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OR/MS Today - October 2001 Resource Allocation The Art of Science National transplant system: What's fair and what's possible? By Tom Koch The art of the science isn't in the solution to a problem but in its definition. How an issue is perceived largely determines the data that is collected, the method of its analysis, and thus the conclusions that result. It is therefore surprising that few experts take the time to critically question the appropriate scale of the problem or the perspective that results from its application. Defining the scale and perspective of address is perhaps the critical determinant when addressing problems of allocation and distribution. I learned my lesson in the late 1990s while studying the U.S. system of graft organ distribution the way in which transplantable human organs are distributed across the United States. My goals, like those of the U.S. agencies involved in transplantation, were equality, efficiency and optimality. These are, after all, the goals of the system itself, ones enshrined in law the National Organ Transplant Act of 1984 (NOTA) [1] and in the writings of officials involved in transplant services [2]. A national system, I thought. The scale is self-evident: if not the entire United States including Alaska and Hawaii then at least the "lower 48" continental states. And so I attempted to develop a linear model (using LINDO) of the U.S. system of organ distribution that simultaneously would decrease wastage of donor organs (up to a third of those donated, depending on organ type and donor location) while assuring as equitable a distribution as possible. This model took the supply of organs as a given and tried to maximize its usage. It thus obscured the links between organ supply and distributive inequalities, between the limits of service and its potential effect on the greater system. If my program was a failure, it was in good company. The Department of Health and Human Services (DHHS), the United Network for Organ Sharing (UNOS) and a group of National Institute of Medicine (NIM) experts all made the same mistake. We all focused reflexively on one or another limited scale, that of the nation or of the administrative region. What we should have asked first was at what scales can organ distribution and supply be best understood. The 'Transplant Dilemma' Since the first successful human organ transplant in 1954 a kidney donated by identical twin Ronald Herrick to his brother Richard the focus has been on the organ donor as well as the recipient. After all, without a voluntary donor there will be no recipient. "At the conclusion of our last preoperative discussion," transplant surgeon Thomas Murray recalled years later, "the donor [Ronald Herrick] asked whether the hospital would be responsible for his health care for the rest of his life if he decided to donate his kidney" [3]. From the start, encouraging voluntary donation has been a critical goal of transplant professionals. Typically, however, experts have assumed donor organ supply and distribution to be wholly separate issues. The former is about "giving" and "beneficence," while the latter is about efficiency and maximization in a situation where scarcity rules. From the start, organ demand has consistently exceeded the available supply. At present, more than 50,000 U.S. citizens await a suitable donor organ and, in any year, perhaps one-third of those waiting for an organ transplant will receive it. In a nutshell, this is the "organ transplant dilemma" [4]. The general issues of limited supply and efficient distribution were first considered in the 1980s when Congress ordered a study to determine how best to secure transplantable organs while achieving equity and efficiency in a system of national organ distribution [5]. Since that time equality of treatment has been argued as a practical goal one designed to encourage donation as well as a political principle reflecting broader ethical and political concerns. Efficiency has been seen as a necessary objective if maximum use of available organs is to be achieved. As a result of that report, the United Network for Organ Sharing (UNOS) was created as the official OPTN (organ provider and transportation network) to administer the U.S. transplant program under the general supervision of the Department of Health and Human Services. The UNOS system divided the nation into 11 regions for administrative ease and distributive efficiency. These regions included wide disparities in population density, areal size and the number of transplant services available to citizens. They did reflect, however, historical U.S. regional designations and appeared to serve a general principle that in matching organ donor and recipient, closer is better. Proximity makes sense. Organs are a rapidly perishable commodity. Through the 1990s, hearts and lungs survived at most four to five hours outside a living host; livers survived 10 to 12 hours. Each transplantable organ has a distinct "ischemia rate" defining the rate of degradation for an organ outside a host. This creates a practical barrier to distanced organ sharing and a practical rationale for advancing organ sharing between people within a limited region, if not the same hospital or city. Through the mid-1990s, most experts were pleased with the UNOS system. Indeed, some argued it was a model of the just and efficient distribution of limited health resources. "No part of the health care system has done more to resolve questions of justice than transplantation" [6]. In the mid-1990s, however, that assumption was questioned by a series of issues involving both allocation who is deemed eligible to receive an organ and organ distribution [7]. In 1998, DHHS Secretary Donna Shalala informed Congress the UNOS system was inequitable. "In some areas of our nation," she said, "patients wait five times longer or more for an organ than in other areas. Less visible but more important are the resulting inequities in who receives organs. Where waiting times are shortest, organs may go to patients who are less ill; while at the same moment, in areas where patients wait longer, organs often are not offered to patients with greater medical need" [8]. The answer, she concluded, was to change from a regional to a national system of organ distribution. In this new system eligible patients would be prioritized on a "sickest first" basis irrespective of geographical location. For its part, UNOS defended the regional system as not only generally fair and efficient