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To cite this article: C. Arden Pope III (2000) Review: Epidemiological Basis for Particulate
Air Pollution Health Standards, Aerosol Science & Technology, 32:1, 4-14, DOI:
10.1080/027868200303885
ABSTRACT. There are now more than 150 published epidemiologic studies of
health effects of particulate air pollution and dozens of related literature reviews.
This article explores the basic inferences currently being drawn from the literature
regarding the epidemiologic evidence particulate pollution induced health effects.
Although there is not a complete consensus of opinion, most reviewers conclude
that the overall epidemiologic evidence suggests th at particulate air pollution,
especially ® ne combustion-source pollution common to many urban and industrial
environments, is an important risk factor for cardiopulmon ary disease and mortal-
ity. Most of the epidemiological effort has focused on effects of acute exposure, but
effects of chronic exposure may be more important in terms of overall public
health relevance. Some reviewers contend that long-term, repeated exposure likely
increases the risk of chronic respiratory disease and the risk of cardiorespiratory
mortality. Th ere is more general ( but still not unanimous ) agreement that short-
term exposures to particulate pollution can exacerbate existing cardiovascular and
pulmonary disease and increase the number of person s in a population who
become symptomatic, require medical attention, or die.
By the 1970s the epidemiologic link be- even at low to moderate concentrations
tween cardiopulmonary disease and histori- (Shy 1979; Bates 1980; Ware et al. 1981).
cally high concentrations of particulate and In the 1970s through the mid-1980s there
sulfur oxide pollution had been well estab- were a few scattered original studies that
lished. In 1979 an extensive research review suggested adverse he alth effects at contem-
by several prominent British scientists porary pollution levels. Then, during the
(Holland et al. 1979) was published. It con- relatively short time period of 1989] 1992,
cluded that there are signi® cant human results of several loosely connected epi-
health effects from particulate air pollution demiological research efforts from the U.S.
at high levels, but that there is not com- were reported. Health effect associations at
pelling evidence of health effects at the low unexpectedly low concentrations of particu-
to moderate concentrations that existed in late air pollution were observed. While
the U.S. and Britain by the 1970s. Other some of these studies were controversial,
reviewers disagreed and suggested that the convergence of their reported conclu-
there are likely important health effects sions resulted in a critical mass of evidence
Aerosol Science and Technology Epidemiological Basis for PM NAAQS 5
32:1 January 2000
Bates 1995, 1996 yes yes yes yes yes yes yes yes yes probable yes
Brunekreef et al. 1995 yes yes yes yes na na na yes yes probable yes
Dockery and Pope 1994, 1996, 1997 yes yes yes yes yes yes yes yes yes probable yes
Pope and Dockery 1996, 1999
Pope et al. 1995a, 1995b
Gamble and Lewis 1996 no no no no no naa na no no weak r yes
Gamble 1998 discount
Lipfert 1994, 1997 ? ? ? ? ? ? ? ? ? possible r yes
Lipfert and Wyzga 1995 question
Moolgavkar and Luebeck 1996 ? na na na no na na no no weak r yes
discount
Ostro 1993 yes na na na yes na na yes yes probable yes
Samet et al. 1995 yes na na na na na na yes na possible yes
Schwartz 1994, 1997 yes yes na na na na na yes yes probable yes
Thurston 1996 yes na na na na na na ? na probable yes
Vedal 1997 yes yes yes yes ? ? ? ? yes probable r yes
question
WHO-EURO 1995 yes yes yes yes yes yes yes yes yes probable yes
U.K. Department of He alth 1995 yes yes yes yes yes ? ? yes yes probable yes
CEOHA-ATS 1996 yes yes yes yes yes yes yes yes yes probable yes
U.S. EPA 1996 yes yes yes yes yes yes yes yes yes probable yes
CEPA r FPAC 1998 yes yes yes yes yes yes yes yes yes probable yes
a
na indicates ``not addressed’’ enough in the review to make a judgement about inference.
7
8 C. A. Pope, III Aerosol Science and Technology
32:1 January 2000
ically estimated at approximately 0.5] 1.5% piratory symptom s and cough, however,
per 10 m g r m 3 increase in PM 10 concentra- were typically larger and usually statistically
tions. signi® cant. Exacerbation of asthma, based
Daily counts of hospital admissions can on recorded asthma attacks or increased
be analyzed in the same way that daily bronchodilator use, were also associate d
counts of mortality have been assessed. with particulate air pollution.
