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1 1 Best Practices in Retrospective Chart Review © Fraser Health Authority, 2011 The Fraser Health Authority (“FH”) authorizes the use, reproduction and/or modification of this publication for purposes other than commercial redistribution. In consideration for this authorization, the user agrees that any unmodified reproduction of this publication shall retain all copyright and proprietary notices. If the user modifies the content of this publication, all FH copyright notices shall be removed, however FH shall be acknowledged as the author of the source publication. Reproduction or storage of this publication in any form by any means for the purpose of commercial redistribution is strictly prohibited. This publication is intended to provide general information only, and should not be relied on as providing specific healthcare, legal or other professional advice. The Fraser Health Authority, and every person involved in the creation of this publication, disclaims any warranty, express or implied, as to its accuracy, completeness or currency, and disclaims all liability in respect of any actions, including the results of any actions, taken or not taken in reliance on the information contained herein. Michael Wasdell, MA Epidemiologist Evaluation & Research Services [email protected]
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Page 1: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

11

Best Practices in Retrospective ChartReview

© Fraser Health Authority, 2011

The Fraser Health Authority (“FH”) authorizes the use, reproduction and/or modification of this publication for purposes other than commercial redistribution. In consideration for this authorization, the user agrees that any unmodified reproduction of this publication shall retain all copyright and proprietary notices. If the user modifies the content of this publication, all FH copyright notices shall be removed, however FH shall be acknowledged as the author of the source publication.

Reproduction or storage of this publication in any form by any means for the purpose of commercial redistribution is strictly prohibited.

This publication is intended to provide general information only, and should not be relied on as providing specific healthcare, legal or other professional advice. The Fraser Health Authority, and every person involved in the creation of this publication, disclaims any warranty, express or implied, as to its accuracy, completeness or currency, and disclaims all liability in respect of any actions, including the results of any actions, taken or not taken in reliance on the information contained herein.

Michael Wasdell, MAEpidemiologistEvaluation & Research [email protected]

Page 2: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Susan ChunickSusan ChunickDirectorDirector

Camille VirayCamille VirayEducation and Communications Education and Communications CoordinatorCoordinator

Dina ShafeyDina ShafeyResearch Ethics CoordinatorResearch Ethics Coordinator

Magdalena SwansonMagdalena SwansonResearch and Grant Research and Grant Development FacilitatorDevelopment Facilitator

Michael WasdellMichael WasdellEpidemiologistEpidemiologist

Department of Evaluation and Research ServicesDepartment of Evaluation and Research Services

Page 3: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

http://http://research.fraserhealth.caresearch.fraserhealth.ca//

Page 4: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

ObjectivesObjectives

1.1. Learn best practices in conducting a Learn best practices in conducting a retrospective chart review;retrospective chart review;

2.2. Understand quantitative data collection, Understand quantitative data collection, documentation and coding methods; anddocumentation and coding methods; and

3.3. Time permitting Time permitting -- Understand accepted Understand accepted approaches for analyzing and reporting approaches for analyzing and reporting data.data.

Page 5: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

What is retrospective chart review What is retrospective chart review research?research?

Research methodResearch method utilizing information that utilizing information that was not originally collected for research was not originally collected for research purposespurposesMost common in:Most common in:

Epidemiologic studiesEpidemiologic studiesEvaluation researchEvaluation researchQuality ImprovementQuality Improvement

Page 6: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Why do it?Why do it?

FeasibilityFeasibilityEthical considerationsEthical considerationsCostCostAvoid lag time in waiting for health outcomes Avoid lag time in waiting for health outcomes to occurto occurAccess to rare cases or occurrencesAccess to rare cases or occurrences

Hypothesis generationHypothesis generationSuitable method based on research Suitable method based on research goal/questiongoal/question

Page 7: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

RESEARCH ETHICS BOARD

STATUS REPORT 06 January 2011Total Studies 745

(From 2005 September 01 to Date)

