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As research focused on personalized medicine has developed over the past decade, Kyle B Brothers*,1,2,3
bioethics scholars have contemplated the ethical, legal and social implications of this & Mark A Rothstein3,4
type of research. In the next decade, there will be a need to broaden the focus of this
1
Kosair Charities Pediatric Clinical
Research Unit, Department of Pediatrics,
work as personalized medicine moves into clinical settings. We consider two broad
231 East Chestnut Street, N-97,
issues that will grow in importance and urgency. First, we analyze the consequences Louisville, KY 40202, USA
of the significant increase in health information that will be brought about by 2
Department of Pediatrics, University of
personalized medicine. Second, we raise concerns about the potential of personalized Louisville School of Medicine, Louisville,
medicine to exacerbate existing disparities in healthcare. KY, USA
3
Institute for Bioethics, Health Policy
& Law, University of Louisville School of
Keywords: discrimination • ELSI issues • ethical, legal and social implication issues • health
Medicine, Louisville, KY, USA
disparities • personalized medicine • privacy 4
Department of Medicine, University of
Louisville School of Medicine, Louisville,
KY, USA
In the last 10 years, as the technology and and liability); and concerns about the poten- *Author for correspondence:
evidence base of personalized medicine tial of personalized medicine to exacerbate Tel.: +1 502 588 0797
were developing, bioethics scholars began disparities in healthcare (the input–output Fax: +1 502 629 5285
contemplating the ethical, legal and social problem, cost and access to healthcare and kyle.brothers@ louisville.edu
implications of the initial applications of this access to information technologies).
approach to medicine, forming the field of
investigation known as ‘ELSI’ scholarship. Increased amount of health
Some of the foundational issues considered information
were safety and efficacy, informed con- Personalized medicine is information inten-
sent, access and reimbursement. In recent sive. High-dimensionality data created using
years, technologies such as next-generation genomics and other ‘omics’ technologies are
sequencers and gene expression assays have central to many of the predictive, diagnostic
become less expensive and more suitable for and therapeutic applications of personal-
clinical application, and as a result, person- ized medicine [1] . However, the substantial
alized medicine has become established in a increase in individual health information
growing number of clinical areas. With these this approach requires is also one of the main
clinical applications, however, the implica- sources of ethical, legal and social concerns
tions of personalized medicine have expanded regarding personalized medicine. The capa-
in scope and complexity. This trend is likely bility to utilize genomic information in the
to continue in the coming years, with wider clinic depends heavily on health informa-
adoption throughout the healthcare system tion technologies. Electronic health records
creating a need to broaden the focus of work (EHRs) and EHR networks are being widely
in this area. This article considers two broad adopted in the developed world. Health
issues that will grow in importance: the information, traditionally in the sole posses-
consequences of the significantly increased sion of healthcare providers, increasingly is
amount of health information associated also in the possession of individuals (in the
with personalized medicine (privacy, dis- form of personal health records) and third
part of
crimination, physician–patient relationships parties (obtained pursuant to patient-signed
10.2217/PME.14.65 © 2015 Future Medicine Ltd Per. Med. (2015) 12(1), 43–51 ISSN 1741-0541 43
Review Brothers & Rothstein
authorizations). In this section, we explore four cat- segmentation, are being widely considered in several
egories of concerns raised by generating, aggregating, countries. These measures are quite controversial,
analyzing, storing and using health information for however, because they can result in certain healthcare
personalized medicine. providers having incomplete access to patient informa-
tion [6] . In any event, data segmentation has not yet
Privacy been adopted to any significant extent.
