<!DOCTYPE article PUBLIC "-//NLM//DTD JATS (Z39.96) Journal Archiving and Interchange DTD v1.0 20120330//EN" "JATS-archivearticle1.dtd">
<article xmlns:xlink="http://www.w3.org/1999/xlink">
  <front>
    <journal-meta />
    <article-meta>
      <title-group>
        <article-title>Treatment Effect Prediction with Generative Adversarial Networks using Electronic Health Records</article-title>
      </title-group>
      <contrib-group>
        <contrib contrib-type="author">
          <string-name>Jiebin Chu</string-name>
          <xref ref-type="aff" rid="aff0">0</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Wei Dong</string-name>
          <xref ref-type="aff" rid="aff1">1</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Zhengxing Huang</string-name>
          <email>zhengxinghuang@zju.edu.cn</email>
          <xref ref-type="aff" rid="aff0">0</xref>
        </contrib>
        <aff id="aff0">
          <label>0</label>
          <institution>College of Biomedical Engineering and Instrumental Science, Zhejiang University</institution>
        </aff>
        <aff id="aff1">
          <label>1</label>
          <institution>Department of Cardiology, Chinese PLA General Hospital</institution>
        </aff>
      </contrib-group>
      <abstract>
        <p>Treatment effect prediction (TEP) plays a vital role in disease management by ensuring that the expected clinical outcomes are obtained after performing specialized and sophisticated treatments on patients given their personalized clinical status. To address this problem, we propose an adversarial deep treatment effect prediction model by utilizing the potential of a large volume of electronic health records (EHR) data. Our model employs two auto-encoders for learning the representative and discriminative features of both patient characteristics and treatments from EHR data. The discriminative power of the learned features is further enhanced by decoding the correlational information between the patient characteristics and subsequent treatments by mean s of a generative adversarial learning strategy. Thereafter, a logistic regression layer is appended on the top of the resulting feature representation layer for TEP. The proposed model was evaluated on a real clinical dataset and the experimental results demonstrate that our proposed model achieves competitive performance compared to state-of-the-art models in tackling the TEP problem.</p>
      </abstract>
      <kwd-group>
        <kwd>Treatment Effect Prediction</kwd>
        <kwd>Deep Learning</kwd>
        <kwd>Adversarial learning</kwd>
        <kwd>Electronic Health Records</kwd>
      </kwd-group>
    </article-meta>
  </front>
  <body>
    <sec id="sec-1">
      <title>-</title>
      <p>
        Treatment effect prediction (TEP), as ensuring to obtain the expected clinical outcomes
after performing specialized and sophisticated treatments on patients given their
personalized clinical status, is vital for disease management. Traditional approaches to
addressing this problem have mostly relied on randomized controlled trial (RCT) studies
[
        <xref ref-type="bibr" rid="ref1">1</xref>
        ], which urges healthcare professionals to make treatment decisions according to the
best evidence from systematic research on both the efficacy and efficiency of various
therapeutic alternatives [
        <xref ref-type="bibr" rid="ref2">2</xref>
        ]. Although valuable, there are several typical limitations to
RCT studies [
        <xref ref-type="bibr" rid="ref1">1</xref>
        ]. Specifically, participants in RCTs are strictly selected and tend to be
a “pretty rarefied population”, which is not representative of the real-world population
that the scheduled treatments will eventually target [
        <xref ref-type="bibr" rid="ref3">3</xref>
        ].
      </p>
      <p>Copyright © 2019 for this paper by its authors. Use permitted under Creative Commons
License Attribution 4.0 International (CC BY 4.0).</p>
      <p>
        Electronic health records (EHRs), with their increasingly widespread adoption in
clinical practice, provide a comprehensive source for treatment effect analysis to
augment traditional RCT studies [
        <xref ref-type="bibr" rid="ref4 ref5 ref6">4-6</xref>
        ].The different aspects of medical information
recorded in EHR data are highly correlated and thus provide significant potential for
exploitation, for example, to extract representative and discriminative features for
treatment effect prediction (TEP).
