of such exposure
are likely to be manifested in a matter of minutes, hours, days, or weeks.
Although the average amount of time that elapses before disease appears
will depend on, at least, the mode and intensity of the exposure and on
the toxicity of the agent involved, the pattern of disease occurrence in
time over the short term may be expected to parallel (at least qualitatively)
patterns demonstrated by common-vehicle, point-source epidemics of
microbial origin. Following this type of exposure, such acute outbreaks
may be described by the shape and location in time of their epidemic
curves. Characteristically, onset of disease is explosive in nature; the
epidemic curve is positively skewed (i.e., the distribution of onset times
is log-normal); and the time interval between exposure to the agent and
clincial manifestation of the illness is short. In this regard, Sartwell's
method for estimating median incubation periods for infectious diseases
is a traditional epidemiologic tool (796). Although originally developed
to study temporal patterns of infectious diseases with relatively short
incubation periods, this technique has been successfully applied to various
neoplastic diseases resulting from certain chemical exposures, including

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John R. Wilkins III and Nancy A. Reiches

Epidemiologic Approaches to Chemical Hazard Assessment

angiosarcoma of the liver following exposure to vinyl chloride (205, 275)
and tumors of the urinary bladder following exposure to dyestuff intermediates (4).
Thus, conventional epidemiologic methods pertaining to the investigation
,of common-vehicle, point-source epidemics of infectious diseases may
be appropriately applied to the study of acute outbreaks of chemically
related illness. When the conditions of exposure previously set forth
prevail (i.e., single and intense exposure of a limited, well-defined, and
^homogeneous population), the epidemiologic interpretation is usually
Straightforward, because cause and effect are close in time (192). However,
when the introduction of the toxicant into the population is gradual or
intermittent, and thus occurs over a long period of time, the incubation,
or latent, period is likely to be measured in years or decades rather than
in hours, days, or months. In this case, the epidemiologic interpretation,
i.e., the linking of cause and effect, is much more difficult.

human origin (i.e., an increase or a decrease in a death rate over time
may be artifactual), or that changes in mortality over time may indeed
reflect a true change in the incidence of the disease. Real changes in
death rates, of course, may result when the genetic composition of a
population changes (possibly the result of population migration or the
dilution of genetic isolates), or when the environmental milieu changes.
Real changes in mortality may also result when the age distribution of
a population shifts or when the case fatality rate for a given disease
changes.
Before it can be concluded that changes in mortality rates are real,
however, alternative explanations should be ruled out. In this context,
at least two sources of error, both of which relate to the numerator of
a death rate, must be considered. First, medical advances are likely to
result in more accurate methods of diagnosis, which in turn might yield
more precise determination of underlying cause of death. Consequently,
a decline in the degree of misclassification of the underlying cause of
death for a specific cause may result in an apparent, but spurious, decline
in the cause-specific mortality rate. For example, improvement over time
in the ability to identify correctly the primary site of malignant tumors
in all likelihood explains the steady decline in mortality from primary
cancer of the liver over the past 40 years.
Misleading trends in death rates may also result from revisions in the
ICD, which occur approximately every 10 years. These revisions may
involve either changes in the way various disease entities are defined or
changes in the actual numerical code, or both. For example, Percy et
al. (772) demonstrated that the 10% increase in the number of lung cancer
deaths reported in 1968 over the number reported in 1967 was the result
of a procedural change in the classification of malignant neoplasms that
emphasized coding to a specific site rather than, as had been practiced
before 1968, coding to unspecified or unknown categories. In general,
changes in mortality that result from ICD revisions are likely to be quite
striking and readily identified as such. With respect to changes in mortality
rates that result from improved diagnostic methods, however, the evaluation
is much more difficult. Specific techniques have been suggested in this
regard (128).
The denominator of a death rate, i.e., the estimated population at risk,
is also subject to error. This error is usually one of underestimation, the
net effect of which is an artificial inflation of the rate. If the degree of
error in population enumeration varies from census to census, a misleading
trend in mortality may be observed. To complicate the picture further,
inaccuracies in the census may not be of consistent magnitude across
age, race, and sex groups (203).

2. Long-Term Variations
The epidemiologic view of time and disease also involves the examination
of changes in disease frequency over long periods of time. These "secular
.trends" are usually investigated in terms of mortality rates because adequate
morbidity data are rarely available. For example, examination of the
temporal trends in sex- and site-specific cancer mortality rates for the
years 1930-1978 reveals several patterns worthy of further investigation.
Particularly notable are the decline in gastric cancer mortality for both
males and females and the disproportionate increase in lung cancer mortality
among females as compared to males (204). By contrast, other neoplasms
such as pancreas, bladder, and esophagus show little change over the
time period. The observed increases in cancer mortality have raised questions about the role of chemicals in the human environment.
One such question focuses on toxic chemicals, the chemical industry,
' and their relation to recent temporal trends in cancer rates (57, 779, 206,
277). A related question focuses on quantifying the proportion of all
cancers attributable to "environmental" factors (29, 98, 99, 101, 232).
Although quite a debate has ensued and several articles addressing these
issues have been published, there seems to be, at present, little chance
of reaching definitive conclusions in the near future, given the overwhelming
lack of relevant scientific knowledge.
Part of the debate alluded to above involves the interpretation of
observed time trends in mortality rates. Although specific guidelines and
techniques have been proposed (123, 128), the importance of systematically
-..evaluating such trends is not always appreciated. It must be recognized
that apparent changes in mortality over time may result from errors of

143

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Finally, we introduce a note of caution with regard to the interpretation
of time trends in mortality rates. If it is observed that an increase in
some disease is paralleled by a concomitant increase in some measure
of a putative risk factor (and if it can be shown that the increase in
disease is not artifactual), then can such an observation be used to
support an argument of causality for the hypothesized factor? The answer
is no, although one can legitimately say that such a result is not inconsistent
with the stated hypothesis. If, on the other hand, there is no coincident
rise (or fall) in the disease and the "risk factor," can it then be legitimately
concluded that no causal link exists? The answer to this particular question
is an emphatic no. Even if artifact is considered and judged negligible
or somehow appropriately adjusted for, the general approach is sufficiently
insensitive to support the hypothesis of no effect. Furthermore, it must
be kept in mind that the results of time-trend analyses are only a small
part of the overall process of making judgments about the causal role
of some putative risk factor. In essence, time-trend analyses are most
appropriate when the purpose is to generate hypotheses of cause and
effect, not to test them.
3.

Epidemiologic Approaches to Chemical Hazard Assessment

John R. Wilkins III and Nancy A. Reiches

Other Perspectives of Disease and Time
Although acute outbreaks of disease and secular trends in mortality
dominate epidemiologic interest regarding disease versus time considerations, other perspectives may be taken. For example, many diseases
(including infectious and noninfectious ones) show some sort of cyclic
or repetitious pattern of occurrence in time. While the focus of study in
this context has been primarily on infectious conditions and their seasonal
periodicity in relation to insect vectors and certain human activities,
studies of various noninfectious diseases of early life [e.g., congenital
anomalies (62)] have revealed variations in risk by season of birth, suggesting the possible influence of environmental factors operating in utero
or in the early postnatal period (112, 128, 140).
Another view of disease and time involves the investigation of temporal
"clustering," i.e., the detection of epidemics (transient excesses in the
incidence or prevalence of a disease or condition). In this regard, simple
epidemic curves may be constructed, or more sophisticated methods like
the scan statistic (762, 222, 226) may be applied. A related and somewhat
broader view involves the examination of clusters of disease in time and
space. So-called space-time clusters have been of interest with respect
to several diseases, including leukemia (113, 122, 216) and Hodgkin's
disease (220). Several statistical methods are available to test the significance
of space-time clusters (134, 167, 176), although an in-depth discussion
of these is beyond the scope of this article.

C.

145

Variations in Disease Occurrence from Place to Place

The examination of geographic patterns of disease occurrence also
plays an important role in the epidemiologic evaluation of chemical hazards.
A number of strategies may be employed, each generally involving differing
definitions of "place." In this regard, in order to determine if differences
in disease occurrence exist among different geographic areas, basically
two types of comparisons can be made: groups of countries may be
compared with respect to available morbidity and/or mortality figures;
or, comparisons of disease rates may be made on an intracountry basis.
1. Intercountry Comparisons
Differences between countries with respect to the occurrence of many
diseases can be quite striking. For example, when cancer incidence rates
(for both sexes and all sites combined) are compared worldwide, a threefold
difference is obtained when the highest risk countries are contrasted with
the lowest risk countries (59, 759, 224). When comparisons of high-risk
and low-risk nations are of a sex- and site-specific nature, extremes in
cancer incidence may vary by as much as a factor of more than 500
(232). Significant differences between countries with respect to cancer
mortality have also been documented (799, 252). While racial or genetic
differences among the populations compared, plus other endogenous
factors, account for some of the observed variation between countries
in cancer incidence and mortality, the magnitude of many of the differences
suggests the influence of environmental factors (57, 232). Disease rates
in the lowest risk countries may be considered "baseline" (i.e., spontaneous
or genetically determined) levels of cancer. Thus, the amount of cancer
(or other disease) above such "natural" levels may be the result of the
action of environmental forces (759, 232). This particular inference, as
some have argued (29,30,69), implicates exposures of human populations
to chemical carcinogens. Others involved in the debate over the proportion
of all cancers due to "environmental" factors have, however, used the
word environmental in a much broader context—as a synonym for any
extrinsic or exogenous exposure (98-100, 232). Thus, references to environmental factors, it must be emphasized, relate not only to chemical
pollutants but also to physical carcinogenic agents such as ionizing radiation,
biological carcinogenic agents such as tumor viruses, and life-style influences such as diet and behavior (7).
Although the results of international comparisons of disease rates have
relatively limited epidemiologic utility, the exercise can serve the very
useful purpose of generating hypotheses of cause and effect; it may even
suggest preventive strategies (759). Moreover, once it can be established

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that observed differences among countries are not spurious, studies of
migrant populations may then be initiated to attempt a separation of the
influence of genetic factors from that of environmental factors (95, 111,
116).

2. Intracountty Comparisons
Many diseases, for example, most forms of cancer (25, 104, 138), cardiovascular disease (70), and multiple sclerosis (3), to name a few, show
a marked geographic variation in frequency when comparisons are made
on an intracduntry basis. Unlike intercountry comparisons, however,
where the size of the geographic unit of analysis is fixed by national
boundaries, intracountry comparisons may be performed at many levels;
theoretically, any geographic unit, from the largest of subnational units
(regions or states) to the smallest of subnational units (census tracts,
block groups, or the like), may be used. In practical terms, though, it
is usually necessary to select for study a geographic unit that best satisfies
the need to compare populations that are as homogeneous as possible
and, at the same time, large enough to yield stable disease rates. As
Hoover el al. (103) and Blot and Fraumeni (27) indicate, the optimal
geographic unit of study seems to be the county, at least when epidemiologic
interest centers on environmental causes of cancer. The initial work of
Mason and McKay (737, 738) illustrates the approach.
a. Mapping Cancer Death Rates. For the period 1950-1969, age-,
race-, sex-, and site-specific cancer mortality rates were computed from
National Center for Health Statistics death certificate data and U.S.
Census figures for each of the 3056 contiguous U.S. counties (737). To
allow valid comparisons among the counties, the death rates were agestandardized to the 1960 U.S. population, yielding average annual race-,
sex-, site-, and county-specific rates for the 20-year period. From these
summary data, an atlas of cancer mortality, color-coded to five levels,
was created by comparing statistically each subgroup-specific county rate
to the appropriate national rate and by, at the same time, classifying the
rates into deciles (738). For the rarer malignancies, state economic areas
(defined as groups of similar, contiguous counties) were used as the
geographic unit of analysis. Virtually all of the resultant maps demonstrated
that cancer death rates vary in magnitude across U.S. counties (or across
state economic areas) in a nonrandom fashion. Furthermore, the number
of identifiable "clusters" of high (or low) rate counties, the size of a
given cluster, and the location of clustering depends on both the site of
disease and on the sex-race subgroup examined. Striking geographic

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patterns emerged for several malignancies, including, notably, cancers
of the bladder, esophagus, lung, stomach, and oral cavity.
This mapping approach is quite useful for a number of reasons. First,
from a technical point of view, a large amount of data can be analyzed
by computer relatively quickly and inexpensively. Second, because the
data are presented visually, high-risk populations can be identified rapidly,
which in turn, provides a firm basis to form causal hypotheses that can
then be pursued by other means. Furthermore, mapping studies, sometimes
referred to as the geographic pathology approach (87), serve as an important
first step in a logical sequence of epidemiologic studies based on countylevel cancer mortality data (24).
b. Correlation Studies. Although the benefits of mapping disease
rates are clear, the identification of high-disease areas by this technique
creates somewhat of an interpretational dilemma. Can the disease clustering
be explained by the demographic and/or genetic characteristics of the
people that inhabit the area, or are the chemical, physical, and biological
(i.e., environmental) characteristics of the place responsible for the elevated
disease rates in the resident population, or is the explanation some combination of these two factors? These questions give rise to a class of
investigations often referred to loosely as "correlation" studies. The
purpose of this type of study, simply stated, is to identify those demographic
and environmental characteristics of the populations in question that
covary with the disease rates, thereby providing etiologic clues. Such
studies rely primarily on routinely collected data, such as U.S. Census
figures and death certificate data. Quantitatively, although numerous statistical methods may be employed, correlation studies fall basically into
one of two general categories: studies that employ standard univariate
methods of analysis, i.e., studies that use the bivariate correlation coefficient
to measure association between a single factor and a disease; and studies
that employ multivariate methods of analysis. This typically involves the
investigation of multiple risk factors for disease with standard multiple
regression techniques.
Schroeder's paper on various chemical and physical properties of finished
drinking water and cardiovascular disease mortality exemplifies the univariate approach (198). In this study, average annual age-adjusted mortality
rates from cardiovascular disease for the period 1949-1951 for white
males aged 45-64 years were plotted as a function of the average drinking
water hardness in the 48 contiguous United States plus the District of
Columbia. Bivariate correlation coefficients were computed for four categories of cardiovascular disease and for all causes of death combined;