but also as one encouraging voluntary donation. A national perspective would diminish voluntary giving, its officials warned, by distancing potential donors from local (or near-by) transplant sites [9]. Researchers at the National Institute of Medicine (NIM) were asked to review the problem. They concluded the regional system, while equitable, was not optimal. A national system of distribution utilizing population-based catchment areas a region-by- population size approach would best serve the country's transplant needs [10]. Scale and Perspective DHHS Secretary Shalala's concerns were based on demonstrable regional inequalities in a national system. Based in part on the work of simulation modeler Alan Pritsker [11], UNOS used the regional perspective as a means of increasing the efficiency of a national system. The focus of the first was on equality among potential organ recipients nationwide; the latter sought to maximize distributive efficiency across the national system. For their part, NIM experts took a similar perspective by recommending that population-based catchment areas replace historical regional assignments. My analysis considered the potential relations between supply and demand, location and equality, at a range of scales. This admittedly novel approach was facilitated by the use of Geographic Information Systems (GIS) tools. As a class, these mapping programs use spreadsheets to store, manipulate and organize data applicable at a range of scales that can be projected onto a mapped representation of the world [12]. In this case, GIS permitted a multi-scale analysis involving data on hospital transplant performance, the urban environments that sustain them, the states in which they are located, the UNOS regions themselves, the nation at large, and finally, international data as well. The ability to consider transplantation at a range of scales simultaneously, and through a range of data sets, suggested inequality was far more embedded in the system than others or I had previously believed. Further, equality and efficiency in transplantation supply and distribution could not be separated from a range of locational, economic and ethnic attributes. Perhaps just as important, I discovered that social and locational inequalities appeared to adversely effect organ donation as well. Inequalities Because of different ischemia rates for different organs and different issues of urgency in their collection I focused in this work only on hearts and heart transplants. In this article I illustrate my argument with data from 1996, the same data used by UNOS and DHHS in their 1998 disagreements over how best to distribute organs. Illustration 1 presents one way to consider inequalities in heart transplantation at the scale of the UNOS region as it existing in the late 1990s. Using Mean Waiting Time a measure of time waiting for patients in later stages of heart failure regional inequalities were determined through an equation weighted by regional populations. By this measure, patients might wait 10 times longer for a viable heart in some regions than in others. Surprisingly, regions with smaller populations Regions One and Six seemed to do better than more densely populated areas (Regions Two, Five and Nine, for example). That the former regions had relatively few transplant centres per capita, while the latter populations were far better served made these results even more inexplicable. What was going on? ![]() Illustration 1 Illustration 2 the number of heart transplants performed per state gives the answer. Many states have no transplant program at all. Their citizens must travel outside the state often hundreds of miles for service. Because the largest transplant centres are in major cities (Los Angeles, New York, etc.), patients from under-served states typically must fly to different regions for service. A North Dakotan is far more likely to be listed for a transplant in cities whose hospitals do scores of heart transplants a year (Los Angeles or Chicago, for example) than in the relatively small but proximate transplant hospital in Spokane, Wash. ![]() Illustration 2 Several problems arise as a result. Not the least of these is the failure to provide equal opportunities of service for all citizens in a national health delivery program. Federal law promises equality of service unconditionally, not "only when it is convenient and profitable." It violates the spirit if not the letter of the law to have no transplant program in more than 20 percent of all state jurisdictions while defining transplantable organs as a "national resource" and transplantation as a national health priority. Nor will this problem be resolved by the catchment areas based on population proposed by the NIM experts. A redistricting analysis using GIS techniques including Thiessen Polygons and a redistricting algorithm based on distance showed that inequalities in local service would be generally maintained in a national solution using population as a basis for organ distribution algorithms. At a service level, the failure to serve some state populations locally results in an increased demand for service elsewhere. Transplant hospitals in major cities located in populous states (Los Angeles, New York, Pittsburgh) have longer waiting times in part because they also must minister to populations from under-serviced states. This explains why, in Illustration 1, the areas with greater concentrations of service (Regions Two and Five, for example) have longer mean waiting times by population than those (Regions One and Six, for example) with a large number of non-transplant performing states. Even if local donation rates are good in, say California, the organs received must serve citizens from both the local population and that of under-served states. Finally, the failure to provide reasonably proximate service for all may effect adversely organ donation while increasing organ wastage. UNOS' argument for regionalization rested, in part, on the assumption people are more likely to donate organs if they know people who are organ recipients and live near a facility where transplantation is an accepted procedure. Inequalities in transplant service mean millions of people in under-served areas will be distanced from this "neighborhood effect." If I'm in North Dakota, my interest in contributing to a program operative in, say, Texas or California (or Chicago) will be lessened as a result. Even were this not true, practical difficulties arise effecting organ supply. Even when donors are identified in