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A protocol for early childhood caries diagnosis and risk assessment

Article  in  Community Dentistry And Oral Epidemiology · July 2018


DOI: 10.1111/cdoe.12405

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Received: 10 December 2017 | Accepted: 19 June 2018

DOI: 10.1111/cdoe.12405

ORIGINAL ARTICLE

A protocol for early childhood caries diagnosis and risk


assessment

Robin Wendell Evans1 | Carlos Alberto Feldens2 | Prathip Phantunvanit3

1
Formerly, University of Sydney, Sydney,
NSW, Australia Abstract
2
Universidade Luterana do Brasil, Rio The global Early Childhood Caries (ECC) burden is of concern to the World Health
Grande do Sul, Brazil
Organisation (WHO), but the quantification of this burden and risk is unclear, partly
3
Thammasat University, Bangkok, Thailand
due to difficulties in accessing young children for population surveys and partly due
Correspondence to diagnostic criteria for ECC experience. The WHO criterion for caries diagnosis is
Robin Wendell Evans, Formerly, University
of Sydney, PO Box 52, Balmain, Sydney, the late stage event of dentine cavitation. Earlier stages of the caries lesion are clini-
NSW 2015, Australia. cally detectable and should be registered earlier in the life of children and arrested/
Email: wendell.evans@optusnet.com.au
remineralized before lesions progress to the cavitation stage. A protocol for ECC
diagnosis is proposed to guide those engaged in clinical dentistry in their characteri-
zation of the ECC lesion. As management of early lesions is a critical step to reduce
risk of their progression to later stage lesions, a practical method for assessing ECC
risk is proposed also. Risk assessment is very important because it determines (a)
urgency for interventions aimed to arrest lesion progression; (b) the frequency of
such interventions and (c) the need to enhance the primary prevention of ECC. The
guidelines are set out separately for ECC diagnosis for ongoing clinical care and for
epidemiologic purposes. Similarly, guidelines are set out for ECC risk assessment and
ongoing monitoring.

KEYWORDS
deciduous dentition, diagnosis, early childhood caries, epidemiology, risk assessment

1 | INTRODUCTION whose floor is in dentine – or its sequelae.5 A more informed


understanding depends on age‐related detection of early stage
A Global Consultation on Early Childhood Caries (ECC) was held in lesions. ECC lesions are highly prevalent in the first years of life,
1
Thailand in 2016, in response to reports which had identified dental and treatment measures are available to arrest lesion progression
caries in the deciduous dentition as the 10th most common disease and prevent dentine cavities.6,7 Thus, it is appropriate that deci-
of the 291 health conditions assessed as well as a condition that sig- sions on diagnosis are reached on the basis of early stage lesions,
nificantly affects quality of life of children and their families.2,3 ECC so that they can be treated noninvasively and that the key risk fac-
experience is defined as the presence of one or more decayed (non- tors which maintain the disease process can be controlled. More-
cavitated or cavitated lesions), missing (due to caries) or filled tooth over, personalized care and public policies may benefit from ECC
surfaces in any primary tooth in a child aged 71 months or risk assessment, which indicates the likelihood an individual will
younger.4 develop new lesions in the near future. Risk assessment tools
At the consultation, it was noted that the understanding of should be used to assist clinicians when they consider ECC treat-
ECC is hindered by a lack of epidemiologic data and by variation in ment options and recall schedules.8 Additionally, they can be used
the diagnostic criteria used for ECC. The WHO standard for caries to identify common risk factors with other conditions, to inform
diagnosis is highly conservative in that the condition is confirmed dental public health strategies and health education and to direct
following the detection of the late stage caries lesion – a cavity the allocation of resources.9

Community Dent Oral Epidemiol. 2018;1–8. wileyonlinelibrary.com/journal/cdoe © 2018 John Wiley & Sons A/S. | 1
Published by John Wiley & Sons Ltd
2 | EVANS ET AL.

