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Journal of Addictions Nursing
Issue: Volume 33(3), July/September 2022, p 203-214
Copyright: (C) 2022International Nurses Society on Addictions
Publication Type: [Featured Columns: Policy Watch Column]
DOI: 10.1097/JAN.0000000000000484
ISSN: 1088-4602
Accession: 00060867-202207000-00013
Keywords: Determinants of Health, Health Equity, Health Inequity, Nursing Code of Ethics, Nursing's Social Policy, Oppression, Social Murder, Upstream Determinants of Health
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Expanded Conceptual Framework for Ethical Action by Nurses on the "Further Upstream and Farther Downstream" Determinants of Health Equity
Fornili, Katherine Smith DNP, MPH, RN, CARN, FIAAN
Author Information
Katherine Smith Fornili, DNP, MPH, RN, CARN, FIAAN, University of Maryland-Baltimore School of Nursing, Baltimore.
The author reports no conflicts of interest. The author alone is responsible for the content and writing of the editorial/article.
Correspondence related to content to: Katherine Smith Fornili, DNP, MPH, RN, CARN, FIAAN, University of Maryland-Baltimore School of Nursing, 655 W. Lombard Street, #545-D, Baltimore, MD 21201. E-mail:
[email protected]
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The World Health Organization (
WHO, 2022a
) defines
health as "a state of complete physical, mental and social well-being and not merely the absence of disease or infirmity" (para. 2). Note the similarities between this definition of health and the Substance Abuse and Mental Health Services Administration working definition of recovery, the primary goal of behavioral health care (for mental health and/or substance use disorders).
Recovery is not merely abstinence from substance use but rather "a process of change through which individuals improve their health and wellness, live a self-directed life, and strive to reach their full potential" (
Substance Abuse and Mental Health Services Administration, 2012
, p. 3). According to the American Nurses Association (ANA), health is a specific social need and
nursing was created to address that need. The ANA refers to this relationship between the nursing profession and society as
nursing's social contract; it explains expectations about what society and governments expect from nursing and what nursing should expect from them (
Fowler, 2015b
, p. xi).
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Determinants of health (DOH), including
determinants of substance use and recovery, refer to a wide range of factors that influence health status. Sometimes, the determinants are described using an
upstream,
downstream metaphor, with the determinants referred to as upstream causal factors, and good or poor health being the resulting downstream outcomes. Numerous determinants are responsible for health outcomes (National Academies of Sciences, Engineering, and Medicine [
NASEM], 2017
, p. 2). Many people are familiar with the term
social determinants of health (SDOH). The SDOH are defined as "the conditions in the environments in which people live, learn, work, play, worship and age that affect a wide arrange of health, functioning, and quality-of-life outcomes and risks" (p. xxiv). The SDOH include education, employment, health systems and services, housing, income and wealth, the physical environment, public safety, the social environment, and transportation (p. xxiv).
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Although the SDOH are key predictors of health, wellness, morbidity, and mortality, by themselves, they do not adequately explain how individuals and populations achieve and maintain health equity or health inequity. Other DOH also exert
oppressive political, economic, and institutional forces at all levels of the socioecological systems (
Bronfenbrenner, 1977
) in which humans interact with each other and their environment (
Hofrichter, 2003
;
McGibbon, 2021a, 2021b
;
Schoon & Krumwiede, 2022
).
Systematic oppression and
structural power are "further upstream" antecedents of the structural societal and social determinants.
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Health equity refers to the absence of avoidable, preventable, or remediable differences in health among groups of people (
Dawes, 2020
, p. 19;
WHO, 2021
)-the state in which the unjust burdens of disease and the just benefits of good health are equitably distributed (
NASEM, 2017
, p. 1). As
equity is closely related to "what is considered fair and just,"
inequity exists when differences in health determinants and outcomes are "systematic, unfair and avoidable" (
Penman-Aguilar et al., 2016
, p. S35). Health inequities are "systemic political obstacles" that are "baked into our systems" by discriminatory standards, practices, and beliefs (
Dawes, 2020
, p. 19).
