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Record of Attendance |
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Committee Members
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Dr. Toby L. Merlin, Chair |
Dr. George Birdsong |
Dr. Joseph Campos |
Dr. Patricia Charache |
Dr. Brenta Davis |
Dr. Kathryn Foucar |
Dr. Ronald Gagn |
Dr. Cyril (Kim)
Hetsko |
Ms. Cynthia Johns |
Dr. Ronald Luff |
Dr. Margaret McGovern |
Dr. Valerie Ng |
Dr. Timothy O' Leary |
Mr. Stewart Lee Richardson |
Dr. Lawrence Silverman |
Mr. Albert Stahmer |
Dr. Lawrence Sturman |
Dr. David Sundwall |
Dr. Roland Valdes |
Dr. Alice Weissfeld |
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Ex Officio
Members |
Dr. Robert Martin, Centers for Disease
Control and Prevention
Mr. Donald St. Pierre (for Dr. Steven Gutman, Food and Drug Administration
Ms. Judith Yost, Centers for Medicare & Medicaid Services
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Liaison
Representative - AdvaMed
Ms. Luann Ochs, Roche Diagnostics Corporation
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Clinical Laboratory
Improvement Advisory Committee
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The Secretary of Health and Human Services is authorized under Section
353 of the Public Health Service Act, as amended, to establish standards to
assure consistent, accurate, and reliable test results by all clinical
laboratories in the United States. The Secretary is authorized under Section
222 to establish advisory committees.
The Clinical Laboratory Improvement Advisory Committee (CLIAC) was
chartered in February 1992 to provide scientific and technical advice and
guidance to the Secretary and the Assistant Secretary for Health regarding
the need for, and the nature of, revisions to the standards under which
clinical laboratories are regulated; the impact on medical and laboratory
practice of proposed revisions to the standards; and the modification of the
standards to accommodate technological advances.
The Committee consists of 20 members, including the Chair. Members are
selected by the Secretary from authorities knowledgeable in the fields of
microbiology, immunology, chemistry, hematology, pathology, and
representatives of medical technology, public health, clinical practice, and
consumers. In addition, CLIAC includes three ex officio members, or
designees: the Director, Centers for Disease Control and Prevention; the
Commissioner, Food and Drug Administration; the Administrator, Centers for
Medicare & Medicaid Services (formerly, Health Care Financing
Administration); and such additional officers of the U.S. Government that
the Secretary deems are necessary for the Committee to effectively carry out
its functions. CLIAC also includes a non-voting liaison representative who
is a member of AdvaMed (formerly, Health Industry Manufacturers Association)
and such other non-voting liaison representatives that the Secretary deems
are necessary for the Committee to effectively carry out its functions.
Due to the diversity of its membership, CLIAC is at times divided in the
guidance and advice it offers to the Secretary. Even when all CLIAC members
agree on a specific recommendation, the Secretary may not follow their
advice due to other overriding concerns. Thus, while some of the actions
recommended by CLIAC may eventually result in changes to the regulations,
the reader should not infer that all of the advisory committee's
recommendations will be automatically accepted and acted upon by the
Secretary.
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Call to Order - Introductions/
Financial Disclosures
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Dr. Toby Merlin, CLIAC Chair, welcomed the Committee members and called
the meeting to order. He reviewed the role of CLIAC and asked Committee
members to make self-introductions and give financial disclosure
statements relevant to the topics to be discussed during the meeting. Dr.
Merlin recognized Committee members completing their term and thanked them
for their contributions and service to CLIAC. In addition, he discussed
his own transition, later in the month, from CLIAC Chair to CDC employee,
and announced that Committee member, Dr. David Sundwall, will be assuming
the role of acting CLIAC Chair at the next meeting. In addition, Dr.
Edward Baker, Director, Public Health Practice Program Office (PHPPO),
CDC, and Executive Secretary of CLIAC, informed the Committee that he is
retiring from CDC, effective March 31, 2003, to accept a position at the
University of North Carolina (Chapel Hill) School of Public Health.
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Agency Updates
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Centers for Medicare & Medicaid Services (CMS)
Update
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CLIA Final QC Regulation
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Addendum A |
Ms. Judith Yost, Director, Division of Laboratory Services, CMS, provided
a summary of the Clinical Laboratory Improvement Amendments (CLIA) Final
QC Regulation (68 FR 3640), which was published in the Federal Register on
January 24, 2003. She began by briefly reviewing the February 28, 1992,
CLIA Final rule with Comment and the quality control (QC) and high
complexity laboratory director phase-in provisions contained in that rule.
