Abstract
Introduction
Despite universal newborn screening (NBS), children in the U.S. continue to experience morbidity and mortality from sickle cell disease and related causes. Recognizing that assessments of public health services and systems can improve public health system performance and ultimately health outcomes, this study examined variations in NBS program activities for sickle cell disease.
Methods
A mixed methods study included: (1) a 2009 survey of NBS programs based on ten essential public health services (N=39 states with ten or more sickle cell births over a 3-year period); and (2) key informant interviews in 2011 with 13 states that had sufficient Phase 1 survey scores, black births, and variability in state legislation and geography. Key informants were from 13 NBS programs, 22 sickle cell treatment centers, and ten advocacy organizations. Analyses were conducted in 2009–2014.
Results
Considerable variability exists across states in program activities and roles. More programs reported activities oriented to care of individuals—ensuring access to services, coordination, and provider education; fewer reported planning and analysis activities oriented to statewide policy development and system change. Numbers of activities were not related to the number of affected births. In-depth interviews identified opportunities to enhance activities that support statewide comprehensive systems of care.
Conclusions
NBS programs perform important public health roles that complement and enhance clinical services. Nationwide efforts are needed to enable NBS programs to strengthen population-based functions that are essential to ensuring quality of care for the entire population of children and families affected by sickle cell disease.
Introduction
New York was the first state to implement newborn screening (NBS) for sickle cell disease in 1975; by 2006, universal NBS for sickle cell disease was in place in all U.S. states, Puerto Rico, and the U.S. Virgin Islands.1 NBS permits timely diagnosis, initiation of penicillin prophylaxis, and establishment of comprehensive care.2 NBS has contributed to decreased morbidity and mortality among those affected by sickle cell disease and increased receipt of specialized medical care necessary to manage the disease and its sequelae.3 However, although notable improvements in survival for children with sickle cell disease have been realized, these children continue to experience disabilities, higher mortality, and greater difficulty accessing healthcare services relative to children without sickle cell disease.4
Healthy People 2020 calls for increasing appropriate bloodspot NBS and follow-up testing.5 Although variability in NBS and follow-up has been reported6,7 and the need to consider NBS in light of public health functions recognized,3 there has been no systematic reporting about the extent of variability in NBS specific for sickle cell disease across states or consideration of whether variability is a function of the size of the affected population. The gap is notable despite sickle cell disease being one of the first conditions recommended for NBS.1,8 The lack of information is also concerning given that sickle cell disease disproportionately impacts populations of African, Mediterranean, Middle Eastern, and Indian descent,8 many of whom are historically underserved in terms of healthcare services.
The objective of this study was to assess variability in NBS program structure and activities for sickle cell disease in the U.S. A two-phase study was conducted to:
characterize organizational structures and functions of state NBS programs for sickle cell disease, from initial screening through longer-term follow-up and system-level roles; and
identify facilitators and barriers for developing a comprehensive public health approach to NBS and follow-up for sickle cell disease.
For Phase 1, the authors hypothesized that states with a larger number of affected births would have more-robust NBS activities specific to sickle cell disease.
Methods
This mixed methods approach involved quantitative data gathered through surveys of NBS program directors (Phase 1) and qualitative data obtained from key informant interviews with stakeholders (Phase 2). This approach incorporated diverse perspectives to develop a more complete understanding of NBS activities.9
Study Sample
Phase 1: survey of newborn screening programs
Study eligibility criteria for states were based on the number of confirmed or presumed newborns with sickle cell disease (case patients) as reported in the 2001–2006 National Newborn Screening Information System database and with input from the study’s Advisory Committee. A total of 38 states and the District of Columbia were eligible to participate based on the following:
twenty-eight states and the District of Columbia—ten or more confirmed cases of sickle cell disease in newborns over all 3-year periods between 2001 and 2006; and
ten states—ten or more confirmed cases (n=7) or presumed cases (n=3) of sickle cell disease over at least one 3-year period between 2001 and 2006.