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Critical theory illustrates the often-hidden processes by which dominant power structures create inequities and maintain oppressive forms of injustice (
Chinn & Kramer, 2015
, p. 247).
Critical consciousness involves
awareness of and action against forces that limit or promote opportunities for certain groups (
Freire, 2000
;
Jemal, 2018
). It is "a philosophical, theoretical, and practice-based framework that has been identified as an
antidote to oppression" (
Jemal, 2018
, p. 1, italics added). Jemal presented a new construct called
transformative consciousness, composed of three domains for each level of the socio-ecosystem (awareness, behavioral response, and consequences); its aim is to help to move people in the direction of
actions to overcome and dismantle oppression.
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Ethics refers to a pattern of knowing related to matters of moral and ethical significance, which is expressed in practice as moral and ethical comportment (
Chinn & Kramer, 2015
, p. 248). Reflection on these analyses improves
emancipatory knowing, that is, the understanding of the factors that create unfair and unjust social and societal conditions. Nurses strive for emancipatory knowing, because it involves understanding not only the factors that create unfair and unjust social and societal conditions but also
actions needed to change conditions in society that create inequities (p. 248). The ANA's
Nursing Code of Ethics is a "non-negotiable moral standard for the profession" that encompasses nursing's ethical values, obligations, ideals, and commitments (
Fowler, 2015a
, pp. viii-ix). Provision 9 of the
Code of Ethics says that social justice is a primary concern of social ethics (p. 159), and professional nurses are
obligated to integrate principles of social justice into nursing and health policy (p. 151).
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Conceptual analyses help to explain the attributes of various phenomena and the nature of how related factors affect them (
Chinn & Kramer, 2015
). In search of conceptual explanations for these phenomena, and to locate health equity/inequity within a wide array of upstream DOH, a comprehensive review of the interdisciplinary professional literature and conceptual analysis were conducted, and a new conceptual framework was developed. One aim was to articulate obligations and expectations for nurses to ameliorate
DOH inequity and promote
DOH equity, as described within the context of the nursing code of ethics and the social contract that guides our profession. A secondary aim was to provide a guide for future research and scholarship regarding nursing interventions to impact these determinants.
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Healthy People 2030 is the fifth iteration of the Healthy People initiative since it was originally introduced in 1979. The top three overarching goals for Healthy People 2030 are to attain healthy, thriving lives and well-being free of preventable disease, disability, injury, and premature death; to eliminate health disparities, achieve health equity, and attain health literacy to improve the health and well-being of all; and to create social, physical, and economic environments that promote attaining the full potential for health and well-being for all. Key foundational principles that guide the initiative are that the health and well-being of
all people and communities are essential to a thriving, equitable society and that efforts to promote health and prevent diseases encompass physical, mental, and social health dimensions (
U.S. Department of Health & Human Services, Office of Disease Prevention and Health Promotion, n.d.-a
). The
2030 Agenda for Sustainable Development was developed in a global partnership and adopted by all United Nations Member States in 2015. This global initiative contains a shared blueprint for achieving 17 Sustainable Development Goals designed to improve health and education, reduce inequality, and spur economic growth (
United Nations Department of Economic and Social Affairs, n.d.
). Addressing the SDOH is key to successful achievement of the objectives for these national and global initiatives.
