Disclaimer
This information collection is a core HTA, i.e. an extensive analysis
of one or more health technologies using all nine domains of the HTA Core Model.
The core HTA is intended to be used as an information base for local
(e.g. national or regional) HTAs.
AAA Screening compared to not doing anything in the screening of Abdominal Aorta Aneurysm (AAA) in elderly at moderate risk of developing AAA
(See detailed scope below)
Authors: Gottfried Endel
On the European level there are statements of general values for the healthcare system. Taking these values as general principles an ethical analysis using principlism as its method can form a transferable core of information.
The local context is most important and so the first question relates to the question of usual care as information was collected by the CUR Domain. The dimension of change needed has to be evaluated. Other transferable questions are about endpoints and accuracy. These are prerequisites for balancing benefits and harms and resources used.
In most cases local values and opinions representing national/local cultural differences have to be applied. Stakeholders should be involved according to the local framework using the interactive, participatory health technology assessment (iHTA) approach in a transparent manner.
Questions addressing (population) screening activities need a special approach in ethical analysis. The framework is different from that of usual treatment interventions:
There is no information in the medical literature about the differences between healthcare systems and their impact on decision making.
The challenge in a core health technology assessment (HTA) is to be specific on a European level but to allow for the differences in the way that healthcare is organised in different member states, to outline the questions and principles addressed so that they can be applied at the local level.
Screening for abdominal aortic aneurysm is a topic discussed worldwide. The discussion and the need for assessment have increased priority because of the ageing population, the development of treatment possibilities and, at least in the developed countries, the availability of infrastructure for screening and treatment.
A modified collection scope is used in this domain.
Technology | AAA Screening
DescriptionPopulation-based systematic abdominal aortic aneurysm (AAA)screening. This includes one single invitation for the whole target population to do one ultrasound scan examination. Purpose of use: Detect abdominal aortic aneurysm in unruptured phase in order to treat those aneurysms with high risk of rupture. |
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Intended use of the technology | Screening Screening programme for abdominal aortic aneurysm Target conditionAbdominal Aorta Aneurysm (AAA)Target condition descriptionAll men and women aged 64 or more Target populationTarget population sex: Any. Target population age: elderly. Target population group: Possible future health condition. Target population descriptionAll men and women aged 64 or more For: All men and women aged 64 or more. There is some international variance in the prevalence of AAA. In the western countries the prevalence varies between 5 to 10 % for the 65 – 74 years old men. In Japan the prevalence is 1 % for the same group of men. The prevalence increases with age. In England the prevalence is 2 % for men aged 50 – 64 year and 12 % for men aged 80 years or older. In Denmark the prevalence is 4 % for men aged 65 – 69 and 6 % for men aged 70 – 74 years old. The prevalence for women is significant lower than the prevalence for men. |
Comparison | not doing anything
DescriptionNo population-based AAA screening. This includes incidental detection of AAA without age or sex limitation while performing abdominal ultrasound examinations due to other/unclear clinical indications and various opportunistic AAA-screening practices |
More information | From an ethical point of view the values for deciding about screening technologies have to be clear. An decision analytic framework to decide according to this values has to be in place (Moved from old outcomes field:) Patient level outcomes are Life years gained, quality of live - reduction due to knowledge about illness without symptoms! -, resource use in this specific indication of screening and depletion of resoruces from other screening oportunities. |
Topic | Issue | Relevant | Research questions or rationale for irrelevance | |
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F0001 | Principal questions about the ethical aspects of technology | Is the technology a new, innovative mode of care, an add-on to or modification of a standard mode of care or a replacement of a standard? | yes | Is organised Abdominal Aorta Aneurysm Screening a new, innovative mode of care, an add-on to or modification of a standard mode of care or a replacement of a standard? |
F0002 | Principal questions about the ethical aspects of technology | Can the technology challenge religious, cultural or moral convictions or beliefs of some groups or change current social arrangements? | yes | Can Abdominal Aorta Aneurysm Screening challenge cultural or moral convictions or beliefs of some groups or change current social arrangements - especially gender related definition of the screening group? |