All 39 eligible NBS programs participated in Phase 1.
Phase 2: key informant interviews
Eligibility for inclusion in Phase 2 was informed by input from the study’s Advisory Committee to achieve purposive sampling and, empirically, reach saturation of relevant themes. Criteria for participation in Phase 2 included: participation in the Phase 1 survey (N=39), total public health function domain summary score from Phase 1 survey of ≥11 (range, 0–38 out of possible score of 50 among the 39 states), and ≥3,000 live black births in 2007. The cutoff of 11 was selected based on a natural break in the data and the desire to include states with sufficient scores to examine NBS activities. Of the 24 states that met Phase 2 eligibility criteria, 13 were selected. They represented variability in geographic location, state legislation related to sickle cell disease, and federal funding for sickle cell–related activities. Attempts were made to minimize overlap with the seven states participating in the Registry and Surveillance System pilot being conducted by the National Heart, Lung, and Blood Institute (NHLBI) and CDC.
Within the 13 states, key informants included: NBS Program Director, director(s) of major sickle cell center(s), and the director of the state or regional Sickle Cell Disease Association affiliate(s) or major advocacy organization(s).
Key informant interviews were conducted with: 17/17 representatives from the 13 NBS programs (ten states provided one key informant, two states provided two key informants, and one state provided three key informants); 22/26 sickle cell treatment center directors (one to three centers per state); and 10/16 advocacy organization representatives (zero to two organizations per state) for a total of 49 key informant interviews.
Data Sources and Measures
Phase 1: survey of newborn screening programs
Surveys of state NBS programs were developed based on prior literature10 and seven of the ten essential public health services11 derived from the core public health functions of assessment, policy development, and assurance.12 Services included data assessment and analysis, community partnerships and mobilization, policy planning and development, quality assurance, service linkages and coordination, workforce capacity, and program evaluation. The three essential public health services not relevant to this project were excluded: diagnosis and investigation (which is implicit to all NBS programs), research demonstrations (not relevant at state-level NBS), and information and education (because of focus on population-based systems and activities rather than the promotion of individual behavior change). The survey was piloted with NBS program directors in two states not eligible to participate and revised accordingly. The survey items comprising each of six composite domains were adapted from the essential public health services (Table 1).
Table 1.
Public health domain | Survey items | N (%) |
---|---|---|
Data collection and analysis | • Collected population-level data in past 2 yearsa | 20 (51.3) |
• Analyzed population-level data in past 2 yearsa | 13 (33.3) | |
• Conducted focus groups and/or needs assessment | 18 (46.2) | |
| ||
Policy development | • Presented information to state political leaders at least annually | 4 (10.3) |
• Developed fact sheets for community organizations | 18 (46.2) | |
• Participated in local advocacy coalition | 15 (38.5) | |
• Worked with state medical societies or other organizations to advocate | 16 (41.0) | |
• Produced a plan to address health needs of children with sickle cell disease | 7 (17.9) | |
• Undertook a formal process to develop strategies to improve health of children with sickle cell disease | 13 (33.3) | |
• Produced report on progress toward meeting state health goals | 17 (43.6) | |
• Provided expertise on sickle cell disease to state legislative or regulatory bodies for development of policy or programs | 13 (33.3) | |
• Provided expertise on sickle cell disease to other organizations in state | 20 (51.3) | |
| ||
Quality assurance | • Developed standards of care for children with sickle cell disease | 11 (28.2) |
• Participated in quality improvement of facilities/providers of care | 12 (30.8) | |
• Monitored providers of care/servicesb | 14 (35.9) | |
• Evaluated newborn screening services available to families | 10 (25.6) | |
• Worked with other organizations to collect/analyze data on consumer satisfaction, access issues, quality of care, etc. | 10 (25.6) | |
• Used data for quality improvement | 18 (46.2) | |
| ||
Coordination | • Met with stakeholders to coordinate activities to meet needs of children with sickle cell diseasec | 33 (84.6) |
| ||
Workforce development | • Disseminated comprehensive, written education plan for any audience (providers, consumers, policy makers, etc.) | 10 (25.6) |
• Participated in developing strategies to address workforce shortages for care providers | 7 (17.9) | |
• Targeted care providers for education about sickle cell diseased | 24 (61.5) | |
| ||
Access to services | • Tracked and followed up on receipt of caree | 32 (82.1) |
• Met with service providers to enhance specific activities/services for familiesf | 18 (46.2) |
Note: Time frame for activities was past four years, unless otherwise noted. All activities are specific to children with sickle cell disease and their families.
