the Electronic Health Record: An Essential Technology for Healthcare Epidemiology
Andreas M. Kogelnik
Justin V. Graham
David C. Classen
Healthcare is an information-intensive industry. Information management is integral to clinical practice, and little occurs in the complex matrix of healthcare that does not involve information management (1,2, 3, 4, 5, 6, 7, 8, 9,10,11,12,13, 14, 15, 16, 17, 18, 19,20,21,22, 23, 24, 25, 26, 27, 28, 29, 30, 31, 32,33,34, 35, 36, 37, 38, 39, 40, 41, 42, 43, 44, 45, 46, 47, 48, 49). Clinicians, among their other unique duties, are information managers. In the day-to-day practice of medicine, they must acquire, process, store, retrieve, and apply information. This ability is paramount to the delivery of efficient and optimal healthcare and is becoming increasingly important with the fractionation of healthcare delivery. During the last 50 years, information management has risen to a pivotal role in modern healthcare (1,2,25, 26, 27, 28,34,42). There has been an explosion of information in healthcare. In 2009, Medline indexed over 850,000 new articles from those published in the biomedical literature with over 20 million articles in the database compared with just over 485,000 in 1999. Reports on genetic, genomic, and proteomic data are on the rise, and most providers have little background in such areas. These are areas where information technology (IT) is increasingly important for finding relevant knowledge.
In addition to more knowledge, there has been a corollary growth in patient-specific information. The volume and complexity of patient information has increased dramatically. This increase is due to multiple factors that have occurred in healthcare, such as the greater number of patient visits; higher patient acuity; a proliferation of new data elements arising from new diagnostic techniques; developments in the delivery system that result in many patients receiving care at multiple sites and in multiple systems; and the maturation of high-throughput genomic biotechnology, some of which is now marketed directly to consumers. This dramatic growth has resulted in a situation where effective clinical information management has exceeded the cognitive capabilities of the human mind. Some authors have referred to this phenomenon as “information pollution” (44). In fact, in modern healthcare we are drowning in data while starving for information, and each year this gap widens.
Providing high-quality, cost-effective healthcare is an information-dependent process. Each provider and class of providers in healthcare has developed a unique set of information requirements that have become ever more task/specialty focused. However, in order to deliver truly comprehensive care, at some point in the healthcare delivery process, other providers need access to those information sets. The medical record is the repository of information concerning the patient’s health. Virtually everyone involved in providing, receiving, and reimbursing for healthcare needs to interact with it.
It has been estimated that as many as 22 different people need access to a hospital patient’s medical record at any given time (17). An estimated 35% to 39% of total hospital operating costs has been associated with provider and patient information activities. Physicians spend an estimated 38% and nurses and estimated 50% of their time documenting in the patient’s medical record. Furthermore, 70% of hospital patients’ paper medical records are incomplete. This lack of detail is reflected in the fact that 40% of the time the paper medical record does not contain the patient’s diagnosis and 27% of the time the patient’s chief complaint is not documented (50). This lack of completeness also results in 11% of laboratory tests that have to be reordered, because the results are not in the patient’s paper medical record, which leads to significant manual effort to review the patient chart for source data.
Despite the many technologic advances in healthcare over the last 50 years and the plethora of associated problems with the typical patient record, the record has not changed much. Many institutions that have adopted a variety of health information technology (HIT) modalities still rely on paper-based physician documentation. The failure of the modern patient record to have evolved with the other technologic advances in healthcare is now creating additional stress within the already burdened US healthcare system. Because of this failure, the information needs of providers, patients, administrators, third-party payers, researchers, and policy makers, not to mention infection control specialists, are often unmet.
The electronic health record (EHR) seeks to overcome the failures of the traditional paper record (1,14,15,17,34). The EHR can make a major contribution to improving the information management problems of healthcare. A 1991 General Accounting Office (GAO) report on automated patient records, still valid today, identified three major ways in which improved patient records can benefit healthcare (1). First, an automated patient record can improve healthcare delivery through its direct impact on
the delivery of care. It can provide easy access to multiple parties simultaneously, faster data retrieval, and, potentially, higher-quality data. The EHR can also enhance decision support capabilities, present clinical reminders to assist patient care, and support quality improvement activities, although implementation successes may vary widely. Second, computerized medical records have the potential to enhance outcomes research by automatically capturing clinical information for evaluation. Third, automated patient records can increase hospital efficiency by reducing costs and improving staff productivity. The GAO reported that an automated patient record system reduced hospital costs by $600 per patient in a Department of Veterans Affairs hospital because of shorter lengths of stay (51).