ACTIVE STUDIES =219 PENDING APPROVAL = 28

1Spiritual Care4Physiotherapy14Multiple Sclerosis4Geriatrics

3Surgery2Prevention & Promotion3Nephrology1Health Care Delivery

7Psychiatry5Obstetrics3Hospice and Palliative Care

2Youth and Young Adult5Professional Practice2Nutrition1Health Services

Workplace Health

Social Work

Respiratory

Residency Facility

Residential Care

Renal Program

Rehabilitation Services

Public Health

Psychology

4

1

2

1

2

1

1

1

1

1Primary Care5Nursing1Health Protection

18Pharmacy9Mental Health1Food & Nutrition

9Pediatrics4Medicine2Family Practice

1Patient safety1Material Management4Falls Prevention

2Palliative Care2Leadership10Emergency

1Osteoporosis1Internal Medicine6Critical Care (ICU)

22Orthopaedics3Infectious Diseases1Chronic Care

7Oncology1Infection Control20Cardiology

1Occupational Therapy4ICU2Acute Programs

Active Studies by Department Area

Funding for ACTIVE StudiesType of Ethics Review for

ACTIVE Studies

104

115Full BoardDelegated

38

13

85

5

69

90

10

20

30

40

50

60

70

80

90

Sponsor FH Grants Non-FHGrants

Grant-in-AidUnfunded Other

28% involve retrospective data

Page 8: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Limitations of Retrospective Chart Limitations of Retrospective Chart Review ResearchReview Research

Internal ValidityInternal ValidityConfoundingConfoundingSelection biasSelection biasHistoryHistoryMaturationMaturationRegression toward the meanRegression toward the meanInstrumentation changeInstrumentation changeDifferential attritionDifferential attritionResearcher biasResearcher bias

External ValidityExternal ValidityGeneralizabilityGeneralizability of resultsof results

“We (the journal) are dubious about the integrity of retrospective chart review studies and therefore cannot accept your manuscript for publication.”

“We (the journal) are dubious about the integrity of retrospective chart review studies and therefore cannot accept your manuscript for publication.”

Page 9: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Quick FactsQuick Facts

PubmedPubmedSearch of terms (18 January 2011)Search of terms (18 January 2011)““retrospectiveretrospective”” = 419358 hits= 419358 hits““retrospective chartretrospective chart”” = 13913 hits= 13913 hits““retrospective chart methodologyretrospective chart methodology”” = 9124= 9124•• Limits to title only = 2Limits to title only = 2•• Review of article = 1 article proposing a Review of article = 1 article proposing a

methodology for retrospective chart reviewmethodology for retrospective chart reviewGearing et al. J Can Acad Child Adolesc Psychiatry 15:3 August 2006

Page 10: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Scientific Approach to Scientific Approach to Retrospective Chart ReviewRetrospective Chart Review

Nine step process (Gearing, 2006)Nine step process (Gearing, 2006)1.1. ConceptionConception2.2. Literature reviewLiterature review3.3. Proposal developmentProposal development4.4. Data Abstraction Instrument OrganizationData Abstraction Instrument Organization5.5. Abstraction Protocols and GuidelinesAbstraction Protocols and Guidelines6.6. Data abstractionData abstraction7.7. Sample size justificationSample size justification8.8. EthicsEthics9.9. Pilot StudyPilot Study

Gearing et al. J Can Acad Child Adolesc Psychiatry 15:3 August 2006

Page 11: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Comparison of ApproachesComparison of Approaches

Are you ready for a plate of spaghetti?

Page 12: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Comparison of ApproachesComparison of Approaches1.1. ConceptionConception2.2. Literature reviewLiterature review3.3. Proposal Proposal

developmentdevelopment4.4. Data Abstraction Data Abstraction

Instrument Instrument OrganizationOrganization

5.5. Abstraction Protocols Abstraction Protocols and Guidelinesand Guidelines

6.6. Data abstractionData abstraction7.7. Sample size Sample size

justificationjustification8.8. EthicsEthics9.9. Pilot StudyPilot Study

1.1. Generate ideaGenerate idea2.2. Conduct literature reviewConduct literature review3.3. Refine research questionRefine research question4.4. Plan research Plan research

methodologymethodology5.5. Create research proposalCreate research proposal6.6. Apply for fundingApply for funding7.7. Apply for ethics approvalApply for ethics approval8.8. Collect and analyze dataCollect and analyze data9.9. Draw conclusions and Draw conclusions and

relate findingsrelate findings

Geary et al., 2006 Fraser Health Framework

http://research.fraserhealth.ca/media/2010%2009%2027%20Intro%20to%20research%20process.pdf

