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Association of Schools of Public Health

Religious and Philosophical Exemptions from Vaccination Requirements and Lessons Learned
from Conscientious Objectors from Conscription
Author(s): Daniel A. Salmon and Andrew W. Siegel
Source: Public Health Reports (1974-), Vol. 116, No. 4 (Jul. - Aug., 2001), pp. 289-295
Published by: Association of Schools of Public Health
Stable URL: http://www.jstor.org/stable/4598655
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PRACTICE ARTICLES

Religious and Philosophical Exemptions


from Vaccination Requirementsand
Lessons Learned from Conscientious
Objectors from Conscription

DANIEL A. SALMON,MPHa SYNOPSIS


ANDREWW. SIEGEL,JD, PH1ab
Alljurisdictionsin the US requireproofof vaccinationfor school entrance.Most
states permitnon-medicalexemptions.Publichealthofficialsmust balancethe
rightsof individualsto choose whetheror not to vaccinatetheirchildrenwith
the individualand societal risksassociatedwithchoosing not to vaccinate(i.e.,
claimingan exemption).To assistthe publichealthcommunityin optimally
reachingthis balance,this analysisexaminesthe constitutionalbasis of non-
medicalexemptionsand examinespolicies governingconscientiousobjection
to conscriptionas a possible model.
The jurisprudencethat the US SupremeCourthas developed in cases in which
religiousbeliefs conflictwith publicor state interestssuggests that mandatory
immunization againstdangerousdiseases does not violatethe FirstAmend-
ment rightto free exerciseof religion.Accordingly,states do not have a
constitutionalobligationto enact religiousexemptions.
Applyingthe model of conscientiousobjectorsto conscriptionsuggests that if
states choose to offernonmedicalexemptions,they may be able to optimally
balanceindividualfreedomswith publicgood by consideringthe sincerityof
beliefs and requiringparentsconsideringexemptionsto attend individual
educationalcounseling.

aDepartment of Health Policy and Management, Johns Hopkins School of Hygiene and Pubic Health, Baltimore MD
bBioethics Institute, Johns Hopkins School of Hygiene and Pubic Health, Baltimore MD
The authors thank the following people for their contributions to this manuscript: Robert T. Chen, MD, MS, for the original idea of
considering conscientious objectors as a model for immunization exemptions and for his insightful critique of the manuscript; Eugene J.
Gangarosa, MD, MS, Alan Hinman, MD, MPH, David Nailin, MD, Beth Hibbs, RN, MPH, Ruth Poh, PhD, and Jon Vernick, JD, MPH, for
their very helpful comments; and Rachel Woods, MPH, and Beth Hibbs for providing unpublished data.
Address correspondence to: Daniel A. Salmon, MPH, Johns Hopkins School of Hygiene and Public Health, 615 N. Wolfe St., Ste. 5515,
Baltimore, MD 21205; tel. 410-502-2695; fax 410-502-6733; e-mail <dsalmon@jhsph.edu>.
?2001 Association of Schools of Public Health