In response to the Global Consultation, the purpose of this paper defined stages.8 For too long, a caries diagnosis was reached on evi-
is to propose a protocol for ECC diagnosis that will differentiate dence of dentine cavities, while ignoring early signs. Dental caries is
between early and later stage lesions for use in the clinical manage- a dynamic disease and it can go into remission; initial lesions may or
ment of ECC and in epidemiologic surveys. As preventive and treat- may not progress to the late stage of dentine cavitation.19
ment schedules for ECC are dependent on the risk status of the
child, a practical method for ECC risk assessment is proposed also.
2.1 | Guidelines for the clinical care setting
The examination of the child has the objective of collecting data
2 | ECC—THE DISEASE AND ITS to enable the diagnosis of diseases and conditions that affect chil-
DIAGNOSIS dren, such as dental caries, traumatic dental injuries and malocclu-
sion in order to develop a programme of treatment and ongoing
The disease of ECC is a process driven primarily by excessive expo- monitoring.
sure to free sugars.10 Free sugars are fermented to acids by plaque The collection of medical/dental data and dental risk factors is
bacteria, but excessive exposure to them transforms the plaque bio- important for the individual diagnosis and for monitoring the pro-
film into a cariogenic vehicle.11 The resultant acid build‐up within gress of clinical situations and patient home care. The following per-
plaque shifts the natural demineralization‐remineralization balance at sonal particulars and history data should be recorded: (a) date of
the enamel‐biofilm interface so that demineralization outstrips rem- examination, name of the child, sex, date of birth, age and ethnicity;
ineralization.12 Intraorally, ECC pathogenesis is mediated by saliva (b) SES data: parents’ level of education, occupation, family income
and fluoride exposure.1 Notably, socioeconomic status (SES) has a and location type (urban, rural); (c) medical history; (d) experience of
critical influence on ECC occurrence and polarization.13 The greater pain; (e) previous use of dental services, including previous treat-
risk of ECC in children with lower SES may be related to more cario- ment; and (f) behaviours: (a) dietary practices: breastfeeding and bot-
genic eating practices, worse oral hygiene, and to differences in con- tle feeding duration and exposure to free sugars; (b) fluoride
structs that represent the ability to perceive health problems as well exposure; and (c) toothbrushing frequency.
as the perceived benefits of taking action.14,15 In a clinical care setting, children may be examined in a dental
It is important to note that caries lesions, by themselves, are not chair or while they are being held by a parent/carer. It is best if teeth
the disease. Actually, they are the clinical manifestation of the dis- are cleaned and dried to allow for more accurate diagnosis of ECC
ease process and indicate only that a child has experienced ECC.16 lesions.20 The examination of all tooth surfaces (mesial, distal, buccal,
Similarly, the presence of restorations and signs of missing teeth lingual/palatal, occlusal/incisal) should be conducted in a systematic
usually indicate previous ECC experience. Furthermore, the patho- manner in order that no surface is missed, regardless of the method
logic activity within plaque is not directly observable and, because used.
ECC lesions progress slowly, it is not always apparent on any day The clinical examination for the detection and diagnosis of ECC
whether or not the disease is active or in remission. A later observa- may be described as visual‐tactile using basic equipment including
tion of a lesion following an interval of several months is necessary the WHO CPI probe and mouth mirror or wooden spatula. Four
to confirm whether or not it has progressed and thus to determine principles govern the use of the CPI probe: (a) it should be used only
whether the disease (not the lesion) is active or in remission. It may to confirm a suspected lesion; (b) only light pressure should be
also be assumed that, if the causative factors continue to be con- applied; (c) a decision on the status of a lesion should be reached
trolled satisfactorily, then the risk of future ECC episodes is negligi- quickly without repeated probing; and (d) in cases of doubt, assign
ble. On the other hand, if new lesions emerge and/or existing lesions the lower score.
progress, it may be concluded that the causative factors have not
been controlled and that ECC is still active.
2.1.1 | Clinical stages of the ECC lesion
In general, a visual inspection of the dentition is a quick and easy
method to detect: (a) the presence or absence of caries lesions in Figure 1 shows the clinical stages of the ECC lesion. The first clinical
deciduous teeth; and (b) the size and extent of any lesions.17 It is sign of a caries lesion appears as a smooth white spot or zone on
also claimed that lesion activity may be assessed via visual inspec- enamel; the Stage 1 lesion (defined as code ECC‐1). Stage 1 lesions
tion, but the value of assessing them is unclear because the defini- may progress to Stage 2 (defined as ECC‐2) where the surface of
tions of “active” and “nonactive” lesions are, in fact, descriptions of the white zone is roughened due to enamel breakdown. With
their morphology which indicate more and less enamel degradation, ongoing enamel breakdown, the lesion reaches Stage 3 (defined as
respectively.18 The characteristics of lesions cannot be direct mea- ECC‐3) at which point a cavity involving dentine is visible. This ECC
sures of lesion activity because, as already noted, the pathologic classification was informed by ICDAS,8 but the more complex ICDAS
activity occurs within the plaque biofilm. system of seven stages has been reduced to four (0, 1, 2, 3). In both
The most important advance in caries diagnosis was the recent clinical and epidemiologic settings, a four‐stage ECC classification
development of the International Caries Detection and Assessment renders diagnostic decision‐making more simple, quick and valid and,
System (ICDAS) which recognizes that lesions progress through importantly, indicates stage‐specific treatment options.
EVANS ET AL. | 3