the delivery of care. It can provide easy access to multiple parties simultaneously, faster data retrieval, and, potentially, higher-quality data. The EHR can also enhance decision support capabilities, present clinical reminders to assist patient care, and support quality improvement activities, although implementation successes may vary widely. Second, computerized medical records have the potential to enhance outcomes research by automatically capturing clinical information for evaluation. Third, automated patient records can increase hospital efficiency by reducing costs and improving staff productivity. The GAO reported that an automated patient record system reduced hospital costs by $600 per patient in a Department of Veterans Affairs hospital because of shorter lengths of stay (51).
Ideally, the EHR provides patient-specific, integrated information that is collected during the provision of care and is available among all caregivers in an organized, comprehensive, accurate, timely, and accessible form. Uncontrolled and unorganized information (as available in the paper record) leads to “information pollution” and is a counterproductive force in an information-oriented industry (44). Information collected, presented, and available in an electronic form becomes a valuable resource when properly structured.
OVERVIEW OF ELECTRONIC HEALTH RECORDS
With any endeavor in healthcare, there are definitions and acronyms that one has to be familiar with to effectively communicate. This is particularly true in the area of healthcare information management. The glossary at the end of this chapter lists many of these terms. With respect to information systems, Ledley and Lusted (52) in 1960 defined an information system as consisting of three essential components: a system for organizing or documenting the information in a file; a method or a routine for accessing the information in the file; and a method to ensure that the information was current. Lindberg (53) took the definition a step further and concluded that a medical information system (MIS) (or what we now would call an EHR) contained a set of formal arrangements by which healthrelated facts, those concerning the individual health of the patient as well as the care of that patient, were stored and processed in computers (27, 28, 29). Based on this conception, an MIS is a complex hierarchical integration of multiple systems that include an inpatient hospital information system (HIS); an outpatient information system; and clinical support systems, such as pharmacy, radiology, and laboratory information systems. In most current configurations, this can include an inpatient EHR, an outpatient EHR (sometimes integrated with inpatient), as well as ancillary departmental systems for laboratory and pharmacy. A true EHR would contain a longitudinal patient record that contains the complete health status and healthcare delivery of an individual patient from birth to death. Only a few, mostly closed, healthcare systems have even approached such an integrated information system (e.g., Kaiser Permanente), even so, patients often venture outside of such systems for some of their care over the course of their lives.
Both ambulatory and inpatient information systems usually include administrative and financial (or practice management) components and clinical components, all of which are usually separate systems. Administrative information systems (AISs) include data elements such as patient demographic, eligibility, and payer data; patient identification, registration, and appointment schedules; hospital admission, discharge, and transfer (ADT) data; bed census or occupancy data; cost accounting; resource utilization; employee records; and inventory. Generally, AISs are the first computer applications implemented in a hospital or outpatient setting.
Clinical information systems (CISs) are designed to manage information concerning the direct care of the patient and are the foundation of the EHR. The CIS contains both objective and subjective clinical data. Because the practice of medicine and the delivery of healthcare is a dynamic process, the functional requirements of a CIS are continually changing as new treatments, procedures, and diagnostics evolve. However, any CIS has some essential core functions. Some of these functions include an electronic medical record (EMR) that can communicate and manage patient data from multiple sources (e.g., pharmacy, radiology, surgery, laboratory) within the healthcare delivery system; provide healthcare workers with decision support tools; provide a clinical database for epidemiologic research; support medical education; maintain patient confidentiality; and satisfy the requirement for the integrity, reliability, and security of patient data.
In the United States, the hospital has been recognized since the 1960s as the natural laboratory for automation and computerization in healthcare. This realization was partly due to the complexity and scope of the information available within the bounds of a single organization, and the fact that the hospital represented the largest segment of the healthcare industry, commanding over 50% of all healthcare spending (54). Economies of scale dictate that a hospital would have access to much greater IT resources than, say, a small independent physician practice. Additionally, hospitals have regulatory requirements for collecting information and developing rates for defined outcomes such as mortality, length of stay, and costs for various diagnoses and surgical procedures (55, 56, 57). Indeed, the hospital setting is probably the most sophisticated segment of the healthcare market with respect to information management. However, to date, less than 10% of US hospitals can truly call themselves “paperless” across all disciplines, departments, and functions, and 85% of the outpatient record remains paper based. The US government’s 2009 HITECH stimulus program supporting “meaningful use” of EHRs (discussed below) hopes to rapidly stimulate much greater adoption.