Page 13: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

1. Generate Research Idea1. Generate Research IdeaClearly stated research questionClearly stated research questionStatement of goal and hypothesisStatement of goal and hypothesisInput from peers/expertsInput from peers/experts

These factors can provide information related to These factors can provide information related to study feasibilitystudy feasibility

Is the information you are seeking available from the Is the information you are seeking available from the medical record and is the chart information likely to be medical record and is the chart information likely to be useful in answering your question?useful in answering your question?This step is often overlooked or not thoroughly This step is often overlooked or not thoroughly undertaken.undertaken.

Page 14: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

1. Generate Research Idea1. Generate Research Idea

Clearly stated research questionClearly stated research question

P = Patient/problemP = Patient/problemI = InterventionI = InterventionC = ComparisonC = ComparisonO = OutcomeO = Outcome

PICOPICO

Page 15: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

1. Generate Research Idea1. Generate Research IdeaExample: General Clinical QuestionExample: General Clinical QuestionWhat method is best to manage obesity in patients with What method is best to manage obesity in patients with

diabetes?diabetes?

Example: Applying PICOExample: Applying PICOP = Adult patients with type II diabetesP = Adult patients with type II diabetesI = Lifestyle education and fitness trainingI = Lifestyle education and fitness trainingC = Weight reducing medicationC = Weight reducing medicationO = Body Mass IndexO = Body Mass Index

In adults with type II diabetes, is weight reducing In adults with type II diabetes, is weight reducing medication more effective than lifestyle education and medication more effective than lifestyle education and fitness training in reducing BMI?fitness training in reducing BMI?

Page 16: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

1. Generate Research Idea1. Generate Research IdeaAssessing the research goal:Assessing the research goal:

Describe Describe –– when little is known about the characteristics of a when little is known about the characteristics of a problem, patient group, health care providers or a health problem, patient group, health care providers or a health service/system.service/system.

Associate Associate –– when you want to assess if certain factors might go when you want to assess if certain factors might go hand in hand with a well described problem.hand in hand with a well described problem.

Predict Predict –– when you want to understand the extent to which when you want to understand the extent to which certain factors contribute to or cause a problem.certain factors contribute to or cause a problem.

Compare Compare –– when you wish assess the impact of an intervention when you wish assess the impact of an intervention or to determine if there are differences between interventions or to determine if there are differences between interventions or characteristics of various groups.or characteristics of various groups.

Page 17: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

1. Generate Research Idea1. Generate Research IdeaStatement of goals/hypothesis Statement of goals/hypothesis –– linked to state of linked to state of

knowledge and research questionknowledge and research question

YesYesDo different levels of x Do different levels of x predict y?predict y?

PredictPredict

YesYesIs x different from y?Is x different from y?CompareCompare

YesYesIs there a relationship Is there a relationship between x and y?between x and y?

AssociateAssociate

NoNoWhat are the characteristics What are the characteristics of x?of x?

DescribeDescribe

HypothesisHypothesisTypes of QuestionsTypes of QuestionsGoalGoal

Page 18: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

1. Generate Research Idea1. Generate Research Idea

Input from peers/expertsInput from peers/expertsMay help in identifying data available/not May help in identifying data available/not available in the medical recordavailable in the medical recordMay identify ways in which to enhance May identify ways in which to enhance internal validity based on knowledge of internal validity based on knowledge of contents of the medical recordcontents of the medical record•• ConfoundsConfounds•• Instrumentation changeInstrumentation change•• Selection of cases Selection of cases –– i.e.., ICD codesi.e.., ICD codes

Page 19: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

2. Literature Review2. Literature Review3. Refine Research Question3. Refine Research QuestionIdentify available evidenceIdentify available evidence

What is already known What is already known –– what interventions have what interventions have been studied?been studied?How is the patient sample defined?How is the patient sample defined?What are the commonly reported outcome measures?What are the commonly reported outcome measures?What methodologies have been used What methodologies have been used –– what are the what are the limitations?limitations?

