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SYSTEMS ENGINEERING MODELS FOR SIGNATURE INJURIES OF MODERN MILITARY CONFLICTS A Dissertation Presented by Hande Muşdal to The Department of Mechanical and Industrial Engineering in partial fulfillment of the requirements for the degree of Doctor of Philosophy in the field of Industrial Engineering Northeastern University Boston, Massachusetts August 2013

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Page 1: Systems engineering models for signature injuries of ...1483/fulltext.pdf · SYSTEMS ENGINEERING MODELS FOR SIGNATURE INJURIES OF MODERN MILITARY CONFLICTS . A Dissertation Presented

SYSTEMS ENGINEERING MODELS FOR SIGNATURE INJURIES OF MODERN MILITARY CONFLICTS

A Dissertation Presented

by

Hande Muşdal

to

The Department of Mechanical and Industrial Engineering

in partial fulfillment of the requirements for the degree of

Doctor of Philosophy

in the field of

Industrial Engineering

Northeastern University Boston, Massachusetts

August 2013

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©Copyright 2013 by Hande Muşdal and James C. Benneyan All Rights Reserved

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Abstract

Modern military conflicts are producing dramatic increases in a new class of “silent” injuries, in

part due to the changing manners by which war is waged and better protective equipment.

Foremost among these are traumatic brain injury (TBI), posttraumatic stress disorder (PTSD),

depression, and various mental health issues. The estimated prevalence of TBI is significantly

higher in the military when compared to the general population, with the vast majority of soldiers

being diagnosed with mild TBI which occurs with no outward signs of trauma. PTSD, on the

other hand, is an increasingly important problem among U.S. service members and one of the

signature injuries in the Iraq and Afghanistan wars. Since associated problems with these

disorders often are cognitive, emotional, and behavioral, many cases go undetected and untreated

indefinitely, linked with significant psychological disorders, long-term disabilities, and economic

burdens.

This dissertation presents several systems engineering models to optimize the overall design,

effectiveness, and capacity of healthcare systems for detecting and treating silent injuries, such

as TBI and PTSD, as well as a general health problem that is common among veterans, sleep

apnea, by addressing the following needs: (1) sequential screening processes, (2) categorical

diagnostic methods, and (3) care services location-allocation (network optimization) models.

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The first focus of this dissertation is analyzing and optimizing the design of disease screening

processes. Several probability and Monte Carlo simulation models are developed to investigate

the current and proposed PTSD screening processes within the Veterans Health Administration

(VHA). Results indicate that a more systematically designed system, which consists of a series of

annual screenings along with a standardized confirmatory testing, results in lower false diagnosis

rates, predictable performance, and reduced costs. Additionally, a sequential screening process

for mild TBI is proposed and illustrated in order to give an insight into how the general approach

is applied to other disorders.

The second area of focus is developing multi-state categorical diagnostic models, which combine

different assessment tools and consist of multiple screenings over time, in order to improve the

diagnosis reliability and accuracy. Three types of predictive models – fuzzy logic, logistic

regression, and neural networks – are described and used to determine whether or not an

individual has TBI and to categorize him into the most likely severity state. A numerical example

is given for illustration purposes and results indicate that these models can help reduce the

number of unrecognized and misdiagnosed cases.

Finally, the third part of this dissertation illustrates the use of location-allocation models in order

to improve access to care and patient satisfaction while minimizing overall system cost. Several

single and multi-period integer programming models are developed and used across a range of

specialty care services, namely, PTSD treatment and sleep apnea testing services, within the

VHA. Results indicate significant opportunity to simultaneously reduce total cost, reduce total

travel distances, and increase within-network access.

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Acknowledgments

To my mom and dad for their unconditional love and endless belief in me…

The pages of this dissertation hold far more than the conclusion of years of study; they also

reflect the relationships with many great people to whom I owe my deepest gratitude for being a

part of this journey.

First and foremost, I would like to express my sincere appreciation to my adviser, Dr. James C.

Benneyan, for the tremendous support and opportunities he provided throughout my doctoral

studies. Without his continuous guidance, encouragement, patience, and knowledge, this

dissertation would not have been possible. His vision, wisdom, and expertise have made him a

constant oasis of ideas, which has exceptionally inspired and enriched my growth as a student

and researcher. I consider myself amazingly fortunate to have had such a great mentor.

I would like to thank Dr. Brian Shiner and Dr. Thomas P. Cullinane for accepting to be a part of

my dissertation committee. I truly appreciate their constructive comments, time, and support.

Their invaluable contribution made this dissertation a complete work. I also extend my

appreciation to Dr. Bradley V. Watts for his time and feedback.

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A special appreciation goes to my project teammate and good friend, Seda Sinangil, whose

contribution to a part of this dissertation is indisputable. Her hard work and colorful personality

have been a great source of motivation and joy for me even during the most challenging times.

I am truly thankful to my ex-office mates but forever friends, Serpil Mutlu and Zeynep Karakuş,

for their invaluable friendship and support; it was their company that made this journey

enjoyable. I would also like to thank all my other ex-office mates for the joy they brought to my

life. Each and every one of them has great places in my heart.

I would like to thank Zeynep Damla and Çağdaş Önal for being the perfect company during our

long Friday night dinners and weekend trips, making Boston a home away from home, and being

a family away from family. My sincere thanks also go to my dear friends Aysun Taşeli, Aysun

Sünnetçi, and Mehmet Erkan Ceyhan for enriching my life in so many ways.

I am deeply grateful to my mother-in-law, Sefanur Öndemir, and my father-in-law, Mehmet

Öndemir, for loving and supporting me as their daughter. I would like to thank Aykut Öndemir,

Mine Öndemir, Volkan Öndemir, and Dilek Öndemir for welcoming me warmly into their

family. I am also thankful to Gözde Öndemir, Nazlı Öndemir, and Duru Öndemir for making my

life more delightful.

My greatest gratitude goes to my family for shaping me into who I am today, loving me

unconditionally, and believing in me no matter what. I thank my mother, İnci Muşdal, for taking

care of me even across the other side of the world. I thank my father, Yılmaz Muşdal, for

supporting every single decision that I made. I thank my brother, Uygar Muşdal, for always

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being there for me and cheering me up even in the darkest times. He is the other part of my soul,

the one I have fought the most, and the one I have loved the most. I am also thankful to my aunt,

Günseli Gürbulak, and her husband, Talat Gürbulak, for caring for me no less than their own

children and to my lovely cousins, Sezin Gürbulak and Ulaş Gürbulak, for making my life more

beautiful every single day.

Last but not least, I am wholeheartedly grateful to my husband, Önder Öndemir, for his endless

patience, dedicated support, and unwavering love. Since our first day together, he has been my

constant source of comfort, joy, and inspiration, the best friend I could ever ask for, and the

reason to look forward to each new day. I cannot thank him enough for standing by me always,

during my best and even my worst.

A part of this dissertation was funded by the Center for Health Organization Transformation

(National Science Foundation grant IIP-10341990) and the VISN 1 Veterans Engineering

Resource Center (grant VA 241-P-1772).

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Table of Contents

Abstract .......................................................................................................................................... iii

Acknowledgments........................................................................................................................... v

Table of Contents ......................................................................................................................... viii

List of Figures ............................................................................................................................... xii

List of Tables .............................................................................................................................. xvii

List of Abbreviations ................................................................................................................... xix

Introduction ................................................................................................................ 1 Chapter 1 -

1.1 Silent Injuries ...................................................................................................................... 1

1.1.1 Traumatic Brain Injury ................................................................................................ 2

1.1.2 Posttraumatic Stress Disorder ...................................................................................... 6

1.2 Sleep Apnea ...................................................................................................................... 10

1.3 Motivation for Work ......................................................................................................... 14

Sequential Screening Models ................................................................................... 17 Chapter 2 -

2.1 Background ....................................................................................................................... 17

2.2 PTSD Screening Process within the VHA ........................................................................ 19

2.3 Methodology ..................................................................................................................... 23

2.3.1 Notation and Assumptions ......................................................................................... 23

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2.3.2 Overall System Sensitivity ........................................................................................ 28

2.3.2.1 Probabilities of Detecting Truly Positive Patients and of a False-Negative .................................... 28

2.3.2.2 Expected Number and Distribution of False-Negatives .................................................................. 30

2.3.3 Overall System Specificity ........................................................................................ 32

2.3.3.1 Probabilities of Detecting Truly Negative Patients and of a False-Positive .................................... 32

2.3.3.2 Expected Number and Distribution of False-Positives ................................................................... 34

2.3.4 Expected Cost ............................................................................................................ 35

2.4 Scenario Analysis.............................................................................................................. 38

2.4.1 Effect of Scoring Methods on Overall System Accuracy, Cost, and Workload ........ 38

2.4.2 Effect of False Diagnosis Costs on the Total Cost of Screening Protocols ............... 49

2.4.3 Effect of Compliance Rates on Overall System Accuracy and Cost ......................... 49

2.4.4 Effect of PTSD Prevalence on the Predictive Value of Screening Protocols ............ 52

2.5 Other Possible Applications: A Sequential Screening Model for Mild TBI .................... 53

2.6 Discussion ......................................................................................................................... 59

Multi-State Categorical Diagnostic Models ............................................................. 61 Chapter 3 -

3.1 Background ....................................................................................................................... 61

3.2 Fuzzy Categorical Model .................................................................................................. 64

3.2.1 Methodology .............................................................................................................. 64

3.2.2 Numerical Example ................................................................................................... 68

3.2.3 Model Accuracy ......................................................................................................... 71

3.3 Multinomial Logistic Regression Categorical Model ....................................................... 73

3.3.1 Methodology .............................................................................................................. 73

3.3.2 Numerical Example ................................................................................................... 75

3.3.3 Model Accuracy ......................................................................................................... 76

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3.4 Artificial Neural Network Model...................................................................................... 78

3.4.1 Methodology .............................................................................................................. 78

3.4.2 Numerical Example ................................................................................................... 81

3.4.3 Model Accuracy ......................................................................................................... 81

3.5 Model Comparison and Optimization ............................................................................... 82

3.6 Discussion ......................................................................................................................... 84

Network Optimization Models ................................................................................. 86 Chapter 4 -

4.1 Background ....................................................................................................................... 86

4.2 Optimal Location and Use of In-Person and Video-Based PTSD Treatment Services

within the VHA ......................................................................................................................... 90

4.2.1 VA New England PTSD Treatment Services ............................................................ 91

4.2.2 Methodology .............................................................................................................. 95

4.2.2.1 Model Overview and Assumptions ................................................................................................. 95

4.2.2.2 Integer Programming Model ........................................................................................................... 97

4.2.3 Application and Results ............................................................................................. 99

4.2.3.1 Application Details ......................................................................................................................... 99

4.2.3.2 Results ............................................................................................................................................. 99

4.2.4 Discussion ................................................................................................................ 104

4.3 Single and Multi-Period Location-Allocation Models for Sleep Apnea Testing Services

within the VHA ....................................................................................................................... 106

4.3.1 VA New England Sleep Apnea Services ................................................................. 106

4.3.2 Methodology ............................................................................................................ 112

4.3.2.1 Model Overview and Assumptions ............................................................................................... 112

4.3.2.2 Single-Period Model ..................................................................................................................... 113

4.3.2.3 Multi-Period Model....................................................................................................................... 116

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4.3.3 Application and Results ........................................................................................... 118

4.3.3.1 Application Details ....................................................................................................................... 118

4.3.3.2 Single-Period Results .................................................................................................................... 120

4.3.3.3 Multi-Period Results ..................................................................................................................... 126

4.3.4 Sensitivity Analysis on Demand Variability ........................................................... 132

4.3.5 Discussion ................................................................................................................ 136

Conclusions and Future Work ................................................................................ 138 Chapter 5 -

Bibliography ............................................................................................................................... 143

Appendix A - Overall Sensitivity of PTSD Screening Process ................................................. 163

Appendix B - Overall Specificity of PTSD Screening Process ................................................. 167

Appendix C - Expected Total Cost of PTSD Screening Process ............................................... 170

Appendix D - Overall Accuracy and Cost of TBI Screening Process ....................................... 179

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List of Figures

Figure 2-1 Current PTSD screening process in the VA ................................................................ 21

Figure 2-2 Proposed PTSD screening process in the VA ............................................................. 22

Figure 2-3 Probability distribution of cost of (a) a false-positive and (b) a false-negative result 26

Figure 2-4 Probability distributions of number of false diagnoses per 10,000 patients in the first

year ........................................................................................................................................ 31

Figure 2-5 Probability distribution of total cost per 10,000 patients (obtained via simulation) ... 37

Figure 2-6 Comparison of past, current, and proposed screening protocols for PTSD

identification in the VA ......................................................................................................... 40

Figure 2-7 Effect of scoring method on overall (a) sensitivity and (b) specificity over a 20-year

screening horizon ................................................................................................................... 41

Figure 2-8 Effect of scoring method on expected number of (a) false-negatives and (b) false-

positives over a 20-year screening horizon ........................................................................... 42

Figure 2-9 Effect of scoring method on expected (a) screening cost and (b) total cost over a 20-

year screening horizon ........................................................................................................... 43

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Figure 2-10 Decomposition of expected (a) total cost and (b) amount of screening tests assuming

protocol 1 ............................................................................................................................... 44

Figure 2-11 Tradeoff between stopping criteria and expected (a) number of false diagnoses, and

(b) cost at the end of screening horizon (j = 20) assuming protocol 1 .................................. 45

Figure 2-12 Effect of discontinued screening after three negative results on expected (a) number

of false-negatives and (b) number of false-positives assuming protocol 1 ........................... 46

Figure 2-13 Effect of discontinued screening after three negative results on expected (a)

screening cost and (b) total cost assuming protocol 1 ........................................................... 47

Figure 2-14 Effect of false-negative/false-positive cost ratio on total cost assuming protocol 1

with various stopping criteria ................................................................................................ 49

Figure 2-15 Effect of compliance rates on expected (a) number of false-negatives and (b) number

of false-positives assuming protocol 1 with discontinued screening after three negative

results ..................................................................................................................................... 51

Figure 2-16 Effect of compliance rates on expected (a) screening cost and (b) total cost assuming

protocol 1 with discontinued screening after three negative results ...................................... 52

Figure 2-17 Effect of PTSD prevalence on predictive value of protocol 1 with discontinued

screening after three negative results ..................................................................................... 53

Figure 2-18 A sequential screening process for mild TBI ............................................................ 55

Figure 2-19 Competing effect of number of screening tests on overall sensitivity versus

specificity, and the role of convergence to bounds, where (a) both system bounds = 0.95 and

(b) both system bounds = 0.80 ............................................................................................... 57

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Figure 2-20 Comparison of expected total cost per 100 patients .................................................. 58

Figure 3-1 General illustration of longitudinal TBI classification model..................................... 64

Figure 3-2 Fuzzy membership functions for trauma severity degrees .......................................... 66

Figure 3-3 Accuracy of fuzzy categorical model results over time .............................................. 72

Figure 3-4 A graphical comparison of link functions ................................................................... 74

Figure 3-5 Accuracy of MLR categorical model results over time .............................................. 77

Figure 3-6 Generic structure of an ANN ...................................................................................... 79

Figure 3-7 Illustration of general input-output neuron activity .................................................... 80

Figure 3-8 ANN network established in Neurosolutions for N = 4 screening test example ......... 81

Figure 3-9 Accuracy of ANN categorical model results over time .............................................. 82

Figure 4-1 Estimated PTSD care demand by state across VISN 1 (January 2009 - May 2010) .. 93

Figure 4-2 Geographic distribution of veterans with PTSD in (a) raw counts and (b) per square

mile by 3-digit zip code and all VA facilities across VISN 1 (January 2009 - May 2010) ... 94

Figure 4-3 VA outpatient service use among patients with a primary PTSD diagnosis across

VISN 1 (October 2009 - September 2010) ............................................................................ 95

Figure 4-4 Tradeoff between acceptable distance and (a) total annual cost, and (b) coverage

percentage assuming estimated care demand in 2010 ......................................................... 100

Figure 4-5 Optimal areas for video-based services for a (a) 15-mile, (b) 30-mile, (c) 45-mile, and

(d) 60-mile maximum acceptable distance assuming estimated care demand in 2010 ....... 103

Figure 4-6 Estimates of future PTSD care needs over the next 10 years (2010 - 2020) ............ 104

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Figure 4-7 Sleep apnea care demand by state across VISN 1 (January 2009 - May 2010) ........ 107

Figure 4-8 Estimated sleep apnea care demand by 3-digit zip code and all VA facilities across

VISN 1 (January 2009 - May 2010) .................................................................................... 108

Figure 4-9 Fee visits for West Haven, (a) number of fee visits versus monthly utilization, (b)

weekly fee visits versus in-house visits ............................................................................... 110

Figure 4-10 Utilization of sleep apnea capacity by medical center over time ............................ 111

Figure 4-11 Travel distance distribution, VISN 1 (January 2009 - May 2010) .......................... 111

Figure 4-12 Total projected sleep apnea demand by year for entire VISN 1 (New England) .... 118

Figure 4-13 Optimized tradeoff between acceptable distance and (a) total cost, and (b) coverage

percentage for single-period model assuming current observed demands and case 3 ........ 121

Figure 4-14 Optimized tradeoff between acceptable distance and (a) total cost, and (b) coverage

percentage for single-period model assuming estimated true demand and candidate facilities

under case 3 ......................................................................................................................... 123

Figure 4-15 Demand nodes covered within-network and outside network and VA facilities that

provide service for single-period model assuming a 60-mile acceptable maximum distance

and candidate facilities under case 3 ................................................................................... 126

Figure 4-16 Optimized tradeoff between acceptable distance and (a) average annual cost, and (b)

coverage percentage for multi-period model assuming case 3 ............................................ 128

Figure 4-17 Optimal (a) annual cost and (b) coverage percentages considering different planning

horizons (both for case 3 and P = 3) .................................................................................... 131

Figure 4-18 Pseudo code for the simulation models with demand variability ........................... 132

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Figure 4-19 Changes in average (a) total cost, (b) number of unanticipated fee patients, (c) house

cost, and (d) fee cost assuming variable annual demands and single period model results for

case 3 and P = 3 ................................................................................................................... 134

Figure 4-20 Changes in average (a) total cost, (b) number of unanticipated fee patients, (c) house

cost, and (d) fee cost assuming variable monthly demands and single period model results

for case 3 and P = 3 ............................................................................................................. 135

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List of Tables

Table 2-1 Main characteristics of the PC-PTSD, PCL, and CAPS screening tests ...................... 22

Table 2-2 Minimum, average, and maximum cost estimates for a false-positive and false-

negative result under the assumption of different cases ........................................................ 26

Table 2-3 Summary of analytic distributions of cost, workload, and accuracy with comparison to

simulation results ................................................................................................................... 38

Table 2-4 Overall sensitivity, specificity, cost, and workload of alternate screening protocols at

important intervals (with discontinued screening after three negative results) ..................... 48

Table 2-5 Scenarios for patient compliance rates ......................................................................... 50

Table 2-6 Mathematical expressions of overall sensitivity, specificity, and cost for mild TBI

screening model ..................................................................................................................... 56

Table 3-1 Example of a rule-base for N = 2 screening test case ................................................... 68

Table 3-2 Rule-base for N = 4 screening test example ................................................................. 70

Table 3-3 Changes in diagnosis over time and according to defuzzification method .................. 71

Table 3-4 Illustrative portion of evaluation dataset ...................................................................... 72

Table 3-5 Category probabilities for MLR approach ................................................................... 77

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Table 3-6 Changes in final diagnosis over time based on the method used ................................. 82

Table 3-7 Overall comparison of model performances ................................................................ 83

Table 4-1 Representation of basic discrete facility location models ............................................ 89

Table 4-2 Optimal allocation of patient zip codes to VISN 1 facilities for a 30-mile maximum

acceptable distance assuming estimated care demand in 2010 ........................................... 102

Table 4-3 Number of sleep beds, within-network and outside-network sleep apnea patients in

VISN 1 (January 2009 - May 2010) .................................................................................... 109

Table 4-4 Cost parameters used in mathematical models ........................................................... 119

Table 4-5 Multi-period model solution times based on different scenarios for case 1, 2, and 3 120

Table 4-6 Results for single-period model with 60-mile maximum acceptable travel distance . 122

Table 4-7 Optimal facility locations for single-period model based on estimated true demand 124

Table 4-8 Allocation of demand nodes to facilities for single-period model ............................. 125

Table 4-9 Results for multi-period model with 60-mile maximum acceptable travel distance .. 127

Table 4-10 Optimal facility locations for multi-period model.................................................... 129

Table 4-11 Allocation of demand nodes to facilities for multi-period model ............................ 130

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List of Abbreviations

ANN .............................. Artificial Neural Networks

CAPS .............................. Clinician-Administered PTSD scale

DoD .............................. Department of Defense

FL .............................. Fuzzy Logic

MLR .............................. Multinomial Logistic Regression

OEF/OIF .............................. Operations Enduring Freedom and Iraqi Freedom

PCL .............................. PTSD Clinician Checklist

PC-PTSD .............................. Primary Care PTSD Screen

PTSD .............................. Posttraumatic Stress Disorder

TBI .............................. Traumatic Brain Injury

VA .............................. Veterans Affairs

VHA .............................. Veterans Health Administration

VISN .............................. Veterans Integrated Service Network

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Chapter 1 - Introduction

1

Introduction Chapter 1 -

This dissertation focuses on developing systems engineering models to optimize the overall

design, effectiveness, and capacity of large integrated healthcare systems for detecting and

treating two of most common military “silent” injuries, traumatic brain injury (TBI) and

posttraumatic stress disorder (PTSD), as well as a general health problem that is common among

veterans, sleep apnea. In this chapter, general information about the extended area of interest,

motivation behind this research, and outline of the dissertation are provided.

1.1 Silent Injuries

More than 2 million U.S. service members have been deployed since October 2001 for

Operations Enduring and Iraqi Freedom (OEF/OIF) in Afghanistan and Iraq, with many exposed

to prolonged periods of deployment-related stress and traumatic events (Tanielian and Jaycox,

2008; Congressional Budget Office, 2012). Fortunately, advances in protective equipment and

battlefield care have reduced the mortality rates that are historically lower than in earlier

prolonged conflicts, such as Vietnam and Korea (Regan, 2004; Warden, 2006). However, there

have been significant increases in a different kind of casualties – “silent” injuries such as mental

health conditions and cognitive impairments resulting from deployment experiences. Two of

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Chapter 1 - Introduction

2

these conditions that affect military service members during deployment to a combat theater and

afterward are traumatic brain injury (TBI) and posttraumatic stress disorder (PTSD).

Both TBI and PTSD are referred as the signature wounds of Iraq and Afghanistan conflicts, with

disproportionately more casualties when compared to the physical injuries of combat. TBI is

caused by sudden trauma to the head and is commonly sustained by soldiers exposed to

explosions. PTSD, on the other hand, is an anxiety disorder induced by exposure to a traumatic

event, such as witnessing an injury or death. Unlike physical wounds of war, these conditions

often are invisible to the eye, remaining invisible to other service members, family members, and

society in general. These conditions affect mood, thoughts, and behavior and may go

unrecognized and unacknowledged indefinitely, resulting in serious medical and social

consequences (Tanielian and Jaycox, 2008; Congressional Budget Office, 2012).

1.1.1 Traumatic Brain Injury

A traumatic brain injury (TBI) is any non-penetrating or penetrating structural injury or

physiological disruption to the brain due to an external force (Langlois et al., 2006; Butler et al.,

2008). Falls (35.2%), motor vehicle and traffic accidents (17.3%), impacts (16.5%), and assaults

(10%) are the most common causes of civilian TBI. Among civilians, an estimated 1.7 million

people per year sustain a TBI, of which approximately 52,000 die, 275,000 are hospitalized, and

1.365 million, which is nearly 80%, are treated by an emergency department (Faul et al., 2010).

Military personnel and others working in combat zones also are at particular risk of TBI due to

encounters with explosions, rocket-propelled grenades, improvised explosive devices, and land

mines (Champion et al., 2009; Ling et al., 2009; Defense and Veterans Brain Injury Center,

2013). Since associated problems, such as related to thinking and memory, often are not visible

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Chapter 1 - Introduction

3

and awareness among the general public is limited, TBI frequently is referred to as the “silent

epidemic” (Martin et al., 2008; McCrea, 2008; Vaishnavi et al., 2009; Faul et al., 2010).

TBI is identified as one of the signature injuries among U.S. troops serving in the Iraq and

Afghanistan wars, accounting for a larger proportion of casualties than in previous wars.

Improved protective equipment has reduced the incidence of penetrating head injuries and death,

but there has been a significant increase in the incidence of closed-head TBI. Some estimates of

military TBI are as high as 22%, with an estimated 50% of injured combat soldiers suffering

some form of TBI from Operations Enduring and Iraqi Freedom (OEF/OIF) (Okie, 2005;

Warden, 2006; Jackson et al., 2008; Tanielian and Jaycox, 2008; Wojcik et al., 2010; Smith et

al., 2013). As of May 2013, a total of 273,859 soldiers suffering from TBI were reported by the

Defense and Veterans Brain Injury Center (i.e., medical diagnoses of TBI among U.S. forces

since 2000), with 58% sustaining their injury while in the Army, 15% while in the Marines, 14%

while in the Navy, and 14% while in the Air Force (Defense and Veterans Brain Injury Center,

2013).

The severity of a TBI can be mild, moderate, or severe depending on the extent of the damage to

the brain. A person with a mild TBI may remain conscious or may experience a loss of

consciousness for a few seconds or minutes. Other symptoms of mild TBI include headache,

mental confusion, lightheadedness, dizziness, double and blurred vision or tired eyes, ringing in

the ears, bad or metallic taste in the mouth, fatigue or lethargy, a change in sleep patterns,

behavioral or mood changes, decreased coordination, and trouble with memory, concentration,

calculation, attention, or thinking. Worsening symptoms indicate a more severe injury, including

a more severe and permanent headache, repeated vomiting or nausea, personality change,

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convulsions or seizures, an inability to awaken from sleep, dilation of one or both pupils of the

eyes, slurred speech, weakness or numbness in the extremities, loss of coordination, and

increased confusion, restlessness, or agitation (National Institute of Neurological Disorders and

Stroke, 2013).

Most diagnosed TBIs (82%) are categorized as mild, while moderate (8%), severe (1%), or

penetrating wounds (2%) are less common (Defense and Veterans Brain Injury Center, 2013).

The diagnosis of TBI is relatively straightforward when symptoms are more visible, but mild

TBIs are difficult to detect, both by those afflicted and by healthcare professionals. Moreover, a

caregiver or a screening mechanism may attribute TBI symptoms to other medical or cognitive

conditions (Heegaard and Biros, 2007; Anderson-Barnes et al., 2010). In combat zones, TBI

often occurs in combination with more obviously life-threatening injuries; therefore, cases may

go unrecognized, potentially putting the individuals or their units at risk (Butler et al., 2008;

Tanielian and Jaycox, 2008). Additionally, when TBI occurs with no obvious symptoms, service

members might not seek medical treatment (Martin et al., 2008; McCrea, 2008). Many TBI

sufferers, especially if untreated, may endure medical, behavioral, and social consequences for

many years, even a lifetime. Any delays in treatment may compromise recovery or result in

significant cognitive, physical, and/or psychological impairment (Rao and Lyketsos, 2000; Maas

et al., 2008; Anderson-Barnes et al., 2010; Faul et al., 2010). Consequently, soldiers who are

exposed to blasts should be screened for TBI immediately following the event in order to

minimize medical complications.

The existence and severity of TBI are evaluated in several ways: subjective assessments, e.g.,

questions about dizziness; external signs, e.g., lacerations, fractures, fluids; physical experiences,

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e.g., duration of amnesia or unconsciousness; neurologic assessments, e.g., the Glasgow Coma

Scores (GCS), Military Acute Concussion Evaluation (MACE), the Automated

Neuropsychological Assessment Metrics (ANAM); and finally, clinical assessments, e.g.,

computed tomography (CT) scans, magnetic resonance imaging (MRI), and

electroencephalogram (EEG) (U.S. Department of Health and Human Services, 2006; Elder et

al., 2010; Maruta et al., 2010). In the military, testing typically follows a process of screening,

identification, evaluation, confirmation, and stratification by severity (Butler et al., 2008).

Proper treatment of mild TBI requires early identification, monitoring and management of

symptoms, and adequate rest. A person with signs of moderate or severe TBI, on the other hand,

should receive medical attention as soon as possible. Since little can be done to reverse the initial

brain damage caused by trauma, clinical care is first directed toward controlling secondary

effects of TBI, such as brain swelling, bleeding in the head, and poor cerebral blood flow, that

can lead to further neuronal damage. Primary concerns include insuring proper oxygen supply to

the brain and the rest of the body, maintaining adequate blood flow, and controlling blood

pressure. Approximately half of severely head-injured patients need surgery to remove or repair

ruptured blood vessels or bruised brain tissue. Following acute critical care, these patients

receive rehabilitation that involves individually tailored treatment programs in the areas of

physical therapy, occupational therapy, speech/language therapy, physical medicine,

psychology/psychiatry, and social support (Butler et al., 2008; National Institute of Neurological

Disorders and Stroke, 2013).

Disabilities resulting from a TBI depend upon the severity of the injury, the location of the

injury, and the age and general health of the patient. Some common disabilities include problems

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with cognition (thinking, memory, and reasoning), sensory processing (sight, hearing, touch,

taste, and smell), communication (expression and understanding), and behavior or mental health

(depression, anxiety, personality changes, aggression, acting out, and social inappropriateness).

More serious head injuries may result in stupor, an unconscious, unresponsive, unaware, and/or

unarousable state, and a vegetative or persistent vegetative state (National Institute of

Neurological Disorders and Stroke, 2013).

TBI incidence, screening processes, risk factors, treatment and care services, and consequences

have been studied extensively in the literature, including these by Nathanson et al. (2003),

Javouhey et al. (2006), Kaufman et al. (2006), Langlois et al. (2006), Côté et al. (2007), Guler et

al. (2008), Hoge et al. (2008), Jackson et al. (2008), Wu et al. (2008), Guler et al. (2009),

Elgmark Andersson et al. (2010), Faul et al. (2010), Rosenfeld and Ford (2010), Syam and Côté

(2010), Liao et al. (2012), and Asemota et al. (2013).

1.1.2 Posttraumatic Stress Disorder

Posttraumatic stress disorder (PTSD) is a severe and often disabling mental health disorder

resulting from traumatic events such as assaults, wars, disasters, terrorist attacks, and accidents

(American Psychiatric Association, 2000; Hoge et al., 2006; Milliken et al., 2007; Shalev, 2009).

PTSD is common among Americans with a lifetime prevalence of 3.7% in the general

population, yet only 7% of those affected seek treatment in their first year, with a lifetime

treatment-seeking rate of just over 50% (Kessler et al., 2005; Wang et al., 2005). In the military,

the prevalence is especially higher – up to 20% among Iraq and Afghanistan veterans – given

that exposure to combat increases the risk of PTSD (Prigerson et al., 2001; Hoge et al., 2004;

Ramchand et al., 2010).

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PTSD can occur in anyone who has experienced a traumatic event, including war veterans and

survivors of physical and sexual assaults, abuse, accidents, disasters, and many other serious

events. However, not everyone who has experienced a traumatic event eventually develop PTSD.

In fact, people who have not been through such traumas also can suffer from PTSD. Although it

is difficult to predict whether or not a person will develop PTSD, a number of factors that

increase the risk have been identified. These include having experienced dangerous events and

traumas, having a history of mental illness and/or a family history of mental illness, the severity

of the trauma experienced, and having little or no social support after the trauma (Kessler et al.,

1995; Brewin et al., 2000; U.S. Department of Health and Human Services, 2013). Additionally,

women are at increased risk of PTSD, with a lifetime prevalence of more than twice as high than

men, mostly because they are more likely to experience the kinds of trauma that can trigger the

condition such as sexual assaults (Halligan and Yehuda, 2000; Freedman et al., 2002; National

Comorbidity Survey-Replication, 2007; Shalev, 2009).

PTSD symptoms usually develop shortly after the traumatic event, but may not appear until

months or years have passed. In many survivors the symptoms subside, while they persist in

others in the form of chronic PTSD (Shalev, 2009). These symptoms can be grouped into three

categories, namely, re-experiencing, avoidance, and hyperarousal. Re-experiencing symptoms

include recurrent images, thoughts, flashbacks, or dreams about the traumatic event and may

cause problems in a person’s everyday routine. Avoidance is defined as making an effort to

avoid thoughts, feelings, conversations, places, or people that are reminders of the traumatic

event, feeling emotionally numb, losing interest in once-enjoyable activities, and having trouble

remembering the important details of the traumatic event. Finally, hyperarousal includes

symptoms of anxiety or heightened awareness of danger such as sleeplessness, irritability, being

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easily startled, or becoming overly vigilant (American Psychiatric Association, 2000; Bisson,

2007; U.S. Department of Health and Human Services, 2013).