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Dr. John McKinlay is credited with coining the classic "
upstream factors" metaphor in relation to SDOH during a 1974 conference presentation where he was invited to speak about "broad social structural factors influencing the onset of heart disease and/or at-risk behavior" (
McKinlay, 2019
, p. 1). He originally published an article about these factors for the American Heart Association in
Applying Behavioral Science to Cardiovascular Risk (
McKinlay, 1975
). However, the 1975 article remains difficult to find, so it was reprinted in 2019 as an
Occasional Classics by the Interdisciplinary Association for Population Health Science, with permission of the American Heart Association (
McKinlay, 2019
). Dr. McKinlay described "
upstream factors" as "where the real problems lie" (p. 1) and cautioned attendees about the "short-term nature and ultimate futility" of "
downstream endeavors," which only treat the condition (p. 1). He defined "manufacturers of illness" as public or private entities that generate poor health and urged social scientists to pay attention to the "political economy of illness" (p. 1). He described "manufacturers of illness" that control and operate important segments of our social system "in such a way that people inevitably fail" (p. 5). He claimed that these individuals are next "blamed for not approximating the artificially contrived norm and are treated as if responsibility for their state lay entirely with them" (p. 5). He concluded that once "certain individuals and groups have 'failed', we establish at a point downstream, a substructure of services[horizontal ellipsis][the] very system which had a primary role in manufacturing the problems and need for these services in the first place" (p. 5).
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Castrucci and Auerbach (2019) have presented an upstream, midstream, and downstream model. Their model views "downstream" as the
point of service for medical interventions and
screening for individual social needs as "midstream" services performed by social workers and community-based organizations. These authors pointed out that individual-level strategies can "convey a false sense of progress" (para 6) because they are often limited to a small segment of the population in a "frayed social safety net" (para 1). Those patients with the worst health and the greatest heath care costs, although not among the "sickest and most expensive," are basically ignored (para 7). Castrucci and Auerbach noted that mitigation of the acute social and economic needs of individual patients is important but inefficient. They called for "upstream tactics" to address the SDOH (laws, policies, and regulations conducive of health that produce community-level impact), as opposed to "downstream" medical interventions.
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Elizabeth McGibbon, RN, PhD, is an internationally recognized nurse and critical health scholar with extensive academic and public policy experience. She referred to the
synergies of social, ecological, and structural determinants as "
wicked problems" because they are "particularly complex, persistent, and hard-to-resolve" and "nested" (co-occurring and related) problems that defy linear approaches and straightforward solutions (
McGibbon, 2021b
, p. 38). She called for naming and analyzing the
root causes of health and planetary health injustices, using the
belling the cat metaphor from Aesop's fables (
McGibbon, 2021a
, p. 11). In this fable, if the sly and treacherous cat is the common enemy of the mouse community, then a bell on a ribbon around the neck of the cat would at least signal the mice of the cat's approach so they could avoid becoming its victims. The fable acknowledges what an extremely difficult task it would be for a mouse to "
bell the cat" (i.e., tie the bell on the cat's neck).
McGibbon (2021b)
believes "belling the cat" is necessary for reframing vulnerable and at-risk populations as "people and planet
under threat" (italics added), because of social, economic, political, and cultural systems or "pathogens that threaten health" (p. 11).
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When one individual inflicts bodily injury upon another such that death results, we call the deed manslaughter; when the assailant knew in advance that the injury would be fatal, we call his deed murder. But when society places hundreds of proletarians in such a position that they inevitably meet a too early and an unnatural death, one which is quite as much a death by violence as that by the sword or bullet; when it deprives thousands of the necessaries of life, places them under conditions in which they cannot live-forces them, through the strong arm of the law, to remain in such conditions until that death ensues which is the inevitable consequence-knows that these thousands of victims must perish, and yet permits these conditions to remain, its deed is murder just as surely as the deed of the single individual; disguised, malicious murder, murder against which none can defend himself, which does not seem what it is, because no man sees the murderer, because the death of the victim seems a natural one, since the offence is more one of omission than of commission. But murder it remains[horizontal ellipsis]society knows how injurious such conditions are to the health and the life of the workers, and yet does nothing to improve these conditions. That it knows the consequences of its deeds; that its act is, therefore, not mere manslaughter, but murder[horizontal ellipsis]the bourgeoisie reads these things every day in the newspapers and takes no further trouble in the matter. But it cannot complain if[horizontal ellipsis]I broadly accuse it of social murder. Let the ruling class see to it that these frightful conditions are ameliorated, or let it surrender the administration of the common interests to the labouring-class. (Engels, "The Condition of the Working Class in England," 1845/2009)
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According to
Govender et al. (2022)
, social murder "is driven by the capitalist economic system with its inevitable exploitative social relations" and it results from "problematic public policy without explicit reference to capitalist exploitation" (p. 63). The same authors suggested that the preferred option for building a movement to change the economic system responsible for killing massive numbers of people is to "shift power and influence from those who profit from these structures and processes" (
Medvedyuk et al., 2021, p. 11). Medvedyuk et al. also justified the use of strong, emotion-laden language like "social murder" to describe capitalist-created social inequalities, because it can increase the likelihood of evoking public reactions and class-oriented mobilization (p. 11).