PUBLIC HEALTH REPORTS / JULY-AUGUST 2001 / VOLUME 116 O 289


290 O PRACTICE ARTICLES

Immunizations are among the most cost-effective and National Immunization Program, Centers for Disease
successful of all public health interventions. Because Control and Prevention; August 2000).
of the high contagion, morbidity, and mortality associ- The health consequences of claiming religious and
ated with most vaccine-preventable diseases (VPDs); philosophical exemptions have recently been explored.
the frequency of VPD transmission in school settings; A study of measles in the late 1980s and early 1990s
and the safety, effectiveness, and potential financial found that children (5 tol9 years old) for whom reli-
savings offered by vaccines; all jurisdictions in the gious and philosophical exemptions had been claimed
United States have introduced and actively enforce were at greater risk (relative risk [RR] = 35) of con-
laws that require proof of immunization for school tracting the disease than vaccinated children. In the
entrance.",2Many of the laws were written with specific same study, mathematical modeling suggested that
reference to smallpox and were later amended to in- those exempted represent a risk to the non-exempt
clude other VPDs.' population.6
Although no federal laws mandate immunization, Another study of measles and pertussis occurring in
the US Supreme Court has upheld the constitutional- Colorado between 1987 and 1998 found exemptors to
ity of state vaccination laws. In 1905, the Court ruled be 22 times more likely than vaccinated children to
in favor of a Massachusetts law; in 1922, the Court acquire measles and 5.9 times more likely to acquire
specifically addressed vaccination as a prerequisite for pertussis. The same study found the rate of exemp-
school attendance.4 These federal rulings have served tions in a given county to be associated with the inci-
as precedents for state court rulings. State immuniza- dence rate of measles (RR = 1.6) and pertussis (RR =
tion laws permit certain exemptions: All states allow 1.9) in vaccinated children; further, schools with per-
medical exemptions (e.g., for people who are immuno- tussis outbreaks had more exemptors (4.7% students)
compromised, those who have allergic reactions to than schools without outbreaks (1.3% students,
vaccine constituents, and those who have moderate or p < 0.001). At least 11% of vaccinated children in
severe illness); 48 states offer religious exemptions, measles outbreaks were infected through contact with
and 17 states offer philosophical or personal exemp- an exemptor. An international study of pertussis found
tions.3 The distinction between religious and philo- that changes in public perception and policy toward
sophical/personal exemptions varies from state to state, vaccination led to decreases in pertussis immuniza-
depending primarily on the manner in which the laws tion, resulting in a major resurgence in disease inci-
are implemented and enforced.4 In many states the dence in many developed countries.7
process of claiming a nonmedical exemption requires Public health officials at state and local levels, who
less effort than fulfilling the immunization require- are responsible for maintaining and implementing state
ments, and often there is no contact between the par- immunization laws, must balance the rights of indi-
ent and health personnel. The reasons that parents viduals to choose whether or not to vaccinate their
forgo vaccination altogether have not been well ex- children against the individual and societal risks asso-
plored, but the ease of obtaining an exemption has ciated with choosing not to vaccinate (i.e., claiming an
been quantitatively associated with the frequency of exemption). The aforementioned studies assistin quan-
exemptions.6 tifying the health risks of not vaccinating, but they do
Data from Colorado suggest that the rate of exemp- not address how to balance these risks with individual
tions is increasing.5 Between 1987 and 1998, the per- freedoms concerning vaccination choice. In 1999, leg-
centage of personal exemptions among school-aged islation was introduced and debated in at least eight
children in Colorado increased from 1.25% to 2.05% states to ease state vaccination laws or to add a philo-
(p < 0.001). Although the percentage of medical ex- sophical exemption if one did not already exist. One
emptions remained unchanged at 0.12% and relig- state, Arizona, passed legislation permitting philosophi-
ious exemptions decreased from 0.23% to 0.19% cal exemptions (personal communication: Rachel
(p < 0.001), the rate of philosophical exemptions in- Woods, MPH, National Immunization Program, Cen-
creased from 1.02% to 1.87% (p < 0.001). Nationally, a ters for Disease Control and Prevention; August 2000).
1999 survey of state and territorial immunization pro- In 1997, the National Vaccine Advisory Committee
gram managers found that 11 programs (18%) re- (NVAC), which advises the Assistant Secretary for
ported an increase in the number of persons claiming Health and the Director of the National Vaccine Pro-
exemptions, and only one program (1.6%) reported a gram Office on immunization policy, formed a working
decrease in the number of people claiming exemp- group to examine the issue of philosophical exemp-
tions (personal communication: Beth Hibbs, RN, MPH, tions. The NVAC Philosophical Exemption Working

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RELIGIOUS AND PHILOSOPHICAL EXEMPTIONS FROM VACCINATION REQUIREMENTS O 291