She informed CLIAC that the January 2003 CLIA Final QC rule ends these
phase-in provisions as of February 28, 2003 (laboratory director), and
April 24, 2003 (QC). Additionally, this rule updates the CLIA regulations
to incorporate many of the Committee's recommendations, respond to public
comments, and reflect new technologies and clinical laboratory research
data gathered over the past 10 years. Ms. Yost described the re-formatting
of the regulations to parallel the path of a specimen as it moves through
the laboratory and to better integrate basic quality systems concepts
throughout the laboratory and all testing phases. She then highlighted
several of the QC Final rule's revisions and, in particular, the
flexibility given to laboratories to determine their own QC mechanisms.
Ms. Yost reemphasized CMS's focus on an educational approach to
implementation, including allowing laboratories one survey cycle (2 years)
to attain compliance with the new regulations. Ms. Yost provided the
members handouts detailing the regulatory changes in the Final QC rule (Addendum
B), and noted that additional information is available on CMS's CLIA
website (www.cms.hhs.gov/clia).
She briefly discussed guidance documents that are currently under
development and will be posted at a later date on CMS's website.
Committee Discussion:
- One member inquired about the manufacturer's responsibility related
to quality control requirements. Ms. Yost responded that test system
manufacturers still need to include QC instructions in their labeling;
however, FDA will not be reviewing these instructions for CLIA
compliance. While the CLIA regulations continue to require laboratories
to follow the manufacturer's QC instructions, each laboratory performing
nonwaived testing will also need to ensure that the test system performs
adequately within its particular testing environment.
- Another member asked if a laboratory performing high complexity
testing must ensure that each specialty and subspecialty departmental
director meets the CLIA laboratory director board certification
requirement for individuals with a doctoral degree. Ms Yost responded
that the individual identified on the facility's CLIA certificate as
Laboratory Director is the individual that must meet the laboratory
director qualification requirements.
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Ambulatory Safety Initiative
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Addendum
C |
Dr. Scott Young, Senior Clinical Advisor, Office of Clinical Standards and
Quality, CMS, informed the Committee about the Ambulatory Safety Initiative
to improve patient safety and quality of care in the ambulatory setting. The
basis for this Initiative was the Institute of Medicine's report, Crossing
the Quality Chasm, which noted that patients in ambulatory settings do not
reliably receive care consistent with clinical guidelines; that there are
significant risks to patient safety and quality of care in these settings;
and that substantial gains in quality and safety depend on the incorporation
of clinical information systems. The Leapfrog Group, the Agency for
Healthcare Research and Quality, CMS, and other interested stakeholders are
collaboratively working through a Quality Task Force to address these
issues, adopting a strategy to promote information technology systems in
physician offices, which have the capacity to provide clinical
decision-making support and data exchange. He explained that the Leapfrog
Group is a large coalition of public and private organizations and
purchasers of healthcare that have united to generate new thinking on value
purchasing and to use the leverage of large employers to propose "leaps" to
the medical community and facilitate quality improvement in healthcare. The
Quality Task Force's three areas of focus are electronic prescribing to
increase legibility and decrease the occurrence of drug interaction and
dosage errors; electronic test results management to alert the practitioner
of test results not reviewed and to decrease unnecessary test ordering; and
electronic care reminders (E-care) to prompt the practitioner to remind
patients to schedule office visits, laboratory or other services, or to
identify patients in need of monitoring. Dr. Young briefly described other
HHS health-information technology initiatives and the Quality Task Force's
next steps. Committee Discussion:
- The CLIAC members commended the work of the Ambulatory Safety
Initiative to reduce medical errors, but suggested that the task force
substitute the term "laboratory errors" with "errors in the use and
management of laboratory data," to clarify they do not mean "bad" data.
- Committee members commented that several private sector organizations
have similar information technology (IT) initiatives. Dr. Young responded
the Task Force recognizes there is no single solution and is currently
engaged in dialog with other government and nongovernmental organizations
regarding cost efficient information systems for physicians.
- One member asked how the E-care reminder would benefit patients,
since many people may not have computers in their home or office, and
voiced concern about how this would impact patient privacy issues. Dr.
Young clarified that this initiative is directed toward information
systems in the practitioner's office, not the patient's home or office.
- Another member emphasized the need to develop closed-feedback systems
to maintain linkage between physicians and patients and thus address
problems presented by a migratory healthcare environment. As an example,
the member noted that laboratory results are sometimes returned to the
laboratory because the patient has moved or the doctor has left the
practice.
- Several members speculated how an IT system could be effectively
implemented in all physician offices, how it would be financed, and what
incentives would exist for physicians to use for purposes other than
billing. One committee member postulated that CMS could consider IT use in
the ambulatory setting as a best practice standard and tie reimbursement
to physician offices that embrace IT systems.