More than 30 daily time-series studies have In addition to recordings of respiratory
reported associations between particulate symptoms, measures of lung function have
air pollution and various respiratory hospi- been used as an objective and potentially
talization or related he alth care endpoints. sensitive indicator of acute response to air
Most of these studies have evaluate d asso- pollution. Various studies have taken re-
ciations between respiratory hospital ad- peated measurements of the lung function
missions and air pollution. Several studies of panels of children and r or adults. These
have also analyzed emergency department studies have typically reported very small,
visits for asthma, chronic obstructive pul- but often statistically signi® cant, decreases
monary disease, and other respiratory in lung function associated with elevated
ailments and observed associations with levels of particulate air pollution concen-
particulate air pollution. More recent stud- trations. Lagged effects of up to 7 days
ies have observed associations between par- were observed.
ticulate air pollution and hospitalizations As can be seen in Table 1, most of the
for cardiovascular disease. recent reviews seem to conclude that the
Daily diaries have been used to record epidemiological evidence leads to infer-
respiratory or other symptoms and evaluate ences of nonspurious associations between
acute changes in respiratory he alth. There short-term exposure to particulate air pol-
have been more than 15 published studies lution and cardiopulmonary mortality,
that have similarly evaluated associations health care visits, respiratory symptoms, and
between daily respiratory symptoms and lung function. A few of the reviewers, how-
particulate air pollution. While many of ever, argue that the observed associations
these studies focused on asthmatics and between daily mortality and particulate air
exacerbation of asthma, others followed pollution may be due to the selection of
nonasthmatic s and evaluated changes in modeling techniques or confounding by
acute respiratory health status more gener- long-term time trends, season, weather
ally. Reported symptoms were often aggre - variables, other pollutants, or some other
gated into upper respiratory symptoms unknown factor (Moolgavkar and Luebeck
(including such symptoms as runny or stuffy 1996; Lipfert and Wyzga 1995; Gamble and
nose, sinusitis, sore throat, wet cough, he ad Lewis 1996).
cold, hay fever, and burning or red eyes)
and lower respiratory symptoms (including
Inferences Regardin g Long-Term Exposures
wheezing, dry cough, phlegm, shortness
of breath, and chest discomfort or pain). As noted above, acute exposure studies
In addition, cough, the most frequently suggest that short-term exposures to ele-
reported symptom, was often analyzed vated particulate air pollution may be
separately. Small, often statistically in- associated with short-term increases in car-
signi® cant, associations between particulate diopulmonary mortality and various mea-
pollution and upper respiratory symptoms sures of morbidity. These acute exposure
were observed. Associations with lower res- studies provide little information about how
Aerosol Science and Technology Epidemiological Basis for PM NAAQS 9
32:1 January 2000
much life is shortened, how pollution potential confounding of the air pollution
effects longer-term mortality rates, or pol- associations. Mortality, especially car-
lution’s potential role in the process of diopulmonary mortality, was signi® cantly
inducing chronic disease that may or may associated with sulfate and r or ® ne particu-
not be life threatening. Chronic exposure late air pollution } even after directly
studies attempt to evaluate the effects of controlling for individual differences in
low or moderate exposure that persists for age, sex, cigarette smoking, and other risk
long periods of time as well as the cumula- factors.
tive effects of repe ated exposure to ele- There have also been several studies that
vate d levels of pollution. have evaluated associations between partic-
Several population-based , cross-sectional ulate air pollution and chronic respiratory
mortality studies have evaluate d associa- symptoms and disease or lung function
tions between annual mortality rates and (Pope and Dockery 1999). The effects of air
particulate air pollution across U.S. metro- pollution on respiratory disease or symp-
politan areas. Formal regression modeling toms were often estimated while adjusting
techniques to evaluate cross-sectional dif- for individual differences in various other
ferences in air pollution and mortality and risk factors. Statistically signi® cant associa-
to control for other ecological (population- tions between particulate air pollution and
based) variables have been used. In an various respiratory symptoms were often
attempt to control for other risk factors, observed. Chronic cough, bronchitis, and
population average values for demographic chest illness (but not asthma) were associ-
variable s and other factors such as smoking ated with various me asure of particulate air
rates, education levels, income levels, pollution, thus suggesting that particulate
poverty rates, and housing density were of- air pollution was most consistently associ-
ten included in the regression models. The ated with bronchitic symptoms. These stud-
basic conclusions from these population- ies that evaluated the effects of air
based cross-sectional studies were that pollution on lung function all adjuste d for
mortality rates were associate d with air pol- individual differences in age, race, sex,
lution and were most strongly associated height, and weight and controlled for smok-
with ® ne or sulfate particulate matter. Al- ing or restricted the analysis to never-
though population-based cross-sectional smokers. These studies observed small
studies suggested that air pollution con- associations between decreased lung func-
tributes to human mortality, these studies tion and particulate air pollution that were
had severe limitations and have been largely often statistically signi® cant.