Privacy and related terms are often used imprecisely Although people are justifiably outraged by unau-
and therefore it is valuable to begin with some defi- thorized hacking into sensitive information, including
nitions. Privacy is a condition of limited access to an health records, unnecessarily broad, authorized access
individual or information regarding an individual [2] . to health records is more common [7] and thus consti-
In this article, we focus on informational health pri- tutes a greater problem. As described in more detail
vacy, although there are several other types of privacy, below, there are two main ways in which excessive,
including physical, decisional, proprietary and rela- authorized disclosures may come about. First, a health-
tional or associational privacy [3] . The related concept care provider, especially a physician, with a legitimate
of confidentiality is a condition under which informa- need to use only part of an individual’s health record
tion obtained or disclosed within a confidential rela- ordinarily gets unlimited (‘role-based’) access, and this
tionship is not redisclosed without the permission of is a source of concern for some patients. For example,
the individual [2] . The paradigmatic example of con- a physician in an emergency department treating a
fidentiality is a physician’s duty not to disclose patient woman for a sprained ankle is unlikely to need access
health information unless authorized by the patient to the woman’s reproductive health history or genetic
or required by law. Security refers to the physical and information. As a practical matter, busy physicians do
electronic measures granting access to personal health not have the time or inclination to troll through health
information to persons or entities authorized to receive records in search of sensitive information. Neverthe-
it and denying access to others [2] . less, many patients are likely to prefer that potentially
In much of Europe, the term ‘data protection’ takes stigmatizing genetic test results, such as those indicat-
on a similar meaning to informational privacy in the ing a risk for developing Alzheimer’s disease, not be dis-
USA [4] . In any jurisdiction, there are three main closed to every physician whom they encounter in the
reasons why the protection of informational health healthcare system. Second, many third parties with an
privacy is so important. First, individuals may suffer interest in an individual’s health and economic lever-
from embarrassment, stigma, discrimination and other age over the individual can make signing an authori-
harms to their dignity if sensitive information is inap- zation to disclose health information a condition of,
propriately disclosed. Second, the quality of healthcare for example, applying for a life insurance policy. These
may be compromised if individuals who fear improper ‘compelled disclosures’ increasingly include genetic
disclosure of their sensitive information forego timely and other information associated with personalized
treatment for stigmatizing conditions or engage in medicine. Thus, the ability of an individual or health-
defensive practices, such as withholding certain infor- care provider to keep the information confidential is
mation from their healthcare providers [5] . Third, pub- seriously called into question [8] .
lic health harms may occur if individuals with infec-
tious diseases, mental illness, substance abuse or other Discrimination
sensitive conditions delay or decline treatment because Discrimination is another widely used term with dif-
they fear a loss of privacy [6] . ferent meanings. One type of discrimination refers to
The development of EHRs and EHR networks in drawing a legally or socially unacceptable distinction
much of the industrialized world increases the privacy among individuals [9] . This type of discrimination
risk because EHRs are typically comprehensive (con- often relies on questionable stereotypes rather than
taining records of clinical encounters with essentially assessment of individual merit, eligibility or ability; it
all of an individual’s healthcare providers), longitudi- results in the impermissible stratification of society and
nal (containing health records over an extended period the denial of essential opportunities to members of a
of time) and instantaneously distributed to multiple disfavored segment of the population.
parties. One consequence is that even decades-old, The other main type of discrimination simply refers
sensitive information remains a part of an individual’s to drawing distinctions in ways that, in the context,
record and can be viewed by anyone with access to are considered rational or socially acceptable. This
the EHR. Technologies and policies to give patients type of discrimination is best characterized by actu-
greater control of the contents of their health records arial decision-making in the insurance industry. On
and to limit third-party access to them, including data this account, it is acceptable (and even imperative to
alized medicine will be able to deliver are likely to be patients with comprehensive health insurance coverage
distributed unevenly among population groups. This is or the ability to cover such costs out-of-pocket will be
because the diagnostic and therapeutic approaches that able to undergo new tests and receive the benefits of
inform personalized medicine practice are developed individualized treatments despite their cost. Patients
using data from this type of research. This research with no insurance, as well as patients with insurance
reveals, for example, which genetic variants are rele- designed to provide only urgent care, are unlikely to
vant to disease risk and what “effect size” each variant benefit from these advances.
has on disease risk or response to therapies. The input– Patients living in countries with nationalized health
output problem arises because allele frequencies and insurance systems are likely to fare somewhat better.
environmental exposures tend to vary among popula- Nevertheless, these systems generally limit coverage
tion groups [26] . Because of this, the assumptions that to treatments with established efficacy. Since studies
inform personalized medicine practice in well-studied related to clinical applications of personalized medi-
populations are not necessarily generalizable to poorly cine could require larger study samples compared with
studied populations. Genetic test panels designed conventional approaches, it may take longer for an evi-
using data from one population group may not cap- dence base to emerge for such applications [35,36] . If this
ture the genetic variants relevant to disease risk or is the case, nationalized health insurance systems may
treatment response in another group [29] . In addition, be slow to adopt personalized medicine approaches. If
pharmacogenomic algorithms that guide drug dos- this occurs, even interventions that eventually prove
ing or selection may lead to suboptimal outcomes in efficacious might be available only on the private
patients whose ‘background’ genetic variants and envi- market for an extended period of time.