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Food and Drug Administration (FDA) Update
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Office of In Vitro Diagnostic Device Evaluation and Safety
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Addendum
D |
Mr. Donald St. Pierre, Deputy Director, Office of In Vitro Diagnostic Device
Evaluation and Safety (OIVD), Center for Devices and Radiological Health,
FDA, presented an overview of OIVD's structure, goals, and activities. He
commented that the FDA Modernization Act of 1997 was the driving force
behind the establishment of this new office, which will provide
cradle-to-grave oversight of in vitro diagnostic devices (IVD) by
consolidating all of FDA's IVD regulatory activities (premarket, postmarket,
and enforcement) into one office. The office will shift from a premarket
review to a quality systems approach and a patient safety team has already
been created to look at new ways to identify and resolve problems. He then
discussed OIVD's progress reconsidering the Analyte Specific Reagent (ASR)
regulation and the development of a proposed rule to expand FDA's authority,
and the drafting of a multiplex testing guidance. Committee Discussion:
- Several Committee members asked if the current FDA regulations
governing laboratory information systems (LIS) for blood transfusion
services would be expanded to include other LIS. Mr. St. Pierre
responded that blood establishment computer software is under the
purview of FDA's Center for Biologics Evaluation and Research (CBER)--which
is now part of OIVD--is responsible for regulating the collection of
blood and blood products and. LIS systems are currently classified as
Class I exempt products and most of the reported problems relate to
software revalidation. He added, at the present time, there are no plans
to include non-blood establishment LIS under CBER's regulations.
- Several members commented that changes in science and technology
often out-pace regulatory change, leading to conflicts with the
regulatory process. They asked if FDA was assessing possible
acceleration of the product review process. Mr. St. Pierre affirmed that
FDA is initiating changes that should accelerate and improve the review
process.
- One member inquired why FDA is interested in regulating Class I
exempt ASR's, considering the agency's limited resources and the current
political climate of decreased regulation. Mr. St. Pierre explained that
the ASR rule was created in response to concerns related to genetic
"home brew" testing and the need for oversight. He added that oversight
of ASR's is clearly within FDA's authority.
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Rapid HIV Test Approval/Waiver
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Addendum
E |
Dr. Elliott Cowan, Senior Regulatory Scientist, CBER, Office of Blood
Research and Review, FDA, presented an overview of the OraSure OraQuick
Rapid HIV-1 Antibody Test recently approved by FDA. He explained the
initial November 2002 premarket approval was as a CLIA moderate complexity
test and included some restrictions on its sale, distribution, and use. He
reviewed the test's intended use, restrictions, step-by-step instructions
and its clinical trial data. In January, following OraSure's submission of
additional data, FDA granted the test a CLIA waiver. Dr. Cowan emphasized
that sales and intended use restrictions remain unchanged for the waived
test, and quality assurance program recommendations are under development
by CDC.
Committee Discussion follows CDC Update
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Centers for Disease Control and
Prevention (CDC) Update
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Rapid HIV Testing
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Addendum F |
Dr. Thomas Hearn, Deputy Director, DLS, PHPPO, CDC, presented an update on CDC's
Rapid HIV testing activities. He stressed the CDC activities are a collaborative
effort with public and private health partners to respond to the changes in the
HIV epidemic and testing technology. Activities include advising the
confirmation of all reactive OraQuick Rapid HIV-1 Antibody Test results using
either a Western Blot (WB) or Indirect Immunoflourescence Assay (IFA); drafting
quality assurance guidance; and developing training and educational materials.
Committee Discussion (CDC and FDA Updates):
- A few members asked if the OraQuick Rapid HIV-1 Antibody Test is
capable of withstanding environmental stresses, such as temperature extremes
and improper storage conditions. Dr. Hearn indicated the test's use in
Africa has demonstrated that the reagents are quite stable, and the use of
external controls helps to detect any deterioration. Dr. Cowan added that
temperature limitations are listed in the package insert and the user has
the responsibility to follow the package insert instructions. Also, the
procedural controls should indicate whether the device is functioning
properly.
- One member asked about false positive results and how Western Blot
indeterminate sera would perform with this test. Dr. Cowan responded it
would be unrealistic to expect no false positives, but added, the
sensitivity and specificity of the test is excellent.
- Members asked if fingerstick samples and specimens from different age
groups, specifically neonatal specimens, were included in the validation
studies; and if future studies would include assessment of test performance
in the field. Dr. Cowan responded the validation studies did not include
neonatal specimens and that the package insert's limitation section states
that test performance has not been demonstrated in persons under 13 years of
age. He explained that fingerstick samples were not included in the
validation study and that the studies were similar to other waived test
studies. He also remarked that FDA would closely monitor test performance in
the field, taking action if it does not correlate with the test
specifications established in the clinical trials.