ECC Code and Description Anterior teeth Posterior teeth

ECC-0 Sound
There is no existing restoration nor signs of the early stage
ECC lesion.

ECC-1 Smooth white spot lesion


Tooth surface has a smooth white spot or white zone lesion,
especially noticeable on buccal surfaces. Arrested white spot
lesions which have a translucent appearance should also be
registered as ECC-1.

ECC-2 Enamel breakdown*


Tooth surface has a white zone lesion showing signs of
enamel breakdown. This sign will be confirmed when the
WHO CPI probe discloses a roughened or broken enamel
surface. However, the base of the defect must be hard, and
therefore, within enamel to qualify for ECC-2. Lesions of this
type mostly occur on buccal and occlusal surfaces and
sometimes on lingual surfaces. Lesions on occlusal surfaces
may present as dentine shadows, with or without enamel
breakdown, and should be scored ECC-2.

ECC-3 Cavity into dentine


Tooth surface has a visible cavity extending into dentine. If
necessary, this sign will be confirmed when use of the WHO
CPI probe discloses a soft dentine base. Lesions of this type
may occur on any tooth surface and may occur alongside an
existing restoration, or separate from it.

Other categories of surface status


f - Filled and sound (includes crowns). A restoration is present and there are no signs of ECC lesions anywhere on this surface.

m - Missing. A tooth has been extracted due to ECC. This code should be used only if the child is at an age when normal exfoliation would
not be a sufficient explanation for absence.

u - Unerupted. A gap in the dentition of a toddler due to an unerupted deciduous tooth

x - Excluded (developmental defect, other opacity, etc)

* Note: Defective restoration margins should NOT be classified as ECC-2. In addition, possible carious enamel alongside
restorations should not be classified as ECC-2 because such lesions cannot be diagnosed with certainty.

FIGURE 1 Criteria for Early Childhood Caries lesion Classification and Other Clinical Findings
4 | EVANS ET AL.

health programmes.22 WHO recommends the use of simplified


2.1.2 | ECC codes and descriptions
structured questionnaires for collecting data5 which corresponds
These guidelines do not follow the traditional practice in two impor- with those gathered in the clinical care setting, and in addition: (a)
tant respects. First, the criterion for a decayed tooth was previously identification number; (b) examiner; (c) area‐based deprivation
defined as a dentine cavity, yet a caries lesion may be present, diag- measures; and (d) family impact on oral health‐related quality of
nosable and reversible long before this stage, especially in child- life.
hood.21 Hence, this new guideline requires that decay is registered The human resources needed for the dental examination are a
according to lesion stage. Second, the status of each tooth was pre- calibrated examiner and a recording clerk. It is highly recommended
viously defined by a single code, whereas this guideline requires that that calibration exercises are conducted prior to the survey to
lesions on each tooth surface are diagnosed and their status enhance examiner reliability (also known as reproducibility). Agree-
recorded separately, according to Figure 1. If a surface has more than ment between different examiners, when examining the same
one lesion, that surface is coded according to the more severe patient, is referred to as interexaminer reliability, whereas the ability
presentation. by a single examiner to repeat the result on the same patient at dif-
ferent times is referred to as intra‐examiner reliability. For continu-
ous data (such as dmfs), the intraclass correlation coefficient may be
2.1.3 | Recording of ECC status for clinical care
used to quantify the extent of reliability,23 whereas for categorical
The status of each tooth surface is determined and charted on the variables, reliability is assessed through use of the kappa statistic.24
ECC chart (Figure 2). This information is used additionally to deter- For the examination of preschool children, parents and caregivers
mine ECC risk status. By comparing the information in this chart can stay together and can contribute to the protective stabilization
with that in future charts, it will be apparent whether new lesions of children when necessary.
have appeared or whether existing lesions have progressed or Instruments and supplies required for each examiner are as fol-
remained static (“arrested”). By this means, ECC status and risk are lows: mouth mirrors, WHO probe, rubber gloves, toothbrushes and
monitored (see below). gauze. Containers for used instruments and for sterilizing instru-
ments are also required.
Positioning of children and examiner depends on the location
2.2 | Guidelines for the epidemiologic survey setting
and the availability of furniture. The most favourable situation for
The examination of the child in the field setting has the objective of the quality and safety of the examination in preschool children is
collecting data to determine the occurrence of dental diseases and with the child lying on a table, or in a parent's lap, and the examiner
conditions that affect children, later serving as a reference for plan- seated behind the child's head.
ning health activities at the individual and collective level. The lighting can be artificial or natural, and should remain the
Similarly, as for the clinical care setting, the collection of medi- same for all examinations. Regardless of the source, the position of
cal/dental data and dental risk factors is important for the analyses furniture, the examiner and the child should maximize the use of
of diagnostic findings and for monitoring and evaluating oral light.