      </p>
      <p>
        In this study, we propose a novel adversarial deep treatment effect prediction
(ADTEP) model to anticipate treatment effects by utilizing a large volume of EHR data.
In detail, two Auto-encoders (AE) are employed to encode the physical condition and
treatment information of patient samples into latent robust representations. To align the
generated treatments with the actual performed treatments, we adopt an adversarial
learning scheme [
        <xref ref-type="bibr" rid="ref7">7</xref>
        ] and use a discriminator to differentiate the fake generated
treatments from the real performed treatments documented in the EHR data. With this
adversarial learning strategy, not only the patient characteristics and subsequent
treatments, but also the correlational information between them are encoded in the latent
representation, making the generated features sufficiently representative to convey the
essential and critical information in the EHR data.
2
      </p>
    </sec>
    <sec id="sec-2">
      <title>Methods</title>
      <p>We consider a typical clinical study of TEP, in which the EHR data record patient
features, treatment interventions, and achieved treatment outcomes. For each patient
sample  , we observe a set of patient features  , a set of treatment interventions 
conditioned on  , and the achieved treatment outcome  . The EHR dataset can be
described as  
, 
, 
| 1, ⋯ , 
 . We propose the ADTEP model to
adare concatenated to form the input of C for TEP.
dress the aforementioned problem. The proposed ADTEP contains seven components:
a patient feature encoder E , a treatment intervention encoder E , a patient feature
decoder G , a treatment intervention decoder G , a treatment intervention generator G ,
a treatment intervention discriminator D , and a logistic regression layer for TEP C . In
detail, given a patient sample , , 
to extract the latent features 
and 
, two encoder layers E and E are first employed</p>
      <p>from  and  , respectively. The reconstructed
features 
and 
can then be estimated from the latent features 
adopted to capture robust and discriminative patient feature/treatment representations
, using the
in the latent feature vector  /
 . Consequently, the latent feature vectors 
and</p>
      <p>We measure the reconstruction performance for patient feature  conducted by the
encoder E</p>
      <p>and decoder G . For efficient learning of the encoder-decoder, standard
practice is to use the Euclidean distance between the input and the generated output to
minimize the patient feature reconstruction loss, that is,


.
treatment reconstruction loss ℒ can be measured as follows:
The reconstruction performance for treatment vector  is measured by means of the
encoder E and decoder G . Similarly to the patient feature reconstruction loss ℒ , the

.</p>
      <p>To encourage the reconstruction of treatments from discriminative patient features that
are similar to real ones, so that the prediction performance can be enriched, we design
a treatment discriminator D to differentiate the reconstructed treatment vector  from
the true observed treatment  . In particular, we employ a binary classifier to categorize
the given input as “real” if the input is the actual treatment vector performed on patients,
and “fake” otherwise. The adversarial loss ℒ
is defined as:
Given a testing patient sample with patient feature vector  , treatment vector 
conditioned on  , and an unknown treatment outcome label y, we can learn the representative
and informative features 
and</p>
      <p>with respect to the patient characteristics, and
subsequently the treatments performed on the patient, respectively, and then concatenate
these as 
,</p>
      <p>to be fed into the treatment effect predictor C . Let 
treatment outcome, the loss can be measured using cross-entropy as follows:
is the predicted
struction ℒ , and loss of treatment outcome prediction ℒ
tive function of the ADTEP is expressed as:
As demonstrated in the section above, our training is defined by four loss functions: 1)
loss of GAN ℒ
, loss of patient feature reconstruction ℒ , loss of treatment
recon. In summary, the
objec,
ing components.