- One member asked why the test may not be used for blood and tissue donor
screening. Dr. Cowan responded that appropriate studies have not been done
to support its use in donor testing.
- A number of Committee members sought further clarification on the waived
product's use and sales restrictions and reassurance that the restrictions
prevent self-testing. They also asked for a clearer definition of who can
purchase the product and who has the legal responsibility for misuse of the
test. Dr. Cowan and Dr. Hearn emphasized this is the first waived test to
have restrictions and the purchaser of the test kit must be aware of, and
comply with, all of these restrictions. Dr. Cowan stressed the sales
restriction limited its purchase to a clinical laboratory and/or an agent of
a clinical laboratory. He further emphasized the purchaser assumes
responsibility for proper use of the product and adherence to all test
performance requirements. He indicated that legal responsibility for test
misuse is an interpretation of law and would require review by legal
counsel.
- Several CLIAC members commented on the importance of having a quality
assurance protocol and wondered how compliance can be assured at
non-traditional testing sites performing waived tests. They also questioned
the lack of follow-up on the false negative test results in the clinical
trials, voicing concern about the sensitivity and specificity in the
clinical trail data given the prevalence of the disease in the U.S.
population and the projected number of rapid HIV tests to be performed
annually. Based on this projection, one member estimated the statistical
probability of false negative test results and asked if this number was an
acceptable "minimal" risk to the public. Dr. Hearn acknowledged that the CDC
collaborative workgroup developing the quality assurance guidance has had
similar concerns and is examining all options to identify laboratory
practices to assure quality testing and minimize risk of harm. He encouraged
CLIAC members to watch the CDC satellite broadcast April 24, 2003, 1:00 -
3:00 PM (EDT) addressing quality assurance issues in rapid HIV testing.
- Dr. Merlin reassured the Committee that its opinions and concerns about
the waived rapid HIV test have been heard. In closing, Dr. Merlin stressed
that HHS will continue to strive to ensure HIV testing is safe, effective,
timely and responsive to the needs of patients and public health.
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Quality Institute Conference 2003
Dr. Joe Boone, DLS, PHPPO, CDC reminded the Committee that the Quality
Institute Conference will be held April 13-15, 2003, in Atlanta, Georgia. He
provided an agenda, encouraged CLIAC members and visitors to attend, and
reviewed plans for the conference He described the conference's focus of making
the laboratory a key partner in patient safety and the plans to seek
participation of healthcare partners in an interactive workgroup setting. The
workgroups will help to identify the laboratory's "fit" in the healthcare
delivery system, how errors can be reduced, and how the quality of patient care
can be improved as a result.
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CytoView IITM Demonstration
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Addendum G
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Ms. Maribeth Gagnon, DLS, PHPPO, CDC, updated CLIAC on CytoView IITM
, a DLS-developed
computer-based cytology proficiency testing (PT) program. She reported the
CDC and Maryland study comparing cytology computer-based proficiency testing
with glass-slide proficiency testing has been completed, the data analyzed,
and publication of the study results is forthcoming. She explained that
improvements in the CytoView IITM version software have increased its
similarity to a glass-slide format and provided additional flexibility and
access through laptop delivery. She then demonstrated several test menus,
pointing out such features as microscopic simulation and bookmarking. Ms.
Gagnon encouraged the Committee to view the CytoView IITM demonstrations
available to the general public on the DLS website at
http://www.phppo.cdc.gov/cyto/CytoView_Demo.asp
Committee Discussion
- CLIAC members congratulated CDC on its 10-year perserverance and
diligence in developing the concepts and improving the technology to
make computer-based cytology PT possible. They encouraged expanding
computer-based PT to all applicable areas of laboratory microscopy and
developing it as a web-based tool.
- Ms Gagnon agreed that there is a myriad of potential applications
for the technology. She discussed CDC's efforts to find partners
interested in expanding its use and further developing the technology.
- One member voiced some concern about the differences between "video"
cytology and "real" cytology fields of view, indicating that simulating
the microscope itself would be very helpful. Another member asked if the
hardware requirements would limit program use and availability.
- Ms. Gagnon described the hardware requirements as "off the shelf"
technology and not a factor that would limit the use of the
computer-based program. She agreed that having a virtual slide program
to include microscope simulation would be ideal, but technology is not
available to accomplish this.
- Several members asked about the study's results and how performance
on the glass-slide PT compared with performance on the computer-based
PT. Ms. Gagnon responded the data indicates some correlation between the
two PT methods, and reminded the Committee that all of the study's
results will be published in a peer-reviewed journal.