Group issued a report that summarized existing data free in identical circumstances, to make martyrs of
and reflected a variety of viewpoints on the issue, but their children before they have reached the age of full
the group did not make specific recommendations and legal discretion when they can make that choice
regarding states permitting nonmedical exemptions.8 for themselves."12
Thus, states continue to be confronted with these is- A number of state courts have applied this reason-
sues without policy recommendations from the fed- ing in holding that mandatory vaccination of school
eral government or its advisory committees. children does not interfere with the right to religious
To assist the public health community and those freedom. As the Arkansas Supreme Court noted in
responsible for maintaining and implementing state one such instance, "In cases too numerous to men-
immunization laws in reaching an optimal balance tion, it has been held, in effect, that a person's right to
between individual rights and public health risk, this exhibit religious freedom ceases where it overlaps and
analysis examines the constitutional basis of religious transgresses the rights of others."13
and philosophical exemptions from state laws and con- Although it is widely agreed that states do not have
siders issues pertaining to conscientious objectors from a constitutional obligation to enact religious exemp-
conscription as a possible model. tions, it is somewhat less settled whether states have
the constitutional authority to enact such exemptions
in the context of mandatory vaccination. The Missis-
OF
THECONSTITUTIONALITY
sippi Supreme Court has held that religious exemp-
EXEMPTIONS
RELIGIOUS-BASED
tions to compulsory vaccination violate equal protec-
It is well established as a matter of constitutional law tion of the laws under the Fourteenth Amendment
that police powers authorize states to compel vaccina- inasmuch as the exemptions "require the great body
tion in the interest of public health.9'10However, the of school children to be vaccinated and at the same
US Supreme Court has never ruled on the constitu- time expose them to the hazard of associating in school
tionality of religious exemptions from vaccination re- with children exempted ... who had not been immu-
quirements. There are two central constitutional ques- nized as required by the statute."14Mississippi is one of
tions: (a) Does the First Amendment right to free two states that do not permit nonmedical exemptions.
exercise of religion require states to provide religious Even if it is assumed-as it generally is-that states
exemptions from vaccination? (b) Do states have the possess the constitutional authority to enact religious
constitutional authority to enact religious exemptions exemptions from vaccination, there remains an issue
from compulsory vaccination? concerning what limitations a legislature can place on
The Court has developed jurisprudence in cases the scope of such exemptions. There is some disagree-
where religious beliefs conflict with public or state ment among courts concerning whether exemptions
interests; the Court rulings suggest that mandatory tied to membership in a recognized or established
immunization against dangerous diseases does not vio- religious organization violate the First Amendment
late the First Amendment right to free exercise of prohibition against laws "respecting an establishment
religion. In a recent case the Court stated, "We have of religion." Some courts have upheld exemptions for
never held that an individual's religious beliefs excuse the children of parents with "sincere religious beliefs"
him from compliance with an otherwise valid law but found the requirement for parental membership
prohibiting conduct that the State is free to regu- in an established or recognized religious organization
late."'"The Court held that a law does not interfere to entail preferential treatment for certain religious
with the right to free exercise of religion as long as it views and thus to stand in violation of the Establish-
is religion-neutral and generally applicable. The Court ment Clause of the First Amendment.'5 Other courts
specifically weighted the balance in favor of public have held that such requirements are compatible with
health concerns where they were in conflict with reli- the Establishment Clause."6
gious beliefs, and the Court further underscored the The issue of the limits of a state's constitutional
importance of protecting children from the poten- authority to enact religious exemptions will not be
tially harmful consequences of parental decisions based resolved until the US Supreme Court addresses it. For
on those beliefs: "The right to practice religion freely the time being, individual states have the de facto
does not include the liberty to expose the community power to decide the matter for themselves. We do not
or the child to communicable disease or the latter to offer a view on whether it is constitutionally (or mor-
ill health or death .... Parents may be free to become ally) appropriate to provide for religious exemptions
martyrs themselves. But it does not follow that they are from vaccination; however, we do believe that it is