ECC CHART - Ongoing Clinical Care


NAME ECC codes Other codes
0 Sound. No sign of ECC lesion f Filled and sound (includes crown)
Date of birth (dd.mm.yy) 1 Smooth white spot lesion m Missing due to caries
2 Enamel breakdown u Unerupted
3 Dentine cavity (includes cavities X Excluded (eg developmental defect)
alongside restorations)

Date of examination 1
55 54 53 52 51 61 62 63 64 65

O M D B L O M D B L M D B L M D B L M D B L M D B L M D B L M D B L O M D B L O M D B L

85 84 83 82 81 71 72 73 74 75
Date of examination 2
55 54 53 52 51 61 62 63 64 65

O M D B L O M D B L M D B L M D B L M D B L M D B L M D B L M D B L O M D B L O M D B L

85 84 83 82 81 71 72 73 74 75

FIGURE 2 The Early Childhood Caries Chart for use During Ongoing Clinical Care
EVANS ET AL. | 5

2.2.1 | ECC codes and descriptions for the


epidemiologic survey
The Plaque Index (Silness & Loe, 1964)
The criteria for ECC and ECC codes used in the epidemiologic sur-
vey setting are the same as those used for children examined in a
clinical care setting (see above). As for the clinical care setting, it is
best if teeth are cleaned and dried before they are examined, but in
field conditions, it may not be possible to dry teeth.
0 – No visible plaque
2.2.2 | Recording of ECC status for the
1 – Plaque not visible but can be detected by
epidemiologic survey wiping surface with a periodontal probe
In an epidemiologic survey, the record of the clinical examination for
or the ball-ended WHO probe.
ECC should be entered on a chart formatted similarly to that of Fig- 2 – Visible plaque
ure 2 for future electronic analysis. 3 – Thick plaque – has been present for days
or weeks.
2.2.3 | Report of ECC experience
FIGURE 3 The Plaque Index Criteria
Age‐specific frequencies and distributions of lesion stages enable
valuable insights regarding onset and severity of ECC. Population
T A B L E 1 Early Childhood Caries (ECC) risk categories based on
measures of ECC may be reported quantitatively, as the mean plaque level, ECC experience and exposure to free sugars
dmfs (ECC) and mean dmft (ECC) indices, or as presence or
High risk A child under 6 y of age presenting with:
absence of ECC experience (Table S1). Other relevant statistics,
• Plaque Index score of 3
such as index median, standard deviation, range (minimum, maxi- • or Dentine cavities (ECC-3)
mum) and percentiles, may be calculated. Also reported should be • or Enamel breakdown (ECC-4)
(a) ECC prevalence (proportion with dmfs (ECC) ≥ 1); (b) incidence • or Missing teeth due to caries
A child aged 2 years or younger presenting with:
(the appearance of new ECC lesions [ECC‐1 or greater] during a
• White spot lesions (ECC-1)
defined interval) on one or more tooth surfaces; (c) increment (the
A child under 12 mo exposed to free sugars.
sum of new lesions appearing during a defined interval); and (d) A child bottle feeding with sugary drinks.
the spread of existing lesions to other tooth surfaces during a A child under 6 y of age exposed to high‐frequency intake
defined interval. of free sugars.
Medium A child aged 3 y or older presenting with:
risk • White spot lesions (ECC-1)
A high-risk child who, during a period of 2 y, has zero new
3 | ECC RISK ASSESSMENT
lesion incidence or no progression of existing lesions is
reclassified as medium risk.
The schedule for ECC treatment should be risk‐specific and so it is Low risk A child under 6 y of age presenting with:
important to conduct ECC risk assessment at the time of ECC diag- • Zero ECC experience
nosis.8 Additionally, ECC risk assessments can be used for the alloca- • Plaque Index score of less than 3
tion of resources, design of dental public health programmes and the • Not exposed to high-frequency intake of free sugars
A medium risk child who, during a period of 2 y has zero
identification of common risk factors with other conditions.9