ronmental exposures are significantly different from Regardless of the nature of the health insurance sys-
well-studied populations. This is especially concerning tem, most patients in developed nations will eventually
because the groups that have been under-represented in receive benefits from personalized medicine. In com-
genomic research are also the groups that are already parison, improvements in the care received by patients
receiving suboptimal benefits from existing healthcare in developing nations are likely to be limited. The cost
services [30] . of new diagnostic tests and alternative treatments are
likely to limit their availability in these parts of the
Cost & access to healthcare world for the foreseeable future. Even more impor-
Another set of challenges that threaten to exacerbate tantly, perhaps, the medical problems that cause the
health disparities in the coming decade are economic most morbidity and mortality in developing nations are
barriers that both limit access to healthcare and reduce comparatively rare in the developed world. If person-
the benefit patients are able to derive from that care. alized medicine is to be efficacious for these patients,
This characteristic is common to many new health- then research efforts focused on personalized medi-
care technologies: if patients are unable to access a cine will need to expand to include work on the medi-
new technology, then they are also unable to enjoy the cal conditions endemic to these areas. Furthermore,
benefits of that technology. since ‘background’ genetic variants and environmen-
In the case of personalized medicine, the laboratory tal exposures are so important to personalized treat-
tests that inform personalization, such as next-gener- ments, this work will need to be performed with the
ation sequencing, are likely to be quite expensive at populations of these developing nations, a group that
first, despite optimism that the US$1000 genome has has previously been under-represented in personalized
arrived [31] . Such milestones do not account for labor medicine research [37] .
costs, analytical costs or commercial mark-up [31,32] . In both developed and developing nations, the
An additional source of increased cost will be the costs associated with health behavior changes are
interventions that are recommended in light of these another source of disparity in the benefits personal-
laboratory test results. For example, pharmacogenomic ized medicine will deliver. There is already ample
testing may have the potential to decrease overall costs evidence that medical problems influenced by health
at the level of the healthcare system. At the level of behaviors disproportionately affect patients in lower
individual patients, however, many are still likely to socioeconomic strata [38,39] . Among other insights,
end up taking medications with higher direct costs this disparity reflects the degree to which personal
compared with the standard therapy [33,34] . finances affect patient access to healthy foods, exer-
The costs of personalized therapeutics and the tests cise facilities and other resources related to healthy
that inform their use are unlikely to cause difficulty for behaviors. Many advocates for personalized medicine
patients who are already well served in the healthcare have argued that genomic tests might improve health
system. In countries with private insurance systems, by helping patients identify their health risks and
undertake health behavior changes that could help understand. In short, the patients who are most likely
mitigate these risks [20,40–43] . However, the likelihood to have the resources needed to make productive use
that risk information will help individual patients of a patient portal for personalized medicine are those
make meaningful changes in health behaviors will be patients who are already well served by the healthcare
influenced by a range of factors beyond the control of system [49] .
the healthcare system [44] ; one of these will undoubt- Personalized medicine should account not only
edly be the financial resources that patients have to for the genetic individuality of patients, but also for
support these changes. individual environmental exposures and the unique
social situations that influence patient abilities to uti-
Access to information technologies lize healthcare. In the current vision of personalized
Information technologies that allow patients to medicine, electronic patient portals are portrayed as
access their own health records play a central role in one-size-fits-all tools for patient empowerment. If per-
many visions of personalized medicine. In part, this sonalized medicine is to be successful, more targeted
is due to the value of such technologies for address- approaches will be required. Without such alternatives,
ing the challenge of information overload. However, it is possible that electronic patient portals may cre-
the centrality of these technologies to personalized ate an illusion that all patients have the resources they
medicine also reflects growing interest in empower- need to improve their health. Such an illusion could
ing patients to monitor their own health, perform be counterproductive, since the more patients are per-
research on their own health problems and make ceived to have the power to improve their health, the
positive health behavior changes. In this way, per- more likely they are to be seen as responsible for their
sonalized medicine reflects more general trends in health outcomes [45,50,51] .