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Bioterrorism Activities
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Addendum
H |
Laboratory Response Network - Response to a Bioterrorism Event Dr. Mike
Miller, Chief, Laboratory Response Branch, Bioterrorism Preparedness and
Response Program, National Center for Infectious Diseases, CDC, described
the Laboratory Response Network's (LRN) vision to establish an integrated
multi-level laboratory network to provide rapid and critical laboratory
capacity for response to bioterrorism (BT), emerging infectious diseases,
and other public health threats and emergencies. He reviewed the LRN
partners and collaborative efforts to build this capacity and outlined the
Network's membership structure. The role of the Sentinel Laboratories
(formerly Level A) is to recognize, rule-out, and refer suspected
organisms; the role of the Reference Laboratories (formerly Level B and C)
is to perform confirmatory testing; and the role of the National
Laboratories (CDC and USAMRIID) is definitive characterization. He
emphasized that one of CDC's roles in ensuring response capacity is to
collaboratively work to improve the public health infrastructure. CDC
provides each LRN laboratory agent-specific protocols; standardized
reagents and controls; proficiency testing; a laboratory referral
directory; secure communications systems; training and technology; and
appropriate vaccinations for laboratory workers. He concluded with a
summary of LRN future goals, emphasizing the ultimate goal of a fully
integrated response network, both nationally and internationally.
Committee Discussion:
- CLIAC was impressed with the evolving laboratory response network
and the collaborative effort of the current LRN membership and
partners in enhancing the capacity of the public health laboratories.
One member asked about the capacity of Level B and C laboratories to
screen for all possible BT agents. Dr. Miller answered that the
development of reagents and BT agent panels by CDC will allow
reference laboratories (formerly Level B and C laboratories) to have
broad confirmatory capabilities. It is only the more exotic agents
that require referral to CDC and USAMRID laboratories for
confirmation.
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Presentations and Committee
Discussions
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Direct Access Testing - Overview
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Addendum
I |
Dr. Toby Merlin began his overview by defining direct access testing (DAT)
as testing the consumer self-orders, pays for out-of-pocket, and is largely
responsible for interpreting and, as necessary, following up. He noted, it
is not patients requesting the testing for medical care, but consumers, who
are self-ordering tests and their test purchases are made without physician
consultation. Dr. Merlin continued, media reports on DAT focus on
consumer/patient empowerment with no physician or insurance company
intervention, and factors such as convenience, cost savings, and privacy are
reasons for the popularity of these services. For example, DAT offers the
advantage of anonymous HIV and drug testing. This is an important
consideration for consumers who do not want an insurance company, employer,
or the family physician to know they have been tested or to have access to
their results. Dr, Merlin pointed out that DAT represents a major paradigm
shift in healthcare, moving from a physician focus to a consumer focus.
Approximately 10-15% of hospital and commercial laboratories currently offer
direct access testing and market their services primarily to the "worried
well" and the "well-heeled." While some laboratories restrict this service
to a limited testing menu, others have no restrictions and offer a wide
range of tests to the consumer, including genetic tests. The majority of
self-orders are for screening tests and wellness profiles.
Dr. Merlin concluded by asking CLIAC to defer its discussion on DAT until
all of the invited speakers, representing various perspectives, have
completed their presentations.
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DAT- Impact of CLIA
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Addendum J
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Ms. Rhonda Whalen, Chief, Laboratory Practice Standards Branch, DLS, PHPPO,
CDC, reviewed relevant sections of the CLIA regulations and discussed their
application to laboratories offering DAT. Simply, all CLIA requirements that
apply to nonwaived testing also apply to nonwaived testing offered directly
to consumers. She explained that CLIA defers to state law regarding who may
order tests and/or receive test results. In other words, if a state allows
DAT, so does CLIA. Currently, thirty-two states permit some form of
direct-to-consumer testing. A few states have no DAT requirements, thereby
permitting DAT. Eighteen states prohibit DAT, but enforcement can be
challenging. As an example, Ms. Whalen noted that while Georgia prohibits
DAT, some laboratories still advertise this service. They by-pass the state
law by having a physician on-staff who will order any laboratory test the
consumer selects. Ms. Whalen concluded her presentation by asking the
Committee to consider in its discussion: the appropriateness of the CLIA
requirements regarding DAT; alternatives to regulations, such as guidelines;
and other potential options or approaches for assuring safe and appropriate
DAT. In this regard, she directed the members to their notebooks for a copy
of a Federal Trade Commission (FTC) presentation to the Secretary's Advisory
Committee on Genetic Testing, which reviewed FTC's jurisdiction and
oversight relative to advertising. (Addendum K)
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DAT- A Physician's Perspective
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Addendum L |
Dr. Verlin Janzen, a physician in private practice and laboratory director,
presented a physician's perspective on direct access testing. He first noted
that the professional physician organizations have yet to take an official
stance on direct access testing; their attention has been focused on other
issues, such as the Health Insurance Portability and Accountability Act (HIPAA).