F0003 | Principal questions about the ethical aspects of technology | What can be the hidden or unintended consequences of the technology and its applications for different stakeholders. | no | hidden or unintended consequences can only be considered on the local level. A general answer is not possible |
F0005 | Autonomy | Is the technology used for patients/people that are especially vulnerable? | yes | Is Abdominal Aorta Aneurysm Screening used for people that are especially vulnerable - consider carefully the inclusion or exclusion criteria in an recommendation? |
F0006 | Autonomy | Can the technology entail special challenges/risk that the patient/person needs to be informed of? | yes | Can Abdominal Aorta Aneurysm Screening entail special challenges/risk that the patient/person needs to be informed of? |
F0007 | Autonomy | Does the implementation challenge or change professional values, ethics or traditional roles? | yes | Does the implementation challenge or change professional values, ethics or traditional roles? |
F0004 | Autonomy | Does the implementation or use of the technology challenge patient autonomy? | no | Organised screening programs may put some pressure on people but usually the decisions and recommendations are transparent and there is no obligation to participate. |
F0009 | Human integrity | Does the implementation or use of the technology affect human integrity? | yes | Does the implementation or use of a systematic Abdominal Aorta Aneurysm Screening affect human integrity? |
F0010 | Beneficence/nonmaleficence | What are the benefits and harms for patients, and what is the balance between the benefits and harms when implementing and when not implementing the technology? Who will balance the risks and benefits in practice and how? | yes | What are the benefits and harms for participants of the screening, and what is the balance between the benefits and harms when implementing and when not implementing Abdominal Aorta Aneurysm Screening ? Who will balance the risks and benefits in practice and how? |
F0011 | Beneficence/nonmaleficence | Can the technology harm any other stakeholders? What are the potential benefits and harms for other stakeholders, what is the balance between them? Who will balance the risks and benefits in practice and how? | no | Screening usually does not influence other stakeholders. Ingeneral screening is financed from a different budget - not the budget for helth care provision (at least in Austria). So it is not a question of resources used and then missing for other fields of care. |
F0012 | Justice and Equity | What are the consequences of implementing / not implementing the technology on justice in the health care system? Are principles of fairness, justness and solidarity respected? | yes | What are the consequences of implementing / not implementing Abdominal Aorta Aneurysm Screening on justice in the health care system? Are principles of fairness, justness and solidarity respected? Is there a clear rule for prioriticing screening procedures? |
F0013 | Justice and Equity | How are technologies presenting with relevantly similar (ethical) problems treated in health care system? | no | Justice already adresses the priorisation of screening procedures. So no additional technology has to be looked at. |
F0017 | Questions about effectiveness and accuracy | What are the proper end-points for assessment and how should they be investigated? | yes | What are the proper end-points for assessment and how should they be investigated? |
F0018 | Questions about effectiveness and accuracy | Are the accuracy measures decided and balanced on a transparent and acceptable way? | yes | Are the accuracy measures decided and balanced on a transparent and acceptable way? |
F0008 | Human Dignity | Does the implementation or use of the technology affect human dignity? | no | The only aspect is the definition of the screening population. It is already adressed in other issues. |
F0014 | Rights | Does the implementation or use of the technology affect the realisation of basic human rights? | no | Screening is not mandatory so no basic human right is affected. |
F0016 | Legislation | Is legislation and regulation to use the technology fair and adequate? | yes |
First the basic values applicable in a core HTA must be described.
The Treaty of Lisbon is the basic contract of the European Union (EU). The document FXAC07306ENC (http://bookshop.europa.eu/is-bin/INTERSHOP.enfinity/WFS/EU-Bookshop-Site/en_GB/-/EUR/ViewPublication-Start?PublicationKey=FXAC07306 downloaded on 17 November 2011) contains the text of the treaty. The text of article 1a is as follows:
“The Union is founded on the values of respect for human dignity, freedom, democracy, equality, the rule of law and respect for human rights, including the rights of persons belonging to minorities. These values are common to the Member States in a society in which pluralism, non-discrimination, tolerance, justice, solidarity and equality between women and men prevail.”
This basic statement is further expanded in the following articles. I have tried to extract those that are important for the design of healthcare systems.
Article 3b shows the EU position on centralisation and decentralisation.