discounted for several reasons. An overrid- Many of the recent reviews of the epi-
ing concern of these studies was that popu- demiological evidence of he alth effects of
lation-based cross-sectional studies could particulate air pollution did not speci® cally
not directly control for individual differ- or adequately address the studies de aling
ences in cigarette smoking and other risk with he alth effects of long-term exposures.
factors. However, as can be seen in Table 1, most
The results of a few cohort mortality of the reviewers that addressed the issue of
studies, however, have also been reported. health effects of long-term exposure con-
These individual-base d studies used com- cluded that an inference of nonspurious
munity or citywide air pollution data to associations between long-term exposure to
estimate exposures and subject-speci® c particulate air pollution and cardiopul-
information on risk factors to adjust for monary he alth effects was reasonable. A
10 C. A. Pope, III Aerosol Science and Technology
32:1 January 2000
number of the reviewers, however, strongly from those who draw a causal inference, to
question (Lipfert 1997; Vedal 1997) or those who maintain no causal inference is
heavily discount (Moolgavkar and Luebeck possible’’ (Pope et al. 1995a). This review
1996; Gamble 1998) the evidence of effects does not conclusively infer causality but it
of long-term particulate exposures. They further argue s that ``there is enough consis-
note that the number of high-quality stud- tency and coherency of results across a
ies for long-term exposure is much less large number of studies and a wide range
than that for short-term exposure and also of expected outcomes, methodologies, study
argue that the observed associations may areas, and researchers to merit a reassess-
be due to modeling techniques or con- ment of the importance of ® ne and r or
founding by other pollutants, socioeco- respirable particulate pollution on car-
nomic variables, or some other unknown diopulmonary he alth.’’ The report from the
factor. U.K. Department of He alth (1995) also
stopped short of a direct inference of
causality but stated that ``in terms of pro-
Consistency, Coherency, and Ov erall Ev idence tecting public health it would be imprudent
It is generally accepted that the overall not to regard the demonstrated associa-
epidemiological evidence is enhanced if tions between daily concentrations of parti-
similar adverse effects of exposure are re- cles and acute effects on he alth as causal.’’
producibly observed by different investiga- The recent report from Canada (CEPA r
tors in different settings. That is, there PFAC 1998) notes that epidemiological
should be consistency of effects across in- studies cannot provide precise biological
dependent analytic studies. In addition, mechanisms of action but that ``a funda-
there should be a coherence of effects mental purpose of epidemiology is to estab-
where the effects can be observed across a lish a cause with enough certainty that it
cascade of related he alth outcomes. Most, will be justi® able and highly appropriate to
but not all, of the reviewers make the judg- take action to mitigate effects on public
ment that the epidemiological evidence is health. This point has clearly been re ached
reasonably consistent and coherent and that with respect to particulate matter.’’
the overall epidemiological evidence indi-
cates a probable link between particulate Remaining Uncertainties and Concerns
air pollution and adverse effects on car-
diopulmonary he alth. However, the review- As can be seen in Table 1, the only summa-
ers generally avoid making a clearly stated rized issue of which there is complete una-
conclusive inference of causality. Yet the nimity is regarding remaining uncertainties
issue of a causal link is not entirely avoided. and concerns. All reviewers agree that there
Two of the most negative reviews con- are substantial limitations and weaknesses
clude that ``there is no substantive basis for of the epidemiology of particulate pollu-
concluding that a cause] effect relationship tion. One of the most substantial concerns
exists’’ (Gamble and Lewis 1996; Gamble deals with limited information about rele-
1998). Another review argued, however, that vant biological me chanisms. Biological
``when a substantial body of epidemiologic plausibility may be enhanced by the obser-
evidence indicates that a material to which vation of a coherent cascade of cardiopul-
people are commonly exposed may be hav- monary he alth effects and by the fact that
ing serious adverse he alth effects the bur- noncardiopulmonar y health endpoints are
den of proof may be deemed to have shifted not typically associated with particulate pol-
Aerosol Science and Technology Epidemiological Basis for PM NAAQS 11
32:1 January 2000
lution, yet the epidemiological evidence is information. For example, cigarette smok-
limited on this subject. A related concern is ing may contribute to underlying respira-
that the large majority of studies evaluated tory disease rates in a population but
only effects of short-term exposures. Long- cannot be a common confounder in the
term, chronic exposure, however, may be acute exposure studies for several reasons:
much more important in terms of overall 1) most of the lung function, respiratory
public health. The large number of acute symptoms, and school absences studies were
exposure studies relative to the chronic ex- conducted among mostly nonsmoking chil-
posure studies has less to do with public dren; 2) the largest association between
health relevance than the relative ease and respiratory hospitalizations and pollution
low cost of conducting acute exposure stud- was often with mostly nonsmoking children;
ies. The studies provide little information and 3) cigarette smoking does not change
on the biological linkages between effects day-to-day in correlation with air pollution.