Dr. Janzen proceeded to summarize results of an informal on-line survey he
conducted using the American Association of Family Practitioners' don't State
Officer Listserv. Of the 18 physician respondents, approximately half, while
aware of DAT, were neutral on the topic, commenting that it (DAT) was going
to happen anyway. However, several of the physicians said they would repeat
any test obtained through DAT before initiating treatment. Although media
reports describe today's consumers as more informed, capable, and
responsible, Dr. Janzen questioned whether this is true with regard to
laboratory test results. He expressed concern about a consumer's ability to
reliably interpret test results and make decisions for self-treatment,
citing examples of the complex treatment guidelines currently used by
physicians for conditions such as hypercholesterolemia and diabetes. While
he acknowledged that most consumers support DAT because of convenience,
access, rapid turn-around times, and anonymity, he questioned whether DAT
would result in unnecessary medical procedures and noted insurers typically
do not pay for consumer-ordered testing. Other concerns include the ultimate
cost of unnecessary testing and frequent re-testing by the worried well;
delayed diagnosis due to false negative results or ordering the wrong test;
and the consumer's ability to handle "bad news" results without the
immediate consultation traditionally provided by a physician. Dr. Janzen
mentioned the potential misuse of this service for drugs of abuse testing
and asked the Committee to consider whether it is appropriate for people to
manipulate the system by having these tests performed prior to
pre-employment testing to make sure they will "pass." On the other hand, he
also pointed out the benefits of DAT, such as its potential role in early
disease detection; its convenience to travelers or "snow-birds" needing
monitoring tests such as prothrombin levels; and the anonymity DAT offers.
In closing, Dr. Janzen recommended the following: DAT should be restricted
to a limited menu of tests, such as those available "over-the-counter"; DAT
advertising should be restricted or limited because advertising can create a
market for unnecessary testing and fad tests; reimbursement should be
limited to those tests that are medically necessary; because of liability
concerns, DAT results should not be sent to physicians; laboratories
performing DAT should be responsible for providing pre- and post-test
counseling; and anonymous vs. confidential test results need to be
addressed.
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DAT- A Laboratory's Perspective
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Addendum
M |
Mr. Hughes Bakewell, Vice President of Consumer Testing, Quest Diagnostics,
informed the Committee that direct access testing is a misnomer when applied
to Quest. DAT implies that the consumer always orders the test but, at
Quest, a physician is the one who does the ordering. He noted that
consumerism is the driving force for the growing trend in DAT; consumers
want control, they are increasingly better educated, and they have access to
health information through the Internet. Also, many consumers prefer DAT to
self-testing because they don'tlike sticking their own fingers or they
don'ttrust home-use testing kits.
Mr. Bakewell reviewed the mandatory building blocks a business should
consider when planning to offer DAT. He stressed the importance of legal
counsel, consumer-friendly reports; customer service; health department
reporting protocols; consumer-payment collection systems; and patience. The
Quest philosophy is to offer only a limited DAT menu because some tests are
inappropriate for self-ordering. In addition, Quest uses independent
physicians to review test requests, authorize the release of results, and
contact consumers/clients with critical values, encouraging them to seek a
physician's care. Quest does not diagnose or treat disease.
Mr. Bakewell reviewed Quest's marketing strategy, industry reactions, and
the typical purchaser profile. He noted physician reaction to this service
has been minimal. Their main issues have been that consumers may want free
telephone consults after receiving results; consumers may not be capable of
interpreting results; the physician may be by-passed in the patient's
healthcare; the consequences of false positive and false negative results;
and that consumers won't proactively address health issues. Physicians also
do not want to receive test results on an individual they have not seen
because of potential liability.
Mr. Bakewell shared what is anticipated to be the future drivers for
direct access testing. One of these factors relates to the significant
penetration of consumer-driven healthcare plans. Consumers will undoubtedly
be careful with the limited "bucket of money" their plans will allow and
they will attempt to use it cost-effectively. These consumers will drive
changes in healthcare as they look for quality, cost (value), and aspects of
healthcare that are not needed. They will thoughtfully consider whether a
physician office visit is warranted. Other factors will be the increased
pharmaceutical marketing shift from patient/doctor relationships to the
consumer and focused efforts by major retailers to develop
screening/wellness services. In addition, the availability of actionable
gene-based testing will increase the demand for anonymity, particularly if a
consumer has a family history of certain diseases. Finally, consumers will
insist on these services as their access to information and awareness of the
benefits of screening tests increases.