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four of the five correlation coefficients were negative in sign and were
statistically significant at the p &lt; 0.01 level. A similar analysis of coronary
heart disease and 21 constituents of water in the 163 largest U.S. cities
yielded highly significant (negative) correlation coefficients for magnesium,
calcium, bicarbonate, sulfate, fluoride, dissolved solids, specific conductance, and pH, prompting Schroeder to write "the data offer a clue
to an environmental influence associated with the nature of public water
supplies which affects adversely the course of degenerative cardiovascular
diseases in the United States."
This particular approach (i.e., the use of bivariate correlation coefficients
to measure association between some factor and some disease) has some
notable limitations. First, the magnitude of a correlation coefficient can
be affected significantly by the size of the geographic unit used for
analysis. Although the phenomenon is not always appreciated, the simple
aggregation of geographic areas into larger units will usually result in an
increase in the size of the correlation coefficient, an increase which can,
in reality, be quite large. As Blalock (18) explains, a shift from smaller
to larger geographic units will tend to reduce the effect of so-called
nuisance variables, variables that are causally related to Y (the dependent
variable of interest, i.e., disease) but that are unidentifiable and/or unmeasurable. Thus, as geographic areas are aggregrated they become more
homogeneous with respect to the nuisance variables, which in turn allows
the single independent variable of interest (X) to account for, or "explain,"
a greater proportion of the variation in Y. It is not surprising, therefore,
that a fairly high (negative) correlation between hardness of drinking
water and cardiovascular disease can be obtained when comparisons are
made on a state-by-state basis, while the association, in general, disappears
as the geographic unit of study gets smaller and smaller (43).
Another important consideration is that the correlation coefficient itself
does not measure the strength of an association, but merely reflects the
degree of dispersion of the data points about a straight line. Since it is
the regression, not the correlation, coefficient that measures the effect
of changes in X on Y, its use is preferred as a measure of association
between factor and disease. Further, the magnitude of a regression coefficient (i.e., the slope of a line in a bivariate analysis) is theoretically
not influenced by shifts in the size of the geographic unit of study.
The univariate approach discussed above, whether correlation or
regression coefficients are used, cannot deal with the complex of factors
related to the occurrence of human disease. Consequently, in order to
help identify the cause (or causes) of environmentally related illness, a
multivariate approach must be employed. In general, this involves the
application of standard multiple regression techniques, a strategy based

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on the assumption that disease rates (e.g., county-level cancer mortality
rates) can be expressed as a linear or nonlinear function of a set of
demographic, socioeconomic, and environmental characteristics of the
population(s) in question.
To illustrate, once maps of county-level cancer mortality data reveal
geographic clusters of elevated death rates for specific neoplasms, multiple
regression studies may be performed to identify those demographic, socioeconomic, and environmental characteristics of the apparent high-risk
populations that are statistically related to the cancer death rates (2723, 76). The county-level cancer mortality data [their origin described
earlier (137)] are treated as dependent variables in regression equations,
and relevant county-level demographic, socioeconomic, and environmental
data are entered as independent or predictor variables. Statistical significance of regression coefficients indicates which variables are significantly
associated with the cancer rates, while the sign of each coefficient indicates
the direction of the association. The county-level demographic, socioeconomic, and environmental data are obtained from such sources as
U.S. Census publications and computer tapes. Quantities such as percentage of the population that is nonwhite, percentage that is urban,
percentage residing on farms, population density, median family income,
median number of school years completed by the adult population, percentage foreign stock, and various industrial indexes [derived from the
U.S. Census of Manufactures (279)] are typically included in regression
equations. For example, after controlling for the effects of demographic
and socioeconomic differences, Blot and Fraumeni (21) found lung cancer
mortality rates in white men to be significantly high in those U.S. counties
where the paper, chemical, petroleum, and transportation industries tended
to concentrate. Interestingly, death rates from lung cancer among white
females were found not to be significantly associated with any of the
industrial indices examined, a result consistent with the hypothesis that
occupational exposures account for a measurable proportion of all lung
cancer deaths.
A methodologically similar study by Blot and Fraumeni (23) reported
a statistically significant (positive) association between cancer of the
urinary bladder among white males and the geographic concentration of
the chemical and printing industries. As with their lung cancer study,
industrial indices were found not to be related to bladder cancer mortality
in white females. Comparable studies, one of which describes their method
in detail (22), have investigated demographic, socioeconomic, and industrial
correlates of oral (22) and esophageal (76) cancers.
The initial focus of the multivariate approach described above is on
a specific disease (or possibly on a group of diseases). In other words.

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given a specific health outcome, a study is made to identify demographic,
socioeconomic, and environmental factors of potential etiologic significance.
It is possible, however, to reverse this logic by asking the following
question: Given an a priori interest in a specific risk factor, what disease
or group of diseases could be related to the factor in question? Thus,
the initial focus of a correlation study might be on some environmental
variable, perhaps a certain chemical exposure, rather than on a specific
health effect. This approach, which generally utilizes the same multiple
regression techniques discussed above, has been applied primarily to the
investigation of various industries and/or occupations suspected of being
cancer hazards (87,211), including the chemical (102), petroleum (79),
metal electroplating (17), and furniture (32) industries. Studies of this
kind have also addressed the possible cancer risk associated with the
contamination of water by asbestos (739), fluoride (105), and organic
chemicals (228)', of air by arsenical compounds (20); and of soil by
uranium mill tailings (136).
c. Nature of the Ecologic Study. The correlation studies referred
to above, whether analyzed in univariate or multivariate fashion, share
a very important characteristic: the data employed, and this relates to
both the independent and the dependent variables, are in aggregate form,
i.e., they (the data) are organized at a group level, thus providing information about human populations in a collective sense. Quantities derived
from U.S. Census data, such as the proportion of a county population
employed in a given industry, illustrate the point. Thus, investigations
that rely on group- or aggregate-level data are commonly referred to as
"ecologic studies," a descriptor having origins in the social sciences (61,
89, 150, 184).
Ecologic studies, by virtue of their use of aggregate-level data, possess
various limitations. A major concern in this regard pertains to the interpretation of the results of an ecologic analysis. First and foremost, since
study subjects cannot be classified on an individual basis with respect
to the study variables, any results suggesting an association between
some factor and some disease must be regarded as indirect and therefore
not conclusive. It should be appreciated that the interpretation of ecologic
data is subject to an "ecologic fallacy," in this case, the error of ascribing
to individuals associations or characteristics based on an analysis of
aggregate-level data. This particular fallacy, the "aggregative fallacy,"
pertains to improper inferences made from the aggregate to the disaggregate
(212). Improper inferences may also be made in the other direction, i.e.,
from the disaggregate to the aggregate; this type of ecologic fallacy is
referred to as the "atomistic fallacy" (2/2). Ecologic studies, therefore,
cannot be used to test formally some hypothesis of cause and effect.

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151

They can, however, be used quite successfully to generate clues to the
etiology of disease, clues that are pursued by more rigorous methods of
study.
Ecologic analyses are fraught with other methodologic problems. These
include:
1. Inability to incorporate the concept of a latent period. It will usually
not be possible with routine data to construct a proper temporal relationship
between measures of the hypothesized cause and measures of the hypothesized effect, i.e., it may not be possible to take into account a
latent period—the time between the biologic onset of disease and its
clinical manifestation (792). For example, in studies (720, 170) of cancer
and organic chemical contamination of public drinking water supplies,
data on the hypothesized cause (drinking water) pertained to 1963 and
data on the hypothesized effect (cancer mortality) pertained to the 20year period, 1950-1969. In this case, for the measure of cause to precede
in time in an appropriate fashion the measure of effect, the drinking
water data should have pertained to a time period well before the 19501969 vicennium. The actual magnitude of a latent period to incorporate
into such an analysis depends, of course, on the specific chemical agent
and disease in question, as well as on the nature of the exposure. Moreover,
if the study period overlaps with the latency period, regardless of when
population exposures occurred, the full effect of the exposure cannot be
determined because not all cases of disease attributable to the exposure
will have had time to become manifest.
2. Artificial nature of the boundaries of geographic units of study.
Geographic areas demarcated by natural boundaries such as mountain
ranges or major rivers, as contrasted to areas defined by political or
administrative boundaries, are more likely to be homogeneous with respect
to demographic and environmental characteristics of etiologic significance,
and thus would be more likely to define areas of high (or low) disease
occurrence. The boundaries of most (though not all) states, counties,
cities, etc. do not coincide with natural boundaries. Therefore, the artificial
and arbitrary nature of politically established geographic areas creates
problems in ecologic analyses because such boundaries may either subdivide homogeneous regions or combine heterogeneous ones (140). Further,
it may not even be possible to obtain data on all variables of interest
for a given type of areal unit. This creates a comparability problem,
which may be compounded if the political/administrative boundaries shift
over time. Such changes may then preclude any investigation of the
temporal relationship between an exposure and a disease (209).
3. Difficulties in measuring human exposures to toxic chemicals in
ecologic studies. With the kind of data typically available for use in
ecologic studies it will usually only be possible to employ fairly crude

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measures of human exposure to toxic chemicals. In general, such measures
will be indirect (rather than direct) and qualitative (rather than quantitative).
Since ecologic measures of exposure are in aggregate form, like the other
variables in an ecologic study, they cannot be truly representative of the
exposure experience of individuals comprising the study population. This
aspect of conducting epidemiologic studies of chemical hazards is discussed
in more detail in Section IV.
4. Effects of population migration. Migration of people between geographic areas will affect adversely the sensitivity of an ecologic study.
As Polissar (178) points out, a geographic area assumed to'be inhabited
entirely by a so-called exposed population is actually inhabited by some
who are and by some who are not exposed to the agent or factor in
question because of in-migration of unexposed people. Polissar demonstrates how one measure of disease risk, the Standardized Mortality
(or Morbidity) Ratio (SMR), can be affected by differing degrees of
migration. He shows, with some simplifying assumptions, that the SMR
is a function of (i) the proportion of the exposed population that is truly
exposed because they have not migrated, (ii) the size of the exposed
population, (iii) the rate of death or disease in the control (unexposed)
population, and (iv) the ratio of death or disease in the exposed population
to that in the control (unexposed) population. Polissar also shows that
the magnitude of excess risk observed in ecologic studies in the presence
of migration varies with the age of the population, the particular disease
in question, the duration of the latency period, and the type of geographic
unit used for study.
5. Some technical issues. Most of the technical (statistical) problems
in ecologic analyses relate to assumptions associated with any multiple
regression problem. In many cases, underlying assumptions of the general
linear (or nonlinear) model cannot be met strictly by the data. These
include assumptions of normality with respect to predictor and dependent
variables, homoscedasticity of variances, and independence of observations. Fortunately, the regression model is quite robust with respect
to the first two assumptions, i.e., they can be violated substantially before
the validity of results is threatened. The third assumption, however, can
pose serious problems. In many instances, the distributions of two or
more predictor variables are not independent, which means that they
are correlated. This situation adversely affects the estimates of the regression coefficients and their subsequent interpretation. In many cases,
however, this problem, called multicollinearity, can be solved by the use
of two-stage or even three-stage least squares, rather than ordinary least
squares, regression.
Perhaps the most serious problem in ecologic analyses relates to the
question of specification of the model to be evaluated. If a predictor

153

variable that is significantly related to the dependent variable is omitted
(owing to lack of data or lack of knowledge that the variable is important),
specification errors will result. If the omitted variable is correlated with
a variable that is specified in the equation, the included variable will
appear to be more strongly related to the dependent measure than is
actually the case. If this occurs, a variable might erroneously be associated
with the disease under consideration. Errors of this type in hypothesisgenerating studies can be dangerous, since they will mislead the investigator
and probably result in an untenable etiologic hypothesis. Unfortunately,
there is rarely enough knowledge available at the time of a preliminary
study to determine whether a specification error has indeed occurred.
However, the possibility emphasizes the caution noted earlier that causal
inferences cannot be drawn from correlational results, but that such
findings must be regarded as tentative.
Once descriptive epidemiologic tools have generated hypotheses regarding the potential adverse effects of chemical exposures on human
health, studies will then be conducted to'test formally such hypotheses.
Studies of this type, "analytic" studies, require individual-level data on
the traits and characteristics of study subjects. With such disaggregate
data it will be possible, as it is not in ecologic studies, to classify each
study subject with respect to the study variables.
III.

TESTING ETIOLOGIC HYPOTHESES: AN OVERVIEW OF
ANALYTIC APPROACHES

In this section the major analytic approaches typically employed to
estimate potential associations between an exposure and a defined health
outcome are discussed. The two primary methods can be distinguished
on the basis of how the study samples are selected. In the case-control
approach, individuals with a specific disease are compared with persons
believed to be free of the condition under study. The cohort approach
evaluates the occurrence of disease within a group defined in terms of
characteristics prior to the diagnosis of disease. Both cohort and casecontrol methods can be defined further on the basis of whether the study
is conducted retrospectively or prospectively. Many case-control studies
are conducted retrospectively, i.e., the data collected are historical in
nature. However, it is also possible to conduct prospective case-control
analyses, in which the sample is accumulated over time as new cases
of the disease occur. Cohort studies can also be conducted forward or
backward in time. In either case, the distinguishing characteristic of
such analyses is the long-term observation of a group of people, which
is accomplished by prospective monitoring of the study subjects or by

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John R. Wilkins IH and Nancy A. Reiches

historically tracing the experience of the sample over a defined time
interval. Prospective cohort studies are sometimes referred to as concurrent
studies, while historical cohort analyses may be called nonconcurrent
(123). The major features of each analytic model and some of their
relative advantages and disadvantages are now described.
A.

Case-Control Studies

Case-control studies are an excellent method for evaluating the relationship of an exposure or hypothesized etiologic factor to the occurrence
of disease. In its most fundamental form, the purpose of a case-control
study is to determine whether individuals with a disease are more (or
less) likely to possess some characteristic (or exposure) than persons
without the disease. These studies are designed to assess whether exposure
to some factor of interest places individuals at higher risk of disease than
those individuals not exposed. Statistical techniques applied to data from
case-control studies can evaluate risk associated with two or more levels
of exposure.
Perhaps most fundamental to the conduct of a case-control study are
those issues that bear on the selection of the study subjects. In selecting
cases it is essential to confirm that the potential subject is indeed a case,
i.e., that he or she strictly meets the diagnostic criteria of the condition
under study. With respect to studies of cancer, for example, such confirmation could be in the form of microscopic pathologic analysis of a
tissue sample, rather than merely a clinical or radiologic diagnosis. Even
under conditions of laboratory confirmation, misclassification can occur,
so it is important to minimize this bias, where feasible (63). Furthermore,
it has been suggested that cases have a reasonable probability that
their disease might have been caused by the hypothesized agent, and
not by another identifiable factor (109).
Cases can be identified through several sources. These include all
persons (or more usually a probability sample of persons) diagnosed
during a specified period of time in a given community or in a single
hospital or group of hospitals. Often it is more practical to identify cases
through the records of one or just a few medical care facilities. However,
this can introduce a bias into the sample, since there are systematic
selection factors that guide certain individuals to a particular facility. If
such a bias is present, study cases will not be representative of the entire
population of persons with the disease, possibly leading to erroneous
inferences about the etiologic factor of concern. In principle, sampling
cases from a general population has great theoretical appeal, but can be
laborious and expensive. To the extent possible, the assumption of rep-