of short-term versus long-term exposures. Furthermore, recent cohort-based chronic
Another concern relates to the limited exposure studies estimated pollution effects
information regarding ambient versus per- after analytically controlling for cigarette
sonal exposures. Accurate me asures of smoking or restricting the analysis to never
personal exposure to air pollutants for pop- smokers. As with cigarette smoking, socioe-
ulation-based studies or for studies of large conomic status in a population does not
cohorts is impractical and, for some appli- change day-to-day in correlation with air
cations, unnecessary. Exposure to air pollu- pollution. Therefore, socioeconomic vari-
tion has typically been estimated by using ables are not likely confounders in the
ambient air pollution data. Such an ap- short-term time-series studies looking at
proach is useful because public policy and lung function, respiratory symptoms, school
pollution abatement strategies typically absences, outpatient visits, and mortality.
( and often necessarily) focus on ambient Furthermore, recent cohort-based chronic
concentrations of air pollutants. Yet con- exposure studies controlled for various so-
cerns about exposure measurement error cioeconomic variable s including sex, race,
and the interpretation of the studies based and education levels.
on ambient pollution data remain. Although daily, se asonal, or annual
A major limitation of the epidemiological changes in weather are not potential con-
studies involves the dif® culty of disentan- founders in the chronic exposure mortality
gling independent effects or potential inter- and morbidity studies, in the acute expo-
actions between highly correlated risk sure studies, potential confounding due to
factors. This dif® culty exists largely because temporal correlations between pollution,
alternative risk factors may be correlated weather, and se asonal variable s must be
with air pollution resulting in potential con- dealt with. Various approache s to control
founding. Confounding may result when for weather variables in the time-series
another risk factor that is correlated with analysis have been used, and estimated pol-
both exposure and disease is not ade- lution effects have been observed for areas
quately controlled for in the analysis, re- with very different climates and weather
sulting in spurious correlations. Any single conditions.
epidemiology study is highly limited in its Potential confounding by correlated
ability to de al with all potential con- copollutants remains one of the most im-
founders. The broader body of epidemio- portant concerns with the current epidemi-
logical evidence provides some important ology. Two basic approache s to evaluating
12 C. A. Pope, III Aerosol Science and Technology
32:1 January 2000
fects due to longer-term exposure. Cer- Bates, D. V. (1996). Particulate Air Pollution,
tainly much of the recent epidemiological Thorax 51:S3] S8.
effort has focused on effects of acute expo- Brunekreef, B., Dockery, D. W., and Krzyz-
sure, primarily because of the relative avail- anowski, M. (1995). Epidemiologic Studies on
Short-Term Effects of Low Levels of Major
ability of relevant time-series data sets. Ambient Air Pollution Components, En v iron.
However, the effects of chronic exposure Health Perspect. 103:3] 13.
may be more important in terms of overall CEPA r FPAC (Canadian Federal - Provincial)
public health relevance. The evidence from Working Group on Air Quality Objectives
epidemiological studies of long-term expo- and Guidelines (1998). National Ambient Air
sure is questioned or disputed by some Qu ality Objectiv es for Particulate Matter, Min-
ister, Public Works and Government Services,
reviewers, but most conclude that long- Cat. No. H46-2 r 98-220, Ottawa, Ontario,
term, repeated exposure likely increases the Canada.
risk of chronic respiratory disease and the CEOHA-ATS (Committee of the Environmen-
risk of cardiorespiratory mortality. There is tal and Occupational Health Assembly of the
more general (but still not unanimous) American Thoracic Society) (1996). Health
agreement that the epidemiological studies Effects of Outdoor Air Pollution, Am. J.
Respir. Crit. Care Med. 153:3] 50.
indicate that short-term exposures to par-
ticulate pollution can exacerbate existing Dockery, D. W., and Pope, C. A., III (1994).
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