Includes one or more of the following: demographic characteristics, SES, health status, receipt of medical services, follow up case management, and health outcomes.
If responded yes to global question regarding monitoring. Follow-up questions assessed monitoring of managed care health plans, private providers and facilities, public health programs or services, and local hospital services.
Includes one or more of the following groups: university medical facility/school, community organizations, local hospitals, primary care associations, state medical associations, community health centers, school based health clinics, hematologists, WIC, Head Start, and other.
Includes one or more of the following groups: doctors, nurse-midwives, nurse practitioners, nurses, schools, and social workers.
Includes one or more of the following: Referrals of high risk infants to specialty care, visit with hematologist, well baby visit in first month of life, appropriate penicillin prophylaxis, influenza and pneumococcal vaccines, Transcranial Doppler ultrasound, and parental instruction in spleen palpation.
Includes one or more of the following: identification of high risk infants, treatment options, and other.
Abstraction of state legislation related to sickle cell disease and review of federal funding
A systematic review of state legislation related to sickle cell disease was conducted to categorize states with regard to policy actions and guide key informant sampling from among the 39 states that completed the Phase 1 survey. This review included statutes and regulations and excluded executive orders. Data sources included websites of the National Conference of State Legislatures—Sickle Cell Legislation; U.S. Laws, Codes, Statutes & Cases—Justia (search terms: sickle, sickle cell, and hemoglobinopathy); and individual state legislature websites with searches for statutes and regulations with key terms.
Four categories of legislation were identified to establish:
a commission, committee, or board specific to sickle cell disease;
a program specific to sickle cell disease;
a commission or committee that addresses NBS and specifically identifies sickle cell disease; and
a program for NBS that specifically identifies sickle cell disease.
Of the 39 states, 18 states had no legislation, 14 states had one category of legislation, six states had two categories, and one state had three categories.
Additionally, states receiving Federal funding from NHLBI, Health Resources and Services Administration, and CDC initiatives were identified. These included: NHLBI Comprehensive Sickle Cell Centers, Health Resources and Services Administration Sickle Cell Treatment Demonstration Grants, Health Resources and Services Administration Sickle Cell Disease and NBS Program grants, and CDC/NHLBI Registry and Surveillance System for Hemoglobinopathies.
Phase 2: key informant interviews
In-depth, structured telephone interview guides for each stakeholder type were developed. Interviews explored factors affecting implementation of public health activities and services for children with sickle cell disease. Interviews also elaborated on themes derived from the quantitative survey and explored issues amenable to qualitative data collection.
Data Collection and Analysis
Phase 1: surveys of newborn screening programs
Two trained research assistants collected surveys by phone from May 26, 2009 to September 22, 2009, transcribing responses during the calls. Exploratory analyses of each of the variables were conducted and missed skip patterns, outliers, and missing data were assessed.
The state was the unit of analysis. Descriptive tables and statistics were used to characterize public health activities.
Using survey data, composite measures were developed to describe public health services in each state related to NBS for sickle cell disease (Table 1). Summary scores (and the corresponding domain of essential public health services) related to: data functions, policy functions, quality assurance, coordination and partnerships, workforce development, and access to services. In addition, a total cross-domain score was calculated (possible range, 0–50) and activities most and least commonly reported were identified for each domain (Table 2). Nonparametric tests (Mann–Whitney, Kruskal–Wallis) were used to examine associations between numbers of sickle cell births by state in 2006 and public health functions and capacities expressed as public health services.