Epidemiologic Approaches to Chemical Hazard Assessment

155

resentativeness should be met or the possible extent of bias estimated.
Even with a condition such as cancer, certain nonrandom cases do escape
medical attention.
The question of selecting appropriate controls poses even more difficult
questions. Simply defined, a control is an individual with no clinical
evidence of the disease under study. Ideally, the control group will be
a representative sample of disease-free persons. Furthermore, it is desirable
that the controls be members of the same general population from which
the cases derive. Control groups can be selected from several sources.
These include hospital patients, residents of the same geographic area
as the cases, and relatives or other associates of the cases. Selecting
cases from the same geographic area is appropriate if the cases are
representative of that population. Hospital controls are often used since
they are a relatively easy source to obtain. The major disadvantage of
this source is simply that hospitalized persons are ill and may therefore
be unrepresentative of the general population with respect to a complex
of illness-related factors. This may introduce a particular type of selection
bias, especially if many of the controls are of a similar diagnostic group.
This effect may be minimized by choosing controls from several diagnostic
categories (41, 135). The extent of selection bias has long been known
(94) and has been comprehensively discussed (10). Although selection
biases do not necessarily invalidate study findings, one must carefully
interpret whether an observed association is likely to be real or spurious
(34, 58).
Another significant issue with regard to the selection of cases and
controls involves the question of matching. Since the purpose of a casecontrol study is to measure the effect of a defined exposure, it is desirable
to eliminate by design those factors that might potentially confound the
results. Matching is a process of selecting controls known to be similar
to the cases with regard to specific characteristics such as age, race,
sex, or socioeconomic status. Effects of variables known to be associated
with both the disease and the study factors can be controlled by matching
(752). The primary disadvantage of matching is that the etiologic role of
the matching variable cannot be evaluated, since, by definition, cases
and controls are alike with regard to that characteristic. Also, matching
can increase the complexity of a study, with respect to both design and
analysis (13, 14,143). Finally, there is a risk of overmatching or unnecessary
matching. In general, inappropriate matching can reduce the statistical
efficiency of the case-control comparison (757, 200).
Collecting accurate and valid information on exposure for both cases
and controls is a crucial aspect of case-control studies, since resulting
estimates of risk are directly related to these measures. The precise

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John R. Wilkins III and Nancy A. Reiches

meaning of exposure (to be expanded on in Section IV) must be defined,
with regard to both intensity and duration. Most importantly, the exposure
information must be comparable, with respect to reliability and validity,
for cases and controls. If the data are incomplete, spurious associations
will result.
Medical or vital statistics records and interviews with study subjects
provide the major sources of exposure data; both sources entail potential
biases. For example, as discussed earlier, there are possible sources of
error with public records, such as death certificates. Clinical records may
exhibit some of the same problems, or they may simply be incomplete
with regard to data concerning the exposure of interest. Since the purpose
of the record is to chart the clinical course of disease, information required
to study other phenomena may not be available (72). Additionally, questions
of validity of data recorded in the medical record have been raised (7/5).
Finally, reliable (reproducible) abstracting of clinical data from existing
records cannot always be achieved (28). Despite these potential limitations,
the medical record remains a key source of data regarding exposure; its
intrinsic value in the study of disease etiology is unchallenged (779).
Data collected by interviewing cases and controls also presents some
possible biases, but this method also assumes great importance in epidemiologic analyses. Information obtained through personal interviews
(or self-administered questionnaires) is subject to the pitfalls of faulty
respondent memory, unintentional errors in reporting, or outright prevarication. Bias might occur, for example, if the occurrence of disease
has prompted the respondent to recall certain related information that
might otherwise have been forgotten. If corresponding information does
not emerge for the control, a bias is introduced (194). Further, the passage
of time since the relevant event might affect the validity of the reported
information (270). In other instances respondents might have been unaware
of exposure and consequently are unable to report it. A number of studies
have been conducted to evaluate the reliability and validity of self-reported
data, many of which offer encouraging results (67, 114, 187).
Errors in the collection of exposure data or noncomparabilities of data
between cases and controls can result in serious misclassification problems,
i.e., erroneously determining an individual's exposure status. The result
of misclassification is an inaccurate estimate of risk. It has long been
appreciated that even random and independent errors can reduce the
measured association between exposure and outcome (33, 164). This
topic has been reviewed extensively, and methods to adjust for misclassification under specified conditions have been proposed (45,85,110).
Careful attention to study design can preclude or diminish many errors

157

of misclassification. Standardized provisions for data collection may at
least ensure a high degree of reliability, a major prerequisite for validity.
The analysis of data from a case-control study is primarily a comparison
between cases and controls regarding the presence of hypothesized etiologic
factors in each group. Results of these analyses indicate whether there
is an association between the factor and disease. In principle, one desires
to estimate the relative risk associated with exposure (i.e., the incidence
rate among those with the factor divided by the incidence rate for persons
without the factor). However, the method by which cases and controls
are assembled does not include all exposed and all unexposed individuals.
Consequently, the incidence rates of interest cannot be calculated. If,
however, assumptions about the representativeness of cases and controls
can be met, a measure known as the odds ratio can be computed as an
estimate of relative risk (46, 47). In the simplest case, data from a casecontrol study can be presented in the form of a 2 x 2 table, with columns
representing the classification of cases and controls, and rows representing
the presence or absence of the exposure factor (Fig. 1).
The odds ratio, given by the expression (ad)/(bc), summarizes the
probabilities of having or not having disease. The statistical properties
of the odds ratio have been analyzed extensively. Numerous methods
have been proposed for tests of significance (83, 230) and for approximating
confidence intervals (46, 96, 214). Furthermore, there are techniques to
adjust the odds ratio for the effects of confounding variables through
stratification (75, 90, 135). Appropriate statistical management of the
odds ratio also depends on the degree of matching in the study design
(148). In addition to stratification, control can be introduced by logistic
Status of study subject
Case

Control

' Present

a

b

Absent

c

d

a + c

b + d

Exposure •

a+b+c+d

Fig. 1. Cross-classification of subjects in a case-control study.

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John R. Wilkins in and Nancy A. Reiches
Epidemiologic Approaches to Chemical Hazard Assessment

models, which permit adjustment for variables that were not matched in
the study design (31, 180).
The epidemiologic literature is replete with examples of investigations
employing the full range of study designs and analytic techniques described
above. For example, death certificates were used as a primary source
of data in an analysis of sinonasal cancer among males (193), for which
several chemical agents are hypothesized etiologic factors. Exposure to
a variety of agents was inferred from occupational data on the death
certificate; complete occupational histories and quantitative exposure
data were not available. However, probability of exposure to nickel,
cutting oils, and wood dust was estimated from occupational titles and
industry of work. The odds ratio computed for nickel exposure was not
statistically significant, but was with respect to cutting oils and wood
dusts.
An example of the evaluation of a multiplicity of factors can be found
in an ambitious study of bladder cancer (706). The effects of several
exposures, including tobacco, coffee, various nutrients and nitrates in
food, and occupation were estimated. A logistic model was used to deal
with the multivariate design, thereby affording an opportunity to measure
the independent effects of exposures, their interaction, and the effects
of confounding variables. The applicability of case-control studies to
provide preliminary information that might account for an unusual cluster
of cases is demonstrated by an analysis of mortality from pancreatic
carcinoma (775). Although the findings are somewhat constrained by the
limited residential and occupational information available on the death
certificate, a significant odds ratio was obtained for persons who worked
in oil refining or paper manufacturing. A small effect was detected among
persons living near refineries. A study of this type is useful for defining
requirements for a more extensive interview study and is particularly
interesting because of the implication of occupational and ambient environmental risk. Finally, the conduct of an interview study is shown in
an analysis of exposure to artificial sweeteners (157), and the use of more
than one control series is demonstrated in another investigation of pancreatic cancer (729).
B. Cohort Studies
The second major approach in analytic epidemiology is the cohort
study, of which the primary design features are discussed here. Although
cohort studies differ from case-control studies with respect to the way
in which study subjects are selected, the majority of issues that pertain
to the validity and analysis of data obtained in cohort studies are equivalent

159

to the issues considered with respect to the case-control method. Specifically, similar and equal attention should be given to the representativeness of the sample, the effects of both disease status and exposure
misclassification, other selection biases, sources of exposure data, and
problems of confounding variables. Indeed, many of the statistical approaches to the resulting data are the same, or entail the same assumptions,
and therefore are not considered in detail here.
The basic concept of a cohort study is relatively straightforward. A
sample of a population is selected, and it is determined which members
of the cohort possess the study characteristic or are exposed to the
hypothesized etiologic agent. The cohort is then followed over time, and
the incidence rate of the disease under consideration is calculated for
the exposed group and for the unexposed group. If the rate of disease
is higher among those exposed, an association between the risk factor
and disease is inferred. In the retrospective, or nonconcurrent, cohort
approach, the period of observation is historical, a method often used
to study specially exposed groups such as industrial populations. Several
examples of this method will be discussed in the context of measuring
response by computing standardized and proportionate mortality ratios
(Section IV). One difficulty in retrospectively assembling a cohort is in
assuring that all members can be identified. Sometimes, comprehensive
data are not available (37, 221), thus limiting the generalizability of the
findings.
In addition to special exposure groups, cohorts can be defined because
they can be followed over time and because methods for identifying
outcomes of interest are available. Examples of groups that have been
studied include persons enrolled in prepaid medical care plans, groups
of insured persons, obstetric populations, and volunteer groups. Additionally, a cohort may be defined on the basis of geography, such as all
members of a specifc community.
One of the most crucial aspects of a cohort study relates to followup, i.e., the task of determining outcome, usually the appearance of
morbidity or mortality. It is important that determination of outcome be
equally complete for exposed and unexposed cohort members, or for
cohort members in each level of exposure in the nondichotomous case.
Otherwise, measures of association between exposure and disease will
be biased. Therefore, it is important to establish a follow-up (or tracing)
mechanism that applies equally to all study subjects, whether the surveillance entails review of routine records or special data collection
efforts.
The length of follow-up is also a significant determinant in the results
of a cohort study. If follow-up is not sufficiently long, cases of the study

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disease will not have yet become clinically apparent (especially if the
latent period is long), and the rates of disease will therefore be underestimated. Comparisons of findings under two different follow-up periods
have been reported. One such example involves two analyses of a cohort
of workers exposed to beta-naphthylamine and benzidine (750, 757). The
time-of-measurement effect has also been discussed in a theoretical
framework (257).
The consequences of losing some proportion of persons during followup can be considerable, particularly if the losses are not random. If
losses are biased with respect to outcome, the absolute rates of the study
condition will be influenced, but their relative relationship to each exposure
category will remain the same. Substantial losses, however, can distort
the measurement of risk. A more serious situation will result if followup losses are biased with respect to exposure category, since this will
affect the relative rates of disease between exposure groups. In some
circumstances it is possible to estimate the effect of follow-up losses,
particularly if the date on which an individual leaves the cohort is known.
There are many examples of cohort studies designed to evaluate the
effects of environmental exposures. Despite limitations in data availability,
results of these investigations can be very revealing. For example, analysis
of a cohort of persons engaged in the manufacture of mustard gas was
limited in that only 84% of the cohort could be traced (755). To compensate,
additional calculations were made under the extreme conservative assumption that all persons untraced were alive at the termination of the
follow-up interval. Even under these conditions, a positive association
was detected.
The relative advantages and disadvantages of case-control versus cohort
studies can be summarized briefly. Case-control studies are reasonably
efficient and inexpensive to conduct. Comparatively few subjects are
required, since the study begins with the identification of cases. This
efficiency is particularly apparent in etiologic investigations of rare diseases,
although the same advantage can accrue to retrospective cohort studies.
By contrast, it is impractical, if not impossible, to assemble a large
enough cohort to study in prospective fashion the occurrence of a rare
condition, since the probability of any cohort member exhibiting the
disease is extremely small. Case-control studies also offer an advantage
with respect to time, since it is not necessary to wait for the development
of new disease. Analytically, the major disadvantage of a case-control
study is that relative risk cannot be measured directly, and there is
controversy regarding the most appropriate estimation and testing of the
odds ratio. Further difficulties, such as selection of the most appropriate
control group, have been alluded to above and are discussed extensively
in the literature (41, 108, 109).

Epidemiologic Approaches to Chemical Hazard Assessment

161

By comparison, cohort studies have the advantage of classifying persons
with respect to exposure prior to the development of disease. This can
minimize (although not necessarily eliminate) problems of bias and misclassification. Most significantly, cohort analyses can yield actual incidence
rates, thereby providing a direct measure of risk. The primary disadvantages
of the cohort method relate to obstacles encountered in the follow-up
of a large number of study subjects. Prospective cohort studies are expensive to execute and generally represent very large-scale undertakings.
Consequently, they are not efficient for exploring new hypotheses; their
strength lies in the provision of additional evidence after a specific hypothesis has been posited.
IV.

CRUCIAL ASPECTS OF ENVIRONMENTAL
STUDY DESIGN

To estimate accurately health risks resulting from chemical exposures,
the relation between the amount or concentration of the agent in the
critical organ or tissue (i.e., the dose) and the proportion of the population
at risk manifesting a specified biological effect (i.e., the response) must
be determined. In the following two subsections, epidemiologic approaches
(and attendant problems) with respect to making measurements of dose
and response in human populations are examined.
A. Measurement of Dose
Perhaps the most problematic aspect of designing epidemiologic studies
of chemical hazards in human populations involves the measurement of
dose. Although attention in this regard centers (properly) on considerations
of the intensity, duration, and mode of external exposure to environmental
chemicals, the problem of dose estimation is actually much more complex.
The difficulty is easily appreciated by considering the many factors,
conditions, and forces that affect the actual degree of external exposure,
and thus, ultimately, the amount of toxicant reaching the critical organ
or tissue. Therefore, if at first just those factors that determine the
transport and fate of chemicals in the ambient environment are considered,
many relevant questions may be posed. For example, what is (are) the
source (sources) of the chemical agent in question? Is it a point or a
nonpoint source? In what amounts and at what frequency is the substance
discharged into the environment? Is the substance primarily of natural
or anthropogenic origin, or a combination of the two? What are the
patterns of use and of disposal of the material? Once the substance enters
the human environment, how does it behave in air, in water, in soil, in

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biota? To what extent is the substance transported between the various
environmental compartments? To what extent will the chemical undergo
a transformation in either air, water, soil, or biota? If a transformation
does occur, will the product be more hazardous or less hazardous than
the parent material? Is it possible to identify populations that are most
likely to be exposed and/or most likely to be exposed to the highest
levels of the substance? Are there subgroups of the population that are
particularly sensitive to the agent in question? And once human exposure
does occur, what information is available on the absorption of the agent
into the body, on the distribution of the agent in plasma and tissue, and
on the pathways and rates of excretion?
Before proceeding further, the difference between exposure and dose
must be clarified. Unfortunately, the distinction is not always made.
Exposure to a given chemical substance refers simply to the extent of
contact between the toxicant and those surfaces of the human body where
absorption may occur. Thus, measures of exposure, i.e., measures of
external exposure, are expressed in terms of the concentration of the
agent in environmental media (air, water, food) that interface with relevant
body membranes (11). Dose, on the other hand, refers to the amount
or concentration of the toxicant in a critical organ or tissue [the critical
organ or tissue being that which exhibits the first or the most serious
effect (77, 765)]. It is the dose that must be obtained in order to quantify
health risks resulting from chemical exposures. In general, however, the
amount or concentration of a toxicant in a critical organ or tissue cannot
be measured directly. Thus, dose must be measured in some indirect
fashion and in such a way that the index used will result in an observed
dose-response curve that accurately depicts, in both qualitative and
quantitative terms, the true or actual dose-response relation for the
substance in question. Surrogate measures of dose, then, will generally
be derived from data either generated by some form of biological monitoring
[the "systematic collection of human or other biological specimens for
which analysis of pollutant concentrations, metabolites, and biotransformation products is of immediate application" (77)] or by some form
of environmental monitoring [the "systematic collection, analysis, and
evaluation of environmental samples, such as air, water, or food for
pollutants" (77)].
7. Biological Monitoring
Given the usual inability to measure directly dose of the toxicant at
the effector site, it would seem appropriate to assume that levels of the
toxicant (or of its metabolites) in blood or other accessible tissue(s) would
correlate with levels in the critical organ or tissue and thus could serve