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Chinn and Kramer (2015) define a
conceptual framework as a "logical grouping of related concepts or theories that is usually created as "complex mental formulation[s] of experience" (p. 159) and the term
concept as "a complex mental formulation of experience[horizontal ellipsis]perceptions of the world[horizontal ellipsis]that can be symbolically shared and verified by others with sensory evidence" (p. 160). Conceptual models are symbolic representations of experiences in the form of words and pictorial or graphic diagrams (p. 160). Conceptual definitions enhance semantic clarity (i.e., articulate clear conceptual meaning) and aid in the identification of operational (measurable) definitions or empiric indicators (p. 201).
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"Oppression embeds itself in everyday life through a cyclic process involving biased information, stereotyping, prejudice and discrimination" (
McGibbon, 2021a
, p. 16). Multiple types of oppression work together (
intersect) to produce injustice (
Felluga, 2015, p. 173). The "cycle of oppression" is a complex process involving domination, power, and systemic discrimination, which are interconnected, synergistic, and backed up by systemic or structural power and policy-driven power relations (p. 16). Genocide, policy-created poverty, dangerous work environments, privatization, globalism, and "numerous actions and inactions" are the "interconnected mechanisms of oppression" that create and maintain systems of dominance (p. 12). Thus, the oppressor gains political, economic, or other power and advantage over others (
Bryant, 2021
, p. 157).
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Power can be defined as the possession of control, authority, or influence over others (
Merriam-Webster, 2022
). Robert Reich, in his book
The System: Who Rigged It, How We Fix It, takes this definition even further.
Reich (2020)
defines power as "the ability to direct or influence the behavior of others. On a larger scale, power is the capacity to set the public agenda" (p. 9). The "Matrix of Domination" (MoD) has been described in critical race theory and black feminist theory to describe multiple structures that work together to oppress or exploit identity groups (
Felluga, 2015, p. 173). The MoD includes four interrelated
domains of power; each domain appears across different forms of oppression, regardless of the intersections involved, and each serves a specific purpose (p. 173).
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Structural: Organization of power at the macro level of social organization; reproduction of subordination over time, via "legal systems, labor markets, schools, the housing industry, banking, insurance, the news media, and other social institutions" (
Felluga, 2015, p. 173)
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Various systems constantly exert both negative and positive interactive forces on individuals and groups. Health is impacted by the characteristics of these individuals and groups as well as their constant interactions with each other and their environment (
Kilanowski, 2017
). Therefore, complex, nonlinear, multilevel, multisectoral approaches are required to address the complex, ever-changing needs of individuals, families, communities, and diverse populations (
Schoon & Krumwiede, 2022
).
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Recent scholarship indicates that although the SDOH framework can be useful for addressing various social conditions that affect health outcomes and inequalities, this approach fails to identify the specific
mechanisms through which social conditions, such as "entrenched power structures," adversely affect health (
Flynn, 2021
, p. 1). Some distinguish between the
social DOH (the more concrete factors related to inequality, the "causes of the causes" of disease) and the
societal determinants, which are macro-societal factors that
shape the SDOH (
Birn et al., 2017
, p. 287;
Flynn, 2021
, p. 1).