1. The limits of Union competences are governed by the principle of conferral. The use of Union competences is governed by the principles of subsidiarity and proportionality.
2. Under the principle of conferral, the Union shall act only within the limits of the competences conferred upon it by the Member States in the Treaties to attain the objectives set out therein. Competences not conferred upon the Union in the Treaties remain with the Member States.
3. Under the principle of subsidiarity, in areas which do not fall within its exclusive competence, the Union shall act only if and insofar as the objectives of the proposed action cannot be sufficiently achieved by the Member States, either at central level or at regional and local level, but can rather, by reason of the scale or effects of the proposed action, be better achieved at Union level.
Article 5a first mentions health.
In defining and implementing its policies and activities, the Union shall take into account requirements linked to the promotion of a high level of employment, the guarantee of adequate social protection, the fight against social exclusion, and a high level of education, training and protection of human health.
There only the protection of health not healthcare is addressed. In article 152 there is new text under number 7.
7. Union action shall respect the responsibilities of the Member States for the definition of their health policy and for the organization and delivery of health services and medical care. The responsibilities of the Member States shall include the management of health services and medical care and the allocation of the resources assigned to them.
Article 35 of the “CHARTER OF FUNDAMENTAL RIGHTS OF THE EUROPEAN UNION (2000/C 364/01)” has the following text:
“Everyone has the right of access to preventive health care and the right to benefit from medical treatment under the conditions established by national laws and practices. A high level of human health protection shall be ensured in the definition and implementation of all Union policies and activities.”
The website of the European Commission Directorate General for Employment, Social Affairs and Inclusion includes the following statement ( http://ec.europa.eu/social/main.jsp?catId=754&langId=en accessed on 1 December 2011):
“The EU promotes the coordination of national healthcare policies through the open method of coordination with a particular focus on access, quality and sustainability. The key objectives in these three areas are:
Access to health promotion, disease prevention, and curative care:
Quality
• more patient-centred care
Sustainability
More rational use of financial resources via:
Avoiding under-resourcing of healthcare systems and establish a viable contribution base:
Reasons for coordinating healthcare at EU level
Access for all to technological progress and greater patient choice must be balanced against financial sustainability.
Spending on health care in EU countries is growing faster than their national wealth. Priorities have to be set, and greater value for money achieved.”
The arguments can be found under the title of Social Services of General Interest (SSGIs; http://ec.europa.eu/social/main.jsp?catId=794&langId=en accessed on 1 December 2011):
“In the EU, social services play a crucial role in improving quality of life and providing social protection. They include:
These services are a vital means of meeting basic EU objectives such as social, economic and territorial cohesion, high employment, social inclusion and economic growth. The EU encourages cooperation and the exchange of good practice between EU countries to improve the quality of social services, and provides financial support for their development and modernisation (eg from the European Social Fund).”
At the European Committee for Standardization (CEN) a Common Quality Framework for SSGIs was developed. The nine principles can be found in a final report (http://www.best-quality.eu/fileadmin/News/Studie/BQ_FinalReport_ENGweb_81-100.pdf accessed 1 December 2011). In an explanatory text the following is stated:
“The European Commission See: Commission Communication "Implementing the Community Lisbon programme: Social Services of General Interest in the European Union" {SEC(2006) 516} identified two main categories of SSGIs:
1. Statutory and complementary social security schemes, organised in various ways (mutual or occupational organisations), covering the main risks of life, such as those linked to health, ageing, occupational accidents, unemployment, retirement and disability;
2. Other essential services provided directly to the person. ...”
This is also summarised in the EUnetHTA strategy (version 220612) as values of the European Union:
This clarifies the values that guide European policy on social services and as part of them health services. The questions related to AAA screening are viewed on the basis of these values. This general level guides the choice of the methodology. Stakeholder involvement on the European level in the sense of an interactive, participatory approach could not reflect local opinions about priorities, organisational opportunities or sustainability in a particular setting. As stated by the citation of documents showing the principles of the EU, the approach is mainly a way of principlism. The conclusions and findings are then scrutinised by applying coherence analysis (see Ethical aspects: Mirella Marlow, Ilona Autti-Rämö, Bjørn Hofmann, Samuli Saarni, Sinikka Sihvo, Aleksandra Zagórska; Ethical Methodology draft 100906).