Epidemiologic Approaches to Chemical Hazard Assessment

163

as a reliable and valid index of dose. If so, data derived from measurements
made on human tissues or excreta could be used to clarify dose-response
relationships. For example, levels of lead and other heavy metals (such
as cadmium and mercury) in blood (755, 233), urine (233), hair (97), or
nails (107) have been used in the past as dose indices. Other tissues or
excreta, including breast-milk (756), adipose tissue (275), expired air
(44), and others (77), are at present amenable to biological monitoring.
Unfortunately, there are relatively few applications in epidemiologic studies
of chemical hazards (42, 88). However, there is a growing opportunity
and need for a greater integration of toxicologic and epidemiologic data
for purposes of health hazard assessment, as evidenced by recent papers
(55, 275, 229). For a more detailed discussion of biological monitoring
per se, see references 77 and 236.
2. Environmental Monitoring
Most surrogate measures of dose 'used in epidemiologic studies are
actually measures of external exposure to some agent, since they are
usually derived from some sort of environmental data. Further, indices
of dose based on such data may be divided into two categories: those
that can be characterized as simple classifications and those that are
based on Haber's law.
a. Simple Classification Schemes. Measures of external exposure
to toxic chemicals should, ideally, reflect the intensity, duration, and
mode of the particular exposure. Further, such measures should be quantitative in nature, should accurately summarize the exposure experience
over time of any individual study subject, and should reflect the amount
or concentration of the toxicant in the critical organ or tissue.
In order to develop such measures, detailed, extensive, and individualized
environmental data are required. Such data, however, are not, for a
number of reasons, usually available. For one thing, the substance or
group of substances in question may have only recently come to be
thought of as hazardous, in which case ambient and/or occupational
environments will probably not have been routinely monitored in past
time periods. Further, there may exist no analytical techniques capable
of measuring the substance or substances in air, water, soil, and/or biota;
or, if analytical methods are available, they may be grossly inadequate.
Also, there may be no mechanism, practical or otherwise, to link levels
of exposure to the environmental contaminant(s) in question with specific
individuals. Consequently, when numerical estimates of external exposure
cannot be calculated for individual study subjects, for whatever reason,

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John R. Wilkins III and Nancy A. Reiches

what may be described as simple classification schemes are developed
instead. Although these simple schemes may be devised from either
qualitative or quantitative environmental data, they generally take the
form of ordinal-level measurements, measurements that do provide a
rank ordering of exposure categories but do not provide an indication
of the "distance" between categories. Further, exposure classification
schemes of this sort are usually (but not always) employed in aggregate
population studies, i.e., in studies comparing morbidity and/or mortality
rates among large geographic units such as states, counties, communities,
etc.
When the classification scheme is based on qualitative information
only, the exposure variable itself will likely be constructed as a simple
high/medium/low, or a simpler high/low dichotomy. For example, in the
prevalence study of chronic obstructive respiratory disease by Detels et
al. (55), several lung function parameters were compared between the
populations comprising two California communities. The "high" exposure
community was described as "chronically exposed to relatively high
levels of photochemical/oxidant-type pollutants," and the other, the "low"
exposure community, was "subjected to low levels of chemical ambient
air pollutants."
In addition to high/low schemes and variations thereof such as exposed/
unexposed, aggregate populations have also often been categorized in
terms of their degree of urbanization. Since U.S. Census data make this
a relatively straightforward procedure, many studies report comparisons
of morbidity and/or mortality rates among "urban" and "rural" populations,
as well as among populations classified in similar ways (such as, for
example, SMSA1 county with central city/SMSA county without central
city/non-SMSA county). A number of studies employing this general
approach, including notably several studies of air pollution, have focused
on the differences in sex- and site-specific cancer death rates between
urban and rural populations. In this regard, attention has centered on
the cancer death rates among populations characterized by differing levels
of urbanization. After a review of several such studies the general conclusion, as Carnow and Meier (55) point out, is that mortality from
respiratory cancer is roughly twice as high in urban areas as in comparable
rural areas, results consistent with the hypothesis that the higher levels
of airborne carcinogens generally found in urban areas are etiologically
involved in pulmonary neoplasms.
Similarly, recent studies of organic chemical contamination of drinking
water supplies report the classification of numerous aggregate populations
with respect to various raw water source and treatment characteristics,
'Standard Metropolitan Statistical Area.

Epidemiologic Approaches to Chemical Hazard Assessment

165

from which several types of comparisons have been made (225). For
example, sex- and site-specific cancer mortality (and in some cases cancer
incidence) rates in populations served surface water have been compared
to cancer rates in populations served groundwater. Populations served
chlorinated water have been compared to populations served unchlorinated
water, and so forth. Although the interpretations of these studies differ,
the results of all of them to date seem to suggest a slightly elevated risk
of certain gastrointestinal and urinary tract cancers in populations consuming drinking water containing the highest levels of trace organic
chemical contaminants.
Because the schemes previously discussed are generally based on qualitative information only, they may be improved somewhat by using quantitative environmental measurements to assist in the construction of exposure classes. Studies of air and water pollution, again, illustrate the
approach. Morris et al. (156) compared mortality between two small
Pennsylvania communities, one of which was in close proximity to a
coal-fired electric power plant (and therefore presumably had higher
levels of air pollution than the other). Unlike the study by Detels et al.
(55), which assigned exposure categories (high/low) without, apparently,
using quantitative environmental measurements, Morris and co-workers
used specific air quality indices (dust fall, sulfation rate, suspended particulates, and sulfur dioxide levels) to verify that a significant difference
in air quality existed between the two study populations. Similar air
quality measurements have been used to assign communities some air
pollution exposure ranking in a number of other studies (38, 77). Studies
of the organic chemical content of public drinking water supplies by the
U.S. Environmental Protection Agency (USEPA) have provided quantitative measurements on the levels of various waterborne organic chemical
contaminants, data that have been used in several epidemiologic studies
(225).
To summarize, the simple classification schemes previously discussed
(1) are based on either qualitative or quantitative environmental data,
(2) take the form of ordinal-level measurements, (3) are usually used in
aggregate population studies, and (4) are perhaps the crudest of techniques
available for measuring human exposures to chemical hazards. It is,
however, possible under certain circumstances to refine these simple
schemes. For example, in epidemiologic studies of occupational hazards,
in which "exposure" data of some kind are usually available for individual
study subjects, qualitative information such as the occupation and/or
industry of each worker can form the basis of the classification scheme.
This "occupational title" (OT) approach, as described by Gamble and
Spirtas (52), assigns workers to categories of jobs that are functionally
similar (i.e., jobs that involve the same equipment or process) and/or

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166

167

John R. Wilkins III and Nancy A. Reiches

that are materially similar (i.e., jobs that involve similar products). Appropriate morbidity and/or mortality measures can then be compared
among the various groups of workers, since the groups can be thought
of as fairly homogeneous with respect to occupational exposures. For
example, in a study of mortality among workers in a rubber tire manufacturing plant, McMichael et al. (146) needed to identify 60 separate
OTs in order to characterize the work histories of approximately 1500
men. In their analyses, the 60 OTs were grouped into 16 major work
areas and the frequency of employment in each OT group (i.e., the "rate
of exposure" to each work area or OT group) was compared among the
case and a control series for 7 cancer and 2 noncancer causes of death.
The strongest associations were observed between several neoplasms
and those work areas most likely to have involved the greatest exposures
to organic and inorganic chemicals. Notably, exposure to solvents at
several stages of tire building was associated with lymphatic leukemia.
Other studies by McMichael and co-workers (144, 147) of the rubber
industry, including one that focuses on leukemia and exposure to solvents
(147), illustrate the OT approach. The OT approach has also been employed
in a study of steel workers (124), and in studies of occupational exposures
to asbestos (752) and chloromethyl methyl ether (54).
The OT approach has several advantages. First, even in the absence
of quantitative environmental sampling data it is possible to characterize
systematically chemically complex environments, such as those encountered in rubber tire manufacturing plants. Second, what is usually a very
large number of specific jobs can be reduced to a manageable number
(at least from a statistical point of view) of fairly uniformly exposed OT
groups. Also, the results of such an analysis can be quite useful in either
generating or refining hypotheses of cause-and-effect relationships, because
it is not necessary to state a priori an interest in some specific health
effect, nor is it necessary to have a clear understanding of the induction
and latency periods involved. Furthermore, if the results of a study
employing the OT approach identify a particularly hazardous work area,
intervention strategies may be implemented without knowledge of the
specific chemical substances responsible. Additional studies could focus
in detail on' the process and/or product related to the apparent high-risk
work area in attempts to identify the specific causal agent or agents.
Before attention is turned to other ways of measuring external exposure
to chemicals in epidemiologic studies it is important to realize that the
classification of aggregate populations into ordinal-level exposure categories
involves, at least implicitly, the following assumptions:
• The degree of exposure among the individuals comprising each class
is uniform, or nearly so.

• The designated categories make a clear distinction between the
groups with respect to exposure levels.
In order to gain some insight into the implications of these assumptions,
imagine that two well-defined communities (A and B) are selected for
study. Imagine further that Community A is in very close proximity to
a point source of pollution, say a lead smelter, and that the mere existence
of this smelter serves as the basis for labeling Community A the "highexposure" population. Community B, without smelter, is therefore considered the "low-exposure" population. If it is then assumed that the
only difference between the two populations is the existence of the
smelter, the situation may be conceptualized with the help of a simple
sketch (see Fig. 2). Inspection of the figure suggests that exposure to
lead in both communities is not precisely uniform, but rather the definitions,
high/low, reflect an average amount of population exposure. Certainly,
exposure levels in each community vary about a mean, and these means
are significantly different from each other. (For simplicity, the distributions
have been given a "normal" shape, although the actual distributional
form is more likely to be log-normal.) Since, in this case, the exposure
classification scheme reflects a sizable difference between the mean population exposure levels—i.e., the exposure definition employed discriminates between the two populations—a comparison of lead-related health
measures will be valid. Consider, however, two reasons why this hypothetical situation is not realistic. First, even if the actual (true) underlying
distributions of exposure to lead for the study populations are significantly
different, the "looseness" or imprecision of simple classification schemes
such as with smelter/without smelter, high/low, etc. can, in the general
case, create categories that are not homogeneous (with respect to exposure)
like those portrayed in Fig. 2. In other words, a certain amount of
misclassification will occur, weakening the "purity" of comparing health
effect measures between the two groups. Second, it is quite unlikely that
Exposure classification

Low

Kgh

(-jt.immunity B
j.

A
Fig. 2.

&gt;^

Community A
"" s

&gt;
&gt;.

s

/ *

k-rff

k

Degree of exposure

Hypothetical example of lead exposure in two populations.

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John R. Wilkins III and Nancy A. Reiches

we will be able, realistically, to find two or more well-defined populations
so vastly different with respect to the degree of exposure to the agent
in question, thus compounding the effects of misclassification. This is
certainly true for chemical contaminants like lead and organic pesticides
that are widely distributed in nature. Further, while the hypothetical
communities A and B are rank-ordered in terms of exposure to lead, the
"distance" between categories, i.e., the actual degree of difference between
A and B with respect to lead exposure, cannot, with such a scheme, be
estimated without more information. And, in the particular case of community-wide exposure to lead, exposed/unexposed categories would be
unjustified since there are numerous pathways of exposure including
food, water, and air.
What, then, are the epidemiologic implications of employing simple
exposure classification schemes? For one, there are statistical implications.
Artifact (resulting from the way in which exposure classification schemes
are constructed) and/or the "natural" or environmental characteristics
of the agent in question will tend to result in the mixing of individuals
with different exposure experiences, thus creating heterogeneous rather
than homogeneous exposure categories. The greater the degree of "mixing," i.e., the more "impure" the comparison, the more alike the comparison groups will be in terms of exposure, which in turn means they
will be more alike with respect to any health effect truly related to the
particular exposure. Consequently, the difference between the comparison
groups (with respect to the measure of effect) will diminish, compromising
the sensitivity of the study. Health effects, particularly modest ones,
may therefore go undetected, possibly giving the illusion of "safety."
b. Variations on Haber's Law (Unweighted Models of Cumulative
Exposure). A common way to model human exposures to environmental
chemical involves the application of Haber's law, an elementary concept
in toxicology. This approach can be taken when quantitative environmental
data are available and when it is possible to relate such data to individual
study subjects, as is often the case in epidemiologic studies of workplace
chemical hazards. Mathematically, Haber's law states that the magnitude
of toxic effect £ is a function of the product of the intensity of exposure
(in concentration units Q and the duration of exposure (in time units
/), so that £ = C x t (75).
With this concept it is possible to compute, for each person in a study
population, an index of total cumulative exposure (TCE) by simply summing
the product C x t for each period of exposure to the substance in
question (if exposure levels change over time) over the entire study
period. The (artificial) data in Table I illustrate the calculations for two

Epidemiologic Approaches to Chemical Hazard Assessment

169

TABLE I
Calculation of Individual Total Cumulative Exposures
Worker i

1

Job./

Intensity of exposure, C
(arbitrary units)

Duration of exposure, /
(arbitrary units)

1
2
3

1
2
3

1
3
9

Total cumulative exposure for worker 1:2 =

2
5
15
Total cumulative exposure for worker 2:

C x i
1
6
27
34
4
5
90
99

(of n) hypothetical workers, each having worked for varying amounts
of time in three different jobs entailing differing degrees of exposure to
a single chemical substance. Since C and t are given equal weight in the
computations, this particular method is often referred to as a simple or
unweighted model of cumulative exposure.
Once the total cumulative exposures are computed for each study
subject, categories of TCE are then created, and appropriate morbidity
and/or mortality measures compared across the classes. For example,
in a study of coke oven workers (142) an index of total cumulative
exposure to coal tar pitch volatiles (CTPV) was computed for each worker
as follows:
TCEworker,-= 2 (mean level of exposure, job j)
all jobs

x (duration of exposure, job j)
Mortality rates for all causes of death combined, for all cancers combined,
and for lung cancer were then compared across four (increasing) categories
of total cumulative exposure, for white and for nonwhite workers. Notably,
mortality from all cancers combined and from lung cancer increased
sharply with increasing total cumulative exposure to CTPV among the
nonwhite coke oven workers, results suggesting a dose-response relation.