PTSD is diagnosed based on signs and symptoms and a thorough psychological evaluation. Over

the past several decades, considerable progress has been made in the development and empirical

evaluation of assessment instruments, such as questionnaires, structured interviews, and

psychophysiological procedures, for measuring PTSD (Foa and Yadin, 2011). The most

commonly used PTSD assessment tools are Primary Care PTSD Screen (PC-PTSD), PTSD

Clinician Checklist (PCL), and Clinician Administered PTSD Scale (CAPS). PC-PTSD is a short

and simple screening questionnaire designed to detect the PTSD diagnosis in busy primary care

clinics. It includes four yes/no questions which focus on capturing PTSD symptom clusters. The

result of the PC-PTSD screening test is determined according to the number of “yes” answers

(i.e., cut-off score). To date, PC-PTSD and its diagnostic qualities have been exclusively studied,

indicating high sensitivity and specificity values for cut-off scores of 2 and 3 (Prins et al., 2003;

Seal et al., 2008; van Dam et al., 2010). PCL, on the other hand, is a 17-item self-report measure

of PTSD symptomatology, where respondents are asked to rate how much they have been

bothered by each symptom in the past month on a scale ranging from 1 (not at all) to 5

(extremely). Different scoring procedures are used to yield either a continuous measure of PTSD

symptom severity or a dichotomous (present/absent) indicator of diagnostic status. Dichotomous

scoring methods include either an overall cut-off score or a symptom cluster scoring approach

(American Psychiatric Association, 2000; Forbes et al., 2001; Norris and Hamblen, 2004; Keen

et al., 2008). A commonly used cut-off score is 50, which is suggested as the optimally efficient

cut-off score by Weathers et al. (1993). Finally, CAPS is widely considered the gold standard in

PTSD assessment and was designed to overcome the limitations of other available PTSD

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interviews. It is a 30-item structured interview, which requires clinicians to rate each PTSD

symptom’s frequency and intensity using a scale ranging from 0 to 4. The most frequently used

scoring rule is to record a symptom as present if it has a frequency of 1 or more and an intensity

of 2 or more (Blake et al., 1990; Blake et al., 1995; Weathers et al., 1999; Weathers et al., 2001;

Gray et al., 2004).

There are several treatments that were found to be effective with PTSD, including psychotherapy

(talk therapy), medications, or both. Psychotherapy involves talking with a mental health

professional either one-on-one or in a group. Talk therapy treatment for PTSD usually lasts 6 to

12 weeks, but can take more time. Many types of psychotherapy can help PTSD patients, some

of which target PTSD symptoms directly while others focus on social, family, or job-related

problems. Different therapies may be combined by therapists depending on each patient’s needs.

One of the helpful therapies is called cognitive behavioral therapy (CBT) which consists of

several parts, including exposure therapy, cognitive restructuring, and stress inoculation training.

Medications, on the other hand, help control PTSD symptoms such as sadness, worry, anger, and

feeling numb inside and also may make it easier to go through psychotherapy. The most

commonly prescribed medications for treating PTSD patients are sertraline and paroxetine, both

of which are antidepressants and also used to treat depression (U.S. Department of Health and

Human Services, 2013; VA National Center for PTSD, 2013).

Most of the problems associated with PTSD can be addressed by effective treatments (Foa et al.,

2008; U.S. Department of Veterans Affairs and Department of Defense, 2010). However, many

individuals with PTSD do not seek mental health care for various reasons – the stigma associated

with having a mental health problem, for example, or the inconvenience of undergoing additional

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evaluation and treatment (Congressional Budget Office, 2012). Instead, many of them use

primary care services, where PTSD may be underdetected or undertreated (Schnurr et al., 2013).

If remain untreated or undertreated, PTSD results in significant morbidity and long-term

disability (Schnurr et al., 2006; Hermann et al., 2012). Moreover, people with PTSD are at very

high risk to develop a number of other mental health disorders (Orsillo et al., 1996; Keane and

Kaloupek, 1997; Shalev et al., 1998), the most common ones being anxiety disorders (73.3%),

depression (68.6%), and substance use disorders (10.5%) (Magruder et al., 2005). The co-

occurrence of PTSD and another disorder may have a negative impact on the treatment of PTSD

and compromise recovery.

There are numerous studies in the literature that focus on PTSD prevalence (Kessler et al., 1995;

Hoge et al., 2004; Magruder et al., 2005; Ramchand et al., 2010; Shiner et al., 2012), risk factors

(Brewin et al., 2000; Halligan and Yehuda, 2000; Freedman et al., 2002), symptoms (Bisson,

2007), consequences (Murdoch et al., 2005; Smith et al., 2005; Schnurr and Lunney, 2011),

screening processes (Forbes et al., 2001; Prins et al., 2003; Gray et al., 2004), and treatment

services (Rosenheck and Fontana, 2007; Hermes et al., 2012; Shiner et al., 2012; Schnurr et al.,

2013).

1.2 Sleep Apnea

Sleep apnea is a type of sleep disorder characterized by pauses in breathing (called “apneas”) or

instances of shallow or infrequent breathing (called “hypopneas”) during sleep. Each pause in

breathing may last from at least ten seconds to minutes and occur 5 to 30 times or more an hour

(Ancoli-Isreal and Avalon, 2006; Erman, 2006; U.S. Department of Health and Human Services,

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2012). There are two types of sleep apnea, namely, obstructive and central sleep apnea. In

obstructive sleep apnea, breathing is abnormal because of narrowing or closure of the throat,

while in central sleep apnea, it is because of a change in the breathing control and rhythm

(Schmidt-Nowara, 2012). Obstructive sleep apnea is more common among adults with the

estimates of prevalence being in the range of 3% to 7% in the general population (Morgenthaler

et al., 2006; Punjabi, 2008). Military veterans are at particularly high risk of sleep disorders due

to hazardous working conditions, inconsistent work hours, harsh environments, routine exposure

to loud noises, and crowded sleeping spaces, with the most frequent diagnosis being obstructive

sleep apnea (Seelig et al., 2010; Mysliwiec et al., 2013). Also, recent studies suggest that the

increased incidence of sleep disorders among military personnel is potentially related to PTSD,

depression, anxiety, or mild TBI (Sharafkhaneh et al., 2005; Lewis et al., 2009; Amin et al.,

2010; McLay et al., 2010).

Sleep apnea is a serious condition that affects a person’s ability to safely perform normal daily

activities as well as his/her long term health and has been linked with high blood pressure, heart

problems, metabolic syndrome, diabetes, stroke, fatigue, headaches, snoring, daytime

drowsiness, and memory problems (Ancoli-Isreal and Avalon, 2006; Erman, 2006). Although

anyone can develop sleep apnea, there are certain factors that increase the risk, including

increasing age, male sex, obesity, family history, menopause, craniofacial abnormalities, and

certain health behaviors such as cigarette smoking or alcohol use (Young et al., 2004; Punjabi,

2008; Schmidt-Nowara, 2012; U.S. Department of Health and Human Services, 2012).

The main symptoms of sleep apnea are loud snoring, fatigue, and daytime sleepiness. However,

some people have no symptoms or may not be aware of the symptoms such as snoring. Fatigue

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and sleepiness, on the other hand, often are attributed to other reasons such as overwork and

increasing age. As a result, some people may not recognize that they have a problem and

therefore do not seek medical care. Other symptoms may include restless sleep, awakening with

choking, gasping, or smothering, morning headaches, dry mouth or sore throat, awakening

unrested, memory impairment, difficulty concentrating, and low energy, which again may go

unrecognized or be attributed to other reasons (Schmidt-Nowara, 2012).

The diagnosis of sleep apnea is based on the conjoint evaluation of clinical symptoms (e.g.,

excessive daytime sleepiness and fatigue) and of the results of a formal sleep study such as

polysomnography or reduced channels home based test. The overnight polysomnogram, the

standard diagnostic test for obstructive sleep apnea, involves simultaneous recordings of multiple

physiologic signals during sleep, including the electroencephalogram, electrooculogram,

electromyogram, oronasal airflow, and oxyhemoglobin saturation. These recordings allow

identification and classification of sleep-related apneas and hypopneas. Sleep apnea severity is

typically assessed with the apnea–hypopnea index (AHI), which is the number of apneas and

hypopneas per hour of sleep. Several additional measures of disease severity that characterize the

degree of nocturnal hypoxemia (e.g., average oxyhemoglobin desaturation) and extent of sleep

fragmentation (i.e., arousal frequency) also are used in the clinical and research areas (American

Academy of Sleep Medicine, 1999; Punjabi, 2008; Schmidt-Nowara, 2012). The polysomnogram

is attended in a laboratory by a sleep technician. However, home portable monitoring devices

also are available to diagnose sleep apnea in individuals with a high probability of at least

moderate or severe sleep apnea who do not have other illnesses or sleep disorders that may

interfere with the results (Lee et al., 2008; Schmidt-Nowara, 2012).

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The goals of treating sleep apnea are to restore regular breathing during sleep and to relieve

symptoms such as loud snoring and daytime sleepiness. For milder cases, home remedies and

lifestyle changes such as losing weight, quitting smoking, adjusting sleep position, avoiding

alcohol and other sedatives, and using nasal sprays or allergy medicines to keep nasal passages

open at night may be enough to treat or reduce symptoms. If these changes do not improve the

symptoms or sleep apnea is moderate to severe, other treatments such as breathing devices or

surgery are recommended. The most effective treatment for moderate to severe sleep apnea is to

use a mechanical device – continuous positive airway pressure (CPAP) – to keep the upper

airway open during sleep. A CPAP device uses an air-tight attachment to the nose, typically a

mask, connected to a tube and a blower which generates the pressure (Gay et al., 2006; Schmidt-

Nowara, 2012; U.S. Department of Health and Human Services, 2012). Although CPAP is the

most common and reliable method of treating sleep apnea, some people find it uncomfortable

and experience problems while using it. In these cases, other devices such as bi-level positive

airway pressure (BPAP), expiratory positive airway pressure (EPAP), or oral devices may be

recommended. Surgery, on the other hand, is usually only an option for patients who cannot

tolerate or do not improve with non-surgical treatments such as CPAP or oral devices (Mayo

Clinic, 2012; American Sleep Apnea Association, 2012a).

Although there are relatively simple, inexpensive, and effective modalities for diagnosing and

treating sleep apnea, the vast majority of patients remain undiagnosed and therefore untreated

because of the lack of awareness by the public and healthcare professionals. If left untreated,

sleep apnea can have serious and life-shortening consequences, including high blood pressure,

heart disease, stroke, diabetes, depression, memory problems, weight gain, impotence, and

headaches. Moreover, untreated sleep apnea may be responsible for job impairment and motor

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vehicle accidents, as studies have shown that people with severe sleep apnea are more than twice

as likely to be involved in a motor vehicle accident as people without this condition (Ellen et al.,

2006; George, 2007; Lee et al., 2008; Schmidt-Nowara, 2012; American Sleep Apnea

Association, 2012b).

There are many studies in the literature that focus on sleep apnea prevalence, risk factors,

symptoms, consequences, diagnosis, and treatment, including these by Sin et al. (1999), Beninati

and Sanders (2001), Sharafkhaneh et al. (2004), El-Ad and Lavie (2005), Kjelsberg et al. (2005),

Ellen et al. (2006), Ferguson et al. (2006), Gay et al. (2006), Freire et al. (2007), George (2007),

Lee et al. (2008), Punjabi (2008), Matthews and Aloia (2009), Yaggi and Strohl (2010), Lloberes

et al. (2011), Ryan et al. (2011), Mannarino et al. (2012), Vozoris (2012), Madani et al. (2013),

and Mysliwiec et al. (2013).

1.3 Motivation for Work

Although “silent” injuries have generated widespread concern among policymakers, recent

studies suggest that fundamental gaps remain about the mental health and cognitive needs of

U.S. service members returning from Iraq and Afghanistan and the sufficiency of the care

systems available to meet these needs. There is a strong belief that the Veterans Health

Administration (VHA), the healthcare system within the Department of Veterans Affairs (VA),

and the healthcare system for active-duty personnel within the Department of Defense (DoD)

cannot adequately screen, diagnose, and treat the service members and veterans affected by TBI

and PTSD, and yet little of the existing research is useful in guiding policy with regard to how

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best to improve access to and the delivery of mental health care to those in need (Hoge et al.,

2004; Tanielian and Jaycox, 2008; Congressional Budget Office, 2012).

The main part of this dissertation focuses on illustrating the use of systems engineering

approaches to improve the effectiveness and cost of screening and diagnostic services for TBI

and PTSD as well as patients’ access to these services within large integrated healthcare systems,

such as VHA. This research is of great importance to the VHA – and potentially to the DoD as

well – as it focuses on ensuring U.S. servicemen receive proper care for a large and growing

healthcare concern. Substantial improvements in other healthcare sectors have resulted from

systems engineering, suggesting significant opportunities for mental health care process

improvements and cost reductions.

As a large integrated healthcare system, VHA provides comprehensive medical services to the

veterans with not only combat-related conditions but also a broad range of other general health

problems. Given that most veterans are exposed to situations and circumstances that have long-

lasting effects on their health and thus more likely to develop chronic conditions (Yu et al.,

2003), there are significant opportunities for further improvements both in quality and cost of

care provided with the use of systems engineering methods to optimize the care processes for

long-term health/general care problems along with those for mental health conditions. These

opportunities also are illustrated in this dissertation, using sleep apnea as a case study.

The remainder of this dissertation is organized as follows. Chapter 2 presents several probability

and Monte Carlo simulation models to determine the overall accuracy and cost of current and

proposed screening processes for PTSD within the VHA, along with the illustration of a mild

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TBI sequential screening process. In Chapter 3, three types of predictive diagnostic models –

fuzzy logic, logistic regression, and neural networks – are developed to properly categorize TBI

patients into the most likely severity state and a numerical example is provided for illustration

purposes. Chapter 4 presents several single and multi-period integer programming models to

determine the optimal locations and capacities for a range of specialty care services within the

VHA, namely, PTSD treatment and sleep apnea testing services, which minimize overall system

cost and total travel distances while providing appropriate within-network access. Finally, a

summary of conclusions, limitations, and recommendations for future work are addressed in

Chapter 5.

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Sequential Screening Models Chapter 2 -

Among U.S. military members, mental disorders account for significant morbidity, disability,

healthcare utilization, and attrition from military service. Veterans with untreated mental health

problems may face severe consequences to their overall health and ability to fully reintegrate into

the community, exacerbating the potential for chronic mental health conditions. Posttraumatic

stress disorder (PTSD), for instance, causes significant physical and social problems along with

tremendous medical and social costs if untreated or undertreated. This chapter presents several

probability and Monte Carlo simulation models to develop a better understanding of current

PTSD screening processes within the Veterans Health Administration (VHA), to determine the

overall system accuracy, cost, and the total amount of resources for the current and proposed

configurations, and to conduct a scenario analysis in order to thoroughly explore the potential

improvements in the early diagnosis and care of veterans with PTSD. Also illustrated is a

sequential screening process for traumatic brain injury (TBI) in order to give an insight into how

the general approach is applied to other disorders.

2.1 Background

Mental health problems are among the most important contributors to the burden of disease and

disability worldwide (Brundtland, 2000). Mental disorders are one of the leading causes of

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disability in the U.S., with as many as 30% of the adult population suffering from a diagnosable

mental disorder in a given year (Kessler et al., 1994; Kessler et al., 2005). The excess disability

that is attributed to mental disorders is a result of high prevalence and chronicity, early age of

onset, and the fact that they result in serious impairments (WHO International Consortium in

Psychiatric Epidemiology, 2000). The magnitude of this burden also is attributed to the fact that

fewer than half of individuals with these disorders receive treatment or initial treatment is

generally delayed for many years, sometimes decades (Kessler et al., 1999; Kessler et al., 2001;

Kohn et al., 2004; Wang et al., 2005). Undiagnosed and untreated mental illnesses have serious

medical and social consequences, including but not limited to an illness that is more severe and

difficult to treat, the development of co-occurring mental illnesses, worsening disability,

unemployment, substance abuse, homelessness, and suicide (Norquist and Regier, 1996; Kessler

et al., 2001). Individuals with untreated mental illnesses face an increased risk of having chronic

medical conditions, yet they are less likely to follow-up with treatment for their health problems

and ultimately die earlier than others without these conditions (Ciechanowski et al., 2000; Gehi

et al., 2005; Colton and Manderscheid, 2006; Manderscheid et al., 2008). Moreover, the

consequences extend beyond the personal cost and into the societal cost, as people with untreated

mental illnesses earn less money and are prone to social isolation (Crisp et al., 2000; Goetzel et

al., 2002). If identified early and treated effectively, most people with serious mental illnesses

can significantly reduce the impact of their illness, improve their earning potential, and integrate

into their community (Katon et al., 2005; Schennach et al., 2012; Schnurr and Lunney, 2012).

The effective treatment of mental health problems in primary care patients has been plagued for

decades by the under-diagnosis and the under-treatment of mental and substance related

disorders. Although there are marked gains in the identification and treatment of some mental

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health disorders in many primary care settings, progress is slower for the anxiety disorders,

particularly posttraumatic stress disorder (PTSD) (Magruder et al., 2005). A well-designed and

effective screening program can help properly identify individuals with PTSD and give them

access to effective treatments in a timely fashion. Mathematical modeling approaches, such as

probability and simulation models, can be very useful at helping policy makers, clinicians, and

researchers establish a better understanding of current PTSD screening processes, develop more

effective alternatives both in terms of quality and cost, and further perform a scenario analysis to

explore the possible improvements. These types of mathematical models have been extensively

discussed by Benneyan et al. in the case of cervical cancer (Benneyan and Kaminsky, 1996;

Kaminsky et al., 1997). Other applications include different health issues such as breast cancer

(Ozekici and Pliska, 1991; Baker, 1998; Lee and Zelen, 1998; Warwick and Duffy, 2005;

Maillart et al., 2008; Ayer et al., 2012), colorectal cancer (Knudsen et al., 2012), bladder cancer

(Kent et al., 1989), hypertension (Donner et al., 1979), Down’s syndrome (Malone et al., 2005),

and depression and dementia (Thibault and Steiner, 2004).

2.2 PTSD Screening Process within the VHA

PTSD is a serious mental health disorder which debilitates physical and social well-being and

produces tremendous medical and social costs if untreated or undertreated (Schnurr et al., 2006;

Hermann et al., 2012). The estimated prevalence of lifetime PTSD is increasingly higher in the

military when compared to the general population, as it is one of the signature injuries in the Iraq

and Afghanistan wars (Kessler et al., 2005; Magruder et al., 2005; Tanielian and Jaycox, 2008).

In the Veterans Affairs (VA) population, PTSD is consistently associated with poorer health,

decreased earnings, and social isolation (Schnurr and Green, 2004; Murdoch et al., 2005).

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Chapter 2 - Sequential Screening Models

20

Fortunately, effective treatments, many of which were tested in the VHA, can address these

problems if the veterans with PTSD are identified and treated in a timely fashion (Smith et al.,

2005; Davis et al., 2012; Schnurr and Lunney, 2012). Therefore, the VA has invested significant

resources in the development of a comprehensive PTSD screening system and instituted a yearly

screening program for all primary care patients beginning in 2010 (Shiner et al., 2012). Since

then, over 98% of primary care patients received screening in compliance with the protocol (U.S.

Department of Veterans Affairs, 2012). Currently, each veteran is supposed to be screened

annually by the Primary Care PTSD screen (PC-PTSD) for the first five years after his/her most

recent date of separation from active duty, and then every five years afterwards. However, the

date of separation is not known for all VA users and thus PC-PTSD screening continues annually

beyond the first five years for those with an unknown date of separation. A clinical exam, which

has a sensitivity (i.e., probability of diagnosing a PTSD patient) of 0.465 and a specificity (i.e.,

probability of testing negative in the absence of PTSD) of 0.966 (Magruder et al., 2005),

confirms or disconfirms a positive result on the PC-PTSD. A schematic presentation of the

current PTSD screening process in the VA is given in Figure 2-1.

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Chapter 2 - Sequential Screening Models

21

PC-PTSD1

Yes (with prob. rs)Year 1

Year 2

Year j

No(with prob.

1-rs)

Negative

Positive

...

- Yearly for the first 5 years after the date of separation- Then, every five years if date of separation is known,

yearly otherwise

Patient does not take PC-PTSD in the corresponding year

Patient takesPC-PTSD?

PC-PTSD2

Yes (with prob. rs)

No(with prob.

1-rs)

Negative

Positive

Negative

Patient takesPC-PTSD?

PC-PTSDj

Yes (with prob. rs)

No(with prob.

1-rs)

Negative

Positive

Patient takesPC-PTSD?

Negative

Positive

Final determination of “Positive”

Final determination of “Negative”

...

...

Unstructured clinical exam

(with PPV of 0.64 & with NPV of 0.93)

Patient comes inwith symptoms?

Figure 2-1 Current PTSD screening process in the VA

While the PC-PTSD is a useful screening measure and applied appropriately in the VA, it

represents only a first step in properly identifying PTSD patients. Confirmatory tests, such as the

self-administered PTSD Checklist (PCL) and Clinician-Administered PTSD scale (CAPS) also

play a role in PTSD identification after initial screening with the PC-PTSD. Therefore, this study

proposes a more systematic approach where PCL and CAPS are used as confirmatory tests, as

shown in Figure 2-2. The main characteristics of PC-PTSD, PCL, and CAPS are summarized in

Table 2-1, with more detailed information presented earlier in Section 1.1.2.

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Chapter 2 - Sequential Screening Models

22

PC-PTSD1

Yes (with prob. rs)Year 1

Year 2

Year j

No(with prob.

1-rs)

Negative

Positive

...

Patient takesPC-PTSD?

PC-PTSD2

Yes (with prob. rs)

No(with prob.

1-rs)

Negative

Positive

Negative

Patient takesPC-PTSD?

PC-PTSDj

Yes (with prob. rs)

No(with prob.

1-rs)

Negative

Positive

Patient takesPC-PTSD?

...

...

- Yearly for the first 5 years after the date of separation (DOS)

- Then, every 5 years if DOS is known, yearly otherwise

Patient does not take PC-PTSD in the corresponding year

Unspecified (with prob. u)

Patient takesPCL?

No (with prob. 1-rp)

PCL

Patient takesCAPS?

Final determination of “Positive”

Yes(with prob. rp)

CAPS

Yes(with prob. rc)

Final determination of “Negative”

Negative

Negative

No (with prob. 1-rc)

Positive

Positive

Figure 2-2 Proposed PTSD screening process in the VA

Table 2-1 Main characteristics of the PC-PTSD, PCL, and CAPS screening tests

Test Cut-off score Sensitivity* Specificity*

Patient compliance

rate

Avg cost

Time (minutes) By whom

Avg Stdev

PC-PTSD 2 0.91 0.72

0.90 $1 0.5 0.5 Administrative staff 3 0.84 0.90

PCL 50 0.82 0.83

0.30 $25 8 8 Self-administered (interpreted by a

clinician) DSM 1.00 0.92 Both 0.60 0.99

CAPS (Gold standard) DSM 1.00 1.00 0.05 $200 70 50 Trained clinician

*Shiner et al. (2012)

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Chapter 2 - Sequential Screening Models

23

2.3 Methodology

2.3.1 Notation and Assumptions

A mathematical model was developed to determine the overall system sensitivity, specificity,

and total screening and false diagnosis costs under current and proposed process configurations

for PTSD screening. The following notation is used in the probabilistic model, with regards to

Test characteristics:

αs = probability that a PC-PTSD will determine a truly positive patient as negative,

αp = probability that a PCL will determine a truly positive patient as negative,

αc = probability that a CAPS will determine a truly positive patient as negative,

βs = probability that a PC-PTSD will determine a truly negative patient as positive,

βp = probability that a PCL will determine a truly negative patient as positive,

βc = probability that a CAPS will determine a truly negative patient as positive,

u = probability that a PCL cannot make a definite diagnosis,

rs = patient compliance rate for PC-PTSD,

rp = patient compliance rate for PCL, and

rc = patient compliance rate for CAPS;

Cost parameters:

ks = average cost of a PC-PTSD,

kp = average cost of a PCL,

kc = average cost of a CAPS,

kFP = average cost of a false-positive final result, and

kFN = average cost of a false-negative final result per year;

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Chapter 2 - Sequential Screening Models

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Policy performance measures:

j = analysis horizon,

pj = overall sensitivity after j years,

qj = overall specificity after j years,

pFN|Pos, j = probability of not detecting a truly positive patient after j years,

pFP|Neg, j= probability of identifying a truly negative patient as positive after j years,

pTP, j = probability that any patient yields a true-positive after j years,

pFN, j = probability that any patient yields a false-negative after j years,

pTN, j = probability that any patient yields a true-negative after j years,

pFP, j = probability that any patient yields a false-positive after j years,

Is = number of PC-PTSD tests per any given patient,

Ip = number of PCL tests per any given patient,

Ic = number of CAPS tests per any given patient,

pcon+ = probability that diagnosis is confirmed by either PCL or CAPS given that the

patient is positive,

pcon− = probability that diagnosis is confirmed by either PCL or CAPS given that the

patient is negative,

ps_nc+ = probability that patient takes PC-PTSD but result remains unconfirmed by

neither PCL nor CAPS given that he/she is positive,

ps_nc− = probability that patient takes PC-PTSD but result remains unconfirmed by

neither PCL nor CAPS given that he/she is negative,

pp_nc+ = probability that patient takes PCL but result remains unconfirmed given that

he/she is positive, and

pp_nc− = probability that patient takes PCL but result remains unconfirmed given that

he/she is negative.

The overall system sensitivity is defined as the probability that a truly positive patient will be

determined correctly to be positive within the analysis horizon. Similarly, the overall system

specificity is defined as the probability that a truly negative patient will be classified correctly as

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Chapter 2 - Sequential Screening Models

25

negative at the end of the analysis horizon. In the proposed configuration, each patient is

supposed to be screened by the PC-PTSD during j ≥1 years. After a negative determination by

the PC-PTSD in year i < j, no further action is taken and the patient is scheduled for another

screen the next year. In any year i < j, if the PC-PTSD determines the patient to be positive,

he/she is sent to the PCL for confirmation. If PCL cannot make a definite diagnosis (with

probability u), the patient is sent to the CAPS.

The cost estimates for ks, kp, kc, kFP, and kFN are based on discussions with several psychiatrists in

the VA. Specifically, the estimate for the cost of each test (ks, kp, and kc) is based on the

personnel needed for administration. False-positive and false-negative costs (kFP and kFN), on the

other hand, are more difficult to estimate and consist of treatment and disability costs as well as

cost of anxiety and inconvenience caused to the patient. These costs vary from patient to patient

and significantly different results might be obtained using different estimates. In order to make

more accurate estimates, several cases for both false-positive and false-negative results were

identified and for each case, minimum, average, and maximum cost values were determined, as

given in Table 2-2. The probability distributions of these costs also are illustrated in Figure 2-3.

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Chapter 2 - Sequential Screening Models

26

Table 2-2 Minimum, average, and maximum cost estimates for a false-positive and false-negative result under the assumption of different cases

Case Definition Percentage Cost

Min Avg Max

Fals

e-

posit

ive

1 Initial evaluation 40% - $300 - 2 Minimum treatment 20% $1,000 $3,000 $5,000 3 Ongoing treatment 20% $6,000 $15,000 $30,000

4 Partial disability and extensive treatment 10% $30,000 $40,000 $55,000

5 Full disability and extensive treatment 10% - $60,000 -

Fals

e-ne

gativ

e 1 Minimal symptoms 25% - $1,000 - 2 Partial disability 50% - $15,000 -

3 Full disability (dysfunctional) 25% - $30,000 -

Figure 2-3 Probability distribution of cost of (a) a false-positive and (b) a false-negative result

0.000000

0.000025

0.000050

0.000075

0.000100

0.000125

0.000150

0.000175

0.000200

0.00

0.05

0.10

0.15

0.20

0.25

0.30

0.35

0.40

$0 $5 $10 $15 $20 $25 $30 $35 $40 $45 $50 $55 $60 $65

Prob

abili

ty (c

ases

2 &

3 &

4)

Prob

abili

ty (c

ases

1 &

5)

False-positive cost (in thousands)

(a) Probability distribution of cost of a false-positive result

0.00

0.05

0.10

0.15

0.20

0.25

0.30

0.35

0.40

0.45

0.50

$0 $3 $6 $9 $12 $15 $18 $21 $24 $27 $30 $33

Prob

abili

ty

False-negative cost (in thousands)

(b) Probability distribution of cost of a false-negative result

Evaluated & detected negative

Got minimum treatment

Ongoing treatment

Became partially dysfunctional & got extensive treatment

Became dysfunctional & got extensive treatments and disability payments

Survived with minimal

symptoms

Became partially dysfunctional

Became dysfunctional

kFP = $13,720

kFN = $15,250

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Chapter 2 - Sequential Screening Models

27

Other model assumptions include

(1) Each PC-PTSD, PCL, and CAPS test has a patient compliance rate (i.e., not all patients

take these tests even though it is required) and these rates are assumed to remain constant

over time.

(2) Each PC-PTSD, PCL, and CAPS test has a sensitivity of 1-αs, 1-αp, and 1-αc,

respectively. Thus, the probability that a PC-PTSD, PCL, and CAPS test will correctly

determine a truly positive patient to be positive is 1-αs, 1-αp, and 1-αc, respectively.

These sensitivities are assumed to remain constant over time.

(3) Each PC-PTSD, PCL, and CAPS test has a specificity of 1-βs, 1-βp, and 1-βc,

respectively. Thus, the probability that a PC-PTSD, PCL, and CAPS test will correctly

determine a truly negative patient to be negative is 1-βs, 1-βp, and 1-βc, respectively.

These specificities are assumed to remain constant over time.

(4) All tests are assumed to be independent of each other.

(5) The expected number of PC-PTSD tests per positive patient and per negative patient are

denoted, respectively, as E[Is | Positive] and E[Is | Negative]. Similarly, the expected

number of PCL and CAPS tests per positive patient and per negative patient are denoted,

respectively, as E[Ip | Positive], E[Ic | Positive], E[Ip | Negative], and E[Ic | Negative].

(6) Screening and false diagnosis costs are assumed to remain constant over time.

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Chapter 2 - Sequential Screening Models

28

2.3.2 Overall System Sensitivity

2.3.2.1 Probabilities of Detecting Truly Positive Patients and of a False-Negative

The overall sensitivity is a combined function of the individual PC-PTSD, PCL, and CAPS

sensitivities, the patient compliance rates, the length of the analysis horizon, and the probability

that a PCL cannot make a definite diagnosis. Note that a truly positive patient can be given a

final correct positive determination in several manners. For example, assuming that the patient

complies with the overall screening process, if the PC-PTSD in any year correctly determines the

patient to be positive, the PCL subsequently confirms this determination. Alternatively, after a

positive determination from the PC-PTSD, if the PCL cannot make a definite diagnosis, the

CAPS confirms the positive determination.

By considering all possible probabilistic manners in which a truly positive patient is correctly

identified as positive, a mathematical model of the overall probability of detecting a truly

positive patient was developed based on the assumptions and notation given in Section 2.3.1.