Helps to refine research question.Helps to refine research question.Conducting literature reviews take time, but this Conducting literature reviews take time, but this is a very important step in the research process.is a very important step in the research process.The Fraser Health library can help you with your The Fraser Health library can help you with your search. search.

Page 20: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Make it FINERMake it FINER

Confirmed through literature search and review

Page 21: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,
Page 22: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

3. Plan Research Methodology3. Plan Research Methodology

Sample and justification Sample and justification Data Abstraction Instrument Data Abstraction Instrument OrganizationOrganizationAbstraction Protocols and GuidelinesAbstraction Protocols and GuidelinesData AbstractionData Abstraction

Page 23: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Choosing Your Study SampleChoosing Your Study Sample

How many charts do you How many charts do you need to look at?need to look at?

All within a certain time frame?All within a certain time frame?A random sample?A random sample?TIP: Consult a statistician TIP: Consult a statistician EARLY!EARLY!

Page 24: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Sample Size Sample Size -- StatisticalStatisticalIf you want your results to be statistically valid, If you want your results to be statistically valid, your sample size is critical. your sample size is critical. If the sample is too small, the random variability If the sample is too small, the random variability will be too large, and the results will be limited in will be too large, and the results will be limited in their applicability.their applicability.Sample size table for identifying a representative Sample size table for identifying a representative sample from a population.sample from a population.Consult with epidemiologist if you wish to obtain Consult with epidemiologist if you wish to obtain statistically valid estimates of association, statistically valid estimates of association, prediction or comparisons/differences.prediction or comparisons/differences.

Page 25: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Sample Size Table Sample Size Table –– For Descriptive ResearchFor Descriptive Research

Page 26: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Random SamplingRandom SamplingSimple Random SamplingSimple Random Sampling

Each unit has an equal probability of being chosen.Each unit has an equal probability of being chosen.Enumerate list, then choose with random numbers.Enumerate list, then choose with random numbers.

Systematic Random SamplingSystematic Random SamplingSelection of the sample using an interval Selection of the sample using an interval ““kk”” so that so that every every ““kk”” unit in the population is selectedunit in the population is selected

1. Number the units in the population from 1 to N.1. Number the units in the population from 1 to N.2. Decide on the n (sample size) that you want or need. 2. Decide on the n (sample size) that you want or need.

k = N/n = the interval size. k = N/n = the interval size. 3. Randomly select an integer between 1 and k. 3. Randomly select an integer between 1 and k. 4. Then take every 4. Then take every kthkth unit.unit.

Page 27: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

The nuts and bolts of data quality

Page 28: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

3. Plan Research Methodology3. Plan Research Methodology

Data Abstraction Instrument OrganizationData Abstraction Instrument OrganizationAbstraction Protocols and GuidelinesAbstraction Protocols and GuidelinesData abstraction Data abstraction -- Validity and ReliabilityValidity and ReliabilityPilot TestingPilot Testing

Page 29: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Validity of chart review dataValidity of chart review data

Pan et al. (2005) Journal of Clinical Pan et al. (2005) Journal of Clinical EpidemiologyEpidemiology

77.5% to 96.9% accuracy depending on 77.5% to 96.9% accuracy depending on clinical area (lowest in ICU)clinical area (lowest in ICU)55.1% to 97.4% accuracy depending on chart 55.1% to 97.4% accuracy depending on chart section (lowest in diagnosis and surgical)section (lowest in diagnosis and surgical)19% errors were missing data19% errors were missing data

Page 30: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Reducing error in chart reviewReducing error in chart review

Data abstractionData abstractionCodingCodingCleaningCleaningValidationValidationVerificationVerification

Page 31: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Data Abstraction Tool (DAT)Data Abstraction Tool (DAT)

Minimum standardsMinimum standardsDesign the data abstraction tool (DAT) to Design the data abstraction tool (DAT) to collect the data specified by the project collect the data specified by the project protocol. protocol. Document training of personnel on the Document training of personnel on the protocol, DAT completion instructions and protocol, DAT completion instructions and data submission/storage. data submission/storage.