new lesion incidence or no progression of existing lesions
The risk of any disease, including ECC, is dependent on expo-
is reclassified as low risk.
sures to critical factors, both causative and protective. For dental
caries and ECC, the causative factors are exposures to free sugars
and build‐up of plaque biofilm (which separates vulnerable tooth sur- The assessment of caries risk in a population, based on infor-
faces from saliva), whereas protective factors are access to saliva mation taken from questionnaires, gives rise to a population esti-
and fluoride exposure. In addition, the balance among these expo- mate. Such as estimate relates to the average individual, but not
sures is profoundly affected by the determinants of health, also specifically to a patient of interest. Most risk assessment tools, cur-
known as risk indicators—social environment and lifestyle, physical rently available, which are designed to determine actual risk of indi-
environment, genetic inheritance and the healthcare system.25 vidual patients also involve the completion and analysis of
Essentially, exposures to the causative and protective factors— questionnaires which cover a range of caries risk factors and indi-
free sugars, plaque, saliva and fluoride—are governed by the risk indi- cators. The outcome is a score of some sort which is then con-
cators. As such, some quantification of these must be done during verted to a risk category. Unfortunately, these individual‐specific
medical and dental history taking and clinical decision‐making.26 determinations have not proved to be valid.27 A more sensitive
6 | EVANS ET AL.

approach to ECC risk is needed when dealing with individual


3.1.1 | ECC risk determination
patients. The best guide to future caries risk is previous caries
experience, but, for children under the age of 3 years, exposure to Early Childhood Caries risk is determined on the basis of caries
37
dietary free sugars is a critical ECC risk factor. Hence, the follow- experience and visible plaque level, according to the Caries
ing guidelines on ECC risk focus mainly on free sugar exposure, Management System,31 and, in addition, to free sugars exposure
plaque level, and ECC experience. (Table 1).

3.1 | Guidelines for the clinical care setting 3.1.2 | Record of ECC risk assessment
During medical/dental history taking, exposure to critical ECC risk Information on free sugars exposure, Plaque Index score and sum-
factors should be determined. Specifically, information should be mary data taken from the ECC chart (Figure 2) is recorded on the
sought on: (a) early introduction of free sugars, especially in the first ECC risk assessment form (Figure 4). This form serves as a focus for
year of life;28 (b) high‐frequency intake of free sugars;12 (c) bottle one‐on‐one health education/promotion of parents/carers by den-
feeding with sugary drinks;14 (d) breastfeeding beyond 12 months, tists/dental therapists/hygienists to empower them to manage ECC
especially if frequent and/or nocturnal;29 (e) fluoridated toothpaste risk.
use and if home water is fluoridated; and (f) plaque level.
Note that plaque level should be determined using the Plaque
3.1.3 | Monitoring ECC risk
Index (Figure 3) prior to cleaning teeth in preparation for the ECC
clinical examination.30 The entire surfaces of all visible teeth should On first contact with a child at any age, a caries preventive pro-
be assessed and the index score to be recorded should correspond gramme should commence. As ECC control is synonymous with the
with the surface that has the highest index score. control of sugar, plaque, and fluoride exposures, these are the

Name: Date: Date:

ECC Risk - FIRST assessment ECC Risk - SUBSEQUENT assessment


ECC Risk is to be assessed at diagnosis and then at recall appointments. Note that
some factors are age-specific - if not applicable at date of assessment, select No.

