key: cord-0704851-w9rw9vc8 authors: Karaivanov, A.; Kim, D.; Lu, S. E.; Shigeoka, H. title: COVID-19 Vaccination Mandates and Vaccine Uptake date: 2021-10-25 journal: nan DOI: 10.1101/2021.10.21.21265355 sha: 8dbb16fd2656084e199cc03e8ae4da06e4f6de87 doc_id: 704851 cord_uid: w9rw9vc8 We estimate the impact of government-mandated proof of vaccination requirements for access to public venues and non-essential businesses on COVID-19 vaccine uptake. We use event-study and difference-in-differences approaches exploiting the variation in the timing of these measures across Canadian provinces. We find that the announcement of a vaccination mandate is associated with large increase in new first-dose vaccinations in the first week (more than 50% on average) and the second week (more than 100%) immediately following the announcement. The estimated effect starts waning about six weeks past the announcement. Counterfactual simulations using our estimates suggest that these mandates have led to about 289,000 additional first-dose vaccinations in Canada as of September 30, 2021, which is 1 to 8 weeks after the policy announcements across the different provinces. Time-series analysis corroborates our results for Canada, and we further estimate that national vaccine mandates in three European countries also led to large gains in first-dose vaccinations (7+ mln in France, 4+ mln in Italy and 1+ mln in Germany, 7 to 12 weeks after the policy announcements). NOTE: The reported numbers may change with more data. Please see updated version when available. Immunization with mRNA or adenoviral vaccines has proven a very effective preventive measure for reducing the spread and severity of COVID-19, with fully vaccinated people facing more than 10 times lower risk from severe outcomes. 1 Yet, following a quick-paced uptake in early 2021, COVID-19 immunization rates in many countries slowed down significantly at about 60% of the overall population during the summer months despite the vaccines' proven benefits (see Fig. B1 ). In addition, most jurisdictions -even those with relatively high vaccination rates -either experienced increased viral transmission or had to maintain or re-introduce non-pharmaceutical interventions such as mask-wearing mandates or indoor capacity limits because of the elevated reproduction rate of the COVID-19 Delta variant. 2 Therefore, in many places, a further increase in the COVID-19 vaccination rate remains essential to minimize the health and economic impacts of the virus and enable lifting of the remaining restrictions. Public health authorities around the world have actively sought the most effective strategy to increase vaccine uptake and provide incentives for hesitant people to become immunized. In response to this challenge, several governments have recently introduced proof of vaccination mandates, which allow only vaccinated persons to attend non-essential sports or social activities and settings such as stadiums, concerts, museums, restaurants, bars, etc. 3 The goal of these policies is to boost the vaccination rate and to reduce viral transmission in risky settings. 4 We evaluate and quantify the effect of proof of vaccination mandates on first-dose vaccine uptake in nine Canadian provinces and three European countries (France, Italy and Germany) that announced such mandates during July-September, 2021. We use first doses, as they most directly capture the impact of a vaccine mandate on the decision to be immunized. While requiring proof of vaccination is naturally expected to raise vaccine uptake, the magnitude of the increase is hard to predict, as it depends on how much of people's hesitancy or procrastination to become vaccinated stems from a lack of social or economic incentives, or from entrenched political or religious beliefs. where t is the date on the horizontal axis. The dashed red lines denote the vaccine mandate announcement dates (for the countries this is the date of a national mandate). Spain has not announced a national proof of vaccination mandate. We show the four most populated Canadian provinces totalling about 87% of Canada's population (see Fig. B3 for all nine provinces with mandates). Alberta also has a $100 debit card incentive for doses received between Sep. 3 and Oct. 14, 2021. Fig. 1 plots the weekly vaccine first doses for the four most populous provinces in Canada and four European countries. All except Spain have announced a proof of vaccination mandate. We observe a sizable boost in vaccine uptake within two weeks after the mandate announcement date (the dashed vertical line) in all four provinces and in France, Italy and Germany, often following a sharp decline in the pre-announcement weeks. In contrast, Spain exhibits a steady decline in weekly first doses over the displayed period. Motivated by this evidence, we aim to answer two important policy questions. First, what is the magnitude and time profile of new first dose vaccinations after a vaccine mandate is announced? Second, if an increase in vaccinations is observed, as seen in the data, does the increase occur because of intertemporal substitution (people receive the vaccine sooner than otherwise intended), or is it a net gain in vaccinations (people that otherwise would not have become immunized do so in response to the mandate)? In both cases, quantifying the increase in vaccinations is important, as it can speed up progress toward herd immunity. To the best of our knowledge, this is the first paper to rigorously assess the impact of COVID-19 proof of vaccination mandates on vaccine uptake. Using Canadian province-level data in event-study and difference-in-differences (DID) approaches, we document a rapid and statistically and economically significant increase in first-dose vaccine uptake following the announcement of a proof of vaccination mandate. 5 The average estimated increase in new weekly first doses relative to the absence of mandate is large -55% (44 log points) for the first post-announcement week and more than 100% for the second week (81% on average over all weeks, as of Sep. 30, 2021). The estimated increase in first dose vaccinations gradually decreases after the second week past the mandate announcement and dissipates after seven weeks. The Canadian province-level data is key for our identification strategy as it allows us to use the time variation in mandate announcement dates (ranging from Aug. 5, 2021 for Quebec to Sep. 21, 2021 for Prince Edward Island) across different geographic units in the same country via a difference-in-differences approach. 