Thus, the probability of detecting a truly positive patient in j years is shown in Appendix A to be

Overall sensitivity = Probability of detecting a truly positive patient

pj = P{Positive determination|Patient is positive}

=�1−�1−rs(1−αs)rp�1−u(1−rc)��

j��1−αp−u�1−αp−rc(1−αc)��

1−u(1−rc) . (2-1)

The probability of a false-negative (FN), traditionally defined as the conditional probability of

incorrectly identifying a truly positive patient as negative in j years, simply is

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Chapter 2 - Sequential Screening Models

29

Probability of a FN = Probability of not detecting a truly positive patient

pFN|Pos, j = P{Negative determination|Patient is positive}

= 1 − Overall sensitivity = 1 − pj

=�1−rs(1−αs)rp�1−u(1−rc)��

j�1−αp−u�1−αp−rc(1−αc)��+(1−u)αp+urcαc

1−u(1−rc) . (2-2)

The unconditional probabilities of a true-positive (TP) and a false-negative (FN) result after j

years screening of any patient whose true state is not known a priori are the above rates

multiplied by the prevalence, p, of PTSD in the population under consideration:

P{Any patient yields a TP} = pTP, j = p × pj

= p�1−�1−rs(1−αs)rp�1−u(1−rc)��

j��1−αp−u�1−αp−rc(1−αc)��

1−u(1−rc) , (2-3)

P{Any patient yields a FN} = 𝑝FN, j = p × pFN|Pos, j

= p�1−rs(1−αs)rp�1−u(1−rc)��

j�1−αp−u�1−αp−rc(1−αc)��+(1−u)αp+urcαc

1−u(1−rc) . (2-4)

As an example, given a prevalence of p = 0.115 (Magruder et al., 2005), PC-PTSD sensitivity of

1-αs = 0.84 (with a cut-off score of 3), PCL sensitivity of 1-αp = 1 (with DSM criteria), CAPS

sensitivity of 1-αc = 1 (with DSM criteria), compliance rate of rs = 0.90, rp = 0.30, and rc = 0.05

for PC-PTSD, PCL, and CAPS, respectively, and assuming that PCL cannot make a definite

diagnosis with a probability of u = 0.10, then the probabilities of incorrectly determining a truly

positive patient to be negative and of incorrectly determining any patient to be negative in the

first year (j = 1) are

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Chapter 2 - Sequential Screening Models

30

P{Negative determination|Patient is positive} = pFN|Pos, 1

=�1−rs(1−αs)rp�1−u(1−rc)��

j�1−αp−u�1−αp−rc(1−αc)��+(1−u)αp+urcαc

1−u(1−rc)

=�1−(0.90)(0.84)(0.30)�1−(0.10)(1−0.05)��

1�1−(0.10)�1−(0.05)(1)��+(1−0.10)(0)+(0.10)(0.05)(0)

1−(0.10)(1−0.05)

= 1 − �1 − �(0.90)(0.16) + 1 − 0.90�1� 0.30 �1 − 0.10�1 − 0.05(1)��

= 0.7947

and

P{Any patient yields a FN} = 𝑝FN, 1 = p × pFN|Pos, 1 = (0.115)(0.7947) = 0.0914.

2.3.2.2 Expected Number and Distribution of False-Negatives

If np positive patients are screened independently, then for any given set of conditions the

number of correct positive identifications is modeled with a binomial distribution with an

expected value and standard deviation of nppj and �nppj �1 − pj�, respectively. Similarly, the

number of undetected positive patients out of n patients of unknown medical status also has a

binomial distribution, here with an expected value and standard deviation of npFN, j and

�npFN, j �1 − pFN, j�, respectively. (For completeness, also note that the companions to these two

random variables – the number of false-negative diagnoses per np positive patients and the

number of correct positive diagnoses per n patients of unknown status – are binomial with the

same variances as above and with expectations nppFN | P, j and npTP, j, respectively.)

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Chapter 2 - Sequential Screening Models

31

These expectations, variances, and distributions can be used to predict the relative frequencies of

the number of events of interest which will occur over time, such as the number of false-

negatives per n patients per year. For example, Figure 2-4 shows the probability distribution of

the number of false-negative diagnoses per n = 10,000 patients for the previous example. Note

that the expected number of false-negative diagnoses in the first year is

Expected number of FN diagnoses per 10,000 patients =

npFN, 1 = 10,000 × 0.0914 = 913.9579,

and the standard deviation is

�npFN, 1 �1 − pFN, 1� = �10,000 × 0.0914 × (1 − 0.0914) = √830.43 ≈ 28.8171,

which agrees with the location and spread of the corresponding probability mass in Figure 2-4.

Figure 2-4 Probability distributions of number of false diagnoses per 10,000 patients in the first year (p = 0.115, j = 1, u = 0.10, αs = 0.16, αp = 0, αc = 0, βs = 0.10, βp = 0.08, βc = 0, rs = 0.90, rp = 0.30, rc = 0.05)

0.00

0.01

0.02

0.03

0.04

0.05

0.06

0.07

0.08

0.09

0.10

0 75 150 225 300 375 450 525 600 675 750 825 900 975 1050

Prob

abili

ty (f

requ

ency

)

Number of false diagnoses per 10,000 patients

False-negativesFalse-positives

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Chapter 2 - Sequential Screening Models

32

2.3.3 Overall System Specificity

2.3.3.1 Probabilities of Detecting Truly Negative Patients and of a False-Positive

Similar to the above, a mathematical model of the overall probability of detecting a truly

negative patient was developed based on the assumptions and notation given earlier in Section

2.3.1. Thus, the probability of identifying a truly negative patient as negative in j years is shown

in Appendix B to be

Overall specificity = Probability of correctly classifying a truly negative patient

qj = P{Negative determination|Patient is negative}

=�1−rsβsrp�1−u(1−rc)��

j�(1−u)βp+urcβc�+1−βp−u�1−βp−rc�1−βc��

1−u(1−rc) . (2-5)

Also as above, the probability of a false-positive (FP), traditionally defined as the conditional

probability of incorrectly identifying a truly negative patient as positive, is

Probability of a FP = P{Positive determination|Patient is negative}

pFP|Neg, j = 1 − qj =�1−�1−rsβsrp�1−u(1−rc)��

j��(1−u)βp+urcβc�

1−u(1−rc) , (2-6)

and the corresponding unconditional true-negative (TN) and false-positive (FP) probabilities are

P{Any patient yields a TN} = pTN, j = (1 − p) × qj

= (1 − 𝑝)��1−rsβsrp�1−u(1−rc)��

j�(1−u)βp+urcβc�+1−βp−u�1−βp−rc�1−βc��

1−u(1−rc) � (2-7)

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Chapter 2 - Sequential Screening Models

33

and

P{Any patient yields a FP} = pFP, j = (1− p) × pFP|Neg, j

= (1 − p)��1−�1−rsβsrp�1−u(1−rc)��

j��(1−u)βp+urcβc�

1−u(1−rc) �. (2-8)

As an example, given a prevalence of p = 0.115, PC-PTSD specificity of 1-βs = 0.90 (with a cut-

off score of 3), PCL specificity of 1-βp = 0.92 (with DSM criteria), CAPS specificity of 1-βc = 1

(with DSM criteria), compliance rate of rs = 0.90, rp = 0.30, and rc = 0.05 for PC-PTSD, PCL,

and CAPS, respectively, and assuming that PCL cannot make a definite diagnosis with a

probability of u = 0.10, then the probabilities of incorrectly determining a truly negative patient

to be positive and of incorrectly determining any patient to be positive in the first year (j = 1) are

P{Positive determination|Patient is negative} = pFP|Neg, 1

=�1−�1−rsβsrp�1−u(1−rc)��

j��(1−u)βp+urcβc�

1−u(1−rc)

=�1−�1−(0.90)(0.10)(0.30)�1−(0.10)(1−0.05)��

1��(1−0.10)(0.08)+(0.10)(0.05)(0)�

1−(0.10)(1−0.05)

= 1 − ��(0.90)(0.90) + 1 − 0.90�1

+ �1 − �(0.90)(0.90) + 1 − 0.90�1�

× 0.30 �0.92 − 0.10�0.92 − (0.05)(1)���

= 0.0019

and

P{Any patient yields a FP} = pFP, 1 = (1 − p) × pFP|Neg, 1 = (1− 0.115)(0.0019) = 0.0017.

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Chapter 2 - Sequential Screening Models

34

2.3.3.2 Expected Number and Distribution of False-Positives

Again, if nn negative patients are screened independently, then the number of correct negative

identifications is modeled with a binomial distribution with parameters nn and qj, and the

expected number and standard deviation of correct identifications per nn truly negative patients,

nnqj and �nnqj �1 − qj�, respectively, can be examined. Similarly, the number of undetected

negative patients out of n patients of unknown medical status also has a binomial distribution,

here with an expected value and standard deviation of npFP, j and �npFP, j �1 − pFP, j�,

respectively. (Again, note that the companions to these two random variables – the number of

false-positive diagnoses per nn negative patients and the number of correct negative diagnoses

per n patients of unknown status – are binomial with the same variances as above and with

expectations nnpFP | N, j and npTN, j, respectively.)

Figure 2-4 also shows the probability distribution of the number of false-positive diagnoses again

per n = 10,000 patients for the previous example. Note that the expected number of false-positive

diagnoses in this situation is

Expected number of FP diagnoses per 10,000 patients =

npFP, 1 = 10,000 × 0.0017 = 17.2044,

and the standard deviation is

�npFP, 1 �1 − pFP, 1� = �10,000 × 0.0597 × (1 − 0.0597) = √17.1748 ≈ 4.1442,

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Chapter 2 - Sequential Screening Models

35

which again agrees with the corresponding probability mass in Figure 2-4.

2.3.4 Expected Cost

Based on the previous assumptions and notation, the expected cost per n patients screened after j

years is shown in Appendix C to be

ECj = Expected cost of all PC-PTSD tests per n patients + Expected cost of all PCL tests per n patients + Expected cost of all CAPS tests per n patients + Expected cost of all false-positives per n patients + Expected cost of all false-negatives per n patients

= �ks × Expected number of PC-PTSD tests per n patients� + �kp × Expected number of PCL tests per n patients� + (kc × Expected number of CAPS tests per n patients) + �kFP × Expected number of false-positives per n patients� + �kFN × Expected number of false-negatives per n patients�

= ksE�Is, n� + kpE�Ip, n� + kcE�Ic, n� + kFPE[FP] + kFNjE[FN]

= ksn�p �∑ i �ps_nc+ �

i−1pcon+ ∑ �(a+i−1)!

a!(i−1)!� (1 − rs)aj−i

a=0ji=1 + 𝑗ps_nc

+ �1− pcon+ �

j−1�

+(1− p) �∑ i �ps_nc− �

i−1pcon− ∑ �(a+i−1)!

a!(i−1)!� (1 − rs)aj−i

a=0ji=1 + 𝑗ps_nc

− �1 − pcon− �

j−1��

+kpn�p �∑ i �pp_nc+ �

i−1pcon+ ∑ �(a+i−1)!

a!(i−1)!� �1 − rs(1 − αs)rp�

aj−ia=0

ji=1 + 𝑗pp_nc

+ �1− pcon+ �

j−1�

+(1− p) �∑ i �pp_nc− �

i−1pcon− ∑ �(a+i−1)!

a!(i−1)!� �1 − rsβsrp�

aj−ia=0

ji=1 + 𝑗pp_nc

− �1− pcon− �

j−1��

+kcn � urc1−u(1−rc)� �p �1 − �1 − pcon

+ �j�+ (1 − p) �1 − �1 − pcon

− �j��

+kFPn(1 − p)��1−�1−rsβsrp�1−u(1−rc)��

j��(1−u)βp+urcβc�

1−u(1−rc) �

+kFNjnp��1−rs(1−αs)rp�1−u(1−rc)��

j�1−αp−u�1−αp−rc(1−αc)��+�(1−u)αp+urcαc�

1−u(1−rc) �. (2-9)

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Chapter 2 - Sequential Screening Models

36

As an example, the expected cost per n = 10,000 screened patients for the previous situation

(with p = 0.115, j = 1, 1-αs = 0.84, 1-αp = 1, 1-αc = 1, 1-βs = 0.90, 1-βp = 0.92, 1-βc = 1, rs =

0.90, rp = 0.30, rc = 0.05, and u = 0.10) and with cost estimates ks = $1, kp = $25, kc = $200, kFP =

$13,720, and kFN = $15,250 is (note that pcon+ , pcon

− , ps_nc+ , ps_nc

− , pp_nc+ , and pp_nc

− were calculated as

given in Appendix C)

EC1 = ksn �p �pcon+ + ps_nc

+ �+ (1 − p) �pcon− + ps_nc

− ��

+kpn �p �pcon+ + pp_nc

+ �+ (1 − p) �pcon− + pp_nc

− ��

+kcn � urc1−u(1−rc)� �p�pcon

+ � + (1 − p)�pcon− ��

+kFPn(1 − p)��rsβsrp�1−u(1−rc)���(1−u)βp+urcβc�

1−u(1−rc) �

+kFNjnp��1−rs(1−αs)rp�1−u(1−rc)���1−αp−u�1−αp−rc(1−αc)��+�(1−u)αp+urcαc�

1−u(1−rc) �

= ks(10,000)�(0.115)(0.2053 + 0.6947) + (1 − 0.115)(0.0244 + 0.8756)� +kp(10,000)�(0.115)(0.2053 + 0.0215) + (1 − 0.115)(0.0244 + 0.0026)� +kc(10,000) � (0.10)(0.05)

1−(0.10)(1−0.05)� �(0.115)(0.2053) + (1− 0.115)(0.0244)� +kFP(10,000)(1 − 0.115)(0.90)(0.10)(0.30)(1− 0.10)(0.08) +kFN(10,000)(0.115) �1 − (0.90)(0.84)(0.30)�1− (0.10)(1 − 0.05)��

= ($1)(10,000)(0.90) + ($25)(10,000)(0.0499) + ($200)(10,000)(0.00025) +($13,720)(10,000)(0.0017) + ($15,250)(10,000)(0.0914)

= $9,000 + $12,494.25 + $499.77 + $236,044.37 + $13,937,857.98 = $14,195,896.36.

Although it is not pursued in this study, the variance of total cost per n screened patients also can

be obtained analytically, and the distribution has been examined via computer simulation. Figure

2-5 illustrates a distribution of 5,000 simulation replications of the cost per 10,000 screened

patients for the above situation, which fits the normal distribution best at a significance level of

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Chapter 2 - Sequential Screening Models

37

0.05 (with a p-value of 0.388). Further simulation results are summarized later in Table 2-3,

indicating close agreement with the analytic results derived in this section.

Figure 2-5 Probability distribution of total cost per 10,000 patients (obtained via simulation) (p = 0.115, j = 1, u = 0.10, ks = $1, kp = $25, kc = $200, kFP = $13,720, kFN = $15,250, αs = 0.16, αp = 0, αc = 0,

βs = 0.10, βp = 0.08, βc = 0, rs = 0.90, rp = 0.30, rc = 0.05, 5000 replications)

0.000

0.005

0.010

0.015

0.020

0.025

0.030

0.035

0.040

0.045Pr

obab

ility

(fre

quen

cy)

Total cost per 10,000 patients (in millions)

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Chapter 2 - Sequential Screening Models

38

Table 2-3 Summary of analytic distributions of cost, workload, and accuracy with comparison to simulation results – 5,000 replications (p = 0.115, u = 0.10, ks = $1, kp = $25, kc = $200, kFP = $13,720, kFN = $15,250, αs = 0.16, αp =

0, αc = 0, βs = 0.10, βp = 0.08, βc = 0, rs = 0.90, rp = 0.30, rc = 0.05)

Year (j)

Per 10,000 patients (n = 10,000)

Analytic results Simulation program results

Expected value Stdev Expected

value Stdev 95% CI on E[X]

j = 1

Total cost $14,195,896 $443,124.47 $14,182,851 $540,481.09 ± $14,981.37

Workload (# screenings): by admins (PC-PTSD)

by clinicians (PCL) by trained clinicians (CAPS)

9,000.00 499.7700

2.4989

30.0000 21.7897 1.5806

9,000.07 499.9034

2.4748

30.3069 22.0563 1.5754

± 0.8401 ± 0.6114 ± 0.0437

Accuracy: # false-negatives # false-positives

913.9579 17.2044

28.8171 4.1442

913.5562 17.1826

28.4409 4.1328

± 0.7883 ± 0.1146

j = 3

Total cost $34,569,800 $1,194,883 $34,551,996 $1,382,077 ± $38,309.23

Workload (# screenings): by admins (PC-PTSD)

by clinicians (PCL) by trained clinicians (CAPS)

25,827.17 1332.3215

6.6616

63.3129 34.4606 2.5801

25,826.99 1331.4600

6.6116

62.5802 34.8994 2.5811

± 1.7346 ± 0.9674 ± 0.0715

Accuracy: # false-negatives # false-positives

577.2752 50.3623

23.3227 7.0787

577.4552 50.3798

23.3051 7.0805

± 0.6460 ± 0.1963

j = 5

Total cost $47,592,761 $1,800,087 $47,580,935 $1,998,281 ± $55,389.51

Workload (# screenings): by admins (PC-PTSD)

by clinicians (PCL) by trained clinicians (CAPS)

41,369.48 2005.5960 10.0280

111.1222 41.0852 3.1651

41,371.51 2004.5810

9.9778

109.7363 41.3518 3.2076

± 3.0417 ± 1.1462 ± 0.0889

Accuracy: # false-negatives # false-positives

364.6193 81.9196

18.7437 9.0138

364.9010 81.9864

18.7438 9.0851

± 0.5196 ± 0.2518

2.4 Scenario Analysis

2.4.1 Effect of Scoring Methods on Overall System Accuracy, Cost, and Workload

The expected value expressions above also can be used to more precisely examine the joint

effect of various scoring methods (i.e., test performances) and the length of screening horizon on

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Chapter 2 - Sequential Screening Models

39

the overall system sensitivity, specificity, cost, and clinician workload. For this purpose, four

different screening protocols (i.e., alternate scenarios for the test performances) were developed

and their overall performance in terms of accuracy and cost was compared to the current process

as well as the baseline which is the performance of clinician identification of PTSD before yearly

PC-PTSD was implemented, given a prevalence of p = 0.115, compliance rate of rs = 0.90, rp =

0.30, and rc = 0.05 for PC-PTSD, PCL, and CAPS, respectively, and assuming that PCL cannot

make a definite diagnosis with a probability of u = 0.10. In the first protocol, the scoring method

with the highest specificity is assumed to be used for PC-PTSD while the one with the highest

sensitivity is chosen for PCL. In other words, the first protocol aims to eliminate the truly

negative patients in the first step of the screening process (i.e., PC-PTSD) by using the scoring

method with the highest specificity, and then to successfully confirm the truly positive patients in

the second step (i.e., PCL or CAPS) by using the scoring method with the highest sensitivity.

The second protocol is the opposite of the first one while in the third protocol, the scoring

method with the highest sensitivity is used both for PC-PTSD and PCL. Finally, the last protocol

illustrates the annual screening with PCL instead of PC-PTSD. These screening protocols are

illustrated in Figure 2-6 with their overall sensitivity, specificity, and screening cost per patient

after 5 years.

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Chapter 2 - Sequential Screening Models

40

Figure 2-6 Comparison of past, current, and proposed screening protocols for PTSD identification in the VA

Figure 2-7 illustrates the effect of the test performances on the overall system sensitivity and

specificity over a 20-year screening horizon, showing that the addition of the PC-PTSD

increased the sensitivity of PTSD patient identification in the VA by almost 15% while

maintaining a specificity of over 97%, when compared to annual clinical exams alone (i.e.,

baseline). Including triggered testing with the PCL and CAPS in the case of positive results adds

further improvements in sensitivity as yearly screening continues (i.e., after 3 years for protocols

1, 3, and 4, after 10 years for protocol 2). However, these proposed screening protocols might

result in losses of specificity if repeated over a 20-year horizon.

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Chapter 2 - Sequential Screening Models

41

Figure 2-7 Effect of scoring method on overall (a) sensitivity and (b) specificity over a 20-year screening horizon

Figure 2-8 plots the expected number of false-negatives and false-positives per 10,000 patients

against years. As expected, protocol 4, which proposes yearly PCL screening, performs best in

terms of sensitivity and specificity (i.e., generates less false-negative and false-positive results).

Protocol 3 has the second best sensitivity but the worst specificity, while protocol 2 has the

second best specificity but the worst sensitivity. Protocol 1, on the other hand, gives relatively

good results in terms of both the number of false-negatives and false-positives.

0.00

0.10

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20

Prob

abili

ty o

f det

ectin

g tr

ue-p

ositi

ves

Year (j)

(a) Overall system sensitivity

0.00

0.10

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20

Prob

abili

ty o

f det

ectin

g tr

ue-n

egat

ives

Year (j)

(b) Overall system specificity

Baseline Current Protocol 1 Protocol 2 Protocol 3 Protocol 4

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Chapter 2 - Sequential Screening Models

42

Figure 2-8 Effect of scoring method on expected number of (a) false-negatives and (b) false-positives over a 20-year screening horizon

Figure 2-9 compares the expected screening and total costs per 10,000 patients over the years,

indicating that protocol 4, which achieves the best sensitivity and specificity, also has the lowest

total cost (i.e., total of screening, false-negative, and false-positive costs). Its screening cost,

however, is significantly higher (up to $300,000 more per year), as well as the number of CAPS

tests needed (up to 500 more CAPS per year) when compared to the other proposed protocols;

this might generate an excessive workload considering that there may not be enough clinicians

0

100

200

300

400

500

600

700

800

900

1,000

0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20

Num

ber o

f fal

se-n

egat

ives

pe

r 10,

000

patie

nts

Year (j)

(a) Expected number of false-negatives

0

100

200

300

400

500

600

700

800

900

1,000

0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20

Num

ber o

f fal

se-p

ositi

ves

per 1

0,00

0 pa

tient

s

Year (j)

(b) Expected number of false-positives

Baseline Current Protocol 1 Protocol 2 Protocol 3 Protocol 4

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Chapter 2 - Sequential Screening Models

43

with a working knowledge of PTSD in the VA to perform that many CAPS tests. Protocol 1, on

the other hand, achieves a 29.94% and 56.65% decrease in the number of false-negatives and

false-positives in the first 5 years when compared to the current process, and generates a

reasonable screening cost and clinician workload, as illustrated in Figure 2-10.

Figure 2-9 Effect of scoring method on expected (a) screening cost and (b) total cost over a 20-year screening horizon

$0

$6

$12

$18

$24

$30

$36

$42

$48

$54

$60

0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20

Scre

enin

g co

st p

er 1

0,00

0 pa

tient

s (in

mill

ions

)

Year (j)

(a) Expected screening cost

$0

$35

$70

$105

$140

$175

$210

$245

$280

$315

$350

0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20

Tota

l cos

t per

10,

000

patie

nts

(in m

illio

ns)

Year (j)

(b) Expected total cost

Baseline Current Protocol 1 Protocol 2 Protocol 3 Protocol 4

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Chapter 2 - Sequential Screening Models

44

Figure 2-10 Decomposition of expected (a) total cost and (b) amount of screening tests assuming protocol 1

The above examples illustrate the inherent tradeoff that decision makers face – that yearly

screening significantly increases the probability of detecting true-positives, but has the opposite

effect on the probability of identifying true-negatives. Figure 2-7, however, shows that the

magnitude of this effect on reducing specificity is lower than on increasing sensitivity. On the

other hand, Figure 2-8 illustrates that, when compared to the current process, protocol 1

decreases the number of false-negatives significantly, but generates more false-positives as

yearly screening continues. Therefore, to consider “stopping yearly screening after a number of

consecutive negative results” controls the increase in the number of false-positives while

$0

$8

$16

$24

$32

$40

$48

$56

$64

$72

$80

0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20

Cost

per

10,

000

patie

nts (

in m

illio

ns)

Year (j)

(a) Cost decomposition

Total costScreening costFN costFP cost

0

13

26

39

52

65

78

91

104

117

130

0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20

Num

ber o

f scr

eeni

ng te

sts p

er 1

0,00

0 pa

tient

s (in

thou

sand

s)

Year (j)

(b) Screening volume

Total number of screening testsNumber of PC-PTSD testsNumber of PCL testsNumber of CAPS tests

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Chapter 2 - Sequential Screening Models

45

maintaining the improvement achieved in terms of false-negatives. Figure 2-11 illustrates the

tradeoff between the stopping criteria (i.e., number of negatives required to stop screening) and

the expected number of false diagnoses and cost for protocol 1, indicating that discontinued

screening after three or four negative results achieves a significant decrease in the number of

false-positives and the screening cost, with a slight increase in the number of false-negatives and

total cost. Note that stopping screening earlier decreases the number of false-positives further,

but causes an enormous increase in the number of false-negatives and ultimately, the total cost.

Figure 2-11 Tradeoff between stopping criteria and expected (a) number of false diagnoses, and (b) cost at the end of screening horizon (j = 20) assuming protocol 1

0

50

100

150

200

250

300

350

400

450

500

0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21

Num

ber o

f fal

se d

iagn

oses

pe

r 10,

000

patie

nts

Stopping criteria (number of negative results required to stop screening)

(a) Expected number of false diagnoses

False-negatives

False-positives

$0

$25

$50

$75

$100

$125

$150

$175

$200

$225

$250

$0

$17

$34

$51

$68

$85

$102

$119

$136

$153

$170

0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21

Scre

enin

g co

st p

er 1

0,00

0 pa

tient

s (in

thou

sand

s)

Tota

l cos

t per

10,

000

patie

nts

(in m

illio

ns)

Stopping criteria (number of negative results required to stop screening)

(b) Expected cost

Total cost

Screening cost

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Chapter 2 - Sequential Screening Models

46

Figure 2-12 and 2-13 illustrate that under the assumption of protocol 1, a significant decrease in

the number of false-positives is achieved by stopping yearly screening after three negative

results, resulting in a reasonable increase in the number of false-negatives and the total cost.

Furthermore, overall sensitivity, specificity, cost, and clinician workload of all screening

protocols with discontinued screening after three negative results are summarized later in Table

2-4.

Figure 2-12 Effect of discontinued screening after three negative results on expected (a) number of false-negatives and (b) number of false-positives assuming protocol 1

0

100

200

300

400

500

600

700

800

900

1,000

0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20

Num

ber o

f fal

se n

egat

ives

pe

r 10,

000

patie

nts

Year (j)

(a) Expected number of false-negatives

Protocol 1 - stop after three negatives

0

Protocol 1

Current

0

100

200

300

400

500

600

700

800

900

1,000

0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20

Num

ber o

f fal

se p

ositi

ves

per 1

0,00

0 pa

tient

s

Year (j)

(b) Expected number of false-positives

Protocol 1 - stop after three negatives

Current

Protocol 1

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Chapter 2 - Sequential Screening Models

47

Figure 2-13 Effect of discontinued screening after three negative results on expected (a) screening cost and (b) total cost assuming protocol 1

$0

$2

$4

$6

$8

$10

$12

$14

$16

$18

$20

0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20

Scre

enin

g co

st p

er 1

0,00

0 pa

tient

s (in

mill

ions

)

Year (j)

(a) Expected screening cost

Protocol 1 Protocol 1 - stop after three negatives

Current

$0

$21

$42

$63

$84

$105

$126

$147

$168

$189

$210

0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20

Tota

l cos

t per

10,

000

patie

nts

(in m

illio

ns)

Year (j)

(b) Expected total cost

Protocol 1 - stop after three negatives

Protocol 1

Current

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Chapter 2 - Sequential Screening Models

48

Table 2-4 Overall sensitivity, specificity, cost, and workload of alternate screening protocols at important intervals (with discontinued screening after three negative results)

Performance measure* Year 1 Year 3 Year 5 Year 10 Year 20

Cur

rent

stat

e

Sensitivity 0.3796 0.5260 0.5470 0.5249 0.5252 Specificity 0.9892 0.9787 0.9786 0.9802 0.9802

Expected cost: Screening

Total

$1,131,700

$13,321,237

$3,202,506

$33,049,644

$5,289,318

$53,381,554

$9,898,422

$103,562,981

$19,118,444 $207,489,577

Workload (# screenings): by admins (PC-PTSD)

by clinicians (clinical exam)

6,749.38 3,749.83

19,642.72 10,609.54

32,579.59 17,522.46

61,100.88 32,791.07

118,143.39 63,334.34

Prot

ocol

1

Sensitivity 0.2054 0.4981 0.6803 0.8545 0.9126 Specificity 0.9981 0.9943 0.9933 0.9932 0.9932

Expected cost: Screening

Total

$21,994

$14,183,610

$60,469

$34,542,493

$74,790

$47,285,676

$82,013

$64,961,683

$84,246

$83,421,454 Workload (# screenings):

by admins (PC-PTSD) by clinicians (PCL)

by trained clinicians (CAPS)

8,999.98 499.57

2.52

25,828.22 1,331.66

6.75

30,893.70 1,687.45

8.55

32,105.33 1,918.78

9.69

32,410.12 1,993.00

10.05

Prot

ocol

2

Sensitivity 0.1340 0.3188 0.4306 0.5379 0.5782 Specificity 0.9993 0.9981 0.9976 0.9974 0.9974

Expected cost: Screening

Total

$33,732

$15,301,406

$90,947

$40,813,516

$118,357

$61,731,975

$129,712

$105,332,802

$132,520

$181,515,773 Workload (# screenings):

by admins (PC-PTSD) by clinicians (PCL)

by trained clinicians (CAPS)

9,000.64 951.19

4.76

24,764.01 2,545.40

12.74

32,037.39 3,319.82

16.62

34,327.71 3,668.55

18.35

34,729.19 3,761.20

18.81

Prot

ocol

3

Sensitivity 0.2225 0.5298 0.7153 0.8931 0.9602 Specificity 0.9946 0.9848 0.9804 0.9794 0.9793

Expected cost: Screening

Total

$33,733

$14,334,987

$90,956

$34,437,863

$118,348

$46,407,750

$129,718

$60,972,252

$132,533

$71,671,584 Workload (# screenings):

by admins (PC-PTSD) by clinicians (PCL)

by trained clinicians (CAPS)

8,999.60 951.01

4.79

24,763.53 2,545.63

12.76

32,034.03 3,319.43

16.64

34,325.83 3,668.59

18.39

34,727.65 3,761.40

18.85

Prot

ocol

4

Sensitivity 0.2700 0.6111 0.7927 0.9407 0.9863 Specificity 1.0000 1.0000 1.0000 1.0000 1.0000

Expected cost: Screening

Total

$325,244

$13,135,053

$895,878

$29,882,365

$1,067,509

$38,675,902

$1,123,298

$47,948,290

$1,138,391

$52,893,837 Workload (# screenings):

by clinicians (PCL) by trained clinicians (CAPS)

8,998.83 501.37

25,724.37 1,263.84

30,194.43 1,563.24

31,014.51 1,739.68

31,197.53 1,792.26

*Per 10,000 patients

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Chapter 2 - Sequential Screening Models

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2.4.2 Effect of False Diagnosis Costs on the Total Cost of Screening Protocols

The total cost includes false-negative and false-positive costs, which are subject to considerable

uncertainty and subjective discussion. Even though a range of possible cost estimates, given in

Table 2-2, are considered to be as realistic as possible, this uncertainty still is a limitation and the

exploration of how the overall system is affected by the changes in these costs is especially

important. To this end, Figure 2-14 illustrates the effect of the ratio between false-negative and

false-positive costs on the total cost under the assumption of protocol 1 with various stopping

criteria, indicating that the false-negative cost has more influence on the total cost than the false-

positive cost. The total cost significantly increases as the false-negative cost increases, but the

same increase in the false-positive cost does not make any significant change.

Figure 2-14 Effect of false-negative/false-positive cost ratio on total cost assuming protocol 1 with various stopping criteria

2.4.3 Effect of Compliance Rates on Overall System Accuracy and Cost

The patient compliance rates in the above examples (Table 2-1) were determined based on

discussions with several psychiatrists in the VA and intended to be as realistic as possible.

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l cos

t per

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000

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(in m

illio

ns)

False-negative/false-positive cost ratio (kFN/kFP)

Stop after 3 negativesStop after 5 negativesStop after 10 negativesNo stopping

FN cost held constant as FP cost increases

FP cost held constant as FN cost increases

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Chapter 2 - Sequential Screening Models

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However, it is important to emphasize that these rates are not known with certainty and that it is

necessary to explore how the system accuracy and cost are affected by various compliance

values. For this purpose, several compliance rate scenarios, given in Table 2-5, were developed

based on currently available data. The pessimistic and optimistic scenarios represent the lower

and upper bounds, respectively, while realistic scenario reflects the current situation (i.e., the one

used in the previous examples). Also shown for comparison is the “perfect” situation which

assumes that all patients fully comply with each test (i.e., patients take the tests when it is

required).

Table 2-5 Scenarios for patient compliance rates

Scenario Compliance rates

PC-PTSD (rs) PCL (rp) CAPS (rc) Pessimistic (intolerable) 0.75 0.30 0.01

Realistic (current) 0.90 0.30 0.05 Optimistic (ideal) 1.00 0.50 0.25

Perfect (unrealistic) 1.00 1.00 1.00

Figure 2-15 and 2-16 illustrate the effect of patient compliance on the overall system sensitivity,

specificity, and screening and total cost under the assumption of protocol 1 with discontinued

screening after three negative results, indicating that, as expected, the number of false-negatives

and thus total cost decrease as each test’s compliance rate increases. The number of false-

positives and the cost of screening, however, increase significantly as patients comply more with

each test, primarily because of conducting more PCL tests (note that only 10% of patients who

take PCL cannot be determined as positive or negative and are tested with CAPS which is

considered the gold standard for PTSD diagnosis). More specifically, improving patient

compliance results in up to 99.18% and 91.48% decrease in the number of false-negatives and

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Chapter 2 - Sequential Screening Models

51

the total cost, while generating an increase up to 268.62% and 324.53% in the number of false-

positives and the cost of screening, respectively. Of note, even though these increases seem quite

high, the number of false-positives and the cost of screening per year are still 7.41% and 97.33%

less on average, respectively, when compared to the current process, even assuming the “perfect”

patient compliance which generates the biggest increases.