Page 32: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Data Abstraction Tool (DAT)Data Abstraction Tool (DAT)Best practicesBest practices

Design the DAT along with the project protocol to assure Design the DAT along with the project protocol to assure collection of all data specified in protocol. collection of all data specified in protocol. Keep questions, prompts and instructions clear and Keep questions, prompts and instructions clear and concise. concise. Design the DAT to follow the data flow from the Design the DAT to follow the data flow from the perspective of the person completing it, taking into perspective of the person completing it, taking into account the flow and organization of data in a medical account the flow and organization of data in a medical record. record. Avoid referential and redundant data points. Avoid referential and redundant data points. Design the DAT with the primary measures of interest in Design the DAT with the primary measures of interest in mind as the main goal of data collection. mind as the main goal of data collection. Design the DAT with accompanying data collection Design the DAT with accompanying data collection instruction book, and library of codes.instruction book, and library of codes.

Page 33: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

DAT Design ConsiderationsDAT Design Considerations

A.A. Feasible Feasible –– capable of being completedcapable of being completed

B.B. Acceptable Acceptable –– resulting data is usefulresulting data is useful

C.C. Reliable Reliable –– consistency of information consistency of information abstractedabstracted

Page 34: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

A. FeasibleA. Feasible

Feasible Feasible –– capable of being completedcapable of being completedLogical orderLogical orderMatch with the order and type of Match with the order and type of information in the chartinformation in the chartAbstraction can be done within time limitsAbstraction can be done within time limits

Page 35: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Feasible Feasible –– Order and Type of DataOrder and Type of Data

StaticStaticSnapshot in timeSnapshot in timeDemographicDemographicMedical historyMedical history

EvolvingEvolvingInformation is collected Information is collected over timeover timeRepeated measurementRepeated measurementVital signsVital signsDaily Medication ordersDaily Medication orders

CumulativeCumulativeCollected over time, but Collected over time, but not linked to specific not linked to specific points in timepoints in timeMedication errorsMedication errors

Single record -single page

Series of single records/pages per time interval

Single page cumulative log linked with time interval

Single page cumulative log Feasible – capable of being completed

Logical orderMatch with the order and type of information in the chartAbstraction can be done within time limits

Page 36: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Feasible Feasible –– OtherOther

Consider Consider ‘‘modulesmodules’’ to match chart to match chart information (e.g.., lab values, pharmacy)information (e.g.., lab values, pharmacy)DAT designed to accommodate different DAT designed to accommodate different chart or report formats (e.g.., charting from chart or report formats (e.g.., charting from different sites)different sites)Time to completeTime to complete

Page 37: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

B. AcceptableB. Acceptable

Acceptable Acceptable –– resulting resulting data is usefuldata is usefulMinimization of missing Minimization of missing informationinformationLow data abstraction Low data abstraction error rateerror rateUse of validated or Use of validated or accepted measuresaccepted measuresReduction of biasReduction of bias

Page 38: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Acceptable Acceptable –– Missing Information Missing Information

Minimization and management of missing Minimization and management of missing informationinformation

PrePre--screen charts for availability of informationscreen charts for availability of information•• Missing information may impact sample size Missing information may impact sample size

precision and feasibility precision and feasibility

Detailed instructions for recording potentially Detailed instructions for recording potentially ambiguous informationambiguous informationDistinguish between missing, not appropriate, Distinguish between missing, not appropriate, not done and 0 valuesnot done and 0 values

Page 39: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Acceptable Acceptable –– Error MinimizationError Minimization

Error MinimizationError MinimizationLimit manual entry of numbers or textLimit manual entry of numbers or textUse boxes/shapes to enter information (standardize Use boxes/shapes to enter information (standardize formats)formats)Limit use of circled items or checkmarks (use Limit use of circled items or checkmarks (use XX))Limit use of skip patternsLimit use of skip patterns

•• Make skip patterns salient by bolding, highlighting or use of Make skip patterns salient by bolding, highlighting or use of graphicsgraphics

•• Instruct where to skipInstruct where to skip toto, and not , and not whatwhat to skipto skip

Easy to readEasy to readSufficient spaceSufficient space

Page 40: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Minimize Data Abstraction Error Minimize Data Abstraction Error LDL cholesterol value _____LDL cholesterol value _____