The basic kinds of information that hospitals require and manage have changed little since the early 1960s. What has changed is the volume of that information and the recognition that numerous providers need simultaneous access to the information. Because of these factors and healthcare’s insatiable demand for information, the EHR has become a key emerging technology in US hospitals. What differentiates an EHR from a compilation
of departmental information systems within a hospital is the integrated database (18,58, 59, 60). Friedman and Dieterle (18) have called integration the “holy grail of hospital computing.” To effectively use patient care data to improve outcomes and manage care, hospitals need access to fully integrated information. The primary function of an EHR is to communicate data (58). To perform this function, an EHR must have software and hardware components that allow the computer to acquire, process, store, retrieve, and rearrange data, and then display that data throughout the institution. The premise that underlies this design strategy is that many providers, including the medical staff, nurses, pharmacists, radiology, laboratory, respiratory therapy, physical therapy, occupational therapy, dietary, and so on, create patient care data, and those providers need access at almost all times to a variety of patient care data. The key is that the provider-created data must be inclusive. Within an integrated EHR, the design should allow for patient data to be entered once and then be available for all users. Ideally, data should be entered at the point of care. For example, the temperature of a patient should be entered into the database at the bedside, once the healthcare provider has obtained the temperature. This allows for maximum use of patient data, since clinical data are now temporally related to the course of hospitalization. This temporal relationship allows providers to analyze the patient’s clinical progress and to relate outcomes to specific events during hospitalization. Point-of-care data entry goes beyond the human provider and is equally applicable to automated devices and analyzers, for example, ventilators or blood chemistries. The technology to accomplish this automated point of care data capture is readily available (61).
of departmental information systems within a hospital is the integrated database (18,58, 59, 60). Friedman and Dieterle (18) have called integration the “holy grail of hospital computing.” To effectively use patient care data to improve outcomes and manage care, hospitals need access to fully integrated information. The primary function of an EHR is to communicate data (58). To perform this function, an EHR must have software and hardware components that allow the computer to acquire, process, store, retrieve, and rearrange data, and then display that data throughout the institution. The premise that underlies this design strategy is that many providers, including the medical staff, nurses, pharmacists, radiology, laboratory, respiratory therapy, physical therapy, occupational therapy, dietary, and so on, create patient care data, and those providers need access at almost all times to a variety of patient care data. The key is that the provider-created data must be inclusive. Within an integrated EHR, the design should allow for patient data to be entered once and then be available for all users. Ideally, data should be entered at the point of care. For example, the temperature of a patient should be entered into the database at the bedside, once the healthcare provider has obtained the temperature. This allows for maximum use of patient data, since clinical data are now temporally related to the course of hospitalization. This temporal relationship allows providers to analyze the patient’s clinical progress and to relate outcomes to specific events during hospitalization. Point-of-care data entry goes beyond the human provider and is equally applicable to automated devices and analyzers, for example, ventilators or blood chemistries. The technology to accomplish this automated point of care data capture is readily available (61).
Regional/National Health Information Exchange
Electronic patient data, both clinical and administrative, is too often imprisoned in institutional silos due to technical incompatibilities, financial disincentives, and interinstitutional politics. There has been a recent groundswell of support for inter-institutional data exchange (of both identified and de-identified data) to support patient continuity of care and healthcare quality improvement activities. Such data exchange can occur on a peer-to-peer institutional level, on a regional level, and on a state or federal level. Regional Health Information Organizations (RHIOs) and Health Information Exchange (HIE) organizations are two types of collaborative organizations that have formed to enable such exchanges and have met with varying success (and failure). Many RHIOs formed since the late 1990s have struggled with financial, political, and technical barriers. Notable successes on a large scale include the Indiana Health Information Exchange, the New England Healthcare Exchange Network, and the New York Clinical Information Exchange. The recent HITECH funding (see below) has catalyzed the formation of numerous HIE efforts nationally, prompted by the rationale that healthcare data exchange is necessary for healthcare reform and improving health outcomes. However, there remain many challenges ahead for large-scale regional data sharing, including data selection, legal/ethical discussions, privacy standards, and technical/implementation hurdles.