Analysing the question shows that the main issue is in “organised population” screening (see PICO question). This implies the responsibility of the healthcare system (authority) for a recommendation. In most settings the “standard mode of care” means AAAs are found by accident or at a symptomatic stage. Healthcare providers may counsel individuals at high risk but there is no strong guidance and therefore high variability can be assumed.
The AAA screening survey (see current use domain) shows that only Sweden provides organised AAA screening programme. Lithuania describes the situation as an opportunistic one. The description resembles the answer of Spain. In CUR7 the UK NHS is cited as having an organised screening tool. In most countries organised population-based screening would be a new proposal.
Ultrasound examinations of the abdomen are well established in all healthcare systems. The new items therefore would be the
As proposed in the section on quality assessment tools and criteria for this question a score using the four ethical dimensions should be collected.
The general approach on the EU level has to be put into operation at the local level. This could be done using an interactive participatory approach to HTA.
Importance: Important
Transferability: Completely
The main challenge in this question is finding a “threshold” of incidence or prevalence for screening in general and for gender-specific screening in particular.
The main problem is whether gender is a suitable criterion for determining eligibility for screening. This judgment should be based on results from the effectiveness and safety domain.
Judgement has to be used with regard to national/local epidemiology.
Importance: Critical
Transferability: Partially
In general organised population screening should address all those eligible for the procedure equally. But the organisation and allocation of the service provision influences the accessibility and inflicts consequences on healthcare providers. So the framework of the healthcare system, geographical reality and the current state of infrastructure are highly important. Decisions can only be taken on a local level.
Importance: Important
Transferability: Not
For each medical intervention informed consent is necessary. The common quality framework for SSGIs shows the responsibilities of a public authority in this context. So the information materials needed for informed consent should be provided by this authority. They should not only cover information on the ultrasound test but also on subsequent management in case of a positive finding. It should thus be possible to reach an informed decision about the test and about the subsequent management. This includes all activities in the field of quality management and evaluation – with a special focus on data use (data protection rights).
The information provided should be as comprehensive and as extensive as possible. The (political) accountability in the field of SSGIs, data protection issues and the local cultural background have the most impact. See SOC5 with regard to positive or negative emotional reactions of screening subjects. Due to differences in local cultural background it can be expected that these reactions will differ.
Importance: Important
Transferability: Partially
As already stated the organisational decisions accompanying the implementation of an AAA screening have an impact on the healthcare professionals at least on their workload and income
As professional autonomy is reduced by standardisation of organised screening programme, and decisions about the type of organisation have an impact on workload and income, the acceptability of such a programme from the viewpoint of the healthcare providers will depend on the local setting. Early involvement and balancing pros and cons of different organisational settings are important. The interactive, participatory HTA approach (iHTA – see Ethical methodology 100906) should attach considerable weight to the opinions of the experts and the healthcare provider.
Importance: Critical
Transferability: Not
Human integrity has to be considered in any “public” intervention. In a healthcare system based on “solidarity” it is expressed in the root documents cited to define the principles of these ethical considerations that some responsibilities are allocated at the system level. Typically they address questions that individuals are not able to answer. This can derive from a different view on discounting the future, the broad public health perspective necessary or the access to data and methods for informing decision making. Just as in medicine where guidelines summarise the clinical evidence because individual medical doctors cannot read one billion publications a year (the expected number of entries in PubMed in 2012), public health policy, with democratic legitimacy, summarises the evidence and the preferences of their population.
So questions of democratic legitimacy and citizen or patient involvement in policy decisions have to be considered. The nine principles of the common quality framework for SSGIs should be followed.
Nevertheless the integrity or freedom of the healthcare professionals is reduced by standardisation of an organised screening programme. The definition of a screening programme, the data acquisition, the quality assurance, monitoring and evaluation challenge professional values and opinions.
The integrity of screening subjects is respected as there is no obligation to participate. But by standardisation of healthcare provision the integrity of healthcare providers can be reduced. In a healthcare system based on solidarity a restriction, for the healthcare providers, in their ability to live according their moral convictions, preferences or commitments is to some extent justified. The rules of SSGI should be followed and an inclusive discussion to gain broad acceptance and democratic legitimacy is necessary.