3</p>
    </sec>
    <sec id="sec-3">
      <title>Experiments</title>
      <p>
        where  and  are trade-off parameters for balancing the importance of the
correspondWe conducted a clinical case study in cooperation with the Cardiology Department of
the Chinese PLA General Hospital. The primary investigated major adverse event
prediction (MACE) after acute coronary syndrome (ACS). ACS refers to a group of
conditions resulting from decreased blood flow in the coronary arteries, whereby that part
of the heart muscle is unable to function properly or dies [
        <xref ref-type="bibr" rid="ref8">8</xref>
        ]. Regarding the indicators
of treatment effects for ACS patient samples, we select the MACE after ACS as the
label for treatment effects. To conduct the case study, we collaborated with the
clinicians of the cardiology department, and extracted a collection of 3,463 ACS patient
samples from the hospital EHR system.
      </p>
      <p>Precision</p>
      <p>To demonstrate the effectiveness of our proposed model, we compare the proposed
ADTEP with the proposed model without adversarial learning, namely the DTEP
model. For the DTEP, we use AEs to generate the latent representations of both the
patient characteristics and the subsequent treatments, concatenate the derived latent
features, and then feed the obtained feature vector into a logistic regression layer,
yielding a TEP model. Moreover, we compare the proposed model to state-of-the-art models
using the experimental datasets, including logistic regression (LR) and the support
vector machine (SVM).</p>
      <p>The performance was evaluated by the Area Under the receiver operating
characteristic (ROC) curve (AUC), accuracy, precision, recall and F1 score. We repeated the
experiments five times to validate the performance of each model on the experimental
dataset. As a result, we obtained a group of experimental results for each model, on
which the mean value and confidence intervals were calculated.</p>
    </sec>
    <sec id="sec-4">
      <title>Conclusions</title>
      <p>In this work, we have addressed quite a challenging problem in medical informatics,
namely utilizing a large volume of observational data for TEP. Our proposed model
was evaluated on a real clinical dataset, and the experimental results demonstrate
significant improvements in TEP compared to state-of-the-art methods.</p>
    </sec>
    <sec id="sec-5">
      <title>Acknowledgments</title>
      <p>This work was partially supported by the National Key Research and Development
Program of China under Grant No. 2016YFC1300303 and the National Nature Science
Foundation of China under Grant No. 61672450.</p>
    </sec>
  </body>
  <back>
    <ref-list>
      <ref id="ref1">
        <mixed-citation>
          1.
          <string-name>
            <surname>Concato</surname>
            ,
            <given-names>J.</given-names>
          </string-name>
          ,
          <string-name>
            <surname>Shah</surname>
            ,
            <given-names>N.</given-names>
          </string-name>
          ,
          <string-name>
            <surname>Horwitz</surname>
            ,
            <given-names>R. I.</given-names>
          </string-name>
          :
          <article-title>Randomized, controlled trials, observational studies, and the hierarchy of research designs</article-title>
          .
          <source>New England journal of medicine 342(25)</source>
          ,
          <fpage>1887</fpage>
          -
          <lpage>1892</lpage>
          (
          <year>2000</year>
          ).
        </mixed-citation>
      </ref>
      <ref id="ref2">
        <mixed-citation>
          2.
          <string-name>
            <surname>Rosenbaum</surname>
            ,
            <given-names>P. R.</given-names>
          </string-name>
          ,
          <string-name>
            <surname>Rubin</surname>
            ,
            <given-names>D. B.</given-names>
          </string-name>
          :
          <article-title>The central role of the propensity score in observational studies for causal effects</article-title>
          .
          <source>Biometrika</source>
          <volume>70</volume>
          (
          <issue>1</issue>
          ),
          <fpage>41</fpage>
          -
          <lpage>55</lpage>
          (
          <year>1983</year>
          ).
        </mixed-citation>
      </ref>
      <ref id="ref3">
        <mixed-citation>
          3.
          <string-name>
            <surname>Cartwright</surname>
            ,
            <given-names>N.</given-names>
          </string-name>
          ,
          <string-name>
            <surname>Munro</surname>
            ,
            <given-names>E.</given-names>
          </string-name>
          :
          <article-title>The limitations of randomized controlled trials in predicting effectiveness</article-title>
          .