Table 2.
Public health domain | Potential range | Actual range | Mean | Median | SD | Most commonly reported activities | Least commonly reported activities |
---|---|---|---|---|---|---|---|
Data collection and analysis | 0–3 | 0–3 | 1.3 | 1 | 1. 1 |
|
|
Policy development | 0–9 | 0–8 | 3.1 | 3 | 2. 3 |
|
|
Quality assurance | 0–9 | 0–8 | 2.2 | 2 | 2. 0 |
|
|
Coordination | 0–11 | 0–8 | 2.9 | 2 | 2. 5 |
|
|
Workforce development | 0–8 | 0–7 | 2.1 | 1 | 2. 1 |
|
|
Access to services | 0–10 | 0–9 | 3.9 | 4 | 2. 4 |
|
|
Total | 0–50 | 0–38 | 15.6 | 14 | 9. 4 |
WIC, Special Supplemental Nutrition Program for Women, Infants and Children
Phase 2: key informant interviews
Data were collected from March 17, 2011 to June 15, 2011 in phone interviews conducted by two trained research assistants and a study investigator. Extensive notes were taken during the calls. Content analysis was conducted using an adapted version of Framework Analysis13 to facilitate the systematic analysis of data through key stages. First, familiarization or the review of the data took place. Second, a thematic framework, or an initial coding framework for each respondent type and for each domain, was identified; they were refined during subsequent stages. These frameworks were developed from a priori issues (e.g., learned from Phase 1 analysis and discussions with the study’s Advisory Committee) and from issues emerging during familiarization. Third, charting was used to create summaries of data based on headings emerging from the thematic framework. Charts that were thematic across all respondents rather than sorted by each respondent across all themes were constructed. All interview data were double coded and consensus reached between the two reviewers for any discrepancies. Fourth, patterns, associations, concepts, and explanations in the data were identified, in order to create typologies and develop strategies/recommendations.
Several aspects of program implementation were examined, consistent with the Donabedian14 framework for evaluation using the key concepts of structure and process; outcomes were not assessed in these analyses. Also, contextual factors were explored with respect to the historic and political environment within which the sickle cell disease system of care evolved and currently operates. Study variables within the structure, process, and context domains derived from the theoretic literature on implementation, as well as from published studies of local and state systems interventions.15–21 Themes from states scoring high in relevant domains from the Phase 1 survey and related challenges or issues were reported. Analyses were conducted in 2009–2014. The Johns Hopkins Bloomberg School of Public Health IRB determined this study to not be human subjects research.
Results
Among the 39 respondents who completed Phase 1 surveys (100% participation), 59.0% were NBS directors, 35.9% were NBS coordinators, and 5.1% held other job titles. On average, they had worked 13.0 years in the health department (range, 0.5–30 years) and 6.8 years in their current roles (range, 0.25–30 years). Most respondents (n=23, 59.0%) indicated their programs had staff designated for hemoglobinopathies. Participants reported that long-term follow-up for sickle cell disease is performed by state agency staff (n=3, 7.7%), by external entities (n=12, 30.8%), a mix of state agency staff and external entities (n=12, 30.8%), or not performed (n=12, 30.8%).
More states collected than analyzed population-level data on child and family characteristics, such as SES, health status, receipt of medical services, or health outcomes (n=20, 51.3% vs n=13, 33.3%, respectively, Table 1). Only ten states (25.6%) collected data on three or more of these characteristics. Nineteen states reported no population-level data collection. Eighteen states (46.2%) conducted focus groups or compiled data for a needs assessment to learn about children with sickle cell disease.