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292 O PRACTICE ARTICLES

important to identify some principles to guide the the rolls of conscription (which could require univer-
application of these exemptions where they exist. The sal participation, as in some countries, although this
identification of such principles can usefully be in- has not happened in the US to date). People who have
formed by the considerable legislative and judicial strongly held beliefs against armed conflict are likely
thought that has been given to mandatory military not good candidates for military service; in contrast,
conscription and the permissibility of conscientious the beliefs of individual parents regarding vaccination
objector status. do not alter their children's candidacy for vaccination.
In general, there are many commonalties between Notwithstanding the differences between conscrip-
conscientious objectors from conscription and non- tion and vaccination issues, the many similarities and
medical exemptions from vaccination. To protect the considerable legislative and judicial thought invested
national interests from external threats, Congress has in the issue of conscientious objectors make this model
at times (legislatively) required a portion of the public particularly useful in a consideration of efforts by the
to bear arms and fight an external enemy. Likewise, to state to balance individual freedoms with societal in-
fight the war on infectious diseases, states legislatively terests in enforcing mandatory vaccination. Moreover,
require their citizens to be vaccinated. These duties the public is apt to recognize the similarities between
(to bear arms and to be vaccinated) are generally immunization exemptions and conscientious objec-
considered a potential obligation that goes hand in tors from conscription.'7
hand with enjoying the benefits of citizenry.With this
potential obligation come associated individual risks
OBJECTORS
CONSCIENTIOUS
and individual and societal benefits. Furthermore,
FROMCONSCRIPTION
because the individual risks associated with both wars
(e.g., battle injuries and vaccine injuries) are real but Conscientious objector status has been an issue associ-
unpredictable, society has found general mandates in ated with conscription in America since the Revolu-
the form of the draft for conscription and school en- tionary War, as illustrated in a letter written by the
try laws for immunization to be the most equitable way commander of the Revolutionary Armies, George
to share these risks. To accommodate the beliefs of a Washington: "As... the principal object of the enemy
small minority of people who have strong personal is . . . the City of Philadelphia, it is absolutely neces-
conviction against war (or vaccination), states legisla- sary, that every person able to bear arms (except such
tively permit certain persons to be exempted from as are conscientiously scrupulous against in every case),
military duties (or immunization). Those exempted should give their personal service."'8
enjoy societal benefits resulting from others who serve Congress has included a conscientious objector ex-
active duty (who get immunized), and yet they do not emption for militaryservice since 1864.19Congressional
share the associated risks. Another small group is ex- enactment of conscientious objector status has specific
empt from military service or vaccination for medical conditions: individuals must meet the burden of proof
reasons. by establishing that they (a) are conscientiously op-
Of course, there are qualitative differences between posed to war in any form; (b) this opposition is based
conscription and vaccination. The magnitude of risk on religious training; and (c) the objection is sincere.20
associated with vaccination pales in comparison to the Once people claiming such status have fulfilled these
risk associated with conscription, and the benefits of three conditions, the government must prove an over-
vaccination are substantially individual as well as soci- whelming need to draft such individuals. One defini-
etal. In comparison, the benefits of conscription are tion of "overwhelming need," in this context, is that
primarily societal. Thus, assessment of individual risks the government must have a compelling interest in
and benefits associated with vaccination generally fa- universal enforcement of the regulation.'4 It is gener-
vors vaccination, whereas assessment of the risks and ally agreed that the US government has never met this
benefits to the individual may not favor conscription. burden of proof.2'
In addition, adults incur the risks associated with con- The US Supreme Court has directly addressed the
scription, whereas children incur the risks associated question of the conditions under which conscientious
with vaccination, and the expressed beliefs being con- objections to war are grounded in "religious belief." In
sidered for exemptions are those of parents, not chil- its most recent ruling on the issue, the Court held that
dren. Moreover, successful immunization campaigns federal legislation that excludes those with "essentially
require very high levels of participation (vaccination political, sociological, or philosophical views or a merely
coverage) for optimal success, whereas conscription personal moral code" from exemption applies to "those
entails enlisting the number of people needed to fill whose beliefs are not deeply held and those whose