Risk factors (explanatory variables) Risk factors (explanatory variables)


Plaque control Plaque Index Plaque control Plaque Index
Sugar exposure Free sugar exposure under 12 mo Sugar exposure Free sugar exposure under 12 mo
Bottle feeding with sugary drinks in child under 3 y Bottle feeding with sugary drinks in child under 3 y
Breast feeding beyond 12 mo Breast feeding beyond 12 mo
High frequency intake of free sugars in child under 6 y High frequency intake of free sugars in child under 6 y
Fluoride exposure Fluoridated toothpaste use Fluoride exposure Fluoridated toothpaste use
Home water is fluoridated Home water is fluoridated
No Yes No Yes
Clinical indicators Clinical indicators - Do not include numbers of arrested lesions.
Number of cavitated lesions ─ ECC-3 Number of cavitated lesions ─ ECC-3
Number of Stage 2 lesions ─ ECC-2 Number of Stage 2 lesions ─ ECC-2
Number of white spot lesions ≥ 2 mm ─ ECC-1 Number of white spot lesions ≥ 2 mm ─ ECC-1

ECC Risk Status (circle) ECC Risk Status (circle)


Exposure to free sugars in child under 12 mo High Exposure to free sugars in child under 12 mo High
Bottle feeding with sugary drinks in child under 3 y High Bottle feeding with sugary drinks in child under 3 y High
High frequency intake of free sugars in child under 6 y High High frequency intake of free sugars in child under 6 y High
Existence of ECC-3 or ECC-2 lesions High Existence of ECC-3 or ECC-2 lesions High
Existence of ECC-1 lesions in child aged 2 y or less High Existence of ECC-1 lesions in child aged 2 y or less High
Existence of ECC-1 lesions in a child aged 3 or more y Medium* Existence of ECC-1 lesions in a child aged 3 or more y Medium*
Othewise, risk is Low* Othewise, risk is Low*

If, after a period of 2 y, new lesion incidence = zero and


ECC-1 or 2 lesions do not progress, ECC risk is Low*
*But if Plaque Index = 3, ECC risk is high. *But if Plaque Index = 3, ECC risk is high.

FIGURE 4 Early Childhood Caries risk Assessment Form


EVANS ET AL. | 7

factors which must be controlled through education of parents/car- 5 | CONCLUDING STATEMENT


ers and by community health promotion. Successful ECC manage-
ment strategies should reduce ECC risk and, therefore, such risk Use of this protocol will enable the collection of information that is
reduction should be measurable. At monitoring appointments, the essential for the early diagnosis of ECC in both the clinical care and
focus is directed at: (a) free sugars exposure—has this been reduced epidemiologic settings. Earlier stages of the caries lesion are clinically
—yes or no? (b) plaque level—has this been reduced—yes or no? (c) detectible and should be registered early in the life of children and
incidence of new ECC lesions—yes or no? and (d) lesion behaviour— arrested. Consequently, this will advance ECC management because,
did existing lesions progress, remain static, regress—yes or no? Out- previously, ECC diagnosis was reached when the disease was well
comes are entered on the risk assessment form at monitoring advanced and too late for effective preventive measures to be
appointments for comparisons with earlier findings. At the same implemented.
time, ongoing noninvasive treatment of early lesions and collabora- Risk assessment and management of early lesions are critical
tive modification of risk factors is required. steps to reduce risk of their progression to later stage lesions, and
Monitoring frequency is risk specific: 3 monthly, 6 monthly and thus, use of the practical method for assessing and determining ECC
yearly, respectively, for high‐, medium‐, and low‐risk children.31 risk will further advance ECC management because it governs (a)
Improved plaque control, lesion arrest rates and a reduction in new urgency for interventions aimed to arrest lesion progression; (b) the
lesion incidence provide objective measures of ECC risk reduction. frequency of such interventions and, most importantly; (c) the need
If, after 2 years, lesions have not progressed, they are presumed to to enhance the primary prevention of ECC.
have arrested, and, if no new lesions have appeared, the ECC risk
status of such children should now be reclassified as defined in
ORCID
Figure 4.
Robin Wendell Evans https://orcid.org/0000-0002-2271-7155

3.2 | Guidelines for the epidemiologic survey


setting
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