LDL cholesterol value _____mg/LDL cholesterol value _____mg/dLdL

LDL cholesterol value _____mg/LDL cholesterol value _____mg/dLdL or ______or ______mmolmmol/L/L

LDL cholesterol value ______LDL cholesterol value ______ mg/mg/dLdLunit if different ______unit if different ______

Page 41: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Well designed Well designed DATsDATs use cues for different response use cues for different response formats:formats:

TextTextSite of injury (e.g. left shoulder)____________Site of injury (e.g. left shoulder)____________

NumericNumericAge [___]Age [___]

DateDate__/____/____/____/__dddd mmmmmm yyyy

Standardize DAT Response FormatsStandardize DAT Response Formats

Page 42: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

CategoricalCategoricalSingle responseSingle response

OOYesYes OONoNo

MultipleMultiple--responseresponseDiabetes Arthritis Cancer HypertensionDiabetes Arthritis Cancer Hypertension

Coded ResponseCoded Response11OOMild Mild 22OOModerate Moderate 33OOSevereSevere[__] 1=Mild; 2=Moderate; 3=Severe[__] 1=Mild; 2=Moderate; 3=Severe

Standardize DAT Response FormatsStandardize DAT Response Formats

Page 43: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Skip PatternSkip Pattern

Page 44: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Acceptable Acceptable –– ValidValid

Use of validated or accepted measuresUse of validated or accepted measuresSelect measures that are consistent with accepted Select measures that are consistent with accepted standards for reportingstandards for reportingConsider changes over time in normative dataConsider changes over time in normative data

•• e.ge.g, lab normal ranges, lab normal ranges

Content validityContent validityDoes the DAT capture all the relevant information?Does the DAT capture all the relevant information?

Concurrent validityConcurrent validityDoes the information collected in the DAT correspond Does the information collected in the DAT correspond with observations?with observations?

•• Outcome measures in charts may not correspond with Outcome measures in charts may not correspond with healthcare processes.healthcare processes.

Page 45: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Acceptable Acceptable –– ValidValid

What about the person abstracting data?What about the person abstracting data?Experience in retrospective research or the content area.Blind to the study hypothesis.

Page 46: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

C. ReliableC. ReliableClear and unambiguousClear and unambiguous

Training of data abstractorsTraining of data abstractorsData collection guideData collection guide

•• Glossary of terms and acceptable alternatesGlossary of terms and acceptable alternates•• Decision rules for ambiguous informationDecision rules for ambiguous information

Guidance information on the DATGuidance information on the DATTestTest--retest reliabilityretest reliability

To assess consistency within the same personTo assess consistency within the same person•• To assess drift over timeTo assess drift over time•• To assess errors during learning phaseTo assess errors during learning phase

InterInter--raterrater reliabilityreliabilityDo any two data abstractors record the same Do any two data abstractors record the same information?information?

•• Test data abstractors against each otherTest data abstractors against each other•• Test data abstractors against gold standard exampleTest data abstractors against gold standard example

Page 47: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Additional tools: DAT ProtocolAdditional tools: DAT Protocol

Reference manualReference manualClear instructions for how to collect Clear instructions for how to collect the required informationthe required informationListing of each variable, location in Listing of each variable, location in chart, method for transcribing from chart, method for transcribing from chart to DATchart to DATDATsDATs with explicit protocols with explicit protocols increase interincrease inter--raterrater reliabilityreliability

Page 48: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

CodebookCodebook

What is a codebook?What is a codebook?A codebook is a log of your DAT fields and how you A codebook is a log of your DAT fields and how you will code them for data entry to a spreadsheet.will code them for data entry to a spreadsheet.

Why use a codebook?Why use a codebook?A codebook will help everyone understand the coding A codebook will help everyone understand the coding schemes to ensure that they are on the same page!schemes to ensure that they are on the same page!Coded data can be entered into a spreadsheet, which Coded data can be entered into a spreadsheet, which will help when analyzing data.will help when analyzing data.Data from DAT should be coded numerically for ease Data from DAT should be coded numerically for ease of analysis.of analysis.