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Bronfenbrenner (1977) described a nested socioecological systems model (SESM), often depicted in diagrams showing concentric circles, sometimes referred to as the "socioecological onion." Bronfenbrenner's SESM involves four nested systems, including the
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Intersectionality helps to explain how
intersecting power relationships influence social relations and individual experiences as well as why the problems discussed herein are so complex (
Collins & Bilge, 2020
;
Lopez & Gadsden, 2016
). According to Collins and Bilge, race, class, gender, and other power relations are not "discrete and mutually exclusive" but rather as "interrelated and mutually shaping" constructs that "build on each other and work together" and "affect all aspects of the social world" (p. 2). As
Delgado and Stefancic (2017)
describe intersectionality in their book about critical race theory, "No person has a single, easily stated, unitary identity! Everyone has potentially conflicting, overlapping identities, loyalties, and alliances" (pp. 10-11). For example, one person can be both Black and female, straight or gay, rich or poor.
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McGibbon (2021a) describes the
structural DOH as "the economic, social and cultural structures of society, including their temporal and spatial impacts on health" (p. 5). If structural DOH lead to inequities, these
structural inequities can be defined as the "systematic disadvantage of one social group compared to other groups with whom they coexist that are deeply bedded in the fabric of society" (
NASEM, 2017
, p. 102). The following structural determinants are provided as examples, but there are likely others.
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Commercial determinants:
Kickbush et al. (2016)
define the commercial DOH as "strategies and approaches used by the private sector to promote products and choices that are detrimental to health" (p. e895). Three major concepts for the commercial DOH include
unhealthy commodities (e.g., tobacco, prescription opioids, sugar-sweetened beverages),
profit-driven diseases (e.g., lung cancer, opioid dependence, obesity), and
corporate practices harmful to health (corporate drivers including growth demand, the expanding outreach of corporations, and the internationalization of trade and capital). Kickbush et al. related the commercial DOH to Bronfenbrenner's SESM, relating key health behaviors, individualization, and choice at the micro level. The global risk society, the global consumer society, and the political economy of globalization were described as the macro-level concepts. These authors noted that
corporate influence is exerted through four channels:
marketing to enhance the desirability and acceptability of unhealth commodities,
lobbying to impede policy barriers,
corporate social responsibility strategies that "deflect attention and whitewash tarnished reputations," and
extensive supply chains, which amplify global company influence. Note the interdependent relationships between the commercial, political, and global DOH. The corporate DOH phenomenon, as described here by Kickbush et al., perfectly explains Purdue Pharma's corporate influence in the OxyContin-related prescription opioid overdose epidemic.
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Ecological determinants (or "ecodeterminants"): These refer to the Earth's systems (atmosphere, geosphere, hydrosphere, and biosphere) and human dominance over the global environment. They impact SDOH and health equity/inequity related to pollution, ecotoxicity, resource and ozone layer depletion, ocean acidification, desertification, deforestation, species extinction, and so forth (
McGibbon, 2021b
, p. 35). Note that these determinants correlate or overlap with (intersect with) the geographic or spatial DOH as well as the global DOH.
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Global determinants:
Flynn (2021)
argued that the theory of global capitalism can explain "deeper societal factors that shape the more proximate social determinants" (p. 1) of global health and inequities, largely because of exploitative class relationships inherent in capitalism, colonialism, and imperialism. The theory's key concepts include transnational corporations, financialization, consumerism, transnational social classes, and the transnational state (political institutions). According to Flynn, improved understanding of the "endless drive for profits, exploitive class relations, and the commodification of nature and public goods" (p. 7) provides opportunities for scholars, practitioners, and activists to address issues that can achieve equitable improvements in health.