Figure 2-15 Effect of compliance rates on expected (a) number of false-negatives and (b) number of false-positives assuming protocol 1 with discontinued screening after three negative results

0

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00 p

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(b) Expected number of false-positives

Pessimistic compliance Realistic compliance Optimistic compliance Perfect compliance

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Figure 2-16 Effect of compliance rates on expected (a) screening cost and (b) total cost assuming protocol 1 with discontinued screening after three negative results

2.4.4 Effect of PTSD Prevalence on the Predictive Value of Screening Protocols

The utility of a screening test and the rationale behind the screening programs are strongly

determined by the prevalence of the disease in the population (Harris et al., 2001). Therefore, the

performance of the screening protocols for various PTSD prevalence rates also is analyzed. For

instance, Figure 2-17 illustrates the changes in the positive and negative predictive values of

protocol 1 with discontinued screening after three negatives for a range of PTSD population

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s (in

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(in m

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ns)

Year (j)

(b) Expected total cost

Pessimistic compliance Realistic compliance Optimistic compliance Perfect compliance

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Chapter 2 - Sequential Screening Models

53

prevalence (i.e., from low to very high). As expected, using the same protocol in a population

with higher prevalence increases the positive predictive value significantly while resulting in a

slightly decreased negative predictive value. In other words, even though the corresponding

protocol has good performance characteristics (i.e., sensitivity of 0.91 and specificity of 0.99), its

positive predictive value is fairly low when applied to a population with lower prevalence,

suggesting that the VA is an ideal place to evaluate the PTSD screening protocols given the

higher prevalence when compared to the general population (Kessler et al., 2005; Magruder et

al., 2005; Seal et al., 2007; Shiner et al., 2012).

Figure 2-17 Effect of PTSD prevalence on predictive value of protocol 1 with discontinued screening after three negative results

2.5 Other Possible Applications: A Sequential Screening Model for Mild TBI

While the main focus of this chapter is PTSD, similar sequential screening models can be

developed for a range of other mental health conditions. In order to give an insight into how the

general approach is applied to other disorders, this section illustrates a sequential screening

probability model developed for mild traumatic brain injury (TBI). As one of the common

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1.10

0.00 0.05 0.10 0.15 0.20 0.25

Pred

ictiv

e va

lue

PTSD prevalence (p)

Positive predictive

value

Negative predictive value

Low Medium High Very high

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Chapter 2 - Sequential Screening Models

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military injuries which occurs with no visible symptoms and may go unrecognized and untreated,

mild TBI would be a good example of how sequential screening can help reduce the number of

unrecognized cases and improve the effectiveness and cost.

Similar to the above PTSD screening processes, the proposed mild TBI screening process

consists of a number of screening tests which are conducted at predetermined time intervals (may

vary depending on the extent of the injury) and a confirmation test which is used to follow-up on

a positive determination of a screening test. As usual, the confirmation test tends to be more

thorough and expensive than the screening tests and aims to confirm any positive diagnosis made

by the screening tests. Confirmation of a negative diagnosis also might be necessary, especially

in some settings such as combat zones given that the complicated nature and strict restrictions of

war conditions. To this end, a decision stage is included in the screening process, which decides

whether or not a patient should take the confirmation test even though he/she is determined as

negative by all screening tests. Given that the soldiers work as teams (troops) and members of

the same team are subject to the same or similar external effects that may cause TBI (i.e., mines,

grenade blasts, etc.), the existence of a soldier with TBI in a small team is assumed to increase

the likelihood of finding TBI on his teammates. Therefore, the screening process is extended

such that the patients who are determined as negative by all screening tests are rescreened by the

confirmation test if at least one of their teammates has diagnosed with TBI recently. The

schematic presentation of the proposed screening process is given in Figure 2-18.

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Screening test 1

...

Is there someonewith TBI in thepatient’s team?

Final determination of “Negative”

Final determination of “Positive”

Screening test 2

Negative

Negative

Negative

Screening test j

Negative

Confirmation test

Positive

Positive

Positive

No Negative Positive

Yes (with prob. r1 or r2)

Figure 2-18 A sequential screening process for mild TBI

Mathematical expressions for overall accuracy and cost of mild TBI screening process can be

built using joint, conditional, and expected value probability laws, similar to those for the PTSD

screening process. Again, by considering all possible probabilistic manners in which a truly

positive [negative] patient is correctly identified as positive [negative] and the expected number

of screenings and false diagnoses, a mathematical model of the overall sensitivity, specificity,

and expected total cost was developed under the assumption of both non-homogeneous and

homogeneous screening tests, as summarized in Table 2-6. Derivation of these mathematical

expressions is given in Appendix D along with the model assumptions and notation.

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Table 2-6 Mathematical expressions of overall sensitivity, specificity, and cost for mild TBI screening model

Overall sensitivity Overall specificity

Expected total cost

Non

-hom

ogen

eous

sc

reen

ing

test

s

pj = �1 −∏ αiji=1 (1 − r1)� (1 − αc) qj = 1 − βc �1 −∏ �1 − βi�

ji=1 (1 − r2)�

ECj = ksn �p �(1 − α1) + ∑ �i∏ αki−1k=1 (1 − αi)�

j−1i=2 + j∏ αk

j−1k=1 �

+(1 − p)�β1 + ∑ �i∏ �1 − βk�i−1k=1 βi�

j−1i=2 + j∏ �1 − βk�

j−1k=1 ��

+kcn �1 − �p∏ αiji=1 (1 − r1) + (1 − p)∏ �1 − βi�

ji=1 (1 − r2)��

+kFPn(1 − p)βc �1 −∏ �1 − βi�ji=1 (1 − r2)�

+kFNnp �αc + (1 − αc)∏ αiji=1 (1 − r1)�

Hom

ogen

eous

sc

reen

ing

test

s

pj = �1 − αsj(1 − r1)�(1 − αc) qj = 1 − βc �1 − �1 − βs�

j(1 − r2)�

ECj = ksn�p �1−αsj

1−αs� + (1 − p)�1−�1−βs�

j

βs��

+kcn�1 − �pαsj(1 − r1) + (1 − p)�1 − βs�

j(1 − r2)��

+kFPn(1 − p)βc �1 − �1 − βs�j(1 − r2)�

+kFNnp�αc + (1 − αc)αsj(1 − r1)�

where (1–αi) and (1–αc) are the sensitivities, and (1–βi) and (1–βc) are the specificities for each screening test i and the confirmation test, p is the population incidence rate, n is the number of patients to be screened, r1 and r2 are the rescreening rates, and ks, kc, kFP, and kFN is the cost of a screening test, the confirmation test, a false-positive result, and a false-negative result.

Similar to the case of PTSD screening, the above expressions can be used to more precisely

examine the joint effect of various test accuracies and number of screening tests on the overall

system sensitivity, specificity, and total cost. Figure 2-19, for example, illustrates the competing

effect of additional screenings on overall sensitivity and specificity, and the rate at which they

approach their respective bounds (confirmation test sensitivity and specificity which need not be

the same), given an incidence of p = 0.15 and rescreening rates of r1 = 0.40 and r2 = 0.10 and

assuming that, for simplicity, all screening tests have identical sensitivities and specificities.

Note that the confirmation test sensitivity is an upper bound on the overall system sensitivity as

the number of screening tests and/or their sensitivities increase. Similarly, the overall system

specificity is bounded below by the confirmation test specificity. Thus, no screening policy of

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Chapter 2 - Sequential Screening Models

57

this type, even with many near-perfect [very poor] screening tests, can have higher [lower]

system sensitivity [specificity] than the final confirmation test (Benneyan and Kaminsky, 1996).

As these examples illustrate, significant improvements in the probability of detecting truly

positive patients clearly are possible in many cases by adding more screening tests. It, however,

has the opposite effect of decreasing the probability of correctly classifying true-negatives. This

effect is significantly greater as the inaccuracy of screening and confirmation tests increase.

Figure 2-19 Competing effect of number of screening tests on overall sensitivity versus specificity, and the role of convergence to bounds, where (a) both system bounds = 0.95 and (b) both system bounds = 0.80

(p = 0.15, r1 = 0.40, r2 = 0.10; both system bounds = 1–αc = 1–βc)

0.60

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1–αc = 1–βc = 0.80

Case 1: 0.95 sensitivity Case 2: 0.75 sensitivity Case 3: 0.60 sensitivityCase 4: 0.95 specificity Case 5: 0.75 specificity Case 6: 0.60 specificity

Screening test accuracy:

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The expected cost model also can be used to evaluate a variety of screening policies for any set

of values for test accuracies (αs, αc, βs, βc), test and false-diagnosis costs (ks, kc, kFP, kFN),

rescreening rates (r1, r2), incidence rate (p), and number of patients to be screened (n). Moreover,

the optimal number of screening tests (j*) which minimizes the expected total cost can be found,

such as by a simple search algorithm or more advanced optimization methods. In order to

illustrate this use and the significant sensitivity of the optimal policy to input assumptions,

Figure 2-20 compares the expected total costs for three different scenarios based on test

accuracies where the following values were assumed: ks = $5, kc = $25, kFP = $750, kFN = $5000,

r1 = 0.40, r2 = 0.10, p = 0.15, and n = 100.

Figure 2-20 Comparison of expected total cost per 100 patients (ks = $5, kc = $25, kFP = $750, kFN = $5000, r1 = 0.40, r2 = 0.10, p = 0.15)

The above examples help illustrate the general approach and explore how the overall system is

affected by the changes in various input assumptions. The figures used in these examples,

however, are only for illustrative purposes and do not reflect the actual practice. Additional

research is needed, for example, to better identify the screening and confirmation tests that can

be used appropriately in the sequential screening process and then to estimate their accuracies

$0

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Expe

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tota

l cos

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thou

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s)

Number of screening tests (j)

Scenario 1: 0.95 sensitivity and specificity

Scenario 2: 0.60 sensitivity, 0.95 specificity

Scenario 3: 0.95 sensitivity, 0.60 specificity

j1* = 2

j2* = 4

j3* = 1

Screening and confirmation test accuricies:

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Chapter 2 - Sequential Screening Models

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and costs. Furthermore, a comprehensive sensitivity analysis, such as presented in Section 2.4,

should be conducted especially for the inputs that are subject to considerable uncertainty and

subjective discussion (e.g., false diagnosis costs).

2.6 Discussion

The design of any screening protocol should depend on the ability to detect truly positive and

truly negative patients and all costs incurred as a result of this protocol. The mathematical

models presented in this chapter can help policy makers, clinicians, and researchers understand

these characteristics for various possible protocols in order to design more effective and

minimum cost screening procedures for any particular situation. While the main focus of this

study is PTSD, a focus on optimally sequencing screening tests is likely warranted in a range of

other mental health disorders, such as illustrated in Section 2.5.

Given that untreated and undertreated PTSD result in significant physical and social problems as

well as tremendous medical and social costs, a well-designed and effective screening program is

vital in properly identifying and treating PTSD patients. This study investigated the current

screening processes and some alternatives for screening PTSD within the VHA and further

explored the effects of annual screenings, patient compliance, and prevalence on the expected

values, variances, and probability distributions of false-negatives, false-positives, and incurring

costs. Results indicate that a more intentionally designed system, which consists of a series of

annual screening tests along with a standardized confirmatory testing, results in lower false

diagnosis rates, predictable performance, and reduced costs. More specifically, an average of

55.07% and 18.10% decrease in the number of false-negative and false-positive diagnoses along

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with a savings of 32.96% in total cost per year were shown to be possible by performing a

standardized confirmatory testing (with the use of PCL and CAPS) to follow-up the positive

results of the annual PC-PTSD screenings. These results, however, are very dependent on the

model inputs. A scenario analysis, therefore, was performed in order to illustrate how the overall

results are affected by various values of several model parameters, such as screening test

sensitivities and specificities, false-diagnosis costs, patient compliance rates, and prevalence.

This analysis also is useful to help decision makers explore the tradeoffs between annual

screenings and false-negative rates, false-positive rates, and costs.

One of the possible limitations of this study is that the most of the model inputs are not known

with certainty. This is especially true with respect to the costs of false-negative and false-positive

results and patient compliance rates. Although all input estimations were based on discussions

with several clinicians who have a thorough knowledge of PTSD and a sensitivity analysis was

performed for a range of possible values, additional research could be useful to confirm these

estimates or to better estimate the aforementioned inputs. Another limitation is the assumption

that the VA has the capacity to perform the confirmatory screening and to provide the treatment

that would be recommended after the screening.

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Multi-State Categorical Diagnostic Models Chapter 3 -

Traumatic brain injury (TBI), one of the most common military injuries, is an enormous problem

facing most U.S. soldiers today. Given that the vast majority of TBI diagnoses among military

personnel are categorized as mild, many cases go undetected and untreated, resulting in

significant psychological disorders, long-term disabilities, and economic burdens. Assessment

tools for TBI, which are found to be efficient when the extent of the injury is more severe, often

are insufficient when there are no obvious signs of trauma. This chapter presents several

predictive diagnostic models to determine whether or not an individual has TBI and to categorize

him into the most likely severity state. These models aim to improve the reliability and accuracy

of TBI diagnoses by combining the results of different screening tests, which are conducted

consecutively over time, with the use of several mathematical techniques, namely, fuzzy logic,

logistic regression, and neural networks.

3.1 Background

Military personnel and others working in combat zones are at particular risk of traumatic brain

injury (TBI) due to the fact that they are likely to be exposed to events that may cause TBI, such

as concussive blasts or explosions (Champion et al., 2009; Ling et al., 2009; Defense and

Veterans Brain Injury Center, 2013). In combat zones, TBI often occurs in tandem with

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ostensibly life-threatening injuries; therefore, cases may go unrecognized, potentially putting the

individuals or their units at risk (Butler et al., 2008; Tanielian and Jaycox, 2008). Additionally,

when TBI occurs with no outward signs of trauma (i.e., mild cases), service members might not

seek medical treatment (Martin et al., 2008; McCrea, 2008). Many TBI sufferers, especially if

untreated, may experience medical, behavioral, and social problems for a long time, perhaps a

lifetime. Any delays in treatment may compromise recovery or result in serious cognitive,

physical, and/or psychological problems and even permanent damage (Rao and Lyketsos, 2000;

Maas et al., 2008; Anderson-Barnes et al., 2010; Faul et al., 2010).

The existence and severity of TBI are evaluated in several ways, including subjective

assessments, external signs, physical experiences, neurologic assessments (e.g., the Glasgow

Coma Scores (GCS)), and clinical assessments (e.g., computed tomography (CT) scans,

magnetic resonance imaging (MRI), and electroencephalogram (EEG)) (U.S. Department of

Health and Human Services, 2006; Elder et al., 2010; Maruta et al., 2010). In the military,

testing typically follows a process of screening, identification, evaluation, confirmation, and

stratification by severity (Butler et al., 2008). While ideally all TBI would be detected soon after

the time of injury, initial tests tend to be less accurate than more thorough and expensive post-

deployment tests. GCS, developed by Teasdale and Jennett (1974), for instance, is a valuable

first assessment of TBI severity and prognosis immediately after injury. However, it has several

practical limitations (Wijdicks et al., 2005; Matis and Birbilis, 2008; Zuercher et al., 2009;

Middleton, 2012), generally due to the fact that often it is not measured in emergency rooms or

in hospitals where TBI patients are first transported (Thatcher et al., 2001). Conventional CT and

MRI, the most frequent imaging modalities used in acute diagnosis and management, often

cannot detect mild TBIs since generally the brain appears quite normal (Dhawan et al., 2006;

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Shenton et al., 2012). EEG, on the other hand, is recommended to detect mild TBI even though it

is not considered sensitive enough to distinguish mild and moderate TBIs (Thatcher, 2000;

Haneef et al., 2013). In practice more than one method can be used for diagnosis to assure

reliability and accuracy. Guler et al. (2008), for instance, developed a diagnostic system for

determining the severity of civilian TBI by using fuzzy logic to combine information from GCS

and EEG results. They found a significant relationship between the findings of neurologists and

the systems output for normal, mild, and severe electroencephalography tracing data. In the

study, fuzzy inferences were developed from GCS and EEG trauma score data, which were then

used to produce a trauma severity degree and final diagnosis for each patient. However, neither

an analysis on the accuracy or optimization of their approach nor a discussion on the longitudinal

nature of increasingly accurate data was presented.

This study proposes a predictive modeling approach using fuzzy logic, multinomial logistic

regression, and neural networks, which provides a comprehensive screening procedure as

illustrated in Figure 3-1. The main concern of this procedure is to better identify mild cases

which occur without any visible symptoms and to prevent any delays in treatment. Also, in the

proposed procedure, the determination can change continuously as each screening test result

becomes available, presumably getting more accurate over time, given that the symptoms of mild

injuries may not be immediately recognized.

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Figure 3-1 General illustration of longitudinal TBI classification model

3.2 Fuzzy Categorical Model

3.2.1 Methodology

Fuzzy logic (FL), which was first introduced by Lotfi A. Zadeh (1965), is a computational

paradigm for processing information in a way that resembles human reasoning in the presence of

uncertainty (Ross, 1995). It has been successfully used in healthcare applications, including

Veryha and Adamczyk (2005) in primary dental care services, Dalalah and Magableh (2008) for

remote health service delivery, Guler et al. (2008) for detecting civilian TBI severity, Khan et al.

(2008) for cancer prognosis, Medjahed et al. (2012) for remote healthcare monitoring, Torshabi

et al. (2012) for tumor motion prediction, Czabanski et al. (2013) for classification of fetal heart

rate tracings, and Kwiatkowska and Kielan (2013) for assessment of clinical depression.

Fuzzy logic emulates a person’s ability to categorize things by assessing the degree of

membership rather than evaluating whether they satisfy some unambiguous definition (Lootsma,

1997). A fuzzy variable (here TBI severity categories, i.e., normal, mild, moderate, and severe) is

characterized by its name tag, a set of fuzzy values (also known as linguistic values or labels),

t1 t2 t3 tN Time

Screening test N result: XN

Screening test 3 result: X3

Screening test 2 result: X2

Screening test 1 result: X1

Determination for n=3

Inference Phase

Determination for n=N

Determination for n=1

Determination for n=2

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65

and the membership function of these labels. These membership functions assign a membership

value, μLabel(x), to a given real value x within some predefined range, R (known as the universe

of discourse). Two basic fuzzy operations, “and” and “or”, are defined as (Guler et al., 2002):

Definition 1: μA and B(x) = 𝜇A(x) ∧ μB(x) = min�μA(x), μB(x)�

and

Definition 2: μA or B(x) = 𝜇A(x) ∨ μB(x) = max�μA(x), μB(x)�,

where A and B are fuzzy variables. Using these operators, fuzzy variables can be combined to

form fuzzy-logic expressions.

The general fuzzy logic algorithm consists of three activities: fuzzification, fuzzy inference, and

defuzzification. Fuzzification is the process of making a crisp numeric quantity fuzzy (Ross,

1995) by mapping it onto fuzzy membership functions. Typically, conventional trapezoid shapes,

such as those shown in Figure 3-2, are used to calculate fuzzy membership functions or degrees

of membership for each category as

μ(xi) =

⎩⎪⎨

⎪⎧

xi−ab−a

, a ≤ xi ≤ b1, b < xi < cd−xid−c

, c ≤ xi ≤ d0, otherwise

, (3-1)

where a, b, c, and d are the defining parameters of each membership function.

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Chapter 3 - Multi-State Categorical Diagnostic Models

66

Figure 3-2 Fuzzy membership functions for trauma severity degrees

The second step, fuzzy inference, is the process of obtaining a fuzzy output using a rule-base that

combines several inputs (here several screening tests), i.e., the results of the above fuzzification

linguistic inputs. The rules in the rule-base define the connection between input and output fuzzy

variables (Guler et al., 2002). The relationships and outputs obtained from the rule-base are

interpreted using “and” and “or” operators (Guler et al., 2008).

Finally, defuzzification is the conversion of these fuzzy quantities to a crisp value z*. Several

methods exist for combining and defuzzifying fuzzy membership values, including the max-

membership, center of gravity (COG), weighted average (WA), mean-of-maxima membership

(MOM), center of sums (COS), center of largest (COL) area, and smallest or largest of maxima

(SOM or LOM) methods (Ross, 1995). By example, maxima methods choose the set with the

maximum membership, whereas in the COG method, a common and useful approach, the center

of gravity of the area under the membership functions is calculated as

0.00

0.10

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

1.10

Degr

ee o

f mem

bers

hip

Trauma degree

NormalMildModerateSevere

aM bM cM dM

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Chapter 3 - Multi-State Categorical Diagnostic Models

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z* =∫ μC(x) ∙ x dx

∫ μC(x) dx, (3-2)

where C is the union of the membership functions. First, the results of the rules are added

together and the top parts of the graphs are chopped off to form trapezoids. All of these

trapezoids are then superimposed one over another, forming a single geometric shape. The

centroid of this shape, called the fuzzy centroid, is then calculated and its x coordinate gives the

defuzzified value.

As an extension to Guler et al. (2008), a more comprehensive procedure was developed by

sequentially applying fuzzy inference longitudinally to a series of screening results as they

become available. Applying a fuzzy diagnostic system sequentially N times (i.e., to N screening

test results) eventually produces N trauma severity degree values (X1, X2, …, XN) for each

patient, which become the inputs to the fuzzification logic. Without the loss of generality, these

values were assumed to be between 0 and 100 based on the expert-based scale from Guler et al.

(2008). Four fuzzy sets – normal (no TBI), mild, moderate, and severe – were formed for these

values using the four trapezoid membership functions shown in Figure 3-2 (which are different

for each screening test, resulting in 4N membership functions). Note that the parameters of each

membership function (ai, bi, ci, and di for fuzzy set i, where i = No(rmal), Mi(ld), Mo(derate),

and Se(vere)) typically might be determined by experts or with an optimization tuning routine,

such as demonstrated later. Membership degrees for each category (i.e., for each of the four

trauma severities) were then computed using Eq. (3-1).

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Chapter 3 - Multi-State Categorical Diagnostic Models

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For the fuzzy inference step, a rule-base which consists of four linguistic outputs – normal, mild,

moderate, and severe – the same as the membership functions was used. Table 3-1 illustrates the

rule-base for the case with two screening results (N = 2). As seen, after the second screening

there are 42 = 16 rules. To illustrate interpretation of this rule-base, if the output of screening test

1 is “mild” (column 2) and the output of screening test 2 is “moderate” (row 3), then the output

of the fuzzy inference process is “moderate” (shown in italic font). According to the rule-base

and using min-max operators, the fuzzy outputs of the inference process were obtained and

represented by μis(Xs), which means that according to the result Xs of screening test s, a patient

belongs to fuzzy set i with a membership degree of μis evaluated at the value Xs, where s = 1, 2,

…, N and i = No, Mi, Mo, Se. These fuzzy values were then converted into crisp values using the

defuzzification methods mentioned above.

Table 3-1 Example of a rule-base for N = 2 screening test case

The output of the inference Output of screening test 1

Normal Mild Moderate Severe

Output of screening

test 2

Normal Normal Mild Mild Mild Mild Mild Mild Moderate Moderate

Moderate Moderate Moderate Moderate Severe Severe Moderate Severe Severe Severe

3.2.2 Numerical Example

Consider the N = 4 case with four screening tests, where the parameters of each membership

function are given as aNo = bNo = 0, cNo = 15, dNo = 40, aMi = 15, bMi = 30, cMi = 40, dMi = 50,

aMo= 30, bMo = cMo = 50, dMo = 75, aSe = 50, bSe = 70, and cSe = 80. For simplicity, the

membership functions were assumed to have the same parameters for all four tests, although in

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Chapter 3 - Multi-State Categorical Diagnostic Models

69

reality they likely would be different. The fuzzy categorical model was applied to categorize a

patient with the trauma severity degrees of X1 = 45, X2 = 56, X3 = 65, and X4 = 20 obtained from

the screening tests. According to the fuzzy membership functions and using Eq. (3-1), the

membership degrees for each TBI category according to the screening test 1 were calculated as

μMi1 (45) =

dMi − X1

dMi − cMi=

50 − 4550 − 40

= 0.50

and

μMo1 (45) =

X1 − aMo

bMo − aMo=

45 − 3050 − 30

= 0.75.

Similarly, the membership degrees for each category according to the screening tests 2, 3, and 4

were calculated as μMo2 (56) = 0.76 and μSe

2 (56) = 0.30, μMo3 (65) = 0.48 and μSe

3 (65) = 0.65, and

μNo4 (20) = 0.80 and μMi

4 (20) = 0.33.

With four tests, now there are 44 = 256 rules, although only 24 = 16 of these rules are needed in

this example (listed in Table 3-2) since each trauma severity degree has a membership degree

different than zero for only two of the categories. Using this rule-base and min-max operators,

this patient was determined to belong to the “mild” and “moderate” fuzzy sets with membership

degrees from rules 1-2 and rules 3-16, respectively, of

μMi = max �min �μMi1 (X1),…,μNo

4 (X4)� , min �μMi1 (X1),…,μMi

4 (X4)��

= max{min(0.5, 0.76, 0.48, 0.80), min(0.5, 0.76, 0.48, 0.33)} = 0.48

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Chapter 3 - Multi-State Categorical Diagnostic Models

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and

μMo = max �min �μMi1 (X1),…,μNo

4 (X4)� , min �μMo1 (X1),…,μMi

4 (X4)��

= max{min(0.5, 0.76, 0.65, 0.80), min(0.75, 0.30, 0.65, 0.33)} = 0.65.

Table 3-2 Rule-base for N = 4 screening test example

Rule Output of scr. test 1

Output of scr. test 2

Output of scr. test 3

Output of scr. test 4

Output of inference

1 Mild Moderate Moderate Normal Mild 2 Mild Moderate Moderate Mild Mild 3 Mild Moderate Severe Normal Moderate 4 Mild Moderate Severe Mild Moderate 5 Mild Severe Moderate Normal Moderate 6 Mild Severe Moderate Mild Moderate 7 Mild Severe Severe Normal Moderate 8 Mild Severe Severe Mild Moderate 9 Moderate Moderate Moderate Normal Moderate 10 Moderate Moderate Moderate Mild Moderate 11 Moderate Moderate Severe Normal Moderate 12 Moderate Moderate Severe Mild Moderate 13 Moderate Severe Moderate Normal Moderate 14 Moderate Severe Moderate Mild Moderate 15 Moderate Severe Severe Normal Moderate 16 Moderate Severe Severe Mild Moderate

Next, these fuzzy values were converted into a crisp value using any of the defuzzification

methods mentioned above. The present study compared the results of four methods – COG,

MOM, SOM, and LOM. Using the COG (see Eq. (3-2)) and MOM methods, the final trauma

severity degrees were calculated to be 44.75 (shown below) and 50.88, respectively, both of

which indicate a final diagnosis of “moderate trauma” using the expert-based scale from Guler et

al. (2008). Using the SOM and LOM methods, however, the final trauma severity degrees were

43.00 and 58.75, respectively, corresponding to “moderate” and “severe” trauma on this scale.

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Chapter 3 - Multi-State Categorical Diagnostic Models

71

QfinalCOG =

∫ � x15−1�xdx22.2

15 +∫ 0.48xdx39.622.2 +∫ � x

20−32�xdx43

39.6 +∫ 0.65xdx58.7543 +∫ �− x

25+3�xdx7558.75

∫ � x15−1�dx22.2

15 +∫ 0.48dx39.622.2 +∫ � x

20−32�dx43

39.6 +∫ 0.65xdx58.7543 +∫ �− x

25+3�dx7558.75

= 44.75.

Table 3-3 illustrates how the final diagnosis changes over time as the result of each screening test

is incorporated and as each defuzzification method is used. To automate this process, the

predicted health states for each patient can be determined using MATLAB’s fuzzy logic tool.

Table 3-3 Changes in diagnosis over time and according to defuzzification method

Time Screening test 1

Screening test 2

Screening test 3

Screening test 4

Final diagnosis COG MOM SOM LOM

t1 45 (not yet available) (not yet available) (not yet available) Moderate Moderate Moderate Severe t2 45 56 (not yet available) (not yet available) Severe Moderate Moderate Severe t3 45 56 63 (not yet available) Severe Moderate Moderate Severe t4 45 56 63 20 Moderate Moderate Moderate Severe

3.2.3 Model Accuracy

The predicted diagnoses for a large cohort of patients were compared to their ultimate known

states which were determined via expert consensus. Table 3-4 illustrates a portion of a

hypothetical dataset with 100 patients. Using the N = 4 case with four screening tests and

membership functions from the previous section, Figure 3-3 summarizes the correlation between

the actual and predicted TBI states. 77% of all results are correctly classified using all 4 tests,

with a correlation coefficient of R = 0.837047, indicating a fairly strong agreement.

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Table 3-4 Illustrative portion of evaluation dataset

Patient #

Actual health state

Result of scr. test 1 (X1)

Result of scr. test 2 (X2)

Result of scr. test 3 (X3)

Result of scr. test 4 (X4)

1 4 54 84 78 51 2 2 70 84 44 21 3 4 52 68 45 79 4 3 50 79 2 46 5 2 10 18 33 54 6 4 80 61 64 47 7 3 77 36 44 54 8 2 39 41 35 11 9 2 10 24 12 10 10 3 69 7 21 40 11 2 20 42 34 9 12 4 50 84 65 41 13 3 49 17 20 25 14 4 81 75 86 88 15 4 54 64 74 53 …

Four categories for the health state of a patient: 1, 2, 3, and 4, representing “Normal”, “Mild”, “Moderate”, and “Severe” states, respectively

Figure 3-3 Accuracy of fuzzy categorical model results over time (The larger the bubbles, the more accurate the estimations)

0

1

2

3

4

5

0 1 2 3 4 5

Pred

icte

d st

ate

Actual state

Time t1

R = 0.724168

0

1

2

3

4

5

0 1 2 3 4 5

Pred

icte

d st

ate

Actual state

Time t2

R = 0.766746

0

1

2

3

4

5

0 1 2 3 4 5

Pred

icte

d st

ate

Actual state

Time t3

R = 0.790136

0

1

2

3

4

5

0 1 2 3 4 5

Pred

icte

d st

ate

Actual state

Time t4

R = 0.837047

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Chapter 3 - Multi-State Categorical Diagnostic Models

73

3.3 Multinomial Logistic Regression Categorical Model

3.3.1 Methodology

Multinomial logistic regression (MLR) generalizes logistic regression to allow more than two

discrete outcomes (i.e., categories) for the dependent variable (Wang, 2005). Its performance has

been extensively discussed in the healthcare literature, including these by Haas-Wilson and

Savoca (1990), Hossain et al. (2002), Peng and Nichols (2003), Zhu et al. (2010), and

Upadhyaya et al. (2013).

MLR method builds a separate equation for each category and each equation provides a

predicted probability of being in the corresponding or any lower category (Sentas et al., 2005).

Here, it was used to categorize patients into the most probable state of severity by predicting

cumulative probabilities for each severity state. The prediction equations are of the general form

l�πj� = b0(j) + ∑ bi

(j)xiNi=1 , (3-3)

where πj is the cumulative probability for the jth category, the b0(j) and bi

(j) terms are the

regression coefficients for the jth category, xi is the ith predictor variable (test result), and N is

the number of tests. After estimating the model coefficients via maximum likelihood, the

cumulative probability for each category j is calculated by solving Eq. (3-3) for πj. Non-

cumulative probabilities are calculated via subtracting, i.e., pj = πj – πj–1, and the category with

maximum probability is selected as the final diagnosis (Norris et al., 2006; Sentas and Angelis,

2006; Asgary et al., 2007). As with any logistic regression, the model predicts a transformation

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Chapter 3 - Multi-State Categorical Diagnostic Models

74

l(πj) of the desired probabilities, rather than the probabilities themselves. The function l(.) is

called link function (Sentas et al., 2005), with the most commonly used link functions being

− a logit function, log� πj

1−πj�, used for evenly distributed categories,

− a complementary log-log function, log�−log�1− πj��, used when higher categories are more probable,

− a log-log function, −log �−log�πj��, used when lower categories are more probable, and

− a probit function, ϕ−1�πj� where ϕ is the Gaussian cumulative probability density, used when latent variable is normally distributed (Chan, 2005).

As shown in Figure 3-4, these link functions differ in their degree of agreement depending on the

value of π.