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RELIGIOUS AND PHILOSOPHICAL EXEMPTIONS FROM VACCINATION REQUIREMENTS O 293

objection to war does not rest at all upon moral, ethi- simply be pursuing the path of least resistance. It is
cal, or religious principle but instead rests solely upon certainly easier to sign your name than to make an
considerations of policy, pragmatism, or expediency."22 appointment with a doctor or at a clinic, arrange to
Thus, a sincere objection based on "moral, ethical, or take a child to the clinic, and spend time (and per-
religious beliefs about what is right or wrong" would haps money) to have a child immunized.
be allowed because it falls within the Court's defini- It is particularly difficult to address sincerity of be-
tion of "religion." liefs: How does one prove sincerity? One approach
The Court's finding is, however, controversial. In that can be considered is the willingness of an indi-
his concurring opinion, Justice John M. Harlan states vidual to overcome barriers to achieving the goal (of
that the Court ";performeda lobotomy and completely claiming an exemption). If the process is very simple,
transformed the statute by reading out of it any dis- as is in some states, anyone with even the slightest
tinction between religiously acquired beliefs and those desire to claim an exemption can easily do so. Con-
deriving from 'essentially political, sociological, or versely, if the state demands more proof of sincerity
philosophical views or a merely personal moral code."' for claiming an exemption, those whose beliefs are
Harlan nonetheless concurs in the Court's ruling be- not as strong may decide not to pursue an exemption.
cause he holds that it is unconstitutional to permit What would have been the frequency of conscientious
exemptions for religious reasons only: "However, hav- objectors from conscription had the Selective Service
ing chosen to exempt, it (Congress) cannot draw the granted conscientious objector status as easily as Cali-
line between theistic or nontheistic religious beliefs fornia grants immunization exemptions?
on the one hand and secular beliefs on the other. Any The Supreme Court expansion of conscientious
such distinctions are not, in my view, compatible with objector status to include people with strongly held
the Establishment Clause of the First Amendment."'2' philosophical beliefs poses some difficult issues for
Thus, even if we reject that philosophically based be- immunization exemptions. In principle, scrutinizing
liefs count as religious beliefs, permitting religious but the sincerity of a parent's beliefs based on a perhaps
not philosophical exemptions may be unconstitutional. arbitrary boundary (religion vs. philosophy) may not
be just and risks public backlash. Moreover, as Justice
Harlan argued, such a boundary may fail to be neutral
RAISEDBY
POLICYCONSIDERATIONS
and thus violate the Establishment Clause of the First
CONSCIENTIOUSOBJECTORS
Amendment. Yet, expansion of philosophical exemp-
Legislative and judicial decisions regarding conscien- tions could easily lead to more exemptions and, con-
tious objectors offer a useful model for considering sequently, greater risk of disease.10 If states are able
issues related to mandatory vaccination and nonmedi- to expand the definition of nonmedical exemptions
cal exemptions and the fair allocation of burdens and to include philosophically based beliefs, and at the
benefits. The burden of proof as established by Con- same time ensure a system that requires individuals
gress for conscientious objectors has not been univer- who are applying for exemptions to meet carefully
sally or comprehensively applied to exemptors from constructed criteria demonstrating strong sincerity of
mandatory immunization requirements. Immunization belief, it may be possible that the expanded definition
exemptions are granted through the state legislature. will have little or no effect on the overall number of
Doctors verify the sincerity of medical exemptions by exemptions. This approach, if successful in changing
providing needed documentation. Some states allow the criteria for permitting exemptions without affect-
only religious exemptions and require applicants to ing the frequency of exemption, would have zero ef-
provide a letter from a religious leader who explicitly fect on total disease incidence but would assist in fair
states that immunizations are contrary to that religion's and equitable allocation of exemptions. This approach
doctrine. This is a partial application of the burden of presents a very fine line for legislators to walk; yet it
proof for individuals claiming exemption. However, may offer state legislatures a strategy in addressing
other states require no substantiation of beliefs. For these difficult and often controversial issues.
example, in California a clause printed on the back of Another approach that states can consider is to
the immunization form raises the question of whether require parents who are seeking philosophical or reli-
immunizations are contrary to the "personal beliefs" gious exemptions for their children to attend indi-
of the individual to be immunized (or more appropri- vidual educational counseling prov-.Je(l by a nurse or
ately, to the parents). Signing this clause qualifies as health educator. In this way the pare Ltscan be made
an exemption, but no burden of proof has been re- aware of vaccine issues and be told of the individual
quired. In such a case, the parent, by signing, may and societal risks of not vaccinating. This approach