Fewer than half of NBS programs engaged in most policy development activities. Activities related to serving as a resource for other entities were reported more frequently than formal policy development and planning processes. Although 20 (51.3%) provided expertise on sickle cell disease to other organizations in the state, only four (10.3%) presented information annually to state political leaders and seven (17.9%) produced a plan to address the health needs of children with sickle cell disease.
Eleven (28.2%) programs participated in developing standards of care for children with sickle cell disease. Twelve (30.8%) participated in quality improvement activities of facilities or providers of care. Only ten (25.6%) reported that they evaluated the NBS services available to families. However, 18 (46.2%) programs reported using data for quality improvement.
Workforce development activities included providing education about sickle cell disease for healthcare professionals (n=24, 61.5%), and less frequently, disseminating comprehensive written education plans (n=10, 25.6%) or developing strategies to address workforce shortages (n=7, 17.9%).
Most respondents reported that they met with stakeholders to coordinate services for children with sickle cell disease and track receipt of care (n=33, 84.6% and n=32, 82.1%, respectively). Twenty-seven states (69.2%) reported having processes to track receipt of penicillin prophylaxis, two thirds of which do so until at least age 18 years. Twenty-six states (67%) tracked if hematology visits were kept, and 11 states (28.2%) tracked receipt of influenza and pneumococcal vaccines.
Numbers of activities were not related to the numbers of affected births (all p>0.05). The mean total cross-domain score was 15.6 (SD=9.4) out of a possible score of 50 and actual range of 0–38 (Table 2). For each public health domain, mean and median scores were less than the midpoint of the range. Common themes from the key informant interviews were identified for each domain (Table 3). The activities reported by higher-scoring states reflected strategic use of public agency tools (e.g., contracts, memoranda of understanding, planning and reporting cycles) as levers to build system capacity and promote a comprehensive approach to quality care. These higher-scoring programs also often served as conveners, creating focal points for planning, policy development, and capacity building activities. Challenges comprised a mix of issues, including those mutable in the short term with additional resources (e.g., limited capacity for data analysis or implementing programs), those amenable to quality improvement activities (e.g., need to engage primary care physicians, need for coordination mechanisms across treatment centers), and those that may be more intractable or require substantial resource commitments (e.g., reliance on individual leaders to shoulder efforts, variability in capacity of community organizations).
Table 3.
Public health domain | Selected activities among high scoring states | Related challenges or issues |
---|---|---|
Data collection and analysis |
|
|
Policy development |
|
|
Quality assurance |
|
|
Coordination |
|
|
Workforce development |
|
|
Access to services |
|
|
Discussion
Using a public health services and systems approach, considerable variability was observed across states in program roles and activities related to NBS and follow-up for sickle cell disease. More programs report activities oriented to care of individuals—ensuring access to services, coordination, and education for providers; fewer report policy development and data analysis activities oriented to statewide policy and systems change. Variability in program activities is not related to number of sickle cell disease–affected births. This may be due to limited funding, lack of political will, low priority on the public health agenda, ineffective advocacy, or challenges of collaborating or changing policies/practices in some states with more affected births. The findings suggest a need for enhanced efforts to strengthen population-based functions that support statewide comprehensive systems of care for children affected by sickle cell disease. These efforts are made even more necessary by demographic shifts in many states, growing accountability by the healthcare sector for population-level outcomes, and a heightened recognition of health disparities. Moreover, recent advances in health information technology22,23 and administrative data linkages24 may provide opportunities to generate population-level data and encourage pooled resources to enhance analytic capacity. The performance evaluation and assessment scheme,25 in combination with quality indicators specific to sickle cell disease (including measures for genetic counseling and penicillin prophylaxis),26 provide opportunities for states to use quality improvement processes to promote population health.