Figure 3-4 A graphical comparison of link functions

Since all categories are evenly distributed, i.e., none of the categories are more probable, here the

logit function was used as the link function,

logit

probit

comploglog

loglog

-6

-4

-2

0

2

4

6

0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1π

l (π)

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log� πj

1−πj� = b0

(j) + ∑ bi(j)xi

Ni=1 , (3-4)

where j = 1, 2, …, q–1. Thus the exact probabilities for each category are in the form of

pj =eb0

(j)+∑ bi(j)xi

ni=1

1 + eb0(j)+∑ bi

(j)xini=1

−eb0

(j−1)+∑ bi(j−1)xi

ni=1

1 + eb0(j−1)+∑ bi

(j−1)xini=1

, (3-5)

where j = 1, 2, …, q–1, and

pq = 1 −� pj

q−1

j=1

. (3-6)

3.3.2 Numerical Example

Again using the N = 4 screening tests case and the same dataset from the previous section, the

MLR coefficients were calculated via MINITAB to produce

log� π11−π1

� = 1.117 − 0.062Q1 − 0.036Q2 − 0.046Q3 − 0.035Q4,

log� π21−π2

� = 5.757 − 0.062Q1 − 0.036Q2 − 0.046Q3 − 0.035Q4,

and

log� π31−π3

� = 9.791 − 0.062Q1 − 0.036Q2 − 0.046Q3 − 0.035Q4.

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By solving these equations, the cumulative probabilities were calculated and then with

subtraction, the probabilities p1, p2, p3, and p4 were obtained. By example, for the same patient in

Section 3.2.2 the probability of the category 1 (Normal) was calculated as

p1 = π1 =e1.117−0.062(45)−0.036(56)−0.046(63)−0.035(20)

1 + e1.117−0.062(45)−0.036(56)−0.046(63)−0.035(20) = 0.0006.

Similarly, the probabilities of the category 2, 3, and 4 were calculated to be p2 = π2 – π1 = 0.0636,

p3 = π3 – π2 = 0.7307, and p4 = 1 – ∑ pj3j=1 = 0.2050, respectively. Since the probability of

category 3 is the greatest, this patient was given a final diagnosis of “Moderate” (i.e., category

3).

3.3.3 Model Accuracy

Using the same evaluation data set as in Section 3.2.3, Table 3-5 summarizes the category

probabilities for the first 15 patients. Figure 3-5 compares the actual and predicted states over

time, with 73% of patients being correctly classified after all four tests and a correlation

coefficient of R = 0.799164 nearly as strong as the fuzzy categorical model.

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77

Table 3-5 Category probabilities for MLR approach

Patient #

Prob. of category 1 (p1)

Prob. of category 2 (p2)

Prob. of category 3 (p3)

Prob. of category 4 (p4)

Final classification

1 0.000023 0.002383 0.117400 0.880194 4 2 0.000118 0.011911 0.395217 0.592755 4 3 0.000081 0.008261 0.313562 0.678095 4 4 0.001416 0.126670 0.764269 0.107645 3 5 0.027531 0.718158 0.248304 0.006007 2 6 0.000023 0.002385 0.117503 0.880089 4 7 0.000137 0.013859 0.430769 0.555234 4 8 0.008200 0.453112 0.518414 0.020274 3 9 0.217870 0.748631 0.032886 0.000614 2

10 0.003030 0.236395 0.707282 0.053293 3 11 0.028387 0.723232 0.242559 0.005822 2 12 0.000077 0.007847 0.302782 0.689293 4 13 0.012815 0.560656 0.413521 0.013009 2 14 0.000001 0.000117 0.006517 0.993365 4 15 0.000054 0.005503 0.234165 0.760278 4

Four categories for the health state of a patient: 1, 2, 3, and 4, representing “Normal”, “Mild”, “Moderate”, and “Severe” states, respectively

Figure 3-5 Accuracy of MLR categorical model results over time (The larger the bubbles, the more accurate the estimations)

0

1

2

3

4

5

0 1 2 3 4 5

Pred

icte

d st

ate

Actual state

Time t1

R = 0.724168

0

1

2

3

4

5

0 1 2 3 4 5

Pred

icte

d st

ate

Actual state

Time t2

R = 0.766357

0

1

2

3

4

5

0 1 2 3 4 5

Pred

icte

d st

ate

Actual state

Time t3

R = 0.737442

0

1

2

3

4

5

0 1 2 3 4 5

Pred

icte

d st

ate

Actual state

Time t4

R = 0.799164

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3.4 Artificial Neural Network Model

3.4.1 Methodology

As a final approach, an artificial neural network (ANN) can be used to categorize patients into

their most probable state of severity. ANN is a non-linear mathematical model that mimics the

structure or functional aspects of biological neural networks. Its structure development is based

on information that flows through it during a learning phase (Guler et al., 2009). ANNs have

been successively used as decision support tools for the early detection, diagnosis, and prognosis

of a wide range of diseases (Vaughn et al., 2000; Mangiameli et al., 2004; Lisboa and Taktak,

2006), such as blunt trauma (Marble and Healy, 1999), breast cancer (West and West, 2000;

West et al., 2005), prostate cancer (Anagnostou et al., 2003; Remzi and Djavan, 2004; Cinar et

al., 2009), skin diseases (Chang and Chen, 2009), traumatic brain injury (Guler et al., 2009), and

liver disease (Lin and Chuang, 2010).

An ANN consists of an input layer, an output layer, and a number of hidden layers, with each

layer containing a predetermined number of artificial neurons (see Figure 3-6). Each neuron

receives an input from an upstream neuron and sends an output signal to a downstream neuron,

with connections between neurons optimally weighted by a learning algorithm to create a desired

final output.

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Figure 3-6 Generic structure of an ANN

The strength of the connection between an input k and a neuron j is noted by the value of its

weight wkj. To model the actual activity inside a neuron (see Figure 3-7), an adder sums up all

the inputs modified by their respective weights as a linear combination. An activation function

φ(.) then controls the amplitude of the neuron’s output, with an acceptable output range usually

being between 0 and 1 or –1 and 1. The activity of a neuron is written as

oj = φ�netj� = φ�∑ wkjxjnk=1 �, (3-7)

where oj is neuron j’s output, and netj is the summation of the weighted inputs received by

neuron j.

wih

Input Hidden Output

who

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Figure 3-7 Illustration of general input-output neuron activity

The common activation functions include two soft non-linearity activation functions,

− a sigmoid function, oj = 11+e−netj, and

− a hyperbolic tangent function, oj = tanh �netj2�;

along with two hard non-linearity activation functions,

− a signum function, oj = �1,

undefined,−1,

netj > θjnetj = θjnetj < θj

, and

− a step function, oj = �1,0,

undefined,

netj > θjnetj = θjnetj < θj

(Krose and Smagt, 1996).

Inputs Weights

Transfer function

Net input

Activation function

Threshold

Activation

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3.4.2 Numerical Example

A four-layered Multilayer Perceptron (MLP) with two hidden layers is one of the most widely

implemented neural network topologies and is a universal pattern classifier (Sut and Senocak,

2007). In this example, such an MLP which is trained with a back-propagation learning

algorithm was used to classify the patients into the most probable state of severity. Considering

the N = 4 screening tests case and the same data set, the input layer had four input nodes

identifying each test and the Tan-hAxon transfer function was used in the nodes of the hidden

and output layers of the ANN. The training data had 51 samples. After the network was

established via Neurosolutions, multiple trainings were conducted and the best one (with the

minimum mean square error (MSE)) was used. Thus, the same patient in Section 3.2.2 was given

a final diagnosis of “Moderate”.

Figure 3-8 ANN network established in Neurosolutions for N = 4 screening test example

3.4.3 Model Accuracy

Using the same evaluation data set as above, Figure 3-9 compares the actual and predicted states

over time with 81% of patients correctly classified after all 4 tests and a correlation coefficient of

R = 0.848659, which is slightly better than the fuzzy and MLR categorical models.

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82

Figure 3-9 Accuracy of ANN categorical model results over time (The larger the bubbles, the more accurate the estimations)

3.5 Model Comparison and Optimization

Table 3-6 and 3-7 summarize the results of all three approaches, indicating that each method

provides a fairly strong agreement with patients’ known health states.

Table 3-6 Changes in final diagnosis over time based on the method used

Time Screening test 1

Screening test 2

Screening test 3

Screening test 4

Final diagnosis FL OLR ANN

t1 45 N/A N/A N/A Moderate Moderate Moderate t2 45 56 N/A N/A Severe Moderate Severe t3 45 56 63 N/A Severe Severe Severe t4 45 56 63 20 Moderate Moderate Moderate

FL: Fuzzy logic, MLR: Multinomial logistic regression, ANN: Artificial neural networks

0

1

2

3

4

5

0 1 2 3 4 5

Pred

icte

d st

ate

Actual state

Time t1

R = 0.724168

0

1

2

3

4

5

0 1 2 3 4 5

Pred

icte

d st

ate

Actual state

Time t2

R = 0.799270

0

1

2

3

4

5

0 1 2 3 4 5

Pred

icte

d st

ate

Actual state

Time t3

R = 0.825036

0

1

2

3

4

5

0 1 2 3 4 5

Pred

icte

d st

ate

Actual state

Time t4

R = 0.848659

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Table 3-7 Overall comparison of model performances

Method Correct diagnosis % MSE Correlation

coefficient (R) FL 77 0.26 0.837047

MLR 73 0.30 0.799164 ANN 81 0.25 0.848659

FL: Fuzzy logic, MLR: Multinomial logistic regression, ANN: Artificial neural networks

In the fuzzy categorical model, intermediate and final diagnoses may be fairly dependent on all

4N membership function shapes and 16N parameters (a, b, c, d), N intermediate and final rule-

bases, and N defuzzification scales (all potentially decision variables). Thus, model performance

could be improved or optimized by searching out the values of some or all of the above decision

variables to optimize each of the above performance criteria and to minimize the number of

undetected or misdiagnosed cases. Several models could be developed to optimize membership

function values, rule-bases, and defuzzification scales – the optimal values of which might be

different for each intermediate and final number of screening tests (N). For example, an optimal

rule-base might be developed using a quadratic mathematical model that minimizes the square

errors, as shown in Eq.(3-8); even in this simple case the number of decision variables may be as

many as 4n.

Minimize z = ∑ �xkl − rj�2

�j|O1j=k,O2j=l� ∀ k, l

Subject to

xkl ≤ 4

xkl ≥ 1 and integer. (3-8)

The different solutions that are based on different criteria also can be weighted or traded-off

against one another using various multi-criteria or desirability approaches. Note that, depending

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on how exhaustive the model is, the number of decision variables may grow exponentially and

special heuristics may be necessary for finding optima.

3.6 Discussion

TBI is a major military, civilian, and public health concern and one of the leading causes of

disability and death in the U.S. Although improvements in protective equipment and battlefield

care have reduced the incidence of penetrating head injuries and death among military personnel,

there has been a significant increase in the incidence of closed-head TBI, which often occurs

without any visible symptoms and goes unrecognized and untreated indefinitely. Proper and

timely diagnosis is essential in effectively treating a TBI and preventing any medical, behavioral,

and social consequences that untreated patients may experience. Currently available methods to

assess the existence and severity of TBI may be insufficient, especially in detecting mild cases.

Additionally, the initial categorization of a TBI does not necessarily correspond to the ultimate

outcome as symptoms may get worse over time, eventually leading to severe dysfunction and

disability.

This study presents a comprehensive screening procedure, which combines different assessment

tools and consists of multiple screenings over time, in order to reduce the number of

unrecognized and misdiagnosed cases. Three types of mathematical methods – fuzzy logic,

multinomial logistic regression, and neural networks – were used to categorize TBI patients into

the one of four health states, namely, none, mild, moderate, or severe. A numerical example was

developed for illustration purposes and preliminary results for each method indicated a fairly

strong agreement with the patients’ known health states.

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Future work should be conducted to further develop the proposed modeling framework, which

includes identifying the appropriate screening tests and their characteristics, determining the

predicted diagnoses for patients whose actual health states are known, and finally evaluating the

overall or severity-specific performance. Additional research could be useful to better identify

the model parameters, such as fuzzy logic membership functions, final rule-bases, and

defuzzification scales. Also, overall or severity-specific performance of the proposed model

could be optimized by developing several optimization models, such as illustrated in Section 3.5.

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Network Optimization Models Chapter 4 -

Optimal location of specialty care services and allocation of patients to these services within any

healthcare network are increasingly important for balancing costs, access to care, and patient-

centeredness. Typical long-range planning efforts attempt to address a myriad of quantitative and

qualitative issues, including within-network access within reasonable travel distances, space

capacity constraints, costs, politics, and community commitments. To help inform these

decisions, this chapter presents several mathematical integer programs that minimize total

procedure, travel, non-coverage, and start-up costs to increase network capacity subject to access

constraints. These models were used across a range of specialty care services within the Veterans

Health Administration (VHA) to help decision makers explore relationships and tradeoffs

between costs, coverage, service location, and capacity and to inform larger strategic planning

discussions.

4.1 Background

Over a decade ago, the Institute of Medicine (IOM) released two landmark reports outlining

significant deficiencies in the quality and safety of medical care provided in the United States. To

Err is Human (1999) documented the nearly 100,000 lives lost each year due to systematic

problems in the design and execution of healthcare delivery. Crossing the Quality Chasm (2001)

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provided a broad vision of how health care could be effectively transformed and improved, and

recommended the use of systems and industrial engineering techniques to assist with

understanding and optimizing healthcare processes. In response to this call, the National

Academy of Engineering (NAE) and the IOM initiated a study in 2002 to identify engineering

tools and technologies that could help the health system improve and deliver care that is safe,

effective, timely, patient-centered, efficient, and equitable – the six health system aims defined in

Crossing the Quality Chasm.

The result of this study was published as Building a Better Delivery System (National Academy

of Engineering and Institute of Medicine, 2005), which concluded that the U.S. healthcare

industry has neglected use of systems engineering methods and concepts that have revolutionized

quality, productivity, and performance in many other industries, and that this “collective

inattention” has contributed to serious consequences within health care – huge amounts of

preventable harm and deaths, outdated procedures, an approximately half-trillion dollars wasted

annually through inefficiency, costs rising at roughly three times the rate of inflation, and 43

million people uninsured. Today, health care is still an area of crucial concern in the United

States, spending substantially more than any other developed country in the Organization for

Economic Co-operation and Development (OECD). The use of healthcare services in the U.S.,

however, is below the OECD median by almost all measures, which means that Americans are

receiving fewer real resources than people in over 50% of OECD countries. These facts suggest

that the difference in spending is caused mostly by higher prices for the delivery of healthcare

goods and services in the U.S. (Anderson et al., 2003). Rising costs and inadequate levels of care

underscore the importance of making strategic decisions within this industry.

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The use of systems engineering models to help make decisions in many key areas, in fact, can be

very effective at helping design both cost-efficient and qualified healthcare services, especially

in cases involving complex and competing considerations. Network planning is one of several

areas that can be improved via systems engineering methods, with the optimal location of health

services across geographic care networks having significant potential to improve costs, patient-

centeredness, and care continuity (3 of the IOM dimensions).

Location-allocation models seek to simultaneously determine optimal facility locations and the

assignment of customers (here, patients) to facilities. These models have been applied widely in

many industries to reduce costs and increase access, with examples spanning retail,

telecommunication, energy, and manufacturing. In health care, poor location decisions also can

result in increased mortality and morbidity, with optimal facility location therefore having even

greater importance (Daskin and Dean, 2005). Historical healthcare applications have included

locating ambulances (Adenso-Díaz and Rodríguez, 1997; Sasaki et al., 2010) and hospitals in

rural regions (Mehrez et al., 1996), trauma care resources (Branas et al., 2000), organ transplant

services (Bruni et al., 2006), blood facilities (Jacobs et al., 1996), emergency medical service

vehicles (Eaton et al., 1985), hospital networks (Santibanez et al., 2009), and specialized care

services such as traumatic brain injury (TBI) treatment (Côté et al., 2007; Syam and Côté, 2010).

Models that account for transient populations who change their locations seasonally (Ndiaye and

Alfares, 2008) and continuously changing nature of health systems (Harper et al., 2005) also

have been developed for specific applications.

From a modeling perspective, location problems can be classified as discrete and continuous.

Discrete models assume a finite number of candidate locations exist at which facilities can be

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sited, whereas continuous models assume facilities can be located anywhere within a geographic

area. All models aim simultaneously to determine both the best locations for facilities and the

best assignment (“allocation”) of individuals to these facilities, where “best” usually is defined

by some combination of total travel distance, facility costs that include fixed locating and

variable operating costs, and demand coverage. The work in this chapter focuses on discrete

location models, which also have been used more extensively in healthcare location problems

(Daskin and Dean, 2005), because typically the VHA has been interested in considering specific

existing or candidate locations. Table 4-1 summarizes the three basic types of discrete facility

location models and the performance measures they seek to optimize.

Table 4-1 Representation of basic discrete facility location models

Model Description Assumptions Decision variables

Performance measures

Location set covering

model

Minimize total cost of providing

service

- Specify potential facility locations - Specify maximum acceptable distance (S) - Iterate on S

Location, number

Cost (dollars)

Maximal covering

location model

Maximize demand coverage

- Specify potential facility locations - Specify maximum acceptable distance (S) - Specify total number of facilities (P) - Iterate on S and P

Location, number

Demand coverage (percent)

P-median model

Minimize total weighted travel

distance

- Specify potential facility locations - Specify total number of facilities (P) - Iterate on P

Location Travel

distance (miles)

The key concept in covering models is the notion of coverage, with a maximum acceptable travel

distance specified such that a “demand node” (here, a patient’s 3-digit zip code home location)

can be served only by a facility within this distance. Covering models have been studied within

two major classes in the literature (Owen and Daskin, 1998). The first class is the location set

covering problem (LSCP), introduced by Toregas (1970), which aims to minimize the cost of

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facility location while ensuring that all demand nodes are covered. These models are useful for

cases in which all demand must be covered and one wishes to minimize the total cost to

accomplish this. The second class is the maximal covering location problem (MCLP), introduced

by Church and ReVelle (1974), which aims to maximize the level of coverage (i.e., the number

of covered demand nodes) using only a specified number of facilities and a maximum acceptable

travel distance. These models are useful in cases for which the cost of covering all demand nodes

is prohibitive. Finally, P-median models (ReVelle and Swain, 1970) seek to minimize the

average travel distance and are useful in cases for which a specific maximum acceptable distance

is less clear (Daskin and Dean, 2005). Many single and multiple objective extensions of these

three basic ideas have been developed over the past four decades to address particular problems

specific in manufacturing (Melachrinoudis and Min, 2000), distribution networks (Klose and

Drexl, 2005), web services (Aboolian et al., 2009), and other contexts. It also should be noted

that all of these types of models have continuous counterparts – for example planar LSCP and

MCLP (Church, 1984; Current and O'Kelly, 1992; Murray, 2001) and multi-source Weber

formulations (Cooper, 1963) – where facilities can be located anywhere in the plane.

4.2 Optimal Location and Use of In-Person and Video-Based PTSD Treatment Services

within the VHA

Given the vast medical and social costs of untreated or undertreated posttraumatic stress disorder

(PTSD), there is a critical need to improve access to evidence-based treatments (Murdoch et al.,

2005; Cohen et al., 2010; Ivanova et al., 2011). In the Veterans Affairs (VA), this need has

become of even greater importance with the development of effective treatments (Smith et al.,

2005; Davis et al., 2012; Schnurr and Lunney, 2012). However, access to these effective

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treatments, particularly for those residing in rural areas, is a practical issue. Innovative treatment

modalities, such as telehealth or video-based services, hold great promise to increase access to

these important mental health treatment services (Hailey et al., 2008; Wilson and Wells, 2009;

Mohr et al., 2010; Tutty et al., 2010), particularly in rural areas where access to in-person mental

health treatment is limited (Barnwell et al., 2012). Large integrated health systems such as VHA

can benefit from systems engineering tools to help plan the most appropriate ways to meet

mental health needs of patient populations. This study aims to apply longitudinal systems

engineering care location models to help determine the combined optimal geographic locations

and capacities for in-person care for veterans with PTSD across the New England VA network

and where instead video-based care would be advantageous over expensive within-system

capacity expansion or fee-based external care, if even feasible.

4.2.1 VA New England PTSD Treatment Services

The VA New England healthcare system is one of 21 Veterans Integrated Service Networks

(VISNs) within the Department of Veterans Affairs, with each VISN being regionally managed

and operating as a somewhat autonomous decision-making system. The VA New England VISN

(VISN 1) provides comprehensive medical services (including primary, mental health, specialty,

and hospital-based care) to more than 240,000 veterans residing in any of the six New England

states (Maine, New Hampshire, Vermont, Massachusetts, Rhode Island, and Connecticut)

annually. With an annual operating budget of approximately $2.2 billion, VISN 1 has 8 medical

centers (a total of 11 facilities as Connecticut and Boston healthcare system has 2 and 3

campuses, respectively), 40 community-based outpatient clinics, 5 outpatient clinics, 6 nursing

homes, and 2 domiciliaries – institutional houses for aged and disabled veterans (U.S.

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Department of Veterans Affairs, 2013). Nationwide, the VA spends more than $2.5 billion

annually to provide specialty care services, of which $125 million spent by VISN 1 (Veterans

Service Support Center, 2011a). While the VA has strived to develop integrated and coordinated

care, veterans who also are eligible for Medicare increasingly use non-VA specialty services,

resulting in increased fragmentation in care continuity (Liu et al., 2011). The fees for these out-

of-network services are reimbursed by the VA (“fee basis” visits) and can represent large

amounts of monies for some specialties. Better availability of specialty services within the VA

could decrease this fragmentation as well as result in lower overall costs.

Since the number of veterans diagnosed with PTSD is a function of access to care and may

under-represent true demand, overall PTSD prevalence among VA users rather than diagnostic

codes in VISN 1 was used to estimate the true need for PTSD care services. In November 2011,

the VA Office of Public Health reported that of the cumulative total of 741,954 Iraq and

Afghanistan veterans who utilized VA health services from October 2001 through September

2011, a total of 223,609 (30.14%) were diagnosed with PTSD (VA Office of Public Health,

2011a, 2011b). Given that the rate of PTSD diagnosis has been increasing over time (Rosenheck

and Fontana, 2007; Hermes et al., 2012; Shiner et al., 2012), a prevalence of 25% among

veterans who utilized VISN 1 VHA facilities from January 2009 through May 2010 was assumed

and true demand for PTSD care services over this time period was estimated based on this

prevalence. Figure 4-1 summarizes the estimated number of veterans with PTSD in VISN 1 by

state, with the majority residing in Massachusetts and Connecticut. Figure 4-2 depicts the

heterogeneous geographic distribution of veterans with PTSD in (a) raw counts and (b) per

square mile across VISN 1, with the locations of VA facilities.

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Figure 4-1 Estimated PTSD care demand by state across VISN 1 (January 2009 - May 2010)

Within the VA, veterans with PTSD are treated in specialized PTSD clinics, general mental

health clinics, or primary care clinics. Specialized PTSD clinics currently are located only at

some of the medical centers across New England. General mental health services are provided at

medical centers and large community-based outpatient clinics, while smaller community-based

outpatient clinics typically provide PTSD care either by referral to their affiliated medical center

or through the use of video-based telemental health services (Kussman, 2008). In VISN 1, six of

eight medical centers (Boston MA, Brocton MA, West Haven CT, Providence RI, Togus ME,

and White River Junction VT) have specialized PTSD care teams. Data between October 2009

and September 2010 shows that 35.15% of patients who received a primary diagnosis of PTSD

used specialized PTSD services across VISN 1, while more than half of those received care in

general mental health services (Veterans Service Support Center, 2011b), as presented in Figure

4-3.

11,521

8,992

5,738

3,956 3,721

2,540

0

2,000

4,000

6,000

8,000

10,000

12,000

MA CT ME NH RI VT

Dem

and

(num

ber o

f pat

ient

s)

State

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Figure 4-2 Geographic distribution of veterans with PTSD in (a) raw counts and (b) per square mile by 3-digit zip code and all VA facilities across VISN 1 (January 2009 - May 2010)

(a) (b)

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Figure 4-3 VA outpatient service use among patients with a primary PTSD diagnosis across VISN 1 (October 2009 - September 2010)

4.2.2 Methodology

4.2.2.1 Model Overview and Assumptions

The below model determines the optimal assignment of PTSD patients to the existing VISN 1

VHA facilities that minimizes overall total costs and calculates the total amount of mental health

manpower needed at each facility. A maximum acceptable travel distance (S) to a VA facility,

beyond which a patient is directed to an out-of-network provider at the VA’s expense, is

specified. Travel distances exceeding 30 miles are fully reimbursed by the VA at a current rate of

$0.70 per mile to cover gas, maintenance, vehicle depreciation, and inconvenience. Patients at

demand nodes (3-digit zip codes) assigned to an available VA facility within this acceptable

distance incur treatment and travel costs, while others are directed to an out-of-network provider

at a higher cost to the VA (i.e., non-coverage cost). Given that most private practice providers

lack knowledge of PTSD and other mental health disorders prevalent among veterans and that

they are unfamiliar with the VA’s treatment resources for such conditions (Boscarino et al.,

2010; Kizer, 2012), demand nodes that are sent to a non-VA provider are considered candidates

Mental health services, 56.35%

(11,606 patients) Specialized PTSD

services, 35.15%

(7,239 patients)

Other services,

8.51% (1,752 patients)

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for video-based services as a more effective alternative both in terms of quality and cost of care.

Other model assumptions include

(1) Each patient receives care at the facility to which he is assigned,

(2) Demand is deterministic, equally distributed over time, and with no seasonality effects,

(3) Care cost variations between patients, medical centers, and geographic regions are

negligible,

(4) PTSD treatment preferences among VA users are assumed to be a) 60% want evidence-

based psychotherapy only, b) 25% want medication only, and c) 15% want both (Watts et

al., 2012),

(5) Assumptions on evidence-based psychotherapy included: a) Conducted by

psychotherapists (with at minimum a master’s degree), b) consisted of one evaluation, 12

treatment sessions, and three phone calls, and c) a total of 13.75 clinical hours needed per

patient per year (i.e., one hour for evaluation, one hour for each treatment session, and 15

minutes for each phone call) (Kussman, 2008; U.S. Department of Veterans Affairs and

Department of Defense, 2010),

(6) Medication assumptions included: a) Prescribed by psychiatrists, b) consisted of one

evaluation session, six follow-up visits, and three phone calls, and c) a total of 4.75

clinical hours needed per patient per year (i.e., one hour for evaluation session, 30

minutes for each follow-up visit, and 15 minutes for each phone call),

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(7) Mental health providers located in specialized PTSD clinics only focus on patients with

PTSD, while those in general mental health and primary care clinics spend 75% of their

time addressing disorders other than PTSD.

4.2.2.2 Integer Programming Model

The following notation and input parameters are used in the mathematical model, with

i = index of geographic demand nodes,

j = index of facilities,

hiP = total number of patients who need psychotherapy at demand node i,

hiM = total number of patients who need medication at demand node i,

vP = total number of psychotherapy visits needed per year per patient,

vM = total number of medication visits needed per year per patient,

kP = total clinical hours needed for psychotherapy per year per patient,

kM = total clinical hours needed for medication per year per patient,

S = maximum acceptable travel distance,

tij = distance between demand node i and facility j,

C1P = total cost of psychotherapy per year per patient,

C1M = total cost of medication per year per patient,

C2 = travel cost per mile,

C3 = non-coverage cost per year per patient,

njP = total number of psychotherapists needed at facility j per year,

njM = total number of psychiatrists needed at facility j per year,

T = total working hours of a therapist/psychiatrist per year,

O = set of medical centers that have specialized PTSD clinics,

lj = rate of time that a therapist/psychiatrist spends for treating patients with PTSD in facility j, equal to 1 if j ∈ O, and 0.25 otherwise,

D = total demand (for both psychotherapy and medication) in the corresponding planning horizon, and

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dij = reimbursed travel distance, equal to tij if tij > 30, and 0 otherwise.

The decision variable is

Yij = 1 if patients in demand node i are treated at facility j, and 0 otherwise.

Using the above notation, an integer programming model can be written as

Minimize �∑ ∑ Yijji �hiP�C1

P + vPdijC2� + hiM�C1

M + vMdijC2���

+C3 �D− ∑ ∑ Yijji �hiP + hi

M��

Subject to

∑ Yijj ≤ 1 ∀ i (4-1)

∑ Yijj|tij>S ≤ 0 ∀ i (4-2)

njP = ∑ Yijhi

PkP �ljT��i ∀ j (4-3)

njM = ∑ Yijhi

MkM �ljT��i ∀ j (4-4)

Yij ∈ {0, 1} ∀ i, j (4-5)

The objective function minimizes the total of treatment, travel and non-coverage costs. In the

first term, treatment (i.e., psychotherapy and medication) and travel costs are calculated for the

patients who receive care within-network. The second term represents the non-coverage cost

calculated for the remaining patients that are not covered by any VA facility. Constraint (4-1)

assigns every demand node to at most one VA facility. Constraint (4-2) ensures that a demand

node can be assigned to a facility if and only if the travel distance is less than or equal to the

acceptable maximum. The total number of psychotherapists and psychiatrists needed in each

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facility is calculated by constraints (4-3) and (4-4). Constraint (4-5) defines the decision variable

Yij to be binary.

4.2.3 Application and Results

4.2.3.1 Application Details

The mathematical model was used to determine for each facility the optimal amount of each type

of PTSD care service to provide and for each PTSD patient whether service could be

economically provided within a specified travel distance to any existing PTSD treatment facility.

Assignments of care type to facilities were made regardless of current services at them, with

assignment of PTSD patients to sites used to determine which patients ideally should be seen

where. VA goals for maximum acceptable travel distances (currently 30 miles for PTSD care)

were used to determine these service locations, patient destinations, and if a particular patient

could receive within-network in-person care. Those that could not receive in-person care within

the VISN 1 network were considered candidates for video-based care rather than outside the VA

system in a manner so as to minimize total care and delivery costs. This analysis was also

repeated for other maximum travel distances in order to investigate how results might be

impacted by this somewhat arbitrary service threshold.

4.2.3.2 Results

Figure 4-4 shows the tradeoff between maximum acceptable driving distance, total minimal cost,

and access for the estimated 2010 PTSD care demand. Also shown is the current situation for

comparison, estimated based on the current patient allocations, which has an 11.08% ($10.9

million) higher cost and 56.26% lower access than even the optimized case with no telehealth

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service due to current sub-optimal patient-to-facility allocation. Utilizing telehealth services

where demand cannot be covered by the VA within 30 miles, rather than providing care at non-

VA facilities, would result in further savings of $4,001,664 (4.04%) given the same access

coverage, or alternately a roughly 50% reduction in maximum driving distance to 30 miles given

the same cost. Note that all demand can be covered by the VA if a maximum acceptable driving

distance of more than 60 miles is allowed. This, however, causes a 45% increase in average

driving distance per patient that exceeds the VA’s maximum travel distance policy.

Figure 4-4 Tradeoff between acceptable distance and (a) total annual cost, and (b) coverage percentage assuming estimated care demand in 2010

$80

$90

$100

$110

$120

$130

$140

10 20 30 40 50 60 70 80 90 100

Annu

al co

st (i

n m

illio

ns)

Maximum acceptable travel distance (S) (miles)

(a) Total annual cost

Current cost

No telehealth

With telehealth

20%

30%

40%

50%

60%

70%

80%

90%

100%

10 20 30 40 50 60 70 80 90 100

Cove

rage

per

cent

age

Maximum acceptable travel distance (S) (miles)

(b) Coverage percentage

Current

No telehealth

With telehealth

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Table 4-2 summarizes the resulting optimal locations of in-person PTSD services and the

number of psychotherapist and psychiatrist FTEs required at each site to provide this care. As

shown, rural pockets of Maine, Vermont, and New Hampshire would be better served with

video-based mental health services since demand in these areas cannot be covered by any of the

VA facilities. In Massachusetts, Connecticut, and Rhode Island, there is sufficient need and

access for in-person PTSD services, with the possible exception of the medical center located in

Jamaica Plain, MA which might be treated in the next closest location instead since only an

estimated 17 patients here will need care during the year.

Figure 4-5 illustrates how optimal within-network and video-based care locations change if some

other maximum travel distances were allowed. Finally, Figure 4-6 summarizes future projected

needs for PTSD treatment by therapists and psychiatrists, along with the estimated number of

veterans needing PTSD care. Future PTSD care demand was estimated via the VA’s veteran

population projections (www.va.gov/VETDATA/Demographics/Demographics.asp) and

geographically distributed among all 59 VISN 1 zip codes based on current relative proportions.

As expected, the number of providers required decreases over the next 10 years as a result of

shrinking veteran population projections, while zip codes that would be better served with video-

based services remain the same.