Importance: Important
Transferability: Not
In organised screening the final decision about participation remains at the individual level. The healthcare system and the care provider are responsible only for the best possible information to permit informed decision making or informed consent.
The main challenge of (most) political decisions in healthcare is the conflicting goals and values not only in different policy areas but also on different levels within the system. In a pluralistic society such conflicts are normal. Usually the level of clinical medicine “belongs” to the patient and the clinician. The level of the health system is the domain of “organisations” – the stakeholders (providers, payers, patient groups, industry and so on). The last level deals with the balance of interests between political fields such as education, the labour market, others... and health. It may be attributable to the fact that the issue of AAA screening is a multi-level, multi-stakeholder and diverse interest dilemma. The international dimension should also be taken into account – particularly the previously mentioned open method of coordination of the EU.
So the balancing of the benefits and harms can be done only at the local level because local current use has to be taken into account. The open method of coordination aims to harmonise healthcare and public health priorities on the EU level.
Importance: Important
Transferability: Partially
In this question the dimension of justice is highlighted. So a summary of the previous findings is necessary.
Justice:
Justice addresses restriction to access for citizens by gender or other characteristics, the healthcare system as an SSGI, organisational aspects for providers, evaluation for citizens (data protection), and objective information needed both for informed consent (clinical level) and for system decisions (political level). At the moment a clear rule for prioritising screening procedures is not available, so decisions will follow national or local priorities and values.
Importance: Critical
Transferability: Partially
The best possible and most objective information to permit informed decision making or informed consent is needed, not only with regard to the ultrasound test but also, in cases where there is a positive test, about the subsequent pathway of care. Information on the subsequent steps should provide both an overview and in depth information on demand.
The result card A0009 “What aspects of the burden of disease are affected by AAA screening?” presents an overview of outcome measures found in the literature. It was not addressed whether these outcomes were chosen by experts or with patient involvement. This should be clarified.
The general approach on the EU level has to be put into operation at the local level. This could be done using an interactive participatory approach to HTA.
Standard mode of care |
Respect for autonomy |
Organised population screening |
Respect for autonomy |
Standard mode of care |
Non-maleficence: |
Organised population screening |
Non-maleficence: |
Standard mode of care |
Beneficence: |
Organised population screening |
Beneficence: |
Standard mode of care |
Justice: |
Organised population screening |
Justice: |
Importance: Important
Transferability: Completely
At the moment a clear rule for prioritising screening procedures is not available. The decision process is mainly driven by scientific organisations of care providers. This expert opinion is based (hopefully) on clinical studies, clinical experience and a broad knowledge of the natural course of the disease. The definition of cut-off values for tests should be based on scientific evidence.
Decisions about cut-off values need a valid scientific basis. The uncertainty associated with all decisions and prognoses has to be communicated. The degree of uncertainty acceptable in a healthcare system should be made explicit and is the subject of a value judgement.
The general approach on the EU level has to be put into operation at the local level. This could be done using an interactive participatory approach to HTA.
Importance: Critical
Transferability: Completely
Only three of the questions in this domain can be seen as completely transferable (ETH1, ETH9 and ETH10). Also the ethical judgment has to be based on the results of the other domains. But several questions are closely related and therefore cooperation in the scoping phase was necessary.
The main issues are that the points of view of different stakeholders are important. To balance these interests a combination of methodologies (see methodological guidance Mirella Marlow, Ilona Autti-Rämö, Bjørn Hofmann, Samuli Saarni, Sinikka Sihvo, Aleksandra Zagórska; Ethical Methodology draft 100906) is needed, drawing together:
To support a transparent process the value judgments in iHTA should be made with ratings giving a quantitative scale to the difference an introduction of the technology will make compared with usual care.
As the survey on AAA screening (CURx) shows there is high variability between healthcare systems. This variability reflects different cultural approaches and values in the design of healthcare. So the ETH domain informs only which questions should be answered and proposes how this might be done in the local context. Only ETH1 in the context of the survey in CURx allows a common view. ETH9 and ETH10 is related to EFF domain and should also be transferable.