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DAT- A Consumer Group's Perspective
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Addendum N |
Mr. Charles Inlander, President of the People's Medical Society, a medical
consumer advocacy organization, noted that DAT is not a new phenomenon, but
is becoming more commercial in response to consumer demand. He described
today's healthcare consumer as empowered, educated, demanding, critical of
the healthcare system and providers, and the driving force for changes in
healthcare. He added, consumers view healthcare as a service and expect high
clinical and ethical standards for this service. They expect clinical
competence, fair pricing, sound business practices, and timely
communication. They want greater access to services and higher quality care.
They are angry at being treated as'medical idiots'and are no longer
willing to tolerate the parent/child provider-consumer relationship.
Mr. Inlander explained that 34 states currently allow DAT and primary
care physicians tend to support it. He discussed the advantages, such as
direct access to needed services; reduced costs as a result of eliminating
the "middle man"; ability to monitor one's own health; and empowerment of
consumers to take charge of their own health. He also discussed the
disadvantages, such as potential loss of control by physicians over patient
management; inability of consumers to interpret test results; potential for
unscrupulous laboratories to take advantage of consumers; the tendency of
hypochondriacs to inappropriately use the service; and increase in test
costs as the demand for DAT increases. However, he continued, the advantages
outweigh the disadvantages, and the disadvantages can be addressed through
education, oversight, regulation, and enforcement. Mr. Inlander concluded
his presentation with a discussion of issues that will need to be addressed:
insurance coverage; state variation on access and oversight; expansion of
direct access testing; limitations on the number of tests that can be
ordered in a given year; ownership of results; and resistance from other
providers.
Committee Discussion
Dr. Merlin suggested the Committee frame its discussion around the
following questions: What advice, if any, should CLIAC provide the Secretary
relative to DAT; how intrusive should government be in this issue; and how
or where should government intervene?
- One member iterated that consumers are proactively seeking information
and paying out-of- pocket for this service, suggesting a systems failure in
our healthcare delivery system if consumers feel this service is needed.
This member pointed out CLIAC may not have enough breadth to address this
issue, and recommended that CDC work collaboratively with other agencies
that may have some oversight authority relative to DAT.
- One member asked Mr. Bakewell how physicians from his organization can
address the appropriateness of test requests when consumers are ordering
tests at a remote site. Mr. Bakewell replied that Quest's test menu is
limited to tests Quest believes are appropriate to offer consumers, and
noted that some consumer-ordered test requests are questioned and
occasionally denied. He gave an example of a 25-year-old male requesting a
prostate-specific antigen test. This was questioned by the Quest physician,
who contacted the individual and found out there was a family history of
prostate cancer. Based on this additional information, the test was
performed.
- Relative to the issue of anonymity vs. confidentiality of test results
as a driver for DAT, Dr. Janzen noted that CLIAC should also consider the
ethical consequences of offering DAT for infectious diseases for which
positive results must be reported to the state health department. For
example, if an individual's HIV test result is positive, is there an ethical
responsibility to notify a spouse? The Committee acknowledged that there may
be many unintended consequences and ethical issues surrounding DAT and again
questioned whether CLIAC was an appropriate forum for addressing them.
- The public health impact of offering certain tests through DAT, such as
genetic testing, was discussed. One member, noting that results for these
tests require complex interpretation, expressed concern about offering these
tests directly to the public with insufficient interpretation and bypassing
physicians and genetic counselors. He warned that laboratories offering
these tests might be liable for the consequences.
- Members noted that a common advertising practice is to use fear, and in
this case, fear of adverse health conditions. This tactic often stimulates
inappropriate test requests by consumers.
- A brief discussion centered on how to design a safety net to protect
the majority of people using DAT, and whether some of the concerns could be
resolved by requiring laboratories to provide mandatory disclosure at the
time of service purchase. Members surmised that disclosures may only offer a
partial solution because most people don'tread them. One member noted that
laws exist for advertising and truth in labeling, but many laboratories
planning to offer DAT may not know about them. He questioned whether laws
should be enacted that only allow evidence- or science-based tests to be
offered through DAT. Dr. Janzen commented that a worthless test done well is
no better than a good test done poorly.
- Some members questioned whether laboratories would provide, when
necessary, pre-test and post-test counseling, since there may not be a
physician to do it. Many members stated that laboratories offering these
tests through DAT should also provide the counseling.