EHRS AND HEALTHCARE OPERATIONS
The inefficiencies of the paper medical record absorb large amounts of a hospital’s budget and are directly responsible for many of the failures in the quality of care delivered, including medication errors, misdiagnosis, and poor record keeping. Over the years, HISs and current EHRs have demonstrated many benefits, but perhaps the three that will have the greatest impact on healthcare delivery and cost are (a) improved logistics and organization of the medical record to speed care, prevent duplication of data and procedures, and improve the caregiver’s efficiency; (b) automatic computer review of the medical record to aid decision support, limit errors, identify exceptions in care, and identify those in need of care; and (c) systematic analysis of present and past clinical experiences and outcomes to guide future practice and policies (1,14,30).
Improved Logistics and Organization of Patient Data
The EHR, with the patient as the central information unit, provides large clinical databases allowing for more comprehensive and accurate patient data collection, more complete data integration and interpretation, and greater facilitation of data analysis (1,2,17,30,34). Multiple providers can gain simultaneous access to computer-based data, and data duplications across multiple systems are eliminated. Once stored in the EHR, data can be displayed in numerous different ways, providing for cost-effective utilization of services. A past investigation has demonstrated that in an emergency department with computer-displayed data, physicians ordered 15% fewer tests than when computer display of data was not available (62). Another investigation has shown that when the EHR displayed previous test results to physicians when they were ordering new tests, there was a reduction in test ordering (63). An EHR provides a cohesive, integrated, accurate, and up-to-date record that encourages and enables providers to make informed cost-conscious decisions (62, 63, 64, 65, 66, 67,68). Computers also serve the information needs of medical, pharmacy, and nursing students (16,22,47,48,69,70) as well as the patient (71). The use of an HIS to present clinical guidelines for management of personnel with occupational exposure to body fluids was shown to improve documentation, compliance with guidelines, and percentage of charges spent on indicated activities, while decreasing overall charges (72).
Clinical Decision Support
Humans are prone to a number of inherent cognitive biases and predictably make frequent errors, including overlooking rare and uncommon events (73). An integrated EHR with an intelligent rules engine can monitor patient data for unusual patterns in care and alert healthcare providers; this is commonly referred to as clinical decision support (CDS). Computer-generated reminders have been shown to dramatically affect the outcomes of many different aspects of care (62, 63, 64, 65, 66, 67,73, 74, 75,76,77). Recent investigations into the use of HISs and computerized CDS have demonstrated the potential of remarkable cost savings and improved patient outcomes (68,78,79,80, 81, 82, 83, 84, 85, 86, 87,88,89,90, 91, 92, 93, 94, 95,96,97, 98, 99), although there have also been some notable failures.
The EHR can promote a healthcare system that emphasizes prevention, early diagnosis and treatment, and effective management (100). These aspects of healthcare delivery are further facilitated by the advent of computerized decision support (10,13,101, 102, 103, 104, 105, 106, 107, 108, 109, 110, 111, 112, 113, 114, 115, 116, 117, 118, 119, 120, 121, 122). Six major use cases of decision support that now exist in hospitals with integrated information systems and attendant EHRs are alerting, interpretation, assisting, critiquing, diagnostic, and management.
Alerting decision support is defined as the automatic notification of appropriate providers of time critical decisions. Drug-drug interactions, drug-laboratory interactions, drug-disease interactions, adverse drug reactions, and drug allergy alerts are common clinical examples of this type of decision support (83,85,86,90). These types of alerts are generated at the time of either a medication order or laboratory results reporting if alerting criteria are met. Furthermore, an EHR with this alerting function can monitor patient data continuously; if appropriate criteria are met anytime in the course of hospitalization, specific personnel (such as the ordering physician, the patient’s nurse, the pharmacy, and so on) can be notified. Notification can be escalated based on the urgency of the alert. Alerts requiring immediate attention may be sent by a pager or text message. Less urgent alerts can be sent by email or placed in an inbox to be viewed when the user logs on to the EHR.
Interpreting decision support refers to the gathering, arranging, and analyzing of patient data, resulting in a conceptual understanding of that data, usually in relationship to a specific test. One of the earliest applications of interpretive decision support in hospitals was computer analysis and interpretation of electrocardiograms (7,11,36). Mammograms and Pap smear reading have also seen improved interpretation demonstrated through automated decision support.