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Epidemiologic Approaches to Chemical Hazard Assessment
John R. Wilkins HI and Nancy A. Reiches

The applicability and validity of the simple, unweighted model of cumulative exposure rest on several assumptions. First, it is assumed that
quantitative environmental data are available for all relevant time periods
and that such data are accurate. Unfortunately, the quantitative characterization of local environments (ambient or occupational) over long
periods of time is often not possible. In order to investigate properly the
cause or causes of chemically related illness, measures of which (like
death rates) are usually contemporary, information must be obtained on
exposures occurring prior to the development of the disease. For diseases
with substantial induction and/or latent periods, exposure levels dating
back years and perhaps decades are required. Even when data on historical
conditions are available, the accuracy and representativeness of such
data can be questionable, reducing individual exposure histories to crude
"guesstimates."
Second, when satisfactory environmental monitoring data are available,
it is assumed that it will be possible to select the most appropriate way
to summarize exposure levels. Since, by nature, the concentration of
most toxics in air, water, soil, etc. will fluctuate over time, so will human
exposures. Depending on the substance in question, levels of the agent
in environmental media may vary by the hour, by the day, by the week,
by the month, and by the year, which raises several questions. Will
simple arithmetic means appropriately summarize exposure levels? Would
time-weighted averages be better? Should sharp peaks over the short
term be given more, less, or equal weight, compared to steady, consistent,
long-term trends? Although the answers are not usually clear, they are
important questions, questions that relate to yet another assumption of
the model: since simple cumulative models of exposure give equal weight
to C and t, the rate of exposure can be ignored. The essence of this
assumption is that the risk of disease would be the same for a given
TCE achieved as a result of high exposure over the short term or as a
result of low exposure over the long term. Exposure-time units, which
are analogous to the familiar and widely used concept of person-time
units (201), may be accumulated in virtually an infinite variety of ways:
100 exposure-time units = 1 exposure unit x 100 time units = 100
exposure units x 1 time unit. The problem here arises because, at least
for certain types of chemical exposures, the risk of disease for a given
TCE is not independent of the mode of exposure. For example, in a
study of asbestos workers (66, 68) the risk of respiratory cancer was,
on average, about twice as high for men who had had intermittent (and
relatively high) asbestos exposures compared to men who had had steady
(and relatively low) asbestos exposures. Since the mean total cumulative
exposures in both groups were about the same (230.7 versus 236.0 exposure-

171

time units), this finding suggests that the rate at which exposures are
accumulated must be taken into account.
Another aspect of this "transient dose states" problem is something
that has been referred to as the wasted dose phenomenon (197). Because
disease in this particular model is viewed as dependent on the maximum
TCE, i.e., dependent on the highest level or category of cumulative
exposure achieved, the possibility of a "lower effective dose" is not
considered, as Schneiderman et al. (197) point out. Exposures occurring
after the biologic onset of disease (disease presumably resulting from
the TCE up to that point) continue to be added to a person's cumulative
exposure. Since the TCE responsible for disease would be overestimated
by including exposures occurring during the latent period, the risk of
disease would be underestimated at any TCE above the causative or
"effective" TCE. Clearly, the longer the latency, the greater the discrepancy between the effective TCE and the TCE employed in the analysis,
and thus the greater the underestimation of risk (as long as exposuretime units are accumulated beyond the time of biologic onset of the
disease).
Underestimation of risk may also occur when the exposure period and
the follow-up period overlap. As Enterline (66) views it, a "dose-response
fallacy" can occur because entry into the highest TCE categories can
only occur for study subjects who survive long enough, i.e., to the end
of the follow-up period. As he suggests, "a high dose and death tend to
be incompatible states." Although one possible remedy here, at least
for occupational studies, is to limit the investigation to retired persons
only, this type of study entails other kinds of problems.
On the other hand, risks may be overestimated when the disease of
interest has a latent period and when the amount of time elapsed from
the onset of exposure is not taken into account. In this case, persons
falling into the lowest cumulative exposure classes will tend to be those
with the least amount of exposure time, thereby artificially reducing the
risk in the lower TCE classes and, accordingly, artificially inflating the
risk in the higher TCE classes. As Pasternack and Shore suggest (171),
a solution would be to simultaneously assign persons to their rightful
category of TCE and to the appropriate category of time since exposure
began, thus controlling for differences across TCE classes with respect
to length of time exposed.
Finally, the simple, unweighted model of cumulative exposure cannot
be used to study chemically complex environments, i.e., when exposures
to more than one chemical agent occur simultaneously. This is not surprising
since, in general, the investigation of health risks resulting from multiple
chemical exposures is quite difficult. One reason for this is that the

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John R. Wilkins III and Nancy A. Reicbes

Epidemiologic Approaches to Chemical Hazard Assessment

necessary environmental data are rarely available (225). Another reason,
as Saracci points out (795), is that it may be impossible to study enough
subjects to isolate the effects of exposure to one agent in the presence
of one or more other agents, particularly when the statistical analysis
involves the cross-classification of the sample into contingency tables.
And third, even if a large enough sample could be obtained, choice of
the most appropriate statistical approach would be a matter of judgment.
In point of fact, studies of interaction may be based on either additive
models of disease risk (189, 190) or on multiplicative models (100). See
also references 777, 797, 223 for a more thorough discussion of synergy
and antagonism. Recent attempts have been made to refine the epidemiologic study of the health effects resulting from multiple chemical
exposures (205), an area of research in which the knowledge base is
rudimentary at present.

areas used as the weights. This method is also discussed by Land and
McGregor (727).
Other attempts have been made to take latency into account by either
partially weighting late exposures or by ignoring them altogether (i.e.,
giving them zero weight). This is the so-called lagged-exposure model,
which assumes that exposures occurring a certain number of years prior
to disease or death may be discounted. Mazumdar and Redmond (747)
discuss this technique as applied to their study of lung cancer in men
exposed to coal tar pitch volatiles. Pasternack and Shore (777) discuss
the application of the lagged-exposures approach to actually estimating
the average latent period in a set of data.

c. Other Variations on Haber's Law (Weighted Models of Cumulative
Exposure). A major deficiency of the unweighted model is that it does
not take into account the concept of a latent period, i.e., the notion of
an "effective" cumulative exposure is not addressed. In seeking to measure
an effective cumulative exposure it has been argued that some portion
of exposure occurring during the exposure period may legitimately be
discounted, i.e., differentially weighted, because the portion of exposure
in question presumably plays little or no causal role. A strong case can
probably be made that contemporary risks are independent of very recent
exposures, particularly for diseases with substantial latent periods. The
central issue, of course, is the lack of knowledge about when the biologic
onset of disease occurs, which severely limits the estimation of latency.
One approach to this problem involves, first, making certain assumptions
about the temporal pattern of disease occurrence following a single exposure, i.e., assumptions are made about the latent period. After making
assumptions about the shape, the standard deviation, and the central
tendency of the distribution of latent periods, the distribution itself is
used to derive a series of weights, which in turn are applied to the
cumulative exposures in appropriate time periods. For example, in the
Lundin et al. (126) study of lung cancer mortality in underground uranium
miners, weights were derived by, first, assuming that the time between
the first exposure to underground uranium mining and death from lung
cancer was log-normally distributed with a standard deviation of 0.1761
and a median latency of 10 years. Data on the miners were used to
estimate median latency, while estimates of the shape and the spread of
the distribution were based on those observed for leukemia following a
single high exposure to atomic radiation (16, 727). The log-normal density
function was then integrated over the relevant time intervals and these

173

B. Measurement of Response
As described earlier, the morbidity or mortality rate is a useful measure
of the risk of disease or death in a population. In practice, however,
there are often situations in which a rate, in its usual form, cannot be
computed as a measure of response in a population to a given exposure.
In other situations the computed rate is not reliable and therefore should
not be employed. For example, the problem of unreliable rates is common
in the study of cancer. Although cancer is a leading cause of death, the
actual probability of an individual dying of cancer in a given year is quite
small. If the population under study is not sufficiently large the resulting
rate, particularly the age-specific rate, will be quite unstable, and the
confidence interval encompassing that rate will be very large. A measure
called the standardized mortality ratio (SMR) is commonly used in such
situations.
The major advantage of the SMR is the introduction of information
from a large, stable population. Using this method it is possible to compare
the mortality experience of a defined subgroup with the total population.
The SMR is computed as a ratio of the observed number of deaths in
the study population to the number of deaths that are expected to occur
in that group. It is with respect to the denominator of this ratio that the
concept of a standard population is required. To compute the SMR it is
not necessary to know the number of deaths that occur in each age group
of the study population; one only needs to know the number of persons
at risk in each age group. An expected number of deaths is generated
by multiplying this figure by the age-specific mortality rate of the standard
population. Both observed and expected numbers of deaths are then
summed over all ages, and the ratio computed.
The SMR is interpreted with respect to its deviation from unity. To
the extent that it exceeds unity, the risk of death is said to be greater
in the study population. Statistical properties of the SMR are known and

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John R. Wilkins III and Nancy A. Reiches

therefore significance testing is possible. In this regard, tables containing
critical values of SMRs are published2 (6).
The choice of a standard population is not a trivial matter, nor is the
most appropriate selection always obvious. For example, a comparison
of death rates for different socioeconomic groups in a population might
use as a standard the highest socioeconomic group (207). Resulting SMRs
for lower groups would then reflect the assumption that excess deaths
occur because living conditions, medical care, etc., are inadequate. Interpretively, this raises different issues than might surface if the entire
population had served as the standard. In selecting a standard population,
attention should be given to the purpose of the comparison and to its
potential limitations.
SMRs are frequently utilized in the study of defined occupational groups.
One such investigation evaluated the mortality experience of iron foundry
workers (53). Death rates in this cohort were compared to rates for the
general U.S. male population. Potentially confounding variables, such
as length of employment in the industry and race, were considered.
Although silicosis has historically been a health problem in the foundry
industry, unusually high mortality from chronic respiratory disease was
not observed in this analysis. However, it cannot be discerned from the
data whether this was a result of exposure to low levels of silica-containing
dusts, or of insufficient numbers of workers with long exposure histories,
or of too short a follow-up interval to allow for the clinical expression
of disease and subsequent death of cohort members. Overall, this investigation revealed lower total mortality in the worker population. This
finding is not unusual in occupational studies, a phenomenon discussed
later (8, 155).
A similarly designed study of workers in a chemical company was
intended to determine whether socioeconomic status or job classification
was related to overall or cause-specific mortality (769). This type of
study is important because it recognizes the variability of individual
characteristics within a broadly defined worker cohort. SMRs were computed using the U.S. white male population as the standard. Overall
mortality was lower than expected, but certain malignancies (such as
urinary organ neoplasms) yielded high SMRs. Stratification of the data
by socioeconomic level showed statistical differences: low SMRs in the
high socioeconomic group. Differences with respect to job category were
also detected. For example, plant mechanics and machinists had more
malignancies than expected, while inorganic chemical production workers
2
Although this discussion pertains to mortality, morbidity data can be treated in the
same way.

showed a decreased rate of cancer. Additionally, the analysis addressed
the question of age at entry to the study and age at death.
This approach is significant because it presents the investigator with
a new set of paths to follow to explain notable trends in the health of
industrial populations. Careful stratification of the cohort is particularly
important, since, as the study of the chemical workers demonstrates,
there is measurable heterogeneity within the cohort. For example, the
low rate of cancer mortality in the high socioeconomic group might reflect
a lower prevalence of smoking. Once the specific mortality pattern of a
well-defined group is understood, there is opportunity for careful testing
of such hypotheses. Other investigations have also used the approach
of employing data on job classifications and have reported increased
rates of malignant disease for specific categories (124, 125, 168). This
has been noted for mechanics and machinists in more than one industry.
In addition to SMRs, a measure called the proportional mortality ratio
(PMR) has been used in a large number of analyses, particularly in studies
of occupational groups. The PMR differs from the SMR in that the
demographic composition of the population at risk is not known. Rather,
the PMR represents the proportion of total deaths attributable to a specific
cause in a study population. Consequently, the PMR is not a rate. It is
simply a measure of the relative importance of a given cause of death,
not a measure of the risk of death (154). Despite this inherent limitation,
PMRs do have a role in epidemiologic analyses. First, the data necessary
to compute a PMR are relatively easy to obtain—they are essentially
only the data that would normally constitute the numerator of a mortality
rate. Hence, PMR studies are sometimes referred to as "numerator
studies." Second, although the absolute risk of death cannot be determined,
knowledge of the relative importance of a cause of death can lead to
testable hypotheses about potential etiologic factors. That is, if a cause
of death is proportionately greater in one group than in another, exposures
unique to the former might explain the observed differential.
The validity of a PMR study depends on the extent to which certain
assumptions are met by the data. The difficulty is that the assumptions
cannot be tested empirically, since they require data that are not available,
namely population data. The basic assumption is that the relationship
between the PMRs of two groups being compared is equivalent to the
relationship between the actual mortality rates in the populations. If this
latter information were known, however, there would be no need to
compute PMRs; rather the rates or SMRs could be compared directly.
There is a danger of erroneous interpretation of PMRs if this assumption
is not tenable or if the PMR is inappropriately interpreted as a measure
of risk. For example, consider a hypothetical case of two study populations,

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John R. Wilkins UI and Nancy A. Reiches

in each of which 1000 total deaths are observed. Also assume that 200
deaths in each group are due to cancer. The PMR for each group would
thus be 0.20. Clearly, cancer assumes the same relative importance in
each group—20% of all deaths. But if the population of the second group
is larger, the actual death rate from cancer would be smaller than in the
first group. That is, the risk or probability of dying of cancer can vary
even if its proportionate contribution to total mortality is the same.
Consequently, in interpreting PMRs one must not be tempted by the false
impression that the comparative risk of death is being analyzed.
There are many examples of PMR studies in the literature. One such
analysis investigated mortality patterns among employees exposed to
poly vinyl chloride (PVC) (40). Since the population at risk could not be
determined, the proportional mortality in various subgroups of the worker
population was compared to similarly defined PMRs for the U.S. population.
A comparison of these figures is an indication of whether or not relative
excess mortality has occurred in the study population. In this particular
investigation, there appeared to be an excess number of cancer deaths
among both white males and white females. For the reasons already
given, however, this finding must be interpreted with caution. The suggestion, however, of excess cancer mortality does provide a lead for
more definitive investigation, thereby demonstrating the value of PMR
analyses.
The importance of such analyses is similarly demonstrated in a study
of mortality among workers in a newspaper printing factory (92). This
example is noteworthy because it demonstrates that PMR analysis can
be an efficient method for very preliminary investigation of a new hypothesis. This study was undertaken following anecdotal reports of a
high incidence of bladder cancer among the printing workers. In the
particular group studied there was no evidence that bladder cancer assumed
unusual importance as a cause of death, although the PMR for all neoplasms
combined was very high. However, this appeared to be the result of a
large number of deaths from lung cancer, implicating smoking rather than
an industrial hazard.
The comparability (and differences) of the PMR and SMR methods is
demonstrated in an analysis of workers exposed to low levels of methylene
chloride for up to 30 years (75). Specifically, the investigators wanted
to determine whether this cohort exhibited high rates of mortality from
ischemic heart disease, since exposure to chlorohydrocarbons may result
in increased cardiac sensitivity (183). Since population data were not
available for this group prior to 1964, a PMR approach was adopted.
The post-1964 cohort was analyzed by an SMR approach. Proportional
mortality ratios did not reveal any unusual mortality trends for any of