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Table 4-2 Optimal allocation of patient zip codes to VISN 1 facilities for a 30-mile maximum acceptable distance assuming estimated care demand in 2010

VISN 1 VA facilities Type of care provided

Patient 3-digit zip codes

Total number of patients assigned

Total number of psychotherapists needed (FTEs)

Total number of psychiatrists

needed (FTEs)

Brocton, MA PCT 023, 027 1687 16.12 2.61

Jamaica Plain, MA PCT 022 17 0.16 0.03

West Roxbury, MA MHS 020, 024 801 30.61 4.95

Newington, CT MHS 060, 061, 064 4570 174.71 28.24

West Haven, CT PCT 065, 066 1336 12.76 2.06

Manchester, NH MHS 030, 031 1257 48.04 7.76

Providence, RI PCT 028, 029 3722 35.57 5.75

Togus, ME PCT 043 598 5.71 0.92

White River Junction, VT PCT 037, 050 711 6.79 1.10

Fitchburg, MA MHS 014 471 17.99 2.91

Gloucester, MA Rf/TH 019 832 31.80 5.14

Dorchester, MA Rf/TH 021 1769 67.62 10.93

Framingham, MA MHS 017 353 13.47 2.18

Lowell CBOC, MA MHS 018 1157 44.22 7.15

Worcester, MA MHS 015, 016 1085 41.47 6.70

New London, CT MHS 063 973 37.19 6.01

Stamford, CT MHS 068, 069 737 28.17 4.55

Waterbury, CT MHS 067 948 36.24 5.86

Windham, CT MHS 062 430 16.42 2.65

Somersworth CBOC, NH MHS 038, 039 1037 39.65 6.41

Tilton CBOC, NH MHS 032, 033 737 28.17 4.55

Greenfield, MA MHS 013 275 10.51 1.70

Pittsfield, MA Rf/TH 012 181 6.91 1.12

Springfield, MA MHS 010, 011 1974 75.44 12.19

Hyannis, MA MHS 026 657 25.09 4.05

Martha’s Vineyard, MA Rf/TH 025 267 10.19 1.65

Bangor CBOC, ME MHS 044 822 31.43 5.08

Portland CBOC, ME Rf/TH 040, 041 1052 40.22 6.50

Rumford CBOC, ME MHS 042 963 36.80 5.95

Bennington CBOC, VT MHS 052 176 6.73 1.09

Brattleboro CBOC, VT Rf/TH 053 137 5.24 0.85

Colchester CBOC, VT MHS 054 771 29.47 4.76

Newport CBOC, VT Rf/TH 058 320 12.22 1.98

Rutland CBOC, VT Rf/TH 057 321 12.25 1.98

Non-covered (candidates for video services) 034, 035, 036 (NH); 045, 046, 047, 048, 049 (ME); 051, 056, 059 (VT)

PCT: Specialized PTSD care teams, MHS: General mental health services, Rf/TH: By referral or telemental health

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Figure 4-5 Optimal areas for video-based services for a (a) 15-mile, (b) 30-mile, (c) 45-mile, and (d) 60-mile maximum acceptable distance assuming estimated care demand in 2010

(a) (b)

(c) (d)

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Figure 4-6 Estimates of future PTSD care needs over the next 10 years (2010 - 2020)

4.2.4 Discussion

This study highlights the need for appropriate allocation of PTSD services for veterans. Results

may be useful as a planning tool for PTSD resource allocation within the U.S. Department of

Veteran Affairs. Access to care is a particular concern for veterans who are unable to readily

access PTSD treatment, such as those living in rural environments. In such cases, new treatment

modalities such as telehealth (i.e., via video conference) can be considered. Such treatment

actually may be preferred by some veterans given that it increases convenience and reduces

privacy concerns.

For the VA population, most clinic sites have sufficient volume to justify in-person staff for face-

to-face PTSD treatment. There are a small number of community-based clinics, however, whose

estimated demand is insufficient to justify in-person staff. For these sites, this analysis suggests

that PTSD treatment needs would be better met by video-based services. In general, these sites

were in rural or highly rural regions of New England, primarily in central Vermont, southwestern

1,035 1,004 972 942 912 884 857 830 805 781 757

167 162 157 152 147 143 138 134 130 126 122

0

5,000

10,000

15,000

20,000

25,000

30,000

35,000

0

200

400

600

800

1,000

1,200

1,400

2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020

Num

ber o

f pat

ient

s

Num

ber o

f pro

vide

rs (F

TEs)

nee

ded

Year

Number of therapistsNumber of psychiatrists

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New Hampshire, and much of northern Maine. All other areas have sufficient need to support in-

person services, assuming availability.

Study limitations include logic, data, and preference assumptions in the mathematical model. For

example, it is assumed that providers trained in treating PTSD are available or could be relocated

to each clinic site, which may not be possible immediately, although in such cases additional or

temporary reliance on telemental health services may be possible. Assumptions regarding patient

treatment preferences also were based on a pilot sample (Watts et al., 2012) and were assumed to

be equally distributed across the patient population. Rural patients instead, for example, may

have higher preference for medication treatment. It also is not clear that all VA users have a

preference for or an understanding of evidence-based psychotherapy. While the VA follows

guidelines that promote evidence-based treatment (Kussman, 2008; U.S. Department of Veterans

Affairs and Department of Defense, 2010; Cloitre et al., 2012), furthermore, the definition of

evidence-based psychotherapy is not universal and instead could be defined as any of those listed

in the National Registry of Evidence-based Programs and Practices (Miller et al., 2006;

Sorensen, 2011). In addition to psychiatrists, medications also can be prescribed by nurse

practitioners, physician assistants, or primary care physicians and therefore the estimate for

medications prescribed may be conservative. The recent RESPECT-PTSD trial (Schnurr et al.,

2013) also showed the difficulty of implementing evidence-based care for PTSD by primary care

providers. Finally, results have based only on the New England VA network, although the

general value of this approach seems generalizable to all VISNs.

Additional research could examine if tele treatment modalities affect treatment retention among

veterans or the active duty population. More generally, use of operations research and systems

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engineering methods appears useful to help inform these types of macro system design and

policy issues. Similar analysis for the location of other evidence-based mental health services

therefore also may be beneficial.

4.3 Single and Multi-Period Location-Allocation Models for Sleep Apnea Testing Services

within the VHA

Along with the care services for combat-related conditions such as TBI and PTSD, VA also is

responsible for providing comprehensive medical services to the veterans with other chronic

health problems. There has been, for instance, an increased demand for sleep apnea testing and

treatment services among Vietnam veterans in their 50s and 60s given the high prevalence of

sleep disorders in this age group (Ancoli-Isreal et al., 1991; Young et al., 1993; Punjabi et al.,

2000; Rosenheck and Fontana, 2007). In the New England VA network (VISN 1), it is reported

that there is insufficient access to sleep apnea testing services, causing a significant increase in

the number of “fee basis” visits and thus cost. This study aims to illustrate the use of

mathematical optimization models to help improve the geographic locations and capacities of

sleep apnea testing services across the New England VA network in a manner so as to provide

appropriate access at minimal cost considering patient needs and preferences.

4.3.1 VA New England Sleep Apnea Services

Sleep apnea is a disorder characterized by abnormal pauses in breathing or instances of

abnormally low breathing during sleep and has been linked with high blood pressure, heart

problems, stroke, fatigue, headaches, snoring, daytime drowsiness, and memory problems

(Ancoli-Isreal and Avalon, 2006; Erman, 2006). These health problems occur at a much higher

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rate among veterans than in the general population due to long-term exposure to dust, smoke,

chemicals, and other environments (U.S. Department of Health and Human Services, 2012). Up

to 20% of all U.S. veterans currently suffer from sleep apnea, with an annual treatment cost of

$225 million to the VA (Veterans Service Support Center, 2011a).

Figure 4-7 summarizes the number of treated sleep apnea patients in VISN 1 by state, with the

majority residing in Connecticut and Massachusetts as expected given greater overall

populations. Since observed utilization is a function of capacity and may under- or over-

represent true demand, also shown is an estimate of the greater true need over this time period,

based on clinical input and patient-specific predictors, such as their body mass index (since it is

well-known that the risk for sleep apnea is higher for people who are overweight (U.S.

Department of Health and Human Services, 2012)). Figure 4-8 shows estimated demand by 3-

digit zip code relative to VA facilities across VISN 1.

Figure 4-7 Sleep apnea care demand by state across VISN 1 (January 2009 - May 2010)

1,774

1,326

566 455 455

136

2,502

3,178

1,120 1,023

1,640

723

0

400

800

1,200

1,600

2,000

2,400

2,800

3,200

CT MA NH RI ME VT

Dem

and

(num

ber o

f vis

its)

State

Observed utilizationEstimated true need

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Figure 4-8 Estimated sleep apnea care demand by 3-digit zip code and all VA facilities across VISN 1 (January 2009 - May 2010)

A definitive diagnosis of sleep apnea is made through use of overnight polysomnographic testing

that involves having a patient sleep in a polysomnogram bed (referred to as a “sleep bed”) with

continuous monitoring of their blood oxygen levels, electroencephalogram, and vital signs. A

general belief has been that inadequate access to overnight polysomnographic testing in VISN 1

is causing a large number of veterans to be referred to out-of-network providers. The fees for

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these out-of-network services are reimbursed by the VA (“fee basis” visits) and can represent

large amounts of monies for some specialties. In the sleep apnea case, data between January

2009 and May 2010 shows that of 4712 tested patients from VISN 1, 3927 were tested in one of

the VA facilities at a total operation and travel cost of $2,431,762, with 785 tested outside the

network at a total cost of $667,250 or 9% of the overall cost.

Currently, only four of eight VA medical centers in VISN 1 (i.e., West Haven CT; West Roxbury

MA; Manchester NH; and Providence RI) have sleep laboratories that provide polysomnographic

testing. Closing these laboratories or decreasing their capacities is not feasible within the VA

given policy and other considerations. Table 4-3 summarizes the number of sleep beds and visits

at each facility.

Table 4-3 Number of sleep beds, within-network and outside-network sleep apnea patients in VISN 1 (January 2009 - May 2010)

Facilities Current number of sleep beds

Number of within-network visits

Number of outside-network visits

West Haven, CT 4 1,738 255 West Roxbury, MA 6 1,119 - Manchester, NH 4 476 - Providence, RI 2 434 - Togus, ME* - 97* 286 White River Junction (WRJ), VT - - 204 Total 16 3,767 745

*In 2009, there were two sleep beds in Togus.

The West Haven medical center generated outside-network fee visits over this time period, even

though it has sleep beds, due to demand at times exceeding capacity as shown in Figure 4-9.

However, a relatively large number of fee type visits occurred in months in which utilization

(measured as the percent of capacity usage) was low. Fee type utilization associated with other

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facilities with sleep beds suggests regional demand does not exceed regional capacities, as shown

in Figure 4-10. Due to the fact that patient records are based on billing rather than visit dates,

utilizations in some months are over 100%, which may not reflect actual utilization levels. Those

observations underscore data inaccuracies and idiosyncrasies, the need for sensitivity analyses,

and the value of working in an integrated analyst-clinician research team.

Figure 4-9 Fee visits for West Haven, (a) number of fee visits versus monthly utilization, (b) weekly fee visits versus in-house visits (months with relatively low utilization (< 50%) and high fee visits are circled)

6

12

22

16

12 13 13 13 16

32

12 10

13

9

20

16

20

0%

20%

40%

60%

80%

100%

120%

140%

160%

0

4

8

12

16

20

24

28

32

Util

izat

ion

Num

ber o

f fee

-typ

e vi

sits

Month

(a)

Number of fee-type visitsUtilization

59

24 24

13 18

34 31

26 22 24 23 21 20

63

39

31 36

25 23

50 45

5 3 2 2 2 2 3 2 3 4 3 5 6 5 6 3 2

8 4 4 3

0

10

20

30

40

50

60

70

Num

ber o

f vis

its

Week

(b)

House-type Fee-type

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Figure 4-10 Utilization of sleep apnea capacity by medical center over time (utilizations over 100% are circled)

Figure 4-11 summarizes the distances patients travelled to receive within-network care over the

same time period, with a mean of 44.5 miles but a high variability ranging from 2 to 420 miles.

Approximately 70% of patients travelled more than 30 miles and 25% more than 60 miles,

typical acceptable distance thresholds. Roughly 5% of patients traveled more than 100 miles. As

mentioned earlier, travel distances exceeding 30 miles are fully reimbursed by the VA at a

current rate of $0.70 per mile.

Figure 4-11 Travel distance distribution, VISN 1 (January 2009 - May 2010)

0%

20%

40%

60%

80%

100%

120%

140%

160%

With

in-n

etw

ork

capa

city

util

izat

ion

Month

West HavenWest RoxburyManchesterProvidenceTogus

100%

31.58%

44.80%

17.74%

3.44% 2.44%

0%

10%

20%

30%

40%

50%

0-30 31-60 61-90 91-120 >120

Perc

ent o

f pat

ient

s

Travel distance (miles)

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4.3.2 Methodology

4.3.2.1 Model Overview and Assumptions

The below models determine the optimal sleep bed capacity in each existing VISN 1 VHA

facility that minimizes overall total costs over a single or multiple periods, relative to geographic

demand. The single-period model is useful for short term planning or for cases in which future

demand is unlikely to change, whereas the multi-period model is important in cases for which

demand or patient volume may significantly change over time, as can be the case with veteran

populations.

Similar to the above model developed for the case of PTSD treatment services, a maximum

acceptable travel distance (S) to a VA facility is specified, beyond which a patient is directed to

an out-of-network provider at the VA’s expense. Patients at demand nodes (3-digit zip codes)

assigned to an available VA facility within this acceptable distance are referred to as in-house

type visits and incur procedure costs as well as travel costs, as described above. Other model

assumptions include

(1) Each patient receives his care at the facility to which he is assigned and spends one night

there,

(2) Annual capacity of a sleep bed is equal to the number of working days in a year,

(3) Facilities that currently provide this care continue to do so and capacity down-sizing is

not allowed,

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(4) Procedure costs include overhead and labor costs independent from a patient’s health

state,

(5) Demand is deterministic, equally distributed over time, and with no seasonality effects,

and

(6) Care cost variations between medical centers and geographic regions are negligible.

The first four assumptions reflect the current circumstances of the VA sleep apnea testing

services. The fifth and sixth assumptions also are realistic since seasonality is not indicated in the

literature as a major factor in sleep apnea cases and there is not a significant cost variation

between VISN 1 facilities all of which operate under the same local administration. These two

assumptions, in fact, decrease the complexity of the model.

The multi-period model considers an n-year planning horizon, with a user-specified maximum

number of facilities P that can be added each year (assumed the same for each period). An

underutilization cost is included in the multi-period model since expansion decisions may

produce over capacity in some following years. Facilities in which service is added or expanded

also are assumed to continue to operate at this capacity level over the remainder of the planning

horizon.

4.3.2.2 Single-Period Model

The following notation and input parameters are used in the single-period model, with

i = index of geographic demand nodes,

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j = index of facilities, hi = total number of sleep apnea patients at demand node i, P = maximum number of additional facilities to be located,

S = maximum acceptable travel distance,

C1 = in-house procedure cost per patient,

C2 = travel cost per mile,

C3 = non-coverage cost per patient,

C4 = cost of adding a sleep bed,

Kj = maximum capacity of facility j, tij = distance between demand node i and facility j, fj = initial number of beds in facility j, T = total number of days in the given period,

O = set of facilities that provide service currently,

D = total demand in the corresponding planning horizon, and

dij = reimbursed travel distance, equal to tij if tij > 30, and 0 otherwise.

The decision variables are

Xj = 1 if facility j provides sleep apnea service and 0 otherwise,

Yij = 1 if patients in demand node i are treated at facility j and 0 otherwise, and

aj = number of additional sleep beds to add in facility j.

Using the above notation, an integer programming mathematical model can be written as

Minimize �∑ ∑ Yijhiji �C1 + dijC2��+ C3�D− ∑ ∑ Yijhiji � + C4 ∑ ajj

Subject to

∑ Xjj∉O ≤ P (4-6)

∑ Yijj ≤ 1 ∀ i (4-7)

Yij − Xj ≤ 0 ∀ i, j (4-8)

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∑ Yijj|tij>S ≤ 0 ∀ i (4-9)

∑ Yijhii ≤ T �fj + aj� ∀ j (4-10)

∑ Yijhii ≤ Kj ∀ j (4-11)

Xj = 1 ∀ j ∈ O (4-12)

Xj ∈ {0, 1} ∀ j ∉ O (4-13)

Yij ∈ {0, 1} ∀ i, j (4-14)

aj integer ∀ j (4-15)

The objective function minimizes the total of in-house, fee, and set-up cost for additional beds.

In the first term of the objective function, treatment and travel costs are calculated for the

patients who receive in-house type service. The second term represents the fee type service cost

calculated for the remaining patients that are not covered by any VA facility. The weighted sum

of non-covered demand nodes is multiplied by the fixed external visit cost to calculate the total

cost of fee type visits. It should be noted that the term “C3D” in the fee type cost equation could

be excluded from the objective function since it is constant and non-optimizable, but is included

here for completeness. Finally, the last term multiplies the total number of additional sleep beds

in all facilities by a fixed bed set-up cost. Constraint (4-6) requires that service is added to at

most P additional facilities, while constraint (4-7) assigns every demand node to at most one VA

facility (those unassigned receive their care outside the network). Constraints (4-8) and (4-9)

ensure that a demand node can be assigned to a facility if and only if this facility provides this

type of care service and the travel distance is less than or equal to the acceptable maximum,

respectively. The number of additional beds at each facility is determined by constraint (4-10).

Constraint (4-11) ensures that the maximum capacity of each facility is not exceeded. Constraint

(4-12) ensures that all facilities currently providing service remain open. Constraints (4-13)

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through (4-15) define the location (Xj), allocation (Yij), and capacity expansion (aj) decision

variables to be binary or non-negative integers.

4.3.2.3 Multi-Period Model

The multi-period model expands the above to include the additional notation and parameters,

with most inputs and decision variables now having a time period index

t = index of period,

hit = total number of patients at demand node i during period t,

C5 = unused sleep bed cost per day, and

Dt = total demand during period t,

with the decision variables now being

Xjt = 1 if facility j provides sleep apnea service during period t, and 0 otherwise,

Yijt = 1 if demand node i is covered by facility j during period t, and 0 otherwise,

ajt = number of additional sleep beds in facility j during period t, and

bjt = number of total sleep beds in facility j at the beginning of period t (an auxiliary decision variable).

The mathematical model then extends to

Minimize �∑ ∑ ∑ Yijthi

tjit �C1 + dijC2��+ C3 ∑ (Dt –∑ ∑ Yij

thit

ji )t +C4 ∑ ∑ ajjt + C5 ∑ ∑ �T�bj

t + ajt� − ∑ Yij

thit

i �jt

Subject to

∑ Xjt

j∉O ≤ P ∀ i (4-16)

Xjt ≥ Xj

t−1 ∀ j, t ∈ {2, 3, 4, 5, 6} (4-17)

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bj1 = fj ∀ j (4-18)

bjt = bj

t−1 + ajt−1 ∀ j, t ∈ {2, 3, 4, 5, 6} (4-19)

∑ Yijthi

ti ≤ T�bj

t + ajt� ∀ j, t (4-20)

∑ Yijt

j ≤ 1 ∀ i, t (4-21)

Yijt − Xj

t ≤ 0 ∀ i, j, t (4-22)

∑ Yijt

j|tij>S ≤ 0 ∀ i, t (4-23)

∑ Yijthi

ti ≤ Kj ∀ j, t (4-24)

Xjt = 1 ∀ j ∈ O, t (4-25)

Xjt ∈ {0, 1} ∀ j ∉ O, t (4-26)

Yijt ∈ {0, 1} ∀ i, j, t (4-27)

ajt integer ∀ j, t (4-28)

The objective function now includes a fourth term that represents the total underutilization cost,

where the number of empty beds at each facility is the difference between its total capacity and

total allocated patients. Constraint (4-16) ensures that at most P number of sleep laboratories can

be located in each period. Closing a service over the remaining planning horizon per VISN 1

policy is prevented by constraint (4-17), although this could be considered in future models.

Constraints (4-18) and (4-19) calculate the number of beds in each facility at the beginning of

each period, and constraint (4-20) determines the number of needed beds in each facility at each

period. Constraints (4-21)-(4-28) function much as their counterparts in the single-period model

(constraints (4-7)-(4-9) and (4-11)-(4-15)).

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4.3.3 Application and Results

4.3.3.1 Application Details

The above models were solved using both the observed and predicted geographic demand

patterns described earlier. Future demand for the next five years was estimated via the VA’s

veteran population projections, summarized in Figure 4-12, with significant estimated decreases

over the next 20 years due to aging veteran populations and smaller modern military sizes. The

implication of these trends is that in the short term it may be optimal to source a large percent of

care outside the network so as to not overbuild long-term excess capacity. These future annual

demand estimates were geographically distributed across the 59 zip code demand nodes based on

the current relative proportions.

Figure 4-12 Total projected sleep apnea demand by year for entire VISN 1 (New England)

Based on discussions with VISN 1 leadership, for both types of models three sets of facilities

were considered for expansion:

10,187

9,878

9,574

9,277

8,991

8,714

7,500

8,000

8,500

9,000

9,500

10,000

10,500

2010 2011 2012 2013 2014 2015

Tota

l est

imat

ed d

eman

d (n

umbe

r of p

atie

nts)

Year

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− Case 1: All seven existing VA medical centers in New England,

− Case 2: All seven existing VA medical centers and the five largest outpatient clinics (Burlington VT, Springfield MA, Worcester MA, Portland ME, Bangor ME),

− Case 3: All seven existing VA medical centers and all 45 outpatient clinics across New England, regardless of size.

Cost parameters provided by VISN 1 are summarized in Table 4-4.

Table 4-4 Cost parameters used in mathematical models

Notation Explanation Cost ($)

C1 In-house procedure cost per patient $ 588 C2 Travel cost per mile $ 0.70 C3 Non-coverage cost per patient $ 850 C4 Cost of adding a sleep bed (capacity expansion) $ 21,000 C5 Unused sleep bed (underutilization) cost per day $ 385

The mathematical models were solved using the LINGO 11 software on a Dell desktop computer

with 3 GB of RAM running a 1.8 GHz Intel Core 2 Duo processor. Both models were run for

almost 100 scenarios in order to examine different coverage distance policies (S), numbers of

allowable additional facilities (P), and candidate locations. With larger coverage distances or

candidate locations, the feasible region and thus run times significantly increase (up to 44

minutes), as illustrated in Table 4-5 for the multi-period model.

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Chapter 4 - Network Optimization Models

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Table 4-5 Multi-period model solution times based on different scenarios for case 1, 2, and 3

Case Acceptable travel distance (S) (miles)

Solution times (in seconds) P = 1 P = 2 P = 3

1 (7 candidate locations)

20 <1 <1 <1 30 <1 1 <1 40 1 2 3 50 2 10 11 60 12 16 16

2 (12 candidate

locations)

20 1 <1 1 30 3 1 2 40 3 2 3 50 2 2 3 60 34 154 45

3 (52 candidate

locations)

20 2 1 1 30 6 5 9 40 10 13 42 50 9 14 29 60 71 298 312

4.3.3.2 Single-Period Results

For the single-period model, Figure 4-13 summarizes the optimized tradeoff between maximum

acceptable driving distance, total minimal cost, and access assuming current observed demands

and that sleep apnea care can be added at zero through five additional facilities. Also shown is

the current situation for comparison, which has a 2.3% higher cost and 4.5% lower access than

even the “zero” case with no added capacity nor facilities, due to sub-optimal patient-to-facility

allocation. Increasing the number of new facilities to three (P = 3) would result in a savings of

$145,188 (4.7%) given the same access coverage, a roughly 50% reduction in maximum driving

distance to 50 miles given the same cost, or any pairwise cost-distance point on the shown curve.

After three new facilities, the cost-access tradeoff starts to become negligible, indicating

expansion beyond P > 3 facilities may not be useful for practical purposes.

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Chapter 4 - Network Optimization Models

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Figure 4-13 Optimized tradeoff between acceptable distance and (a) total cost, and (b) coverage percentage for single-period model assuming current observed demands and case 3

Table 4-6 summarizes general results and savings for the single-period model assuming

estimated true demands and based on a 60-mile maximum travel distance, showing the costs of

fee and in-house visits. The rows with P = 0 correspond to the cases of modified capacities in

existing facilities but not additional sleep care anywhere else.

$2,900

$3,050

$3,200

$3,350

$3,500

$3,650

$3,800

20 30 40 50 60 70 80 90 100

Cost

(in

thou

sand

s)

Maximum accetable travel distance (S) (miles)

(a) Total cost

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

20 30 40 50 60 70 80 90 100

Cove

rage

Maximum acceptable travel distance (S) (miles)

(b) Coverage percentage

P=0 P=1 P=2 P=3 P=4 P=5

Current cost

Current approximate 95th travel distance

percentile

Current

Current approximate 95th travel distance

percentile

P=0 P=1 P=2 P=3 P=4 P=5

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Chapter 4 - Network Optimization Models

122

Table 4-6 Results for single-period model with 60-mile maximum acceptable travel distance

Case Num. add. facilities

(P) Total cost

In-house type visit

cost

Fee type visit cost

% in-house type

visits

Optimal facility locations (total number of beds)** Savings

1 (7

candidate locations)

Est. obs.* $7,455,189 $3,252,421 $4,202,768 51% - -

0 $7,274,793 $3,494,030 $3,759,762 53% - $110,085

1 $7,020,768 $4,342,393 $2,573,375 70% Northampton(4) $434,421

2 $6,874,504 $4,896,599 $1,809,905 79% Togus(3)-Northampton(4) $580,685

3 $6,810,171 $5,102,943 $1,518,228 82% Togus(3)-Northampton(4)-WRJ(1) $645,018

2 (12

candidate locations)

Est. obs.* $7,455,189 $3,252,421 $4,202,768 51% - -

0 $7,274,793 $3,494,030 $3,759,762 53% - $110,085

1 $7,007,062 $4,296,089 $2,605,972 70% Springfield(4) $448,127

2 $6,860,798 $4,850,296 $1,842,502 79% Togus(3)-Springfield(4) $594,391

3 $6,775,736 $5,134,086 $1,452,650 83% Togus(3)-Springfield(4)-Portland(2) $679,453

3 (52

candidate locations)

Est. obs.* $7,455,189 $3,252,421 $4,202,768 51% - -

0 $7,274,793 $3,494,030 $3,759,762 53% - $110,085

1 $7,007,062 $4,296,089 $2,605,972 70% Springfield(4) $448,127

2 $6,860,798 $4,850,296 $1,842,502 79% Togus(3)-Springfield(4) $594,391

3 $6,774,937 $5,153,385 $1,411,553 84% Togus(3)-Springfield(4)-Saco(2) $680,252 *Estimated observed case **For all cases, optimum solution also requires a capacity expansion of one bed at the current facility in Providence.

Figure 4-14 illustrates similar information and conclusions now using the estimated true

demands. Table 4-7 further summarizes optimal locations and their corresponding capacities,

using true demand, for 27 different scenarios based on coverage policy, additional number of

facilities, and set of candidates. Patterns in this table provided important insight for decision

makers. For example, capacity expansion at the current sleep laboratory in Providence always is

suggested in all scenarios, removing most debate about the accuracy of various assumptions and

demand estimates. Several other candidates also are frequently suggested as optimal expansion

facilities, namely, Newington, Togus, Northampton, and Springfield.

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Chapter 4 - Network Optimization Models

123

Figure 4-14 Optimized tradeoff between acceptable distance and (a) total cost, and (b) coverage percentage for single-period model assuming estimated true demand and candidate facilities under case 3

$6,500

$6,750

$7,000

$7,250

$7,500

$7,750

$8,000

$8,250

20 30 40 50 60 70 80 90 100

Cost

(in

thou

sand

s)

Maximum acceptable travel distance (S) (miles)

(a) Total cost

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

20 30 40 50 60 70 80 90 100

Cove

rage

Maximum acceptable travel distance (S) (miles)

(b) Coverage percentage

P=0 P=1 P=2 P=3 P=4

Current

Current approximate 95th travel distance

percentile

Current cost

Current approximate 95th travel distance

percentile

P=0 P=1 P=2 P=3 P=4

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Chapter 4 - Network Optimization Models

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Table 4-7 Optimal facility locations for single-period model based on estimated true demand (numbers in parentheses represent the number of additional beds in corresponding facilities)

S (miles) P

Case 1 Case 2 Case 3

Facility Beds Capacity expansion Facility Beds Capacity

expansion Facility Beds Capacity expansion

30

1 Newington 4 Providence (+2) Newington 4 Providence (+2) Newington 4 Providence (+2)

2 Newington Northampton

4 2 Providence (+2) Newington

Northampton 4 2 Providence (+2) Newington

Northampton 4 2 Providence (+2)

3 Newington

Jamaica Plain Northampton

4 1 2

Providence (+2) Newington

Northampton Worcester

4 2 2

Providence (+2) Newington

Northampton Haverhill

4 2 2

Providence (+2)

60

1 Newington 4 Providence (+1) Springfield 4 Providence (+1) Springfield 4 Providence (+1)

2 Togus Northampton

3 4 Providence (+1) Togus

Springfield 3 4 Providence (+1) Togus

Springfield 3 4 Providence (+1)

3 Togus

Northampton WRJ

3 4 1

Providence (+1) Togus

Springfield Portland

2 4 2

Providence (+1) Togus

Springfield Saco

3 4 2

Providence (+1)

90

1 Northampton 4 Providence (+2) Springfield 4 Providence (+2) Springfield 4 Providence (+2)

2 Togus Northampton

3 4 Providence (+2) Togus

Springfield 3 4 Providence (+2) Togus

Springfield 3 4 Providence (+2)

3 Togus

Northampton WRJ

3 4 1

Providence (+2) Togus

Springfield Burlington

3 4 2

Providence (+2) Springfield

Bangor Littleton

4 3 4

Providence (+1)

Table 4-8 summarizes the corresponding “allocation” results; that is, the assignment of patients

to facilities (or fee basis) based on home zip code. As shown, even though the optimal locations

change for each scenario, zip codes are clustered in similar manners; that is, similar groups of

demand nodes are assigned to the same facilities. Most patients living in Vermont also become

fee type visits, which follows intuition given that demand is relatively low in Vermont as

compared to other regions. Figure 4-15 visualizes the demand nodes covered within-network (in-

house type) and outside-network (fee type) as well as the VA facility locations that provide

service assuming a 60-mile acceptable maximum travel distance and the candidate facilities

given by case 3.

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Chapter 4 - Network Optimization Models

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Table 4-8 Allocation of demand nodes to facilities for single-period model

S=60 P=3 Facilities Assigned demand node 3-digit zip codes

Case 1

West Haven 064-065-066-067-068-069 (CT) Togus 041-042-043-045-048-049 (ME)

West Roxbury 015-016-017-019-020-021-022-023-024-027 (MA), 029 (RI) Northampton 060-061 (CT), 010-011-012-013-053 (MA) Manchester 014-018 (MA), 030-031-032-033-034 (NH), 039 (ME) Providence 062-063 (CT), 028 (MA)

WRJ 037 (NH), 050-051-057 (VT) Fee type 025-026 (MA), 035-036-038 (NH), 040-044-046-047 (ME) 052-054-056-058-059 (VT)

Case 2

West Haven 064-065-066-067-068-069 (CT) Togus 042-045-048-049 (ME)

West Roxbury 015-016-017-019-020-021-022-023-024-027 (MA), 029 (RI) Manchester 014-018 (MA), 030-031-032-033-034 (NH) Providence 062-063 (CT), 028 (RI) Springfield 060-061 (CT), 010-011-012-013 (RI)

Portland 038-039-040-044 (ME) Fee type 025-026 (MA), 035-036-037 (NH), 041-044-046-047 (ME), 050-051-052-053-054-056-057-058-059 (VT)

Case 3

West Haven 064-065-066-067-068-069 (CT) Togus 042-043-045-048-049 (ME)

West Roxbury 015-016-017-019-020-021-022-023-024-027 (MA), 029 (RI) Manchester 014-018 (MA), 030-031-032-033-034 (NH) Providence 062-063 (CT), 028 (MA) Springfield 060-061 (CT), 010-011-012-013 (MA)

Saco 038-039-040-041 (ME) Fee type 025-026 (MA), 035-036-037 (NH), 044-046-047 (ME), 050-051-052-053-054-056-057-058-059 (VT)

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Chapter 4 - Network Optimization Models

126

Figure 4-15 Demand nodes covered within-network and outside network and VA facilities that provide service for single-period model assuming a 60-mile acceptable maximum distance and candidate facilities under case 3

4.3.3.3 Multi-Period Results

The multi-period model was solved for five, ten, and twenty-five year planning horizons. For the

5-year case, Table 4-9 summarizes general results, again assuming a 60-mile acceptable

maximum travel distance. Since demand is expected to decrease over time, the optimal solution

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Chapter 4 - Network Optimization Models

127

adds additional facilities only in the first year, although this must not necessarily be the case in

general.