healthcare to encourage patients to use information
technologies in order to take responsibility for their Conclusion & future perspective
own health needs [45,46] . As we enter the second decade following the Human
This movement towards increased patient responsi- Genome Project, we see a need to expand the scope
bility for health is reflected not only in cultural trends, of work on the ethical, legal and social challenges
but also in public policy. In the USA in particular, a raised by personalized medicine to account for its
range of recent public policy changes are intended to growing clinical applications throughout the health-
encourage healthcare institutions to provide patients care system. Fortunately, the fields of bioethics and
with direct electronic access to their health records. clinical ethics have rich traditions of addressing
The 2009 Health Information Technology for Eco- issues such as health disparities, patient privacy and
nomic and Clinical Health (HITECH) Act created the physician–patient relationship. We believe it will
financial incentives for institutions capable of dem- be extraordinarily productive to expand the com-
onstrating ‘meaningful use’ of an EHR. Patient por- munity of scholars working on the ethical, legal and
tal functionality is one application that can help an social implications of genomic medicine to include
institution prove it has attained meaningful use of an new types of expertise. In particular, those who
EHR [47] . Similarly, a recent amendment to regula- have worked on health policy and clinical ethics
tions promulgated under the Clinical Laboratory issues unrelated to genomics have much to contrib-
Improvement Amendments of 1988 allows laborato- ute to ethical, legal and social implications scholar-
ries to give patients or their designated representative ship. Collaborations with health economists, quality
direct access to laboratory test reports; in the past, experts and implementation scientists could also be
only healthcare providers were authorized to receive extraordinarily productive.
such results [48] . The issues this expanded community of ethical,
While efforts to empower patients are laudable, legal and social implications scholars could be called
they raise significant challenges related to health dis- upon to address are vast; the two issues we have iden-
parities. A patient can only benefit from an electronic tified are just a starting point. We anticipate, for
patient portal if he or she has access to internet ser- example, that personal responsibility for health will
vices and an internet-capable device, as well as the be an increasingly important issue in healthcare in
necessary computer literacy to navigate to and within the coming years. As we observed earlier, the person-
the portal website. Going further, the information alized medicine movement has demonstrated a strong
presented on an electronic patient portal is only use- interest in empowering patients to take responsibil-
ful to those patients with adequate health literacy. ity for their health. We know, however, that the con-
This is especially problematic for ‘omics’-based labo- cept of individual responsibility for health is indelibly
ratory results, which can prove especially difficult to linked with debates in many countries over the best
approaches to funding healthcare [52] . This interplay Financial & competing interests disclosure
between personalized medicine, individual respon- This work was funded in part by the project ‘Genomic Diagno-
sibility and ideologies surrounding the funding of sis in Children with Developmental Delay’, NIH/National Hu-
healthcare is just one topic of importance that is man Genome Research Institute grant 1UM1HG0007301-01.
likely to benefit from interdisciplinary examination The authors have no other relevant affiliations or financial
in the near future. In order to best address these issues involvement with any organization or entity with a finan-
and others, the next decade in personalized medicine cial interest in or financial conflict with the subject matter
should be a time of collaborative, proactive work to or materials discussed in the manuscript apart from those
anticipate additional challenges and find collabora- disclosed.
tive ways to improve patient care that are responsive No writing assistance was utilized in the production of this
to ethical, legal and social concerns. manuscript.
Executive summary
Background
• As personalized medicine becomes integrated into a growing number of clinical areas, its ethical, legal and
social implications will expand in scope and complexity, incorporating existing issues raised by healthcare
systems.
• We identify two broad issues that will grow in importance: the consequences of the significantly increased
amount of health information associated with personalized medicine; and concerns regarding the potential of
personalized medicine to exacerbate disparities in healthcare.
Increased amount of health information
• Genomic and other ‘omics’ technologies generate a large amount of data. For this reason, the application
of these technologies in clinical settings will raise novel issues related to privacy and discrimination. The
availability of these data is also likely to bring about changes in physician–patient relationships and increase
personal injury litigation.
Exacerbation of existing health disparities
• Inequalities in research to collect medical evidence, as well as access to healthcare services and information
technologies, are likely to increase existing disparities in healthcare. Work in this area will need to focus not
only on disparities that exist within communities, but also those that affect fair access to healthcare globally.
Future perspective
• The next decade in personalized medicine should be a time of collaborative, proactive work to anticipate and
address emerging challenges, including issues such as health disparities, patient privacy and the physician–
patient relationship.
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