Page 49: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Codebook ExampleCodebook ExampleVariableVariableNameName

VariableVariableLabelLabel

ValuesValues CodingCoding MissingMissing

ageage ageage 1,2,3,4,51,2,3,4,5 1=101=10--20 years 20 years 2=212=21--30 years 30 years 3=313=31--40 years 40 years 4=414=41--50 years 50 years 5=51+ years5=51+ years

97=Incorrect 97=Incorrect responseresponse98=No response98=No response99=Not 99=Not ApplicableApplicable

sexsex sexsex 1,21,2 1=male, 2=female1=male, 2=female 97=Incorrect 97=Incorrect responseresponse98=No response98=No response99=Not 99=Not ApplicableApplicable

happinesshappiness happiness happiness atatworkwork

1,2,31,2,3 1=not happy1=not happy2=somewhat happy2=somewhat happy3=very happy3=very happy

97=Incorrect 97=Incorrect responseresponse98=No response98=No response99=Not 99=Not ApplicableApplicable

Page 50: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Spreadsheet ExampleSpreadsheet ExampleID# Age Sex Happiness

1 1 1 2

2 2 2 2

3 3 1 2

4 57 2 2

5 45 2 3

6 66 2 3

7 2 2 3

8 88 2 3

Page 51: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Pilot Testing Pilot Testing –– for Designfor Design

Consider looking at a few chartsConsider looking at a few chartsSee what is documentedSee what is documented•• Will tell you what you can captureWill tell you what you can capture

Get an idea of what the hurdles are?Get an idea of what the hurdles are?•• E.g. details of when antibiotic reached the ward E.g. details of when antibiotic reached the ward

were not availablewere not available

Find out where the information actually isFind out where the information actually is•• i.ei.e what section of the chartwhat section of the chart•• This helps in planning time to complete the workThis helps in planning time to complete the work

Page 52: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Pilot Testing Pilot Testing –– for Validityfor ValidityOnce DAT is designed and Codebook is in place Once DAT is designed and Codebook is in place –– test test out the data abstraction and coding process on a few out the data abstraction and coding process on a few charts:charts:

Are key pieces of information missing?Are key pieces of information missing?Does the information translate easily from chart to DAT?Does the information translate easily from chart to DAT?Are there classifications, codes or other information that need Are there classifications, codes or other information that need refining?refining?

A formal pilot study to test the feasibility, reliability and A formal pilot study to test the feasibility, reliability and validity of the data abstraction process is recommended.validity of the data abstraction process is recommended.

Sample size of up to 10 percent of the intended sampleSample size of up to 10 percent of the intended sample

Page 53: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

More Spaghetti?More Spaghetti?

Page 54: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Comparison of ApproachesComparison of Approaches1.1. ConceptionConception2.2. Literature reviewLiterature review3.3. Proposal Proposal

developmentdevelopment4.4. Data Abstraction Data Abstraction

Instrument Instrument OrganizationOrganization

5.5. Abstraction Protocols Abstraction Protocols and Guidelinesand Guidelines

6.6. Data abstractionData abstraction7.7. Sample size Sample size

justificationjustification8.8. EthicsEthics9.9. Pilot StudyPilot Study

1.1. Generate ideaGenerate idea2.2. Conduct literature reviewConduct literature review3.3. Refine research questionRefine research question4.4. Plan research Plan research

methodologymethodology5.5. Create research proposalCreate research proposal6.6. Apply for fundingApply for funding7.7. Apply for ethics approvalApply for ethics approval8.8. Collect and analyze dataCollect and analyze data9.9. Draw conclusions and Draw conclusions and

relate findingsrelate findings

Geary et al., 2006 Fraser Health Framework

http://research.fraserhealth.ca/media/2010%2009%2027%20Intro%20to%20research%20process.pdf

Page 55: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

See Past and Future WorkshopsSee Past and Future Workshops

5.5. Create research proposalCreate research proposal6.6. Apply for fundingApply for funding7.7. Apply for ethics approvalApply for ethics approval8.8. Collect and analyze dataCollect and analyze data9.9. Draw conclusions and relate findingsDraw conclusions and relate findings

http://research.fraserhealth.ca/education/workshops/presentationhttp://research.fraserhealth.ca/education/workshops/presentations/s/

http://http://research.fraserhealth.caresearch.fraserhealth.ca/education/calendar//education/calendar/