Table 4-9 Results for multi-period model with 60-mile maximum acceptable travel distance

Case Num. add. facilities

(P)

Average annual cost

In-house type visit

cost

Fee type visit cost

% in-house type

visits

Optimal facility locations (total number of beds)** Savings

1 (7

candidate locations)

Est. obs.* $7,455,189 $3,252,421 $4,202,768 51% - -

0 $6,960,730 $3,305,465 $3,392,237 58% - $494,459

1 $6,734,157 $3,929,943 $2,513,087 69% Northampton(3) $721,032

2 $6,587,880 $4,360,938 $1,920,172 76% Togus(2)-Northampton(3) $867,309

3 $6,517,772 $4,562,840 $1,635,157 80% Togus(2)-Northampton(3)-WRJ(1) $937,417

2 (12

candidate locations)

Est. obs.* $7,455,189 $3,252,421 $4,202,768 51% - -

0 $6,960,730 $3,305,465 $3,392,237 58% - $494,459

1 $6,723,166 $3,914,317 $2,516,278 69% Springfield(3) $732,023

2 $6,576,890 $4,345,313 $1,923,362 76% Togus(2)-Springfield(3) $878,299

3 $6,489,340 $4,709,745 $1,416,678 82% Togus(2)-Springfield(3)-Portland(2) $965,849

3 (52

candidate locations)

Est. obs.* $7,455,189 $3,252,421 $4,202,768 51% - -

0 $6,960,730 $3,305,465 $3,392,237 58% - $494,459

1 $6,723,166 $3,914,317 $2,516,278 69% Springfield(3) $732,023

2 $6,574,090 $4,346,015 $1,920,952 76% Togus(2)-Springfield(3) $878,299

3 $6,489,340 $4,709,745 $1,416,678 82% Togus(2)-Springfield(3)-Portland(2) $965,849 *Estimated observed case **For all cases, optimum solution also requires a capacity expansion of one bed at the current facility in Providence.

As above, Figure 4-16 shows the tradeoff frontier between acceptable travel distance, average

annual cost, and coverage percentage assuming sleep beds can be added to zero through four

additional facilities and the candidate facilities given by case 3. Due to excessive computational

times, the multi-period model was solved only for maximum coverage distances of 60 miles or

less. Similar to the single-period results, the current situation also is shown for comparison. Even

with the “zero” case, an improvement of 6.6% in annual cost and 12.1% in access is possible.

Increasing the number of new facilities in which sleep beds could be added to three could result

in a savings of $965,849 (12.9%) given the same access coverage, a reduction in maximum

driving distance to 42 miles given the same cost, or any pairwise cost-distance point on the

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Chapter 4 - Network Optimization Models

128

shown curve. After service capacity is added in three new facilities, again, the cost-access

tradeoff starts to become negligible.

Figure 4-16 Optimized tradeoff between acceptable distance and (a) average annual cost, and (b) coverage percentage for multi-period model assuming case 3

Table 4-10 summarizes the optimal locations and their corresponding capacities for 27 different

scenarios as previously. Similar to the single-period case, capacity expansion at the current

Providence sleep laboratory always is suggested regardless of assumptions about acceptable

$6,400

$6,750

$7,100

$7,450

$7,800

$8,150

$8,500

$8,850

$9,200

20 30 40 50 60

Cost

(in

thou

sand

s)

Maximum acceptable travel distance (S) (miles)

(a) Average annual cost

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

20 30 40 50 60

Cove

rage

Maximum acceptable travel distance (S) (miles)

(b) Coverage percentage

P=0 P=1 P=2 P=3 P=4

Current cost

Current

P=0 P=1 P=2 P=3 P=4

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Chapter 4 - Network Optimization Models

129

travel distances (greater than 20 miles), with facilities Newington, Togus, Bedford, and

Springfield again being common additional expansion candidates. The broad similarity of these

results under a variety of assumptions and to those of the single-period model has been useful for

management to better understand obvious and robust decisions.

Table 4-10 Optimal facility locations for multi-period model(numbers in parentheses represent the number of additional beds in corresponding facilities)

S (miles) P

Case 1 Case 2 Case 3

Facility Beds Capacity expansion Facility Beds Capacity

expansion Facility Beds Capacity expansion

20

1 Newington 2 - Newington 2 - Newington 2 -

2 Newington Bedford

2 1 - Newington

Bedford 2 1 - Newington

Bedford 2 1 -

3 Newington

Bedford Northampton

2 1 1

- Newington

Bedford Springfield

2 1 2

- Newington

Bedford Springfield

2 1 2

-

40

1 Newington 4 Providence (+1) Newington 4 Providence (+1) Newington 4 Providence (+1)

2 Newington Bedford

4 1 Providence (+1) Newington

Springfield 2 3 Providence (+1) Springfield

Togus 3 3 Providence (+1)

3 Newington

Bedford Northampton

2 1 2

Providence (+1) Newington (+1)

(year 2)

Newington Bedford

Springfield

2 1 3

Providence (+1) Springfield Fitchburg

Togus

3 1 3

Providence (+1)

60

1 Northampton 3 Providence (+1) Springfield 3 Providence (+1) Springfield 3 Providence (+1)

2 Togus Northampton

2 3 Providence (+1) Togus

Springfield 2 3 Providence (+1) Togus

Springfield 2 3 Providence (+1)

3 Togus

Northampton WRJ

2 3 1

Providence (+1) Togus

Springfield Portland

2 3 2

Providence (+1) Togus

Springfield Portland

2 3 2

Providence (+1)

Table 4-11 summarizes patient-facility assignments (based on home zip code) for the multi-

period case, which again are very similar to those for the single-period model. One noticeable

difference is that the capacity expansions in the multi-period model are relatively lower than

those in the single-period model, which makes intuitive sense given shrinking veteran population

projections. This also results in the optimal number of patients that receive fee type service being

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Chapter 4 - Network Optimization Models

130

higher especially in earlier years, contrary to current policy, with more patients who live outside

of Vermont now also being sent to non-VA facilities.

Table 4-11 Allocation of demand nodes to facilities for multi-period model

S=60 P=3 Facilities Assigned demand node 3-digit zip codes

Case 1

West Haven 061-064-065-066-067-068-069 (CT) Togus 041-042-043-045-048-049 (ME)

West Roxbury 015-016 (year 1-3)-017-018 (year 5-6)-019-020-021-022-023-024-027 (MA); 029 (RI) Northampton 010-011-012-013 (MA); 053 (VT); 060 (CT) Manchester 014-018 (year 1-4) (MA); 030-031-032-033-034 (NH); 039 (ME) Providence 016 (year 4-6) (MA); 028 (RI); 062-063 (CT)

WRJ 036-037 (NH); 050-051-057 (VT) Fee type 025-026 (MA); 035-038 (NH); 040-044-046-047 (ME); 052-054-056-058-059 (VT)

Case 2

West Haven 060 (year 3)-061-064 (year 1-2,4-6)-065-066-067-068-069 (CT) Togus 042-043 (year 4-6)-045 (year 1-3)-048-049 (ME)

West Roxbury 015-016 (year 1-3)-017-018 (year 5-6)-019-020-021-022-023-024-027 (MA); 029 (RI) Manchester 014-018 (year 1-4) (MA); 030-031-032-033-034 (NH); 039 (year 2) (ME) Providence 016 (year 4-6) (MA); 028 (RI); 062-063 (CT) Springfield 010-011-012-013 (MA); 060 (year 1-2,4-6)-064 (year 3) (CT)

Portland 038 (NH); 039 (year 1,3-6)-040-041-043 (year 1-3)-045 (year 4-6) (ME) Fee type 025-026 (MA); 035-036-037 (NH); 044-046-047 (ME); 050-051-052-053-054-056-057-058-059 (VT)

Case 3

West Haven 060 (year 3)-061-064 (year 1-2,4-6)-065-066-067-068-069 (CT) Togus 042-043 (year 4-6)-045 (year 1-3)-048-049 (ME)

West Roxbury 015-016 (year 1-3)-017-018 (year 5-6)-019-020-021-022-023-024-027 (MA); 029 (RI) Manchester 014-018 (year 1-4) (MA); 030-031-032-033-034 (NH); 039 (year 2) (ME) Providence 016 (year 4-6) (MA); 028 (RI); 062-063 (CT) Springfield 010-011-012-013 (MA); 060 (year 1-2,4-6)-064 (CT)

Portland 038 (NH); 039 (year 1,3-6)-040-041-043 (year 1-3)-045 (year 4-6) (ME) Fee type 025-026 (MA); 035-036-037 (NH); 044-046-047 (ME); 050-051-052-053-054-056-057-058-059 (VT)

In addition to the 5 year planning horizon, 10 and 25 year horizons also were considered. To

reduce execution times for the 10 and 25 year horizon cases, increments of two-year and five-

year periods were employed respectively, with the projected demand for each n-year period

aggregated accordingly (that is, each model still used 5 periods, for example with the 25 year

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Chapter 4 - Network Optimization Models

131

model treating the first 5 years as one period, the second 5 years as a second period, and so on).

The average annual cost and coverage percentage for each planning horizon assuming sleep beds

can be added to at most three additional facilities and the candidate facilities given by case 3 are

shown in Figure 4-17. Of note, as the planning horizon increases the average annual cost

decreases, primarily because of long-term decreases in demand.

Figure 4-17 Optimal (a) annual cost and (b) coverage percentages considering different planning horizons (both for case 3 and P = 3)

$6,000

$6,500

$7,000

$7,500

$8,000

$8,500

$9,000

20 30 40 50 60

Cost

per

yea

r (in

thou

sand

s)

Maximum acceptable travel distance (S) (miles)

(a) Average annual cost

20%

30%

40%

50%

60%

70%

80%

90%

20 30 40 50 60

Cove

rage

Maximum acceptable travel distance (S) (miles)

(b) Coverage percentage

5 year planning horizon 10 year planning horizon 25 year planning horizon

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Chapter 4 - Network Optimization Models

132

4.3.4 Sensitivity Analysis on Demand Variability

The above mathematical models assume that demand for VA specialty care services is

deterministic and equally distributed over time. Although assumption of deterministic demand

significantly decreases the complexity of a mathematical model, it may not always be justified.

Given the future veteran population uncertainty due to unpredictable military conflicts,

additional research was conducted to study the impact of stochastic demand on the deterministic

model results. Two simulation models, as explained in Figure 4-18, were developed that consider

demand variability on a yearly and monthly basis. Assuming the optimal locations and capacities

that resulted from the “single period model for case 3 and P = 3”, the changes in the overall

system results were examined assuming variable annual and monthly demands.

Figure 4-18 Pseudo code for the simulation models with demand variability

Prompt user for desired coefficient of variation (CV) and half-width values (desired HW) Initializations (outside-replications) Do While HW > desired HW

Initializations (within-replications) FOR i = 1 to 59 !for each demand node

Generate demandi ~ NORMAL(μi, σi) NEXT FOR j = 1 to 7 !for each facility

FOR i = 1 to 59 IF demand node i is assigned to facility j

IF capacity j is not exceeded Let house_cost = house_cost + unit_house_cost*demandi

ENDIF IF capacity j is exceeded

Let fee_cost = fee_cost + unit_fee_cost*demandi Let unanticipated_fee = unanticipated_fee + demandi Let noncovered = noncovered + demandi

ENDIF ENDIF IF demand node i is assigned to a fee facility

Let fee_cost = fee_cost + unit_fee_cost*demandi Let noncovered = noncovered + demandi

ENDIF NEXT

NEXT Calculate HW

ENDDO Calculate average and standard deviation of costs, unanticipated fee patients, coverage percentage Print results END

If monthly demand considered, add: For k = 1 to 12 !for each month

Generate demandik ~ NORMAL(μi/12, √σi

2/12)

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Figure 4-19 illustrates the changes in average total, house, and fee costs and number of

unanticipated fee patients (i.e., patients that are sent to a VA facility by the deterministic model

but cannot be served there due to capacity constraints) assuming variable annual demands. As

expected, the number of unanticipated fee patients significantly increases as the coefficient of

variation (CV) gets larger, resulting in higher fee cost and thus total cost. The average house

cost, on the other hand, decreases as the CV increases, mainly because of the capacity constraint.

Due to the limited capacity, as demand varies, house cost cannot increase more than an upper

limit (i.e., where all facilities are fully utilized), while there is no lower limit. Since all facilities

are almost fully utilized in the no-variation experiments (i.e., CV = 0), as the CV increases,

positive deviations has no/limited effects on the house cost while negative deviations pull it

down drastically. This causes the average house cost to be lower than the one with the

deterministic demand.

As shown in Figure 4-20, the number of unanticipated fee patients assuming variable monthly

demands is significantly higher than those with the annual demand variability. This is because

the monthly variation is higher than the annual variation assuming the same annual CV values,

which results in less ability to meet all demands within-network. Accordingly, increases in the

average total cost, number of unanticipated fee patients, and related fee cost and decreases in the

average house cost are more significant in the monthly demand variability case when compared

to those with the variable annual demand.

Overall, this analysis suggests that accounting for demand variability makes significant changes

in the performance and may change the system design completely. Thus, stochastic modeling

approaches may be beneficial even though they increase mathematical complexity significantly.

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Chapter 4 - Network Optimization Models

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Figure 4-19 Changes in average (a) total cost, (b) number of unanticipated fee patients, (c) house cost, and (d) fee cost assuming variable annual demands and single period model results for case 3 and P = 3

$0

$2,000

$4,000

$6,000

$8,000

$10,000

$12,000

0.00 0.04 0.08 0.12 0.16 0.20 0.24 0.28 0.32 0.36 0.40

Cost

(in

thou

sand

s)

Coefficient of variation

(a) Average total cost

Minimum

Maximum

95% prob. range

Total cost with deterministic demand

0

700

1,400

2,100

2,800

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4,200

0.00 0.04 0.08 0.12 0.16 0.20 0.24 0.28 0.32 0.36 0.40

Num

ber o

f pat

ient

s

Coefficient of variation

(b) Average number of unanticipated fee patients

Maximum

Minimum

95% prob. range

$0

$1,000

$2,000

$3,000

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$6,000

0.00 0.04 0.08 0.12 0.16 0.20 0.24 0.28 0.32 0.36 0.40

Cost

(in

thou

sand

s)

Coefficient of variation

(c) Average house cost

Maximum

Minimum

95% prob. range

House cost with deterministic demand

$0

$1,000

$2,000

$3,000

$4,000

$5,000

$6,000

0.00 0.04 0.08 0.12 0.16 0.20 0.24 0.28 0.32 0.36 0.40

Cost

(in

thou

sand

s)

Coefficient of variation

(d) Average fee cost

95% prob. range Maximum

Minimum Fee cost with

deterministic demand

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Chapter 4 - Network Optimization Models

135

Figure 4-20 Changes in average (a) total cost, (b) number of unanticipated fee patients, (c) house cost, and (d) fee cost assuming variable monthly demands and single period model results for case 3 and P = 3

$0

$2,000

$4,000

$6,000

$8,000

$10,000

$12,000

0.00 0.04 0.08 0.12 0.16 0.20 0.24 0.28 0.32 0.36 0.40

Cost

(in

thou

sand

s)

Coefficient of variation

(a) Average total cost

Minimum

Maximum

95% prob. range

Total cost with deterministic demand

0

700

1,400

2,100

2,800

3,500

4,200

0.00 0.04 0.08 0.12 0.16 0.20 0.24 0.28 0.32 0.36 0.40

Num

ber o

f pat

ient

s

Coefficient of variation

(b) Average number of unanticipated fee patients

Maximum

Minimum

95% prob. range

$0

$1,000

$2,000

$3,000

$4,000

$5,000

$6,000

0.00 0.04 0.08 0.12 0.16 0.20 0.24 0.28 0.32 0.36 0.40

Cost

(in

thou

sand

s)

Coefficient of variation

(c) Average house cost

Maximum

Minimum

95% prob. range

House cost with deterministic demand

$0

$1,000

$2,000

$3,000

$4,000

$5,000

$6,000

0 0.04 0.08 0.12 0.16 0.2 0.24 0.28 0.32 0.36 0.4

Cost

(in

thou

sand

s)

Coefficient of variation

(d) Average fee cost

95% prob. range

Maximum

Minimum Fee cost with

deterministic demand

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4.3.5 Discussion

As the U.S. veteran population ages, effective delivery of health services becomes more

important in terms of optimal within-network coverage at minimum total cost and travel

distance. This study investigated the optimal short and long term location of sleep apnea testing

services across New England VA facilities. Results indicate that significant cost savings and

improvements in patient-centeredness can be achieved simply by optimizing capacity in existing

VA facilities. These potential savings demonstrate this is a useful approach to help decision

makers make more deliberate and tactical healthcare service location and capacity optimization

decisions. In this particular application, significant savings are possible by opening an additional

sleep laboratory to serve unmet need in northern Connecticut and western Massachusetts. If

closing or relocating underutilized facilities were allowed, even greater improvements could be

achieved, especially in the multi-period case. These results also have implications on the optimal

amount of out-of-network “fee” care that run contrary to current practice and beliefs. Counter to

the VA’s desire to eliminate almost all fee basis care, in almost all specialty care applications

and scenarios examined to-date, roughly 10 to 25% of all care is optimal to occur outside of the

VA network. To better understand the costs of out-of-network care, the above models were

modified to require that all patients must be covered by VA facilities, resulting in a 34% increase

in average travel distance while decreasing the total cost only by 4% (versus roughly 5% when

compared with the S = 60 and P = 3 case).

Possible limitations of this study include the assumption that out of network capacity always is

available within desired distances, which may not reflect the actual market. Additional savings

might be achieved by adding or relocating existing facilities. Expansion of the system is perhaps

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Chapter 4 - Network Optimization Models

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less disruptive than facility relocation, the latter potentially forcing staff to relocate or find work

elsewhere. Since the disruptive nature of change may limit a health system’s ability to

immediately implement an optimized network design, some thought might be put into multi-

period transition or minimally disruptive models.

These models could be expanded in several manners. These include accounting for demand

variability naturally occurring over time and future veteran population uncertainty due to such

things as the unpredictability of future military conflicts. Stochastic modeling approaches might

be appropriate here, such as recourse, chance-constraint, and dependent-chance programs. Multi-

period capacity scale-down models also might be considered, although implementation initially

may be limited by “permanent” contracts and the ability to retrain staff. Finally, implementation

of these models in user-friendly decision support tools also would be useful to enable decision

makers to explore what-if scenarios more readily.

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Chapter 5 - Conclusions and Future Work

138

Conclusions and Future Work Chapter 5 -

This study focuses on developing systems engineering models to improve the effectiveness and

cost of and access to screening, diagnostic, and care services for several mental/general health

conditions within large integrated healthcare systems. The use of several systems engineering/

operations research modeling techniques were illustrated within the Veterans Health

Administration (VHA) to discover potential improvement opportunities in providing effective

and timely care to the veterans with significant health problems while considering overall system

cost. Six mathematical models – probability modeling, Monte Carlo, fuzzy logic, logistic

regression, artificial neural networks, and integer programming – were developed and illustrated

across a range of specialty care services, namely, traumatic brain injury (TBI), posttraumatic

stress disorder (PTSD), and sleep apnea screening, diagnostic, and treatment services. Results

indicate that these models could make a significant contribution to the safety and long-term well-

being of U.S. servicemen. For each specific model, detailed results, limitations, and possible

extensions are provided at the end of each chapter.

As a summary, the first chapter of this study investigated the current and proposed screening

processes for PTSD within the VHA and further explored the effects of several model parameters

on the number of false-diagnoses and overall cost. Results indicate that lower false diagnosis

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Chapter 5 - Conclusions and Future Work

139

rates, predictable performance, and reduced costs can be achieved by using a more intentionally

designed system. Also developed was a sequential screening model for mild TBI to illustrate

how the general approach can be applied to other disorders. The biggest limitation of this study

is that the results are very dependent on the model inputs, most of which are not known with

certainty. One possible extension, therefore, is to conduct further research to better estimate these

inputs. Additionally, the proposed screening process for mild TBI could be further developed

and evaluated by better identifying the model parameters and by conducting a comprehensive

sensitivity analysis on the inputs that are subject to uncertainty.

In the second chapter of this study, a comprehensive diagnostic model which aims to ensure

proper and timely diagnosis of TBI was developed. Three types of mathematical methods were

used to categorize TBI patients into the most probable severity states, with preliminary results

indicating a fairly strong agreement with the patients’ known health states for each method. This

study could be extended in a number of ways, one of them being to develop mathematical

models to optimize overall or severity-specific performance of the proposed model.

Finally, the last chapter illustrated the use of location-allocation modeling approach across a

range of specialty care services, namely, PTSD treatment and sleep apnea testing services, within

the VHA. In both applications, results indicate that significant cost savings and improvements in

patient-centeredness can be achieved. These potential savings demonstrate that this is a useful

approach to help decision makers make more informed and tactical decisions. General

limitations include the assumptions regarding model inputs and deterministic demand. The

mathematical models could be extended in a manner so as to account for demand variability and

uncertainty. Another extension could be to develop a co-location model which simultaneously

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Chapter 5 - Conclusions and Future Work

140

determines the optimal locations and capacities for multiple mental health services (e.g., PTSD

and depression care services), given that the mental health conditions often co-occur and interact

with each other.

More generally, the results of this study underscore three important issues: (1) current care

systems are insufficient to meet the mental health and cognitive needs of U.S. service members

and produce extra costs, (2) significant opportunities for mental health care process

improvements and cost reductions are possible with the use of systems engineering methods such

as statistical modeling and mathematical optimization, and (3) further improvements in the long-

term care of U.S. servicemen can be achieved by applying these models over a range of other

chronic health conditions. However, there exist several implementation challenges given that the

results do not consider the potential for reduced care continuity and that the disruptive nature of

change may limit a health system’s ability to immediately implement an optimized system

design.

The mathematical models described in this study all share another related potential limitation

which is poor “trialability”, especially given that healthcare practitioners have become more

accustomed to gradual iterative PDSA improvement cycles than to instantaneous reengineering.

Small cycles of change allow process improvement personnel to obtain safe feedback to minor

changes before proceeding with broader implementation. Solutions such as those in this study,

conversely, may require more of a leap of faith. Unfortunately, since few healthcare practitioners

and leaders understand modeling, simulation, and optimization methods, it may be difficult for

them to fully trust in results and make disruptive changes.

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Chapter 5 - Conclusions and Future Work

141

Although the potential improvements that can be achieved with the use of each mathematical

model developed in this study are illustrated separately, it is important to emphasize that these

models and their results highly interact with each other. For instance, the screening and

diagnostic models determine the number of patients in need of using care services in a

population, which actually constitutes the true demand for care services – one of the inputs in the

network optimization models. Integration of these models in a manner so as to use one model’s

output as another’s input, therefore, could help identify the correct inputs for each model and

thus provide more accurate results.

In conclusion, there are a number of possibilities to extend this study, all of which are discussed

throughout the dissertation. These recommendations are summarized as follows:

(1) Given that the results are very dependent on the model inputs, additional research could

be conducted either to confirm the estimates used in this study or to make better

estimates. Integration of mathematical models and using one’s output as another’s input

also could help identify the inputs more accurately.

(2) Mathematical models could be extended in order to account for (i) demand variability

naturally occurring over time and (ii) future veteran population uncertainty due to the

unpredictability of future military conflicts, using stochastic modeling approaches such as

recourse, chance-constraint, and dependent-chance programs.

(3) In order to address the difficulties in implementation and the poor trialability, multi-

period transition or minimally disruptive models could be considered. The development

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Chapter 5 - Conclusions and Future Work

142

of graphical and interactive tools also could be useful for building initial acceptance,

understanding, support, and trust.

(4) Finally, implementation of these models in user-friendly decision support tools would be

useful to enable decision makers to explore what-if scenarios more readily.

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Appendix A - Overall Sensitivity of PTSD Screening Process

163

Appendix A - Overall Sensitivity of PTSD Screening Process

In order to introduce some notation and motivate the general approach, the one-year analysis

horizon is considered first. In this process, a truly positive patient can be given a final correct

positive diagnosis in the following two mutually exclusive and collectively exhaustive manners.

Note that PC-PTSD, PCL, and CAPS tests are represented by S, P, and C, respectively.

(S, S+, P, P?� , P+): – Patient takes PC-PTSD,

– PC-PTSD correctly identifies patient as positive,

– Patient is sent to PCL for review and takes it, and

– PCL makes a definite diagnosis and confirms patient as positive.

(S, S+, P, P?, C, C+): – Patient takes PC-PTSD,

– PC-PTSD correctly identifies patient as positive,

– Patient is sent to PCL for review and takes it,

– PCL cannot make a definite diagnosis,

– Patient is sent to CAPS for further review and takes it, and

– CAPS confirms patient as positive.

The probability of detecting a truly positive patient in one year, p1, then is the sum of the

probabilities of these events:

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Appendix A - Overall Sensitivity of PTSD Screening Process

164

p1 = Probability of detecting a truly positive patient in one year

= P ��S, S+, P, P?� , P+� or �S, S+, P, P?, C, C+��

= P�S�P�S+�P�P��1− P�P?��P{P+} + P�S�P�S+�P�P�P�P?�P�C�P�C+�

= rs(1 − αs)rp(1 − u)�1− αp� + rs(1 − αs)rpurc(1− αc)

= rs(1 − αs) �rp(1− u)�1 − αp� + rpurc(1− αc)�

= rs(1 − αs)rp �1 − αp − u �1 − αp − rc(1 − αc)��. (A-1)

More generally, a correct positive determination in a j-year horizon can occur in the following

manners:

((((S1, S1

-) or S1����� or (S1

, S1+, P����) or (S1

, S1+, P, P?, C����)), …, ((Si-1

, Si-1-) or Si-1

������ or

(Si-1, Si-1

+, P����) or (Si-1, Si-1

+, P, P?, C����)), Si, Si

+, P, P?� , P+), i ≤ j):

− PC-PTSD in year i, 1 ≤ i ≤ j, correctly identifies patient as positive after i-1 ≥ 0 years being determined as negative, skipping PC-PTSD, or being determined as positive by PC-PTSD but not following up with confirmatory testing,

− Patient is sent to PCL for review and takes it, and

− PCL makes a definite diagnosis and confirms patient as positive.

((((S1, S1

-) or S1����� or (S1

, S1+, P����) or (S1

, S1+, P, P?, C����)), …, ((Si-1

, Si-1-) or Si-1

������ or

(Si-1, Si-1

+, P����) or (Si-1, Si-1

+, P, P?, C����)), Si, Si

+, P, P?, C, C+), i ≤ j):

− PC-PTSD in year i, 1 ≤ i ≤ j, correctly identifies patient as positive after i-1 ≥ 0 years being determined as negative or not skipping PC-PTSD, or being determined as positive by PC-PTSD but not following up with confirmatory testing,

− Patient is sent to PCL for review and takes it,

− PCL cannot make a definite diagnosis,

− Patient is sent to CAPS for further review and takes it, and

− CAPS confirms patient as positive.

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Appendix A - Overall Sensitivity of PTSD Screening Process

165

Note that both events above can occur in j manners, as the patient can be identified as positive by

either PC-PTSD test in year i = 1, 2, …, or j. Now, the generalized analog to Eq. (A-1) is

pj = Probability of detecting a truly positive patient in j years

= P ����S1, S1

−� or S1����� or �S1

, S1+, P����� or �S1

, S1+, P, P?, C������ , … ,

��Si−1, Si−1

−� or Si−1������� or �Si−1

, Si−1+, P����� or �Si−1

, Si−1+, P, P?, C������,

Si, Si

+, P, P?� , P+� , i ≤ j�

+P ����S1, S1

−� or S1����� or �S1

, S1+, P����� or �S1

, S1+, P, P?, C������ , … ,

��Si−1, Si−1

−� or Si−1������� or �Si−1

, Si−1+, P����� or �Si−1

, Si−1+, P, P?, C������,

Si, Si

+, P, P?, C, C+� , i ≤ j�

= P ����S1, S1

−� or S1����� or �S1

, S1+, P����� or �S1

, S1+, P, P?, C������ , … ,

��Si−1, Si−1

−� or Si−1������� or �Si−1

, Si−1+, P����� or �Si−1

, Si−1+, P, P?, C������,

Si, Si

+� , i ≤ j� × �P �P, P?� , P+� + P�P, P?, C, C+��

= P ����S1, S1

−� or S1����� or �S1

, S1+, P����� or �S1

, S1+, P, P?, C������ , … ,

��Si−1, Si−1

−� or Si−1������� or �Si−1

, Si−1+, P����� or �Si−1

, Si−1+, P, P?, C������,

Si, Si

+� , i ≤ j� × P�P� × �P �P?� �P{P+} + P�P?�P�C�P�C+��

= ∑ �rsαs + 1 − rs + rs(1− αs)�1 − rp� + rs(1 − αs)rpu(1 − rc)�irs(1− αs)j−1

i=0

× rp �(1 − u)�1 − αp� + urc(1− αc)�

= ∑ �1 − rs(1− αs)rp�1 − u(1 − rc)��irs(1− αs)j−1

i=0 rp �1 − αp − u �1 − αp − rc(1− αc)��.

(A-2)

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Appendix A - Overall Sensitivity of PTSD Screening Process

166

Using the finite series

∑ axik−1i=0 = a 1−xk

1−x, (A-3)

Eq. (A-2) becomes

pj =1−�1−rs(1−αs)rp�1−u(1−rc)��

j

1−�1−rs(1−αs)rp�1−u(1−rc)��rs(1− αs)rp �1 − αp − u �1 − αp − rc(1− αc)��

=1−�1−rs(1−αs)rp�1−u(1−rc)��

j

rs(1−αs)rp�1−u(1−rc)�rs(1 − αs)rp �1 − αp − u �1 − αp − rc(1 − αc)��

=�1−�1−rs(1−αs)rp�1−u(1−rc)��

j��1−αp−u�1−αp−rc(1−αc)��

1−u(1−rc) . (A-4)

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Appendix B - Overall Specificity of PTSD Screening Process

167

Appendix B - Overall Specificity of PTSD Screening Process

Following the same logic as for the deviation of overall system sensitivity in Appendix A, a

correct negative determination in j years can occur in the following manners:

((S1, S1

-) or S1����� or (S1

, S1+, P����) or (S1

, S1+, P, P?, C����)), …, ((Sj

, Sj-) or Sj

���� or (Sj, Sj

+, P����)

or (Sj, Sj

+, P, P?, C����)):

− PC-PTSDs during j years either classify patient as negative, give positive result but not confirmed by confirmatory testing, or are skipped.

((((S1, S1

-) or S1����� or (S1

, S1+, P����) or (S1

, S1+, P, P?, C����)), …, ((Si-1

, Si-1-) or Si−1

������� or (Si-1

, Si-1+, P����) or (Si-1

, Si-1+, P, P?, C����)), Si

, Si+, P, P?� , P-), i ≤ j):

− PC-PTSD in year i, 1 ≤ i ≤ j, incorrectly identifies patient as positive after i-1 ≥ 0 years either being determined as negative, skipping PC-PTSD, or being determined as positive by PC-PTSD but not following up with confirmatory testing,

− Patient is sent to PCL for review and takes it, and

− PCL makes a definite diagnosis and correctly classifies patient as negative.

((((S1, S1

-) or S1����� or (S1

, S1+, P����) or (S1

, S1+, P, P?, C����)), …, ((Si-1

, Si-1-) or Si−1

������� or (Si-1

, Si-1+, P����) or (Si-1

, Si-1+, P, P?, C����)), Si

, Si+, P, P?, C, C-), i ≤ j):

− PC-PTSD in year i, 1 ≤ i ≤ j, incorrectly identifies patient as positive after i-1 ≥ 0 years being determined as negative, skipping PC-PTSD, or being determined as positive by PC-PTSD but not following up with confirmatory testing,

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Appendix B - Overall Specificity of PTSD Screening Process

168

− Patient is sent to PCL for review and takes it,

− PCL cannot make a definite diagnosis,

− Patient is sent to CAPS for further review and takes it, and

− CAPS correctly classifies patient as negative.