Epidemiologic Approaches to Chemical Hazard Assessment

177

the 17 major diagnostic categories that were analyzed. Further breakdown
of the data for specific malignancies also failed to show any statistically
significant differences. In the second part of the analysis, two different
standard populations were selected. The first was the group of all other
males working in the same plant; the second was a general population
standard. The results obtained exemplify the point noted earlier regarding
the effect of a particular control population on study findings. With
respect to the industrial standard, the methylene chloride-exposed group
did not have significantly different SMRs for any major cause of death
studied. However, when compared to the general population, significantly
fewer deaths than expected were observed for malignant neoplasms and
circulatory diseases. Specifically, ischemic heart disease mortality was
reduced.
While it has been emphasized that PMRs are not direct risk-assessment
measures, their usefulness for preliminary screening of data is generally
accepted. The methylene chloride study, however, demonstrates a case
in which potentially erroneous conclusions might have been drawn if
only the PMR analysis were available. In this study the PMRs and SMRs
are not directly comparable, since the data for each were derived from
different time periods. However, one might argue that the differences
are small and that the conflicting results reflect the method of analysis.
The findings of this investigation do not negate the relative value of PMR
analysis, nor do they wholly validate the SMR approach. Rather, they
point out the need for cautious interpretation.
There are in the literature several rigorous comparisons of the two
approaches described here (52, 118, 181). Although these issues will not
be discussed in detail, it is important to recognize, at least in concept,
some of the primary constraints. Some, such as the choice of the standard
population and the failure of PMRs to measure risk, have been previously
alluded to. Other problems of the SMR have also been identified (80,
81, 145). For example, the SMR does not reflect the effect of a hypothesized
hazard on life expectancy; it counts only the number of deaths, not the
ages at which they occur (87). It has been demonstrated that populations
with different life expectancies can yield the same SMR. Additionally,
the SMR is dependent on the age distribution of the study population.
If younger workers have a lower mortality rate than the standard population,
the SMR will not correctly estimate the probability of death, since this
probability is not precisely (mathematically) equivalent to the mortality
rate (74). These two figures are related, however, and consequently one
can compute the degree of age dependence in the SMR (39). Finally,
the SMR is not independent of the length of follow-up of the study cohort.
That is, if calculated periodically during follow-up, the SMR is not expected

�John R. Wilkins III and Nancy A. Reiches

Epidemiologic Approaches to Chemical Hazard Assessment

to remain constant. If the risk of death in the study group is high, SMRs
might exceed 1.00 early in the study, but decline as follow-up continues.
A final point about the measurements of outcome that have been
discussed in this subsection relates to a question of sample selection bias
known as the "healthy worker effect." A variety of data indicate that
the fact that persons are healthy enough to be employed intrinsically
predicts that their mortality experience will be more favorable than that
of the general population. This effect was first identified nearly 100 years
ago and has been widely recognized in contemporary epidemiology (86,
166). Furthermore, it has been demonstrated that the magnitude of the
bias is related to the age distribution of the industrially employed cohort
and to the specific causes of death being considered (65). In addition to
the fitness of workers at the time of employment, the issue is further
complicated by the fact that the composition of the cohort is influenced
by the dynamics of individuals leaving the industry for health-related
reasons. The empirical effects of these questions on SMRs has been
reported. One of the more comprehensive analyses involved a study of
all PVC workers in Great Britain (75). The findings supported an association
between exposure to the vinyl chloride monomer and angiosarcoma of
the liver; furthermore, it was demonstrated that the observed rates of
mortality were indeed related to the selection of workers into the industry,
their continued employment, and the length of time the cohort was followed.
The cause-specific nature of these biases has been shown in a study of
workers in five chemical plants, using an approach designed to minimize
selection effects on the resultant SMRs (202).

sometimes provide sufficient information for designing intervention strategies, thus interrupting the causal chain of events even if they are not
fully known. Even with this inherent strength, epidemiologic assessment
of health risks resulting from chemical exposures can be enhanced by
incorporating knowledge derived from theoretical studies of the pathogenesis of cancer. In this' section we do not provide a comprehensive
discussion of the molecular theories of carcinogenesis; rather, we highlight
a few general principles that bear on the design of epidemiologic investigations and the interpretation of their results.
Of particular importance in this context are the concepts of initiation
and promotion. These terms were coined in the 1940s to define operationally
the extended period between the initial exposure to a carcinogen and
the expression of a malignancy (755,188). Early empirical demonstrations
of this process involved the direct application of a confirmed chemical
carcinogen (usually a polycyclic hydrocarbon) to the skin of a mouse—
the initiation phase. Tumor promotion was accomplished by the application
of another chemical agent, which was by itself incapable of inducing
neoplasia (9). Although this general procedure has been refined in recent
years, it still provides one of the fundamental models for studying chemically
induced cancer. Subsequent experiments have confirmed that certain
compounds, such as benzo[o]pyrene and methylcholanthrene, possess
both initiation and promotion activity, and therefore are complete carcinogens (26, 27).
The various stages of carcinogenesis have been demonstrated in organs
other than the skin. For example, a breast cancer model in rats and mice
has indicated that application of a carcinogen without the appropriate
hormones does not result in a malignant tumor (79). Additionally, both
initiating and promoting agents have been identified for tumors of the
dog and rat bladder, the mouse lung and forestomach, and the rat colon,
bone marrow, liver, and thyroid (777). In each case the initiator is an
agent whose metabolites can react with DNA. The corresponding promoters
range from natural products to normal circulating hormones.
There are several general characteristics of the multistage carcinogenic
process that have implications for the ultimate control of malignant disease
in human populations. One important finding in this regard is that the
process of initiation is not reversible, while the process of promotion is.
This bears directly on the potential for prevention of neoplastic disease.
That is, if the exposure is discontinued before cells in the target tissue
develop the ability to multiply in the absence of the promoter, then
formation of a tumor may be avoided. Reduction of risk of lung cancer
following cessation of cigarette smoking may be an example of this type
of intervention (174). The declining risk suggests that promoters are the
cancer-causing elements in cigarette smoke.

178

V.

RELATING MEASURES OF DOSE TO
MEASURES OF RESPONSE

There are several important aspects of the process by which the functional
relationship between measures of dose and measures of response is determined. For example, in the case of cancer this process is influenced
by the investigator's assumptions regarding the underlying biologic mechanisms of carcinogenesis. Although cancer has been recognized as a
distinct disease for thousands of years, only recently has there developed
some understanding of the mechanisms responsible for the transformation
of a normal cell into a malignant one. Clearly, an elucidation of the
biologic mechanisms of carcinogenesis will substantially increase the
potential for prevention and control of neoplastic disease. The lack of
this type of evidence, however, does not thoroughly preclude the ability
to intervene; associations discovered in epidemiologic investigations can

179

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John R. Wilkins III and Nancy A. Reiches

The concepts of initiation and promotion are inextricably bound to the
phenomenon of latency. The importance of accounting for the latent
period is well understood in epidemiologic research. Investigators attempt
to introduce appropriate temporal relationships between measures of
dose and measures of response. The latent period is a general feature
of the natural history of neoplasia, whether the relevant exposure is
chemical, radiologic, or viral.
In the practice of epidemiologic research, however, the concept of a
latent period and the temporal relationships between initiation and promotion phases pose various difficulties. In general, the duration of the
latency period is unknown. Furthermore, the relationship between dose
level and duration of latency is uncertain. Experiments with laboratory
animals have indicated that an increased dose does shorten latency, and
attempts have been made to quantify this relationship (7). However, the
same mathematical model does not appear to hold for human populations
(121). For example, in a study of bladder cancer among persons occupationally exposed to dyestuff intermediates, no relation between dose
and latency could be detected (36). These findings have led to speculation
that the duration of the latent period is affected by variables other than
the dose of the initiator. Some of these factors are probably endogenous
characteristics of the host, such as levels of pituitary hormones and the
genetic makeup of the host (12). Other modifiers are thought to be exogenous and may include dietary constituents (153, 163). To the extent
that these factors are unknown, the assessment of risk in human populations
becomes more complicated, since the variation in dose rate over time,
the reversibility of initiation, and the distinction between initiation and
promotion must be accounted for if causal inferences are to result. Although
a number of diverse quantitative approaches to modeling carcinogenesis
in human populations have been proposed, none is entirely consistent
with available empirical evidence (48, 227). Many of these models have
incorporated information regarding the age distribution of cancer cases
and have measured the effective duration of exposure before onset of
disease over a wide range of ages (5, 56). By this method the comparative
risk of exposure to the same agent at different ages could be analyzed
in relation to dose, duration of latency, and the effect of altering various
promoters.
VI. CONCLUSION

The purpose of this article has been to discuss some of the concepts
fundamental to the epidemiologic evaluation of potential health risks
stemming from chemical contamination of the human environment. These

Epidemiologic Approaches to Chemical Hazard Assessment

181

methods assume a central role in any comprehensive attempt to understand
the effects of chemical exposures on human health. Combined with evidence
derived from the fields of chemistry and toxicology, the quantification
of human risk should ultimately result in substantially improved methods
for intervening in the process of disease causation.
The epidemiologic approach is characterized by its systematic examination of patterns of exposure and response in human populations.
Since the occurrence of disease is not a random phenomenon, epidemiologic
investigation is uniquely suited to the generation and testing of etiologic
./hypotheses. The development of clues to explain chemically related illness
I generally begins with descriptive methods, whose major purpose is to
i detect variations in disease occurrence with respect to time and/or place.
&lt;f Observed secular trends may reflect alterations in exposure to environmental hazards. Notable geographic differences in disease occurrence
may result from the presence of a risk factor in some populations and
its absence in others. Once observed temporal or geographic patterns
are established as real (as opposed'to artifactual), epidemiologic investigation may proceed to a variety of aggregate population studies, usually
entailing correlation or regression techniques. In this phase of the process,
attention focuses on the identification of demographic, socioeconomic,
and environmental factors that may have etiologic implications. Although
the methodologic problems associated with ecologic analyses are well
recognized, the method has substantial utility for generating hypotheses
that may subsequently be tested by more rigorous methods.
If descriptive epidemiologic studies suggest a potentially adverse effect
from a chemical exposure, investigations can then be designed to test
formally the possible association between the agent and the disease. The
analytic methods employed in this phase of epidemiologic inquiry incorporate data for individual study subjects, as opposed to aggregate or
summary data for a population. Although the two primary methodologic
approaches, case-control and cohort studies, differ with regard to the
assemblage of subjects, they share a number of characteristics. In both
cases, the desired endpoint is some quantitative (statistical) measure of
risk associated with the exposure in question. Concern for proper classificatinn_nf_stiidy suhjectsj\jth_respect to exposunTand disease, selection
of appropriate^ comparison groups, the requirement of reliable and valid
""exposure data", jmd the needto control_gonfounding factors are common"
elements in both approaches.^ATtEough there are a variety of advantages
and disadvantages intrinsic to both methods, the choice for a particular
study depends on the hypothesis to be tested, the availability of necessary
data, the rarity of the disease under consideration, and the prevalence
and intensity of the exposure factor.

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John R. Wilkins III and Nancy A. Reiches

To a great extent, the applicability of results from case-control or
cohort studies is dependent on the method by which exposure (and by
implication, dose) is measured. The exposure variable may range from
a simple qualitative classification to a more complex quantitative estimate
of total cumulative exposure. What is important to recognize is that the
measurement of exposure must be consistent with an underlying biologic
theory of disease causation. For example, studies of malignant neoplasms
must account for periods of latency and possible differential effects between
initiating and promoting agents. Finally, methodologic attention must
focus on appropriate measures of response to a chemical contaminant.
Quantitative measures, such as standardized and proportional mortality
ratios, need to be carefully constructed and statistically analyzed.
Each aspect of the epidemiologic approach we have described is itself
an area that continues to be subjected to intense critical scrutiny. For
example, there is a rich literature regarding the statistical properties of
the odds ratio, the choice of controls for case-control studies, the appropriate length of follow-up for cohort analyses, etc. That controversy
exists in each area does not invalidate the overall approach; rather, it
enhances the investigator's ability to reach critical decisions about all
phases of study design, execution, data analysis, and interpretation. Perhaps
more than for anything else, the epidemiologic method can be recommended
for its vigilance regarding the possibility of alternative explanations to
account for any observed finding. In the ideal case, the interpretation
of epidemiologies data guards against the chance that a hazardous exposure
is judged to '- 'safe."
Epidemiologic analyses thus contribute to the control of disease by
quantifying the probability that a chemical exposure may pose risk to
human health, and by specifying the co-occurring conditions under which
such risk might exist. If a hazard is confirmed, appropriate intervention
strategies may be devised to interrupt the causal chain, thereby reducing
morbidity and mortality. In this context the epidemiologic approach is
fundamental to the assessment of chemical exposures, their effects on
human health, and the benefits to society that might result from reduced
environmental contamination.
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Human Exposure to Environmental Pollutants" (A. Berlin, A. H. Wolff, and Y.
Hasegawa, eds.), pp. 341-355. Martinus Nijhoff Publishers, The Hague, Netherlands.

�</text>
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&lt;p&gt;For more about this collection, &lt;a href="/exhibits/speccoll/exhibits/show/alvin-l--young-collection-on-a"&gt;view the Agent Orange Exhibit.&lt;/a&gt;&lt;/p&gt;</text>
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                  <text>&lt;p style="margin-top: -1em; line-height: 1.2em;"&gt;The Alvin L. Young Collection on Agent Orange comprises 120 linear feet and spans the late 1800s to 2005; however, the bulk of the coverage is from the 1960s to the 1980s and there are many undated items. The collection was donated to Special Collections of the National Agricultural Library in 1985 by Dr. Alvin L. Young (1942- ). Dr. Young developed the collection as he conducted extensive research on the military defoliant Agent Orange. The collection is in good condition and includes letters, memoranda, books, reports, press releases, journal and newspaper clippings, field logs and notebooks, newsletters, maps, booklets and pamphlets, photographs, memorabilia, and audiotapes of an interview with Dr. Young.&lt;/p&gt;&#13;
&lt;p&gt;For more about this collection, &lt;a href="/exhibits/speccoll/exhibits/show/alvin-l--young-collection-on-a"&gt;view the Agent Orange Exhibit.&lt;/a&gt;&lt;/p&gt;</text>
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                    <text>Item ID Number

00578

Author

Custis, Donald L

Corporate Author
Report/Article TltlB Typescript: Statement of Donald L. Curtis, M.D., Chief
Medical Director, Department of Medicine and Surgery,
Veterans Administration, Before the Subcommittee on
Oversight and Investigations, Committee on Veterans'
Affairs, House of Representatives, September 15,1982

Journal/Book Title
Year
Month/Day
Color
Number of Images
DeSCrlptOII NotOS

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20

Alvin L Your|

gfiled tnis item under the category
"Human Exposure to Phenoxy Herbicides and TCDD"

Tuesday, February 20, 2001

Page 578 of 680

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DONALD L.CUSTIS.M.D.,

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DEPARTMENT OF MEDICINE AND SURGERY

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SUBCOMMITTEE ON OVERSIGHT AND INVESTIGATIONS,
COMMITTEE ON VETERANS'AFFAIRS
HOUSE OF REPRESENTATIVES

September 15, 1982
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Mr. Chairman and Members of the Committee:
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Good morning.