Page 56: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

What to Do with your DataWhat to Do with your Data

Page 57: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Fun Things to do with DataFun Things to do with DataData CleaningData Cleaning

identify and correct errors made during identify and correct errors made during data entry data entry

•• correcting typos, spelling errors, remove correcting typos, spelling errors, remove duplicatesduplicates

Data ValidationData Validationchecking that data is sensible and checking that data is sensible and possible possible compare data against applicable rulescompare data against applicable rules

•• identify inappropriate or out of range valuesidentify inappropriate or out of range valuesData VerificationData Verification

check that data is entered correctly and check that data is entered correctly and that there are no transcription errorsthat there are no transcription errors

•• confirm that missing data is indeed missingconfirm that missing data is indeed missing

Page 58: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Data CleaningData Cleaning

Data cleaning is aimed at identifying and Data cleaning is aimed at identifying and correcting data entry errors.correcting data entry errors.Double data entry can help identify data Double data entry can help identify data entry errors.entry errors.Comparison of Excel spreadsheets using Comparison of Excel spreadsheets using built in functions will identify data entry built in functions will identify data entry errors.errors.

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=Entry1!A2-Entry2!A2

Entry 1 Entry 2 Entry 1 – Entry 2

Errors

Page 60: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Data Validation with ExcelData Validation with ExcelNumbersNumbers

Specify if entry is a whole number or a decimal number. Specify if entry is a whole number or a decimal number. Set a minimum or maximum.Set a minimum or maximum.Exclude a certain number or range.Exclude a certain number or range.Use a formula to calculate whether a number is valid.Use a formula to calculate whether a number is valid.

Dates and times Dates and times Set a minimum or maximum.Set a minimum or maximum.Exclude certain dates or times.Exclude certain dates or times.Use a formula to calculate whether a date or time is valid.Use a formula to calculate whether a date or time is valid.

Length Length Limit how many characters can be typed in a cell.Limit how many characters can be typed in a cell.Require a minimum number of characters.Require a minimum number of characters.

List of values List of values Specify choices from a list Specify choices from a list —— egeg., small, medium, large.., small, medium, large.

Page 61: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Data ValidationData ValidationFull Tutorial athttp://www.contextures.com/xlDataVal01.html

Page 62: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Data VerificationData Verification

Clinical trials researchClinical trials researchMost rigorous verification methodsMost rigorous verification methodsCompare all abstracted data with source Compare all abstracted data with source documentsdocumentsLabour intensive and costlyLabour intensive and costlyNot feasible for most health careNot feasible for most health care--based chart based chart review activitiesreview activities

Page 63: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Verification in the health care Verification in the health care settingsetting

Goal Goal –– 95% accuracy95% accuracyVerify a sample of Verify a sample of DATsDATs with chartswith chartsSample based onSample based on

•• Experience and training of data abstractorsExperience and training of data abstractors•• Familiarity of data abstractors with care areaFamiliarity of data abstractors with care area•• Complexity of careComplexity of care•• Type of informationType of information

Verify data collected early in the chart audit/reviewVerify data collected early in the chart audit/reviewCompute percent accuracy overall and for Compute percent accuracy overall and for subsections (demographics, diagnostics, surgical subsections (demographics, diagnostics, surgical procedures)procedures)Identify sections falling below 80% accuracy for full Identify sections falling below 80% accuracy for full verificationverificationVerify all missing information if possibleVerify all missing information if possible

Page 64: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

ActivityActivityOrganize into groups of 3 or 4Organize into groups of 3 or 4Read/scan the Harry Potter study handout (focus on methods)Read/scan the Harry Potter study handout (focus on methods)Discuss and complete the Retrospective Chart Review ChecklistDiscuss and complete the Retrospective Chart Review ChecklistReport back with group ratingsReport back with group ratings

Page 65: 2011 01 19 Best practices in retrospective chart review · PDF fileObjectives 1. Learn best practices in conducting a retrospective chart review; 2. Understand quantitative data collection,

Discussion/Questions?Discussion/Questions?

Accepted approaches for analyzing and reporting data.


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