- Members also discussed how DAT laboratories should handle abnormal
results. One member disagreed with a suggestion that abnormal results be
sent to a primary care physician. He noted that our country has a shortage
of primary care physicians and they should not be burdened with receiving
abnormal results on individuals they have not seen. Another member proposed
there may be other contingencies to consider, such as having the
laboratory's pathologist talk to the consumer. Ms. Whalen reminded the
Committee that CLIA does require the laboratory to ensure that consultation
is available to its clients on matters related to the quality of the test
results and their interpretation concerning specific patient conditions.
- One member suggested that the role of CLIAC is to discern whether DAT
is a laboratory quality issue. There are many questions to be answered, such
as who can order a test for an individual; whether positive results for
notifiable diseases should be reported to public health departments; whether
a parent has the right to order a test on a child; whether a child can order
a test; and at what age one can order a test. Another Committee member
replied that state laws regarding children vary, and gave an example of one
state that limits DAT testing on children to those tests in which the
specimen source does not require "the breaking of skin." Mr. Bakewell stated
that Quest does report positive results for notifiable diseases to the state
public health department.
- Dr. Sturman, CLIAC member and Director, Wadsworth Center, New York
State Department of Health, informed the Committee that New York (NY)
introduced new legislation pertaining to DAT. This legislation allows the
clinical laboratory to provide a service (testing) for which it is licensed
to perform at the request of the person on whom the service will be
performed. The test results must be reported in writing and only to the
person requesting the testing. While regulations that will govern DAT are
still to be promulgated, guidance has been drafted that specifies that the
DAT testing menu must be limited to those analytes for which a FDA-approved
test kit or collection device is available over-the-counter without a
prescription. However, laboratories are not required to accept test requests
from consumers; they may refuse a request from an individual they judge not
competent to order the test. Dr. Sturman explained that the testing in NY is
not anonymous; the consumer must provide identification. In addition, there
are special requirements for HIV testing regarding confirmation,
confidentiality, and reporting.
- Some members expressed that they did not agree with developing
additional regulations to address the DAT, but rather efforts should focus
on enforcing the applicable regulations already in place; one example being CLIA, which requires all facilities that perform testing on human specimens
to be certified.
- The Committee acknowledged that the DAT market will grow and several
members feel it must be legitimized. Consumers must be able to obtain a test
result, know that it is legitimate, and be able to share it with their
healthcare provider. Giving legitimacy to DAT could potentially aid in
filling the gap of healthcare access and cost to the uninsured.
- Mr. Inlander commented that DAT issues will ultimately end up in the
political arena and CLIAC should be prepared to give advice. He suggested
CLIAC bring all interested parties together to collaborate and resolve DAT
issues.
- Dr. Martin suggested that mechanisms are needed to gather data and
obtain input from other agencies and groups. He asked the Committee to
consider the role of industry and consumers in collecting information,
adding industry could be a major contributor by providing tracking studies.
- One member urged that this topic remain a priority for CLIAC and noted
the importance for developing guidelines for the changes that are taking
place in healthcare. Members agreed that an important role for CLIAC in this
issue will be in public education.
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Public Comment
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Dr. Jared N. Schwartz, College of American
Pathologists (CAP)
Addendum OMs. Robin Strombler, Vice President, Government Affairs, American
Society of Clinical Pathology (ASCP)
Addendum P
Ms. Elissa Passiment, Executive Vice President, American Society for
Clinical Laboratory Science (ASCLS)
Addendum Q
Dr. George B. Vaughan, President and Chief Executive Officer, HealthcheckUSA
Addendum R
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Special Presentations
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- Dr. Toby Merlin and Dr. Tom Hearn presented certificates and plaques to
departing CLIAC members, Dr. George Birdsong, Dr. Brenta Davis, Dr. Joe
Campos, Dr. Timothy O'Leary, and Dr. Larry Silverman, in appreciation of
their contributions to the Committee.
- Dr. Edward Baker presented a plaque to Dr. Toby Merlin in gratitude
for his contribution to public health and leadership as CLIAC chair.
- Dr. Toby Merlin presented a plaque to Dr. Edward Baker acknowledging
his leadership as Executive Secretary of CLIAC.
- Dr. Robert Martin presented a plaque to Ms. Rhonda Whalen in
recognition of her 30 years of government service, indicating that a
majority of her service has been with the CLIA program.
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Adjourn
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Dr. Merlin adjourned the Committee. The next CLIAC meeting is scheduled
for September 17-18, 2003.
I certify that this summary report of the March 12-13, 2003, meeting of
the Clinical Laboratory Improvement Advisory Committee is an accurate and
correct representation of the meeting.
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/S/ Toby Merlin, M.D., CLIAC Chair |
Date: 06/16/2003 |
This page last reviewed: 7/12/2004
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