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294 O PRACTICE ARTICLES

will ensure that parents understand the health conse- nificantly more exemptions than states that made the
quences of the choice they are considering, resulting process more difficult.6 Furthermore, this study found
in better informed parents able to make meaningful that about half of the states that did not offer philo-
choices that take into account not only their children's sophical exemptions never denied an exemption re-
best interests but the interests of society as well. The quest. These states are de facto permitting philosophi-
proposed counseling process would also ensure rigor cal exemptions. States and localities may find that
and uniformity in administering nonmedical exemp- carefully monitoring and evaluating the process by
tions, features that often are lacking in the current which exemptions are granted, rather than focusing
process.6 Such a process would also make it less likely on the basis for granting exemptions (religious vs.
that a parent would make the exemption choice sim- philosophical), may more fairly balance the rights of
ply because it is easier, and could ensure that the individuals with the protection of the community from
exemption process not be perfunctory, as it often is VPDs. Additionally, the Rota study found that only
now. nine states (19%) reported having a written policy to
Whereas the state (historically) likely could not meet inform parents requesting an exemption of the risks
the burden of proof demonstrating overwhelming need of not immunizing. This is clearly a missed opportu-
for universal enforcement of conscription, this may nity for vaccine risk communication.
not be the case for universal enforcement of immuni-
zation requirements. If the state maintains a zero tol- CONCLUSIONS
erance for societal risk due to exemptions, the state
could likely demonstrate the need for universal appli- This review of legal issues pertaining to non-medical
cation of mandatory vaccination. In addition, disease exemptions from mandatory immunization require-
eradication efforts may constitute a situation requir- ments indicates that states do not have a constitu-
ing universal coverage of vaccination, as illustrated by tional obligation to offer individuals exemptions. If
the fact that the last significant outbreaks of polio in states choose to offer nonmedical exemptions in an
the US occurred in religiously exempt communities effort to accommodate the beliefs of a small minority
(although elimination of polio was achieved in the US of parents, they may be able to successfully balance
without compelling complete immunization of these individual freedoms with the public good by consider-
groups). Conversely, the present success of the US ing the sincerity of beliefs, rather than the source of
immunization program in reaching record low rates such beliefs, and by requiring parents considering ex-
of most VPDs, and the relatively small frequency of emptions to prove the sincerity of beliefs, including
exemptions, suggest that universal coverage may not attending individual educational counseling provided
be necessary. The question is: How much societal risk by a nurse or health educator knowledgeable of vac-
is required to prove the need for universal applica- cine issues.
tion? Policies on exemptions from conscription do Immunization programs in the US are at a critical
not assist us in understanding this issue because the threshold: their success has never been more appar-
state has never tried to demonstrate overwhelming ent, yet that very success endangers appreciation by
need for universal application. the public. As we are now experiencing all-time low
It is critical to recognize the importance of flexibil- rates of most VPDs, reported post-vaccination adverse
ity in the state administration of immunization ex- events, whether or not causally linked to vaccination,
emptions. All school immunization requirements are outnumber cases of most VPDs. Under these condi-
state-based; there are no federal laws mandating vacci- tions, public attention can easily shift from preventing
nation. As indicated by a representative of the Associa- disease to vaccine safety. This change in focus can lead
tion of State and Territorial Health Officers, "varia- to complacency on the part of parents and potentially
tions in state laws reflect differing constituencies and increase the number of exemptions. History tells us
political cultures among the states, and decisions re- that such a shift can result in resurgence of disease
garding the balance of individual vs. state rights are and needless morbidity and mortality.9"0
best left at the state level."i"State autonomy is critical.
The strategies proposed in our analysis preserve con- REFERENCES
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RELIGIOUS AND PHILOSOPHICAL EXEMPTIONS FROM VACCINATION REQUIREMENTS O 295

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