To date, federal investments in demonstration programs and private sector advocacy efforts27 have not enabled NBS programs to reach their full potential or maintain gains already achieved. In the current economic environment, substantially more resources are unlikely to be available to bolster systems of care for children affected by sickle cell disease. However, promising practices do exist in many states. Working together, federal public health leaders and national professional and consumer/advocacy organizations could draw on those practices to formulate model program elements and provide and guide progress nationwide.
Limitations
Several limitations are noted. First, data were collected from 2009 to 2011, and NBS programs have evolved with expansion of the Recommended Uniform Screening Panel, recommendations for implementing health information technology, and implementation of quality improvement initiatives in selected states.28 However, despite demonstration projects, fundamental gaps persist regarding public health functions. Second, these assessments depend on respondent knowledge and experience; to facilitate accuracy, surveys were shared in advance and additional participants joined calls as appropriate. Third, social desirability bias may have led some to overestimate achievements; however, varied responses with regard to public health services and triangulated qualitative responses within and across states suggests a willingness to report accurately. Fourth, there were small sample sizes with states as the unit of analysis; however, no other states had sufficient number of births to be included. Also, for key informant interviews, saturation was reached for most themes, suggesting adequate numbers of study participants. Finally, the impact of alternative organization and delivery strategies on health outcomes that would strengthen public health services and systems approach was not examined.29 However, strategies were noted that study participants across stakeholder groups identified in states with favorable public health services and systems domain scores.
This examination of variability in NBS programs also benefitted from several strengths. The mixed methods design enabled the authors to validate and elaborate on survey responses. Relevant themes were identified for state agencies seeking to assess their functioning relative to other states and federal agencies charged with supporting the development of state public health capacity. The findings also reflect contextual factors regarding states’ organization of services and development of collaborative relationships. In addition, stakeholders outside the public health sector were included to encompass community organizations as well as public health agencies and healthcare providers, recognizing each of their contributions to population health.30
Conclusions
Current NBS programs are situated to perform important public health roles that complement and enhance clinical services, fulfilling statewide planning, quality assurance, and policy functions that are beyond the purview of individual clinical centers but are essential to ensuring quality of care for the entire population of affected children and families. The findings of variability across NBS programs with regard to public health functions for sickle cell disease suggest the need to pursue strategies that enable public health NBS programs nationwide to achieve their full potential.
Acknowledgments
We are most grateful to Elizabeth Harrision, who served as project coordinator and in whose memory this manuscript is dedicated. In addition, thanks are extended to the stakeholders who generously participated in surveys and interviews. We also gratefully appreciate the contributions of a national Advisory Committee to sample selection, instrument development, and interpretation of study findings; members and their affiliations during the time of ths study included: Thomas Howard, MD (Department of Pediatrics, University of Alabama at Birmingham), Christopher Kus, MD, MPH (Division of Family Health, New York State Derpartment of Health), Marie Mann, MD, MPH (Maternal and Child Health Bureau, Health Resources and Services Administration), Richard Olney, MD, MPH (National Center on Birth Defects and Developmental Disabilities, CDC), Susan Panny, MD (Office for Genetics and Children with Special Health Care Needs, Maryland Department of Health and Mental Hygiene), Lauren Ramos, MPH (Association of Maternal and Child Health Programs), Derek Robertson, MBA, JD (Consumer), and Brad Therrell, PhD (National Newborn Screening and Genetics Resource Center, University of Texas Health Science Center at San Antonio). This research was supported by grant U54HL090515 from the National Heart Lung and Blood Institute. The content is solely the responsibility of the authors and does not necessarily represent the official views of the NIH. Dr. Casella received an honorarium and travel expenses in the past and presently receives salary support through Johns Hopkins for providing consultative advice to Mast Pharmaceuticals (previously Adventrx Pharmaceuticals) regarding a proposed clinical trial of an agent for treating vaso-occlusive crisis in sickle cell disease. He is also an inventor and a named party on a patent and licensing agreement to ImmunArray for a panel of brain biomarkers for the detection of brain injury. No other financial disclosures were reported by the authors of this paper.
Footnotes
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