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On behalf of the Veterans Administration, we are pleased to have the

Opportunity to appear before you today to provide an update on the status of both VA's
Agent Orange-related activities and the Readjustment Counseling Program.

We are

continuing efforts to resolve the complex medical and scientific questions concerning
Agent Orange. In the interim, we are providing medical care and treatment, as well as
information to Vietnam veterans. We believe that a great deal of progress has been
mode in both areas since we last appeared before this committee on May 6, 1981.

Mr. Chairman, we are aware that both the Agent Orange issue and readjustment to
civilian fife remain key concerns for many Vietnam veterans. A great deal still needs to
be done to resolve both of these concerns.

Let me reemphasize, however, that the

Veterans Administration has never lost sight of the special needs of the Vietnam veteran.

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Aoent Oronge Program
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On June 30, 1982, Robert P. Nimmo, Administratpr
approved a revised Department of Medicine and Surgery program of Agent Orangerelated activities. The most significant activity which was approved is a pilot study as a
preliminary to the full epidemiological study provided for by Congress. Other major
efforts included are the Vietnam veterans identical twin study, a mortality study, and
specially-related research projects.

Approval was also given for the establishment of the Agent Orange Projects Office
within the Department of Medicine and Surgery. This office will coordinate and monitor
a variety of epidemiological projects.

Efforts are now underway to identify key

epidemiologic staff who will be responsible for these efforts.

The core staffing will

consist of an Epidemiologist, Biostatistician, Statistical Programmer, Health Science
Specialist for Quality Assurance, on Administrative Assistant and supporting clerical
staff.

In addition, approval was given for continuation and improvement of the Agent Orange
Registry, chloracne activities, a follow-up to the literature analysis, a monograph series,
establishment of a Vietnam service indicator in the Patient Treatment File (RTF), and a
retrospective study of dioxins and furans in human adipose tissue.

STATUS OF VA EPIDEMIOLOGY STUDY;

The epidemiology protocol submitted to the VA by the UCLA School of Public Health on
April 29, 1982, has now been reviewed by the VA Advisory Committee on Health-Related

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Effects of Herbicides, the Agent Qronge Working Group (AOWG) and the Office of
Technology Assessment. The protocol is currently being reviewed by a committee of the
.Academy of Sciences (MAS). The VA has been advised that HAS is now in the
jes of this review process. It |s expected that the report will be completed and

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forw.a/jted to. tjh$ Veterans Administration shortly*

Following incorporation of the

.yarjous ^eYlewers/ comments, we will solicit bids for a contract for the conduct of a pilot

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study. We anticipate having that solicitation in place before this December.

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The purpose of the pilot.study w|U be to permit us to "fine-tune" the protocol for the
conduct of the frjll-^cale epidemiology study which will study a population of
approximately 18,000 veterans. The pilot study has become the focal point of recent
activity by the VA, the Army Agent Orange Task Force (AAOTF) and the AOWG.

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The AOWG has appointed a subcommittee of its Science Panel to establish procedures
for cohort selection for the epidemiology pilot study.

The VA has brought in

bipstatistica) consultants to work with this subcommittee and with the AAOTF.

The

Subcommittee is now in the process of preparing its final report to the Science Panel.

Health Care

Tr« Veterans, Administration is implementing the medical core and treatment provisions
of Public Low 97-72, the "Veterans' Health Care, Training, and Small Business Loan Act
of 1^81." Shortly after the law was signed, interim guidelines for the implementation of
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published In in the Federal Register on December 5, 1981, to provide Vietnam veterans
and the general public with the opportunity to comment.

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Under the provisions of the guidelines, each veteran who served in the Republic of
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Vietnam and who requests VA medical care Is being provided a complete medical history,
physical examination and appropriate diagnostic studies/When it is determined that a
condition

exists requiring treatment, the responsible staff

physician makes a

determination as to whether the condition resulted from a cause other than the specified
exposure to Agent Orange. The guidelines include a description of those conditions
which I determined cannot ordinarily be considered to be due to such exposure.
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Ultimately, it is left to the treating physician to exercise professional judgment in
determining whether the veteran should be provided care under this authority.

Agent Orange Registry
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Since the initiation of the Agent Orange Registry in 1978, approximately 91,000 veterans
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have received an Agent Orange examination at VA health care facilities. The VA has
provided approximately 20,000 follow-up examinations for Agent Orange.

The basic

registry process involving a comprehensive physical examination, completion of a
questionnaire and informing the veteran of the results of the examination verbally and in
writing, are continuing to be followed by all health care facilities.

The monthly report, transmitted by VA health care facilities and compiled at VA Central
Office, is still an effective tool in measuring the numbers of examinations (initial and
follow-up) being performed at the facilities and the number of pending examinations.
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The4 Environmental Medicine Office is continuing to monitor the numbers of pending
examinations to assure that the veteran is provided the Agent Orange examination and
related treatment in a timely manner. Facilities reporting •Vjut-of-line" situations, that
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is, facilities with examinations pending more than 30 days or having more than 50

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examinations pending during any reporting period ore contacted by program officials at

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V^A Central Office and directed to'take Immediate action to reduce the number of
pending examinations to comply with Central Office guidelines.
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'Improvements In our registry procedures will enable the VA to match Agent Orange
Registry records with records of hospitalization in the Patient Treatment File (PTF)
system so that correlations can be made regarding the types of diagnoses Vietnam
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veterans are fpresenting forf treatment at VA health care facilities.
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The VA is cooperating with the Department of Defense with regard to Agent Orange
examinations for active duty personnel. Instructions will be mailed to all VA health care
facilities for processing an active duty service member's request for an examination and
for processing the forms. The results from this examination will be entered into the
Agent Orange Registry.

Twins Study

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The VA has recently given approval for the development of a comprehensive protocol

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that will involve studying identical twins. The proposed study would involve identical
twin veterans where one twin served In Vietnam during the period of Herbicide Orange
spraying and where the twin sibling did not serve in Southeast Asia. This study will be
designed to investigate whether the current psychological and physical health of Vietnam
veterans was adversely affected by their military experience in Vietnam.

Veterans

Administration researchers at our St. Louis VA Medical Center have proposed the study
and ore currently developing the protocol. We would anticipate that If the protocol
survives the scrutiny of appropriate scientific reviews, we will launch into the physical
examinations of some 450 pairs of identical twins in late 1983 and should have an initial
report of findings by October 1984.
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A carefully-designed and well-executed mortality analysis of Vietnam" veterans will
provide background to many questions raised by the Agent Orange exposure issue in
particular as well as the possible health effects of service in Vietnam in general,

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Vietnam Mortality Study is designed to analyze and compare cteatH rates arid cause-ofdeath profiles of veterans with service in Vietnam and comparable veterans with no
service in Vietnam.

The studies will use existing computer records to assemble a cohort of veterans and
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determine their mortality experience. It should be noted that the mortality studies will
provide mortality information which may prove useful primarily in suggesting areas for
further scientific study. These mortality studies will be conducted by researchers at the
Veterans Administration Central Office in Washington, DC. The collection and coding of
death certificates and the abstracting of military records will be done by VA
contractors. We are currently evaluating submitted proposals and hope to sign contracts
for these efforts shortly. It is anticipated that it will take approximately two years to
complete the mortality studies.

Retrospective Study of Dioxins and Furons in
"Adipose Tissue of Vietnam-Era Veterans
The Environmental Protection Agency has been collecting adipose tissue from the U.S.
general population.

This National Adipose Tissue Bank was initiated in 1968 and now contains specimens
from approximately 6,000 individuals. Represented within this bank is adipose tissue
from approximately 3dO males born between 1938 and 1952.

It is estimated that

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approximately 200 of these males may have served in the U.S. military during the
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Vietnam"erei and that as many as 70 may have lervecl in Vietnam.

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"We are currently developing an agreement by which the VA would support an interogency
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will be a retrospective study of chlorinated aioxins and furans in human adipose tissue.
The study is designed to establish 'background levels of 2, 3, 7, 8-TCDD in the U.S. male
population. In addition, this study may serve as a means of determining whether service
in the military and especially in Vietnam has had an effect on the levels of TCDD in the

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develop the research protocol and appropriate sampling and analytical methods. The
actual analyses of the human tissues will be costly and time consuming. Data should be
forthcoming within two-three years.
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Chloracne Activities

The review of skin conditions to identify questionable cases which may be chloracne is
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Over 3,200 Rating Decision Sheets on skin condition claims have been

reviewed by VA Central Office physicians. The medical records of questionable cases
were reviewed by a dermatologist consultant at the Washington VA Medical Center who
tentatively identified 12 cases requiring a further clinical review which will include a

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physical examination of those individuals.

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including dermatology examinations, of these individuals at selected non-VA clinics. I

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anticipate that these examinations will be conducted during October.

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We intend to continue our review of Rating Decision Sheets provided by VA Central
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Office Compensation and Pension Service to determine possible chlorocne cases and
recommend selected claimants for special dermatojogical examination. Additionally, we
will review and analyze Agent Orange Registry data relating to types of skin conditions
being reported by participants.

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I am confident that our current emphasis on chloracne-related activities will assist us in
more effectively identifying and treating skin conditions which may be the result of
exposure to Agent Orange.

Vietnam Service Indicator for Patient Treatment File

The Patient jreatment File (PTF) maintained by the Department of Medicine and
Surgery has great potential for epidemiological research related to Vietnam veterans. A
major problem with this automated, file is that there has been no entry to identify those
veterans who actually served in Vietnam.
.' •

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The establishment of such an indicator, in most instances, will require a hand search of
the individual veteran's service record. This would best be accomplished by a contract
with an organization which has a proven record of expertise with this type of effort.
' ' " . " . '

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We intend to conduct a study to determine the feasibility and cost of obtaining a
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veteran's service history. Based upon the results obtained, we will then decide whether
to obtain this information for all Vietnam-era veterans in the PTF.

�Speciolly-Solicited Reseorch Activities

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Medical Research Services has recently approved 10 new Agent Orange research studies
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that will investigate the impact on basic biological processes of low levels of exposure to
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components of Agent Orange. Two other ongoing studies address these issues also. The
Studies include analysis of the impact of Agent Orange components on:

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biological system to one or more components of Agent Orange, and subsequently
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measuring abnormalities of biological function.
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The chemicals used in these experiments which are the main component parts of Agent
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Orange are: 2.4-dichlorophenoxyacetic acid (2,4-D) and 2,4,5-trichiorophenoxyocetic

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acid (2,4,5,-T). In addition to these chemicals, Agent Orange (and some other herbicides
used less frequently in Vietnam) contained varying amounts of a contaminant commonly
referred to as TCDO (dioxin) which will also be a focus of studies to determine whether
and how delayed toxicity is manifested after low-dose exposure. Such studies may
provide clues for clinicians as to what medical tests would best identify delayed, toxic
effects, if any, of exposure of veterans to herbicides in Vietnam.

The biological systems thought to be affected by exposure to TCDD are:

6

Liver function; When animals are exposed to TCDD and related compounds,
these chemicals are stored in the liver and produce acute liver damage. It

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would appear likely that any delayed harmful effects of exposure to low closes
of »uch compounds would be manifested by subtle changes fn the biochemistry
•«f the liver.

Seven of the funded research studies will investigate the

delayed impact of exposure to

Agent Orange components and the

contaminant TCDD on various aspects of liver cell functions in a variety of
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Skin: Chloracne is the one documented effect of low-dose exposure to Agent
Orange in humans. One study will analyze the underlying biochemical events
that lead to ch lor acne in a mouse model and in human tissue culture cells.

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the nervous systems: Acute accidental poisoning with TCDD in man has led
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to a variety of usually-acute neuromuscular abnormalities. Four studies will
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systematically investigate the effect of the components of Agent Orange on
neuromuscular function, sleep and behavior in a variety of animal models.

A new effort to solicit and support research on the special health problems facing
Vietnam veterans has just begun.

The Research and Development Office has sent

forward to all VA medical facilities a solicitation for research studies dealing with
disorders affecting Vietnam veterans and their families.

It is anticipated that a

significant number of new studies submitted in response to this solicitation will be
supported in Fiscal Year 1983.

• • - • - - • . • • &gt; ' • . ..

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Monograph Series
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Funding has been provided during FY 1982 for the preparation of a monograph series
designed to provide useful scientific information on environmental factors that may have
affected the'health of military personnel serving in Vietnam.

�II.

-&amp;#!^^^ ore planned on the following subjects:
Monographs
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Literoture Anolysis

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chloracne, birth defects and genetic
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Mr. Chairman, as you may know, the comprehensive literature review of worldwide
scientific literature on Agent 6range and other phenoxy herbicides used in Vietnam has
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been completed in accordance with the provisions of Public Law 96-151,
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distributed this two-volume report (which includes an annotated bibliography and analysis
of1,200i scientific papers)^widelyWithin imeVA.

Copies have also been provided .to rnembers of the White-House established Agent
Orange Working Group, the Advisory Committee on Health-Related

Effects of

Herbicides, the National Academy of Sciences, the Office of Technology Assessment, the
Departments of Agriculture and Defense, Surgeon General of the U.S. Air Force, Library
of Congress, the Centers for Disease Control and other individuals, organizations, and
scientific research groups. The successful completion of this review represents a step
forward on the Jong road to understanding the complex health issues related to the use of
herbicides.

It will undoubtedly serve as an invaluable scientific resource which will

assist scientists and others in identifying areas suitable for additional research.

We jntend to periodically update this report and to augment it with a detailed critical
assessment of all publications addressing herbicide exposure with particular emphasis on
health consequences in humans.

It is estimated that about 400 publications have

appeared since October 1981. A critical review of these recent reports is needed in
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order to keep this effort current. The Veterans Administration will take necessary steps
to ensure that the literature review and analysis remains as current as possible.

�12.
Armed Forces Institute of Pathology (AFIP)

The Veterans Administration Is continuing to cooperate with the Armed Forces Institute
of Pathology in providing biopsy and autopsy materials for analysis to the Institute. This
special registry was established in 1978 with the purpose of analyzing tissue samples to
determine what diseases Vietnam veterans are suffering from, as reflected in biopsies or

The VA has repeatedly emphasized the importance of the AFIP Registry and will
continue to urge VA health care facilities to send pathological material obtained from
any Vietnam veteran.

.