6 In contrast, the French, Italian or German mandates or the forthcoming U.S. vaccine mandate for employees apply at the national level, which makes it difficult to separate the effect of the vaccine mandate from that of time trends or other concurrent events and policies. We complement the results for Canadian provinces with structural break and time-series analysis including data from France, Italy and Germany. We find, using a Chow test, that we can reject the null hypothesis of no structural break at the announcement date for all locations. The time-series estimates confirm our DID results showing a significant rise in first-dose uptake in the first two weeks after a mandate announcement relative to the preannouncement trend (the estimated effect varies, from as low as 6% increase in Ontario to 5 We also collected the dates of mandate implementation and find no additional effect on top of the announcement effect. The time between a mandate announcement and its coming into force varies across jurisdictions from less than a week to more than a month, see Table C1 . 6 In Canada, the provinces are separate public health jurisdictions with extensive powers over health policy while the vaccines are procured by the federal government and allocated to the provinces in proportion to their population. All COVID-19 vaccines used in Canada are two-dose vaccines. Namely, BNT162b2 (Pfizer /BioNTech Comirnaty), mRNA-1273 (Moderna SpikeVax) and AZD1222 (Oxford-AstraZeneca Vaxzevria). as high as 125% in Alberta), followed by a waning of the effect. Counterfactual simulations using our estimates suggest that, as of September 30, 2021, all provinces and countries have achieved net gains in first-dose vaccinations relative to the hypothetical scenario of absence of vaccine mandate. We estimate 289,000 additional first doses for Canada as a whole (0.9 percentage points of the eligible population) as of September 30, 2021, which is one to eight weeks after the policy announcements across the different provinces. The largest absolute gains are estimated for Alberta (91,000 additional vaccinations or 2.4 p.p. of all eligible), British Columbia (69,000 doses, 1.5 p.p.) and Ontario (64,000, 0.5 p.p.). We also estimate 7.8 mln additional first doses in France, 4.5 mln in Italy and 1.3 mln in Germany, relative to the no-mandate counterfactual, as of September 30, 2021 (seven to twelve weeks after the respective policy announcements). To avoid potential bias from constrained vaccine supply affecting the pre-or post-mandate pace of vaccination, we limit our sample to the period after June 15, 2021, when it is safe to assume that any age-eligible person (12 or older in Canada) was able to receive a first dose of COVID-19 vaccine with zero or minimal delay. 7 June 15 is almost 3 weeks after the eligibility for a first dose of the Comirnaty vaccine was expanded to ages 12+ by Nova Scotia, the last Canadian province to do so (see Table C2 ). Vaccination mandates have been controversial, as some people perceive them as restrictions on personal freedom. This could affect compliance and increase both the direct costs of implementing and enforcing the mandates, as well as the political costs of introducing them. In this paper, we do not address ethical considerations; our aim is instead to assess the mandates' effectiveness purely in terms of boosting vaccination rates, which can then be weighed against the various costs or compared to other policy approaches such as financial incentives (e.g., cash, gift cards, lotteries) or behavioral nudges (e.g., messages from medical experts, reminder calls for appointments). In related work, Campos-Mercade et al. (2021) report results from a randomized controlled trial in Sweden and find that a modest monetary payment of SEK 200 (USD 24) is associated with an increase in the vaccination rate by 4.2 percentage points, relative to a baseline rate of 71.6% in the control group, while none of three behavioral nudges had statistical significant impact on the vaccination rate. 8 2 Data and empirical methods We use data on COVID-19 vaccination numbers, cases and deaths for all ten Canadian provinces, as well as for France, Italy, Germany and Spain. 9 Announcement dates and implementation dates of the proof of vaccination mandates were collected from the respective government websites and major newspapers (see Table C1 ). The main variables in our empirical analysis are defined below. Everywhere, i denotes province for the Canada analysis or country otherwise, and t denotes time measured in days (date). We aggregate the data on vaccinations, cases and deaths on a weekly basis (totals for the week ending on date t, i.e., dates t − 6 to t) to reduce the influence of day-of-the-week effects and reporting artifacts. 10 Outcome, V it . Our main outcome variable is the log of the number of vaccine first doses administered, V it , for the week ending at t. We use first doses as they most directly reflect the impact of the vaccine mandate on the intent to be immunized. 11 Using the logarithm of weekly first doses allows us to interpret the panel regression estimates as percentages and they are invariant to scale effects and normalization, e.g., by population. Policy, P it . Denote byt i the announcement date of the proof of vaccination mandate in jurisdiction i. We construct a binary policy variable P it that takes the value 1 for all post-announcement dates t ≥t i and the value 0 for t 2 weeks," which takes value 1 for all dates 2 weeks or more after the announcement (column 3). P-values computed using Newey-West heteroskedasticity and autocorrelation robust standard errors with 3 lags are reported in the square brackets. *, ** and *** denote 10%, 5% and 1% significance respectively. †For AB, SK, NB and PE, we have insufficient data in our sample to estimate specification (3) . Column (4) reports the augmented Dickey-Fuller (ADF) test statistics and p-values for specification (1). All rights reserved. No reuse allowed without permission. (which was not certified by peer review) is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity. We can use our difference-in-differences estimate of the average effect of mandate announcements on weekly first doses from Section 3.1 to evaluate the counterfactual of no vaccine mandate in each Canadian province. Using the definition of the mandate announcement variable P it , define the counterfactual weekly first dosesṼ did it in province i for the week ending at date t asṼ whereV did it is the fitted value of log weekly first doses for the week ending at t in regression equation (1), andα is the coefficient estimate (0.593) on the vaccine mandate announcement P it in the baseline specification, column (2) of Table 1 . Alternatively, we can use the time-series location-specific estimates of the mandate effect from Section 3.2 and Table 2 to construct counterfactual no-mandate simulations for each country or province separately. Accounting for the lagged terms in equation (2), define the counterfactual weekly doses,Ṽ ts t , as V ts t =V ts t , for all t