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Political determinants:
Dawes (2020)
argues that the political DOH (PDOH) are "even further upstream," the "overarching influence" on all the determinants (p. 44). Dawes defines the PDOH as a "systematic process of structuring relationships, distributing resources, and administering power, operating simultaneously in ways that mutually reinforce or influence one another to shape opportunities that either advance equity or exacerbate health inequities" (p. 44) through "legalized discrimination" (p. 46). The PDOH consist of three major concepts-voting, government, and policy-which exacerbate inequities by affecting structures, processes, and outputs (determinants) responsible for inequity (p. 45). Of these three component concepts,
voting may be the most important upstream determinant because it installs policy makers who drive the agenda at the macro level (p. 51). Whether a state votes "blue" (Democratic) or "red" (Republican) correlates to differences in financial health and access to goods and services. Eight of 10 states most dependent on federal funds are "red states" that generally receive more federal funds than they pay in taxes. Seven of nine "blue states" have higher incomes and pay more taxes, but citizens in those states are less dependent on the government because their residents need less support (
Gordon, 2022
).
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The more immediate effects of being the target of an ism can include "hurt feelings, closely associated with agony, suffering and anguish" (
Carter et al., 2020
, p. 2). These can lead to other emotions like anger, disappointment, mistrust, and "a desire for social acceptance while avoiding social interactions" (p. 2). Note that each of the "isms" can be associated with adverse outcomes and traumas, and each can be defined conceptually, but for the purpose of this column, only the conceptualization of
racism is provided as an example (see
Table 2
).
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Numerous social, environmental, economic, and structural factors influence the inequitable distribution of the burdens of poor health and the benefits of well-being (
NASEM, 2017
). There are two main "clusters of root causes of inequity" that NASEM described as the "terrain on which
structural inequities produce
health inequities" (p. 100). These include mechanisms that "organize the distribution of power and resources differentially across lines of race, gender, class, sexual orientation, gender expression, and other dimensions of individual and group identity," and the unequal allocation of power and resources, "the more fundamental root cause of inequity" (p. 99).
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Stress is defined as responses to noxious demands upon the body, which are expressed as physiological changes and overactivation of the body's normal hormonal stress or emotional systems (
Hennessy & Levine, 1979
;
Selye, 1936
; in
Koob, 2009
). High levels of stress hormones disrupt and change neurological, endocrine, immune, metabolic, and genetic functioning.
Toxic stress involves relentless, prolonged activation of the stress response systems and disruption of brain architecture and other organ systems, which increase the risk for stress-related diseases and cognitive impairments that can persist across the lifespan (
Bhushan et al., 2020
).
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Stigma is defined as a "mark separating individuals from one another based on a socially conferred judgment that some persons or groups are tainted and 'less than'" (
Pescosolido et al., 2008
, p. 431). Effects of stigma include anxiety and depression, increased stress, decreased quality of life, interference with recovery, loss of legal rights, discrimination in medical care, and shortened life span (p. 433). Eventually, people endorse the stereotypes, internalize the stigma, and develop a low self-worth (
Richter et al., 2019
, p. 93). The Framework portrays this as "internalized oppression" (see
Figure 1
, midstream).
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Bhushan D., Kotz K., McCall J., Wirtz S., Gilgoff R., Dube S., Powers C., Olson-Morgan J., Galeste M., Patterson K., Harris L., Mills A., Bethell C., Burke Harris N.Office of the California Surgeon General. (2020). Roadmap for resilience: The California Surgeon General's report on adverse childhood experiences, toxic stress, and health. Office of the California Surgeon General. .
https://osg.ca.gov/wp-content/uploads/sites/266/2020/12/Roadmap-For-Resilience_CA-Surgeon-Generals-Report-on-ACEs-Toxic-Stress-and-Health_12092020.pdf
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Outline
·
Abstract
·
INTRODUCTION
·
BACKGROUND
·
THE "FURTHER UPSTREAM AND FARTHER DOWNSTREAM" FRAMEWORK
·
Explaining the Framework (Key Conceptual Definitions)
·
Further Upstream: Systemic Oppression and Structural Power
·
Midstream: Structural Societal and Social Determinants
·
Structural DOH
·
Structural "Isms"
·
Social Determinants of Health
·
Causal Pathways in Which the Structural DOH Lead to Health Inequity
·
Taking the Northern Route (the "High Road"): Ethical Nursing Actions for Transformative Change
·
REFERENCES
·
IMAGE GALLERY
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