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Education Activities

Mr. Chairman, our environmental physicians, as Agent Orange coordinators at our major
VA health care facilities, remain the key link in examining and advising the veteran
concerned about exposure to Agent Orange. In order to ensure that these health care
staff remain completely abreast of the latest developments, nationwide conference calls
ore held on a regular basis. When required, special conference calls are scheduled on
significant developments requiring their immediate attention.

In addition to the conference calls, relevant Agent Orange-related literature is
periodically sent to the immediate attention of environmental physicians. Staff support
within the Environmental Medicine Office is available to assist in the explanation of
.specific documents. or to answer questions which may be raised by the information
received from VA Central Office.

�13.

Environmental physicians ore encouraged to participate in important scientific meetings

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I&lt;in Ag«nt Orange and other environmental substances in order to keep abreast of
scientific «nd medical developments.

Members of our own VA Central Office staff

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played a key role In the planning and organizing of an "International Symposium on
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.Chlorinated Dioxins and Related Compounds" which was held in Arlington, Virginia, on
October 25-29, 1981. On October 12-1 A, 1982, Or. Barclay M. Shepard, my special
assistant, and Dr. Alvin L. Young will actively participate in the "3rd International
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Symposium on Chlorinated Dioxins and Related Compounds" which will be held in
Salzburg, Austria. ) hove been advised that several of our environmental physicians are
/also planning to attend. Through such participation I am confident that our health care
'ftaff will remain professionally current with the latest findings on the short and longrange effects of Agent Orange and other environmental substances.

VA Public information Activities

As part of our effort to inform Vietnam veterans, their families, and other concerned
individuals and organizations about Agent Orange and the assistance provided by the VA,
we produced and distributed to all VA field stations a videotape entitled "Agent Orange:
'&lt; A Search for Answers."

'* • ,

While a recent internal survey indicated that many thousands of people have viewed the
program on television or in numerous groups of individual showings, we are encouraging
grepter use of the film.

' :

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We are very pleased to report that this videotape has received considerable acclaim from
critics.

The Health Education Communication Association and the Network for

Continuing Medical Education presented an award of merit to the VA for Outstanding

�14.
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ochievement in the use of television for education in the health sciences."

The

International Television Association (ITVA) awarded its Golden Reel of Excellence for
the vltteotape's "highly-effective form of communication, which helped Ifie user
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organization better achieve its stated goals." the program also was cited by ITVA for
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creativity, innovative techniques, and high-production value. In addition, the program
also received an Emmy Award from the National Academy of television Arts and
Sciences.

We are delighted by this recognition and encourage all interested individuals to view this
program.
*

The VA takes seriously its obligation to keep veterans informed about Agent Orange. We
have also pursued other avenues to provide information and education to concerned
Vietnam veterans and their families and VA employees on matters related to Agent
Orange.

.

Early this year, an automated mailing list was developed from the Agent Orange
Registry. In June, letters were sent to these veterans along with the first two of a new
series of printed information material on Agent Orange. One of these pamphlets was
devoted primarily to Public Law 97-72. A third pamphlet has been issued and a fourth is

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in production.

VA officials have participated in public seminars, news media interviews and other public
forums dealing with the subject of Agent Orange.
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VA Liaison with State Agent Orange Activities

At the present time, 18 states have initiated programs directly related to the Agent
Orange issue.

The VA is continuing its efforts to maintain an effective, ongoing

�15.
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relationship with each of these state programs. One of the prime responsibilities of our
Agent Orange Research and Education Office is to insure that current and accurate
information regarding VA Agent' Orange-related activities is disseminated on a timely
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basis to the various states,' as well as to veteran service organizations, government
agencies, and interested parties. We consider }t to be an essential part of our program to
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• ••" ; • insure that the veteran population as a whole, and those who serve them at all levels, are
fully Informed both with regard to the current body of knowledge regarding the possible
adverse effects of dioxins, as well as the status of VA Agent Orange programs.

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To this end, the VA has provided the states with copies of all pertinent Agent Orange
materials and we have extended to officials from all of these states an open invitation to
attend the VA Advisory Committee meetings. Several of the states sent delegations to
' . ' • • , - ' ' , •

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the meeting held on August 31.

The efforts are of a continuous nature and are beneficial to all concerned parties. As
new states become involved in the Agent Orange issue, VA will include them in its
information exchange program.

White House Agent Orange Working Group (AOWG)

We are pleased to report that the Veterans Administration is continuing to play an active
role in the White House Agent Orange Working Group and its Science Panel.

This committee was established in July 1981 when the Interogency Group to Study the
Possible Long-Term Health Effects of Pnenoxy Herbicides and Contaminants was
expanded and elevated in status to the Cabinet Council level.

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The AOWG brings together policy officials and scientists from throughout the federal
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(*• " matters and to develop and organize the means to carry out additional needed scientific
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The Department of Health and Human Services (DHHS) is the lead agency in the working
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In addition to DHHS and VA, the AOWG includes representatives from the

Departments of Defense, Agriculture, and Labor, Environmental Protection Agency,
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•^ • Office of Management and Budget, Council of Economic Advisors, Office of Science and
Technology and Office of Policy Development.

The AOWG has been very helpful to the VA in the review of our planned epidemiological
study, mortality study, and other important research efforts.

Through the AOWG

mechanism, the VA also has been able to contribute to the success of Agent Orange
research efforts conducted or sponsored by other federal departments and agencies. The
more important of these research efforts are the U.S. Air Force's "Operation Ranch
Hand" study and the Centers for Disease Control's Birth Defects Study.

We view our participation as vital to the scientific process and as fully consistent with
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the President's goal of ensuring "... that the full resources of the federal government
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are available to support the working group's continuing efforts."

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Advisory Committee on Health-Related Effects of Herbicides

This committee, established in 1979, continues to meet quarterly at VA Central Office
for the purpose of assembling and analyzing information which the VA needs to
formulate medical policy and procedures on"the complex questions surrounding veterans'
herbicide exposure.

�17.

During recent meetings the committee has discu&amp;sed the VA epidemiological study and
herbicide Ijterdture review,' the VA-*olicited in-house research program regarding Agent
1
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Orange and Agent Blue, the VA mortality study, international dioxin symposiums, the Air
Force t^ealth'Study, the CDC Birth Defects &amp;udy, the proposed VA Twin Study/the
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AFIP Agent Orange' ftetfistry, the VA rVioribg/aph series, and many'btheir-research
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activities and rrtottersdf concern to Vietnam veterans dnd scientists searching for
answers to the (difficult qUeirfions1 raised oi&gt;obt'the possible human health effects of
herbicides.
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The committee 'has been particularly helpful in advising the VA on the literature review
and the epidemiological study. The literature review, published October 1981, was the
subject of several sessions and considerable time and attention have been devoted to a
critique of the proposed epidemiological study design.

Verbatim transcripts are prepared and made available to appropriate government offices
and interested organizations and individuals. A copy of each transcript also is sent to all
environmental physicians.

;

;:;

Policy Coordinating Committee

In recognition of the importance of the Agent Orange issue, the Administrator has
reorganized and elevated in status the Policy Coordinating Committee (PCC) which was
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thCjAgency's central coordinating point for Agent-Orange related activities. The PCC
develops policy for review and approval by the Administrator. It now is composed of the
top leadership of the major departments and staff offices within the VA. Mr. Everett
Alvarez, Jr., Deputy Administrator, chairs the PCC.

�18.
I wish to conclude this port of my testimony on Agent Orange, Mr. Chairman, by again
expressing the total commitment of the Veterans Administration to attempting to
resolve the many issues relating to Agent Orange. Although there is no way that we, or
anyone, can guarantee that ultimate and conclusive answers will be found to the
extremely-complex medical and scientific issues stemming from the use of the defoliant
Agent Orange in Vietnam, nevertheless, we will continue to vigorously pursue the search
for those answers. These efforts will center not only on our own research initiatives, but
will be closely interfaced with the intensive research now underway by other federal,
public and private institutions.

Readjustment Counseling

The Vietnam-era Veterans Readjustment Counseling Program has seen a number of
important developments in recent months.

In January, the Veterans Administration vested responsibility for this program in a new
independent professional service—the Readjustment Counseling Service—and established
that service on the same administrative level as Medical, Surgical, Nursing, Prosthetics,
etc.

A new program director was appointed by the Administrator of Veterans Affairs on
February 10, 1982, following an intensive and thoughtful search and selection process.
The±new Director of the Readjustment Counseling Service, psychiatrist, Arthur S. Blank,
Jr., M.D., too Vietnam veteran and has been psychiatric consultant to the program since
its earliest planning stages in 1979.

�19.
A^third leadership jnitjative ^was taken on Jun? |f, 198?, when a new position was created,
C^hief pf^CpMn^eling Services, andean «*per4t clinician Dr. Raymond M.

Scurfield from

the Brentwood VA Medical Center was hired for this position.
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Underscoring the significance

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Counseling Program Is ;|he establishment |n November 1981 of a high-level Agency wide
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stee/ing commijtee tp.monitpr the^program,

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Improving the management. and^prganlzatjpn. :of the Vet Center Program has been one of
our top priorities. In addition to augmenting our Central Office program management
group, we have taken steps to strengthen the offices of pur six Regional Coordinators
who oyers.ee.

Vet

Center

operations in tl)eir .respective regions.

During

the

developmental phase of the program, each of these important offices was staffed by a
Regional Coordinator and a single secretary. Each Regional Office now has an Assistant
Coordinator for Administrative Services, and we are further strengthening the Regional
Coordinators' staffs with the appointment of an Assistant Coordinator for Clinical
Services and an additionalI secretary.

From an organizational standpoint, the most important development of recent months
has been the publication of a new program circular, which clarifies lines of authority and
responsibility. It contains several key elements:

~a. The responsibilities of the Director and the Readjustment Counseling Service
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Staff In Central Office for overall supervision and management of the program are
. spelled out. The Director and his staff have direct operational control of the Vet
Center system through the Regional Coordinators and, within Central Office,
,„

report to the Deputy ACMD for Professional Services and to the Chief Medical
Director through the Associate Deputy Chief Medical Director.

�20.
b. The responsibilities of the Regional Coordinator's staff are also clarified. We
have established clear lines of authority and responsibility from Vet Centers to the

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Regional Coordinator's staff to the Readjustment Counseling Service in Central
Office. The Regional Coordinators are responsible for selection and all supervision
, of the Team Leaders, and the program director is responsible for selection and all
supervision of the Regional Coordinators. We have also spelled out the relationship
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between Vet Centers and their local VA Medical Center parent facilities. The
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circular directs that the parent VA medical center is responsible for providing the
Vet Center all required support services.

On professional matters, the medical

center's role with respect to the Vet Center operations is to be consultative and
collaborative only.
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As part of our reconstituting of the management and organization of the readjustment
counseling program, we have instituted financial and accounting procedures which track
all program funds and maintain their earmarked character at the local level.
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As you know, Mr. Chairman, we have also established a mechanism to contract with
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veterans who do not have access to one of our Vet Centers. We are using a decentralized
model with a contracting committee at each of 122 medical centers. The contracting
committee includes two members of a Vet Center staff in each instance.

As of August

31, over 300 contracts had been awarded. We are currently evaluating the quality and
effectivenss of this new mode of service delivery.
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That concludes my statement, Mr. Chairman. I will be pleased to answer any questions
you or members of the committee may have.

�</text>
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&lt;p&gt;For more about this collection, &lt;a href="/exhibits/speccoll/exhibits/show/alvin-l--young-collection-on-a"&gt;view the Agent Orange Exhibit.&lt;/a&gt;&lt;/p&gt;</text>
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                <text>Custis, Donald L.</text>
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                    <text>°1703

Item ID Number
Author
Corporate Author

Report/Article Title Typescript: White Paper: Status of VA Epidemiologic
Study of Agent Orange, August 27, 1982

Journal/Book Title
Year

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Monday, June 11, 2001

Page 1704 of 1793

�DM&amp;S 8/27/82
WHITE PAPER
STATUS OF VA EPIDEMIODOGIC STUDY OF AGENT ORANGE

The epidemiology protocol originally submitted to the VA by the U.C.L.A.
School of Public Health on April 29, 1982, has now been reviewed by the VA
Advisory Committee on Health-Related Effects of Herbicides, the White House
established Agent Orange Working Group (AOWG) and the Office of Technology
Assessment. All of these review groups have noted that further development of
the research protocol is needed in certain areas. For example, each of the
following topics has been mentioned by one or more of the protocol review
groups as needing additional attention: a clear statement of specific hypotheses
to be tested; the data reduction and analytic methods to be employed; the
rationale for a third cohort; and more exact statistical power calculations
associated with these refinements of the protocol.
The protocol is currently being reviewed by a committee of the National
Academy of Sciences (MAS). The VA has been advised that MAS is now in the final
stages of this review process. It is expected that the report will be completed
and forwarded to the Veterans Administration by the third week of September.
Further refinement of the protocol is underway and should be completed during
the month of October. Barring unforeseen complications, a contract for the
conduct of a pilot study of approximately 900 veterans (or 300 per cohort)
should be awarded in the January-February 1983 time frame.
A critical component of the pilot study will be to evaluate the cohort
selection procedures and the feasibility of developing cohorts for the full
scale study which will be twenty times larger than the pilot study cohorts.
This aspect of the protocol was not developed by U.C.L.A. and has become the
focal point of recent activity by the VA, the Army Agent Orange Task Force
(AAOTF) and the AOWG. The basic issue is whether the military records are
sufficiently complete and detailed so as to provide a reliable indicator of

�"likelihood of exposure" to herbicides. The present assessment of the records
suggest that identifying the cohort with a high likelihood of exposure will be
easier than identifying the cohort with low likelihood of exposure. The reason
for this is that the present records of herbicide missions, the HERBS Tape,
provide a reference point for estimating likelihood of exposure because
tracking a company in an area known to have been sprayed with herbicides on a
given day can be objectively determined by the records. When looking for units
considered "not likely exposed" the record searchers can only assume selected
units were not near herbicide targets; a subjective evaluation; thus, they
cannot document the absence of exposure to herbicides.

It is important

therefore to note that misclassifying an individual as to likelihood of exposure
can result in "diluting-out" any health effect that may be present and
associated with exposure.
The AOWG has appointed a subcommittee of its Science Panel to establish
procedures for cohort selection for the epidemiology pilot study. The VA has
brought in biostatistical consultants to work with this subcommittee and with
the AAOTF. The subcommittee is now in the process of preparing its final
report to the Science Panel. When this report is forwarded to the VA, a
recommendation will be made by the Chief Medical Director to the Administrator
as to whether the pilot study will focus only on Agent Orange or whether it will
center on the total Vietnam experience with Agent Orange as a major emphasis.
The pilot study itself is expected to be a major factor in the final
decision to broaden or limit the scope of the full scale epidemiology study.
That decision may not be made until the results of the pilot study are available
in late 1984 or early 1985.

2.

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&lt;p&gt;For more about this collection, &lt;a href="/exhibits/speccoll/exhibits/show/alvin-l--young-collection-on-a"&gt;view the Agent Orange Exhibit.&lt;/a&gt;&lt;/p&gt;</text>
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