All events above except for the first one can occur in j manners, as the patient can be identified

as positive by PC-PTSD test in either year i = 1, 2, …, or j. Now considering these events one at

a time, the probability of detecting a truly negative patient in j years is

qj = Probability of identifying a truly negative patient as negative in j years

= P ���S1, S1

−� or S1����� or �S1

, S1, P����� or �S1

, S1+, P, P?, C������ , … ,

��Sj, Sj

−� or Sj���� or �Sj

, Sj+, P����� or �Sj

, Sj+, P, P?, C�������

+P ����S1, S1

−� or S1����� or �S1

, S1, P����� or �S1

, S1+, P, P?, C������ , … ,

��Si−1, Si−1

−� or Si−1������� or �Si−1

, Si−1+, P����� or �Si−1

, Si−1+, P, P?, C������,

Si, Si

+, P, P?� , P−� , i ≤ j�

+P ����S1, S1

−� or S1����� or �S1

, S1, P����� or �S1

, S1+, P, P?, C������ , … ,

��Si−1, Si−1

−� or Si−1������� or �Si−1

, Si−1+, P����� or �Si−1

, Si−1+, P, P?, C������,

Si, Si

+, P, P?, C, C−� , i ≤ j�

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Appendix B - Overall Specificity of PTSD Screening Process

169

= P ���S1, S1

−� or S1����� or �S1

, S1, P����� or �S1

, S1+, P, P?, C������ , … ,

��Sj, Sj

−� or Sj���� or �Sj

, Sj+, P����� or �Sj

, Sj+, P, P?, C�������

+P ����S1, S1

−� or S1����� or �S1

, S1, P����� or �S1

, S1+, P, P?, C������ , … ,

��Si−1, Si−1

−� or Si−1������� or �Si−1

, Si−1+, P����� or �Si−1

, Si−1+, P, P?, C������,

Si, Si

+� , i ≤ j� × �P �P, P?� , P−� + P�P, P?, C, C−��

= P ���S1, S1

−� or S1����� or �S1

, S1, P����� or �S1

, S1+, P, P?, C������ , … ,

��Sj, Sj

−� or Sj���� or �Sj

, Sj+, P����� or �Sj

, Sj+, P, P?, C�������

+P ����S1, S1

−� or S1����� or �S1

, S1, P����� or �S1

, S1+, P, P?, C������ , … ,

��Si−1, Si−1

−� or Si−1������� or �Si−1

, Si−1+, P����� or �Si−1

, Si−1+, P, P?, C������,

Si, Si

+� , i ≤ j� × P�P� × �P �P?� �P{P−} + P�P?�P�C�P{C−}�

= �rs�1− βs� + 1 − rs + rsβs�1− rp� + rsβsrpu(1− rc)�j

+∑ �rs�1 − βs� + 1 − rs + rsβs�1− rp� + rsβsrpu(1− rc)�irsβs

j−1i=0

× rp �(1 − u) �1 − βp� + urc �1 − βp��

= �1 − rsβsrp�1 − u(1 − rc)��j

+ ∑ �1 − rsβsrp�1− u(1 − rc)��irsβs

j−1i=0

× rp �1 − βp − u �1 − βp − rc�1− βc���. (B-1)

Using the finite series given in Eq. (A-3) and after some algebra, Eq. (B-1) becomes

qj = �1 − rsβsrp�1− u(1 − rc)��j

+1−�1−rsβsrp�1−u(1−rc)��

j

1−�1−rsβsrp�1−u(1−rc)��rsβsrp �1 − βp − u �1 − βp − rc�1− βc���

=�1−rsβsrp�1−u(1−rc)��

j�(1−u)βp+urcβc�+1−βp−u�1−βp−rc�1−βc��

1−u(1−rc) . (B-2)

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Appendix C - Expected Total Cost of PTSD Screening Process

170

Appendix C - Expected Total Cost of PTSD Screening Process

The expected cost per n patients after j years using PC-PTSD, PCL, and CAPS tests, ECj, is

equal to the following sum:

ECj = Expected cost of all PC-PTSD tests per n patients + Expected cost of all PCL tests per n patients + Expected cost of all CAPS tests per n patients + Expected cost of all false-positives per n patients + Expected cost of all false-negatives per n patients

= �ks × Expected number of PC-PTSD tests per n patients� + �kp × Expected number of PCL tests per n patients� + (kc × Expected number of CAPS tests per n patients) + �kFP × Expected number of false-positives per n patients� + �kFN × Expected cumulative number of false-negatives per n patients�. (C-1)

For readability, it is convenient first to consider each of the above four expectations separately

and then to sum them at the end of this appendix.

Expected number of PC-PTSD tests per n patients:

The expected number of PC-PTSD tests per n patients, E[Is,n], is a sum of the expected number

of tests per single positive patient, E[Is | Positive], and the expected number of tests per single

negative patient, E[Is | Negative], conditioned as follows:

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Appendix C - Expected Total Cost of PTSD Screening Process

171

E�Is, n� = n(P{Patient is positive}E[Is|Positive] + P{Patient is negative}E[Is|Negative]).

(C-2)

The expected number of PC-PTSD tests for a positive patient is

E[Is|Positive] = ∑ iP{Is = i}ji=1

= 1P{Is = 1} + 2P{Is = 2} + ⋯+ (j− 1)P{Is = j − 1} + jP{Is = j}

= 1 �∑ (1 − rs)aj−1a=0 pcon

+ + 𝑗ps_nc+ (1− rs)j−1�

+2 �∑ �(a+1)!a!1!

� (1 − rs)aps_nc+j−2

a=0 pcon+ + � j!

2!(j−2)!� �ps_nc

+ �2

(1− rs)j−2� + ⋯

+(j− 1)�∑ �(a+j−2)!a!(j−2)!

� (1 − rs)a �ps_nc+ �

j−21a=0 pcon

+ + � j!(j−1)!1!

� �ps_nc+ �

j−1(1 − rs)�

+j ��ps_nc+ �

j−1pcon+ + �ps_nc

+ �j�

= ∑ i ��ps_nc+ �

i−1pcon+ ∑ �(a+i−1)!

a!(i−1)!� (1 − rs)aj−i

a=0 + � j!i!(j−i)!

� �ps_nc+ �

i(1 − rs)j−i�j

i=1 , (C-3)

and similarly the expected number of PC-PTSD tests for a negative patient is

E[Is|Negative] = ∑ iP{Is = i}ji=1

= 1P{Is = 1} + 2P{Is = 2} + ⋯+ (j− 1)P{Is = j − 1} + jP{Is = j}

= 1 �∑ (1 − rs)aj−1a=0 pcon

− + 𝑗ps_nc− (1− rs)j−1�

+2 �∑ �(a+1)!a!1!

� (1 − rs)aps_nc−j−2

a=0 pcon− + � j!

2!(j−2)!� �ps_nc

− �2

(1− rs)j−2� + ⋯

+(j− 1)�∑ �(a+j−2)!a!(j−2)!

� (1 − rs)a �ps_nc− �

j−21a=0 pcon

− + � j!(j−1)!1!

� �ps_nc− �

j−1(1 − rs)�

+j ��ps_nc− �

j−1pcon− + �ps_nc

− �j�

= ∑ i ��ps_nc− �

i−1pcon− ∑ �(a+i−1)!

a!(i−1)!� (1 − rs)aj−i

a=0 + � j!i!(j−i)!

� �ps_nc− �

i(1 − rs)j−i�j

i=1 , (C-4)

where the probabilities pcon+ , pcon

− , ps_nc+ , and ps_nc

− are given as

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Appendix C - Expected Total Cost of PTSD Screening Process

172

pcon+ = P{Result is confirmed by either PCL or CAPS|Patient is positive}

= rs(1 − αs)rp�(1− u) + urc� = rs(1− αs)rp�1− u(1 − rc)�, (C-5)

pcon− = P{Result is confirmed by either PCL or CAPS|Patient is negative}

= rsβsrp�1− u(1 − rc)�, (C-6)

ps_nc+ = P�PC-PTSD is taken but its result remains unconfirmed|Patient is positive�

= 1 − pcon+ − P�PC-PTSD is not taken� = 1 − pcon

+ − (1− rs) = rs − pcon+ , (C-7)

ps_nc− = P�PC-PTSD is taken but its result remains unconfirmed|Patient is negative�

= rs − pcon− . (C-8)

Thus, by substituting Eq. (C-3) and (C-4) into Eq. (C-2), and then by using the binomial theorem

(a + b)m = ∑ � m!y!(m−y)!

� ambm−ymy=0 , (C-9)

and after some algebra, the expected number of PC-PTSD tests per n patients is calculated as

E�Is, n� = n�p �∑ i �ps_nc+ �

i−1pcon+ ∑ �(a+i−1)!

a!(i−1)!� (1 − rs)aj−i

a=0ji=1 + 𝑗ps_nc

+ �1− pcon+ �

j−1�

+(1 − p) �∑ i �ps_nc− �

i−1pcon− ∑ �(a+i−1)!

a!(i−1)!� (1 − rs)aj−i

a=0ji=1 + 𝑗ps_nc

− �1 − pcon− �

j−1��.

(C-10)

Note that the variance in number of PC-PTSD tests per patient can be found in a similar manner,

using the relations that E�X 2� = ∑ x2P{X = x}jx=1 , Var[X] = E�X 2� − E2[X], Var[X + Y] =

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Appendix C - Expected Total Cost of PTSD Screening Process

173

Var[X] + Var[Y] + 2Cov[X, Y], and Cov[X, Y] = 0 if X and Y are independent. After some

algebra, by using the same approach above, the following result for Var�Is, n� can be obtained as

Var�Is, n� = Var[Is + Is + ⋯+ Is] = Var[Is] + Var[Is] + ⋯+ Var[Is] = n(Var[Is])

= n�E�Is2� − E2[Is]�

= n�p∑ i2 ��ps_nc+ �

i−1pcon+ ∑ �(a+i−1)!

a!(i−1)!� (1 − rs)aj−i

a=0 + � j!i!(j−i)!

� �ps_nc+ �

i(1 − rs)j−i�j

i=1

+(1− p)∑ i2 ��ps_nc− �

i−1pcon− ∑ �(a+i−1)!

a!(i−1)!� (1 − rs)aj−i

a=0 + � j!i!(j−i)!

� �ps_nc− �

i(1 − rs)j−i�j

i=1

−�p �∑ i �ps_nc+ �

i−1pcon+ ∑ �(a+i−1)!

a!(i−1)!� (1 − rs)aj−i

a=0ji=1 + 𝑗ps_nc

+ �1− pcon+ �

j−1�

+(1 − p) �∑ i �ps_nc− �

i−1pcon− ∑ �(a+i−1)!

a!(i−1)!� (1− rs)aj−i

a=0ji=1 + 𝑗ps_nc

− �1− pcon− �

j−1��

2

�.

(C-11)

Expected number of PCL tests per n patients:

The expected number of PCL tests per n patients, E[Is,n], similar to the number of PC-PTSD

tests, is a sum of the expected number of tests per single positive patient, E[Ip | Positive], and the

expected number of tests per single negative patient, E[Ip | Negative], conditioned as follows:

E�Ip, n� = n�P{Patient is positive}E�Ip|Positive� + P{Patient is negative}E�Ip|Negative��.

(C-12)

The expected number of PCL tests for a positive patient is

E�Ip|Positive� = ∑ iP�Ip = i�ji=1

number of n number of n

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Appendix C - Expected Total Cost of PTSD Screening Process

174

= 1P�Ip = 1� + 2P�Ip = 2� + ⋯+ (j − 1)P�Ip = j − 1� + jP�Ip = j�

= 1 �∑ �1 − rs(1 − αs)rp�aj−1

a=0 pcon+ + 𝑗pp_nc

+ �1− rs(1 − αs)rp�j−1�

+2 �∑ �(a+1)!a!1!

� �1 − rs(1− αs)rp�app_nc+j−2

a=0 pcon+ + � j!

2!(j−2)!� �pp_nc

+ �2�1 − rs(1− αs)rp�

j−2� + ⋯

+(j− 1)�∑ �(a+j−2)!a!(j−2)!

� �1 − rs(1− αs)rp�a�pp_nc

+ �j−2

1a=0 pcon

+

+ � j!(j−1)!1!

� �pp_nc+ �

j−1�1 − rs(1− αs)rp��

+j ��pp_nc+ �

j−1pcon+ + �pp_nc

+ �j�

= ∑ i ��pp_nc+ �

i−1pcon+ ∑ �(a+i−1)!

a!(i−1)!� �1 − rs(1 − αs)rp�

aj−ia=0

ji=1

+ � j!i!(j−i)!

� �pp_nc+ �

i�1 − rs(1 − αs)rp�

j−i�, (C-13)

and similarly the expected number of PCL tests for a negative patient is

E�Ip|Negative� = ∑ iP�Ip = i�ji=1

= 1P�Ip = 1� + 2P�Ip = 2� + ⋯+ (j − 1)P�Ip = j − 1� + jP�Ip = j�

= 1 �∑ �1 − rsβsrp�aj−1

a=0 pcon− + 𝑗pp_nc

− �1− rsβsrp�j−1�

+2 �∑ �(a+1)!a!1!

� �1 − rsβsrp�app_nc−j−2

a=0 pcon− + � j!

2!(j−2)!� �pp_nc

− �2�1 − rsβsrp�

j−2� + ⋯

+(j− 1)�∑ �(a+j−2)!a!(j−2)!

� �1 − rsβsrp�a�pp_nc

− �j−2

1a=0 pcon

− + � j!(j−1)!1!

� �pp_nc− �

j−1�1 − rsβsrp��

+j ��pp_nc− �

j−1pcon− + �pp_nc

− �j�

= ∑ i ��pp_nc− �

i−1pcon− ∑ �(a+i−1)!

a!(i−1)!� �1 − rsβsrp�

aj−ia=0 + � j!

i!(j−i)!� �pp_nc

− �i�1 − rsβsrp�

j−i�j

i=1 ,

(C-14)

where the probabilities pp_nc+ and pp_nc

− are given as

pp_nc+ = P{PCL is taken but its result remains unconfirmed|Patient is positive}

= rs(1− αs)rpu(1− rc), (C-15)

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Appendix C - Expected Total Cost of PTSD Screening Process

175

pp_nc− = P{PCL is taken but its result remains unconfirmed|Patient is negative}

= rsβsrpu(1− rc). (C-16)

Thus, by substituting Eq. (C-13) and (C-14) into Eq. (C-12), and then by using the binomial

theorem given in Eq. (C-9) and after some algebra, the expected number of PCL tests per n

patients can be calculated as

E�Ip, n� = n�p �∑ i �pp_nc+ �

i−1pcon+ ∑ �(a+i−1)!

a!(i−1)!� �1 − rs(1− αs)rp�

aj−ia=0

ji=1 + 𝑗pp_nc

+ �1− pcon+ �

j−1�

+(1− p) �∑ i �pp_nc− �

i−1pcon− ∑ �(a+i−1)!

a!(i−1)!� �1 − rsβsrp�

aj−ia=0

ji=1 + 𝑗pp_nc

− �1− pcon− �

j−1��.

(C-17)

The variance in number of PCL tests per patient can be found in a similar manner, as explained

above. After some algebra, the following result for Var�Ip, n� can be obtained as

Var�Ip, n� = n�E�Ip2� − E2�Ip��

= n�p∑ i2 ��pp_nc+ �

i−1pcon+ ∑ �(a+i−1)!

a!(i−1)!� �1 − rs(1 − αs)rp�

aj−ia=0

ji=1

+ � j!i!(j−i)!

� �pp_nc+ �

i�1 − rs(1 − αs)rp�

j−i�

+(1− p)∑ i2 ��pp_nc− �

i−1pcon− ∑ �(a+i−1)!

a!(i−1)!� �1 − rsβsrp�

aj−ia=0 + � j!

i!(j−i)!� �pp_nc

− �i�1 − rsβsrp�

j−i�j

i=1

−�p �∑ i �pp_nc+ �

i−1pcon+ ∑ �(a+i−1)!

a!(i−1)!� �1 − rs(1− αs)rp�

aj−ia=0

ji=1 + 𝑗pp_nc

+ �1− pcon+ �

j−1�

+(1 − p) �∑ i �pp_nc− �

i−1pcon− ∑ �(a+i−1)!

a!(i−1)!� �1 − rsβsrp�

aj−ia=0

ji=1 + 𝑗pp_nc

− �1− pcon− �

j−1��

2

�.

(C-18)

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Appendix C - Expected Total Cost of PTSD Screening Process

176

While Eq. (C-10), (C-11), (C-17), and (C-18), are rather lengthy expressions, special-purpose

software greatly facilitates their evaluation. Also note that the computer simulation results

presented elsewhere in this dissertation in Table 2-3 independently arrive at similar results, in

this sense confirming above derivations.

Expected number of CAPS tests per n patients:

The expected number of CAPS tests per n patients, E[Ic,n], simply is a function of the probability

that any single patient is checked using the CAPS test. As every patient is checked once using

the CAPS test or not checked using this test, this constitutes a Bernoulli trial and the distribution

of the number of CAPS tests per n patients therefore is binomial with binomial expectation

E�Ic, n� = n × P{Patient is checked using CAPS test}

= n × P{Result is confirmed by CAPS after 0 ≤ i < j − 1 years not having a confirmed result }

= n �p �rs(1 − αs)rpurc + �1 − pcon+ �rs(1− αs)rpurc + ⋯+ �1 − pcon

+ �(j−1)

rs(1 − αs)rpurc�

+(1− p) �rsβsrpurc + �1 − pcon− �rsβsrpurc + ⋯+ �1 − pcon

− �(j−1)

rsβsrpurc��

= n �p �rs(1 − αs)rpurc∑ �1 − pcon+ �

ij−1i=0 �+ (1 − p) �rsβsrpurc ∑ �1 − pcon

− �ij−1

i=0 ��

= n �p�rs(1− αs)rpurc �1−�1−pcon

+ �j

1−�1−pcon+ �

�� + (1 − p)�rsβsrpurc �1−�1−pcon

− �j

1−�1−pcon− �

���

= n �p�rs(1− αs)rpurc �1−�1−pcon

+ �j

rs(1−αs)rp�1−u(1−rc)��� + (1− p)�rsβsrpurc �

1−�1−pcon− �j

rsβsrp�1−u(1−rc)����

= n �p�urc �1−�1−pcon

+ �j

1−u(1−rc) �� + (1 − p)�urc �1−�1−pcon

− �j

1−u(1−rc) ���

= n �� urc1−u(1−rc)� �p �1 − �1 − pcon

+ �j� + (1− p) �1 − �1 − pcon

− �j���, (C-19)

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Appendix C - Expected Total Cost of PTSD Screening Process

177

and with binomial variance Var[Ic,n]= n{∙}(1− {∙}), where {∙} denotes the term in square

brackets in Eq. (C-19) and is equal to the probability that any patient is checked using the CAPS

test:

Var�Ic, n� = n�� urc1−u(1−rc)� �p �1 − �1 − pcon

+ �j�+ (1 − p) �1 − �1 − pcon

− �j���

× �1 − �� urc1−u(1−rc)� �p �1 − �1 − pcon

+ �j�+ (1 − p) �1 − �1 − pcon

− �j����.

(C-20)

Expected number of false-positives per n patients:

The expected number of false-positives per n patients, E[FP], follows directly from the

probability of detecting a truly negative patient, qj, found in Eq. (B-2) of Appendix B:

E[FP] = n × P{Patient is negative} × P{Positive determination|Patient is negative}

= n(1 − p)(1− P{Negative determination|Patient is negative})

= n(1 − p) �1 − qj�

= n(1 − p)�1 − ��1−rsβsrp�1−u(1−rc)��

j�(1−u)βp+urcβc�+1−βp−u�1−βp−rc�1−βc��

1−u(1−rc) ��

= n(1 − p)��1−�1−rsβsrp�1−u(1−rc)��

j��(1−u)βp+urcβc�

1−u(1−rc) �. (C-21)

Expected number of false-negatives per n patients:

Similarly, the expected number of false-negatives per n patients, E[FN], follows directly from

the probability of detecting a truly positive patient, pj, found in Eq. (A-4) of Appendix A:

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Appendix C - Expected Total Cost of PTSD Screening Process

178

E[FN] = n × P{Patient is positive} × P{Negative determination|Patient is positive}

= np(1 − P{Positive determination|Patient is positive})

= np �1 − pj�

= np�1 − ��1−�1−rs(1−αs)rp�1−u(1−rc)��

j��1−αp−u�1−αp−rc(1−αc)��

1−u(1−rc) ��

= np��1−rs(1−αs)rp�1−u(1−rc)��

j�1−αp−u�1−αp−rc(1−αc)��+(1−u)αp+urcαc

1−u(1−rc) �. (C-22)

Expected overall cost per n patients:

Now summing the products of each of the above five terms with their corresponding costs as

shown in Eq. (C-1) yields the expected total cost per n patients:

ECj = ksE�Is, n� + kpE�Ip, n� + kcE�Ic, n� + kFPE[FP] + kFNjE[FN]

= ksn�p �∑ i �ps_nc+ �

i−1pcon+ ∑ �(a+i−1)!

a!(i−1)!� (1 − rs)aj−i

a=0ji=1 + 𝑗ps_nc

+ �1− pcon+ �

j−1�

+(1− p) �∑ i �ps_nc− �

i−1pcon− ∑ �(a+i−1)!

a!(i−1)!� (1 − rs)aj−i

a=0ji=1 + 𝑗ps_nc

− �1 − pcon− �

j−1��

+kpn�p �∑ i �pp_nc+ �

i−1pcon+ ∑ �(a+i−1)!

a!(i−1)!� �1 − rs(1 − αs)rp�

aj−ia=0

ji=1 + 𝑗pp_nc

+ �1− pcon+ �

j−1�

+(1− p) �∑ i �pp_nc− �

i−1pcon− ∑ �(a+i−1)!

a!(i−1)!� �1 − rsβsrp�

aj−ia=0

ji=1 + 𝑗pp_nc

− �1− pcon− �

j−1��

+kcn � urc1−u(1−rc)� �p �1 − �1 − pcon

+ �j�+ (1 − p) �1 − �1 − pcon

− �j��

+kFPn(1 − p)��1−�1−rsβsrp�1−u(1−rc)��

j��(1−u)βp+urcβc�

1−u(1−rc) �

+kFNjnp��1−rs(1−αs)rp�1−u(1−rc)��

j�1−αp−u�1−αp−rc(1−αc)��+�(1−u)αp+urcαc�

1−u(1−rc) �. (C-23)

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Appendix D - Overall Accuracy and Cost of TBI Screening Process

179

Appendix D - Overall Accuracy and Cost of TBI Screening Process

Notation and Assumptions:

αi = probability that any screening test i will determine a truly positive patient as negative,

αc = probability that the confirmation test will determine a truly positive patient as negative,

βi = probability that any screening test i will determine a truly negative patient as positive,

βc = probability that the confirmation test will determine a truly negative patient as positive,

r1 = probability that a truly positive patient has at least one teammate diagnosed with TBI,

r2 = probability that a truly negative patient has at least one teammate diagnosed with TBI,

ks = average cost of a screening test,

kc = average cost of the confirmation test,

kFP = average cost of a false-positive final result,

kFN = average cost of a false-negative final result, and

j = number of screening tests.

In the proposed screening process (given in Figure 2-18), after a negative determination by any

screening test i < j, the patient is scheduled for the next screening test i+1. If any screening test i

≤ j determines the patient as positive, he/she is sent to the confirmation test. If the patient, on the

other hand, is determined as negative by all j screening tests, it is checked whether or not any of

his teammates has diagnosed with TBI recently. If so, the patient is sent to the confirmation test.

Otherwise, no further action is taken and the patient is determined as negative. Note that this

decision stage is incorporated into the mathematical model using the rescreening rates of r1 and

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Appendix D - Overall Accuracy and Cost of TBI Screening Process

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r2 (explained above), and that r1 is assumed to be greater than r2. Other model assumptions

include

(1) Test sensitivities and specificities are assumed to remain constant over time.

(2) All tests are assumed to be independent of each other.

(3) The actual number of screening tests per any given patient, the expected number of

screening tests per positive patient and per negative patient are denoted, respectively, as

Is, E[Is | Positive] and E[Is | Negative]. Similarly, the actual number of confirmation tests

per any given patient, the expected number of confirmation tests per positive patient and

per negative patient are denoted, respectively, as Ic, E[Ic | Positive] and E[Ic | Negative].

(4) Screening and false diagnosis costs are assumed to remain constant over time.

Overall System Sensitivity:

A correct positive determination using j ≥ 1 screening tests can occur in the following manners:

(S1-, S2

-, …, Sj-, R, C+): – All j screening tests incorrectly classify patient as negative,

– Patient is sent to confirmation test, and

– Confirmation test correctly revises diagnosis to positive.

((S1-, S2

-, …, Si-1-, Si

+, C+), i ≤ j): – Some screening test i, 1 ≤ i ≤ j, correctly identifies patient as positive after i–1 ≥ 0 incorrect negative determinations,

– Patient is sent to confirmation test for review (always), and

– Confirmation test confirms diagnosis as positive.

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Appendix D - Overall Accuracy and Cost of TBI Screening Process

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The probability of detecting a truly positive patient using j screening tests, pj, then is the sum of

the probabilities of these events:

pj = Probability of detecting a truly positive patient using j screening tests

= P�S1−, S2

−, …, Sj−, R, C+� + P��S1

−, S2−, …, Si-1

−, Si

+, C+�i ≤ j�

= α1α2 … αjr1(1− αc) + (1 − α1)(1− αc) + α1(1 − α2)(1− αc) + ⋯ … + α1α2 … αj-1�1 − αj�(1 − αc)

= α1α2 … αjr1(1− αc) + �1 − α1α2 … αj-1αj�(1− αc)

= �1 −∏ αiji=1 (1 − r1)� (1− αc). (D-1)

Note that if all screening tests are assumed to have the same sensitivity, (1–αs), the above

expression in Eq. (D-1) simplifies to closed form as

pj = �1 − αsj(1 − r1)�(1− αc). (D-2)

Overall System Specificity:

Following the same logic above, a correct negative determination using j ≥ 1 screening tests can

occur in the following manners:

(S1-, S2

-, …, Sj-, R�): – All j screening tests correctly classify patient as negative, and

– Patient is not sent to confirmation test.

(S1-, S2

-, …, Sj-, R, C-): – All j screening tests correctly classify patient as negative,

– Patient is sent to confirmation test, and

– Confirmation test confirms patient as negative.

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Appendix D - Overall Accuracy and Cost of TBI Screening Process

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((S1-, S2

-, …, Si-1-, Si

+, C-), i ≤ j): – Some screening test i, 1 ≤ i ≤ j, incorrectly identifies patient as positive after i–1 ≥ 0 correct negative determinations,

– Patient is sent to confirmation test for review (always), and

– Confirmation test correctly revises diagnosis to negative.

Considering these events one at a time, the probability of detecting a truly negative patient using

j screening tests is

qj = Probability of identifying a truly negative patient as negative using j screening tests

= P{S1−, S2

−, …, Sj−, R�} + P{S1

−, S2−, …, Sj

−, R, C−} + P��S1−, S2

−, …, Si-1−

, Si+, C−�i ≤ j�

= ∏ �1 − βi�ji=1 (1− r2) + ∏ �1 − βi�

ji=1 r2�1− βc� + �1 −∏ �1 − βi�

ji=1 ��1− βc�

= 1 − βc �1 −∏ �1 − βi�ji=1 (1 − r2)�. (D-3)

As above, if all j screening tests are assumed to have similar specificities, (1–βs), the above

expression in Eq. (D-3) simplifies to closed form as

qj = 1 − βc �1 − �1 − βi�j(1− r2)�. (D-4)

Expected Total Cost:

The expected cost per n patients using j screening tests, ECj, is equal to the following sum:

ECj = Expected cost of all screening tests per n patients + Expected cost of all confirmation tests per n patients + Expected cost of all false-positives per n patients + Expected cost of all false-negatives per n patients

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Appendix D - Overall Accuracy and Cost of TBI Screening Process

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= (ks × Expected number of all screening tests per n patients) + (kc × Expected number of all confirmation tests per n patients) + �kFP × Expected number of false-positives per n patients� + �kFN × Expected number of false-negatives per n patients�, (D-5)

where each of the above four expectations are given separately below.

The expected number of screening tests per n patients, E[Is,n], is the sum of the expected number

of tests per single positive patient, E[Is | Positive], and the expected number of tests per single

negative patient, E[Is | Negative], conditioned as

E�Is, n� = n(P{Patient is positive}E[Is|Positive] + P{Patient is negative}E[Is|Negative]),(D-6)

where the expected number of screening tests for a positive patient is

E[Is|Positive] = ∑ iP{Is = i}ji=1

= 1P{Is = 1} + 2P{Is = 2} + ⋯+ (j− 1)P{Is = j − 1} + jP{Is = j}

= 1(1 − α1) + 2α1(1 − α2) + ⋯+ (j− 1)α1α2 … αj-2�1 − αj-1� + j�α1α2 … αj-1�1 − αj� + α1α2 … αj�

= (1 − α1) + ∑ �i∏ αki−1k=1 (1 − αi)�

j−1i=2 + j∏ αk

j−1k=1 , (D-7)

and similarly the expected number of screening tests for a negative patient is

E[Is|Negative] = ∑ iP{Is = i}ji=1

= 1P{Is = 1} + 2P{Is = 2} + ⋯+ (j− 1)P{Is = j − 1} + jP{Is = j}

= +1β1 + 2�1 − β1�β2 + ⋯+ (j− 1)�1 − β1��1− β2�… �1 − βj-2� βj-1

+j ��1 − β1��1− β2�… �1 − βj-1� βj + �1 − β1��1 − β2�… �1 − βj��

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Appendix D - Overall Accuracy and Cost of TBI Screening Process

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= β1 + ∑ �i∏ �1 − βk�i−1k=1 βi�

j−1i=2 + j∏ �1 − βk�

j−1k=1 . (D-8)

The expected number of confirmation tests per n patients, E[Ic,n], given below, simply is a

function of the probability that any single patient is checked using the confirmation test. As

every patient is screened once using the confirmation test or not screened using this test, this

constitutes a Bernoulli trial and the distribution of the number of confirmation tests per n patients

therefore is binomial with binomial expectation.

E�Ic, n� = n × P{Patient is screened by confirmation test}

= n(P{Some screening test determines patient as positive} +P{All screening tests determine patient as negative}P{Patient is sent to confirmation test})

= n �p�1 −∏ αiji=1 + ∏ αi

ji=1 r1� + (1 − p)�1 −∏ �1 − βi�

ji=1 + ∏ �1 − βi�

ji=1 r2��

= n �1 − �p∏ αiji=1 (1 − r1) + (1− p)∏ �1 − βi�

ji=1 (1− r2)��. (D-9)

The expected number of false-positives per n patients, E[FP], follows directly from the

probability of detecting a truly negative patient, qj, found in Eq. (D-3):

E[FP] = n × P{Patient is negative} × P{Positive determination|Patient is negative}

= n(1− p) �1 − qj�

= n(1− p)βc �1 −∏ �1 − βi�ji=1 (1 − r2)�. (D-10)

Similarly, the expected number of false-negatives per n patients, E[FN], follows directly from

the probability of detecting a truly positive patient, pj, found in Eq. (D-1):

E[FN] = n × P{Patient is positive} × P{Negative determination|Patient is positive}

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Appendix D - Overall Accuracy and Cost of TBI Screening Process

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= np �1 − pj�

= np �αc + (1 − αc)∏ αiji=1 (1− r1)�. (D-11)

Now summing the products of each of the above terms with their corresponding costs as shown

in Eq. (D-5) yields the expected total cost per n patients:

ECj = ksE�Is, n� + kcE�Ic, n� + kFPE[FP] + kFNE[FN]

= ksn �p �(1 − α1) + ∑ �i∏ αki−1k=1 (1 − αi)�

j−1i=2 + j∏ αk

j−1k=1 �

+(1− p)�β1 + ∑ �i∏ �1 − βk�i−1k=1 βi�

j−1i=2 + j∏ �1 − βk�

j−1k=1 ��

+kcn �1 − �p∏ αiji=1 (1 − r1) + (1 − p)∏ �1 − βi�

ji=1 (1 − r2)��

+kFPn(1 − p)βc �1 −∏ �1 − βi�ji=1 (1 − r2)�

+kFNnp �αc + (1− αc)∏ αiji=1 (1 − r1)�. (D-12)

If all screening tests can be assumed to have identical sensitivities (1–αi) = (1–αs) and identical

specificities (1–βi) = (1–βs) for all i, then the four expectations above in Eq. (D-12) simplify to

closed form and the total expected cost expression becomes

ECj = ksn�p �1−αsj

1−αs�+ (1 − p)�1−�1−βs�

j

βs��

+kcn�1 − �pαsj(1 − r1) + (1 − p)�1− βs�

j(1− r2)��

+kFPn(1 − p)βc �1 − �1 − βs�j(1 − r2)�

+kFNnp�αc + (1 − αc)αsj(1− r1)�. (D-13)