          <source>Journal of evaluation in clinical practice 16(2)</source>
          ,
          <fpage>260</fpage>
          -
          <lpage>266</lpage>
          (
          <year>2010</year>
          ).
        </mixed-citation>
      </ref>
      <ref id="ref4">
        <mixed-citation>
          4.
          <string-name>
            <surname>Xiao</surname>
            ,
            <given-names>C.</given-names>
          </string-name>
          ,
          <string-name>
            <surname>Choi</surname>
            ,
            <given-names>E.</given-names>
          </string-name>
          ,
          <string-name>
            <surname>Sun</surname>
          </string-name>
          , J.:
          <article-title>Opportunities and challenges in developing deep learning models using electronic health records data: a systematic review</article-title>
          .
          <source>JAMIA</source>
          <volume>25</volume>
          (
          <issue>10</issue>
          ),
          <fpage>1419</fpage>
          -
          <lpage>1428</lpage>
          (
          <year>2018</year>
          ).
        </mixed-citation>
      </ref>
      <ref id="ref5">
        <mixed-citation>
          5.
          <string-name>
            <surname>Shalit</surname>
            ,
            <given-names>U.</given-names>
          </string-name>
          ,
          <string-name>
            <surname>Johansson</surname>
            ,
            <given-names>F. D.</given-names>
          </string-name>
          ,
          <string-name>
            <surname>Sontag</surname>
            ,
            <given-names>D.</given-names>
          </string-name>
          :
          <article-title>Estimating individual treatment effect: generalization bounds and algorithms</article-title>
          .
          <source>In: Proc. 34th Int. Conf. Mach. Learn.</source>
          , vol.
          <volume>70</volume>
          , pp.
          <fpage>3076</fpage>
          -
          <lpage>3085</lpage>
          , (
          <year>2017</year>
          ).
        </mixed-citation>
      </ref>
      <ref id="ref6">
        <mixed-citation>
          6.
          <string-name>
            <surname>Yoon</surname>
            ,
            <given-names>J.</given-names>
          </string-name>
          ,
          <string-name>
            <surname>Jordon</surname>
          </string-name>
          , J., van der Schaar, M.:
          <article-title>GANITE: Estimation of individualized treatment effects using generative adversarial nets</article-title>
          .
          <source>In: Int. Conf. Learning Representations</source>
          (
          <year>2018</year>
          ).
        </mixed-citation>
      </ref>
      <ref id="ref7">
        <mixed-citation>
          7.
          <string-name>
            <surname>Goodfellow</surname>
            ,
            <given-names>I.</given-names>
          </string-name>
          ,
          <string-name>
            <surname>Pouget-Abadie</surname>
            ,
            <given-names>J.</given-names>
          </string-name>
          ,
          <string-name>
            <surname>Mirza</surname>
            ,
            <given-names>M.</given-names>
          </string-name>
          ,
          <string-name>
            <surname>Xu</surname>
            ,
            <given-names>B.</given-names>
          </string-name>
          , and et al.:
          <article-title>Generative Adversarial Networks</article-title>
          .
          <source>arXiv:1406.2661</source>
          (
          <year>2014</year>
          ).
        </mixed-citation>
      </ref>
      <ref id="ref8">
        <mixed-citation>
          8.
          <string-name>
            <surname>Huang</surname>
            ,
            <given-names>Z.</given-names>
          </string-name>
          ,
          <string-name>
            <surname>Dong</surname>
            ,
            <given-names>W.</given-names>
          </string-name>
          :
          <article-title>Adversarial MACE Prediction after Acute Coronary Syndrome using Electronic Health Records</article-title>
          .
          <source>IEEE Journal of Biomedical and Health Informatics</source>
          (
          <year>2018</year>
          ).
        </mixed-citation>
      </ref>
    </ref-list>
  </back>
</article>