cities like Bangor, Maine, and Bismark, N.D., their retrieval and distribution may be problematic. The time required to bring in an expert surgical team, retrieve the organ and transport it in a timely fashion to a patient in a waiting service center may be a barrier to donation. Health providers in the largely private U.S. system do not uniformly pay for private jet service, more typically using commercial airlines instead to transport donor organs. Travel Time/Distance The general assumption has been that distance can be overcome through air travel. Persons living in under-served states can access transplant programs through commercial air flights to distant hospitals. While this may be expensive, it is a "cost" of rural living. But is air travel sufficient? An analysis of travel times from cities in under-served states (Bismark, N.D., Billings, Mont., Bangor, Maine, etc.) found the window of opportunity for many persons and thus for donated organs traveling on commercial airlines surprisingly restricted. Some cities Bismark, N.D., for example had few commercial air links capable of carrying patients to a transplant hospital within the four-to-five-hour time frame dictated by a donated heart's ischemia rate (Illustration 3). Scheduled flights were limited both in the number of flights per day and in the time those flights departed. Other cites in the same region Billings, Mont., for example had better connections and a broader band of travel opportunities. ![]() Illustration 3 Obviously, this impacts not only equality of service but also the ability to collect and use organs that volunteers wish to donate. If a perspective donor in Bismark, N.D., has a fatal accident, he or she must be kept alive until transplant teams can be flown to the local hospital. Commercial schedules make this difficult. Then the transplant team and the retrieved organs must be flown to the hospitals where potential recipients await. Again, the limits of commercial air service make this difficult. The result limits the potential to collect and use hearts from under-served regions, and may discourage donation as well. While the travel barrier could be overcome through the frequent use of private jets, their chartering adds an extraordinary expense to a medical procedure costing in excess of $300,000. And even were this supported by all health insurers, the likelihood that North Dakota patients themselves would be offered the same jet service is unlikely. The result would be a system that values the donor organ more than the potential recipient. That impacts negatively on the sense of sharing and community that in theory argues for voluntary donation from all citizens. Health Care/Race In an earlier article in this magazine I argued that general inequalities in health care delivery adversely impacted transplantation [13]. Approximately 15 percent of the U.S. population more than 44 million people have no health insurance. These are people who, because they do not have regular health care, are more likely to have chronic conditions that would exclude them as organ donors. Millions more have only minimal health coverage that may provide general coverage but will not cover services like transplantation. Citizens from both groups are therefore largely outside the "national" transplant system. Remember Ronald Herrick, the twin who wanted to know if his health care needs would be met if he decided to donate a kidney for his twin brother's health? People who have no expectation of service or equal treatment will, like him, be suspicious of participating as donors in a program that effectively excludes them or their families as potential recipients. Thus inequality of service promises to affect not merely efficiency of service for all, but also supply, exacerbating the chronic organ shortage that has plagued transplantation from the start. National/International Scales The ability to incorporate varying scales of data in a single analysis, and to then add varying types of data to the mix, is a fundamental advantage of a GIS, map-based analysis. It also may offer surprising insights. In considering the problem of under-service in areas in the West and Northeast, for example, only the continental United States is typically considered. But if one adds a map of Canada to the mix, a very different picture occurs. ILLUSTRATION 4 shows what happens when transplant services are regularized across North America. Using a network of Thiessen polygons based on city location and transplant service cites, an interesting pattern emerges [14]. Several under-served areas in the United States are advantaged by their proximity to Canadian service centers. Alaska typically left out of continental projections can be incorporated into the Western Canadian service. Indeed, the additional population of Alaska to that of north central British Columbia and Alberta would create a potentially viable transplant service area in central B.C., improving service to all three jurisdictions. ![]() Illustration 4 Conclusions What are the lessons of this work? Scarcity is clearly exacerbated by inequalities in this type of distributive system. More generally, scales of analysis and their resulting perspective are critical. Finally, it is important to remember that no one scale is necessarily sufficient. Several scales and several perspectives (organ supply, equality and efficiency of distribution, etc.) may be simultaneously operative. GIS-based approaches are helpful, and may be critical for some types of projects. But in the end GIS is simply another tool that facilitates the collection, manipulation and presentation of data. What to collect, how it should be manipulated, and what the final projection will be remains the art of the science, not the science itself. References
Tom Koch, Ph.D., is an adjunct professor of gerontology at Simon Fraser University in Vancouver, a research associate in bioethics at The Hospital for Sick Children in Toronto and a forum associate at the David Lam Centre for International Communications, SFU. His book, "Scarce Goods: Justice, Fairness, and Organ Transplantation" (Praeger Publishing, www.greenwood.com), will be released this fall. OR/MS Today copyright © 2001 by the Institute for Operations Research and the Management Sciences. All rights reserved. Lionheart Publishing, Inc. 506 Roswell Street, Suite 220, Marietta, GA 30060, USA Phone: 770-431-0867 | Fax: 770-432-6969 E-mail: lpi@lionhrtpub.com URL: http://www.lionhrtpub.com Web Site © Copyright 2001 by Lionheart Publishing, Inc. All rights reserved. |